HomeMy WebLinkAboutFHWA TIGER 11 GRANT NO 9-24 AUGUSTA-RICHMOND COUNTY, GEORGIA
AUGUSTA SUSTAINABLE DEVELOPMENT IMPLEMENTATION PROGRAM
FHWA TIGER II Grant No. P-24
1. Award No. 2. Effective Date 3. CFDA No.
DTFH61-11-H-00006 },��R 2 Z��� 20.933
4. Awarded To 5. Spansoring Office
Augusta, Georgia Federal Highway Administration
530 Greene Street, Room 801 Office of Acquisition Management
Augusta, Georgia 30901 1200 New Jers�y Ave., SE
DUNS No. 0734384J 8 HAAM_4pF, Mail Stop E65-101
TIN No. 58-2204274 Washingtoq DC 20590
6. Period of Performance 7. Total Amount
Effective Date to January 10, 2014 Base: Phase 1: Federal Share: $373,307
Base; Phaso 1: Cost Share: 713 845
Total Basc Amount: $1,087,152
Option Phase 2: Federal Share: $535,000
Option Phase 2: Cost Share: 82 g
TotaJ Option Amount: $717,866
Grand Total Amoun� $908,373
8. Type of Agreement 9. Authority
Cooperative Agreement Title I of Division A, Public Law 111-117 (December
16, 2009)
10. Procurement Request Nos � 11. Funds Obligated
6601-11035 5373,307
l2. Submit Payment Requests To I3. Payment Office ���`�� �/ ..�
See Section III(G) See Section III(G) �CO(.6iQ+ .�wP/ ��
� � {�tD�.e� 3 / « �
14. Account�ng and Appropriation Data T�"�'-' ` I �
152005 ] E50-2012-060051 E500-66d1000000-25305-6 ] 006600 Obligate $373,307
15. Reseerch Titie and/or Description of Project
Augusta Sustainable Deveiopment Implementation Program
NAME OF RECIPIENT FEDERAI� HIGHWAY
ADMIMSTRA OIV
16. Si ature of Person Authorized to Sign 17. Signature Ag ement Officgx
��'Q• 3�1 �t l l /�
/�---- � //
Sigaature Date Signatw ate
Name: Carl Rodriguez
UNITED STATES OF AMERICA
U.S. DEPARTMENT OF TRANSPORTATION
FEDERAL HIGHWAY ADMINISTRATION
WASHINGTON, DC 20590
COOPERATIVE AGREEMENT UNDER THE
TRANSPORTATION, HOUSING AND URBAN DEVELOPMENT,
AND RELATED AGENCIES APPROPRIATIONS ACT FOR 2010
(DIV. A OF THE CONSOLIDATED APPROPRIATIONS ACT, 2010
(PUB. L. ll 1- 117, DEC. 16, 2009)), FOR THE NATIONAL
INFRASTRUCTURE INVESTMENTS DISCRETIONARY GRANT
PROGRAM (TIGER II DISCRETIONARY GRANTS, PLANNING)
CITY OF AUGUSTA, GEORGIA
AUGUSTA SUSTAINABLE DEVELOPMENT IMPLEMENTATION PROGRAM
FHWA TIGER II Grant No. P-24
TABLE OF CONTENTS
Section Title � pa�e
SECTION I- AGREEMENT DESCRIPTION 3
SECTION II - AWARD INFORMATION 5
SECTION III - AWARD ADMINISTRATION INFORMATION 7
Attachments
A. Project Scope of Work and Schedule
B. Approved Project Budget (SF-424 and SF-424A or SF-424CBW, and
supporting budget information)
Exhibits
EXHIBIT A: Cooperative A�reement Assurances
EXHIBIT B: Responsibilities and Authorities of Reci�ient
EXHIBIT C: Governin� Laws and Regulations
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� SECTION I — AGREEMENT DESCRIPTION
A. Statement of Purpose
This Cooperative Agreement between the Federal Highway Administration ("FHWA" or
"Goven�ment") and the City of Augusta, Georgia, is to perform transportation planning
work as follows: provide assistance in planning four interrelated initiatives that would
advance a sustainable development along a 4.5-mile transportation corridor in Augusta,
Georgia.
B. Legislative Authority
The U.S. Department of Transportation ("DOT" or also the "Government") is authorized
to award up to $35 million in TIGER II Discretionary Grants for planning pursuant to
Title I(Department of Transportation) of Division A of the Consolidated Appropriations
� Act, 2010 (Pub. L. 1 l 1-117, Dec. 16, 2009) (the "Act"). This appropriation is similar, but
not identical to the appropriation for the Transportation Investment Generating Economic
Recovery, or "TIGER Discretionary Grant", program authorized and implemented
pursuant to the American Recovery and Reinvestment Act of 2009 (the "Recovery Act").
Because of the similarity in program structure and objectives, DOT is referring to the
planning grants/cooperative agreement awards for National Infrastructure Investments
under the Act as "TIGER 11 Planning Grants".
The planning cooperative agreement awards made under the Tiger II Discretionary Grant
program are in full compliance with the Act, the Interim Notice of Funding Availability
(75 FR 21695, April 26, 2010), and the "Notice of Funding Availability for the
Department of Housing and Urban Development's Community Challenge Planning
Grants and the Department of Transportation's T1GER 11 Planning Grants" ("Joint DOT-
HUD NOFA", 75 FR 36246, June 24, 2010).
C. General Terms and Conditions
1. The Recipient agrees to carry out and complete the Project without undue delays and
in accordance with the terms hereof, including the Project Scope of Work and Schedule
set out in Attachment A, and such regulations and procedures as the Government may
prescribe.
2. The Recipient agrees to notify the Government within 14 calendar days of any change
in circumstances or commitments that may adversely affect the Recipient's plan to
complete the Project as is described in Attachments A-B to this Agreement. In its
notification, the Recipient shall advise the Government of what actions it has taken or
plans to take to ensure completion of the Project and shall reaffirm its commitment to the
Government as set forth in this Agreement. The Government is not responsible far any
funding shortfalls regarding the non-TIGER II Discretionary Grant amount share. The
TIGER lI Discretionary Grant Amount will remain unchanged. (See Section 5 of this
Agreement regarding termination).
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3. The Recipient has submitted a request for Federal assistance, hereinafter referred to as
the "Technical Application," hereby incorporated by reference into this Agreement and
the Government is relying upon the Recipient's assurances, certifications, and other
representations made in the Technical Application, or any other related documents
submitted to the Government; and, in its submissions, the Recipient has demonstrated
justification for the Project, and has demonstrated the financial and technical feasibility
of the Project, including the ability to start the Project quickly upon receipt of the Grant;
to expend Grant funds once the Project starts; and, to the extent applicable, to receive all
necessary environmental, state and local planning, and legislative approvals necessary for
the Project to proceed in accordance with the Project Schedule.
4. The Government has determined that the Project is an eligible planning project under
� the Act. The Government has determined that Recipient should receive the award of a
Grant based on a review of the Project's Technical Application, as it meets the
requirements specified in the Act, the Interim Notice of Funding Availability (75 FR
21695, April 26, 2010), and the "Notice of Funding Availability for the Department of
Housing and Urban Development's Community Challenge Planning Grants and the
Department of Transportation's TIGER Il Planning Grants"("Joint DOT-HUD NOFA",
75 FR 36246, June 24, 20] 0).
5. The Recipient will be monitored periodically by the Government, both
programmatically and financially, to ensure that the Project goals, objectives,
performance requirements, timelines, milestone completion, budgets, and other related �
program criteria are being met. Monitoring will be accomplished through a combination
of office-based reviews and onsite monitoring visits. Monitoring will involve the review
and analysis of the financial, programmatic, performance and administrative issues
relative to each program and will identify areas where technical assistance and other
support may be needed. The Recipient is responsible for monitoring award activities, to
include sub-awards, to provide reasonable assurance that the Federal award is
administered in compliance with applicable requirements. Responsibilities include the
accounting of receipts and expenditures, cash management, maintaining adequate
financial records, and refunding disallowed expenditures.
6. The Recipient agrees to take all steps, including initiating litigation, if necessary, to
recover Federal funds if the Government determines, after consultation with the
Recipient, that such funds have been spent fraudulently, wastefully, or in violation of
Federal laws, or misused in any manner in undertaking the Project. For the purposes of
� this Agreement, the term "Federal funds" means funds howe��er used or disbursed by the
Recipient that were originally paid pursuant to the Agreement.
7. The Recipient agrees to retain all documents relevant to the Grant award for a period
of three years from completion of the Project and receipt of final reimbursement from the
Government. The Recipient agrees to furnish the Government, upon request, all
documents and records pertaining to the determination of the Grant amount or to any
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settlement, litigation, negotiation, or other efforts taken to recover such funds. All
settlements or other final positions of the Recipient, in court or otherwise, involving the
t•ecovery of such Grant amount shall be approved in advance by the Government.
8. The Recipient agrees to use best efforts to work to include the Project in the State
Transportation Improvement Program or Metropolitan Transportation Improvement
Program to the extent that such inclusion is a necessary step in the implementation of the
Project's planning recommendations or outcomes.
9. The Government is subject to the Freedom of Information Act (FOIA). The Recipient
should therefore be aware that all applications and related materials submitted by the
Recipient related to this Agreement will become agency records and thus are subject to
FOIA and to public release through individual FOIA requests.
10. The Government shall not be responsible or liable for any damage to property or any
injury to persons that may arise from, or be incident to, performance or compliance with
this Agreement.
11. The Recipient agrees it will comply with the requirements of Title 23, United States
Code, as determined to be applicable.
