HomeMy WebLinkAboutCity of Tamarac Resolution R-2018-011Temp. Reso. No. 13056
January 24, 2018
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CITY OF TAMARAC, FLORIDA
RESOLUTION NO. R- 2018
A RESOLUTION OF THE CITY COMMISSION OF THE CITY OF
TAMARAC, FLORIDA ACCEPTING A GRANT AWARD IN THE
AMOUNT OF $400,000 FROM THE FEDERAL HIGHWAY
ADMINISTRATION (FHWA) THROUGH THE FLORIDA
DEPARTMENT OF TRANSPORTATION (FDOT); AUTHORIZING
THE APPROPRIATE CITY OFFICIALS TO EXECUTE A LOCAL
AGENCY PROGRAM (LAP) AGREEMENT AND NECESSARY
DOCUMENTS BETWEEN FDOT AND THE CITY OF TAMARAC
PENDING LEGAL REVIEW FOR GRANT FUNDING IN THE
AMOUNT OF $400,000; AND PROVIDING FOR A MATCH IN
LOCAL FUNDS IN THE AMOUNT OF $327,480 FOR THE
BIKEWAY PROJECT PHASES 5 AND 6; PROVIDING FOR
CONFLICTS; PROVIDING FOR SEVERABILITY; AND PROVIDING
FOR AN EFFECTIVE DATE.
r
WHEREAS, the City Commission of the City of Tamarac wishes to enhance multi -
modal transportation, wellness and recreational opportunities throughout Tamarac; and
WHEREAS, the City desires to provide safe connectivity between City facilities,
schools, shopping areas, residential areas and the Broward County Greenway System
by establishing an integrated bikeway/walkway system throughout the City; and
WHEREAS, federal transportation dollars are available from the Federal Highway
Administration (FHWA) for selected transportation projects through the State of Florida
Legislative Appropriations process; and
WHEREAS, the Tamarac Bikeway Project Phases 5 and 6 was selected for a grant
award and is included on the Florida Department of Transportation (FDOT)
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Temp. Reso. No. 13056
January 24, 2018
Page 2
appropriation request list for the 2018 work program year for transportation related
projects; and
WHEREAS, FDOT requires, and the City agrees, to enter into a Local Agency
Program (LAP) Agreement pending legal review which is attached hereto as Exhibit A
and is incorporated herein by this reference; and
WHEREAS, as part of the Legislative Appropriations process, the City will provide
a match in the amount of $327,480 in local funds as shown under the Schedule of
Funding section within the above referenced LAP Agreement; and
WHEREAS, the Directors of Public Services and Financial Services recommend
acceptance of the award and execution of the LAP Agreement pending legal review
between FDOT and the City of Tamarac; and
WHEREAS, the City Commission of the City of Tamarac deems it to be in the best
interest of the citizens and residents of the City of Tamarac to accept FHWA grant
funding through FDOT for the Bikeway Project Phases 5 and 6 and to execute the
corresponding LAP Agreement and necessary documents following legal review.
NOW, THEREFORE, BE IT RESOLVED BY THE CITY COMMISSION OF THE
CITY OF TAMARAC, FLORIDA:
Section 1: The foregoing "WHEREAS" clauses are HEREBY ratified and
confirmed as being true and correct and are HEREBY made a specific part of this
Resolution. All exhibits attached hereto and referenced herein are expressly incorporated
and made a specific part of this Resolution.
Temp. Reso. No. 13056
January 24, 2018
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Section 2: The appropriate City Officials are HEREBY authorized to accept the
$400,000 Federal Highway Administration (FHWA) grant award through the Florida
Department of Transportation (FDOT) for the Bikeway Project Phases 5 and 6.
Section 3: The appropriate City Officials are HEREBY authorized to execute a
Local Agency Program (LAP) Agreement and necessary documents between FDOT and
the City of Tamarac following legal review.
Section 4: The appropriate City Officials are HEREBY authorized to provide a match
in the amount of $327,480 in local funds for the FHWA grant award through FDOT for the
Bikeway Project Phases 5 and 6.
Section 5: All Resolutions in conflict herewith are HEREBY repealed to the extent
of such conflict.
Section 6: If any clause, section, other part or application of this Resolution is held
by any court of competent jurisdiction to be unconstitutional or invalid, in part or in
application, it shall not affect the validity of the remaining portion or applications of this
Resolution.
E
The Remainder of Page Intentionally Left Blank
Temp. Reso. No. 13056
January 24, 2018
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Section 7: This Resolution shall become effective immediately upon its adoption.
PASSED, ADOPTED AND APPROVED this =`?� day of 2018.
HARRY DR SLER
MWAYLOW
ATTEST:
PATRICIA TEUFEL, C C
CITY CLERK
RECORD OF COMMISSION VOTE:
MAYOR DRESSLER —�
DIST 1:
COMM. BOLTON V
DIST 2:
V/M GOMEZ
DIST 3:
COMM. FISHMAN
DIST 4:
COMM. PLACKO
I HEREBY CERTIFY THAT I HAVE
APPROVED THIS RESOLUTION
AS TO FORM
4 t- 1 zl
SAMU L S. GORE
CITY ATTORNEY
E
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FPN: 439420-1-58-01
Federal No (FAIN):
Federal Award Date:
Fund: SA
Org Code: 55043010404
FLAIR Approp:
TR 13056 Exhibit A
STATE OF FLORIDA DEPARTMENT OF TRANSPORTATION 525-010-40
LOCAL AGENCY PROGRAM AGREEMENT PROGRAM MANAGEMENT
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Page 1 of 15
FPN
Federal No (FAIN): _
Federal Award Date:
Fund:
Org Code:
FLAIR Approp:
County No:86 Contract No
110
Federal No (FAIN): _
Federal Award Date:
Fund:
Org Code:
FLAIR Approp:
Local Agency Vendor No: F591039552-010 Local Agency DUNS No: 07-727-0940
Catalog of Federal Domestic Assistance (CFDA): 20.205 Highway Planning and Construction
THIS LOCAL AGENCY PROGRAM AGREEMENT ("Agreement"), is made and entered into this c / day of
Af5L between the State of Florida, Department of Transportation, an agency of the State of Florida
epartment' , and the City of Tamarac ("Agency").
NOW, THEREFORE, in consideration of the mutual covenants, promises and representations in this Agreement,
the parties agree as follows: 1. Authority: The Agency, by Resolution No. ,20/9— A dated the d � day of 201ka
copy of which is attached as Exhibit "F" and made a part of this Agreement, has authorized its66fficers to Vxecute this
Agreement on its behalf. The Department has the authority pursuant to Section 339.12, Florida Statutes, to enter into this
Agreement.
2. Purpose of Agreement: The purpose of this Agreement is to provide for the Department's participation in City of
Tamarac Bikeway Protect - Phase 5 & 6, as further described in Exhibit "A", Project Description and Responsibilities
attached to and incorporated in this Agreement ("Project"), to provide Department financial assistance to the Agency,
state the terms and conditions upon which Department funds will be provided, and to set forth the manner in which the
Project will be undertaken and completed.
3. Term of Agreement: The Agency agrees to complete the Project on or before June 30, 2020. If the Agency
does not complete the Project within this time period, this Agreement will expire on the last day of the scheduled
completion as provided in this paragraph unless an extension of the time period is requested by the Agency and granted
in writing by the Department prior to the expiration of this Agreement. Expiration of this Agreement will be considered
termination of the Project. The cost of any work performed after the expiration date of this Agreement will not be
reimbursed by the Department.
4. Project Cost:
A. The total cost of the Project is $ 727,480.00. This amount is based upon the schedule of funding in
Exhibit "B", Schedule of Funding attached to and incorporated in this Agreement. The Agency agrees to
bear all expenses in excess of the total cost of the Project and any deficits involved. The schedule of
funding may be modified by mutual agreement as provided for in paragraph 5.1.
B. The Department agrees to participate in the Project cost up to the maximum amount of $400,000.00 and
as more fully described in Exhibit "B". This amount includes Federal -aid funds which are limited to the
actual amount of Federal -aid participation.
C. Project costs eligible for Department participation will be allowed only from the date of this Agreement. It
is understood that Department participation in eligible Project costs is subject to:
i. Legislative approval of the Department's appropriation request in the work program year that the
Project is scheduled to be committed;
ii. Availability of funds as stated in subparagraphs 51. and 5.M. of this Agreement;
TR 13056 Exhibit A
STATE OF FLORIDA DEPARTMENT OF TRANSPORTATION 525-01040
LOCAL AGENCY PROGRAM AGREEMENT PROGRAM MANAGEMENT
OGC- 07/17
Page 2 of 15
iii. Approval of all plans, specifications, contracts or other obligating documents and all other terms
of this Agreement; and
iv. Department approval of the Project scope and budget at the time appropriation authority
becomes available.
Requisitions and Payments:
A. The Agency shall provide quantifiable, measurable, and verifiable units of deliverables. Each deliverable
must specify the required minimum level of service to be performed and the criteria for evaluating
successful completion. The Project and the quantifiable, measurable, and verifiable units of deliverables
are described more fully in Exhibit "A".
B. Invoices shall be submitted by the Agency in detail sufficient for a proper pre -audit and post -audit based
on the quantifiable, measurable and verifiable units of deliverables as established in Exhibit "A".
Deliverables must be received and accepted in writing by the Department's Project Manager prior to
payments.
C. The Agency shall charge to the Project account all eligible costs of the Project except costs agreed to be
borne by the Agency or its contractors and subcontractors. Costs in excess of the programmed funding
or attributable to actions which have not received the required approval of the Department shall not be
considered eligible costs. All costs charged to the Project, including any approved services contributed by
the Agency or others, shall be supported by properly executed payrolls, time records, invoices, contracts
or vouchers evidencing in proper detail the nature and propriety of the charges.
D. Supporting documentation must establish that the deliverables were received and accepted in writing by
the Agency and must also establish that the required minimum level of service to be performed based on
the criteria for evaluating successful completion as specified in Exhibit "A" was met.
E. Bills for travel expenses specifically authorized in this Agreement shall be submitted on the Department's
Contractor Travel Form No. 300-000-06 and will be paid in accordance with Section 112.061, Florida
Statutes and the most current version of the Disbursement Handbook for Employees and Managers.
F. Payment shall be made only after receipt and approval of goods and services unless advance payments
are authorized by the Chief Financial Officer of the State of Florida under Chapters 215 and 216, Florida
Statutes. If the Department determines that the performance of the Agency is unsatisfactory, the
Department shall notify the Agency of the deficiency to be corrected, which correction shall be made
within a time -frame to be specified by the Department. The Agency shall, within five days after notice from
the Department, provide the Department with a corrective action plan describing how the Agency will
address all issues of contract non-performance, unacceptable performance, failure to meet the minimum
performance levels, deliverable deficiencies, or contract non-compliance. If the corrective action plan is
unacceptable to the Department, the Agency shall be assessed a non-performance retainage equivalent
to 10% of the total invoice amount. The retainage shall be applied to the invoice for the then -current
billing period. The retainage shall be withheld until the Agency resolves the deficiency. If the deficiency
is subsequently resolved, the Agency may bill the Department for the retained amount during the next
billing period. If the Agency is unable to resolve the deficiency, the funds retained may be forfeited at the
end of the Agreement's term.
G. Agencies providing goods and services to the Department should be aware of the following time frames.
Inspection and approval of goods or services shall take no longer than 20 days from the Department's
receipt of the invoice. The Department has 20 days to deliver a request for payment (voucher) to the
Department of Financial Services. The 20 days are measured from the latter of the date the invoice is
received or the goods or services are received, inspected, and approved.
If a payment is not available within 40 days, a separate interest penalty at a rate as established pursuant
to Section 55.03(1), F.S., will be due and payable, in addition to the invoice amount, to the Agency.
Interest penalties of less than one (1) dollar will not be enforced unless the Agency requests payment.
Invoices that have to be returned to an Agency because of Agency preparation errors will result in a delay
TR 13056 Exhibit A
STATE OF FLORIDA DEPARTMENT OF TRANSPORTATION 525-010-40
LOCAL AGENCY PROGRAM AGREEMENT PROGRAM MANAGEMENT
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Page 3 of 15
in the payment. The invoice payment requirements do not start until a properly completed invoice is
provided to the Department.
A Vendor Ombudsman has been established within the Department of Financial Services. The duties of
this individual include acting as an advocate for Agencies who may be experiencing problems in obtaining
timely payment(s) from a state agency. The Vendor Ombudsman may be contacted at (850) 413-5516.
H. Records of costs incurred under the terms of this Agreement shall be maintained and made available
upon request to the Department at all times during the period of this Agreement and for five years after
final payment is made. Copies of these documents and records shall be furnished to the Department
upon request. Records of costs incurred include the Agency's general accounting records and the project
records, together with supporting documents and records, of the contractor and all subcontractors
performing work on the project, and all other records of the Contractor and subcontractors considered
necessary by the Department for a proper audit of costs.
Prior to the execution of this Agreement, a Project schedule of funding shall be prepared by the Agency
and approved by the Department. The Agency shall maintain said schedule of funding, carry out the
Project, and shall incur obligations against and make disbursements of Project funds only in conformity
with the latest approved schedule of funding for the Project. The schedule of funding may be revised by
execution of a Local Agency Program ("LAP") Supplemental Agreement between the Department and the
Agency. The Agency acknowledges and agrees that funding for this project may be reduced upon
determination of the agency's contract award amount. If revised, a copy of the Supplemental Agreement
shall be forwarded to the Department's Comptroller. No increase or decrease shall be effective unless it
complies with fund participation requirements of this Agreement and is approved by the Department's
Comptroller.
J. If, after Project completion, any claim is made by the Department resulting from an audit or for work or
services performed pursuant to this Agreement, the Department may offset such amount from payments
due for work or services done under any agreement which it has with the Agency owing such amount if,
upon demand, payment of the amount is not made within 60 days to the Department. Offsetting any
amount pursuant to this paragraph shall not be considered a breach of contract by the Department.
K. The Agency must submit the final invoice on the Project to the Department within 120 days after the
completion of the Project. Invoices submitted after the 120-day time period may not be paid.
L. The Department's performance and obligation to pay under this Agreement is contingent upon an annual
appropriation by the Legislature. If the Department's funding for this Project is in multiple fiscal years,
funds approval from the Department's Comptroller must be received each fiscal year prior to costs being
incurred. See Exhibit "B" for funding levels by fiscal year. Project costs utilizing these fiscal year funds
are not eligible for reimbursement if incurred prior to funds approval being received. The Department will
notify the Agency, in writing, when funds are available.
