FR-TII-0046 - Glacier Rail Park Kalispell Core Area Development and TrailU.S Department of Transportation
Federal Railroad Administration
Cooperative Agreement
1. RECIPIENT NAME AND ADDRESS
City of Kalispell
2. AGREEMENT NUMBER: FR-TII-0046-17
3. AMENDMENT NO. 0
312 1st Ave E
4. PROJECT PERFORMANCE PERIOD: FROM 08/01/2017 TO 06/30/2022
Kalispell, MT 59901-4936
5. FEDERAL FUNDING PERIOD: FROM 08/01/2017 TO 06/30/2022
IA. IRS/VENDOR NO. 816001281
6. ACTION New
1BU . DNS NO. 021996665
7. CFDA#: 20.933
TITLE
FEDERAL
NON-FEDERAL
TOTAL
8. PROJECT TITLE
Glacier Rail Park / Kalispell Core Area Development and Trail
9. PREVIOUS AGREEMENTS
Q00
0.00
0.00
10. THIS AGREEMENT
10,000,000.00
11,175,374.00
21,175,374.00
11. TOTAL AGREEMENT
10,000,000.00
11,175,374.00
21,175,374.00
12. INCORPORATED ATTACHMENTS
THIS AGREEMENT INCLUDES THE FOLLOWING ATTACHMENTS, INCORPORATED HEREIN AND MADE A PART HEREOF:
Standard Terms and Conditions, Attachment 1; Statement of Work, Attachment 2; Project Schedule, Attachment 3; Approved Project Budget, Attachment 4; Performance
Measurements, Attachment 5; Assurances and Certifications, Attachment 6
13. STATUTORY AUTHORITY FOR GRANT/ COOPERATIVE AGREEMENT
Consolidated and Further Continuing Appropriations Act, 2015, Public Law 113-235, December 16, 2014
14. REMARKS
GRANTEE ACCEPTANCE
AGENCY APPROVAL
15. NAME AND TITLE OF AUTHORIZED GRANTEE OFFICIAL
17. NAME AND TITLE OF AUTHORIZED FRA OFFICIAL
Katharine Thompson
Jamie Rennert
16. SIGNATURE OF AUTHORIZED GRANTEE OFFICIAL
16A. DATE
18. SIGNATURE OF AUTHORIZED FRA OFFICIAL
18A. DATE
Electronically Signed
07/26/2017
Electronically Signed
07/27/2017
AGENCY USE ONLY
19. OBJECT CLASS CODE: 41010
20. ORGANIZATION CODE: 9000000000
21. ACCOUNTING CLASSIFICATION CODES
DOCUMENT NUMBER FUND BY BPAC AMOUNT
FR-TH-0046-17-01-00 2715170143 2017 0143TI5170 10,000,000.00
Page 1
AWARD ATTACHMENTS
Citv of Kalispell
1. Standard Terms and Conditions, Attachment 1
2. Statement of Work, Attachment 2
3. Project Schedule, Attachment 3
4. Approved Project Budget, Attachment 4
5. Performance Measurements, Attachment 5
6. Assurances and Certifications, Attachment 6
FR-TI 1-0046-17-01 -00
Attachment 1
GRANT AGREEMENT UNDER THE
CONSOLIDATED AND FURTHER CONTINUING APPROPRIATIONS
ACT, 2015
(PUB. L. 113-235, DECEMBER 16, 2014)
FOR THE NATIONAL INFRASTRUCTURE INVESTMENTS
DISCRETIONARY GRANT PROGRAM
(FY 2015 TIGER DISCRETIONARY GRANTS)
This agreement is between the United States Department of Transportation (the "USDOT"), acting
through the Federal Railroad Administration ("FRA"), and the recipient identified in section 1 of
the Grant Agreement (page 1) ("Recipient"). This agreement reflects the selection of the Recipient
for an award under the provisions of the Consolidated and Further Continuing Appropriations Act,
2015 (Pub. L. 113-235, December 16, 2014), regarding National Infrastructure Investments, as
described in the Notice of Funding Availability for the Department of Transportation's National
Infrastructure Investments Under the Consolidated and Further Continuing Appropriations Act,
2015, 80 FR 18283 (April 3, 2015) (the "NOFA"). In this agreement, "FY 2015 TIGER
Discretionary Grant" means an award under those provisions.
SECTION 1. AWARD TERMS AND CONDITIONS
a) Operating Administration. The Federal Railroad Administration (the "FRA") will
administer this agreement on behalf of the USDOT. In this agreement, the "Administering
Operating Administration" means the FRA. References in this agreement and its attachments to
the rights and responsibilities of USDOT include those of the FRA.
b) Purpose. The purpose of this award is to advance capital investments in surface
transportation infrastructure that will have a significant impact on the nation, a metropolitan area,
or a region. The parties will achieve that purpose by completing the project that was described in
the Recipient's technical application, as modified by the negotiated provisions on the project's
material terms and conditions, including Attachments 2-5.
c) Federal Award Amount. The USDOT hereby awards a FY 2015 TIGER Discretionary
Grant in the amount of $10,000,000 for the period of performance. The USDOT shall not
provide funding greater than this amount under this agreement. The Recipient acknowledges that
USDOT is not liable for payments that exceed this amount.
d) Recipient Cost Share Certification.
As negotiated, the Recipient hereby certifies that not less than $11,175,374 in non -Federal funds
are committed to fund the project.
e) Summary of Project's Estimated Budget. (See Attachment 4 for additional details.)
FRA Funding
Recipient Cash
Recipient In -
Other Federal
Total Project
Assistance
Contribution
Kind
Funding (0% of
Funding (100%
(47.2247% of
(52.7753% of
Contribution
Total) =
of Total)
Total) +
Total) +
(0% of Total) +
$10,000,000
$11,175,374
$0
$0
$21,175,374
f) Period of Performance. The period of performance for this award begins on the date of
this agreement and ends on the planned project closeout date that is listed in Attachment 3.
g) Urban or Rural Designation. Based on information that the Recipient provided to the
USDOT, including the technical application, the USDOT hereby designates the project to be a
project in a rural area, as defined in the NOFA. The Recipient shall comply with the requirements
that accompany that designation on minimum award size, geographic location, and cost sharing.
h) Fund Obligation. This agreement obligates the total amount stated in section l(c) of this
Attachment 1.
i) Federal Award Identification Number. The USDOT identifies this award with the
federal award identification number (grant agreement number) indicated on the cover sheet of this
agreement.
j) Attachments. This agreement includes the following attachments as integral parts, which
are incorporated into the terms of this agreement and are made a part hereof:
Attachment 2
Statement of Work
Attachment 3
Estimated Project Schedule
Attachment 4
Estimated Project Budget
Attachment 5
Performance Measurement Table.
Attachment 6
Assurances and Certifications.
k) Project's State and Local Planning Requirements.
The Project is included in the 2012 City of Kalispell Core Area Plan.
1) Project's Environmental Approvals and Processes.
FRA approved an Environmental Assessment prepared in accordance with the National
Environmental Policy Act (NEPA) and FRA's NEPA implementing procedures on 05/18/2017;
executed a Section 106 Memorandum of Agreement pursuant to Section 106 of the National
Environmental Policy Act on 07/06/2017; and issued a combined final Section 4(f) determination
and Finding of No Significant Impact (FONSI) on 07/18/2017 covering the scope of this Project.
2
m) Recipient Contacts.
Recipient Official Designated as Official Contact (may list more than one contact especially where
another agency or department, in addition to Recipient, is assisting in meeting grant requirements):
Katharine Thompson
Community Development Manager
City of Kalispell
201 1 st Avenue East
Kalispell, MT 59901
406-758-7713
KThompson@kalispell.com
n) USDOT Contacts. Except as authorized by the USDOT under section 2(b) of this
Attachment 1, the Recipient shall send all notices, reports, and information required by this
agreement to all of the following contacts:
Valarie Kniss
Regional Manager
United States Department of Transportation
Federal Railroad Administration (FRA)
1200 New Jersey Avenue, SE
Washington, DC 20590
(202) 493-0616
Valarie.kniss@dot.gov
And
OST TIGER Discretionary Grants Coordinator
United States Department of Transportation
Office of the Secretary
1200 New Jersey Avenue, SE
Washington, DC 20590
(202) 366-8914
TIGERGrants2dot. gov
o) Catalog of Federal Domestic Assistance Information. This award is under the program
titled "National Infrastructure Investments," with number 20.933 in the Catalog of Federal
Domestic Assistance.
p) Research and Development Designation. This award is not for research and
development.
SECTION 2. GENERAL REPORTING TERMS
3
a) Report Submission. The Recipient shall send all reports required by this agreement to all
of the USDOT contacts who are listed in Section 1(n) of this Attachment 1.
b) Alternative Reporting Methods. The Administering Operating Administration may
establish processes for the Recipient to submit reports required by this agreement, including
electronic submission processes. If the Recipient is notified of those processes in writing, the
Recipient shall use the processes required by the Administering Operating Administration.
c) Reporting as History of Performance. Under 2 C.F.R 200.205, any Federal awarding
agency may consider the Recipient's timely submission of the reports that this agreement requires,
or the Recipient's failure to timely submit those reports, when evaluating the risks of making a
future Federal financial assistance award to the Recipient.
d) Paperwork Reduction Act Notice. Under 5 C.F.R. 1320.6, the Recipient is not required
to respond to a collection of information that does not display a currently valid control number
issued by the Office of Management and Budget (the "OMB"). Collections of information
conducted under this agreement are approved under OMB Control No. 2105-0563.
SECTION 3. PROGRESS REPORTING
a) Quarterly Project Progress Reports. On or before the 20th day of the first month of each
calendar year quarter and until Project Closeout, the Recipient shall submit to the USDOT a
Quarterly Project Progress Report with the form and content described in section 16 of this
Attachment 1. If the date of this agreement is in the final month of a calendar year quarter, then
the Recipient shall submit the first Quarterly Project Progress Report in the second calendar year
quarter that begins after the date of this agreement.
b) Federal Financial Report (SF-425).
1. Quarterly Financial Reports. On or before the 30th day of each calendar year quarter and
until the period of performance end date that is listed in Attachment 3, the Recipient shall submit
through GrantSolutions a Federal Financial Report (SF-425) covering the previous calendar year
quarter.
2. Final Financial Report. The Recipient shall submit a final SF-425 through GrantSolutions
no later than 90 days after the period of performance end date that is listed in Attachment 3, but
the Recipient may submit that report as soon as all outstanding expenditures have been completed.
3. Financial Report Instructions. The Recipient shall submit the reports required by
sections 3(b)(1) and 3(b)(2) of this Attachment 1 in accordance with the SF-425 instructions,
which require reporting of all transactions, including Federal cash, Federal expenditures and
unobligated balance, recipient share, and program income. The Recipient shall not submit a report
unless the information is accurate, consistent, and supportable by the Recipient.
c) Annual Budget Review and Program Plan.
.19
1. From the date of this agreement until Project Closeout, on or before the 60th day before
the end of each Agreement Year, the Recipient shall submit to the USDOT an Annual Budget
Review and Program Plan that contains:
(a) a detailed schedule of activities and milestones for the next Agreement Year;
(b) an estimate of specific performance objectives, including forecasted expenditures, for the
next Agreement Year; and
(c) a comparison of the approved project budget with an updated estimate of the project costs.
In this agreement, "Agreement Year" means 12 months beginning on the date of this agreement or
an anniversary of the date of this agreement.
2. If the Recipient's updated estimate of the total project costs exceeds the total project costs
in the approved project budget, then the Recipient shall:
(a) include in the Annual Budget Review and Program Plan either documentation of
committed funds to cover the increased costs or a written plan describing how the Recipient will
cover the increased costs; and
(b) meet with the USDOT to discuss the Annual Budget Review and Program Plan.
d) Closeout Reports. No later than 90 days after the project completion date the Recipient
shall:
1. submit a final Federal Financial Report (SF-425), a certification or summary of project
expenses, and third -party audit reports; and
2. provide a report comparing the final work, schedule, and budget to the statement of work
described in Attachment 2, the schedule described in Attachment 3, and the budget described in
Attachment 4.
e) Project Closeout. In this agreement, "Project Closeout" means the date that the USDOT
notifies the Recipient that: (1) the Recipient has submitted all required information, including the
reports identified in section 3(c) of this Attachment 1; (2) the parties have completed the
administrative procedures described in 2 C.F.R. 200.343 — .345; and (3) the project is closed out.
SECTION 4. PERFORMANCE REPORTING
a) Performance Measure Data Collection. The Recipient shall collect the data necessary
to report on each performance measure that is identified in the Performance Measurement Table
in Attachment 5.
b) Pre -project Performance Measurement Report. The Recipient shall submit to the
USDOT, on or before the Pre -project Report Date that is stated in Attachment 5, a Pre -project
Performance Measurement Report that contains:
5
I . baseline data for each performance measure that is identified in the Performance
Measurement Table in Attachment 5, accurate as of the Pre -project Measurement Date that is
stated in Attachment 5; and
2. a detailed description of the data sources, assumptions, variability, and estimated levels of
precision for each measure.
c) Interim Performance Measurement Reports. After project completion, the Recipient
shall submit to the USDOT on or before each of the periodic reporting dates specified in the
Performance Measurement Table in Attachment 5, an Interim Performance Measurement Report
containing data for each performance measure that is identified in that table, accurate as of the
final date of the measurement period specified in that table.
d) Project Outcomes Report. The Recipient shall submit to the USDOT, on or before the
Project Outcomes Report Date that is stated in Attachment 5, a Project Outcomes Report that
contains:
1. a narrative discussion detailing project successes and the influence of external factors on
project expectations;
2. data for each performance measure that is identified in the Performance Measurement
Table in Attachment 5, accurate as of the Project Outcomes Measurement Date that is stated in
Attachment 5; and
3. an ex post examination of project effectiveness relative to the baseline data that the
Recipient reported in the Pre -project Performance Measurement Report.
e) Report Submittals. The Recipient shall submit each report mentioned in sections 4(b),
4(c) and 4(d) of this Attachment 1 via email to each of the Government contacts identified in
section 1(n) of this Attachment 1. The e-mail shall reference and identify in the subject line the
TIGER Grant Number and type of report (i.e., pre -project, interim, or project outcome).
SECTION 5. AGREEMENT MODIFICATIONS
a) Bilateral Modifications. The parties may amend, modify, or supplement this agreement
by mutual agreement in writing signed by the USDOT and the Recipient. Either party may request
to amend, modify, or supplement this agreement by written notice to the other party.
b) Limited Unilateral Modifications.