12. The Recipient understands that the entire project must meet all applicable planning
requirements under Title 23, United States Code. Where the Government has determined
that the planning requirements of Title 23, United States Code, apply, the Recipient
further understands that no NEPA decision can be made by FHWA until the Recipient
has identified that full funding is reasonably available for completion of all phases of the
project.
l 3. The Recipient also agrees to fulfill a special condition to address the findings from
an audit report for the year ending December 3l, 2009.This special condition requires the
Recipient to must take the necessary and required corrective actions to address the
findings from the audit report ending December 31, 2009. The Recipient shall absorb all
costs associated with this condition.
D. Statement of Work
The work requirements, including deliverables, for this Cooperative Agreement are
delineated in the Scope of Work in Attachment A herein. The Department of Housing
and Urban Development is funding to the Recipient for some elements of the
overall project described in the Recipient's a�plication. Anv descriptions in Attachment
A and Attachment B to this Cooperative Agreement that relate to work funded bv the
Department of Housing and Urban Development are for reference only. The Federal
Highway Administration is responsible for the administration and oversight of only the
work funded bv this Cooperative Agreement.
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SECTION II — AWARD INFORMATION
A. Obligated Funding
The total not to exceed amount of Federal funding that may be provided under this
Cooperative Agreement is $908,307.00 for the entire period of performance.
The Government's liability to make pa�nnents to the Recipient is limited to those funds
obligated under this Agreement, subject to any conditions specified in this agreement, as
indicated above and in any subsequent amendments.
The maximum obligation of the Government payable under this award shall be nine
hundred eight thousand three hundred seven dollars ($908,307) subject to all the terms
and conditions in this Cooperative Agreement.
The maximum obligation of the Government payable under this award shall be Nine
Hundred Eight Thousand Three Hundred Seven Dollars ($908,307) subject to all the
terms and conditions in this Cooperative Agreement. Currently, Federal funds for the
Phase l, in the amount of Three Hundred seventy-three thousand three hundred seven
Dollars, ($373,307) are obligated to this Agreement. Subject to availability of funds and
execution of an amendment to the Cooperative Agreement signed by the Agreement
Officer (AO), the Government Option to raise the total value of the grant to be Nine �
Hundred Eight Thousand Three Hundred Seven Dollars ($908,307) to include Phase 2
work may be exercised. The Government's liability to make payments to the Recipient is
limited to those funds obligated under this Agreement as indicated above and in any
subsequent amendments.
As delineated in the Project Scope of Work (Attachment A), the grant consists of a Phase
1 and option for a Phase 2. The Phase l obligation amount consists of Three Hundred
Seventy-Three Thousand Three Hundred Seven Dollars, ($373,307) for costs associated
with Planning, Environmental Review and Preliminary Engineering. Only upon bilateral
exercise of the Government Option, via formal amendment to the Cooperative Agreement
signed by the AO, may the remaining balance of the maximum obligation amount listed
in pari (a) of this section — Five Hundred Thirty-Five Thousand Dollars ($535,000) — be
obligated for performance of the optional Phase 2, which includes funds to be dedicated
towards the wark requirements delineated in the Scope of Wark in Attachment A herein.
B. Matching or Cost Sharing
As this is considered an urban project, this project carries a matching requirement of at
least 20% of total project costs, pursuant to Public Law I 1 l-1 17. The recipient will
provide cost sharing in total the amount of $846,731; of this amount $846,731 will be in
matching funding and the balance will be in-kind staffing quantified in the amount of $0,
in order to meet this requirement and complete the work effort as delineated in
Attachment A. If there are any cost savings or if the contract award is under the
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engineer's estimate, 23 CFR 630.106(� shall not apply to any match for the TIGER Il�
Discretionary Grant amount.
Note: Cost sharing contributions shall not consist of funds or costs paid by the Federal
Government under another award, except where authorized by Federal statute to be used
for cost sharing or matching. Only funds expended after the effective date of the award
will be eligible for consideration as cost share.
The matching requirements shall be monitored by FHWA for the duration of this effort.
At the conclusion of the Agreement, FHWA will determine whether the cost sharing
percent matching requirement has been achieved. The Recipient must ensure a clear
audit trail of the matching share costs and in-kind services for the duration of the
Agreement.
C. Period of Performance
The period of performance of this Agreement is tu�elve months, commencing on the
effective date stated on Page ] of this Agreement.
D. Degree of Federal Involvement
This is a Cooperative Agreement. The FHWA anticipates substantial Federal
involvement between FHWA and the Recipient during the course of this project that will
include:
• Coordination of this activity with other activities of the U.S. Department of
Transportation and the U.S. Department of Housing and Urban Development;
• Technical assistance and guidance, as applicable;
• Close monitoring during performance; and
• Participation in status meetings including kickoff ineeting and annual budget
reviews.
The Agreement Officer's Technical Representative (AOTR) will participate in the
planning and management of this Agreement on behalf of the FHWA and will coordinate
activities between the Recipient and the FHWA.
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SECTION III — AWARD ADMINISTRATION INFORMATION
A. Governing Laws and Regulations
Performance under this Agreement shall be governed by and in compliance with the all
applicable Federal regulations and statutes, including those listed in Exhibit C to this
Agreement.
B. Responsibilities of the Recipient
In accordance with the Project Schedule in Attachment A, the Recipient shall:
Provide overall program management. Specifically, the Recipient shall be responsible for
, the following, as a minimum:
Perform the Statement of Work in accordance with Section I(C), General Terms and
Conditions.
Coordinate and manage work, including issuing and managing subawards as necessary.
Submitting all required reports including Quarterly Progress Reports and Annual Budget
Reviews. Note: See Section entitled "Reporting''.
Meet with the FHWA AOTR as necessary.
Participate in a kick-off ineeting with the [Agreement Officer (AO) and the AOTR to
discuss Agreement expectations and procedures.
Participate in Annual Budget Review meetings with the AO and/or AOTR.
C. Amendments
Amendments to this Agreement may only be made in writing, signed by both parties for
bilateral actions and by the AO for unilateral actions, and specifically referred to as an
amendment to this Agreement.
D. Cooperative Agreement Assurances
The Recipient will execute the Cooperative Agreement Assurances attached as Exhibit A
in conjunction with the execution of this Agreement, or alternatively, if the Grantee
already has executed such Cooperative Agreement Assurances, the Grantee will ensure
that such existing Cooperative Agreement Assurances remain valid and in effect
throughout the term of this Agreement.
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� E. Agreement Officer's Technical Representative (AOTR)
The AO has designated Andrew Edwards as Technical Representative to assist in
monitoring the work under this Agreement. The AOTR will oversee the technical
administration of this Agreement and act as technical liaison with the recipient The
AOTR is not authorized to change the scope of work or specifications as stated in the
Agreement, to make any commitments or otherwise obligate the Government or authorize
any changes which affect the Agreement funding, delivery schedule, period of
performance or other terms or conditions.
The AO is the only individual who can legally commit or obligate the Government for
the expenditure of public funds. The technical administration of this Agreement shall not
be construed to authorize the revision of the terms and conditions of performance. The
AO shall authorize any such revision in writing.
F. Copyrights
The Recipient shall make available to the Government copies of all wark developed in
performance of this Cooperative Agreement, including but not limited to software and
data. The Government and others acting on its behalf shall have unlimited rights to
obtain, reproduce, publish, or otherwise use the data developed in the performance of this
Agreement pursuant to 49 C.F.R. Part 18.34.
G. Indirect Costs
Consistent with the terms set forth in the Payment section of this Agreement, Indirect
costs are allowable under this agreement as follows:
The Recipient did not include any indirect costs in the budget that was proposed and
accepted.
In the event the Recipient determines the need to adjust the above listed rates, the
Recipient shall notify the FHWA of the planned adjustment and provide rationale for
such adjustment. In the event such adjustment rates have not been audited by a Federal
agency, the adjustment of rates must be pre-approved in writing by the Agreement
Officer.
Any changes to the rates above are subject to the approval of the AO.
This Indirect Cost provision does not operate to waive the limitations on Federal funding
� provided in this Agreement. The Recipient's audited final indirect costs are allowable
only insofar as they do not cause the Recipient to exceed the total amount of Federal
funds obligated to the Agreement.
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H. Payment
Payment of costs under this Agreement will be made pursuant to and in accordance with
49 C.F.R. Parts 18 and l 9(to the extent that a non-governmental Recipient receives grant
funding), and the provisions of such regulations and procedures as the Government may
prescribe. Final determination of the Grant's expenditures may be based upon a final
review of the total amount of agreed project costs and settlement will be made for
adjustments to the Grant amount in accordance with applicable government-wide cost
principles under 2 C.F.R. 225 (State and Local Governments); 2 C.F.R. 215 (Higher
Education Institutions); and 2 C.F.R. 230 (Non-Profit Organizations). If there are any
differences between the requirements of 49 C.F.R. Parts 18 and l9 and Title 23, United
States Code, for projects subject to Title 23, Title 23 shall prevaiL �
The Recipient may request reimbursement of costs incurred in the performance hereof as
are allowable under the applicable cost provisions not to exceed the funds currently
available as stated herein. Requests shall be made no more frequently than monthly.
Payments by Reimbursement: When requesting reimbursement of costs incurred and
credit for cost share incurred, the Recipient shall submit supporting cost detail with the
SF 270 to clearly document costs incurred. Cost detail includes a detailed breakout of all
costs incurred including direct labor, indirect costs, other direct costs, travel, etc.
The Recipient will be reimbursed in accordance with the terms of this Agreement
between the Government (Modal Administration) or other specified form or agreement as
determined by the Government that incorporates this Agreement by reference.
The Recipient shall have entered into obligations for services and goods associated with
the Project priar to seeking reimbursement from the Government. Reimbursement will
only be made for expenses incurred after execution of this Agreement.