M. In the event this Agreement is in excess of $25,000 and has a term for a period of more than one year,
the provisions of Section 339.135(6)(a), Florida Statutes, are hereby incorporated:
"The Department, during any fiscal year, shall not expend money, incur any liability, or
enter into any contract which, by its terms, involves the expenditure of money in excess
of the amounts budgeted as available for expenditure during such fiscal year. Any
contract, verbal or written, made in violation of this subsection is null and void, and no
money may be paid on such contract. The Department shall require a statement from the
comptroller of the Department that funds are available prior to entering into any such
contract or other binding commitment of funds. Nothing herein contained shall prevent
the making of contracts for periods exceeding 1 year, but any contract so made shall be
executory only for the value of the services to be rendered or agreed to be paid for in
succeeding fiscal years, and this paragraph shall be incorporated verbatim in all contracts
of the Department which are for an amount in excess of $25,000 and which have a term
for a period of more than 1 year."
TR 13056 Exhibit A
STATE OF FLORIDA DEPARTMENT OF TRANSPORTATION 525-010-40
LOCAL AGENCY PROGRAM AGREEMENT PROGRAM MANAGEMENT
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Page 4 of 15
6. Department Payment Obligations: Subject to other provisions of this Agreement, the Department will honor
requests for reimbursement to the Agency pursuant to this Agreement. However, notwithstanding any other provision of
this Agreement, the Department may elect by notice in writing not to make a payment if:
A. The Agency shall have made misrepresentation of a material nature in its application, or any supplement
or amendment to its application, or with respect to any document or data furnished with its application or
pursuant to this Agreement;
B. There is any pending litigation with respect to the performance by the Agency of any of its duties or
obligations which may jeopardize or adversely affect the Project, the Agreement or payments to the
Project;
C. The Agency shall have taken any action pertaining to the Project which, under this Agreement, requires
the approval of the Department or has made a related expenditure or incurred related obligations without
having been advised by the Department that same are approved;
D. There has been any violation of the conflict of interest provisions contained in paragraph 16.J.; or
E. The Agency has been determined by the Department to be in default under any of the provisions of the
Agreement.
The Department may suspend or terminate payment for that portion of the Project which the Federal Highway
Administration ("FHWA"), or the Department acting in lieu of FHWA, may designate as ineligible for Federal -aid.
In determining the amount of the payment, the Department will exclude all Project costs incurred by the Agency prior to
the Department's issuance of a Notice to Proceed ("NTP"), costs incurred after the expiration of the Agreement, costs
which are not provided for in the latest approved schedule of funding in Exhibit "B" for the Project, costs agreed to be
borne by the Agency or its contractors and subcontractors for not meeting the Project commencement and final invoice
time lines, and costs attributable to goods or services received under a contract or other arrangements which have not
been approved in writing by the Department.
7. General Requirements: The Agency shall complete the Project with all practical dispatch, in a sound,
economical, and efficient manner, and in accordance with the provisions in this Agreement, and all applicable laws. The
Project will be performed in accordance with all applicable Department procedures, guidelines, manuals, standards, and
directives as described in the Department's Local Agency Program Manual, which by this reference is made a part of this
Agreement. Time is of the essence as to each and every obligation under this Agreement.
A. A full time employee of the Agency, qualified to ensure that the work being pursued is complete, accurate,
and consistent with the terms, conditions, and specifications of this Agreement shall be in responsible
charge of the Project, which employee should be able to perform the following duties and functions:
i. Administers inherently governmental project activities, including those dealing with cost, time,
adherence to contract requirements, construction quality and scope of Federal -aid projects;
ii. Maintains familiarity of day to day Project operations, including Project safety issues;
iii. Makes or participates in decisions about changed conditions or scope changes that require
change orders or supplemental agreements;
iv. Visits and reviews the Project on a frequency that is commensurate with the magnitude and
complexity of the Project;
v. Reviews financial processes, transactions and documentation to ensure that safeguards are in
place to minimize fraud, waste, and abuse;
vi. Directs Project staff, agency or consultant, to carry out Project administration and contract
oversight, including proper documentation;
TR 13056 Exhibit A
STATE OF FLORIDA DEPARTMENT OF TRANSPORTATION 525-010-40
LOCAL AGENCY PROGRAM AGREEMENT PROGRAM MANAGEMENT
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Page 5 of 15
vii. Is aware of the qualifications, assignments and on-the-job performance of the Agency and
consultant staff at all stages of the Project.
B. Once the Department issues the NTP for the Project, the Agency shall be obligated to submit an invoice
or other request for reimbursement to the Department no less than once every 90 days (quarterly),
beginning from the day the NTP is issued. If the Agency fails to submit quarterly invoices to the
Department, and in the event the failure to timely submit invoices to the Department results in the "FHWA"
removing any unbilled funding or the loss of State appropriation authority (which may include the loss of
state and federal funds, if there are state funds programmed to the Project), then the Agency will be
solely responsible to provide all funds necessary to complete the Project and the Department will not be
obligated to provide any additional funding for the Project. The Agency waives the right to contest such
removal of funds by the Department, if the removal is related to FHWA's withdrawal of funds or if the
removal is related to the loss of State appropriation authority. In addition to the loss of funding for the
Project, the Department will also consider the de -certification of the Agency for future LAP Projects. No
cost may be incurred under this Agreement until after the Agency has received a written NTP from the
Department. The Agency agrees to advertise or put the Project out to bid thirty (30) days from the date
the Department issues the NTP to advertise the Project. If the Agency is not able to meet the scheduled
advertisement, the District LAP Administrator should be notified as soon as possible.
C. If all funds are removed from the Project, including amounts previously billed to the Department and
reimbursed to the Agency, and the Project is off the state highway system, then the Department will have
to request repayment for the previously billed amounts from the Agency. No state funds can be used on
off -system projects, unless authorized pursuant to Exhibit "G", State Funds Addendum, which will be
attached to and incorporated in this Agreement in the event state funds are used on the Project.
D. In the event that any election, referendum, approval, permit, notice or other proceeding or authorization is
required under applicable law to enable the Agency to enter into this Agreement or to undertake the
Project or to observe, assume or carry out any of the provisions of the Agreement, the Agency will initiate
and consummate, as provided by law, all actions necessary with respect to any such matters.
E. The Agency shall initiate and prosecute to completion all proceedings necessary, including Federal -aid
requirements, to enable the Agency to provide the necessary funds for completion of the Project.
F. The Agency shall submit to the Department such data, reports, records, contracts, and other documents
relating to the Project as the Department and FHWA may require. The Agency shall use the
Department's Local Agency Program Information Tool and applicable information systems as required.
G. Federal -aid funds shall not participate in any cost which is not incurred in conformity with applicable
federal and State laws, the regulations in 23 Code of Federal Regulations (C.F.R.) and 49 C.F.R., and
policies and procedures prescribed by the Division Administrator of FHWA. Federal funds shall not be
paid on account of any cost incurred prior to authorization by FHWA to the Department to proceed with
the Project or part thereof involving such cost (23 C.F.R. 1.9 (a)). If FHWA or the Department determines
that any amount claimed is not eligible, federal participation may be approved in the amount determined
to be adequately supported and the Department shall notify the Agency in writing citing the reasons why
items and amounts are not eligible for federal participation. Where correctable non-compliance with
provisions of law or FHWA requirements exists. Federal funds may be withheld until compliance is
obtained. Where non-compliance is not correctable, FHWA or the Department may deny participation in
parcel or Project costs in part or in total. For any amounts determined to be ineligible for federal
reimbursement for which the Department has advanced payment, the Agency shall promptly reimburse
the Department for all such amounts within 90 days of written notice.
H. For any project requiring additional right-of-way, the Agency must submit to the Department an annual
report of its real property acquisition and relocation assistance activities on the project. Activities shall be
reported on a federal fiscal year basis, from October 1 through September 30. The report must be
prepared using the format prescribed in 49 C.F.R. Part 24, Appendix B, and be submitted to the
Department no later than October 15 of each year.
TR 13056 Exhibit A
STATE OF FLORIDA DEPARTMENT OF TRANSPORTATION 525-010-40
LOCAL AGENCY PROGRAM AGREEMENT PROGRAM MANAGEMENT
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Page 6 of 15
8. Audit Reports: The administration of resources awarded through the Department to the Agency by this
Agreement may be subject to audits and/or monitoring by the Department. The following requirements do not limit the
authority of the Department to conduct or arrange for the conduct of additional audits or evaluations of federal awards or
limit the authority of any State agency inspector general, the State of Florida Auditor General or any other State official.
The Agency shall comply with all audit and audit reporting requirements as specified below.
A. In addition to reviews of audits conducted in accordance with OMB Circular A-133, for fiscal years
beginning before December 26, 2014, and in accordance with 2 CFR Part 200, Subpart F - Audit
Requirements, for fiscal years beginning on or after December 26, 2014, monitoring procedures may
include but not be limited to on -site visits by Department staff and/or other procedures including,
reviewing any required performance and financial reports, following up, ensuring corrective action, and
issuing management decisions on weaknesses found through audits when those findings pertain to
federal awards provided through the Department by this Agreement. By entering into this Agreement, the
Agency agrees to comply and cooperate fully with any monitoring procedures/processes deemed
appropriate by the Department. The Agency further agrees to comply and cooperate with any inspections,
reviews, investigations, or audits deemed necessary by the Department, State of Florida Chief Financial
Officer (CFO) or State of Florida Auditor General.
B. The Agency, a non-federal entity as defined by OMB Circular A-133, for fiscal years beginning before
December 26, 2014, and as defined by 2 CFR Part 200, Subpart F - Audit Requirements, for fiscal years
beginning on or after December 26, 2014, as a subrecipient of a federal award awarded by the
Department through this Agreement is subject to the following requirements:
In the event the Agency expends a total amount of federal awards equal to or in excess of the
threshold established by OMB Circular A-133, for fiscal years beginning before December 26,
2014, and established by 2 CFR Part 200, Subpart F - Audit Requirements, for fiscal years
beginning on or after December 26, 2014, the Agency must have a federal single or program -
specific audit for such fiscal year conducted in accordance with the provisions of OMB Circular A-
133, for fiscal years beginning before December 26, 2014, and in accordance with the provisions
of 2 CFR Part 200, Subpart F - Audit Requirements, for fiscal years beginning on or after
December 26, 2014. Exhibit "1", Federal Financial Assistance (Single Audit Act) to this
Agreement provides the required federal award identification information needed by the Agency
to further comply with the requirements of OMB Circular A-133, for fiscal years beginning before
December 26, 2014, and the requirements of 2 CFR Part 200, Subpart F - Audit Requirements,
for fiscal years beginning on or after December 26, 2014. In determining federal awards
expended in a fiscal year, the Agency must consider all sources of federal awards based on when
the activity related to the federal award occurs, including the federal award provided through the
Department by this Agreement. The determination of amounts of federal awards expended
should be in accordance with the guidelines established by OMB Circular A-133, for fiscal years
beginning before December 26, 2014, and established by 2 CFR Part 200, Subpart F - Audit
Requirements, for fiscal years beginning on or after December 26, 2014. An audit conducted by
the State of Florida Auditor General in accordance with the provisions of OMB Circular A-133, for
fiscal years beginning before December 26, 2014, and in accordance with 2 CFR Part 200,
Subpart F - Audit Requirements, for fiscal years beginning on or after December 26, 2014, will
meet the requirements of this part.
ii. In connection with the audit requirements, the Agency shall fulfill the requirements relative to the
auditee responsibilities as provided in OMB Circular A-133, for fiscal years beginning before
December 26, 2014, and as provided in 2 CFR Part 200, Subpart F - Audit Requirements, for
fiscal years beginning on or after December 26, 2014.
iii. In the event the Agency expends less than the threshold established by OMB Circular A-133, for
fiscal years beginning before December 26, 2014, and established by 2 CFR Part 200, Subpart F
- Audit Requirements, for fiscal years beginning on or after December 26, 2014, in federal
awards, the Agency is exempt from federal audit requirements for that fiscal year. However, the
Agency must provide a single audit exemption statement to the Department at
FDOTSingleAudit _dot.state.fl.us no later than nine months after the end of the Agency's audit
period for each applicable audit year. In the event the Agency expends less than the threshold
TR 13056 Exhibit A
STATE OF FLORIDA DEPARTMENT OF TRANSPORTATION 525-01040
LOCAL AGENCY PROGRAM AGREEMENT PROGRAM MANAGEMENT
OGC- 07/17
Page 7 of 15
established by OMB Circular A-133, for fiscal years beginning before December 26, 2014, and
established by 2 CFR Part 200, Subpart F - Audit Requirements, for fiscal years beginning on or
after December 26, 2014, in federal awards in a fiscal year and elects to have an audit conducted
in accordance with the provisions of OMB Circular A-133, for fiscal years beginning before
December 26, 2014, and in accordance with 2 CFR Part 200, Subpart F - Audit Requirements,
for fiscal years beginning on or after December 26, 2014, the cost of the audit must be paid from
non-federal resources (i.e., the cost of such an audit must be paid from the Agency's resources
obtained from other than federal entities).
iv. The Agency must electronically submit to the Federal Audit Clearinghouse (FAC) at
https:Hharvester.census.gov/facweb/ the audit reporting package as required by OMB Circular A-
133, for fiscal years beginning before December 26, 2014, and as required by 2 CFR Part 200,
Subpart F - Audit Requirements, for fiscal years beginning on or after December 26, 2014, within
the earlier of 30 calendar days after receipt of the auditor's report(s) or nine months after the end
of the audit period. The FAC is the repository of record for audits required by OMB Circular A-
133, for fiscal years beginning before December 26, 2014, and for audits required by 2 CFR Part
200, Subpart F - Audit Requirements, for fiscal years beginning on or after December 26, 2014,
and this Agreement. However, the Department requires a copy of the audit reporting package
also be submitted to FDOTSingleAuditO)dot.state.fl.us within the earlier of 30 calendar days after
receipt of the auditor's report(s) or nine months after the end of the audit period as required by
OMB Circular A-133, for fiscal years beginning before December 26, 2014, and as required by 2
CFR Part 200, Subpart F - Audit Requirements, for fiscal years beginning on or after December
26, 2014.
v. Within six months of acceptance of the audit report by the FAC, the Department will review the
Agency's audit reporting package, including corrective action plans and management letters, to
the extent necessary to determine whether timely and appropriate action on all deficiencies has
been taken pertaining to the federal award provided through the Department by this Agreement. If
the Agency fails to have an audit conducted in accordance with OMB Circular A-133, for fiscal
years beginning before December 26, 2014, and in accordance with 2 CFR Part 200, Subpart F -
Audit Requirements, for fiscal years beginning on or after December 26, 2014, the Department
may impose additional conditions to remedy noncompliance. If the Department determines that
noncompliance cannot be remedied by imposing additional conditions, the Department may take
appropriate actions to enforce compliance, which actions may include but not be limited to the
following:
1. Temporarily withhold cash payments pending correction of the deficiency by the Agency
or more severe enforcement action by the Department;
2. Disallow (deny both use of funds and any applicable matching credit for) all or part of the
cost of the activity or action not in compliance;
3. Wholly or partly suspend or terminate the federal award;
4. Initiate suspension or debarment proceedings as authorized under 2 C.F.R. Part 180 and
federal awarding agency regulations (or in the case of the Department, recommend such
a proceeding be initiated by the federal awarding agency);
5. Withhold further federal awards for the Project or program;
6. Take other remedies that may be legally available.
vi. As a condition of receiving this federal award, the Agency shall permit the Department, or its
designee, the CFO or State of Florida Auditor General access to Agency's records including
financial statements, the independent auditor's working papers and project records as necessary.