1. The Recipient may update the contacts who are listed in section 1(m) of this Attachment
1 (Recipient Contacts) by written notice to all of the USDOT contacts who are listed in section
1(n) of this Attachment 1.
rol
2. The USDOT may update the contacts who are listed in section 1(n) of this Attachment 1
(USDOT Contacts) by written notice to all of the Recipient contacts who are listed in section 1(m)
of this Attachment 1.
c) Other Modifications. The parties shall not amend, modify, or supplement this agreement
except as permitted under sections 5(a) or 5(b) of this Attachment 1. If an amendment,
modification, or supplement is not permitted under section 5(a) of this Attachment 1 and not
permitted under section 5(b) of this Attachment 1, it is void.
SECTION 6. STATEMENT OF WORK, SCHEDULE, AND BUDGET CHANGES
a) Statement of Work Changes. If the proj ect's activities differ from the statement of work
that is described in Attachment 2, then the Recipient shall request a modification of this agreement
to update Attachment 2.
b) Schedule Changes. If the project's substantial completion date changes to a date that is
more than three months after the substantial completion date listed in Attachment 3 or the planned
project closeout date changes to a date that is after the planned project closeout date listed in
Attachment 3, then the Recipient shall request a modification of this agreement to update
Attachment 3. For other schedule changes, the Recipient shall request a modification of this
agreement to update Attachment 3 unless the USDOT has consented, in writing consistent with
the Administering Operating Administration's requirements, to the change.
c) Budget Changes.
L If the any of the budget amounts that are listed in sections 1(c)(e) of this Attachment 1
change from the amounts listed in that section, then the Recipient shall request a modification of
this agreement to update sections l(c) (e) of this Attachment 1 and Attachment 4. For other
budget changes, the Recipient shall request a modification of this agreement to update Attachment
4 unless the USDOT has consented, in writing consistent the with Administering Operating
Administration's requirements, to the change.
2. If the actual eligible project costs are less than the "Total Project Cost" stated in section
1(e) of this Attachment 1, then the Recipient may reduce non -TIGER funds contributed to the
proj ect.
SECTION 7. TERMINATION AND EXPIRATION
a) USDOT Termination. The USDOT may, in its sole discretion, terminate this agreement
and all of its obligations under this agreement if any of the following occurs:
7
1. The Recipient fails to obtain or provide any non -TIGER Discretionary Grant contribution
or alternatives approved by the USDOT, as provided in this agreement and consistent with
Attachments 3 and 4;
2. The Recipient fails to begin construction before January 1, 2018;
3. The Recipient fails to begin expenditure of award funds by January 1, 2018;
4. The Recipient fails to finish construction (substantial completion) by June 30, 2022;
5. The Recipient fails to meet the conditions and obligations specified under this agreement,
including a material failure to comply with the schedule in Attachment 3, even if it is beyond the
reasonable control of the Recipient; or,
6. The USDOT, in its sole discretion, determines that termination of this agreement is in the
public interest.
b) Closeout Termination. This agreement terminates on Project Closeout.
c) Fund Expiration. Funds made available under this agreement are available for liquidation
and adjustment through September 30, 2022.
d) Reporting Survival. The reporting requirements set forth in sections 3 and 4 of this
Attachment 1 survive the termination of this agreement and the expiration of award funds.
SECTION 8. LEGISLATIVE AUTHORITY
a) The U.S. Department of Transportation ("USDOT") is authorized to award $600 million
in FY 2015 TIGER Discretionary Grants pursuant to the Consolidated and Further Continuing
Appropriations Act, 2015 (Pub. L. 113-235, Dec. 16, 2014), (the "Act"). This appropriation is
similar, but not identical to the appropriation for the Transportation Investment Generating
Economic Recovery, or "TIGER Discretionary Grants," program authorized and implemented
pursuant to the American Recovery and Reinvestment Act of 2009 (the "Recovery Act"), the FY
2010 TIGER Discretionary Grants pursuant to Title I (Department of Transportation) of Division
A of the Consolidated Appropriations Act, 2010, the FY 2011 TIGER Discretionary Grants
pursuant to Title XII (Transportation, Housing and Urban Development, and Related Agencies)
of Division B of the Department of Defense and Full -Year Continuing Appropriations Act, 2011
(Pub. L. 112-10, Apr. 15, 2011), the FY 2012 TIGER Discretionary Grants pursuant to the
Consolidated and Further Continuing Appropriations Act, 2012 (Pub. L. 112-055, Nov. 18,
2011), the FY 2013 TIGER Discretionary Grants pursuant to the Further Continuing
Appropriations Act, 2013 (Pub. L. 113-6, Mar. 26, 2013), and the Consolidated Appropriations
Act, 2014 (Pub. L. 113-76, Jan. 17, 2014). Because of the similarity in program structure and
objectives, DOT is referring to the grants for National Infrastructure Investments under the Act
as the "FY 2015 TIGER Discretionary Grants" or "TIGER Discretionary Grants."
b) The grant awards made under TIGER Discretionary Grant program are in full
compliance with the Act and the Notice of Funding Availability published in the Federal
Register (80 FR 18283, April 13, 2015).
c) Funds for the TIGER Discretionary Grants program are being awarded on a competitive
basis for projects that will have a significant impact on the Nation, a metropolitan area or a region.
Additionally, the awards ensure an equitable geographic distribution of funds, an appropriate
balance in addressing the needs of urban and rural areas, and the investment in a variety of
transportation modes.
d) The Act specifies that not less than $100 million of the funds provided for FY 2015
TIGER Discretionary Grants be used for projects located in rural areas.
SECTION 9. GENERAL TERMS AND CONDITIONS
a) The Recipient shall ensure that the project is financed, constructed, operated and
maintained in accordance with this agreement, and all applicable Federal laws, regulations and
policies of the Federal Railroad Administration ("FRA" or the "Government") will apply to the
proj ect.
b) The maximum obligation of the Government payable under this award, hereinafter
referred to as the "Grant," shall be the award, as specified in section 1(c) of this Attachment 1 of
the agreement, subject to all the terms and conditions in this agreement and of all other Federal
awards funding the project. Once the Government executes this agreement for the project, or a
segment of the project, the Grant funds will then be authorized for obligation.
c) Reimbursement of costs incurred pursuant to the agreement will be made pursuant to and
in accordance with 2 C.F.R. Part 200 and the provisions of such regulations and procedures as
the Government may prescribe. Determination of allowable costs incurred by the Recipient
under the Grant shall be made in accordance with applicable government -wide cost principles
under 2 C.F.R. Part 200, Subpart E. Closeout of the Grant shall be based upon a determination
that all applicable administrative actions and all required work of the Grant have been completed
in accordance with 2 C.F.R. 200.343-345. Upon the Government's review of all financial,
performance, and other reports required as a condition of the Grant, the Government may make
any upward or downward adjustments to the allowable costs in accordance with 2 C.F.R.
200.344.
d) The Recipient agrees to notify the Government within 30 calendar days of any change in
circumstances or commitments that adversely affect the Recipient's plan to complete the project
as described in this agreement and its attachments. In its notification, the Recipient shall advise
the Government of what actions it has taken or plans to take to ensure completion of the project
and shall reaffirm its commitment to the Government as set forth in this agreement. The
Recipient is solely liable for any funding shortfalls pertaining to the project as agreed to in the
agreement. The TIGER Discretionary Grant Award Amount will remain unchanged. (See
section 7 of this Attachment 1 to the agreement regarding termination.)
e) The Recipient agrees to carry out and complete the project without undue delays and in
accordance with the terms of this agreement, including the Project Schedule set out in
Attachment 3, and to comply with such regulations and procedures as the Government may
prescribe.
E
f) 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 planning activities
or construction starts; and to receive all necessary environmental, state and local planning, and
legislative approvals as necessary for the project to proceed in accordance with the Project
Schedule.
g) The Government has determined that the Project is an Eligible Project for TIGER
funding as it provides planning for or construction of a highway or bridge project, public
transportation project, passenger or freight rail transportation project, or a port infrastructure
project, or other such eligible project as authorized, and that the Project will have a significant
impact on the Nation, a metropolitan area, or a region. The Government has determined that
Recipient should receive the award of a Grant based on a review of the Project's Technical
Application, as it meets the requirements specified in the Act and the April 3, 2015, Federal
Register Notice, "Notice of Funding Availability for the Department of Transportation's
National Infrastructure Investments under the Consolidated and Further Continuing
Appropriations Act, 2015" (Available at https:Hfederalregister.gov/a/2015-07711).
h) The Recipient's progress 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 subawards, and accountable to the Government for the
use of the funds provided and to assure that the Federal award is administered in compliance
with applicable requirements. Responsibilities include the accounting of receipts and
expenditures, cash management, maintaining adequate financial records, and refunding
disallowed expenditures.
i) 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 however used or disbursed by the Recipient that were originally paid
pursuant to the agreement.
j) 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 settlement, litigation,
10
negotiation, or other efforts taken to recover such funds. All settlements or other final positions
of the Recipient, in court or otherwise, involving the recovery of such Grant amount shall be
approved in advance by the Government.
k) 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.
1) 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.
m) The Government encourages the Recipient and the State Department of Transportation
("State DOT") acting as the limited agent on behalf of the Recipient (if applicable), to adopt and
enforce workplace safety policies to decrease crashes caused by distracted drivers including
policies that bar text messaging while driving company -owned or —rented vehicles, or
government -owned, leased, or rented vehicles or privately -owned vehicles when on official
government business or when performing any work for or on behalf of the Government. See
Executive Order 13513 "Federal Leadership on Reducing Text Messaging While Driving," Oct.
1, 2009 (available at http://edocket.access.gpo.gov/2009/E9-24203.htm) and DOT Order
3902.10 "Text Messaging While Driving," Dec. 30, 2009, as implemented by Financial
Assistance Policy Letter (No. FAP-2010-01, Feb. 2, 2010, available at
http://www.dot.gov/ost/m60/Financial—Assistance—Management Home/FAPL-2010-Ol.pdf).
This includes, but is not limited to, the Recipient and the State Department of Transportation
acting as the limited agent on behalf of the Recipient:
1. considering new rules and programs or re-evaluating existing programs to prohibit text
messaging while driving;
2. conducting education, awareness, and other outreach for employees about the safety risks
associated with texting while driving; and
3. encouraging voluntary compliance with the agency's text messaging policy while off duty.
The Recipient is encouraged to insert the substance of this clause in all assistance awards.
Where a Recipient, and the State DOT if acting as a limited agent for the Recipient, is located
within a State that already has enacted legislation regarding texting while driving, that State's
law controls and the requirements of this paragraph will not apply to or be a part of this
agreement.
n) The Recipient agrees to: 1) provide maximum practicable opportunities for small
businesses, including veteran -owned small businesses and service disabled veteran -owned small
businesses, and 2) 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 — have an opportunity to benefit from activities funded through this
Agreement. An example of a best practice under 2) above would be to incorporate key elements
11
of the Department's Disadvantage Business Enterprise (DBE) program (see 49 C.F.R. Part 26) in
contracts under this Agreement. This practice would involve setting a DBE contract goal on
contracts funded under this Agreement that have subcontracting possibilities. The goal would
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/offer that has met or made (or in the
case of a design/build project, is committed to meeting or making) 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 Agreement which, by their scope, intensity, and appropriateness to the
objective can reasonably be expected to achieve the goal or other requirement. The Recipient
must provide FRA a plan for incorporating the above best practice into its implementation of the
Project within 30 days following execution of this 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 FRA with a written explanation and an alternative program
for ensuring that contractors owned and controlled by socially and economically disadvantaged
individuals are provided the opportunity to benefit from activities funded through this
Agreement.
o) The Recipient shall comply with the Buy America provisions set forth in 49 U.S.C.
24405(a) for the Project with respect to the use of steel, iron, and manufactured goods produced
in the United States, subject to the conditions therein set forth.
SECTION 10. APPLICABLE FEDERAL LAWS AND REGULATIONS
By entering into the agreement for a FY 2015 TIGER Discretionary Grant, the Recipient
assures and certifies, with respect to this Grant, that it will comply with all applicable Federal laws,
regulations, executive orders, policies, guidelines, and requirements as they relate to the
application, acceptance, and use of Federal funds for this Project. Performance under this
agreement shall be governed by and in compliance with the following requirements, as applicable,
to the type of organization of the Recipient and any applicable sub -recipients. The applicable
provisions to the agreement include, but are not limited to, the following:
General Federal Legislation
a. Davis -Bacon Act - 40 U.S.C. §§ 3141, et seq., as applicable under 23 U.S.C. 113
b. Federal Fair Labor Standards Act - 29 U.S.C. §§ 201, et seq.
C. Hatch Act - 5 U.S.C. §§ 1501, et seq.
d. Uniform Relocation Assistance and Real Property Acquisition Policies Act of 1970
- 42 U.S.C. §§ 4601, et seq.
e. National Historic Preservation Act of 1966 - Section 106 - 16 U.S.C. § 470f
f. Archeological and Historic Preservation Act of 1974 - 54 U.S.C. §§ 312501-
312508
g. Native American Graves Protection and Repatriation Act - 25 U.S.C. §§ 3001, et
seq.
h. Clean Air Act, P.L. 90-148, as amended 42 U.S.0 7401 et. seq.
i. Section 404 of the Clean Water Act, as amended 33 U.S.C. §§ 1251, et seq.
j. Section 7 of the Endangered Species Act, P.L. 93-205, as amended.
12
k. Coastal Zone Management Act, P.L. 92-583, as amended.
1. Flood Disaster Protection Act of 1973 - Section 102(a) - 42 U.S.C. § 4012a
M. Age Discrimination Act of 1975 - 42 U.S.C. §§ 6101, et seq.
n. American Indian Religious Freedom Act, P.L. 95-341, as amended
o. Drug Abuse Office and Treatment Act of 1972, as amended, 21 U.S.C. §§ 1101, et
seq.
p. The Comprehensive Alcohol Abuse and Alcoholism Prevention, Treatment and
Rehabilitation Act of 1970, P.L. 91-616, as amended - 42 U.S.C. §§ 4541, et seq.
q. Sections 523 and 527 of the Public Health Service Act of 1912, as amended, 42
U.S.C. §§ 290dd through 290dd-2
r. Architectural Barriers Act of 1968 - 42 U.S.C. § 4151, et seq.
S. Power Plant and Industrial Fuel Use Act of 1978, P.L. 100-42 - Section 403 - 42
U.S.C. § 8373
t. Contract Work Hours and Safety Standards Act - 40 U.S.C. § 3701, et seq.