The Recipient shall ensure that the funds provided by the Government are not _
misappropriated or misdirected to any other account, need, project, line-item, or the like.
Any Federal funds not expended in conjunction with the Project will remain the property
of the Government.
Allowable Costs: Determination of allowable costs will be made in accordance with the
applicable Federal cost principles, e.g., OMB Circular A-87 (2 C.F.R. Part 225).
Disallowed costs are those charges determined to not be allowed in accordance with the
applicable Federal cost principles or other conditions contained in this Agreement.
The Recipient shall submit a copy of the SF 270 using one of the methods identified
below:
Requests for reimbursement and required supporting documents, should be sent via e-
mail to the following e-mail address: 9-AMGAMZ-FHWA-Invoices(a�faa.�ov
(a) Include the request for reimbursement and supporting documents as an attached PDF
l0
document
(b) Include in the e-mail subject line the following:
(i) "Invoice No. # �
� (ii) Agreement Number
(iii) Name of your Company/Organization." �
(iv) Attention: Juanita Toriello
Example: Invoice No. 35 — DTFH61-08-G-00001 — ABC University — Attention: John
Doe
If the request for reimbursement and supporting documents exceed 8 MB, as an e-mail
attachment, the recipient must select one of the other submission options presented
below:
Requests for reimbursement submitted via an overnight service must use the following
physical address:
MMAC
FHWA/AMZ-150
6500 S. MacArthur Blvd
Oklahoma City, OK 73169
Attention: Juanita Toriello
Express Delivery Point of Contact: April Grisham, (405) 954-8269
Requests for reimbursement may be submitted via regular U.S. Postal Service to the
following address:
Federal Highway Administration
Markview Processing
P.O. Box 268865
Oklahoma City, OK 73126-8865
Attention: Juanita Toriello
All requests for requests for reimbursement must identify Juanita Toriello as the point of
contact.
Requests for reimbursement submitted to an address other than those identified above
will be returned to the recipient as non-conforming.
The AO reserves the right to withhold processing requests for reimbursement until
sufficient detail is received. ln addition, reimbursement will not be made without AOTR
review and approval to ensure that progress on the Agreement is sufficient to substantiate
payment. After AOTR approval, the Agreement Specialist will certify and forvvard the
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advance or request for reimbursement to the payment office. Note: Standard Forms may
be located at http:Uwww.fhwa.dot.�ov/aaa/forms2.htm.
I. Acknowledgement of Support and Disclaimer
An acknowledgment of FHWA support and a disclaimer must appear in any publication
of any material, whether copyrighted or not, based on or developed under the Agreement,
in the following terms: �
"This material is based upon work supported by the FHWA under TDGII P-24,
Cooperative Agreement No. DTFH61-1 l-H-00006
J. Acknowledgement of Support and Disclaimer
An acknowledgment of FHWA support and a disclaimer must appear in any publication
of any material, whether copyrighted or not, based on or developed under the Agreement,
in the following terms:
"This material is based upon work supported by the FHWA under Cooperative
Agreement No. DTFH61-11-H-00006."
� All materials must also contain the following: �
"Any opinions, findings, and conclusions or recommendations expressed in this
publication are those of the Author(s) and do not necessarily reflect the view of the
FHWA."
� K. Site Visits
The Federal Government, through its authorized representatives, has the right, at all
reasonable times, to make site visits to review project accomplishments and management
control systems and to provide such technical assistance as may be required. If any site
visit is made by the Federal Government on the premises of the Recipient or a
subrecipient under this Agreement, the Recipient shal] provide and shall require their
subrecipients to provide all reasonable facilities and assistance for the safety and
convenience of the Government representative in the performance of their duties. All site
visits and evaluations shall be performed in such a manner as will not unduly delay work.
L. Enforcement and Termination
The Government may terminate this Agreement in whole or in part, upon providing
written notification to the Recipient, if the AO determines that a Recipient has failed to
complete the technical or administrative terms and conditions of the award, or has failed
to make sufficient progress on the Project Schedule in Attachment A, or the Government,
in its sole discretion, determines that termination of the Agreement is in the public
interest.
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M. Budget Revision/Reallocation of Amounts Under 49 C.F.R. 18.30
The Recipient is required to report deviations from budget and program plans, and
request prior approval for budget and program plan revisions in accordance with 49
C.F.R. Part 18.30.
Note: The Recipient must obtain prior written approval from the AO to transfer amounts
budgeted for direct cost categories when the cumulative value of such transfers will
exceed 10% of the value of Federal share of this Agreernent. When requesting such
approval, a letter request suffices.
N. Financial Management System Under 49 C.F.R. Part 18.20 and Title 23
By signing this Agreement, the Recipient verifies that it has, or will implement, a
financial management system adequate for monitoring the accumulation of costs and that
it complies with the financial management system requirements of 49 C.F.R. Part ] 8 and
Title 23. The Recipient's failure to comply with these requirements may result in
Agreement termination.
O. Allowability of Costs
Allowability of costs shall be determined in accordance with 49 C.F.R. Part 18.22.
Any non-domestic travel must be approved by the AO prior to incurring costs. Travel
requirements under this Agreement shall be met using the most economical form of
transportation available. If economy class transportation is not available, the request for
payment vouchers must be submitted with justification for use of higher class travel
indicating dates, times, and flight numbers.
P. Central Contractor Registry (CCR)
The Recipient, including any direct recipient acting under a delegation from the
Applicant, must be registered in the CCR in order to receive payments under this
Agreement. Use of the CCR is to provide one location for applicants and Recipients to
change information about their organization and enter information on where government
payments should be made. The registry will enable Recipients to make a change in one
place and one time for all Federal agencies to use. Information for registering in the CCR
and online documents can be found at www.ccr.gov.
Q. Key Personnel
The Recipient shall request prior written approval from the AO far any change in key
personnel specified in the award. Key personnel under this Agreement include:
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R. Subgrants and Subcontracts
Unless described in the application and funded in the approved award, the Recipient shall
obtain prior written approval from the AO for any subgrant and subcontract relating to
any work undertaken under this award. This provision does. not apply to the purchase of
supplies, material, equipment, or general support services of a value less than $150,000.
The following subgrants are currently approved under the cooperative agreement award:
No subgrants are currently approved under this Agreement.
The following subcontracts are currently approved under the cooperative agreement
award:
No subcontracts are currently approved under this Agreemerit.
Approval of each subcontract and subgrant is contingent upon a price fair and
reasonableness determination and approval by the AO for each proposed subgrantee and
subcontractor. Consent to enter into any subcontract and subgrant will be issued through
a forma] amendment to this Agreement.
S. Debarment and Suspension Requirements
The Recipient shall comply with_2 C.F.R. Part l 80 entitled, "OMB Guidelines to
Agencies on Government-wide Debarment and Suspension (Nonprocurement)." DOT-
specific guidance can be found at 2 C.F.R. Pari 1200 entitled, "Nonprocurement
Suspension and Department." Further, the Recipient shall flow down this requirement to
applicable subawards by including a similar term or condition in lower-tier covered
transactions.
T. Reporting
1. Addresses for Submittal of Reports and Documents
The Recipient shall submit all required reports and documents, under transmittal letter
referencing the TIGER ll grant number, as follows:
Submit one electronic copy to the Agreement Specialist at the following address:
Juanita.Toriello(a�dot.gov
Submit one electronic copy to the AOTR at the following email address:
Andrew.Edwards(a�dot.�
� Submit one electronic copy to the FHWA TIGER lI Planning Grants Point of Contact �
(FHWA Planning POC) at the following address: Kenneth.Petty.(a��dot.gov.
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2. Quarterly Progress Report
The Recipient shall submit an electronic copy, in PDF format, to the AOTR, the
Agreement Specialist, and FHWA Planning POC on or before the 30th of the month
following the calendar quarter being reported. Reports submitted under this provision
satisfy the NOFA requirement for a midterm and final report.
Calendar Quarters are:
(l ) January - March �
(2) April — June
(3) July — September �
(4) October- December
Each report shall contain concise statements covering the activities relevant to the
project, including:
• a summary of work performed for the current quarter;
• a summary of work planned for the upcoming quarter;
• a description of any problem encountered or anticipated that will affect the
completion of the work within the time and fiscal constraints as set forth in the
Cooperative Agreement, together with recommended solutions to such problems; or, a
statement that no problems were encountered;
• a tabulation of the current and cumulative costs expended for each task, by
quarter, versus budgeted costs; and
• SF425, Financial Status Report.
3. Annual Budget Review and Program Plan
The Recipient shall submit an electronic copy of the Annual Budget Review and Program
Plan to the AOTR, the Agreement Specialist, and FHWA Planning POC 60 days prior to
the end of each Agreement year. The Annual Budget Review and Program Plan shall
provide a detailed schedule of activities, estimate of specific performance objectives,
include forecasted expenditures, and schedule of milestones for the upcoming Agreement
year. The Recipient will meet with FHWA to discuss the Annual Budget Review and
Program Plan. Work proposed under the Annual Budget Review and Program Plan shall
not commence until the Agreement Officer's written approval is received.
� U. Financial Assistance Policy to Ban Text Messaging While Driving
a) Definitio�rs. The following definitions are intended to be consistent with the definitions
in Executive Order 13513, Federal Leadership on Reducing Text Messaging While
Driving, October ], 2009, and DOT Order 3902.10. For clarification purposes, they may
expand upon the definitions in the E.O.
"Driving"-
(1) Means operating a motor vehicle on a roadway, including while temporarily
stationary because of traffic, a traffic light, stop sign, or otherwise.