Records related to unresolved audit findings, appeals or litigation shall be retained until the action
is complete or the dispute is resolved.
TR 13056 Exhibit A
STATE OF FLORIDA DEPARTMENT OF TRANSPORTATION 525-010-40
LOCAL AGENCY PROGRAM AGREEMENT PROGRAM MANAGEMENT
OGC— 07/17
Page 8 of 75
vii. The Department's contact information for requirements under this part is as follows:
Office of Comptroller, MS 24
605 Suwannee Street
Tallahassee, Florida 32399-0450
FDOTSinaleAuditCaadot.state.fl.us
C. The Agency shall retain sufficient records demonstrating its compliance with the terms of this Agreement
for a period of five years from the date the audit report is issued and shall allow the Department, or its
designee, the CFO or State of Florida Auditor General access to such records upon request. The Agency
shall ensure that the audit working papers are made available to the Department, or its designee, the
CFO, or State of Florida Auditor General upon request for a period of five years from the date the audit
report is issued unless extended in writing by the Department.
9. Termination or Suspension of Project: The Department may, by written notice to the Agency, suspend any or
all of the Agency's obligations under this Agreement until such time as the event or condition resulting in such suspension
has ceased or been corrected or the Department may terminate this Agreement in whole or in part at any time the interest
of the Department requires such termination.
A. If the Department determines that the performance of the Agency is not satisfactory, the Department shall
notify the Agency of the deficiency in writing with a requirement that the deficiency be corrected within
thirty (30) days of such notice. Such notice shall provide reasonable specificity to the Agency of the
deficiency that requires correction. If the deficiency is not corrected within such time period, the
Department may either (1) immediately terminate the Agreement as set forth in paragraph 9.13. below, or
(2) take whatever action is deemed appropriate by the Department to correct the deficiency. In the event
the Department chooses to take action and not terminate the Agreement, the Agency shall, upon
demand, promptly reimburse the Department for any and all costs and expenses incurred by the
Department in correcting the deficiency.
B. If the Department terminates the Agreement, the Department shall notify the Agency of such termination
in writing, with instructions to the effective date of termination or specify the stage of work at which the
Agreement is to be terminated.
C. If the Agreement is terminated before the Project is completed, the Agency shall be paid only for the
percentage of the Project satisfactorily performed for which costs can be substantiated. Such payment,
however, shall not exceed the equivalent percentage of the contract price. All work in progress on
Department right-of-way will become the property of the Department and will be turned over promptly by
the Agency.
D. The Department reserves the right to unilaterally cancel this Agreement for refusal by the Agency or any
contractor, sub -contractor or materials vendor to allow public access to all documents, papers, letters or
other material subject to the provisions of Chapter 119, Florida Statutes, and made or received in
conjunction with this Agreement unless the records are exempt.
E. Upon receipt of any final termination or suspension notice under this paragraph 9., the Agency shall
proceed promptly to carry out the actions required in such notice, which may include any or all of the
following: (a) necessary action to terminate or suspend, as the case may be, Project activities and
contracts and such other action as may be required or desirable to keep to a minimum the costs upon the
basis of which the financing is to be computed; or (b) furnish a statement of the Project activities and
contracts and other undertakings the cost of which are otherwise includable as Project costs. The
termination or suspension shall be carried out in conformity with the latest schedule, plan, and cost as
approved by the Department or upon the basis of terms and conditions imposed by the Department upon
the failure of the Agency to furnish the schedule, plan, and estimate within a reasonable time. The
closing out of federal financial participation in the Project shall not constitute a waiver of any claim which
the Department may otherwise have arising out of this Agreement.
TR 13056 Exhibit A
STATE OF FLORIDA DEPARTMENT OF TRANSPORTATION 525-010-40
LOCAL AGENCY PROGRAM AGREEMENT PROGRAM MANAGEMENT
OGC— 07/17
Page 9 of 15
10. Contracts of the Agency:
A. Except as otherwise authorized in writing by the Department, the Agency shall not execute any contract
or obligate itself in any manner requiring the disbursement of Department funds, including consultant or
construction contracts or amendments thereto, with any third party with respect to the Project without the
written approval of the Department. Failure to obtain such approval shall be sufficient cause for
nonpayment by the Department. The Department specifically reserves the right to review the
qualifications of any consultant or contractor and to approve or disapprove the employment of such
consultant or contractor.
B. It is understood and agreed by the parties to this Agreement that participation by the Department in a
project with the Agency, where said project involves a consultant contract for engineering, architecture or
surveying services, is contingent on the Agency's complying in full with provisions of Section 287.055,
Florida Statutes, Consultants' Competitive Negotiation Act, the federal Brooks Act, 23 C.F.R. 172, and 23
U.S.C. 112. At the discretion of the Department, the Agency will involve the Department in the consultant
selection process for all projects funded under this Agreement. In all cases, the Agency shall certify to
the Department that selection has been accomplished in compliance with the Consultants' Competitive
Negotiation Act and the federal Brooks Act.
C. The Agency shall comply with, and require its consultants and contractors to comply with applicable
federal law pertaining to the use of Federal -aid funds. The Agency shall comply with the provisions in the
FHWA-1273 form as set forth in Exhibit "C", FHWA 1273 attached to and incorporated in this Agreement.
The Agency shall include FHWA-1273 in all contracts with consultants and contractors performing work
on the Project.
11. Disadvantaged Business Enterprise (DBE) Policy and Obligation: It is the policy of the Department that
DBE's, as defined in 49 C.F.R. Part 26, as amended, shall have the opportunity to participate in the performance of
contracts financed in whole or in part with Department funds under this Agreement. The DBE requirements of applicable
federal and state laws and regulations apply to this Agreement.
The Agency and its contractors agree to ensure that DBE's have the opportunity to participate in the performance of this
Agreement. In this regard, all recipients and contractors shall take all necessary and reasonable steps in accordance with
applicable federal and state laws and regulations to ensure that the DBE's have the opportunity to compete for and
perform contracts. The Agency and its contractors and subcontractors shall not discriminate on the basis of race, color,
national origin or sex in the award and performance of contracts, entered pursuant to this Agreement.
12. Compliance with Conditions and Laws: The Agency shall comply and require its contractors and
subcontractors to comply with all terms and conditions of this Agreement and all federal, state, and local laws and
regulations applicable to this Project. Execution of this Agreement constitutes a certification that the Agency is in
compliance with, and will require its contractors and subcontractors to comply with, all requirements imposed by
applicable federal, state, and local laws and regulations, including the "Certification Regarding Debarment, Suspension,
Ineligibility and Voluntary Exclusion — Lower Tier Covered Transactions," in 49 C.F.R. Part 29, and 2 C.F.R. Part 200
when applicable.
13. Performance Evaluations: Agencies are evaluated on a project -by -project basis. The evaluations provide
information about oversight needs and provide input for the recertification process. Evaluations are submitted to the
Agency's person in responsible charge or designee as part of the Project closeout process. The Department provides the
evaluation to the Agency no more than 30 days after final acceptance.
A. Each evaluation will result in one of three ratings. A rating of Unsatisfactory Performance means the
Agency failed to develop the Project in accordance with applicable federal and state regulations,
standards and procedures, required excessive District involvement/oversight, or the Project was brought
in-house by the Department. A rating of Satisfactory Performance means the Agency developed the
Project in accordance with applicable federal and state regulations, standards and procedures, with
minimal District involvement/oversight. A rating of Above Satisfactory Performance means the Agency
developed the Project in accordance with applicable federal and state regulations, standards and
procedures, without District involvement/oversight.
TR 13056 Exhibit A
STATE OF FLORIDA DEPARTMENT OF TRANSPORTATION 525-010-40
LOCAL AGENCY PROGRAM AGREEMENT PROGRAM MANAGEMENT
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Page 10 of 15
B. The District will determine which functions can be further delegated to Agencies that continuously earn
Satisfactory and Above Satisfactory evaluations.
14. Restrictions, Prohibitions, Controls, and Labor Provisions: During the performance of this Agreement, the
Agency agrees as follows, and agrees to require its contractors and subcontractors to include in each subcontract the
following provisions:
A. The Agency will comply with all the requirements imposed by Title VI of the Civil Rights Act of 1964, the
regulations of the U.S. Department of Transportation issued thereunder, and the assurance by the
Agency pursuant thereto. The Agency shall include the attached Exhibit "E", Title VI Assurances in all
contracts with consultants and contractors performing work on the Project that ensure compliance with
Title VI of the Civil Rights Act of 1964, 49 C.F.R. Part 21, and related statutes and regulations.
B. The Agency will comply with all the requirements as imposed by the ADA, the regulations of the Federal
government issued thereunder, and assurance by the Agency pursuant thereto.
C. A person or affiliate who has been placed on the convicted vendor list following a conviction for a public
entity crime may not submit a bid on a contract to provide any goods or services to a public entity; may
not submit a bid on a contract with a public entity for the construction or repair of a public building or
public work; may not submit bids on leases of real property to a public entity; may not be awarded or
perform work as a contractor, supplier, subcontractor or consultant under a contract with any public entity;
and may not transact business with any public entity in excess of the threshold amount provided in
Section 287.017, Florida Statutes, for CATEGORY TWO for a period of 36 months from the date of being
placed on the convicted vendor list.
D. In accordance with Section 287.134, Florida Statutes, an entity or affiliate who has been placed on the
Discriminatory Vendor List, kept by the Florida Department of Management Services, may not submit a
bid on a contract to provide goods or services to a public entity; may not submit a bid on a contract with a
public entity for the construction or repair of a public building or public work; may not submit bids on
leases of real property to a public entity; may not be awarded or perform work as a contractor, supplier,
subcontractor or consultant under a contract with any public entity; and may not transact business with
any public entity.
E. An entity or affiliate who has had its Certificate of Qualification suspended, revoked, denied or have
further been determined by the Department to be a non -responsible contractor may not submit a bid or
perform work for the construction or repair of a public building or public work on a contract with the
Agency.
F. Neither the Agency nor any of its contractors or their subcontractors shall enter into any contract,
subcontract or arrangement in connection with the Project or any property included or planned to be
included in the Project in which any member, officer or employee of the Agency or the locality during
tenure or for 2 years thereafter has any interest, direct or indirect. If any such present or former member,
officer or employee involuntarily acquires or had acquired prior to the beginning of tenure any such
interest, and if such interest is immediately disclosed to the Agency, the Agency, with prior approval of the
Department, may waive the prohibition contained in this paragraph provided that any such present
member, officer or employee shall not participate in any action by the Agency or the locality relating to
such contract, subcontract or arrangement. The Agency shall insert in all contracts entered into in
connection with the Project or any property included or planned to be included in any Project, and shall
require its contractors to insert in each of their subcontracts, the following provision:
"No member, officer or employee of the Agency or of the locality during his tenure or for 2 years
thereafter shall have any interest, direct or indirect, in this contract or the proceeds thereof."
The provisions of this paragraph shall not be applicable to any agreement between the Agency and its
fiscal depositories or to any agreement for utility services the rates for which are fixed or controlled by a
governmental agency.
15.
TR 13056 Exhibit A
STATE OF FLORIDA DEPARTMENT OF TRANSPORTATION 525-010-40
LOCAL AGENCY PROGRAM AGREEMENT PROGRAM MANAGEMENT
OGC— 07/17
Page 11 of 15
G. No member or delegate to the Congress of the United States shall be admitted to any share or part of this
Agreement or any benefit arising therefrom.
Indemnification and Insurance:
A. It is specifically agreed between the parties executing this Agreement that it is not intended by any of the
provisions of any part of this Agreement to create in the public or any member thereof, a third party
beneficiary under this Agreement, or to authorize anyone not a party to this Agreement to maintain a suit
for personal injuries or property damage pursuant to the terms or provisions of this Agreement. The
Agency guarantees the payment of all just claims for materials, supplies, tools, or labor and other just
claims against the Agency or any subcontractor, in connection with this Agreement. Additionally, the
Agency agrees to include the following indemnification in all contracts with contractors/subcontractors, or
consultants/subconsultants who perform work in connection with this Agreement:
"To the fullest extent permitted by law, the Agency's contractor shall indemnify and hold harmless
the Agency, the State of Florida, Department of Transportation, and its officers and employees,
from liabilities, damages, losses and costs, including, but not limited to, reasonable attorney's
fees, to the extent caused by the negligence, recklessness or intentional wrongful misconduct of
the contractor and persons employed or utilized by the contractor in the performance of this
Contract."
This indemnification shall survive the termination of this Contract. Nothing contained in this
paragraph is intended to nor shall it constitute a waiver of the State of Florida and the Agency's
sovereign immunity.
To the fullest extent permitted by law, the Agency's consultant shall indemnify and hold harmless
the Agency, the State of Florida, Department of Transportation, and its officers and employees,
from liabilities, damages, losses and costs, including, but not limited to, reasonable attorney's
fees, to the extent caused by the negligence, recklessness or intentional wrongful misconduct of
the consultant and persons employed or utilized by the consultant in the performance of this
Contract.
This indemnification shall survive the termination of this Contract. Nothing contained in this
paragraph is intended to nor shall it constitute a waiver of the State of Florida and the Agency's
sovereign immunity."
B. The Agency shall, or cause its contractor or consultant to carry and keep in force, during the term of this
Agreement, a general liability insurance policy or policies with a company or companies authorized to do
business in Florida, affording public liability insurance with combined bodily injury limits of at least
$200,000 per person and $300,000 each occurrence, and property damage insurance of at least
$200,000 each occurrence, for the services to be rendered in accordance with this Agreement. The
Agency shall also, or cause its contractor or consultant to carry and keep in force Workers' Compensation
Insurance as required by the State of Florida under the Workers' Compensation Law. With respect to any
general liability insurance policy required pursuant to this Agreement, all such policies shall be issued by
companies licensed to do business in the State of Florida. The Agency shall provide to the Department
certificates showing the required coverage to be in effect with endorsements showing the Department to
be an additional insured prior to commencing any work under this Agreement. Policies that include Self
Insured Retention will not be accepted. The certificates and policies shall provide that in the event of any
material change in or cancellation of the policies reflecting the required coverage, thirty days advance
notice shall be given to the Department or as provided in accordance with Florida law.
16. Miscellaneous Provisions:
A. The Agency will be solely responsible for compliance with all applicable environmental regulations, for
any liability arising from non-compliance with these regulations, and will reimburse the Department for any
loss incurred in connection therewith. The Agency will be responsible for securing any applicable
permits. The Agency shall include in all contracts and subcontracts for amounts in excess of $150,000, a
TR 13056 Exhibit A
STATE OF FLORIDA DEPARTMENT OF TRANSPORTATION 525-010-40
LOCAL AGENCY PROGRAM AGREEMENT PROGRAM MANAGEMENT
OGC— 07/17
Page 12 of 15
provision requiring compliance with all applicable standards, orders or regulations issued pursuant to the
Clean Air Act (42 U.S.C. 7401-7671q) and the Federal Water Pollution Control Act as amended (33
U.S.C. 1251-1387).