U. Copeland Anti -kickback Act, as amended - 18 U.S.C. § 874 and 40 U.S.C. § 3145
V. National Environmental Policy Act of 1969 - 42 U.S.C. §§ 4321, et seq.
W. Wild and Scenic Rivers Act, P.L. 90-542, as amended — 16 U.S.C. §§ 1271, et seq.
X. Federal Water Pollution Control Act, as amended - 33 U.S.C. §§ 1251-1376
y. Single Audit Act of 1984 - 31 U.S.C. §§ 7501, et seq.
Z. Americans with Disabilities Act of 1990 - 42 U.S.C. § 12101, et seq.
aa. Title IX of the Education Amendments of 1972, as amended - 20 U.S.C. § 1681
through § 1683, and § 1685 through § 1687
bb. Section 504 of the Rehabilitation Act of 1973, as amended - 29 U.S.C. § 794
cc. Title VI of the Civil Rights Act of 1964 - 42 U.S.C. §§ 2000d et seq.
dd. Title IX of the Federal Property and Administrative Services Act of 1949 - 40
U.S.C. §§ 1101 -1104 541, et seq.
ee. Limitation on Use of Appropriated Funds to Influence Certain Federal Contracting
and Financial Transactions — 31 U.S.C. § 1352
ff. Freedom of Information Act - 5 U.S.C. § 552, as amended
gg. Magnuson -Stevens Fishery Conservation and Management Act — 16 U.S.C. § 1855
hh. Farmland Protection Policy Act of 1981 — 7 U.S.C. § 4201
ii. Noise Control Act of 1972 — 42 U.S.C. § 4901, et seq.
J. Fish and Wildlife Coordination Act of 1956 — 16 U.S.C. § 661
kk. Section 9 of the Rivers and Harbors Act and General Bridge Act of 1946 - 33 U.S.C.
§ 401
11. Section 4(f) of the Department of Transportation Act of 1966, 49 U.S.C. 303 and
23 U.S.C. § 138
mm. Resource Conservation and Recovery Act of 1976 (RCRA), as amended --
42 U.S.C. §§ 6901, et seq.
nn. Comprehensive Environmental Response, Compensation, and Liability Act of 1980
(CERCLA), as amended -42 U.S.C. §§ 9601-9657
oo. Safe Drinking Water Act -- 42 U.S.C. §§ 300E-300J-6
pp. Wilderness Act -- 16 U.S.C. §§ 1131-1136
qq. Solid Waste Disposal Act, as amended by the Resource Conservation and Recovery
Act of 1976 -- 42 U.S.C. § 6901, et seq.
rr. Migratory Bird Treaty Act 16 U.S.C. § 760c-760g
13
ss. 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)
tt. Cargo Preference Act of 1954 — 46 U.S.C. § 55305
Executive Orders
a. Executive Order 11246 - Equal Employment Opportunity
b. Executive Order 11990 - Protection of Wetlands
C. Executive Order 11988 — Floodplain Management
d. Executive Order 12372 - Intergovernmental Review of Federal Programs
e. Executive Order 12549 — Debarment and Suspension
f. Executive Order 12898 — Federal Actions to Address Environmental Justice in
Minority Populations and Low -Income Populations
g. Executive Order 13166 — Improving Access to Services for Persons With Limited
English Proficiency
General Federal Regulations
a. Uniform Administrative Requirements, Cost Principles, and Audit Requirements
for Federal Awards — 2 C.F.R. Parts 200, 1201
b. Non -procurement Suspension and Debarment — 2 C.F.R. Parts 180, 1200
C. Investigative and Enforcement Procedures - 14 C.F.R. Part 13
d_ Procedures for predetermination of wage rates - 29 C.F.R. Part 1
e. Contractors and subcontractors on public building or public work financed in whole
or part by loans or grants from the United States - 29 C.F.R. Part 3
f. Labor standards provisions applicable to contracts governing federally financed
and assisted construction (also labor standards provisions applicable to non -construction contracts
subject to the Contract Work Hours and Safety Standards Act) - 29 C.F.R. Part 5
g. Office of Federal Contract Compliance Programs, Equal Employment Opportunity,
Department of Labor (Federal and federally assisted contracting requirements) - 41 C.F.R. Parts
60, et seq.
h. Contractor Qualifications - 48 C.F.R. Part 9
i. New Restrictions on Lobbying — 49 C.F.R. Part 20
j. 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
k. Uniform relocation assistance and real property acquisition for Federal and
Federally assisted programs - 49 C.F.R. Part 24
1. Nondiscrimination on the Basis of Sex in Education Programs or Activities
Receiving Federal Financial Assistance - 49 C.F.R. Part 25
In. Nondiscrimination on the Basis of Handicap in Programs and Activities Receiving
or Benefiting from Federal Financial Assistance - 49 C.F.R. Part 27
n. DOT's oversight of DOD's ADA regulations for non -transit programs, including the
ADA Accessibility Guidelines, required by the DOJ regulations at 28 C.F.R. Part 35
o. Enforcement of Nondiscrimination on the Basis of Handicap in Programs or
Activities Conducted by the Department of Transportation — 49 C.F.R. Part 28
p. Denial of public works contracts to suppliers of goods and services of countries that
deny procurement market access to U.S. contractors - 49 C.F.R. Part 30
q. Governmentwide Requirements for Drug -Free Workplace (Financial Assistance) —
14
49 C.F.R. Part 32
r. DOT's implementing ADA regulations for transit, including the ADA Accessibility
Guidelines in Part 37, Appendix A - 49 C.F.R. Parts 37 and 38
S. Procedures for Transportation Workplace Drug and Alcohol Testing Programs — 49
C.F.R. Part 40
Office of Management and Budget Circulars
a. Any applicable OMB Circular based upon the specific FY 2015 TIGER
Discretionary Grant Recipient.
Specific assurances required to be included in grant agreements by any of the above laws,
regulations, or circulars are hereby incorporated by reference into the agreement.
SECTION 11. REIMBURSEMENT OF PROJECT COSTS
a) The Recipient will be reimbursed in accordance with the terms of a Project Agreement
between the Government (FRA) or other specified form or agreement as determined by the
Government that incorporates this agreement by reference.
b) The Recipient shall have entered into obligations for services and goods associated with
the Project prior to seeking reimbursement from the Government. FRA will provide
reimbursement only for costs incurred after the Project Performance Period and Federal Funding
Period start dates included in sections 4 and 5 of the Grant Agreement (page 1), unless an earlier
date is specified in the Statement of Work.
c) The Recipient shall ensure that the funds provided by the Government are not
misappropriated or misdirected to any other account, need, project, line -item, or unrelated
activity.
d) Any Federal funds not expended in conjunction with the Project will remain the property
of the Government.
e) 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.
f) Financial Management System: By signing this agreement, the Recipient verifies that it
has, or will implement, a financial management system adequate for monitoring the
accumulation of costs and that it complies with the financial management system requirements
of 2 C.F.R. 200.302 and Title 23, U.S.C.. The Recipient's failure to comply with these
requirements may result in agreement termination.
g) Allowable Costs: Determination of allowable costs will be made in accordance with the
applicable Federal cost principles, e.g., 2 C.F.R. Part 200 Subpart E . Disallowed costs are those
charges determined to not be allowed in accordance with the applicable Federal cost principles or
other conditions contained in this agreement.
SECTION 12. RESPONSIBILITY AND AUTHORITY OF THE RECIPIENT
15
a) 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.
b) Funds Availability. The Recipient affirms that it has sufficient funds available for that
portion of the project costs that are not to be paid by the Government. Recipient also affirms that
it has sufficient funds available to assure operation and maintenance of items funded under the
agreement that it will own or control.
c) Preserving Rights and Powers. The 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.
d) Accounting System, Audit and Record Keeping Requirements.
1. The Recipient agrees to keep all project accounts and records that fully disclose
the amount and disposition by the Recipient of the proceeds of the grant, the total cost of the
project in connection with which the grant is given or used, and the amount or nature of that
portion of the cost of the project supplied by other sources, and such other financial records
pertinent to the project. The accounts and records shall be kept in accordance with an accounting
system that meets the requirements of 2 C.F.R. 200.301 — 200.303 and 2 CFR 200 Subpart F and
will facilitate an effective audit in accordance with the Single Audit Act of 1984, as amended (31
U.S.C. §§ 7501-7507).
2. The Recipient agrees to make available to the Government and the Comptroller
General of the United States, or any of their duly authorized representatives, for the purpose of
audit and examination, any books, documents, papers, and records of the Recipient that are
pertinent to the grant. The Government may require that a Recipient conduct an appropriate
audit. In any case in which an independent audit is made of the accounts of a Recipient relating
to the disposition of the proceeds of a grant or relating to the project in connection with which
the grant was given or used, it shall file a certified copy of such audit with the Comptroller
General of the United States not later than six (6) months following the close of the fiscal year
for which the audit was made.
e) Minimum Wage Rates. It shall include, in all contracts in excess of $2,000 for work on
any projects funded under this agreement that involve labor, provisions establishing minimum
rates of wages, to be predetermined by the Secretary of Labor, in accordance with the Davis -
Bacon Act, as amended (40 U.S.C. § 3141, et seq.) or 23 U.S.C. 113 as applicable, which
contractors shall pay to skilled and unskilled labor, and such minimum rates shall be stated in the
invitation for bids and shall be included in proposals or bids for the work.
f) Engineering and Design Services. It will award each contract or sub -contract for
program management, construction management, planning studies, feasibility studies,
16
architectural services, preliminary engineering, design, engineering, surveying, mapping, or
related services with respect to the project in the same manner as a contract for architectural and
engineering services is negotiated under the Brooks Act (40 U.S.C. §§ 1101-1104) as
implemented in 23 U.S.C. 112(b)(2) (as applicable) or an equivalent qualifications -based
requirement prescribed for or by the Recipient as approved by the Secretary.
g) Foreign Market Restrictions. It will not allow funds provided under this grant to be
used to fund any project that uses any product or service of a foreign country during the period in
which such foreign country is listed by the United States Trade Representative as denying fair
and equitable market opportunities for products and suppliers of the United States in
procurement and construction.
h) Relocation and Real Property Acquisition. (1) It will be guided in acquiring real
property, to the greatest extent practicable under State law, by the land acquisition policies in
Subpart B of 49 C.F.R. Part 24 and will pay or reimburse property owners for necessary
expenses as specified in Subpart B. (2) It will provide a relocation assistance program offering
the services described in Subpart C and fair and reasonable relocation payments and assistance to
displaced persons as required in Subpart D and E of 49 C.F.R. Part 24. (3) It will make available
within a reasonable period of time prior to displacement, comparable replacement dwellings to
displaced persons in accordance with Subpart E of 49 C.F.R. Part 24.
SECTION 13. GRANT REQUIREMENTS AND CONTRACT CLAUSES
a) The Consolidated and Further Continuing Appropriations Act, 2015 (Pub. L. 113-235,
December 16, 2014), regarding National Infrastructure Investments (the "Act") (referred to as
"FY 2015 TIGER Discretionary Grants" or "TIGER Discretionary Grants") requires that all
laborers and mechanics employed by contractors and subcontractors on projects funded directly
by or assisted in whole or in part by and through the Federal Government shall be paid wages at
rates not less than those prevailing on projects of a character similar in the locality as determined
by the Secretary of Labor in accordance with subchapter IV of chapter 31 of Title 40, United
States Code.
b) Pursuant to Reorganization Plan No. 14 and the Copeland Act, 40 U.S.C. § 3145, the
Department of Labor has issued regulations at 29 C.F.R. Parts 1, 3, and 5 to implement the
Davis -Bacon and related Acts. Regulations in 29 C.F.R. 5.5 instruct agencies concerning
application of the standard Davis -Bacon contract clauses set forth in that section. Federal
agencies providing grants, cooperative agreements, and loans under the Act shall ensure that the
standard Davis -Bacon contract clauses found in 29 C.F.R. 5.5(a) are incorporated in any
resultant covered contracts that are in excess of $2,000 for construction, alteration or repair
(including painting and decorating).
c) Federal agencies providing grants, grant agreements, and loans under the Act shall ensure
that the standard Davis -Bacon contract clauses found in 29 C.F.R. 5.5(a) are incorporated in any
resultant covered contracts that are in excess of $2,000 for construction, alteration or repair
(including painting and decorating).
d) For additional guidance on the wage rate requirements of the Act, contact your awarding
agency. Recipients of grants, grant agreements and loans should direct their initial inquiries
concerning the application of Davis -Bacon requirements to a particular federally assisted project
17
to the Federal agency funding the project. The Secretary of Labor retains final coverage authority
under Reorganization Plan Number 14.
SECTION 14. TRANSPARENCY ACT AWARD TERM
[Note: This section contains standard DOT clause outline structure
that does not match the rest of this agreement.]
L Reporting Subawards and Executive Compensation.
a. Reporting of first -tier subawards.
1. Applicability. Unless you are exempt as provided in paragraph d. of this award term, you must
report each action that obligates $25,000 or more in Federal funds that does not include Recovery
funds (as defined in section 1512(a)(2) of the American Recovery and Reinvestment Act of 2009,
Pub. L. 111-5) for a subaward to an entity (see definitions in paragraph e. of this award term).
2. Where and when to report.
i. You must report each obligating action described in paragraph a. L of this award term to
http://www.fsrs.gov.
ii. For subaward information, report no later than the end of the month following the month in
which the obligation was made. (For example, if the obligation was made on November 7, 2010,
the obligation must be reported by no later than December 31, 2010.)
3. What to report. You must report the information about each obligating action that the submission
instructions posted at http://www.fsrs.gov specify.
b. Reporting Total Compensation of Recipient Executives.
1. Applicability and what to report. You must report total compensation for each of your five most
highly compensated executives for the preceding completed fiscal year, if
i. the total Federal funding authorized to date under this award is $25,000 or more;
ii. in the preceding fiscal year, you received
(A) 80 percent or more of your annual gross revenues from Federal procurement contracts (and
subcontracts) and Federal financial assistance subject to the Transparency Act, as defined at 2 CFR
170.320 (and subawards); and
(B) $25,000,000 or more in annual gross revenues from Federal procurement contracts (and
subcontracts) and Federal financial assistance subject to the Transparency Act, as defined at 2 CFR
170.320 (and subawards); and
iii. The public does not have access to information about the compensation of the executives
through periodic reports filed under section 13(a) or 15(d) of the Securities Exchange Act of 1934
(15 U.S.C. 78m(a), 78o(d)) or section 6104 of the Internal Revenue Code of 1986. (To determine
if the public has access to the compensation information, see the U.S. Security and Exchange
Commission total compensation filings at http://www.sec.gov/answers/execomp.htm.)