15
(2) It does not include being in your vehicle (with or without the motor running) in a �
location off the roadway where it is safe and legal to remain stationary.
"Text Messaging" ---means reading from or entering data into any handheld or other
electronic device, including for the purpose of short message service texting, e-mailing,
instant messaging, obtaining navigational information, or engaging in any other form of
electronic data retrieval or electronic data communication. The term does not include the
use of a cell phone or other electronic device for the limited purpose of entering a
telephone number to make an outgoing call ar answer an incoming call, unless the
practice is prohibited by State or local law.
(b) In accordance with Executive Order 13513, Federal Leadership on Reducing Text
Messaging While Driving, October 1, 2009, and DOT Order 3902.10, Text Messaging
While Driving, December 30, 2009, financial assistance recipients and subrecipients of
grants and cooperative Agreements are encouraged to:
(1) Adopt and enforce workplace safety policies to decrease crashes caused by distracted
drivers including policies to ban text messaging while driving--
(i) Company-owned or -rented vehicles or Government-owned, leased or rented
vehicles; or
(ii) Privately-owned vehicles when on official Government business or when
performing any work for ar on behalf of the Government.
(2) Conduct workplace safety initiatives in a manner commensurate with the size of the
business, such as-
(i) Establishment of new rules and programs or re-evaluation of existing programs
to prohibit text messaging while driving; and
(ii) Education, awareness, and other outreach to employees about the safety risks
associated with texting while driving.
� (c) Assistance Award.s. All recipients and subrecipients of financial assistance to include:
grants, cooperative Agreements, loans and other types of assistance, shall insert the
substance of this clause, including this paragraph (c), in all assistance awards.
V. Order of Precedence
The scope of work, schedule, and the budget are accepted, approved, and incorporated
herein as Attachments A and B. The recipient's original application is incorporated into
this Agreement by reference. In the event of any conflict between Attachments A and B
and the application, Attachments A and B shall prevail over the application.
16
AWARD AND EXECUTION OF THE COOPERATIVE AGREEMENT
There are three (3) identical counterparts of this Agreement in hard copy; each
counterpart is to be fully signed in writing by the parties and each counterpart is deemed
to be an original writing having identical legal effect. Upon final execution of this
Agreement by the Grantee, the effective date shall be the date the Government awarded
funding under this Agreement as set forth below. When signed and dated by the
authorized official of the Government, this instrument will constitute an Award under the
Act. � �
EXECUTION BY THE GOVERNMENT
Executed this day of , 20] l.
Signature of Government's Authorized Representative
Name of Government's Authorized Representative
Title
EXECUTION BY THE RECIPIENT
By signature below, the Recipient acknowledges that it accepts and agrees to be bound by
this Agreement.
rt
Executed this �� _ day of te3 Rc�•4 �.�, 2011.
� Signature of Recipient Authorized Representative
� G��i
� Z��'�1� �.� � ��� /r LLp�
Name of Recipient's Authorized Representative
��
Title
17
ATTACHMENT A- PROJECT SCOPE OF WORK AND
SCHEDULE
The Augusta Sustainable Development Implementation Program consists of a Phase l
and option for a Phase 2, since the targeted area has been identified as needing NEPA
review. The Augusta Sustainable Development Implementation Program will create a
mixed-use, mixed-income development along the identified section of the corridor that
would enable the use of multiple forms of transportation. The multimodal plan will
incorporate private and public input throughout the implementation process to ensure
benefit to the community as a whole. The core thesis of this combined planning effori is
to build on Augusta's existing attributes: natural, historic, cultural and human; focus both
public and private development into denser and more pedestrian oriented neighborhoods
and centers; provide better access to jobs, goods and services; expand green space; and
connect this new investment into the fabric of the existing environment.
Genera! Project Description
Augusta's blighted 4.5-mile urban core area is the key linkage between most of the city's
neighborhoods extending southward out of the city and the area's key employment
centers. The Augusta Sustainable Development Implementation Program's objective is to
develop mixed-use, multimodal transit-oriented nodes along a 4.5-mile corridor,
specifically the l 5` Street / Martin Luther King, Jr. Blvd, into a multimodal environment.
The two-phase plan, involves the widening of the existing roadway to create an
environment that promotes alternative modes of transportation such as pedestrian and
bicycle transportation.
The plan will synthesize master planning efforts already conducted by various entities by
binding agents and providing a framework that will pull the disparate pieces together and
shaping them into a clear, integrated picture.
The plan will incorporate public comments, stakeholder committees and other forms of
outreach communication to foster public and private developments into denser and more
pedestrian oriented neighborhoods and job centers that would provide employment
opportunities, goods and services, and expand green space throughout the 4.5-mile
corridor.
PHASE 1
Develop Cor�•idor Plan and Implementation Program
The funds for the Augusta Sustainable Development Implementation Program's will be
used to select a consultant suggest designs for the corridor. The suggested design will
facilitate a multimodal corridor that accommodates pedestrians, a multi-use trail, a green
median and planting strips, lighting and, in the future, public transit and electric vehicles
18
that would weave new development into the fabric of existing neighborhoods located
throughout the corridor.
Context sensitive solutions will be applied to the�widening along the 1 S` Street / Martin
Luther King, Jr. Blvd. The study will focus on suggesting a multimodal corridor that
incorporates pedestrian traffic, bicycles traffic, future public transit, and electric vehicle
conveyance into the design phase. The study will further highlight suggestions for green
infrastructure into the design and construction plans. Right-of-way plans will be created
and discussed. Furthermore, the right-of-way plans will discuss collaborative efforts that
must be taken to create an actionable plan. A phasing strategy will be developed that
focuses on converting the corridor into a multimodal area with tentative work schedules
for necessary right-of-ways.
While both the Recipient and GDOT will coordinate their respective efforts for the
multimodal transformation, the project would be overseen by the Augusta Planning
Commission. Other local agencies and departments to be included departments with
implementation include Engineering, Public Transit, Finance and Procurement. However,
the responsibility for the overall program rests with the Augusta-Richmond County
Commission, facilitated by the Augusta Administrator's Office.
Before the implementation of the suggested plan can begin, a review of The National
Environmental Policy Act (NEPA) must be conducted. The NEPA review must assess the
environmental impacts of the proposed actions and reasonable alternatives to those
actions before commencement of the plan can begin.
To ensure public opinion is included in the development of the plan, a Project
Management Team and project steering committee will conduct interviews regarding
stakeholder comments and concerns. This matter will be discussed in further detail below
under section, Administration, Communications, and Outreach.
Administration, Communications, and Outreach
Administration, Communications and Outreach will involve overall administration of the
grant project, coordinating work on the various components, and communications and
outreach to stakeholders and the community at large throughout the duration of the
review, agencies such as GDOT, Board of Education, Housing Authority, along with
local churches, cornmunity groups, and others input on the proposed plans. Outreach
efforts will ensure information is disseminated throughout the process to discuss both
concurrences and differences of thought regarding the proposed plan. Committees will be
established and be comprised of multi-sector stakeholders. The committees will ensure a
seamless communication structure for all. The committees wil] be comprised of multi-
sector government officials, stakeholders, such as, residents, workers, business owners,
property owners, environmental advocates, nonprofits, city agencies and elected officials
that are experienced in communicating information to the community at large.
l9
Incorporating all the aforementioned counterparts will ensure that the plan adopted by the
Recipient will ensure and address that the livability principles of the community. Private
and public comments will further enhance the objective of ensuring the targeted area
become a multi-modal, mixed-income, and mixed-used area for all stakeholders.
PHASE I
Deliverables
Develop Corridor Plan and Impleme�rtatio�r Program
The development of an RFP that will result in the selection of consultant will be executed
by August 20l l .
Findings reporting the assessment of the status of the 1 S Street Widening Project will be
completed in November 201 l. The following specific tasks will assessed by the report:
• The preconstruction status of 15th Street widening project;
• Preliminary schematic design, for the undertaking of the project;
o The development of an integrated work plan and project phasing strategy
will focus on converting the corridor into a multimodal area;
o Identifying section plans and order of the undertakings of such plans;
o A focus on green infrastructure into the design and construction plans to
manage storm water will be considered during the assessment;
• Projection of estimated costs; and
• Identification of the necessary right-of-ways to promote a multimodal area that
facilitates various forms of transportation.
Ad»:inistration, Conlmunications, and Outreach
Communications and outreach will be overseen by the Mayor's office in coordination
with the Administrator's Office. A public kick-off ineeting focusing on partnership
collaboration will be conducted. Afterward, ongoing meetings will be held with churches,
potential developers, and property owner for input, review and comment, negotiation and
� finalization of the proposed plan. These meetings will continue until January 2014. �
Ongoing public education regarding the status of the project will begin with a kickoff
session about the project. Established committees will meet a regularly scheduled
assembled of various stakeholders will ensure a seamless communication structure for all.
Committees will record the concerns of the community at large, and report the findings
so that such matters can be discussed and addressed. An interactive online
communication system will be implemented to create a communication structure.
Ongoing outreach communiques will be conducted until the completion of the project:
January 2014: Each committee will meet on a regular semi-monthly basis. In joint
quarterly sessions have been established for communication purposes. An online
communication structure will also be created to enable constant updating and sharing of
20
information. An internet accessible site will allow documents to be distributed to the
community. �
PHASE 2
Develop Co��ridor Plan and Implementatio» Program
After receiving the proposed plan, revisions and reasonable alternatives will follow. The
revision and reasonable alternatives to the proposed plan will take into consideration the
impacts each respective plan will have on the environment and its natural resources. The
proposed alternative plans will address NEPA concerns. Different scenarios will be
developed from insight gained from the community meetings held throughout the
duration of the process that consider variations in uses, densities, and designs.