B. The Department shall not be obligated or liable hereunder to any individual or entity not a party to this
Agreement.
C. In no event shall the making by the Department of any payment to the Agency constitute or be construed
as a waiver by the Department of any breach of covenant or any default which may then exist on the part
of the Agency and the making of such payment by the Department, while any such breach or default shall
exist, shall in no way impair or prejudice any right or remedy available to the Department with respect to
such breach or default.
D. If any provision of this Agreement is held invalid, the remainder of this Agreement shall not be affected.
In such an instance, the remainder would then continue to conform to the terms and requirements of
applicable law.
E. By execution of the Agreement, the Agency represents that it has not paid and, also agrees not to pay,
any bonus or commission for the purpose of obtaining an approval of its application for the financing
hereunder.
F. Nothing in the Agreement shall require the Agency to observe or enforce compliance with any provision
or perform any act or do any other thing in contravention of any applicable state law. If any of the
provisions of the Agreement violate any applicable state law, the Agency will at once notify the
Department in writing in order that appropriate changes and modifications may be made by the
Department and the Agency to the end that the Agency may proceed as soon as possible with the
Project.
G. In the event that this Agreement involves constructing and equipping of facilities, the Agency shall submit
to the Department for approval all appropriate plans and specifications covering the Project. The
Department will review all plans and specifications and will issue to the Agency a written approval with
any approved portions of the Project and comments or recommendations covering any remainder of the
Project deemed appropriate. After resolution of these comments and recommendations to the
Department's satisfaction, the Department will issue to the Agency a written approval with said remainder
of the Project. Failure to obtain this written approval shall be sufficient cause of nonpayment by the
Department.
H. Upon completion of right-of-way activities on the Project, the Agency must certify compliance with all
applicable federal and state requirements. Certification is required prior to authorization for
advertisement for or solicitation of bids for construction of the Project, including if no right-of-way is
required.
I. The Agency will certify in writing, prior to Project closeout that the Project was completed in accordance
with applicable plans and specifications, is in place on the Agency's facility, adequate title is in the
Agency's name, and the Project is accepted by the Agency as suitable for the intended purpose.
J. The Agency agrees that no federally -appropriated funds have been paid, or will be paid by or on behalf of
the Agency, to any person for influencing or attempting to influence any officer or employee of any federal
agency, a Member of Congress, an officer or employee of Congress or an employee of a Member of
Congress in connection with the awarding of any federal contract, the making of any federal grant, the
making of any federal loan, the entering into of any cooperative agreement, and the extension,
continuation, renewal, amendment or modification of any federal contract, grant, loan or cooperative
agreement. If any funds other than federally -appropriated funds have been paid by the Agency to any
person for influencing or attempting to influence an officer or employee of any federal agency, a Member
of Congress, an officer or employee of Congress or an employee of a Member of Congress in connection
with this Agreement, the undersigned shall complete and submit Standard Form-LLL, "Disclosure Form to
Report Lobbying," in accordance with its instructions. The Agency shall require that the language of this
paragraph be included in the award documents for all subawards at all tiers (including subcontracts,
TR 13056 Exhibit A
STATE OF FLORIDA DEPARTMENT OF TRANSPORTATION 525-010-40
LOCAL AGENCY PROGRAM AGREEMENT PROGRAM MANAGEMENT
OGC— 07/17
Page 13 of 15
subgrants, and contracts under grants, loans, and cooperative agreements) and that all subrecipients
shall certify and disclose accordingly. No funds received pursuant to this contract may be expended for
lobbying the Legislature, the judicial branch or a state agency.
K. The Agency may not permit the Engineer of Record to perform Construction, Engineering and Inspection
services on the Project.
L. The Agency agrees to maintain any project not on the State Highway System constructed under this
Agreement. If the Agency constructs any improvement on Department right-of-way, the Agency ® will
❑ will not maintain the improvements made for their useful life.
M. The Agency shall comply with all applicable federal guidelines, procedures, and regulations. If at any
time a review conducted by Department and or FHWA reveals that the applicable federal guidelines,
procedures, and regulations were not followed by the Agency and FHWA requires reimbursement of the
funds, the Agency will be responsible for repayment to the Department of all funds awarded under the
terms of this Agreement.
N. The Agency:
i. shall utilize the U.S. Department of Homeland Security's E-Verify system to verify the
employment eligibility of all new employees hired by Agency during the term of the contract; and
ii. shall expressly require any contractor and subcontractors performing work or providing services
pursuant to the state contract to likewise utilize the U.S. Department of Homeland Security's E-
Verify system to verify the employment eligibility of all new employees hired by the subcontractor
during the contract term.
O. This Agreement may be executed in one or more counterparts, each of which shall be deemed an
original, but all of which shall constitute the same Agreement. A facsimile or electronic transmission of
this Agreement with a signature on behalf of a party will be legal and binding on such party.
P. The Parties agree to comply with s.20.055(5), Florida Statutes, and to incorporate in all subcontracts the
obligation to comply with s.20.055(5), Florida Statutes.
Q. If the Project is procured pursuant to Chapter 255 for construction services and at the time of the
competitive solicitation for the Project 50 percent or more of the cost of the Project is to be paid from
state -appropriated funds, then the Agency must comply with the requirements of Section 255.0991,
Florida Statutes.
R. Exhibits
i. Exhibit "A", Project Description and Responsibilities, is attached and incorporated into this
Agreement.
ii. Exhibit "B", Schedule of Funding, is attached and incorporated into this Agreement.
iii. ® If this Project includes Phase 58 (construction) activities, then Exhibit "C", FHWA FORM 1273,
is attached and incorporated into this Agreement.
iv. ❑ An Alternative Pay Method is used on this Project. If an alternative Pay Method is used on this
Project, then Exhibit "D", Alternative Pay Method, is attached and incorporated into this
Agreement.
v. Exhibit "E", Title VI Assurances is attached and incorporated into this Agreement.
vi. Exhibit "F", the Agency Resolution authorizing entry into this Agreement, is attached and
incorporated into this Agreement.
TR 13056 Exhibit A
STATE OF FLORIDA DEPARTMENT OF TRANSPORTATION 525-010-40
LOCAL AGENCY PROGRAM AGREEMENT PROGRAM MANAGEMENT
OGC— 07/17
Page 14 of 15
vii. ❑ State Funds are used on this Project. If State Funds are used on this Project, then Exhibit "G",
State Funds Addendum, is attached and incorporated into this Agreement.
viii. ❑ This Project is located off the State Highway System and includes funding for landscaping. If
this Project is located off the State Highway System and includes funding for landscaping, then
Exhibit "L"is attached and incorporated into this Agreement.
ix. ❑ This Project utilizes Advance Project Reimbursement. If this Project utilizes Advance Project
Reimbursement, then Exhibit "R" is attached and incorporated into this Agreement.
x. ❑ This Project includes funding for a roadway lighting system. If the Project includes funding for
roadway lighting system, Exhibit "RU is attached and incorporated into this Agreement.
A. ❑ This Project includes funding for traffic signals and/or traffic signal systems. If this Project
includes funding for traffic signals and/or traffic signals systems, Exhibit "T" is attached and
incorporated into this Agreement.
xii. Exhibit "1", Federal Financial Assistance (Single Audit Act) is attached and incorporated into this
Agreement.
xiii. ❑ State Funds are used on this Project. If State Funds are used on this Project, then Exhibit "2",
State Financial Assistance (Florida Single Audit Act), is attached and incorporated into this
Agreement.
The remainder of this page intentionally left blank.
TR 13056 Exhibit A
STATE OF FLORIDA DEPARTMENT OF TRANSPORTATION 525-010-40
LOCAL AGENCY PROGRAM AGREEMENT PROGRAM MANAGEMENT
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Page 15 of 15
IN WITNESS WHEREOF, the parties have executed this Agreement on the day and year written above.
AGE C C F C ATE OF FLORIDA, DEPARTMENT OF TRANSPORTATION
By By:
Name: Michael Cernech Name: Stacy L. Miller, P.E.
Title: City Manager � ` a, 9 i s � ��� Title: Director of Transportation Development
C) ; _
lip
�
APPROV D S TO LEG Co ,
OFFIC OF TH CITY OFtNEY
D,AAT . Z Z
Legal Review:
TR 13056 Exhibit A
STATE OF FLORIDA DEPARTMENT OF TRANSPORTATION 525-010-40
LOCAL AGENCY PROGRAM AGREEMENT PROGRAM MANAGEMENT
OGC - 08/15
Page 1 of 1
PROJECT DESCRIPTION AND RESPONSIBILITIES
FPN: 439420-1-58-01
This exhibit forms an integral part of the Local Agency Program Agreement between the State of Florida, Department of
Transportation and
The Citv of Tamarac
PROJECT LOCATION:
❑ The project is on the National Highway System.
❑ The project is on the State Highway System.
PROJECT LENGTH AND MILE POST LIMITS: 0.945 Miles
PROJECT DESCRIPTION: City of Tamarac Bikeway Project - Phase 5 and 6. Construction of five (5) ft. bike lanes,
pavement markings and signage, and modification of existing drainage along NW 76 St. from SR-817/University Dr. to
NW 70 Ave. (Phase 5) and NW 64 Ave./SW 81 Ave. from N. of SR-870/Commercial Blvd. to SW 23 St. (Phase 6).
SPECIAL CONSIDERATIONS BY AGENCY:
The audit report(s) required in the Agreement shall include a Schedule of Project Assistance that will reflect the
Department's contract number, the Financial Project Number (FPN), the Federal Authorization Number (FAN), where
applicable, the amount of state funding action (receipt and disbursement of funds), any federal or local funding action, and
the funding action from any other source with respect to the project.
The Agency is required to provide a copy of the design plans for the Department's review and approval to coordinate
permitting with the Department, and notify the Department prior to commencement of any right-of-way activities.
The Agency shall commence the project's activities subsequent to the execution of this Agreement and shall perform in
accordance with the following schedule:
a) Study to be completed by N/A.
b) Design to be completed by N/A.
c) Right -of -Way requirements identified and provided to the Department by N/A.
d) Right -of -Way to be certified by N/A.
e) Construction contract to be let by 06/11 /2018.
f) Construction to be completed by 06/30/2020.
If this schedule cannot be met, the Agency will notify the Department in writing with a revised schedule or the project is
subject to the withdrawal of federal funding.
SPECIAL CONSIDERATIONS BY DEPARTMENT: N/A
TR 13056 Exhibit A
STATE OF FLORIDA DEPARTMENT OF TRANSPORTATION 525-010-40B
LOCAL AGENCY PROGRAM AGREEMENT PROGRAM MANGEMENT
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Page 1 of 1
EXHIBIT "B"
SCHEDULE OF FUNDING
AGENCY NAME & BILLING ADDRESS FPN: 439420-1-58-01
City of Tamarac - Public Works Department
6011 Nob Hill Road, 2"d Floor,
Tamarac, FL 33321
FUNDING
TYPE OF WORK By Fiscal Year
TOTAL
PROJECT FUNDS
(2)
LOCAL FUNDS
(3)
STATE FUNDS
(4)
FEDERAL FUNDS
tanning-18 FY:
FY:
FY:
Total Planning Cost
Project Development & Environment (PD&E) - 28
FY:
FY:
FY:
Total PD&E Cost
Design - 38 FY:
FY:
FY:
Total Design Cost
Right -of -Way - 48 FY:
FY:
FY:
Total Right -of -Way Cost
Construction-58 FY: 2017 - 2018
$ 327,480.00
$ 327,480.00
FY: 2017 - 2018
$ 400,000.00
$ 400,000.00
FY:
FY:
Total Construction Cost
$ 727,480.00
$ 327,480.00
$ 400,000.00
Construction Engineering and Inspection (CEI) - 68
FY:
FY:
FY:
Total CEI Cost
Operations — 88
FY:
FY:
FY:
Total Operations Costs
TOTAL COST OF THE PROJECT
$ 727,480.00
$ 327,480.00
$ 400,000.00
The Department's fiscal year begins on July 1. For this project, funds are not projected to be available until after the 1 st of July of
each fiscal year. The Department will notify the Agency, in writing, when funds are available.
TR 13056 Exhibit A
STATE OF FLORIDA DEPARTMENT OF TRANSPORTATION 525-010-40C
LOCAL AGENCY PROGRAM AGREEMENT PROGRAM MANAGEMENT
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Page 1 of 1
EXHIBIT "C"
FHWA FORM 1273
FEDERAL RESOURCES AWARDED PURSUANT TO THIS AGREEMENT ARE AS FOLLOWS:
LEGAL REQUIREMENTS AND RESPONSIBILITY TO THE PUBLIC —
COMPLIANCE WITH FHWA 1273.
The FHWA-1273 version dated May 1, 2012 is appended in its entirety to this Exhibit. FHWA-
1273 may also be referenced on the Department's website at the following URL address:
http://www.fhwa.dot.gov/programadmin/contracts/1273/1273.pdf
Sub -recipients of federal grants awards for Federal -Aid Highway construction shall take
responsibility to obtain this information and comply with all provisions contained in FHWA-
1273.
TR 13056 Exhibit A
REQUIRED CONTRACT PROVISIONS
FEDERAL -AID CONSTRUCTION CONTRACTS
I. General
II. Nondiscrimination
III. Nonsegregated Facilities
IV. Davis -Bacon and Related Act Provisions
V. Contract Work Hours and Safety Standards Act
Provisions
VI. Subletting or Assigning the Contract
VI I. Safety: Accident Prevention
VIII. False Statements Concerning Highway Projects
IX. Implementation of Clean Air Act and Federal Water
Pollution Control Act
X. Compliance with Governmentwide Suspension and
Debarment Requirements
XI. Certification Regarding Use of Contract Funds for
Lobbying
ATTACHMENTS
A. Employment and Materials Preference for Appalachian
Development Highway System or Appalachian Local Access
Road Contracts (included in Appalachian contracts only)
I. GENERAL
1. Form FHWA-1273 must be physically incorporated in each
construction contract funded under Title 23 (excluding
emergency contracts solely intended for debris removal). The
contractor (or subcontractor) must insert this form in each
subcontract and further require its inclusion in all lower tier
subcontracts (excluding purchase orders, rental agreements
and other agreements for supplies or services).
The applicable requirements of Form FHWA-1273 are
incorporated by reference for work done under any purchase
order, rental agreement or agreement for other services. The
prime contractor shall be responsible for compliance by any
subcontractor, lower -tier subcontractor or service provider.
Form FHWA-1273 must be included in all Federal -aid design -
build contracts, in all subcontracts and in lower tier
subcontracts (excluding subcontracts for design services,
purchase orders, rental agreements and other agreements for
supplies or services). The design -builder shall be responsible
for compliance by any subcontractor, lower -tier subcontractor
or service provider.