2. Where and when to report. You must report executive total compensation described in paragraph
b.1. of this award term:
i. As part of your registration profile at https://www.sam.gov.
ii. By the end of the month following the month in which this award is made, and annually
thereafter.
c. Reporting of Total Compensation of Subrecipient Executives.
1. Applicability and what to report. Unless you are exempt as provided in paragraph d. of this
award term, for each first -tier subrecipient under this award, you shall report the names and total
compensation of each of the subrecipient's five most highly compensated executives for the
subrecipient's preceding completed fiscal year, if
i. in the subrecipient's preceding fiscal year, the subrecipient received
(A) 80 percent or more of its annual gross revenues from Federal procurement contracts (and
subcontracts) and Federal financial assistance subject to the Transparency Act, as defined at 2 CFR
170.320 (and subawards); and
(B) $25,000,000 or more in annual gross revenues from Federal procurement contracts (and
subcontracts), and Federal financial assistance subject to the Transparency Act (and subawards);
and
ii. The public does not have access to information about the compensation of the executives
through periodic reports filed under section 13(a) or 15(d) of the Securities Exchange Act of 1934
(15 U.S.C. 78m(a), 78o(d)) or section 6104 of the Internal Revenue Code of 1986. (To determine
if the public has access to the compensation information, see the U.S. Security and Exchange
Commission total compensation filings at http://www.sec.gov/answers/execomp.htm.)
2. Where and when to report. You must report subrecipient executive total compensation described
in paragraph c.1. of this award term:
i. To the recipient.
ii. By the end of the month following the month during which you make the subaward. For
example, if a subaward is obligated on any date during the month of October of a given year (i.e.,
between October 1 and 31), you must report any required compensation information of the
subrecipient by November 30 of that year.
SECTION 15. SINGLE AUDIT INFORMATION FOR RECIPIENTS OF TIGER
DISCRETIONARY GRANT FUNDS
a) To maximize the transparency and accountability of funds authorized under the Act as
required by Congress and in accordance with 2 C.F.R. Part 200 Common Rules provisions,
recipients agree to maintain records that identify adequately the source and application of TIGER
Discretionary Grant funds.
b) For recipients covered by the Single Audit Act Amendments of 1996 and the audit
requirements of 2 C.F.R. Part 200, Subpart F, recipients agree to separately identify the
expenditures for Federal awards under the Act on the Schedule of Expenditures of Federal
Awards (SEFA) and the Data Collection Form (SF —SAC) required by 2 C.F.R. Part 200 This
shall be accomplished by identifying expenditures for Federal awards made under the Act
separately on the SEFA, and as separate rows under Item 6 of Part III on the SF —SAC by CFDA
number, and inclusion of the prefix "FY 2015 TIGER -" in identifying the name of the Federal
19
program on the SEFA and as the first characters in Item 6c of Part III on the SF —SAC.
SECTION 16. QUARTERLY PROGRESS REPORTS: FORMAT AND CONTENT
a) The purpose of the calendar quarterly progress reports under the agreement for the FY
2015 TIGER Discretionary Grants program is to ensure that the project budget and schedule will
be maintained to the maximum extent possible, that the project will be completed with the
highest degree of quality, and that compliance with Federal regulations will be met.
b) The Recipient should develop a project reporting and tracking system to collect, assess
and maintain project status information and data that is timely, independent, and accurate. This
system should provide current information on project prosecution, progress, changes, and issues.
This information should be used to identify trends and forecast project performance and to
identify and proactively address challenges to eliminate major project surprises.
c) The need to continuously and accurately report cost increases; schedule changes;
deficient quality items; and the causes, impacts, and proposed measures to mitigate these issues
is paramount to effectively managing, administering, and protecting the public investment in the
project. Any apparent reporting deficiencies or questionable data should be completely resolved.
Ultimately, the Recipient and the USDOT must be fully aware of the complete status of the
project, and therefore be in a position to take appropriate action if necessary.
d) The Recipient shall produce a quarterly cost, schedule, and status report. The Recipient
shall immediately communicate significant issues occurring between quarterly report submittals
without waiting for the next quarterly report submittal, with any highly significant or sensitive
issues elevated immediately to the executive leadership.
e) Under 5 C.F.R. 1320.6, the Recipient is not required to respond to a collection of
information that does not display a currently valid control number issued by the Office of
Management and Budget. The quarterly progress report described in this section 16 is approved
under OMB Control No. 2105-0563.
f) The following list enumerates the required sections in the quarterly progress reports. At
the discretion of the USDOT, modifications or additions can be made to produce a quarterly
reporting format that will most effectively serve both the Recipient and the USDOT. Some
projects will have a more extensive quarterly status than others. For smaller projects, the
USDOT may determine that the content of the quarterly reports will be streamlined and project
status meetings will be held on a less -frequent basis. The first quarterly progress report should
include a detailed description, and where appropriate, drawings, of the items funded.
1. Project Overall Status. This section provides an overall status of the project's
scope, schedule and budget. The Recipient shall note and explain any deviations from the scope
of work described in Attachment 2, the schedule described in Attachment 3, or the budget
described in Attachment 4.
20
2. Project Significant Activities and Issues. This section provides highlights of
key activities, accomplishments, and issues occurring on the project during the previous quarter.
Activities and deliverables to be reported on should include meetings, audits and other reviews,
design packages submitted, advertisements, awards, construction submittals, construction
completion milestones, submittals related to any applicable requirements, media or
Congressional inquiries, value engineering/constructability reviews, and other items of
significance.
3. Action Items/Outstanding Issues. This section should draw attention to, and
track the progress of, highly significant or sensitive issues requiring action and direction in order
to resolve. In general, issues and administrative requirements that could have a significant or
adverse impact to the project's scope, budget, schedule, quality, safety, and/or compliance with
Federal requirements should be included. Status, responsible person(s), and due dates should be
included for each action item/outstanding issue. Action items requiring action or direction should
be included in the quarterly status meeting agenda. The action items/outstanding issues may be
dropped from this section upon full implementation of the remedial action, and upon no further
monitoring anticipated.
4. Project Scope Overview. The purpose of this section is to provide a further
update regarding the project scope. If the original scope contained in the grant agreement is still
accurate, this section can simply state that the scope is unchanged.
5. Project Schedule. An updated master program schedule reflecting the current
status of the program activities should be included in this section. A Gantt (bar) type chart is
probably the most appropriate for quarterly reporting purposes, with the ultimate format to be
agreed upon between the Recipient and the USDOT. It is imperative that the master program
schedule be integrated, i.e., the individual contract milestones tied to each other, such that any
delays occurring in one activity will be reflected throughout the entire program schedule, with a
realistic completion date being reported. Narratives, tables, and/or graphs should accompany the
updated master program schedule, basically detailing the current schedule status, delays and
potential exposures, and recovery efforts. The following information should also be included:
• Current overall project completion percentage vs. latest plan percentage.
• Completion percentages vs. latest plan percentages for major activities such as
right-of-way, major or critical design contracts, major or critical construction contracts, and
significant force accounts or task orders. A schedule status description should also be included
for each of these major or critical elements.
• Any delays or potential exposures to milestone and final completion dates. The
delays and exposures should be quantified, and overall schedule impacts assessed. The reasons
for the delays and exposures should be explained, and initiatives being analyzed or implemented
in order to recover the schedule should be detailed.
6. Project Cost. An updated cost spreadsheet reflecting the current forecasted cost
vs. the latest approved budget vs. the baseline budget should be included in this section. One
way to track project cost is to show: (1) Baseline Budget, (2) Latest Approved Budget, (3)
Current Forecasted Cost Estimate, (4) Expenditures or Commitments to Date, and (5) Variance
21
between Current Forecasted Cost and Latest Approved Budget. Line items should include all
significant cost centers, such as prior costs, right-of-way, preliminary engineering, environmental
mitigation, general engineering consultant, section design contracts, construction administration,
utilities, construction packages, force accounts/task orders, wrap-up insurance, construction
contingencies, management contingencies, and other contingencies. The line items can be
broken -up in enough detail such that specific areas of cost change can be sufficiently tracked and
future improvements made to the overall cost estimating methodology. A Program Total line
should be included at the bottom of the spreadsheet. Narratives, tables, and/or graphs should
accompany the updated cost spreadsheet, basically detailing the current cost status, reasons for
cost deviations, impacts of cost overruns, and efforts to mitigate cost overruns. The following
information should be provided:
• Reasons for each line item deviation from the approved budget, impacts resulting
from the deviations, and initiatives being analyzed or implemented in order to recover any cost
overruns.
Transfer of costs to and from contingency line items, and reasons supporting the
transfers.
• Speculative cost changes that potentially may develop in the future, a quantified
dollar range for each potential cost change, and the current status of the speculative change.
Also, a comparison analysis to the available contingency amounts should be included, showing
that reasonable and sufficient amounts of contingency remain to keep the project within the latest
approved budget.
• Detailed cost breakdown of the general engineering consultant (GEC) services (if
applicable), including such line items as contract amounts, task orders issued (amounts), balance
remaining for tasks, and accrued (billable) costs.
• Federal obligations and/or disbursements for the project, compared to planned
obligations and disbursements.
SECTION 17. SPECIAL GRANT REQUIREMENTS
a) Reimbursement Requests. The Recipient shall submit requests for reimbursement
through the Department of Transportation's Delphi elnvoicing System, and the USDOT may
deny a reimbursement request that is not submitted through that system. Information on the
Delphi elnvoicing System can be found at: hM2://www.transportation.gov/cfo/delphi-einvoicing_-
system.html. To obtain access to the Delphi elnvoicing System, please contact the FRA
individual identified in section 1(n) of this Attachment 1.
b) Maintenance of Project Property. Except as otherwise provided herein, the Recipient
shall ensure the maintenance of Project property to the level of utility (including applicable FRA
track safety standards) which exists when the Project improvements are placed in service, as set
forth in the Statement of Work (Attachment 2), for a period of 20 years from the date such
Project property was placed in service. In the event the Recipient fails to maintain project
property as required by this section for a period of time in excess of 6 months, the Recipient will
22
refund to the Government a prorated share of the Federal contribution, based upon the
percentage of the 20-year period remaining at the time of such original default.
c) Final Subsection. There are no other special grant requirements for this project.
SECTION 18. SYSTEM FOR AWARD MANAGEMENT AND UNIVERSAL
IDENTIFIER REQUIREMENTS
[Note: This section contains standard Office of Management and Budget formatting that
does not match the rest of this agreement. See Appendix A to 2 CFR Part 25.1
A. Requirement for System for Award Management
Unless you are exempted from this requirement under 2 CFR 25.110, you as the recipient must
maintain the currency of your information in the SAM until you submit the final financial report
required under this award or receive the final payment, whichever is later. This requires that you
review and update the information at least annually after the initial registration, and more
frequently if required by changes in your information or another award term.
B. Requirement for unique entity identifier
If you are authorized to make subawards under this award, you:
1. Must notify potential subrecipients that no entity (see definition in paragraph C of this award
term) may receive a subaward from you unless the entity has provided its unique entity identifier
to you.
2. May not make a subaward to an entity unless the entity has provided its unique entity
identifier to you.
C. Definitions
For purposes of this award term:
1. System for Award Management (SAM) means the Federal repository into which an entity
must provide information required for the conduct of business as a recipient. Additional
information about registration procedures may be found at the SAM Internet site (currently at
http://www.sam.gov).
2. Unique entity identifier means the identifier required for SAM registration to uniquely identify
business entities.
3. Entity, as it is used in this award term, means all of the following, as defined at 2 CFR part 25,
subpart C:
23
a. A Governmental organization, which is a State, local government, or Indian Tribe;
b. A foreign public entity;
c. A domestic or foreign nonprofit organization;
d. A domestic or foreign for -profit organization; and
e. A Federal agency, but only as a subrecipient under an award or subaward to a non -Federal
entity.
4. Subaward:
a. This term means a legal instrument to provide support for the performance of any portion of
the substantive project or program for which you received this award and that you as the
recipient award to an eligible subrecipient.
b. The term does not include your procurement of property and services needed to carry out the
project or program (for further explanation, see 2 CFR 200.330).
c. A subaward may be provided through any legal agreement, including an agreement that you
consider a contract.
5. Subrecipient means an entity that:
a. Receives a subaward from you under this award; and
b. Is accountable to you for the use of the Federal funds provided by the subaward.
SECTION 19. AWARD TERM AND CONDITION FOR RECIPIENT INTEGRITY AND
PERFORMANCE MATTERS
[Note: This section contains standard Office of Management and Budget formatting that
does not match the rest of this agreement. See Appendix XII to 2 CFR Part 200.1
A. Reporting of Matters Related to Recipient Integrity and Performance
1. General Reporting Requirement
If the total value of your currently active grants, cooperative agreements, and procurement
contracts from all Federal awarding agencies exceeds $10,000,000 for any period of time during
the period of performance of this Federal award, then you as the recipient during that period of
time must maintain the currency of information reported to the System for Award Management
(SAM) that is made available in the designated integrity and performance system (currently the
Federal Awardee Performance and Integrity Information System (FAPIIS)) about civil, criminal,
24
or administrative proceedings described in paragraph 2 of this award term and condition. This is
a statutory requirement under section 872 of Public Law 110-417, as amended (41 U.S.C. 2313).
As required by section 3010 of Public Law 111-212, all information posted in the designated
integrity and performance system on or after April 15, 2011, except past performance reviews
required for Federal procurement contracts, will be publicly available.
2. Proceedings About Which You Must Report
Submit the information required about each proceeding that:
a. Is in connection with the award or performance of a grant, cooperative agreement, or
procurement contract from the Federal Government;
b. Reached its final disposition during the most recent five year period; and
c. Is one of the following:
(1) A criminal proceeding that resulted in a conviction, as defined in paragraph 5 of this award
term and condition;
(2) A civil proceeding that resulted in a finding of fault and liability and payment of a monetary
fine, penalty, reimbursement, restitution, or damages of $5,000 or more;
(3) An administrative proceeding, as defined in paragraph 5. of this award term and condition,
that resulted in a finding of fault and liability and your payment of either a monetary fine or
penalty of $5,000 or more or reimbursement, restitution, or damages in excess of $100,000; or
(4) Any other criminal, civil, or administrative proceeding if:
(i) It could have led to an outcome described in paragraph 2.c.(1), (2), or (3) of this award term
and condition;
(ii) It had a different disposition arrived at by consent or compromise with an acknowledgment
of fault on your part; and
(iii) The requirement in this award term and condition to disclose information about the
proceeding does not conflict with applicable laws and regulations.