The revisions made to the preliminary context sensitive solution schematic plan to
include alternative multimodal elements throughout the Priority Development District
will draft results of the scenario analyses for discussion.
Administratio», Co»�munications, and Outreach
Outreach efforts will be overseen by the Mayor's office in coordination with the
Administrator's Office. These outreach efforts will ensure public and private comments
on the proposed plans suggested for the widening of the identified roadway. Again,
various community, stakeholder groups, and civic leaders, will be involved in
disseminating information regarding.
Ongoing outreach communiques will be conducted until the completion of the project:
January 20l 4: Each committee will meet on a regular semi-monthly basis. In joint
quarterly sessions have been established for communication purposes. An online
communication structure will also be created to enable constant updating and sharing of
information. An internet accessible site will allow documents to be distributed to the
community.
PHASE 2
Deliverables
NEPA review will begin in January 2012.
The right-of-way plans will be created in May 2012, and subsequently be finalized by
December 2012. Authorization for the right-of-way plans will completed by July 2013.
Ongoing meetings will be held with churches, potentia] developers, and property owner
for input, review and comment, negotiation and finalization of the proposed plan.
Final approval of the plan is scheduled for January 2014.
21
Admi�iistration, Communicatio�zs, a�1d Outreach �
Ongoing meetings will be held with churches, potential developers, and property owner
for input, review and comment, negotiation and finalization of the proposed plan. The
Recipient will continue to work with stakeholder to bring the plan to fruition.
Deliverables Sc/ledu/e
PHASE 1
Task Date of Com letion
Consultant Contract Procurement And Award August 12, 201 l
Public/Stakeholder Involvement Plan September 16, 2011
Findings Report Summarizing Status Of The 15` November l, 20l 1
Street Widening Project And Impact Of ASDA
Context Sensitive Design Solutions On The
Project
Revised Preliminary Design For 15 Street January 9, 2012
Widenin Pro�ect Inco orating CSS Elements
Begin NEPA Review Of The Revised Plan January 9, 2012
Complete NEPA Review Of Revised Plan April 20, 2010
Community Outreach Continuous And Ongoing Until
January 2014
PHASE 2
Community Outreach Continuous And Ongoing Until January
2014
Begin Right-Of-Way Plans May 1, 2012
Begin Final Design For Ado tion July 9, 2010
Complete Right-Of-Way Plans December 14, 2012
Obtain Ri ht-Of-Wa Authorization July 19, 2013
Complete Final Design August 23, 2013
Approve Final Plans January 10, 2014
22
ATTACHMENT B- APPROVED PROJECT BUDGET (SF-424 AND
SF-424A OR SF-424CBW, AND SUPPORTING BUDGET
INFORMATION)'
� For projects that are being jointly administered with the Department of Housing and Urban Development,
FHWA will �se for SF-424CBW in lieu of forms SF-424 and SF 424A in order to reduce the paperwork
burden on the recipient(s).
23
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HUD CHALLENGE PLANNING / DOT TIGER II DISCRETIONARY PLANNING
PROJECTAUGUSTA SUSTAINABLE DEVELOPMENT IMPLEMENTATION
PROGRAMSUMMARY OF ESTIMATED PRE-NEPA AND POST-NEPA EXPENDITURES
INiTIATIVE OR
TASK SOURCE OF FUNDS
DOT CITY ARCPC
Phase 1 Phase 2 Phase 1 Phase 2 Phase 1 Phase 2
Multi-Modal Plan
and
Implementation
Pro ram $308,307 $500,000 $650,000 $150,000 $34,145 $17,585
Administration,
Communication
and Outreach $65,000 $35,000 $0 $0 $29,700 $15,301
TOTAL $373,307 $535,000 $650,000 $150,000 $63,845 $32,866
Kev to Abbreviations: City = City of Augusta; ARCPC = Augusta-Richmond County Planning
Commission
31
EXHIBIT A
COOPERATIVE AGREEMENT ASSURANCES
� 32
__
EXHIBIT A 1
TITLE VI ASSURANCE
(Implementing Title VI of the Civil Rights Act of 1964, as amended)
ASSURANCE CONCERNING NONDISCRIMINATION IN
FEDERALLY-ASSISTED PROGRAMS AND ACTIVITIES
RECEIVING OR BENEFITING FROM FEDERAL FINANCIAL
ASSISTANCE
(implementing the Rehabilitation Act of 1973, as amended, and the Americans With
Disabilities Act, as amended)
49 C.F.R. Parts 21, 25, 27, 37 and 38
By signing and submitting the Technical Application and by entering into the Agreement
under the TIGER I1 Discretionary Grant program, the Recipient hereby agrees that:
1. As a condition to receiving any Federal financial assistance from the U.S. Department
of Transportation, Recipient will comply with: Title VI of the Civil Rights Act of 1964,
as amended, 42 U.S.C. 2000d--42 U.S.C. 2000d-4; all requirements imposed by or
pursuant to: Title 49, Code of Federal Regulations, Part 21, Nondiscrimination in
Federally-Assisted Programs of the Department of Transportation--Effectuation of Title
VI of the Civil Rights Act of 1964; and other pertinent directives so that no person in the
United States shall, on the grounds of race, color, national origin, be excluded from
participation in, be denied the benefits of, or be otherwise subjected to discrimination
under any program or activity for which the Recipient receives Federal financial
assistance from the Department of Transportation. This assurance is required by Title 49,
Code of Federal Regulations, Section 21.7(a).
2. As a condition to receiving any Federal financial assistance from the U.S. Department of
Transportation, Recipient will comply with: Title IX of the Education Amendments of 1972,
as amended, 20 U.S.C. 1681 through 1683, and 1685 through 1687, and U.S. DOT
regulatio�is. "Nondiscrimination on the Basis of Sex in Education Programs or Activities
Rece�ving Federal Financial Assistance," 49 C.F.R. part 25, which prohibit discrimination on
the basis of sex. As a condition to receiving any Federal financial assistance from the U.S.
Department of Transportation, it will comply with: the Age Discrimination Act of ] 975,
as amended (42 U.S.C. 6101 et seq.), the Drug Abuse Office and Treatment Act of 1972,
as amended (2l U.S.C. 1101 et seq.), the Comprehensive Alcohol Abuse and Alcoholism
Prevention, Treatment and Rehabilitation Act of 1970, as amended (42 U.S.C. 4541 et
seq.); and any other nondiscrimination provisions in the specific statute(s) under which
application for Federal assistance was made; and the requirements of any other
nondiscrimination statute(s) which may apply to the Recipient.
33
3. As a condition to receiving any Federal financial assistance from the Department of
Transportation, it will comply with: section 504 of the Rehabilitation Act of 1973, as
amended, (29 U.S.C. 794); and all requirements imposed by or pursuant to Title 49, Code
of Federal Regulations, Part 27, Nondiscrimination on the Basis of Handicap in Programs
and Activities Receiving or Benefiting from Federal Financial Assistance; and Part 37,
Transportation Services for Individuals With Disabilities; and Part 38, Americans With
Disabilities Act — Accessibility Specifications for Transportation Vehicles; and other
pertinent directives so that no otherwise qualified person with a disability, be excluded
from participation in, be denied the benefits of, be discriminated against by reason of
such handicap, or otherwise be subjected to discrimination under any program for which
the Recipient receives Federal financial assistance from the Department of
Transportation. This assurance is required by Title 49, Code of Federal Regulations,
Section 27.9.
4. The Recipient will promptly take any measures necessary to effectuate this
Agreement. The Recipient further agrees that it shall take reasonable actions to guarantee
that it, its contractors and subcontractors subject to the Department of Transportation
regulations cited above, transferees, and successors in interest will comply with all
requirements imposed or pursuant to the statutes and Department of Transportation
regulations cited above, other pertinent directives, and the above assurances.
5. These assurances obligate the Recipient for the period during which Federal financial
assistance is extended. The Recipient agrees that the United States has a right to seek
judicial enfarcement with regard to any matter arising under the statutes and Department
of Transportation regulations cited above, other pertinent directives, and the above
assurances.
6. These assurances are given far the purpose of obtaining Federal grant assistance under
the TIGER II Discretionary Grant Program and are binding on the Recipient, contractors,
subcontractors, transferees, successors in interest, and all other participants receiving
Federal grant assistance in the TIGER II Discretionary Grant Program. The person or
persons whose signatures appear below are authorized to sign this Agreement on behalf
of the Recipient.
7. In addition to these assurances, the Recipient agrees to file: a summary of all
complaints filed against it within the past year that allege violation(s) by the Recipient of
Title VI of the Civil Rights Act of 1964, as amended, section 504 of the Rehabilitation
Act of 1973, as amended; ar a statement that there have been no complaints filed against
it. The summary should include the date the complaint was filed, the nature of the
complaint, the status or outcome of the complaint (i.e., whether it is still pending or how
it was resolved).
34
EXHIBIT A 2
DISCLOSURE OF LOBBYING ACTNITIES
Certification for Contracts, Grants, Loans,
and Agreements
The undersigned certifies, to the best of his or her knowledge and belief, that:
1. No Federal appropriated funds have been paid or will be paid, by or on behalf of
the undersigned, to any person for influencing or attempting to influence an
officer or employee of any agency, a Member of Congress, an officer or employee
of Congress, or an employee of a Member of Congress in connection with the
awarding of any Federal contract, the making of any Federal grant, the making of
any Federal loan, the entering into of any cooperative agreement or grant
agreement, and the extension, continuation, renewal, amendment, or modification
of any Federal contract, grant, loan, cooperative agreement, or grant agreement.