Contracting agencies may reference Form FHWA-1273 in bid
proposal or request for proposal documents, however, the
Form FHWA-1273 must be physically incorporated (not
referenced) in all contracts, subcontracts and lower -tier
subcontracts (excluding purchase orders, rental agreements
and other agreements for supplies or services related to a
construction contract).
2. Subject to the applicability criteria noted in the following
sections, these contract provisions shall apply to all work
performed on the contract by the contractor's own organization
and with the assistance of workers under the contractor's
immediate superintendence and to all work performed on the
contract by piecework, station work, or by subcontract.
FHWA-1273-- Revised May 1, 2012
3. A breach of any of the stipulations contained in these
Required Contract Provisions may be sufficient grounds for
withholding of progress payments, withholding of final
payment, termination of the contract, suspension / debarment
or any other action determined to be appropriate by the
contracting agency and FHWA.
4. Selection of Labor: During the performance of this contract,
the contractor shall not use convict labor for any purpose
within the limits of a construction project on a Federal -aid
highway unless it is labor performed by convicts who are on
parole, supervised release, or probation. The term Federal -aid
highway does not include roadways functionally classified as
local roads or rural minor collectors.
II. NONDISCRIMINATION
The provisions of this section related to 23 CFR Part 230 are
applicable to all Federal -aid construction contracts and to all
related construction subcontracts of $10,000 or more. The
provisions of 23 CFR Part 230 are not applicable to material
supply, engineering, or architectural service contracts.
In addition, the contractor and all subcontractors must comply
with the following policies: Executive Order 11246, 41 CFR 60,
29 CFR 1625-1627, Title 23 USC Section 140, the
Rehabilitation Act of 1973, as amended (29 USC 794), Title VI
of the Civil Rights Act of 1964, as amended, and related
regulations including 49 CFR Parts 21, 26 and 27; and 23 CFR
Parts 200, 230, and 633.
The contractor and all subcontractors must comply with: the
requirements of the Equal Opportunity Clause in 41 CFR 60-
1.4(b) and, for all construction contracts exceeding $10,000,
the Standard Federal Equal Employment Opportunity
Construction Contract Specifications in 41 CFR 60-4.3.
Note: The U.S. Department of Labor has exclusive authority to
determine compliance with Executive Order 11246 and the
policies of the Secretary of Labor including 41 CFR 60, and 29
CFR 1625-1627. The contracting agency and the FHWA have
the authority and the responsibility to ensure compliance with
Title 23 USC Section 140, the Rehabilitation Act of 1973, as
amended (29 USC 794), and Title VI of the Civil Rights Act of
1964, as amended, and related regulations including 49 CFR
Parts 21, 26 and 27; and 23 CFR Parts 200, 230, and 633.
The following provision is adopted from 23 CFR 230, Appendix
A, with appropriate revisions to conform to the U.S.
Department of Labor (US DOL) and FHWA requirements.
1. Equal Employment Opportunity: Equal employment
opportunity (EEO) requirements not to discriminate and to take
affirmative action to assure equal opportunity as set forth
under laws, executive orders, rules, regulations (28 CFR 35,
29 CFR 1630, 29 CFR 1625-1627, 41 CFR 60 and 49 CFR 27)
and orders of the Secretary of Labor as modified by the
provisions prescribed herein, and imposed pursuant to 23
U.S.C. 140 shall constitute the EEO and specific affirmative
action standards for the contractor's project activities under
TR 13056 Exhibit A
this contract. The provisions of the Americans with Disabilities
Act of 1990 (42 U.S.C. 12101 et seq.) set forth under 28 CFR
35 and 29 CFR 1630 are incorporated by reference in this
contract. In the execution of this contract, the contractor
agrees to comply with the following minimum specific
requirement activities of EEO:
a. The contractor will work with the contracting agency and
the Federal Government to ensure that it has made every
good faith effort to provide equal opportunity with respect to all
of its terms and conditions of employment and in their review
of activities under the contract.
b. The contractor will accept as its operating policy the
following statement:
"it is the policy of this Company to assure that applicants
are employed, and that employees are treated during
employment, without regard to their race, religion, sex, color,
national origin, age or disability. Such action shall include:
employment, upgrading, demotion, or transfer; recruitment or
recruitment advertising; layoff or termination; rates of pay or
other forms of compensation; and selection for training,
including apprenticeship, pre -apprenticeship, and/or on-the-
job training."
2. EEO Officer: The contractor will designate and make
known to the contracting officers an EEO Officer who will have
the responsibility for and must be capable of effectively
administering and promoting an active EEO program and who
must be assigned adequate authority and responsibility to do
so.
3. Dissemination of Policy: All members of the contractor's
staff who are authorized to hire, supervise, promote, and
discharge employees, or who recommend such action, or who
are substantially involved in such action, will be made fully
cognizant of, and will implement, the contractor's EEO policy
and contractual responsibilities to provide EEO in each grade
and classification of employment. To ensure that the above
agreement will be met, the following actions will be taken as a
minimum:
a. Periodic meetings of supervisory and personnel office
employees will be conducted before the start of work and then
not less often than once every six months, at which time the
contractor's EEO policy and its implementation will be
reviewed and explained. The meetings will be conducted by
the EEO Officer.
b. All new supervisory or personnel office employees will be
given a thorough indoctrination by the EEO Officer, covering
all major aspects of the contractor's EEO obligations within
thirty days following their reporting for duty with the contractor.
c. All personnel who are engaged in direct recruitment for
the project will be instructed by the EEO Officer in the
contractor's procedures for locating and hiring minorities and
women.
d. Notices and posters setting forth the contractor's EEO
policy will be placed in areas readily accessible to employees,
applicants for employment and potential employees.
e. The contractor's EEO policy and the procedures to
implement such policy will be brought to the attention of
employees by means of meetings, employee handbooks, or
other appropriate means.
4. Recruitment: When advertising for employees, the
contractor will include in all advertisements for employees the
notation: "An Equal Opportunity Employer." All such
advertisements will be placed in publications having a large
circulation among minorities and women in the area from
which the project work force would normally be derived.
a. The contractor will, unless precluded by a valid
bargaining agreement, conduct systematic and direct
recruitment through public and private employee referral
sources likely to yield qualified minorities and women. To
meet this requirement, the contractor will identify sources of
potential minority group employees, and establish with such
identified sources procedures whereby minority and women
applicants may be referred to the contractor for employment
consideration.
b. In the event the contractor has a valid bargaining
agreement providing for exclusive hiring hall referrals, the
contractor is expected to observe the provisions of that
agreement to the extent that the system meets the contractor's
compliance with EEO contract provisions. Where
implementation of such an agreement has the effect of
discriminating against minorities or women, or obligates the
contractor to do the same, such implementation violates
Federal nondiscrimination provisions.
c. The contractor will encourage its present employees to
refer minorities and women as applicants for employment.
Information and procedures with regard to referring such
applicants will be discussed with employees.
5. Personnel Actions: Wages, working conditions, and
employee benefits shall be established and administered, and
personnel actions of every type, including hiring, upgrading,
promotion, transfer, demotion, layoff, and termination, shall be
taken without regard to race, color, religion, sex, national
origin, age or disability. The following procedures shall be
followed:
a. The contractor will conduct periodic inspections of project
sites to insure that working conditions and employee facilities
do not indicate discriminatory treatment of project site
personnel.
b. The contractor will periodically evaluate the spread
wages paid within each classification to determine any
evidence of discriminatory wage practices.
c. The contractor will periodically review selected personnel
actions in depth to determine whether there is evidence of
discrimination. Where evidence is found, the contractor will
promptly take corrective action. If the review indicates that the
discrimination may extend beyond the actions reviewed, such
corrective action shall include all affected persons.
d. The contractor will promptly investigate all complaints of
alleged discrimination made to the contractor in connection
with its obligations under this contract, will attempt to resolve
such complaints, and will take appropriate corrective action
within a reasonable time. If the investigation indicates that the
discrimination may affect persons other than the complainant,
such corrective action shall include such other persons. Upon
completion of each investigation, the contractor will inform
every complainant of all of their avenues of appeal.
6. Training and Promotion:
a. The contractor will assist in locating, qualifying, and
increasing the skills of minorities and women who are
TR 13056 Exhibit A
applicants for employment or current employees. Such efforts
should be aimed at developing full journey level status
employees in the type of trade or job classification involved.
b. Consistent with the contractor's work force requirements
and as permissible under Federal and State regulations, the
contractor shall make full use of training programs, i.e.,
apprenticeship, and on-the-job training programs for the
geographical area of contract performance. In the event a
special provision for training is provided under this contract,
this subparagraph will be superseded as indicated in the
special provision. The contracting agency may reserve
training positions for persons who receive welfare assistance
in accordance with 23 U.S.C. 140(a).
c. The contractor will advise employees and applicants for
employment of available training programs and entrance
requirements for each.
d. The contractor will periodically review the training and
promotion potential of employees who are minorities and
women and will encourage eligible employees to apply for
such training and promotion.
7. Unions: If the contractor relies in whole or in part upon
unions as a source of employees, the contractor will use good
faith efforts to obtain the cooperation of such unions to
increase opportunities for minorities and women. Actions by
the contractor, either directly or through a contractor's
association acting as agent, will include the procedures set
forth below:
a. The contractor will use good faith efforts to develop, in
cooperation with the unions, joint training programs aimed
toward qualifying more minorities and women for membership
in the unions and increasing the skills of minorities and women
so that they may qualify for higher paying employment.
b. The contractor will use good faith efforts to incorporate an
EEO clause into each union agreement to the end that such
union will be contractually bound to refer applicants without
regard to their race, color, religion, sex, national origin, age or
disability.
c. The contractor is to obtain information as to the referral
practices and policies of the labor union except that to the
extent such information is within the exclusive possession of
the labor union and such labor union refuses to furnish such
information to the contractor, the contractor shall so certify to
the contracting agency and shall set forth what efforts have
been made to obtain such information.
d. In the event the union is unable to provide the contractor
with a reasonable flow of referrals within the time limit set forth
in the collective bargaining agreement, the contractor will,
through independent recruitment efforts, fill the employment
vacancies without regard to race, color, religion, sex, national
origin, age or disability; making full efforts to obtain qualified
and/or qualifiable minorities and women. The failure of a union
to provide sufficient referrals (even though it is obligated to
provide exclusive referrals under the terms of a collective
bargaining agreement) does not relieve the contractor from the
requirements of this paragraph. In the event the union referral
practice prevents the contractor from meeting the obligations
pursuant to Executive Order 11246, as amended, and these
special provisions, such contractor shall immediately notify the
contracting agency.
8. Reasonable Accommodation for Applicants /
Employees with Disabilities: The contractor must be familiar
with the requirements for and comply with the Americans with
Disabilities Act and all rules and regulations established there
under. Employers must provide reasonable accommodation in
all employment activities unless to do so would cause an
undue hardship.
9. Selection of Subcontractors, Procurement of Materials
and Leasing of Equipment: The contractor shall not
discriminate on the grounds of race, color, religion, sex,
national origin, age or disability in the selection and retention
of subcontractors, including procurement of materials and
leases of equipment. The contractor shall take all necessary
and reasonable steps to ensure nondiscrimination in the
administration of this contract.
a. The contractor shall notify all potential subcontractors and
suppliers and lessors of their EEO obligations under this
contract.
b. The contractor will use good faith efforts to ensure
subcontractor compliance with their EEO obligations.
10. Assurance Required by 49 CFR 26.13(b):
a. The requirements of 49 CFR Part 26 and the State
DOT's U.S. DOT -approved DBE program are incorporated by
reference.
b. The contractor or subcontractor shall not discriminate on
the basis of race, color, national origin, or sex in the
performance of this contract. The contractor shall carry out
applicable requirements of 49 CFR Part 26 in the award and
administration of DOT -assisted contracts. Failure by the
contractor to carry out these requirements is a material breach
of this contract, which may result in the termination of this
contract or such other remedy as the contracting agency
deems appropriate.
11. Records and Reports: The contractor shall keep such
records as necessary to document compliance with the EEO
requirements. Such records shall be retained for a period of
three years following the date of the final payment to the
contractor for all contract work and shall be available at
reasonable times and places for inspection by authorized
representatives of the contracting agency and the FHWA.
a. The records kept by the contractor shall document the
following:
(1) The number and work hours of minority and non -
minority group members and women employed in each work
classification on the project;
(2) The progress and efforts being made in cooperation
with unions, when applicable, to increase employment
opportunities for minorities and women; and
(3) The progress and efforts being made in locating, hiring,
training, qualifying, and upgrading minorities and women;
b. The contractors and subcontractors will submit an annual
report to the contracting agency each July for the duration of
the project, indicating the number of minority, women, and
non -minority group employees currently engaged in each work
classification required by the contract work. This information is
to be reported on Form FHWA-1391. The staffing data should
represent the project work force on board in all or any part of
the last payroll period preceding the end of July. If on-the-job
training is being required by special provision, the contractor
TR 13056 Exhibit A
will be required to collect and report training data. The
employment data should reflect the work force on board during
all or any part of the last payroll period preceding the end of
July.
III. NONSEGREGATED FACILITIES
This provision is applicable to all Federal -aid construction
contracts and to all related construction subcontracts of
$10,000 or more.
The contractor must ensure that facilities provided for
employees are provided in such a manner that segregation on
the basis of race, color, religion, sex, or national origin cannot
result. The contractor may neither require such segregated
use by written or oral policies nor tolerate such use by
employee custom. The contractor's obligation extends further
to ensure that its employees are not assigned to perform their
services at any location, under the contractor's control, where
the facilities are segregated. The term "facilities" includes
waiting rooms, work areas, restaurants and other eating areas,
time clocks, restrooms, washrooms, locker rooms, and other
storage or dressing areas, parking lots, drinking fountains,
recreation or entertainment areas, transportation, and housing
provided for employees. The contractor shall provide separate
or single -user restrooms and necessary dressing or sleeping
areas to assure privacy between sexes.
IV. DAVIS-BACON AND RELATED ACT PROVISIONS
This section is applicable to all Federal -aid construction
projects exceeding $2,000 and to all related subcontracts and
lower -tier subcontracts (regardless of subcontract size). The
requirements apply to all projects located within the right-of-
way of a roadway that is functionally classified as Federal -aid
highway. This excludes roadways functionally classified as
local roads or rural minor collectors, which are exempt.
Contracting agencies may elect to apply these requirements to
other projects.
The following provisions are from the U.S. Department of
Labor regulations in 29 CFR 5.5 "Contract provisions and
related matters" with minor revisions to conform to the FHWA-
1273 format and FHWA program requirements.