3. Reporting Procedures
Enter in the SAM Entity Management area the information that SAM requires about each
proceeding described in paragraph 2 of this award term and condition. You do not need to submit
the information a second time under assistance awards that you received if you already provided
the information through SAM because you were required to do so under Federal procurement
contracts that you were awarded.
25
4. Reporting Frequency
During any period of time when you are subject to the requirement in paragraph 1 of this award
term and condition, you must report proceedings information through SAM for the most recent
five year period, either to report new information about any proceeding(s) that you have not
reported previously or affirm that there is no new information to report. Recipients that have
Federal contract, grant, and cooperative agreement awards with a cumulative total value greater
than $10,000,000 must disclose semiannually any information about the criminal, civil, and
administrative proceedings.
5. Definitions
For purposes of this award term and condition:
a. Administrative proceeding means a non judicial process that is adjudicatory in nature in order
to make a determination of fault or liability (e.g., Securities and Exchange Commission
Administrative proceedings, Civilian Board of Contract Appeals proceedings, and Armed
Services Board of Contract Appeals proceedings). This includes proceedings at the Federal and
State level but only in connection with performance of a Federal contract or grant. It does not
include audits, site visits, corrective plans, or inspection of deliverables.
b. Conviction, for purposes of this award term and condition, means a judgment or conviction of
a criminal offense by any court of competent jurisdiction, whether entered upon a verdict or a
plea, and includes a conviction entered upon a plea of nolo contendere.
c. Total value of currently active grants, cooperative agreements, and procurement contracts
includes
(1) Only the Federal share of the funding under any Federal award with a recipient cost share or
match; and
(2) The value of all expected funding increments under a Federal award and options, even if not
yet exercised.
B. [Reserved]
SECTION 20. ASSURANCES AND CERTIFICATIONS
The Recipient will ensure compliance with the standard FY 2015 TIGER grant program
assurances and certifications, attached hereto as Attachment 6 and made a part hereof.
SECTION 21. CONSTRUCTION
If the constituent portions of this agreement conflict with one another, the order of precedence in
determining which provisions prevail will be: (1) the Grant Agreement cover page; (2) sections
26
1-7 and 17 of this Attachment 1; (3) Attachments 2-5; and finally (4) the remaining provisions
of this Attachment 1 and Attachment 6.
SECTION 22. EXECUTION
a) Counterparts. This agreement may be executed in counterparts, which constitute one
document. The parties shall execute this agreement in triplicate and intend each countersigned
original to have identical legal effect.
b) Effective Date. This agreement is effective when fully executed by authorized
representatives of the Recipient and the USDOT. The Recipient shall execute this agreement
and then submit three original signed copies of the agreement to the USDOT for execution. This
instrument constitutes a FY 2015 TIGER Discretionary Grant when it is signed and dated by the
authorized official of the USDOT.
27
ATTACHMENT 2
STATEMENT OF WORK
Glacier Rail Park / Kalispell Core Area Development and Trail
1.0 BACKGROUND
Through this cooperative agreement (Agreement), the City of Kalispell (City or Grantee) will construct
the Glacier Rail Park / Kalispell Core Area Development and Trail Project (Project), in the City of Kalispell,
Montana. The Project includes construction of a new rail -served industrial park north of the City, and
associated infrastructure required to support rail -served businesses in the park (Rail Park). Creating rail
services at the Rail Park will allow for the abandonment and removal of nearly two miles of existing
BNSF-owned rail that currently bisects downtown Kalispell east to west. Following removal of the
existing rail, a public trail and non-contiguous linear park will be constructed (Kalispell Trail). The Project
also includes construction of new cross streets across the abandoned rail area to improve vehicle and
pedestrian access into downtown. This Agreement is funded under the Fiscal Year 2015 Transportation
Investment Generating Economic Recovery (TIGER 2015) Program with funds made available through
the Consolidated and Further Continuing Appropriations Act, 2015 (Pub. L. 113-235, December 16,
2014).
In 2010, the City of Kalispell was awarded an EPA Brownfields Area -Wide Planning Pilot Project grant for
the Revitalization of the Core Area. The Core Area is comprised of a 365-acre railroad corridor in
Kalispell, identified as an area suffering from decades of disinvestment. The grant initiated a public
planning process that included extensive community involvement and resulted in the "Core Area Plan."
The planning process identified the development of a new industrial rail park with a rails -to -trails
pedestrian connector through town as the community's number one priority. Removal of the railroad
tracks through town would allow the Core Area to be revitalized through reinvestment; make Kalispell a
walkable, greener, and more attractive community; and also maintain access to outside markets
through the railroad. This served as the basis for the eventual TIGER 2015 grant application.
This Project aims to maintain local freight access to the national rail network while improving safety and
quality of life in downtown Kalispell.
2.0 GENERAL OBJECTIVE
The Project consists of two phases:
1. Phase 1: Construction of the Glacier Rail Park (Rail Park) — This phase consists of the
construction of a new rail -served industrial park. This includes construction of 10,000 linear feet
of rail, including a new rail turnaround adjacent to the rail park. Utilities and supporting
infrastructure will be installed in the Rail Park, providing rail users access to City water and
sewer, power, gas and fiber optics. This phase also includes improvements to access roads on
the north and east sides of the new Rail Park, and traffic signal and road improvements for truck
access to Montana Highway 2. Construction of the Rail Park will allow for the abandonment of
the existing BNSF-owned rail that bisects downtown Kalispell.
Phase 2: Design and Construction of the Kalispell Trail and Complete Street Connections
(Kalispell Trail) — This phase includes removal of approximately 1.6 miles of existing rail line from
milepost 1225.19 to the west side of Meridian Street at milepost 1226.79, conversion of the
existing rail bridge to accommodate bicycle and pedestrian use, construction of a 10-foot-wide
public use trail in the abandoned railroad right-of-way, and the construction of up to three
complete north -south street connections in the Core Area.
The purpose of the Project is to improve safety and quality of life, and increase economic
competitiveness of the Core Area in the City of Kalispell. This is accomplished through improved
roadway traffic safety and efficiency; the provision of safe, alternative modes of transportation; the
revitalization of Kalispell's historic downtown area to attract additional businesses, retail, and residential
uses; and through the provision of local and regional business access to rail. The Rail Park will provide
for future economic development and allow connectivity to regional, national, and international
markets.
3.0 PROJECT LIMITS
The Project is located in and near downtown Kalispell, MT, the county seat of Flathead County. The City
of Kalispell is in northwest Montana within an hour's drive of Glacier National Park. The Rail Park will be
located on a vacant gravel pit north of the City. The rail on the BSNF Railway mainline, along the Great
Northern Corridor, located between Milepost 1225.19 on the north to 1226.79 to the west at Meridian
Road, will be removed. The 1.6-mile trail will be constructed on the site of the removed rail in the
Kalispell downtown Core Area.
A map of the Project is provided in Figure 1 below.
Figure 1: Project Limits
4.0 DESCRIPTION OF WORK
Task 1: Professional Services
The Grantee will provide professional services, including project management, environmental and
engineering review, administration of agreements for final design and construction, engineering and
construction inspection, permits, and site surveys. Grantee activities also include supporting
Administration of the award, including but not limited to preparation of all required reports,
preparation/submission of any necessary supporting stakeholder agreements, and
preparation/submission of project invoices for reimbursement.'
The following activities will be completed as part of this Task:
' The Grantee may request reimbursement of pre -award costs incurred by the Grantee on or after January 1, 2016,
made in anticipation of the execution of this Agreement, but FRA will only reimburse costs otherwise allowable
under the terms of this Agreement.
Task 1.1: Detailed Project Work Plan, Schedule and Budget
The Grantee will develop a Detailed Work Plan (DWP) for this Project and submit the DWP to FRA for
approval. The objective of a DWP is to provide details on tasks and subtasks identified in the Statement
of Work. The DWP describes the steps the Grantee will take to implement the Project, and provides an
updated budget and schedule to match the scope of work to be completed. The DWP will include the
following information:
• Overview
o The location of the Project or study area, including geographical and physical
boundaries (i.e. mileposts, names of municipalities, etc.), include a map of the
project area keeping the scale of the map appropriate for the nature of the Project.
Environmental Determination
o Identify the appropriate environmental document (i.e., Categorical Exclusion,
Environmental Assessment FONSI, etc.) covering the scope of this Project and the
date it was approved by the FRA.
Description of Work
o Any public or agency sentiments about the Project, including issues or concerns and
the public outreach or involvement conducted and planned for the Project.
o Describe in detail the activities to complete tasks for Project, identify key milestones
or other checkpoints to be used to monitor progress.
o Identify work products and deliverables for the grant and the roles and
responsibilities of partners/stakeholders in executing, reviewing and approving
them.
o Summarize design criteria that will be used by the Project team and how they relate
to realizing the Project outcomes
o Identify agreements and permits required for implementation.
• Schedule
o Detailed schedule to include timeframes for completing major processes, reaching
milestones, and finalizing work products/deliverables within each task.
Budget
o Align budget line items to FRA's Standard Cost Categories (as provided by FRA), and
include an Estimator's Methodology Memo as defined in the FRA Capital Cost
Estimating Guidance found here: https://www.fra.dot.gov/Page/P0926
Task 1.2: Project Management Plan
The Grantee will develop a Project Management Plan (PMP) and submit the PMP to FRA for approval. A
PMP is the Grantee's overarching Project implementation plan that spans the entire period of the
Project. It should describe a Grantee's approved policies, practices, and procedures related to
management, design, and construction. As the Project progresses, the PMP should be updated as new
and more accurate data related to scope, schedule, and budget become available. The PMP will include
the following sections:
• A description of the scope of work for the Project;
• Adequate staff organization with well-defined reporting relationships, statements of
functional responsibilities, job descriptions, and job qualifications;
• Organizational structures, management skills, and staffing levels required throughout
the Project;
• A document control procedure and recordkeeping system;
• Procedures for monitoring and controlling Project costs, schedule, and scope to ensure
they don't exceed or deviate from the requirements;
• Risk management plan identifying potential risks and methods to manage those risks as
well as describing procedures for monitoring, identifying and managing future risks as
they arise;
• A change order procedure that includes a documented, systematic approach to handling
project scope, budget and scheduling changes;
• Quality control and quality assurance functions, programs and responsibilities for the
Project;
• A documented system health and safety plan for the entire Project lifecycle;
• Description of required safety certifications and processes, as applicable;
• Identification of required stakeholder agreements, right of way agreements, and other
critical third party agreements and the process for obtaining those agreements;
• Required government actions or approvals;
• Material testing policies and procedures, as applicable; and
• Internal plan implementation, communications and reporting requirements;
Criteria and procedures to be used for testing the operational system or its major
components
The Grantee will not proceed to Task 2 until both the DWP and PMP have been approved by FRA.
Task 1.3: Final Performance Report
The Grantee will complete a Final Performance Report. This report should describe the cumulative
activities of the project, including a complete description of the Grantee's achievements with respect to
the project objectives and milestones, overall budget/financial status, benefits obtained from the grant,
and service outcomes.
Task 1 Deliverables
• Detailed Work Plan, Schedule, and Budget
• Project Management Plan
• Project Agreements (if applicable)
• Final Performance Report
Task 2: ROW and Property Acquisition
The Grantee may not obligate or expend any funds (Federal, State, or private) to acquire any real
property without first receiving FRA's approval. All acquisitions are being carried out in accordance with
the Uniform Act.
The City and Flathead County Economic Development Authority (FCEDA) will prepare the required
documentation and acquire the property and easements necessary to complete the Project in
compliance with all state and federal requirements for the following properties:
FCEDA will acquire 3.38 acres from BNSF for construction of the Rail Park. This acquisition is
being funded by FCEDA; no Project funds are being used for this acquisition. The purpose of the
purchase is to expand and improve the functionality of the Rail Park.
FCEDA will acquire one small parcel and 4 easements for road right-of-way and temporary
construction for the intersection at US Highway 2 and Flathead Drive. FCEDA will transfer
ownership of the parcel to the Montana Department of Transportation (MDT). No Project funds
are being used for this acquisition.
Following completion of the rail service abandonment process, BNSF and the City anticipate that
BNSF will transfer rights through railbanking' to the City to construct the Kalispell Trail. The City
will acquire BNSF ROW and property from private landowners to create up to three new north -
south complete street connections.
Task 2 Deliverables
• ROW Plans for Acquisition for the Rail Park
• ROW Plans for Acquisition for the Kalispell Trail
Task 3: Final Engineering Design of Rail Park (Phase 1)
The Grantee will submit a Final Engineering Design (FD) Set for the Rail Park portion of the Project for
FRA review and comment. The FD Set must be submitted to FRA, and the Grantee must provide written
responses to any FRA comments, prior to initiating construction of the Rail Park.
FRA will not reimburse the Grantee for any work completed under this Task 3.
The FD Set for the Rail Park will include:
• Final Engineering Design Plans, including, but not limited to:
o A plan coversheet containing all stakeholder signatures
o A title sheet with a drawing revision number or date; an index identifying various plan
sheets comprising the drawing set; a legend of symbols or abbreviations
o Utility relocation plans
o Roadway design plans to City standards
o Lighting plans
• Design Specifications
• Project Cost estimate (as outlined in the FRA Capital Cost Estimating Guidance, if applicable)
• Project Schedule (in an acceptable scheduling software format)
• Construction Staging Plans (if applicable)
Task 3 Deliverables
• Final Engineering Design Set for Rail Park
2 Railbanking, as defined by the National Trails System Act, 16 USC 1247 (d), is a voluntary agreement between a railroad
company and a trail agency to use an out -of -service rail corridor as a trail until a railroad might need the corridor again for rail
service. Because a railbanked corridor is not considered abandoned, it can be sold, leased, or donated to the involved party(s).
BNSF, in coordination with the Surface Transportation Board (STB), is pursing the abandonment of rail service along the full
length of track totaling 1.6 miles from milepost (MP) 1225.19 to MP 1226.79. USDOT/FRA does not have an approval role
regarding the abandonment of rail service but, once the rail line is abandoned and the railbanking process is completed by the
City in coordination with STB, Project funding would be used to remove 1.6 miles (MP1225.19 to Meridian Road) of track and
subsequently construct the proposed Kalispell Trail in the abandoned railroad ROW. The City has begun the railbanking process
for the proposed Kalispell Trail in the Core Area. On April 26, 2017, BNSF submitted a petition for abandonment to STB,
pursuant to 49 USC § 10502.
Task 4: Preliminary and Final Engineering Design of Kalispell Trail (Phase 2)
The Grantee will prepare preliminary and final design plans for the Kalispell Trail portion of the Project
(Phase 2). The Grantee will submit the Preliminary Engineering Design (PE) Set to FRA for review and
approval.