2. If any funds other than Federal appropriated funds have been paid or will be paid
to any person for influencing or attempting to influence an officer or employee of
any agency, a Member of Congress, an officer or employee of Congress, or an
employee of a Member of Congress in connection with this Federal contract,
grant, loan, cooperative agreement, or grant agreement, the undersigned shall
complete and submit Standard Form-LLL (Rev. 7-97), "Disclosure of Lobbying
Activities," in accordance with its instructions.
3. The undersigned shall require that the language of this certification be included in
the award documents for al] subawards at all tiers (including subcontracts,
subgrants, and contracts under grants, loans, cooperative agreements and grant
agreements) and that all subRecipients shall certify and disclose accordingly.
4. This certification is a material representation of fact upon which reliance was
placed when this transaction was made or entered into. Submission of this
ceriification is a prerequisite for making or entering into this transaction imposed
by section 1352, title 3l, U.S. Code. Any person who fails to file the required
certification shall be subject to a civil penalty of not less than $] 0,000 and not �
more than $] 00,000 for each such failure.
35
EXHIBIT A 3
CERTIFICATION REGARDING DRUG-FREE WORKPLACE
REQUIREMENTS IN THE PERFORMANCE OF THE TIGER II
DISCRETIONARY GRANT PROGRAM
The Recipient certifies that it will, or will continue, to provide a drug-free workplace by:
]. Publishing a statement notifying employees that the unlawful manufacture,
distribution, dispensing, possession or use of a controlled substance is prohibited in
the Recipient's workplace, and specifying the actions that will be taken against
employees for violation of such prohibition.
2. Establishing an ongoing drug-free awareness program to inform employees about:
(a) The dangers of drug abuse in the workplace;
(b) The Recipient's policy of maintaining a drug-free workplace;
(c) Any available drug counseling, rehabilitation, and employee assistance
programs; and,
(d) The penalties that may be imposed upon employees for drug abuse violations
occurring in the workplace;
3. Making it a requirement that each employee to be engaged in the performance of
work supported by the grant award be given a copy of the statement required by
paragraph 1.
4. Notifying the employee in the statement required by paragraph 1 that, as a condition
of employment supported by the grant award, the employee will:
(a) Abide by the terms of the statement; and
(b) Notify the employer in writing of his or her conviction for a violation of a
criminal drug statute occurring in the workplace no later than five calendar days
after such conviction.
5. Notifying the agency in writing, within ten calendar days after receiving notice under
paragraph (d)(2) from an employee or otherwise receiving actual notice of conviction.
Employers of convicted employees must provide notice, including position title, to
the Department. Notice shall include the order number of the grant award.
6. Taking one of the following actions, within 30 days of receiving notice under
paragraph 4(b), with respect to any employee who is so convicted:
(a) Taking appropriate personnel action against such an employee, up to and
including termination, consistent with the requirements of the Rehabilitation Act
of ] 973, as amended, ar
36
-_ _
(b) Requiring such employee to participate satisfactorily in a drug abuse
assistance or rehabilitation program approved for such purposes by a Federal,
State or local health, law enforcement, or other appropriate agency.
7. Making a good faith effort to continue to maintain a drug-free workplace through
implementation of paragraphs (a), (b), (c), (d), (e) and (�.
8. The Recipient may, but is not required to, provide the site for the performance of
work done in connection with the specific grant. For the provision of services
pursuant to the Agreement, workplaces include outstations, maintenance� sites,
headquarters office locations, training sites and any other worksites where work is
performed that is supported by the grant award. If the Recipient does so, please insert
in Section 4 of the Agreement the following information from subsection (a) below:
(a) Identify the Places of Performance by listing the street address, city, county,
� state, zip code. Also identify if there are workplaces on file that are not identified
in this section of the Agreement.
37
EXHIBIT A 4
CERTIFICATION REGARDING DEBARMENT, SUSPENSION, AND
OTHER RESPONSIBILITY MATTERS -- PRIMARY COVERED
TRANSACTIONS
2 C.F.R. Part 1200, 49 C.F.R. Part 32
By signing and submitting the Technical Applicat�ion and by entering into the Agreement
under the TIGER ll Discretionary Grant program, the Recipient is providing the
assurance and certification set out below.
1. The inability of a person to provide the certification required below will not
necessarily result in denial of participation in this covered transaction. The prospective
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 primary participant to furnish a certification or an explanation
shall disqualify such person from participation in this transaction.
2. The certification in this clause is a material representation of fact upon which reliance
was placed when the department or agency determined to enter into this transaction. If it
is later determined that the prospective primary participant knowingly rendered an
erroneous certification, in addition to other remedies available to the Federal
Government, the department or agency may terminate this transaction for cause or
default.
3. The prospective primary participant shall provide immediate written notice to the
department or agency to which this proposal is submitted if at any time the prospective
primary participant learns that its certification was erroneous when submitted or has
become erroneous by reason of changed circumstances.
4. The terms covered transaction, debarred, suspended, ineligible, lower tier covered
transaction, participant, person, primary covered transaction, principal, proposal, and
voluntarily excluded, as used in this clause, have the meanings set out in the Definitions
and Coverage sections of the rules implementing Executive Order 12549. See
Nonprocurement Suspension and Debarment (2 C.F.R. Part 1200) and Government wide
Requirements for Drug-Free Workplace Grants (49 C.F.R. Pari 32). The prospective
primary 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 proposed for debarment under 48 C.F.R. part 9, subpart
9.4, debarred, suspended, declared ineligible, or voluntarily excluded from participation
in this covered transaction, unless authorized by the department or agency entering into
this transaction.
5. The prospective primary 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 Transaction," provided by
the department or agency entering into this covered transaction, without modification, in
38
all lower tier covered transactions and in all solicitations for lower tier covered
transactions.
6. A participant in a covered transaction may rely upon a certification of a prospective
participant in a lower tier covered transaction that it is not proposed for debarment under
48 C.F.R. part 9, subpart 9.4, debarred, suspended, ineligible, or voluntarily excluded
from the covered transaction, unless it knows that the certification is erroneous. A
participant may decide the method and frequency by which it determines the eligibility of
its principals. Each participant may, but is not required to, check the List of Parties
Excluded from Federal Procurement and Non-procurement Programs.
7. 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 a participant is not required to exceed that which is
normally possessed by a prudent person in the ordinary course of business dealings.
8. Except for transactions authorized under paragraph 6 of these instructions, if a
participant in a covered transaction knowingly enters into a lower tier covered transaction
with a person who is proposed for debarment under 48 C.F.R. part 9, subpart 9.4,
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 defau]t.
Certi�cation Regarding Debarment, Suspension, and Other Responsibility Matters -
- Primary Covered Transactions
1. The prospective primary participant certifies to the best of its knowledge and belief,
that it and its principals:
(a) Are not presently debarred, suspended, proposed for debarment, declared
ineligible, or voluntarily excluded by any Federal department or agency;
(b) 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;
(c) Are not presently indicted for ar otherwise criminally or civilly charged by a
governmental entity (Federal, State or local) with commission of any of the offenses
enumerated in paragraph (1)(b) of this certification; and
(d) Have not within a three-year period preceding this applicationlproposal had
one or more public transactions (Federal, State or local) terminated for cause or default.
2. Where the prospective primary participant is unable to certify to any of the statements
in this certification, such prospective participant shall attach an explanation to this
proposal.
39
Certification Regarding Debarment, Suspension, Ineligibility and Voluntary
Exclusion -- Lower Tier Covered Transactions �
By signing and submitting the Technical Application and by entering into the Agreement
under the TIGER II Discretionary Grant program, the Recipient is providing the
assurance and certification set out below.
1. 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
2. The prospective lower tier participant shall provide immediate written notice to the
person to whom this proposal is submitted if at any time the prospective lower tier
pariicipant learns that its certification was erroneous when submitted or had become
erroneous by reason of changed circumstances.
3. The terms covered transaction, debarred, suspended, ineligible, lower tier covered
transaction, participant, person, primary covered transaction, principal, proposal, and
voluntarily excluded, as used in this clause, have the meaning set out in the Definitions
and Coverage sections of rules implementing Executive Order 12549. You may contact
the person to which this proposal is submitted for assistance in obtaining a copy of those
regulations.
4. 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 proposed for debarment under 48
C.F.R. part 9, subpart 9.4, 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.
5. The prospective lower tier participant furiher 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.
6. A pal in a covered transaction may rely upon a certification of a prospective
participant in a lower tier covered transaction thai it is not proposed for debarment under
48 C.F.R. part 9, subpart 9.4, debarred, suspended, ineligible, or voluntarily excluded
from covered transactions, unless it knows that the certification is erroneous. A
participant may decide the method and frequency by which it determines the eligibility of
its principals. Each participant may, but is not required to, check the List of Parties
Excluded from Federal Procurement and Non-procurement Programs.
7. Nothing contained in the foregoing shall be construed to require establishment of a
system of records in order to render in good faith the ceriification required by this clause.
40
The knowledge and information of a participant is not required to exceed that which is
normally possessed by a prudent person in the ordinary course of business dealings.
8. Except for transactions authorized under paragraph 5'of these instructions, if a
participant in a covered transaction knowingly enters into a lower tier covered transaction
with a person who is proposed for debarment under 48 C.F.R. part 9, subpart 9.4,
suspended, debarred, ineligible, or voluntarily excluded from participation in this
transaction, in addition to other remedies available to the Federal Government, the
department or agency with which this transaction originated may pursue available
remedies, including suspension and/or debarment.
Certification Regarding Debarment, Suspension, Ineligibility an Voluntary
Exclusion -- Lower Tier Covered Transactions
By signing and submitting the Technical Application and by entering into the Agreement
under the TIGER II Discretionary Grant program, the Recipient is providing the
assurance and certification set out below.
l. 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 participation in this transaction by any
Federal department or agency.