1. Minimum wages
a. All laborers and mechanics employed or working upon
the site of the work, will be paid unconditionally and not less
often than once a week, and without subsequent deduction or
rebate on any account (except such payroll deductions as are
permitted by regulations issued by the Secretary of Labor
under the Copeland Act (29 CFR part 3)), the full amount of
wages and bona fide fringe benefits (or cash equivalents
thereof) due at time of payment computed at rates not less
than those contained in the wage determination of the
Secretary of Labor which is attached hereto and made a part
hereof, regardless of any contractual relationship which may
be alleged to exist between the contractor and such laborers
and mechanics.
Contributions made or costs reasonably anticipated for bona
fide fringe benefits under section 1(b)(2) of the Davis -Bacon
Act on behalf of laborers or mechanics are considered wages
paid to such laborers or mechanics, subject to the provisions
of paragraph 1.d. of this section; also, regular contributions
made or costs incurred for more than a weekly period (but not
less often than quarterly) under plans, funds, or programs
which cover the particular weekly period, are deemed to be
constructively made or incurred during such weekly period.
Such laborers and mechanics shall be paid the appropriate
wage rate and fringe benefits on the wage determination for
the classification of work actually performed, without regard to
skill, except as provided in 29 CFR 5.5(a)(4). Laborers or
mechanics performing work in more than one classification
may be compensated at the rate specified for each
classification for the time actually worked therein: Provided,
That the employer's payroll records accurately set forth the
time spent in each classification in which work is performed.
The wage determination (including any additional classification
and wage rates conformed under paragraph 1.b. of this
section) and the Davis -Bacon poster (WH-1321) shall be
posted at all times by the contractor and its subcontractors at
the site of the work in a prominent and accessible place where
it can be easily seen by the workers.
b.(1) The contracting officer shall require that any class of
laborers or mechanics, including helpers, which is not listed in
the wage determination and which is to be employed under the
contract shall be classified in conformance with the wage
determination. The contracting officer shall approve an
additional classification and wage rate and fringe benefits
therefore only when the following criteria have been met:
(i) The work to be performed by the classification
requested is not performed by a classification in the wage
determination; and
(ii) The classification is utilized in the area by the
construction industry; and
(iii) The proposed wage rate, including any bona fide
fringe benefits, bears a reasonable relationship to the
wage rates contained in the wage determination.
(2) If the contractor and the laborers and mechanics to be
employed in the classification (if known), or their
representatives, and the contracting officer agree on the
classification and wage rate (including the amount
designated for fringe benefits where appropriate), a report of
the action taken shall be sent by the contracting officer to the
Administrator of the Wage and Hour Division, Employment
Standards Administration, U.S. Department of Labor,
Washington, DC 20210. The Administrator, or an authorized
representative, will approve, modify, or disapprove every
additional classification action within 30 days of receipt and
so advise the contracting officer or will notify the contracting
officer within the 30-day period that additional time is
necessary.
(3) In the event the contractor, the laborers or mechanics
to be employed in the classification or their representatives,
and the contracting officer do not agree on the proposed
classification and wage rate (including the amount
designated for fringe benefits, where appropriate), the
contracting officer shall refer the questions, including the
views of all interested parties and the recommendation of the
contracting officer, to the Wage and Hour Administrator for
determination. The Wage and Hour Administrator, or an
authorized representative, will issue a determination within
30 days of receipt and so advise the contracting officer or
TR 13056 Exhibit A
will notify the contracting officer within the 30-day period that
additional time is necessary.
(4) The wage rate (including fringe benefits where
appropriate) determined pursuant to paragraphs 1.b.(2) or
1.b.(3) of this section, shall be paid to all workers performing
work in the classification under this contract from the first
day on which work is performed in the classification.
c. Whenever the minimum wage rate prescribed in the
contract for a class of laborers or mechanics includes a fringe
benefit which is not expressed as an hourly rate, the contractor
shall either pay the benefit as stated in the wage determination
or shall pay another bona fide fringe benefit or an hourly cash
equivalent thereof.
d. If the contractor does not make payments to a trustee or
other third person, the contractor may consider as part of the
wages of any laborer or mechanic the amount of any costs
reasonably anticipated in providing bona fide fringe benefits
under a plan or program, Provided, That the Secretary of
Labor has found, upon the written request of the contractor,
that the applicable standards of the Davis -Bacon Act have
been met. The Secretary of Labor may require the contractor
to set aside in a separate account assets for the meeting of
obligations under the plan or program.
2. Withholding
The contracting agency shall upon its own action or upon
written request of an authorized representative of the
Department of Labor, withhold or cause to be withheld from
the contractor under this contract, or any other Federal
contract with the same prime contractor, or any other federally -
assisted contract subject to Davis -Bacon prevailing wage
requirements, which is held by the same prime contractor, so
much of the accrued payments or advances as may be
considered necessary to pay laborers and mechanics,
including apprentices, trainees, and helpers, employed by the
contractor or any subcontractor the full amount of wages
required by the contract. In the event of failure to pay any
laborer or mechanic, including any apprentice, trainee, or
helper, employed or working on the site of the work, all or part
of the wages required by the contract, the contracting agency
may, after written notice to the contractor, take such action as
may be necessary to cause the suspension of any further
payment, advance, or guarantee of funds until such violations
have ceased.
3. Payrolls and basic records
a. Payrolls and basic records relating thereto shall be
maintained by the contractor during the course of the work and
preserved for a period of three years thereafter for all laborers
and mechanics working at the site of the work. Such records
shall contain the name, address, and social security number of
each such worker, his or her correct classification, hourly rates
of wages paid (including rates of contributions or costs
anticipated for bona fide fringe benefits or cash equivalents
thereof of the types described in section 1(b)(2)(B) of the
Davis -Bacon Act), daily and weekly number of hours worked,
deductions made and actual wages paid. Whenever the
Secretary of Labor has found under 29 CFR 5.5(a)(1)(iv) that
the wages of any laborer or mechanic include the amount of
any costs reasonably anticipated in providing benefits under a
plan or program described in section 1(b)(2)(B) of the Davis-
Bacon Act, the contractor shall maintain records which show
that the commitment to provide such benefits is enforceable,
that the plan or program is financially responsible, and that the
plan or program has been communicated in writing to the
laborers or mechanics affected, and records which show the
costs anticipated or the actual cost incurred in providing such
benefits. Contractors employing apprentices or trainees under
approved programs shall maintain written evidence of the
registration of apprenticeship programs and certification of
trainee programs, the registration of the apprentices and
trainees, and the ratios and wage rates prescribed in the
applicable programs.
b.(1) The contractor shall submit weekly for each week in
which any contract work is performed a copy of all payrolls to
the contracting agency. The payrolls submitted shall set out
accurately and completely all of the information required to be
maintained under 29 CFR 5.5(a)(3)(i), except that full social
security numbers and home addresses shall not be included
on weekly transmittals. Instead the payrolls shall only need to
include an individually identifying number for each employee
e.g. , the last four digits of the employee's social security
number). The required weekly payroll information may be
submitted in any form desired. Optional Form WH-347 is
available for this purpose from the Wage and Hour Division
Web site at hftp://vvww.dol.gov/esa/whd/forms/wh347instr.htm
or its successor site. The prime contractor is responsible for
the submission of copies of payrolls by all subcontractors.
Contractors and subcontractors shall maintain the full social
security number and current address of each covered worker,
and shall provide them upon request to the contracting agency
for transmission to the State DOT, the FHWA or the Wage and
Hour Division of the Department of Labor for purposes of an
investigation or audit of compliance with prevailing wage
requirements. It is not a violation of this section for a prime
contractor to require a subcontractor to provide addresses and
social security numbers to the prime contractor for its own
records, without weekly submission to the contracting agency..
(2) Each payroll submitted shall be accompanied by a
"Statement of Compliance," signed by the contractor or
subcontractor or his or her agent who pays or supervises the
payment of the persons employed under the contract and shall
certify the following:
(i) That the payroll for the payroll period contains the
information required to be provided under §5.5 (a)(3)(ii) of
Regulations, 29 CFR part 5, the appropriate information is
being maintained under §5.5 (a)(3)(i) of Regulations, 29
CFR part 5, and that such information is correct and
complete;
(ii) That each laborer or mechanic (including each
helper, apprentice, and trainee) employed on the contract
during the payroll period has been paid the full weekly
wages earned, without rebate, either directly or indirectly,
and that no deductions have been made either directly or
indirectly from the full wages earned, other than
permissible deductions as set forth in Regulations, 29 CFR
part 3;
(iii) That each laborer or mechanic has been paid not
less than the applicable wage rates and fringe benefits or
cash equivalents for the classification of work performed,
as specified in the applicable wage determination
incorporated into the contract.
TR 13056 Exhibit A
(3) The weekly submission of a properly executed
certification set forth on the reverse side of Optional Form
WH-347 shall satisfy the requirement for submission of the
"Statement of Compliance" required by paragraph 3.b.(2) of
this section.
(4) The falsification of any of the above certifications may
subject the contractor or subcontractor to civil or criminal
prosecution under section 1001 of title 18 and section 231 of
title 31 of the United States Code.
c. The contractor or subcontractor shall make the records
required under paragraph 3.a. of this section available for
inspection, copying, or transcription by authorized
representatives of the contracting agency, the State DOT, the
FHWA, or the Department of Labor, and shall permit such
representatives to interview employees during working hours
on the job. If the contractor or subcontractor fails to submit the
required records or to make them available, the FHWA may,
after written notice to the contractor, the contracting agency or
the State DOT, take such action as may be necessary to
cause the suspension of any further payment, advance, or
guarantee of funds. Furthermore, failure to submit the required
records upon request or to make such records available may
be grounds for debarment action pursuant to 29 CFR 5.12.
4. Apprentices and trainees
a. Apprentices (programs of the USDOL).
Apprentices vrill be permitted to work at less than the
predetermined rate for the work they performed when they are
employed pursuant to and individually registered in a bona fide
apprenticeship program registered with the U.S. Department of
Labor, Employment and Training Administration, Office of
Apprenticeship Training, Employer and Labor Services, or with
a State Apprenticeship Agency recognized by the Office, or if a
person is employed in his or her first 90 days of probationary
employment as an apprentice in such an apprenticeship
program, who is not individually registered in the program, but
who has been certified by the Office of Apprenticeship
Training, Employer and Labor Services or a State
Apprenticeship Agency (where appropriate) to be eligible for
probationary employment as an apprentice.
The allowable ratio of apprentices to journeymen on the job
site in any craft classification shall not be greater than the ratio
permitted to the contractor as to the entire work force under
the registered program. Any worker listed on a payroll at an
apprentice wage rate, who is not registered or otherwise
employed as stated above, shall be paid not less than the
applicable wage rate on the wage determination for the
classification of work actually performed. In addition, any
apprentice performing work on the job site in excess of the
ratio permitted under the registered program shall be paid not
less than the applicable wage rate on the wage determination
for the work actually performed. Where a contractor is
performing construction on a project in a locality other than
that in which its program is registered, the ratios and wage
rates (expressed in percentages of the journeyman's hourly
rate) specified in the contractor's or subcontractor's registered
program shall be observed.
Every apprentice must be paid at not less than the rate
specified in the registered program for the apprentice's level of
progress, expressed as a percentage of the journeymen hourly
rate specified in the applicable wage determination.
Apprentices shall be paid fringe benefits in accordance with
the provisions of the apprenticeship program. If the
apprenticeship program does not specify fringe benefits,
apprentices must be paid the full amount of fringe benefits
listed on the wage determination for the applicable
classification. If the Administrator determines that a different
practice prevails for the applicable apprentice classification,
fringes shall be paid in accordance with that determination.
In the event the Office of Apprenticeship Training, Employer
and Labor Services, or a State Apprenticeship Agency
recognized by the Office, withdraws approval of an
apprenticeship program, the contractor will no longer be
permitted to utilize apprentices at less than the applicable
predetermined rate for the work performed until an acceptable
program is approved.
b. Trainees (programs of the USDOL).
Except as provided in 29 CFR 5.16, trainees will not be
permitted to work at less than the predetermined rate for the
work performed unless they are employed pursuant to and
individually registered in a program which has received prior
approval, evidenced by formal certification by the U.S.
Department of Labor, Employment and Training
Administration.
The ratio of trainees to journeymen on the job site shall not be
greater than permitted under the plan approved by the
Employment and Training Administration.
Every trainee must be paid at not less than the rate specified
in the approved program for the trainee's level of progress,
expressed as a percentage of the journeyman hourly rate
specified in the applicable wage determination. Trainees shall
be paid fringe benefits in accordance with the provisions of the
trainee program. If the trainee program does not mention
fringe benefits, trainees shall be paid the full amount of fringe
benefits listed on the wage determination unless the
Administrator of the Wage and Hour Division determines that
there is an apprenticeship program associated with the
corresponding journeyman wage rate on the wage
determination which provides for less than full fringe benefits
for apprentices. Any employee listed on the payroll at a trainee
rate who is not registered and participating in a training plan
approved by the Employment and Training Administration shall
be paid not less than the applicable wage rate on the wage
determination for the classification of work actually performed.
In addition, any trainee performing work on the job site in
excess of the ratio permitted under the registered program
shall be paid not less than the applicable wage rate on the
wage determination for the work actually performed.
In the event the Employment and Training Administration
withdraws approval of a training program, the contractor will no
longer be permitted to utilize trainees at less than the
applicable predetermined rate for the work performed until an
acceptable program is approved.
c. Equal employment opportunity. The utilization of
apprentices, trainees and journeymen under this part shall be
in conformity with the equal employment opportunity
requirements of Executive Order 11246, as amended, and 29
CFR part 30.
TR 13056 Exhibit A
d. Apprentices and Trainees (programs of the U.S. DOT).
Apprentices and trainees working under apprenticeship and
skill training programs which have been certified by the
Secretary of Transportation as promoting EEO in connection
with Federal -aid highway construction programs are not
subject to the requirements of paragraph 4 of this Section IV.
The straight time hourly wage rates for apprentices and
trainees under such programs will be established by the
particular programs. The ratio of apprentices and trainees to
journeymen shall not be greater than permitted by the terms of
the particular program.
5. Compliance with Copeland Act requirements. The
contractor shall comply with the requirements of 29 CFR part
3, which are incorporated by reference in this contract.
6. Subcontracts. The contractor or subcontractor shall insert
Form FHWA-1273 in any subcontracts and also require the
subcontractors to include Form FHWA-1273 in any lower tier
subcontracts. The prime contractor shall be responsible for the
compliance by any subcontractor or lower tier subcontractor
with all the contract clauses in 29 CFR 5.5.
7. Contract termination: debarment. A breach of the
contract clauses in 29 CFR 5.5 may be grounds for termination
of the contract, and for debarment as a contractor and a
subcontractor as provided in 29 CFR 5.12.
8. Compliance with Davis -Bacon and Related Act
requirements. All rulings and interpretations of the Davis -
Bacon and Related Acts contained in 29 CFR parts 1, 3, and 5
are herein incorporated by reference in this contract.