The PE Set for the Kalispell Trail will include:
• PE drawings (plan sheets), specifications, studies, reports, plats, maps, and other engineering
and surveying work products (as applicable)
• Plan cover sheet signed by all stakeholders
• Preliminary Cost estimate as outlined in the FRA Capital Cost Estimating Guidance
Preliminary Construction Schedule
Construction Staging Plans (if applicable)
Pending FRA approval of the Preliminary Engineering Design, the Grantee will be able to enter into the
Final Design stage. The Grantee will submit the Final Engineering Design (FD) Set for the Kalispell Trail
portion of the Project for FRA review and acceptance. The FD Set must be accepted by FRA in writing
prior to initiating construction of the Kalispell Trail.
Kalispell Trail (Phase 2) Design cannot begin until the rail service abandonment and subsequent
railbanking land acquisition is complete. BNSF would abandon the rail line in coordination with the
Surface Transportation Board (STB), which is a separate action from this Project. BNSF filed a petition for
abandonment with STB on April 26, 2017. The STB must approve the request from BNSF to abandon rail
service downtown. STB has indicated that the abandonment process will take approximately 6 months
to complete. Phase 2 Design is anticipated to begin in June 2018.
The FD Set for the Kalispell Trail will include:
FD Design Plans, including, but not limited to:
o A plan coversheet containing all stakeholder signatures
o A title sheet with a drawing revision number or date; an index identifying various plan
sheets comprising the drawing set; a legend of symbols or abbreviations
o Utility relocation plans
o Roadway design plans to City standards
o Lighting plans
• Design Specifications
• Revised Project Cost estimate (as outlined in the FRA Capital Cost Estimating Guidance)
• Revised Project Schedule (in an acceptable scheduling software format)
• Construction Staging Plans (if applicable)
Task 4 Deliverables
• PE Set for Kalispell Trail
• FD Set for Kalispell Trail
Task 5: Construction of Rail Park (Phase 1)
The Grantee will complete the construction of the Rail Park portion of Project, in accordance with the
FRA-approved environmental documents and Final Engineering Design developed under Task 3. The
Grantee will secure all permits necessary to implement this Task 5.
The Grantee shall notify FRA prior to issuing notice to proceed to any construction contractor
performing work under this Agreement. The Grantee will oversee construction management activities
of the Project.
The Grantee will complete the following activities as part of this Task:
Task 5.1: Track Construction
Under this Task 5.1, the Grantee shall:
• Construct a total of 10,300 linear feet of new rail within and adjacent to the new Rail Park. The
new track will include siding parallel to the existing mainline, three spurs into the Rail Park,
three storage tracks, and a transload track for non- park tenants.
• Install three No. 11 turnouts and six No. 9 turnouts.
Task 5.2: Roadway and Traffic Improvements
Under this Task 5.2, the Grantee shall:
• Complete roadway improvements including replacing an existing gravel road with 4,400 liner
feet of 34-foot wide asphalt cement road, adding 1,200 linear feet of 32-foot wide asphalt
cement road, and adding approximately 17,000 square feet of 8-inch thick concrete pavement.
• Install 9,200 linear feet curb and gutter and 3,600 linear feet of 5-foot wide sidewalk. The new
sections of sidewalk will include boulevard and irrigation.
• Install stormwater infrastructure to accommodate site drainage and meet municipal
requirements.
• Upgrade the current intersection at Flathead Drive, Woodland Park Drive, and US Highway 2 will
be upgraded to a signaled intersection to facilitate traffic to and from the site. Approximately
500 feet of Flathead Drive will be widened and Woodland Drive will be narrowed. Left hand
turning lanes on US Highway 2 will be modified. Pedestrian ramps and sidewalks will be
constructed to each corner of the signaled intersection. MDT has approved the proposed
changes to US Highway 2. Work will also include temporary traffic control for the Project.
• Install new cross buck warning signs and flashing lights at the railroad crossings at East Oregon
Lane and Flathead Drive. Install additional warning signs before both crossings.
Task 5.3: Site Utilities
This task includes permitting and construction of wastewater facilities and water supply infrastructure to
service the Rail Park. Under this Task 5.3, the Grantee shall:
• Connect wastewater infrastructure to the existing City of Kalispell sewer main located south of
the Rail Park.
• Install a gravity main throughout the Rail Park and along East Oregon Drive and drain to a newly
installed lift station.
• Connect water supply infrastructure to the existing City of Kalispell water main at the
intersection of East Oregon Drive and 4th Avenue North.
• Install electrical service, gas service, telephone and fiber in the Rail Park. A 10-foot-wide dry
utility corridor will encircle portions of the Rail Park to contain the natural gas line and power.
Task 5.4: Sitework
This task includes grading the site to provide stormwater drainage and land suitable for industrial
development. Under this Task 5.4, the Grantee shall:
• Construct two new stormwater detention ponds.
• Install stormwater infrastructure including 12 manholes, 24 curb inlets, 3,400 linear feet of pipe, a
dry well, and hydrodynamic separator.
• Demolish two buildings: 1) a quonset but totaling 3,000 sq ft; and 2) a steel framed with sheet
metal sides and roof totaling 6,600 sq ft.
• Construct an 850-foot-long retaining wall, mediation or abandonment of several monitoring wells
within the construction area, seeding the boulevards, installing an irrigation system within the
boulevards, trees and shrub planting, and hydroseeding slopes and disturbed ground.
Task 6: Construction of the Kalispell Trail (Phase 21
The Grantee will complete the construction of the Kalispell Trail portion of Project, in accordance with
the FRA-approved environmental documents and FD Design documentation. The Grantee is responsible
for implementing any mitigation commitments specified in the associated NEPA document(s) identified
in Section 6.0: Environmental Determination.
Phase 2 construction cannot begin until the Phase 1 construction is complete, the rail -served businesses
are relocated to the new Rail Park, and the Rail Park is operational. Phase 2 construction is anticipated
to begin in 2020.
The Grantee shall notify FRA prior to issuing notice to proceed to any construction contractor
performing work under this Agreement. The Grantee will oversee construction management activities
of the Project.
The following activities will be completed as part of this Task:
Task 6.1: Trail Construction
Under this Task 6.1 the Grantee shall:
Construct the Kalispell Trail beginning approximately 90 feet north of the US Highway 2 railway
bridge, travel westerly, and terminating at South Meridian Street. Work includes removal of
approximately 14,000 total feet of existing track and construction of a 10-foot-wide paved trail.
The new Kalispell Trail will meet Americans with Disabilities Act (ADA) requirements. Lighting
will be provided along the Trail.
• Convert the existing railway bridge spanning US Highway 2 to function as a bicycle and
pedestrian -only bridge, as part of the Trail. The bridge would meet all MDT, American
Association of State Highway and Transportation Officials Load and Resistance Factor Design
Bridge Design Specifications (2016), and City of Kalispell Standards for Design and Construction
(2009).
Task 6.2: Complete Street Extensions and Upgrade Pedestrian Crossings
Under this Task 6.2 the Grantee shall:
• Construct up to three new cross streets between Meridian Road and Woodland Park Drive that
are currently dead -ended by the existing railroad tracks, to improve north -south vehicle and
pedestrian access into downtown. The new cross street(s) will augment the existing six crossings
along this 2-mile corridor. The three streets considered for connection (8t" Avenue West, 6th
Avenue West, and Woodland Park Drive') are owned and maintained by the City. The complete
street connection(s) would include sidewalks, bicycle facilities, urban tree plantings and sewer
and water extensions. Completed street connections will comply with the City of Kalispell local
street standards and complete street policy. Final selection for complete street(s) connections
will be made in 2018 through the Engineering Design process (Task 4) and public input
process. The criteria for final selection will include: land availability; cost; community priorities.
• Construct ADA compliant crossing points at the 6 existing cross streets and new cross street(s).
The street width will be reduced at each crossing and pedestrian actuated crossing signals will
be provided.
5.0 DELIVERABLES
The deliverables required under this Agreement are listed below. The Grantee shall complete these
deliverables to FRA's satisfaction to be authorized for funding reimbursement and for the Project to be
complete.
Task / Reference
Deliverable / Milestone
Due Date
Task 1.1
Detailed Work Plan
05/31/17
Task 1.2
Project Management Plan
05/31/17
Task 1.3
(Attachment 1,
Section 3(c))
Final Performance Report
No later than 90 days after
period of performance
end date
Task 2
ROW Plans for Acquisition for Rail Park
05/31/17
Task 2
ROW Plans for Acquisition for Kalispell Trail
12/31/18
Task 2
Completion of ROW Acquisition for Kalispell Trail
05/31/18
Task 3
Final Engineering Design Set for Rail Park
05/31//17
Task 4
Preliminary Engineering Design Set for Kalispell Trail
07/31/18
Task 4
Final Engineering Design Set for Kalispell Trail
12/31/18
Task / Reference
Deliverable / Milestone
Due Date
Attachment 1,
Within 60 days prior to
Section 3(b)
Annual Budget Review and Program Plan
end of each Agreement
Year
Performance Reporting
• Pre -Project Performance Measurement Report
Attachment 1,
(Section 4.b)
See Attachment 5
Section 4
• Interim Performance Measurement Reports
(Section 4.c)
• Project Outcomes Report (Section 4.d)
6.0 ENVIRONMENTAL DETERMINATION
FRA approved an Environmental Assessment prepared in accordance with the National Environmental
Policy Act (NEPA) and FRA's NEPA implementing procedures on 05/18/2017; executed a Section 106
Memorandum of Agreement pursuant to Section 106 of the National Environmental Policy Act on
07/06/2017; and issued a combined final Section 4(f) determination and Finding of No Significant Impact
(FONSI) on 07/18/2017 covering the scope of this Project
7.0 PROJECT COORDINATION
The Grantee shall perform all tasks required for the Project through a coordinated process, which will
involve affected railroad owners, operators, and funding partners, including:
• BNSF Railway
• Watco/Mission Mountain Rail
• City of Kalispell
• Flathead County Economic Development Authority
• Montana Department of Transportation
• FRA
ATTACHMENT 3
ESTIMATED PROJECT SCHEDULE
The period of performance for the above work shall be 64 months, beginning August 1, 2017 and ending
June 30, 2022.
May 2017 —Jul 2017: Procurement for the project
Jul 2017 — Nov 2018: Construction of the Project (Rail Park— Phase 1)
Dec 2018: Anticipated Date of Operation (Rail Park — Phase 1)
Apr 2020 —Jun 2022: Construction of the Project (Kalispell Trail — Phase 2)
Jun 2022 — Sept 2022: Project Closeout/Final Inspections
Task
Task Activity
Start Date
End Date
1
Project Administration
01/01/2016
06/30/2022
2
ROW and Property Acquisition
07/01/2017
05/31/2018
3
Final Design of Rail Park
02/01/2017
04/30/2017
4
Preliminary and Final Design of Kalispell Trail
06/01/2018
12/31/2018
5
Construction of Rail Park
07/01/2017
11/30/2018
6
Construction of Kalispell Trail
04/01/2019
06/30/2022
The Period of Performance ends on June 30, 2022.
ATTACHMENT 4
ESTIMATED PROJECT BUDGET
The total estimated cost of the Project is $21,175,374, for which this Agreement will contribute up to 47.2247% of the total cost, not to exceed
$10,000,000. Any additional expense required beyond that provided in this Agreement to complete the Project shall be borne by the Grantee.
FRA will consider the amount the Grantee receives from the sale of salvaged rail and materials as program income under 2 CFR 200.307. The
Grantee should apply the deduction method as described in 2 CFR 200.307 unless otherwise instructed by FRA.
The Grantee may request reimbursement of pre -award costs incurred by the Grantee on or after January 1, 2016, made in anticipation of the
execution of this Agreement, but FRA will only reimburse costs otherwise allowable under the terms of this Agreement.
Project Estimate by Task
The Grantee shall allocate costs by the tasks below, by Federal and matching shares, when seeking reimbursement from FRA.
Task
Task Name
FRA
City of Kalispell
BNSF
FCEDA
Total Cost
1
Professional Services
$0
$712,352
$0
$0
$712,352
2
ROW and Property Acquisition
$0
$200,000
$0
$0
$200,000
3
Final Engineering Design of Rail Park
$0
$0
$0
$0
$0
4
Final Engineering Design for Kalispell Trail
$0
$363,117
$0
$0
$363,117
5
Construction of Rail Park
$6,196,091
$1,235,578
$500,000
$6,175,374
$14,107,043
6
Construction of Kalispell Trail
$3,803,909
$1,988,953
$0
$0
$5,792,862
Totals
$10,000,000
$4,500,000
$500,000
$6,175,374
$21,175,374
Funding Sources
Funding Source
Funding Amount
FRA Award
$10,000,000
BNSF Railway
$ 500,000
Flathead County Economic Development Authority
$6,175,374
City of Kalispell
$4,500,000
Project Total
$21,175,374
ATTACHMENT 5
PERFORMANCE MEASUREMENT
Study Area: The Project is located in and near downtown Kalispell, MT, the county seat of Flathead
County. The Rail Park will be located on a vacant gravel pit north of the city. The rail on the BNSF
Railway mainline, located between Milepost 1225.19 on the north to 1226.79 to the west at Meridian
Road, will be removed. The 1.6-mile trail will be constructed on the site of the removed rail in the
Kalispell downtown Core Area.
Project Outcomes and Performance Measurement Reports:
Grantee shall collect the data necessary to track and report on each of the performance measures
identified in the Performance Measurement Table 1 below and report results of the data for each measure
to the Government periodically, per the reporting schedule identified in this section. Furthermore,
Grantee agrees to provide an initial Pre -Project Report, interim Project Performance Measurement
Reports, and a final Project Outcomes Report to the Department.
This Project is divided into two phases. As a result, separate performance measurement reports will be
submitted for each Phase.
• Pre -project Report. This report shall consist of current baseline data for each of the performance
measures specified in the Performance Measurement Table 1 below. The Pre -project Report shall
include a detailed description of data sources, assumptions, variability, and the estimated level of
precision for each measure.
• Pre -project Measurement Date for Phase 1: 6/30/2017. This date is before the start of
construction date that is in the SOW.
• Pre -protect Measurement Date for Phase 2: 04/30/2020. This date is before the start of
construction date that is in the SOW.
• Project Outcomes Measurement Date for Phase 1: Grantee proposes the following date which
is three years after the first anniversary of the open to traffic date that is the SOW: 12/31/2022.
• Project Outcomes Measurement Date for Phase 2: Grantee proposes the following date which
is three years after the first anniversary of the open to traffic date that is the SOW: 8/31/2026.