2. Where the� prospective lower tier participan� is unable to certify to any of the
statements in this certification, such prospective participant shall attach an explanation to
this proposal.
41
EXHIBIT B
RESPONSIBILITY AND AUTHORITY OF THE RECIPIENT
1. Legal Authority.
The Recipient affirms that it has the legal authority to apply for the grant, and to finance
and carry out the proposed project identified in its Technical Application; that a
resolution, motion or similar action has been duly adopted or passed as an official act of
the Recipient's governing body authorizing the filing of the application, including all
understandings and assurances contained therein, and directing and authorizing the
person identified as the official representative of the Recipient to act in connection with
the application and to provide such additional information as may be required.
2. Funds Availability.
Recipient affirms that it has sufficient funds available for that portion of the project costs
that are not to be paid by the Government.
3. Preserving Rights and Powers.
Recipient will not take or permit any action that would operate to deprive it of any of the
rights and powers necessary to perform any or all of the terms, conditions, and assurances
in the Agreement without the written approval of the Government, and will act promptly
to acquire, extinguish, or modify any outstanding rights or claims of right of others that
would interfere with such performance by the Recipient. The Recipient agrees that this
will be done in a manner acceptable to the Government.
4. Accounting System, Audit, and Record Keeping Requirements.
(a) The Recipient agrees to keep all project accounts and records that fully
disclose the amount and disposition by the Recipient of the proceeds of the grant, the
total cost of the project in connection with which the grant is given or used, and the
amount or nature of that portion of the cost of the project supplied by other sources, and
such other financial records pertinent to the project. The accounts and records shall be
kept in accordance with an accounting system that will facilitate an effective audit in �
accordance with the Single Audit Act of ] 984, as amended (3l U.S.C. 7501-7507).
(b) The Recipient agees to make available to the DOT and the Comptroller
General of the United States, or any of their duly authorized representatives, far the
purpose of audit and examination, any books, documents, papers, and records of the
Recipient that are pertinent to the gant. The Government may require that a Recipient
conduct an appropriate audit. In any case in which an independent audit is made of the
accounts of a Recipient relating to the disposition of the proceeds of a grant or relating to
the project in connection with which the grant was given or used, it shall file a certified
copy of such audit with the Comptroller General of the United States not later than six (6)
months following the close of the fiscal year for which the audit was made.
42
TRANSPARENCY ACT REQUIREMENTS
(THIS SECTION MAY BE UPDATED BASED ON
FURTHER OMB GUIDANCE OR REGULATION]
Pursuant to the Federal Funding Transparency and Accountability Act of 2006, as
amended (Pub. L. 109-282, as amended by section 6202 of Public Law ] l 0-252,
hereafter referred to as "the Transparency Act" or "the Act") and the OMB Interim
Final Rule (75 FR 55663 (September 14, 2010) (available at
httn://www.gpo. og v/fdsys/pkg/FR-2010-09-14/pdf/2010-22705 pd� (codified at 2 C.F.R.
Part 170), the Recipient is required to report as required under the Act, in addition to
including the following clause in all first-tier Subawards:
I. Reporting Subawards and Executive Compensation.
a. Reporting of First-Tier Subawards.
1) Applicability. Unless the Recipient (hereinafter in this section referred to as "you") are
exempt as provided in paragraph d. of this section, you must report each action that
obligates $25,000 or more in Federal funds that does not include Recovery funds (as
defined in section 1512(a)(2) of the American Recovery and Reinvestment Act of 2009,
Pub. L. 1 l 1-5) for a subaward to an entity (see definitions in subsection e. of this
section).
2) Where and when to report.
a. You must report each obligating action described in subsection a.l . of this section to
http : //www. fsrs. gov.
b. For subaward information, report no later than the end of the month following the
month in which the obligation was made. (For example, if the obligation was made on
November 7, 2010, the obligation must be reported by no later than December 31, 20l 0.)
3) What to report. You must report the information about each obligating action that the
submission instructions posted at http://www.fsrs.gov specify.
b. Reporting Total Compensation of Recipient Executives.
1) Applicability and what to report. You must report total compensation for each of your
five most highly compensated executives for the preceding completed fiscal year, if—
a. the total Federal funding authorized to date under this award is $25,000 or more;
b. in the preceding fiscal year, you received—
(1) 80 percent or more of your annual gross revenues from Federal procurement contracts
(and subcontracts) and Federal financial assistance subject to the Transparency Act, as
defined at 2 C.F.R. 170.320 (and subawards); and
43
(2) $25,000,000 or mare in annual gross revenues from Federal procurement contracts
(and subcontracts) and Federal financial assistance subject to the Transparency Act, as
defined at 2 C.F.R. l 70.320 (and subawards); and
c. The public does not have access to information about the compensation of the
executives through periodic reporis filed under section l 3(a) or I S(d) of the Securities
Exchange Act of 1934 (15 U.S.C. 78m(a), 78o(d)) or section 6104 of the Internal
Revenue Code of 1986. (To determine if the public has access to the compensation
information, see the U.S. Security and Exchange Commission total compensation filings
at http://www.sec.gov/answers/execomp.htm.)
2) Where and when to report. You must report executive total compensation described in
subsection b. l. of this section:
a. As pari of your registration profile at http://www.ccr.gov.
b. By the end of the month following the month in which this award is made, and
annually thereafter.
c. Reporting of Total Compensation of Subrecipient Executives.
1) Applicability and what to repori. Unless you are exempt as provided in subsection d.
of this section, for each first-tier subrecipient under this award, you shall report the names
and total compensation of each of the subrecipient's five most highly compensated
executives for the subrecipient's preceding completed fiscal year, if—
a. in the subrecipient's preceding fiscal year, the subrecipient received—
(1) 80 percent or more of its annual gross revenues from Federal procurement contracts
(and subcontracts) and Federal financial assistance subject to the Transparency Act, as
defined at 2 C.F.R. 170.320 (and subawards); and
(2) $25,000,000 or more in annual gross revenues from Federal procurement contracts
(and subcontracts), and Federal financial assistance subject to the Transparency Act (and
subawards); and
b. The public does not have access to information about the compensation of the
execurives through periodic reports filed under section 13(a) or 15(d) of the Securities
Exchange Act of 1934 (15 U.S.C. 78m(a), 78o(d)) or section 6104 of the Internal �
Revenue Code of 1986. (To determine if the public has access to the compensation
information, see the U.S. Security and Exchange Commission total compensation filings
at http://www.sec.gov/answers/execomp.htm.)
2) Where and when to report. You must report subrecipient executive total compensation �
described in subsection c. l. of this section:
44
a. To the recipient.
b. By the end of the month following the month during which you make the subaward.
For example, if a subaward is obligated on any date during the month of October of a
given year (i.e., between October 1 and 3 l), you must report any required compensation
information of the subrecipient by November 30 of that year.
d. Exemptions.
If, in the previous tax year, you had gross income, from all sources, under $300,000, you
are exempt from the requirements to report:
a. Subawards,
and
b. The total compensation of the five most highly compensated executives of any
subrecipient.
e. Definitions. For purposes of this section:
1) Entity means all of the following, as defined in 2 C.F.R. part 25:
a. A Governmental organization, which is a State, local government, or Indian tribe;
b. A foreign public entity;
c. A domestic or foreign nonprofit organization;
d. A domestic or foreign for-profit organization;
e. A Federal agency, but only as a subrecipient under an award or subaward to a non-
Federal entity.
2) Executive means officers, managing partners, or any other employees in management
positions.
3) Subaward:
a. This term means a legal instrument to provide support for the performance of any
portion of the substantive project or program for which you received this award and that
you as the recipient award to an eligible subrecipient.
b. The term does not include your procurement of property and services needed to carry
out the project or program (for furthei• explanation, see Sec. .210 of the attachment
45
to OMB Circular A-133, "Audits of States, Local Governments, and Non-Profit
Organizations").
c. A subaward may be provided through any legal agreement, including an agreement
that you or a subrecipient considers a contract.
4) Subrecipient means an entity that:
a. Receives a subaward from you (the recipient) under this award; and
b. Is accountable to you for the use of the Federal funds provided by the subaward.
5) Total compensation means the cash and noncash dollar value earned by the executive
during the recipient's or subrecipient's preceding fiscal year and includes the following
(for more information see ] 7 C.F.R. 229.402(c)(2)):
a. Salary and bonus.
b. Awards of stock, stock options, and stock appreciation rights. Use the dollar amount
recognized for financial statement reporting purposes with respect to the fiscal year in
accordance with the Statement of Financial Accounting Standards No. 123 (Revised
2004) (FAS 123R), Shared Based Payments.
c. Earnings for services under non-equity incentive plans. This does not include group
life, health, hospitalization or medical reimbursement plans that do not discriminate in
favor of executives, and are available generally to all salaried employees.
d. Change in pension value. This is the change in present value of defined benefit and
actuarial pension plans.
e. Above-market earnings on deferred compensation which is not tax-qualified.
f. Other compensation, if the aggregate value of all such other compensation (e.g.
severance, termination payments, value of life insurance paid on behalf of the employee,
perquisites or property) for the executive exceeds $10,000.
SINGLE AUDIT INFORMATION FOR RECIPIENTS OF TIGER II GRANT
FUNDS
1. To maximize the transparency and accountability of funds authorized under the
Act as required by Congress and in accordance with 2 C.F.R. 215 "Uniform
Administrative Requirements for Grants and Agreements with Institutions of Higher
Education, Hospitals, and other Non-Profit Organizations" and OMB Circular A-102
"Grants and Cooperative Agreements with State and Local Governments." Common
Rules provisions, recipients agree to maintain records that identify adequately the source
and application of TIGER II Discretionary Grant funds. OMB Circular A—1 02 is
46
available at http://www.whitehouse.gov/omb/circulars/a102/a102.html.