9. Disputes concerning labor standards. Disputes arising
out of the labor standards provisions of this contract shall not
be subject to the general disputes clause of this contract. Such
disputes shall be resolved in accordance with the procedures
of the Department of Labor set forth in 29 CFR parts 5, 6, and
7. Disputes within the meaning of this clause include disputes
between the contractor (or any of its subcontractors) and the
contracting agency, the U.S. Department of Labor, or the
employees or their representatives.
10. Certification of eligibility.
a. By entering into this contract, the contractor certifies that
neither it (nor he or she) nor any person or firm who has an
interest in the contractor's firm is a person or firm ineligible to
be awarded Government contracts by virtue of section 3(a) of
the Davis -Bacon Act or 29 CFR 5.12(a)(1).
b. No part of this contract shall be subcontracted to any person
or firm ineligible for award of a Government contract by virtue
of section 3(a) of the Davis -Bacon Act or 29 CFR 5.12(a)(1).
c. The penalty for making false statements is prescribed in the
U.S. Criminal Code, 18 U.S.C. 1001.
V. CONTRACT WORK HOURS AND SAFETY
STANDARDS ACT
The following clauses apply to any Federal -aid construction
contract in an amount in excess of $100,000 and subject to the
overtime provisions of the Contract Work Hours and Safety
Standards Act. These clauses shall be inserted in addition to
the clauses required by 29 CFR 5.5(a) or 29 CFR 4.6. As
used in this paragraph, the terms laborers and mechanics
include watchmen and guards.
1. Overtime requirements. No contractor or subcontractor
contracting for any part of the contract work which may require
or involve the employment of laborers or mechanics shall
require or permit any such laborer or mechanic in any
workweek in which he or she is employed on such work to
work in excess of forty hours in such workweek unless such
laborer or mechanic receives compensation at a rate not less
than one and one-half times the basic rate of pay for all hours
worked in excess of forty hours in such workweek.
2. Violation; liability for unpaid wages; liquidated
damages. In the event of any violation of the clause set forth
in paragraph (1.) of this section, the contractor and any
subcontractor responsible therefor shall be liable for the
unpaid wages. In addition, such contractor and subcontractor
shall be liable to the United States (in the case of work done
under contract for the District of Columbia or a territory, to such
District or to such territory), for liquidated damages. Such
liquidated damages shall be computed with respect to each
individual laborer or mechanic, including watchmen and
guards, employed in violation of the clause set forth in
paragraph (1.) of this section, in the sum of $10 for each
calendar day on which such individual was required or
permitted to work in excess of the standard workweek of forty
hours without payment of the overtime wages required by the
clause set forth in paragraph (1.) of this section.
3. Withholding for unpaid wages and liquidated damages.
The FHWA or the contacting agency shall upon its own action
or upon written request of an authorized representative of the
Department of Labor withhold or cause to be withheld, from
any moneys payable on account of work performed by the
contractor or subcontractor under any such contract or any
other Federal contract with the same prime contractor, or any
other federally -assisted contract subject to the Contract Work
Hours and Safety Standards Act, which is held by the same
prime contractor, such sums as may be determined to be
necessary to satisfy any liabilities of such contractor or
subcontractor for unpaid wages and liquidated damages as
provided in the clause set forth in paragraph (2.) of this
section.
4. Subcontracts. The contractor or subcontractor shall insert
in any subcontracts the clauses set forth in paragraph (1.)
through (4.) of this section and also a clause requiring the
subcontractors to include these clauses in any lower tier
subcontracts. The prime contractor shall be responsible for
compliance by any subcontractor or lower tier subcontractor
with the clauses set forth in paragraphs (1.) through (4.) of this
section.
TR 13056 Exhibit A
VI. SUBLETTING OR ASSIGNING THE CONTRACT
This provision is applicable to all Federal -aid construction
contracts on the National Highway System.
1. The contractor shall perform with its own organization
contract work amounting to not less than 30 percent (or a
greater percentage if specified elsewhere in the contract) of
the total original contract price, excluding any specialty items
designated by the contracting agency. Specialty items may be
performed by subcontract and the amount of any such
specialty items performed may be deducted from the total
original contract price before computing the amount of work
required to be performed by the contractor's own organization
(23 CFR 635.116).
a. The term "perform work with its own organization" refers
to workers employed or leased by the prime contractor, and
equipment owned or rented by the prime contractor, with or
without operators. Such term does not include employees or
equipment of a subcontractor or lower tier subcontractor,
agents of the prime contractor, or any other assignees. The
term may include payments for the costs of hiring leased
employees from an employee leasing firm meeting all relevant
Federal and State regulatory requirements. Leased
employees may only be included in this term if the prime
contractor meets all of the following conditions:
(1) the prime contractor maintains control over the
supervision of the day-to-day activities of the leased
employees;
(2) the prime contractor remains responsible for the quality
of the work of the leased employees;
(3) the prime contractor retains all power to accept or
exclude individual employees from work on the project; and
(4) the prime contractor remains ultimately responsible for
the payment of predetermined minimum wages, the
submission of payrolls, statements of compliance and all
other Federal regulatory requirements.
b. "Specialty Items" shall be construed to be limited to work
that requires highly specialized knowledge, abilities, or
equipment not ordinarily available in the type of contracting
organizations qualified and expected to bid or propose on the
contract as a whole and in general are to be limited to minor
components of the overall contract.
2. The contract amount upon which the requirements set forth
in paragraph (1) of Section VI is computed includes the cost of
material and manufactured products which are to be
purchased or produced by the contractor under the contract
provisions.
3. The contractor shall furnish (a) a competent superintendent
or supervisor who is employed by the firm, has full authority to
direct performance of the work in accordance with the contract
requirements, and is in charge of all construction operations
(regardless of who performs the work) and (b) such other of its
own organizational resources (supervision, management, and
engineering services) as the contracting officer determines is
necessary to assure the performance of the contract.
4. No portion of the contract shall be sublet, assigned or
otherwise disposed of except with the written consent of the
contracting officer, or authorized representative, and such
consent when given shall not be construed to relieve the
contractor of any responsibility for the fulfillment of the
contract. Written consent will be given only after the
contracting agency has assured that each subcontract is
evidenced in writing and that it contains all pertinent provisions
and requirements of the prime contract.
5. The 30% self -performance requirement of paragraph (1) is
not applicable to design -build contracts; however, contracting
agencies may establish their own self -performance
requirements.
VII. SAFETY: ACCIDENT PREVENTION
T h i s p r o v i s i o n i s applicable to all Federal -aid
construction contracts and to all related subcontracts.
1. In the performance of this contract the contractor shall
comply with all applicable Federal, State, and local laws
governing safety, health, and sanitation (23 CFR 635). The
contractor shall provide all safeguards, safety devices and
protective equipment and take any other needed actions as it
determines, or as the contracting officer may determine, to be
reasonably necessary to protect the life and health of
employees on the job and the safety of the public and to
protect property in connection with the performance of the
work covered by the contract.
2. It is a condition of this contract, and shall be made a
condition of each subcontract, which the contractor enters into
pursuant to this contract, that the contractor and any
subcontractor shall not permit any employee, in performance
of the contract, to work in surroundings or under conditions
which are unsanitary, hazardous or dangerous to his/her
health or safety, as determined under construction safety and
health standards (29 CFR 1926) promulgated by the Secretary
of Labor, in accordance with Section 107 of the Contract Work
Hours and Safety Standards Act (40 U.S.C. 3704).
3. Pursuant to 29 CFR 1926.3, it is a condition of this contract
that the Secretary of Labor or authorized representative
thereof, shall have right of entry to any site of contract
performance to inspect or investigate the matter of compliance
with the construction safety and health standards and to carry
out the duties of the Secretary under Section 107 of the
Contract Work Hours and Safety Standards Act (40
U.S.C.3704).
Vill. FALSE STATEMENTS CONCERNING HIGHWAY
PROJECTS
T h i s p r o v i s i o n i s applicable to all Federal -aid
construction contracts and to all related subcontracts.
In order to assure high quality and durable construction in
conformity with approved plans and specifications and a high
degree of reliability on statements and representations made
by engineers, contractors, suppliers, and workers on Federal -
aid highway projects, it is essential that all persons concerned
with the project perform their functions as carefully, thoroughly,
and honestly as possible. Willful falsification, distortion, or
misrepresentation with respect to any facts related to the
project is a violation of Federal law. To prevent any
misunderstanding regarding the seriousness of these and
similar acts, Form FHWA-1022 shall be posted on each
Federal -aid highway project (23 CFR 635) in one or more
places where it is readily available to all persons concerned
with the project:
18 U.S.C. 1020 reads as follows:
TR 13056 Exhibit A
"Whoever, being an officer, agent, or employee of the United
States, or of any State or Territory, or whoever, whether a
person, association, firm, or corporation, knowingly makes any
false statement, false representation, or false report as to the
character, quality, quantity, or cost of the material used or to
be used, or the quantity or quality of the work performed or to
be performed, or the cost thereof in connection with the
submission of plans, maps, specifications, contracts, or costs
of construction on any highway or related project submitted for
approval to the Secretary of Transportation; or
Whoever knowingly makes any false statement, false
representation, false report or false claim with respect to the
character, quality, quantity, or cost of any work performed or to
be performed, or materials furnished or to be furnished, in
connection with the construction of any highway or related
project approved by the Secretary of Transportation; or
Whoever knowingly makes any false statement or false
representation as to material fact in any statement, certificate,
or report submitted pursuant to provisions of the Federal -aid
Roads Act approved July 1, 1916, (39 Stat. 355), as amended
and supplemented;
Shall be fined under this title or imprisoned not more than 5
years or both."
IX. IMPLEMENTATION OF CLEAN AIR ACT AND FEDERAL
WATER POLLUTION CONTROL ACT
This provision is applicable to all Federal -aid construction
contracts and to all related subcontracts.
By submission of this bid/proposal or the execution of this
contract, or subcontract, as appropriate, the bidder, proposer
Federal -aid construction contractor, or subcontractor, as
appropriate, will be deemed to have stipulated as follows:
1. That any person who is or will be utilized in the
performance of this contract is not prohibited from receiving an
award due to a violation of Section 508 of the Clean Water Act
or Section 306 of the Clean Air Act.
2. That the contractor agrees to include or cause to be
included the requirements of paragraph (1) of this Section X in
every subcontract, and further agrees to take such action as
the contracting agency may direct as a means of enforcing
such requirements.
X. CERTIFICATION REGARDING DEBARMENT,
SUSPENSION, INELIGIBILITY AND VOLUNTARY
EXCLUSION
This provision is 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 CFR Parts 180 and 1200.
1. Instructions for Certification — First Tier Participants:
a. By signing and submitting this proposal, the prospective
first tier participant is providing the certification set out below.
b. The inability of a person to provide the certification set out
below will not necessarily result in denial of participation in this
covered transaction. The prospective first tier participant shall
submit an explanation of why it cannot provide the certification
set out below. The certification or explanation will be
considered in connection with the department or agency's
determination whether to enter into this transaction. However,
failure of the prospective first tier participant to furnish a
certification or an explanation shall disqualify such a person
from participation in this transaction.
c. The certification in this clause is a material representation
of fact upon which reliance was placed when the contracting
agency determined to enter into this transaction. If it is later
determined that the prospective participant knowingly rendered
an erroneous certification, in addition to other remedies
available to the Federal Government, the contracting agency
may terminate this transaction for cause of default.
d. The prospective first tier participant shall provide
immediate written notice to the contracting agency to whom
this proposal is submitted if any time the prospective first tier
participant learns that its certification was erroneous when
submitted or has become erroneous by reason of changed
circumstances.
e. The terms "covered transaction," "debarred,"
"suspended," "ineligible," "participant," "person," "principal,"
and "voluntarily excluded," as used in this clause, are defined
in 2 CFR Parts 180 and 1200. "First Tier Covered
Transactions" refers to any covered transaction between a
grantee or subgrantee 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 grantee or subgrantee 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).
f. The prospective first tier participant agrees by submitting
this proposal that, should the proposed covered transaction be
entered into, it shall not knowingly enter into any lower tier
covered transaction with a person who is debarred,
suspended, declared ineligible, or voluntarily excluded from
participation in this covered transaction, unless authorized by
the department or agency entering into this transaction.
g. The prospective first tier participant further agrees by
submitting this proposal that it will include the clause titled
"Certification Regarding Debarment, Suspension, Ineligibility
and Voluntary Exclusion -Lower Tier Covered Transactions,"
provided by the department or contracting agency, entering
into this covered transaction, without modification, in all lower
tier covered transactions and in all solicitations for lower tier
covered transactions exceeding the $25,000 threshold.
h. A participant in a covered transaction may rely upon a
certification of a prospective participant in a lower tier covered
transaction that is not debarred, suspended, ineligible, or
voluntarily excluded from the covered transaction, unless it
knows that the certification is erroneous. A participant is
responsible for ensuring that its principals are not suspended,
debarred, or otherwise ineligible to participate in covered
transactions. To verify the eligibility of its principals, as well as
the eligibility of any lower tier prospective participants, each
participant may, but is not required to, check the Excluded
Parties List System website (https://www.epls.go, which is
compiled by the General Services Administration.
TR 13056 Exhibit A
i. Nothing contained in the foregoing shall be construed to
require the establishment of a system of records in order to
render in good faith the certification required by this clause.
The knowledge and information of the prospective participant
is not required to exceed that which is normally possessed by
a prudent person in the ordinary course of business dealings.
j. Except for transactions authorized under paragraph (f) of
these instructions, if a participant in a covered transaction
knowingly enters into a lower tier covered transaction with a
person who is suspended, debarred, ineligible, or voluntarily
excluded from participation in this transaction, in addition to
other remedies available to the Federal Government, the
department or agency may terminate this transaction for cause
or default.
2. Certification Regarding Debarment, Suspension,
Ineligibility and Voluntary Exclusion — First Tier
Participants:
a. The prospective first tier participant certifies to the best of
its knowledge and belief, that it and its principals:
(1) Are not presently debarred, suspended, proposed for
debarment, declared ineligible, or voluntarily excluded from
participating in covered transactions by any Federal
department or agency;
(2) Have not within a three-year period preceding this
proposal been convicted of or had a civil judgment rendered
against them for commission of fraud or a criminal offense in
connection with obtaining, attempting to obtain, or performing
a public (Federal, State or local) transaction or contract under
a public transaction; violation of Federal or State antitrust
statutes or commission of embezzlement, theft, forgery,
bribery, falsification or destruction of records, making false
statements, or receiving stolen property;
(3) Are not presently indicted for or otherwise criminally or
civilly charged by a governmental entity (Federal, State or
local) with commission of any of the offenses enumerated in
paragraph (a)(2) of this certification; and
(4) Have not within a three-year period preceding this
application/proposal had one or more public transactions
(Federal, State or local) terminated for cause or default.
b. Where the prospective participant is unable to certify to
any of the statements in this certification, such prospective
participant shall attach an explanation to this proposal.