• Protect Outcomes Report. This report shall consist of a narrative discussion detailing Project
successes and/or the influence of external factors on Project expectations.
Project Outcomes Report Date: Grantee shall submit the Project Outcomes Report to the
Government which includes an ex post examination of project effectiveness in relation to the Pre -
Project Report baselines. Grantee shall represent that the data in the Project Outcomes Report is
current as of the date included in Table 1.
Interim Project Performance Measurement Reports: Following project completion, grantee shall submit
these reports to the Government for each of the performance measures specified in the Performance
Measurement Table 1 below, including a discussion of the influence of external factors on Project
expectations if necessary. Grantee shall submit reports at each of the intervals identified for the duration
of the time period specified in the Performance Measurement Table 1 below. Grantee shall represent that
the data in each of the interim Project Performance Reports is current as of the final date of the reporting
interval.
Reporting:
Performance Measures are reported either quarterly or annually. Annual reports should measure and
report data as described in Table 1 below for the first full year of operation and annually for the duration
of the Measurement Period defined in Table 1 below. Quarterly reports should measure and report data
in the first full quarter of operation and continue for the duration of the Measurement Period defined in
Table 1. Grantee need not include any analysis in addition to the described data; however, the Grantee is
welcome to provide information explaining the reported data.
Table 1: Performance Measurement Table
Category and Description of
Measure
PeriodMeasure
Measurement
Reporting Period
Pre -Project (Baseline)
Pre -Project Report Due:
Measurement:
08/31/17
Annual average, accurate
(data in the pre -project
as of 06/30/17
report is current as of
Category: Economic
06/30/17)
Measure 1: Freight
Competitiveness
Interim Performance
Movements
Measurement:
Interim Performance
(Phase 1:
Rail Park)
Description: The annual number
Annual average,
Reports Due:
For a period of 3 years,
of railcar movements over the
accurate as of December
beginning 02/28/20,
project area.
31 annually, starting
annually
12/31/19
Project Outcomes
Project Outcome
Measurement:
Report Due:
12/31/23
02/28/23
Measure 2:
Category: Economic
Pre -Project (Baseline)
Pre -Project Report Due:
Rail Track Grade
Competitiveness & Safety
Measurement:
04/30/20
Separation
Annual average, accurate
(data in the pre -project
(Phase 2:
Kalispell Trail)
Description: The number of
as of 02/28/20
report is current as of
annual automobile crossings that
02/28/20)
Category and Description of
Measure
PeriodMeasure
Measurement
Reporting Period
are eliminated at an at -grade
Interim Performance
crossing as a result of removal of
Measurement:
Interim Performance
the rail.
Annual average,
Reports Due:
accurate as of August 31
For a period of 3 years,
annually, starting
beginning 10/31/23,
08/31/23
annually
Project Outcomes
Project Outcome
Measurement:
Report Due:
8/31/26
10/31/26
ATTACHMENT 6
ASSURANCES AND CERTIFICATIONS
TITLE VI ASSURANCE
[This Assurance Includes Appendices A-E]
(Implementing Title VI of the Civil Rights Act of 1964, as amended)
ASSURANCE CONCERNING NONDISCRIMINATION IN FEDERALLY -ASSISTED
PROGRAMS AND ACTIVITIES RECEIVING OR BENEFITING FROM FEDERAL
FINANCIAL ASSISTANCE
(Implementing the Rehabilitation Act of 1973, as amended, and the Americans With
Disabilities Act, as amended)
49 C.F.R. Parts 21, 25, 27, 37 and 38
The United States Department of Transportation (USDOT)
Standard Title VI/Non-Discrimination Assurances
DOT Order No. 1050.2A
By signing and submitting the Technical Application and by entering into the agreement under
the FY 2015 TIGER Discretionary Grants program, the Recipient (also herein referred to as the
"Recipient"), HEREBY AGREES THAT, as a condition to receiving any Federal financial
assistance from the U.S. Department of Transportation (DOT), through the Federal Railroad
Administration (FRA), is subject to and will comply with the following:
Statutory/Regulatory Authorities
• Title VI of the Civil Rights Act of 1964 (42 U.S.C. § 2000d etseq., 78 stat. 252),
(prohibits discrimination on the basis of race, color, national origin);
• 49 C.F.R. Part 21 (entitled Non-discrimination In Federally Assisted Programs Of The
Department Of Transportation Effectuation Of Title VI Of The Civil Rights Act Of 1964);
• 28 C.F.R. section 50.3 (U.S. Department of Justice Guidelines for Enforcement of Title
VI of the Civil Rights Act of 1964);
The preceding statutory and regulatory cites hereinafter are referred to as the "Acts" and
"Regulations," respectively.
General Assurances
ATTACHMENT 6
ASSURANCES AND CERTIFICATIONS
In accordance with the Acts, the Regulations, and other pertinent directives, circulars, policy,
memoranda, and/or guidance, the Recipient hereby gives assurance that it will promptly take any
measures necessary to ensure that:
"No person in the United States shall, on the grounds of race, color, or national origin, be
excluded from participation in, be denied the benefits of, or be otherwise subjected to
discrimination under any program or activity, "for which the Recipient receives Federal
financial assistance from DOT, including the FRA. "
The Civil Rights Restoration Act of 1987 clarified the original intent of Congress, with respect to
Title VI and other Non-discrimination requirements (The Age Discrimination Act of 1975, and
Section 504 of the Rehabilitation Act of 1973), by restoring the broad, institutional -wide scope
and coverage of these non-discrimination statutes and requirements to include all programs and
activities of the Recipient, so long as any portion of the program is Federally assisted.
Specific Assurances
More specifically, and without limiting the above general Assurance, the Recipient agrees with
and gives the following Assurances with respect to its Federally assisted FY 2015 TIGER
Discretionary Grants program:
I. The Recipient agrees that each "activity," "facility," or "program," as defined in §§ 21.23
(b) and 21.23 (e) of 49 C.F.R. § 21 will be (with regard to an "activity") facilitated, or
will be (with regard to a "facility") operated, or will be (with regard to a "program")
conducted in compliance with all requirements imposed by, or pursuant to the Acts and
the Regulations.
2. The Recipient will insert the following notification in all solicitations for bids, Requests
For Proposals for work, or material subject to the Acts and the Regulations made in
connection with the FY 2015 TIGER Discretionary Grant and, in adapted form, in all
proposals for negotiated agreements regardless of funding source:
"The Recipient, in accordance with the provisions of Title VI of the Civil Rights Act of 1964 (78
Stat. 252, 42 U.S.C. §§ 2000d to 2000d-4) and the Regulations, hereby notifies all bidders that it
will affirmatively ensure that any contract entered into pursuant to this advertisement,
disadvantaged business enterprises will be afforded full and fair opportunity to submit bids in
response to this invitation and will not be discriminated against on the grounds of race, color, or
national origin in consideration for an award. "
3. The Recipient will insert the clauses of Appendix A and Appendix E of this Assurance in
every contract or agreement subject to the Acts and the Regulations.
4. The Recipient will insert the clauses of Appendix B of this Assurance, as a covenant
running with the land, in any deed from the United States effecting or recording a transfer
of real property, structures, use, or improvements thereon or interest therein to a
Recipient.
2
ATTACHMENT 6
ASSURANCES AND CERTIFICATIONS
5. That where the Recipient receives Federal financial assistance to construct a facility, or
part of a facility, the Assurance will extend to the entire facility and facilities operated in
connection therewith.
6. That where the Recipient receives Federal financial assistance in the form, or for the
acquisition of real property or an interest in real property, the Assurance will extend to
rights to space on, over, or under such property.
7. That the Recipient will include the clauses set forth in Appendix C and Appendix D of
this Assurance, as a covenant running with the land, in any future deeds, leases, licenses,
permits, or similar instruments entered into by the Recipient with other parties:
a. for the subsequent transfer of real property acquired or improved under the
applicable activity, project, or program; and
b. for the construction or use of, or access to, space on, over, or under real property
acquired or improved under the applicable activity, project, or program.
8. That this Assurance obligates the Recipient for the period during which Federal financial
assistance is extended to the program, except where the Federal financial assistance is to
provide, or is in the form of, personal property, or real property, or interest therein, or
structures or improvements thereon, in which case the Assurance obligates the Recipient,
or any transferee for the longer of the following periods:
the period during which the property is used for a purpose for which the Federal
financial assistance is extended, or for another purpose involving the provision of
similar services or benefits; or
b. the period during which the Recipient retains ownership or possession of the
property.
9. The Recipient will provide for such methods of administration for the program as are
found by the Secretary of Transportation or the official to whom he/she delegates specific
authority to give reasonable guarantee that it, other recipients, sub -recipients,
contractors, subcontractors, consultants, transferees, successors in interest, and other
participants of Federal financial assistance under such program will comply with all
requirements imposed or pursuant to the Acts, the Regulations, and this Assurance.
10. The Recipient agrees that the United States has a right to seek judicial enforcement with
regard to any matter arising under the Acts, the Regulations, and this Assurance.
By signing this ASSURANCE, the Recipient also agrees to comply (and require any sub -
recipients, sub -recipients, contractors, successors, transferees, and/or assignees to
comply) with all applicable provisions governing the FRA's access to records, accounts,
documents, information, facilities, and staff. You also recognize that you must comply
with any program or compliance reviews, and/or complaint investigations conducted by
the FRA. You must keep records, reports, and submit the material for review upon
request to FRA, or its designee in a timely, complete, and accurate way. Additionally,
3
ATTACHMENT 6
ASSURANCES AND CERTIFICATIONS
you must comply with all other reporting, data collection, and evaluation requirements, as
prescribed by law or detailed in program guidance.
The Recipient gives this ASSURANCE in consideration of and for obtaining any Federal
grants, loans, contracts, agreements, property, and/or discounts, or other Federal -aid and
Federal financial assistance extended after the date hereof to the recipients by the U.S.
Department of Transportation under the FY 2015 TIGER Discretionary Grants Program.
This ASSURANCE is binding on the Recipient, other recipients, sub -recipients, sub -
Recipients, contractors, subcontractors and their subcontractors', transferees, successors
in interest, and any other participants in the FY 2015 TIGER Discretionary Grants
Program.
4
ATTACHMENT 6
ASSURANCES AND CERTIFICATIONS
APPENDIX A
During the performance of this contract, the contractor, for itself, its assignees, and successors in
interest (hereinafter referred to as the "contractor") agrees as follows:
Compliance with Regulations: The contractor (hereinafter includes consultants) will
comply with the Acts and the Regulations relative to Non-discrimination in Federally -
assisted programs of the U.S. Department of Transportation, Federal Railroad
Administration (FRA), as they may be amended from time to time, which are herein
incorporated by reference and made a part of this contract.
2. Non-discrimination: The contractor, with regard to the work performed by it during the
contract, will not discriminate on the grounds of race, color, or national origin in the
selection and retention of subcontractors, including procurements of materials and leases
of equipment. The contractor will not participate directly or indirectly in the
discrimination prohibited by the Acts and the Regulations, including employment
practices when the contract covers any activity, project, or program set forth in Appendix
B of 49 C.F.R. Part 21.
3. Solicitations for Subcontracts, Including Procurements of Materials and
Equipment: In all solicitations, either by competitive bidding, or negotiation made by
the contractor for work to be performed under a subcontract, including procurements of
materials, or leases of equipment, each potential subcontractor or supplier will be notified
by the contractor of the contractor's obligations under this contract and the Acts and the
Regulations relative to Non-discrimination on the grounds of race, color, or national
origin.
4. Information and Reports: The contractor will provide all information and reports
required by the Acts, the Regulations, and directives issued pursuant thereto and will
permit access to its books, records, accounts, other sources of information, and its
facilities as may be determined by the Recipient or the FRA to be pertinent to ascertain
compliance with such Acts, Regulations, and instructions. Where any information
required of a contractor is in the exclusive possession of another who fails or refuses to
furnish the information, the contractor will so certify to the Recipient or the FRA, as
appropriate, and will set forth what efforts it has made to obtain the information.
5. Sanctions for Noncompliance: In the event of a contractor's noncompliance with the
Non-discrimination provisions of this contract, the Recipient will impose such contract
sanctions as it or the FRA may determine to be appropriate, including, but not limited to:
a. withholding payments to the contractor under the contract until the contractor
complies; and/or
b. cancelling, terminating, or suspending a contract, in whole or in part.
6. Incorporation of Provisions: The contractor will include the provisions of paragraphs
one through six in every subcontract, including procurements of materials and leases of
5
ATTACHMENT 6
ASSURANCES AND CERTIFICATIONS
equipment, unless exempt by the Acts, the Regulations and directives issued pursuant
thereto. The contractor will take action with respect to any subcontract or procurement as
the Recipient or the FRA may direct as a means of enforcing such provisions including
sanctions for noncompliance. Provided, that if the contractor becomes involved in, or is
threatened with litigation by a subcontractor, or supplier because of such direction, the
contractor may request the Recipient to enter into any litigation to protect the interests of
the Recipient. In addition, the contractor may request the United States to enter into the
litigation to protect the interests of the United States.
2
ATTACHMENT 6
ASSURANCES AND CERTIFICATIONS
APPENDIX B
CLAUSES FOR DEEDS TRANSFERRING UNITED STATES PROPERTY
The following clauses will be included in deeds effecting or recording the transfer of real
property, structures, or improvements thereon, or granting interest therein from the United States
pursuant to the provisions of Specific Assurance 4:
NOW, THEREFORE, the U.S. Department of Transportation as authorized by law and upon
the condition that the Recipient will accept title to the lands and maintain the project constructed
thereon in accordance with The Consolidated and Further Continuing Appropriations Act, 2015
(Pub. L. 113-235, December 16, 2014) the Regulations for the Administration of FY 2015
TIGER Discretionary Grants Program, and the policies and procedures prescribed by the Federal
Railroad Administration (FRA) of the U.S. Department of Transportation in accordance and in
compliance with all requirements imposed by Title 49, Code of Federal Regulations, U.S.
Department of Transportation, Subtitle A, Office of the Secretary, Part 21, Non-discrimination in
Federally -assisted programs of the U.S Department of Transportation pertaining to and
effectuating the provisions of Title VI of the Civil Rights Act of 1964 (78 Stat. 252; 42 U.S.C. §
2000d to 2000d-4), does hereby remise, release, quitclaim and convey unto the Recipient all the
right, title and interest of the U.S. Department of Transportation in and to said lands described in
Exhibit A attached hereto and made a part hereof.