� 2. For recipients covered by the Single Audit Act Amendments of 1996 and OMB
Circular A—1 33, "Audits of States, Local Governments, and Non-Profit Organizations,"
recipients agree to separately identify the expenditures for Federal awards under the Act
on the Schedule of Expenditures of Federal Awards (SEFA) and the Data Collection
Form (SF—SAC) required by OMB Circular A-133. OMB Circular A-133 is available at
http://www.whitehouse.gov/omb/circulars/a133/a133.htm1. This shall be accomplished
by identifying expenditures for Federal awards made under the Act separately on the
SEFA, and as separate rows under Item 9 of Part III on the SF—SAC by CFDA number,
and inclusion of the prefix "TIGER II -" in identif}�ing the name of the Federal program
on the SEFA and as the first characters in Item 9d of Part III on the SF—SAC.
47
EXHIBIT C �
GOVERNING AND RELATED LAWS AND REGULATIONS
Performance under this Agreement shall be governed by and in compliance with all
applicable Federal regulations and statutes, including the following requirements, as
applicable to the type of organization of the Recipient and any applicable subrecipients:
a. Federal Fair Labor Standards Act - 29 U.S.C. 201, et seq.
b. Section 404 of the Clean Water Act, as amended 33 U.S.C. 1251, et seq.
c. Section 7 of the Endangered Species Act, P.L. 93-205, as amended.
d. Drug Abuse Office and Treatment Act of 1972, as amended, 21 U.S.C. 1101, et
seq.
e. Architectural Barriers Act of 1968 - 42 U.S.C. 4151, et seq.
f. Federal Water Pollution Control Act, as amended - 33 U.S.C. 1251-1376
g. Single Audit Act of 1984 - 31 U.S.C. 7501, et seq.
h. Americans with Disabilities Act of 1990 - 42 U.S.C. 12101, et seq.
i. Title IX of the Education Amendments of 1972, as amended - 20 U.S.C. 1681
through 1683, and 1685 through 1687
j. Section 504 of the Rehabilitation Act of 1973, as amended - 29 U.S.C. 794
k. Title VI of the Civil Rights Act of 1964 - 42 U.S.C. 2000d et seq.
1. Limitation on Use of Appropriated Funds to Influence Certain Federal
Contracting and Financial Transactions — 31 U.S.C. 1352
m. Freedom of Information Act - 5 U.S.C. 552, as amended
n. The Federal Funding Transparency and Accountability Act of 2006, as amended
(Pub. L. 109-282, as amended by section 6202 of Public Law 110-252) (See
Exhibit B for required clause).
Executive Orders
a. Executive Order 11246 - Equal Employment Opportunity
b. Executive Order 12372 - Intergovernmental Review of Federal Programs
c. Executive Order 12549 — Debarment and Suspension
d. Executive Order 12898 — Federal Actions to Address Environmental Justice in
Minority Populations and Low-Income Populations
e. Executive Order 13 l 66 — Improving Access to Services for Persons With Limited
English Proficiency
General Federal Regulations
a. 49 C.F.R. 18, Uniform Administrative Requirements for Grants and Agreements
to State and Local Governments" [located at:
http://www.dot.gov/osUm60/grant/49cfr18.htm]; '
b. Cost Principles for State and Local Governments — 2 C.F.R. Part 225
c. Non-procurement Suspension and Debarment — 2 C.F.R. Part 1200
d. Office of Federal Contract Compliance Programs, Equal Employment
Opportunity, Department of Labor (Federal and federally assisted contracting
48
requirements) - 41 C.F.R. Parts 60, et seq.
e. New Restrictions on Lobbying — 49 C.F.R. Part 20 [located at
http://www. dot. gov.ost/m60/grant/49cfr20.htm�;
f. Nondiscrimination in Federally Assisted Programs of the Department of
Transportation —Effectuation of Title VI of the Civil Rights Act of 1964 — 49
C.F.R. Part 21
�. Nondiscrimination on the Basis of Sex in Education Programs or Activities
Receiving Federal Financial Assistance - 49 C.F.R. Part 25
h. Nondiscrimination on the Basis of Handicap in Programs and Activities
Receiving or Benefiting from Federal Financial Assistance - 49 C.F.R. Part 27
i. Enforcement of Nondiscrimination on the Basis of Handicap in Programs or
Activities Conducted by the Department of Transportation — 49 C.F.R. Part 28
j. Governmentwide Requirements for Drug-Free Workplace (Financial Assistance)
— 49 C.F.R. Pari 32
k. DOT's implementing ADA regulations, including the ADA Accessibility
Guidelines in Part 37, Appendix A- 49 C.F.R. Parts 37 and 38
1. Procedures for Transportation Workplace Drug and Alcohol Testing Programs —
49 C.F.R. Part 40
m. Participation by Disadvantaged Business Enterprises in Department of
Transportation Financial Assistance Programs — 49 C.F.R. Part 26
The Recipient agrees to: 1) promote the creation of job opportunities for low-income
workers through the use of best practice hiring programs and utilization of apprenticeship
(including pre-apprenticeship) programs; (2) provide maximum practicable opportunities
for small businesses, including veteran-owned small businesses and service disabled
veteran-owned small businesses; (3) make effective use of community-based
organizations in connecting low income or unemployed workers with economic
opporiunities; (4) give priority consideration to doing business under the grant with firms
that have a sound track record on labor practices and compliance with Federal laws
ensuring that American workers are safe and treated fairly; and (5) implement best
practices, consistent with our nation's civil rights and equal opportunity laws, for
ensuring that all individuals — regardless of race gender, age, disability, and national
origin — benefit from the Recovery Act.
An example of a best practice under (5) would be to incorporate key elernents of the
Depariment's disadvantaged business enterprise (DBE) program (see 49 C.F.R. Part 26)
in contracts under this grant. This practice would involve setting a DBE contract goal on
contracts under this grant that have subcontracting possibilities. The goal would be to
reflect the amount of DBE participation on the contract that the recipient would expect to
obtain absent the effects of discrimination and consistent with the availability of certified
DBE firms to perform work under the contract. When a DBE contract goal has been
established by a recipient, the contract would be awarded only to a bidder/ offeror who
has met or made documented, good faith efforts to reach the goal. Good faith efforts are
defined as "efforts to achieve a DBE goal or other requirement of this part which, by their
scope, intensity, and appropriateness to the objective, can reasonably be expected to
fulfill the program requirement." Recipients must provide the Department a plan for �
49
incorporating the above best practice into its implementation of the grant within 30 days
following execution of this cooperative agreement. If the recipient is not able to
substantially incorporate Part 26 elements in accordance with the above-described best
practice, the recipient agrees to provide the Department with a written explanation and an
alternative program for ensuring the nondiscriminatory use of contractors owned and
controlled by socially and economically disadvantaged individuals.
The Recipient also agrees that it will comply with the requirements of Title 23, United
States Code, as determined to be applicable. �
Office of Management and Budget Circulars
a. A-87 — Cost Principles Applicable to Grants and Contracts with State and Local
Governments [located at:
http://www.whitehouse.gov/OMB/circulars/a087/a087.htm1];
b. A-102 — Grants and Agreements with State and Local Governments [located at:
http://www.whitehouse. �ov/omb/circulars/a 102/a 102.htm1];
c. A-133 - Audits of States, Local Governments, and Non-Profit Organizations
[located at http://www.whitehouse.gov/omb/circulars/a133/a133.htm1];
d. Any other applicable OMB Circular based upon the specific TIGER II Grant
Recipient
Specific assurances required to be included in cooperative agreements and grant
agreements by any of the above laws, regulations, or circulars and are not included in the
attached Exhibit A, are hereby incorporated by reference into the Agreement.
50
DTFH61-11-H-00006
AMENDMENT 1
Page 1 of 1
AMENDMENT TO COOPERATIVE AGREEMENT
23. AMENDMENT NO.: 1 EFFECTIVE DATE: See No. 14, below
24. PROCUREMENT REQUE5T NO.: 6601-11083
25. AMENDMENT OF AGREEMENT NO.: DTFH61-11-H-00006
26. ISSUED BY: Federal Highway Administration
OfFice of Acquisition Management
1200 New Jersey Ave., SE
HAAM-40F, Mail Stop E65-101
Washington, DC 20590
27. NAME AND ADDRESS OF RECIPIENT:
Augusta, Georgia
530 Greene Street, Room 801
Augusta, GA 30901
DUNS : 07343 8418
TIN: 58-2204274
26. ACCOLTNTING AND APPROPRIATION DATA (if required):
See Below
27. DOLLAR AMOUNT OF AMENDMENT: $0
28. DESCRIPTION OF AMENDMENT:
This amendment is to change the accounting code listed on page 1, block 14 of the Cooperative
Agreement
FROM: 1520CS 1E50-2012-060CS 1E500-6601000000-25305-61006600
TO: 1520051 E50-2011-060FTDG500-6601000000-25 305-61006600
The total amount of funding obligated to the award, $373,307 remains the same. The total amount of
the Cooperative Agreement remains the same. Except as noted herein, all terms and conditions remain
unchanged and in full force and effect.
29. NAME AND TITLE OF SIGNER 10. NAME OF AGREEMENT OFFICER
N!A Samantha Reizes
11. RECIPIENT 12. FEDERAL HIGHWAY ADMINISTRATION
N/A �'a����.�/1� �, 7I1iS
(Signature of person authorized to sign) (Signature of Agreement Officer)
13. DATE SIGNED: 14. DATE SIGNED: �� t( � �