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 CFR Parts 180 and
1200)
a. By signing and submitting this proposal, the prospective
lower tier is providing the certification set out below.
b. The certification in this clause is a material representation
of fact upon which reliance was placed when this transaction
was entered into. If it is later determined that the prospective
lower tier participant knowingly rendered an erroneous
certification, in addition to other remedies available to the
Federal Government, the department, or agency with which
this transaction originated may pursue available remedies,
including suspension and/or debarment.
c. The prospective lower tier participant shall provide
immediate written notice to the person to which this proposal is
submitted if at any time the prospective lower tier participant
learns that its certification was erroneous by reason of
changed circumstances.
d. The terms "covered transaction," "debarred,"
"suspended," "ineligible," "participant," "person," "principal,"
and "voluntarily excluded," as used in this clause, are defined
in 2 CFR Parts 180 and 1200. You may contact the person to
which this proposal is submitted for assistance in obtaining a
copy of those regulations. "First Tier Covered Transactions"
refers to any covered transaction between a grantee or
subgrantee 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 grantee or subgrantee of Federal funds
(such as the prime or general contractor). "Lower Tier
Participant" refers any participant who has entered into a
covered transaction with a First Tier Participant or other Lower
Tier Participants (such as subcontractors and suppliers).
e. The prospective lower tier participant agrees by
submitting this proposal that, should the proposed covered
transaction be entered into, it shall not knowingly enter into
any lower tier covered transaction with a person who is
debarred, suspended, declared ineligible, or voluntarily
excluded from participation in this covered transaction, unless
authorized by the department or agency with which this
transaction originated.
f. The prospective lower tier participant further agrees by
submitting this proposal that it will include this clause titled
"Certification Regarding Debarment, Suspension, Ineligibility
and Voluntary Exclusion -Lower Tier Covered Transaction,"
without modification, in all lower tier covered transactions and
in all solicitations for lower tier covered transactions exceeding
the $25,000 threshold.
g. A participant in a covered transaction may rely upon a
certification of a prospective participant in a lower tier covered
transaction that is not debarred, suspended, ineligible, or
voluntarily excluded from the covered transaction, unless it
knows that the certification is erroneous. A participant is
responsible for ensuring that its principals are not suspended,
debarred, or otherwise ineligible to participate in covered
transactions. To verify the eligibility of its principals, as well as
the eligibility of any lower tier prospective participants, each
participant may, but is not required to, check the Excluded
Parties List System website (https://www.epis.go, 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 a 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
10
TR 13056 Exhibit A
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.
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.
XI. CERTIFICATION REGARDING USE OF CONTRACT
FUNDS FOR LOBBYING
This provision is applicable to all Federal -aid construction
contracts and to all related subcontracts which exceed
$100,000 (49 CFR 20).
1. The prospective participant certifies, by signing and
submitting this bid or proposal, to the best of his or her
knowledge and belief, that:
a. 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 Federal 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 cooperative agreement,
and the extension, continuation, renewal, amendment, or
modification of any Federal contract, grant, loan, or
cooperative agreement.
b. If any funds other than Federal appropriated funds have
been paid or will be paid to any person for influencing or
attempting to influence an officer or employee of any Federal
agency, a Member of Congress, an officer or employee of
Congress, or an employee of a Member of Congress in
connection with this Federal contract, grant, loan, or
cooperative agreement, the undersigned shall complete and
submit Standard Form-LLL, "Disclosure Form to Report
Lobbying," in accordance with its instructions.
2. 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.
3. The prospective participant also agrees by submitting its
bid or proposal that the participant shall require that the
language of this certification be included in all lower tier
subcontracts, which exceed $100,000 and that all such
recipients shall certify and disclose accordingly.
m
TR 13056 Exhibit A
ATTACHMENT A - EMPLOYMENT AND MATERIALS
PREFERENCE FOR APPALACHIAN DEVELOPMENT
HIGHWAY SYSTEM OR APPALACHIAN LOCAL ACCESS
ROAD CONTRACTS
This provision is applicable to all Federal -aid projects funded
under the Appalachian Regional Development Act of 1965.
1. During the performance of this contract, the contractor
undertaking to do work which is, or reasonably may be, done
as on -site work, shall give preference to qualified persons who
regularly reside in the labor area as designated by the DOL
wherein the contract work is situated, or the subregion, or the
Appalachian counties of the State wherein the contract work is
situated, except:
a. To the extent that qualified persons regularly residing in
the area are not available.
b. For the reasonable needs of the contractor to employ
supervisory or specially experienced personnel necessary to
assure an efficient execution of the contract work.
c. For the obligation of the contractor to offer employment to
present or former employees as the result of a lawful collective
bargaining contract, provided that the number of nonresident
persons employed under this subparagraph (1 c) shall not
exceed 20 percent of the total number of employees employed
by the contractor on the contract work, except as provided in
subparagraph (4) below.
2. The contractor shall place a job order with the State
Employment Service indicating (a) the classifications of the
laborers, mechanics and other employees required to perform
the contract work, (b) the number of employees required in
each classification, (c) the date on which the participant
estimates such employees will be required, and (d) any other
pertinent information required by the State Employment
Service to complete the job order form. The job order may be
placed with the State Employment Service in writing or by
telephone. If during the course of the contract work, the
information submitted by the contractor in the original job order
is substantially modified, the participant shall promptly notify
the State Employment Service.
3. The contractor shall give full consideration to all qualified
job applicants referred to him by the State Employment
Service. The contractor is not required to grant employment to
any job applicants who, in his opinion, are not qualified to
perform the classification of work required.
4. If, within one week following the placing of a job order by
the contractor with the State Employment Service, the State
Employment Service is unable to refer any qualified job
applicants to the contractor, or less than the number
requested, the State Employment Service will forward a
certificate to the contractor indicating the unavailability of
applicants. Such certificate shall be made a part of the
contractor's permanent project records. Upon receipt of this
certificate, the contractor may employ persons who do not
normally reside in the labor area to fill positions covered by the
certificate, notwithstanding the provisions of subparagraph (1 c)
above.
5. The provisions of 23 CFR 633.207(e) allow the
contracting agency to provide a contractual preference for the
use of mineral resource materials native to the Appalachian
region.
6. The contractor shall include the provisions of Sections 1
through 4 of this Attachment A in every subcontract for work
which is, or reasonably may be, done as on -site work.
12
TR 13056 Exhibit A
STATE OF FLORIDA DEPARTMENT OF TRANSPORTATION 525-010-40E
LOCAL AGENCY PROGRAM AGREEMENT ROGRAM MANAGEMENT
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Exhibit "E"
TITLE VI ASSURANCES
During the performance of this contract, the consultant or contractor, for itself, its assignees and successors in
interest (hereinafter collectively referred to as the "contractor') agrees as follows:
(1.) Compliance with REGULATIONS: The contractor shall comply with the Regulations relative to
nondiscrimination in federally -assisted programs of the U.S. Department of Transportation
(hereinafter, "USDOT") Title 49, Code of Federal Regulations, Part 21, as they may be
amended from time to time, (hereinafter referred to as the REGULATIONS), which are herein
incorporated by reference and made a part of this contract.
(2.) Nondiscrimination: The Contractor, with regard to the work performed by it during the contract, shall
not discriminate on the basis of race, color, national origin, or sex in the selection and retention of sub-
contractors, including procurements of materials and leases of equipment. The contractor shall not
participate either directly or indirectly in the discrimination prohibited by Section 21.5 of the
REGULATIONS, including employment practices when the contract covers a program set forth in
Appendix B of the REGULATIONS.
(3.) Solicitations for Sub -contractors, 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 sub -contract, including procurements of materials or leases of equipment, each
potential sub -contractor or supplier shall be notified by the contractor of the contractor's obligations
under this contract and the REGULATIONS relative to nondiscrimination on the basis of race, color,
national origin, or sex.
(4.) Information and Reports: The contractor shall provide all information and reports required by
the REGULATIONS or directives issued pursuant thereto, and shall permit access to its books,
records, accounts, other sources of information, and its facilities as may be determined by the
Florida Department of Transportation or the Federal Highway Administration, Federal Transit
Administration, Federal Aviation Administration, and Federal Motor Carrier Safety Administration
to be pertinent to ascertain compliance with such REGULATIONS, orders and instructions.
Where any information required of a contractor is in the exclusive possession of another who
fails or refuses to furnish this information the contractor shall so certify to the Florida Department
of Transportation, or the Federal Highway Administration, Federal Transit Administration,
Federal Aviation Administration, or Federal Motor Carrier Safety Administration as appropriate,
and shall set forth what efforts it has made to obtain the information.
(5.) Sanctions for Noncompliance: In the event of the contractor's noncompliance with the
nondiscrimination provisions of this contract, the Florida Department of Transportation shall impose
such contract sanctions as it or the Federal Highway Administration, Federal Transit Administration,
Federal Aviation Administration. or
TR 13056 Exhibit A
STATE OF FLORIDA DEPARTMENT OF TRANSPORTATION 525-010-40E
LOCAL AGENCY PROGRAM AGREEMENT ROGRAM MANAGEMENT
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Federal Motor Carrier Safety Administration may determine to be appropriate, including, but not
limited to:
a. withholding of payments to the contractor under the contract until the contractor
complies, and/or
b. cancellation, termination or suspension of the contract, in whole or in part.
(6.) Incorporation of Provisions: The contractor shall include the provisions of paragraphs (1) through (7)
in every sub -contract, including procurements of materials and leases of equipment, unless exempt by
the REGULATIONS, or directives issued pursuant thereto. The contractor shall take such action with
respect to any sub -contract or procurement as the Florida Department of Transportation or the Federal
Highway Administration, Federal Transit Administration, Federal Aviation Administration, or Federal
Motor Carrier Safety Administration may direct as a means of enforcing such provisions including
sanctions for noncompliance, provided, however, that, in the event a contractor becomes involved in,
or is threatened with, litigation with a sub -contractor or supplier as a result of such direction, the
contractor may request the Florida Department of Transportation to enter into such litigation to protect
the interests of the Florida Department of Transportation, and, in addition, the contractor may request
the United States to enter into such litigation to protect the interests of the United States.
(7.) Compliance with Nondiscrimination Statutes and Authorities: Title VI of the Civil Rights Act of 1964
(42 U.S.C. § 2000d et seq., 78 stat. 252), (prohibits discrimination on the basis of race, color, national
origin); and 49 CFR Part 21; The Uniform Relocation Assistance and Real Property Acquisition Policies
Act of 1970, (42 U.S.C. § 4601), (prohibits unfair treatment of persons displaced or whose property has
been acquired because of Federal or Federal -aid programs and projects); Federal -Aid Highway Act of
1973, (23 U.S.C. § 324 et seq.), (prohibits discrimination on the basis of sex); Section 504 of the
Rehabilitation Act of 1973, (29 U.S.C. § 794 et seq.), as amended, (prohibits discrimination on the basis
of disability); and 49 CFR Part 27; The Age Discrimination Act of 1975, as amended, (42 U.S.C. § 6101
et seq.), (prohibits discrimination on the basis of age); Airport and Airway Improvement Act of 1982, (49
USC § 471, Section 47123), as amended, (prohibits discrimination based on race, creed, color, national
origin, or sex); The Civil Rights Restoration Act of 1987, (PL 100-209), (Broadened the scope, coverage
and applicability of Title VI of the Civil Rights Act of 1964, The Age Discrimination Act of 1975 and
Section 504 of the Rehabilitation Act of 1973, by expanding the definition of the terms "programs or
activities" to include all of the programs or activities of the Federal -aid recipients, sub -recipients and
contractors, whether such programs or activities are Federally funded or not); Titles 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 non-discrimination against minority populations by
discouraging programs, policies, and activities with disproportionately high and adverse human health
or environmental effects on minority and low-income populations; Executive Order 13166, Improving
Access to Services for Persons with Limited English Proficiency, and resulting agency guidance,
national origin discrimination includes discrimination because of limited English proficiency (LEP). To
ensure compliance with Title VI, you must take reasonable steps to ensure that LEP persons have
meaningful access to your programs (70 Fed. Reg. at 74087 to 74100); Title IX of the Education
Amendments of 1972, as amended, which prohibits you from discriminating because of sex in education
programs or activities (20 U.S.C. 1681 et seq).
TR 13056 Exhibit A
STATE OF FLORIDA DEPARTMENT OF TRANSPORTATION 525-010-40F
LOCAL AGENCY PROGRAM AGREEMENT PROGRAM MANAGEMENT
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EXHIBIT "F"
AGENCY RESOLUTION
The agency Resolution authorizing entry into this Agreement is attached and incorporated into this
Agreement.
TR 13056 Exhibit A
STATE OF FLORIDA DEPARTMENT OF TRANSPORTATION
LOCAL AGENCY PROGRAM AGREEMENT
EXHIBIT 1
FEDERAL FINANCIAL ASSISTANCE (SINGLE AUDIT ACT)
FEDERAL RESOURCES AWARDED PURSUANT TO THIS AGREEMENT ARE AS FOLLOWS:
CFDA No.:
20.205
CFDA Title:
Highway Planning and Construction
Federal -Aid Highway Program, Federal Lands Highway Program
CFDA Program Site:
https://www.cfda.gov/
Award Amount:
$400,000.00
Awarding Agency:
Florida Department of Transportation
Award is for R&D:
No
Indirect Cost Rate:
N/A
525-010-40
PROGRAM MANAGEMENT
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FEDERAL RESOURCES AWARDED TO THE RECIPIENT PURSUANT TO THIS AGREEMENT CONSIST OF THE
FOLLOWING:
2 CFR Part 200 — Uniform Administrative Requirements, Cost Principles & Audit Requirements for Federal Awards
http://www.ecfr.gov/
OMB Circular A-133, Audits of States, Local Governments and Non -Profit Organizations
http://www.whitehouse.gov/sites/default/files/omb/assets/al33/al33 revised 2007.pdf
OMB Circular A-133 Compliance Supplement 2014
httg://www.whitehouse.gov/omb/circulars/al33 compliance supplement 2014
FEDERAL RESOURCES AWARDED PURSUANT TO THIS AGREEMENT MAY ALSO BE SUBJECT TO THE
FOLLOWING:
OMB Circular A-87 (Revised), Cost Principles for State, Local and Indian Tribal Governments
http://www.whitehouse.gov/omb/circulars a087 2004/
OMB Circular A-102, Grants and Cooperative Agreements with State and Local Governments
http://www.whitehouse.-gov/omb/circulars a102/
Title 23 — Highways, United States Code
http:Huscode. house, gov/browse/prelim(a)title23&edition=prelim
Title 49 — Transportation, United States Code
http://uscode.house.gov/browse/prelimCDtitle49&edition=prelim
Map-21 — Moving Ahead for Progress in the 21st Century, Public Law 112-141
http://www.gpo.qov/fdsys/pkq/PLAW-112publ141 /pdf/PLAW-112publ l41.pdf
Federal Highway Administration — Florida Division
http://www.fhwa.dot.gov/fidiv/
Federal Funding Accountability and Transparency Act (FFATA) Sub -award Reporting System (FSRS)
https://www.fsrs.gov/