(HABENDUM CLAUSE)
TO HAVE AND TO HOLD said lands and interests therein unto Recipient and its successors
forever, subject, however, to the covenants, conditions, restrictions and reservations herein
contained as follows, which will remain in effect for the period during which the real property or
structures are used for a purpose for which Federal financial assistance is extended or for another
purpose involving the provision of similar services or benefits and will be binding on the
Recipient, its successors and assigns.
The Recipient, in consideration of the conveyance of said lands and interests in lands, does
hereby covenant and agree as a covenant running with the land for itself, its successors and
assigns, that (1) no person will on the grounds of race, color, or national origin, be excluded from
participation in, be denied the benefits of, or be otherwise subjected to discrimination with regard
to any facility located wholly or in part on, over, or under such lands hereby conveyed [,] [and]`
(2) that the Recipient will use the lands and interests in lands and interests in lands so conveyed,
in compliance with all requirements imposed by or pursuant to Title 49, Code of Federal
Regulations, U.S. Department of Transportation, Subtitle A, Office of the Secretary, Part 21,
Non-discrimination in Federally -assisted programs of the U.S. Department of Transportation,
Effectuation of Title VI of the Civil Rights Act of 1964, and as said Regulations and Acts may
be amended[, and (3) that in the event of breach of any of the above -mentioned non-
discrimination conditions, the Department will have a right to enter or re-enter said lands and
facilities on said land, and that above described land and facilities will thereon revert to and vest
in and become the absolute property of the U.S. Department of Transportation and its assigns as
such interest existed prior to this instruction].`
7
ATTACHMENT 6
ASSURANCES AND CERTIFICATIONS
(*Reverter clause and related language to be used only when it is determined that such a clause is
necessary in order to make clear the purpose of Title VL)
ATTACHMENT 6
ASSURANCES AND CERTIFICATIONS
APPENDIX C
CLAUSES FOR TRANSFER OF REAL PROPERTY ACQUIRED OR IMPROVED
UNDER THE ACTIVITY, FACILITY, OR PROGRAM
The following clauses will be included in deeds, licenses, leases, permits, or similar instruments
entered into by the Recipient pursuant to the provisions of Specific Assurance 7(a):
A. The (Recipient, lessee, permittee, etc. as appropriate) for himself/herself, his/her heirs,
personal representatives, successors in interest, and assigns, as a part of the consideration
hereof, does hereby covenant and agree [in the case of deeds and leases add "as a
covenant running with the land"] that:
In the event facilities are constructed, maintained, or otherwise operated on the
property described in this (deed, license, lease, permit, etc.) for a purpose for
which a U.S. Department of Transportation activity, facility, or program is
extended or for another purpose involving the provision of similar services or
benefits, the (Recipient, licensee, lessee, permittee, etc.) will maintain and operate
such facilities and services in compliance with all requirements imposed by the
Acts and Regulations (as may be amended) such that no person on the grounds of
race, color, or national origin, will be excluded from participation in, denied the
benefits of, or be otherwise subjected to discrimination in the use of said facilities.
B. With respect to licenses, leases, permits, etc., in the event of breach of any of the above
Non-discrimination covenants, Recipient will have the right to terminate the (lease,
license, permit, etc.) and to enter, re-enter, and repossess said lands and facilities thereon,
and hold the same as if the (lease, license, permit, etc.) had never been made or issued.*
C. With respect to a deed, in the event of breach of any of the above Non-discrimination
covenants, the Recipient will have the right to enter or re-enter the lands and facilities
thereon, and the above described lands and facilities will there upon revert to and vest in
and become the absolute property of the Recipient and its assigns.*
(*Reverter clause and related language to be used only when it is determined that such a
clause is necessary to make clear the purpose of Title VL)
0
ATTACHMENT 6
ASSURANCES AND CERTIFICATIONS
APPENDIX D
CLAUSES FOR CONSTRUCTION/USE/ACCESS TO REAL PROPERTY ACQUIRED
UNDER THE ACTIVITY, FACILITY OR PROGRAM
The following clauses will be included in deeds, licenses, permits, or similar
instruments/agreements entered into by Recipient pursuant to the provisions of Specific
Assurance 7(b):
A. The (Recipient, licensee, permittee, etc., as appropriate) for himself/herself, his/her heirs,
personal representatives, successors in interest, and assigns, as a part of the consideration
hereof, does hereby covenant and agree (in the case of deeds and leases add, "as a
covenant running with the land") that (1) no person on the ground of race, color, or
national origin, will be excluded from participation in, denied the benefits of, or be
otherwise subjected to discrimination in the use of said facilities, (2) that in the
construction of any improvements on, over, or under such land, and the furnishing of
services thereon, no person on the ground of race, color, or national origin, will be
excluded from participation in, denied the benefits of, or otherwise be subjected to
discrimination, (3) that the (Recipient, licensee, lessee, permittee, etc.) will use the
premises in compliance with all other requirements imposed by or pursuant to the Acts
and Regulations, as amended, set forth in this Assurance.
B. With respect to (licenses, leases, permits, etc.), in the event of breach of any of the above
Non-discrimination covenants, Recipient will have the right to terminate the (license,
permit, etc., as appropriate) and to enter or re-enter and repossess said land and the
facilities thereon, and hold the same as if said (license, permit, etc., as appropriate) had
never been made or issued.*
C. With respect to deeds, in the event of breach of any of the above Non-discrimination
covenants, Recipient will there upon revert to and vest in and become the absolute
property of Recipient and its assigns.*
(*Reverter clause and related language to be used only when it is determined that such a
clause is necessary to make clear the purpose of Title VL)
10
ATTACHMENT 6
ASSURANCES AND CERTIFICATIONS
APPENDIX E
During the performance of this contract, the contractor, for itself, its assignees, and successors in
interest (hereinafter referred to as the "contractor") agrees to comply with the following non-
discrimination statutes and authorities; including but not limited to:
Potentially Pertinent Non -Discrimination Authorities:
• Title VI of the Civil Rights Act of 1964 (42 U.S.C. § 2000d et seq., 78 stat. 252),
(prohibits discrimination on the basis of race, color, national origin); and 49 C.F.R. Part
21.
• The Uniform Relocation Assistance and Real Property Acquisition Policies Act of 1970,
(42 U.S.C. § 4601), (prohibits unfair treatment of persons displaced or whose property
has been acquired because of Federal or Federal -aid programs and projects);
• Federal -Aid Highway Act of 1973, (23 U.S.C. § 324 et seq.), (prohibits discrimination on
the basis of sex);
• Section 504 of the Rehabilitation Act of 1973, (29 U.S.C. § 794 et seq.), as amended,
(prohibits discrimination on the basis of disability); and 49 C.F.R. Part 27;
• The Age Discrimination Act of 1975, as amended, (42 U.S.C. § 6101 et seq.), (prohibits
discrimination on the basis of age);
• Airport and Airway Improvement Act of 1982, (49 U.S.C. § 471, Section 47123), as
amended, (prohibits discrimination based on race, creed, color, national origin, or sex);
• The Civil Rights Restoration Act of 1987, (PL 100-209), (Broadened the scope, coverage
and applicability of Title VI of the Civil Rights Act of 1964, The Age Discrimination Act
of 1975 and Section 504 of the Rehabilitation Act of 1973, by expanding the definition of
the terms "programs or activities" to include all of the programs or activities of the
Federal -aid recipients, sub -recipients and contractors, whether such programs or activities
are Federally funded or not);
• Titles II and III of the Americans with Disabilities Act, which prohibit discrimination on
the basis of disability in the operation of public entities, public and private transportation
systems, places of public accommodation, and certain testing entities (42 U.S.C. §§
12131 — 12189) as implemented by Department of Transportation regulations at 49
C.F.R. Parts 37 and 38;
• The Federal Aviation Administration's Non-discrimination statute (49 U.S.C. § 47123)
(prohibits discrimination on the basis of race, color, national origin, and sex);
• Executive Order 12898, Federal Actions to Address Environmental Justice in Minority
Populations and Low -Income Populations, which ensures nondiscrimination against
minority populations by discouraging programs, policies, and activities with
11
ATTACHMENT 6
ASSURANCES AND CERTIFICATIONS
disproportionately high and adverse human health or environmental effects on minority
and low-income populations;
Executive Order 13166, Improving Access to Services for Persons with Limited English
Proficiency, and resulting agency guidance, national origin discrimination includes
discrimination because of limited English proficiency (LEP). To ensure compliance with
Title VI, you must take reasonable steps to ensure that LEP persons have meaningful
access to your programs (70 Fed. Reg. at 74087 to 74100);
Title IX of the Education Amendments of 1972, as amended, which prohibits you from
discriminating because of sex in education programs or activities (20 U.S.C. § 1681 et
seq).
12
ATTACHMENT 6
ASSURANCES AND CERTIFICATIONS
DISCLOSURE OF LOBBYING ACTIVITIES
Certification for Contracts, Grants, Loans, and Agreements
The undersigned certifies, to the best of his or her knowledge and belief, that:
No Federal appropriated funds have been paid or will be paid, by or on behalf of the
undersigned, to any person for influencing or attempting to influence an officer or employee of
any agency, a Member of Congress, an officer or employee of Congress, or an employee of a
Member of Congress in connection with the awarding of any Federal contract, the making of any
Federal grant, the making of any Federal loan, the entering into of any grant agreement, and the
extension, continuation, renewal, amendment, or modification of any Federal contract, grant,
loan, or grant agreement.
If any funds other than Federal appropriated funds have been paid or will be paid to any person
for influencing or attempting to influence an officer or employee of any agency, a Member of
Congress, an officer or employee of Congress, or an employee of a Member of Congress in
connection with this Federal contract, grant, loan, or grant agreement, the undersigned shall
complete and submit Standard Form-LLL (Rev. 7-97), "Disclosure of Lobbying Activities," in
accordance with its instructions.
The undersigned shall require that the language of this certification be included in the award
documents for all subawards at all tiers (including subcontracts, subgrants, and contracts under
grants, loans and grant agreements) and that all subrecipients shall certify and disclose
accordingly.
This certification is a material representation of fact upon which reliance was placed when this
transaction was made or entered into. Submission of this certification is a prerequisite for
making or entering into this transaction imposed by 31 U.S.C. § 1352, title. Any person who
fails to file the required certification shall be subject to a civil penalty of not less than $10,000
and not more than $100,000 for each such failure.
13
ATTACHMENT 6
ASSURANCES AND CERTIFICATIONS
CERTIFICATION REGARDING DRUG -FREE WORKPLACE REQUIREMENTS IN
THE PERFORMANCE OF THE FY 2015 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 1973, as
amended, or
(b) Requiring such employee to participate satisfactorily in a drug abuse assistance or
rehabilitation program approved for such purposes by a Federal, State or local
health, law enforcement, or other appropriate agency.
14
ATTACHMENT 6
ASSURANCES AND CERTIFICATIONS
7. Making a good faith effort to continue to maintain a drug -free workplace through
implementation of paragraphs (a), (b), (c), (d), (e) and (f).
8. The Recipient may, but is not required to, provide the site for the performance of work
done in connection with the specific grant. For the provision of services pursuant to the
agreement, workplaces include outstations, maintenance sites, headquarters office
locations, training sites and any other worksites where work is performed that is
supported by the grant award. If the Recipient does so, please insert in section 17 of
Attachment I 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.
15
ATTACHMENT 6
ASSURANCES AND CERTIFICATIONS
CERTIFICATION REGARDING DEBARMENT, SUSPENSION, AND OTHER
RESPONSIBILITY MATTERS -- PRIMARY COVERED TRANSACTIONS
2 C.F.R. Parts 180 and 1200 and 48 C.F.R. Part 9
These assurances and certifications are applicable to all Federal -aid construction contracts,
design -build contracts, subcontracts, lower -tier subcontracts, purchase orders, lease agreements,
consultant contracts or any other covered transaction requiring FRA approval or that is estimated
to cost $25,000 or more — as defined in 2 C.F.R. Parts 180 and 1200.
By signing and submitting the Technical Application and by entering into the agreement under
the FY 2015 TIGER Discretionary Grant program, the Recipient is providing the assurances and
certifications for First Tier Participants and Lower Tier Participants in the FY 2015 TIGER
Discretionary Project, as set out below.
1. Instructions for Certification — First Tier Participants:
a. The prospective first tier participant is providing the certification set out below.
b. The inability of a person to provide the certification set out below will not necessarily
result in denial of participation in this covered transaction. The prospective first tier
participant shall submit an explanation of why it cannot provide the certification set
out below. The certification or explanation will be considered in connection with the
department or agency's determination whether to enter into this transaction. However,
failure of the prospective first tier participant to furnish a certification or an
explanation shall disqualify such a person from participation in this transaction.
The certification in this clause is a material representation of fact upon which reliance
was placed when the contracting agency determined to enter into this transaction. If it
is later determined that the prospective participant knowingly rendered an erroneous
certification, in addition to other remedies available to the Federal Government, the
contracting agency may terminate this transaction for cause of default.
d. The prospective first tier participant shall provide immediate written notice to the
contracting agency to whom this proposal is submitted if any time the prospective
first tier participant learns that its certification was erroneous when submitted or has
become erroneous by reason of changed circumstances.
e. The terms "covered transaction," "civil judgment," "debarred," "suspended,"
"ineligible," "participant," "person," "principal," and "voluntarily excluded," as used
in this clause, are defined in 2 C.F.R. Parts 180 and 1200. "First Tier Covered
Transactions" refers to any covered transaction between a Recipient or subrecipient of
16
ATTACHMENT 6
ASSURANCES AND CERTIFICATIONS
Federal funds and a participant (such as the prime or general contract). "Lower Tier
Covered Transactions" refers to any covered transaction under a First Tier Covered
Transaction (such as subcontracts). "First Tier Participant" refers to the participant
who has entered into a covered transaction with a Recipient or subrecipient of Federal
funds (such as the prime or general contractor). "Lower Tier Participant" refers to any
participant who has entered into a covered transaction with a First Tier Participant or
other Lower Tier Participants (such as subcontractors and suppliers).
f. The prospective first tier participant agrees by submitting this proposal that, should the
proposed covered transaction be entered into, it shall not knowingly enter into any
lower tier covered transaction with a person who is debarred, suspended, declared
ineligible, or voluntarily excluded from participation in this covered transaction,
unless authorized by the department or agency entering into this transaction.
g. The prospective first tier participant further agrees by submitting this proposal that it
will include the clause titled "Certification Regarding Debarment, Suspension,
Ineligibility and Voluntary Exclusion -Lower Tier Covered Transactions," provided
by the department or contracting agency, entering into this covered transaction,
without modification, in all lower tier covered transactions and in all solicitations for
lower tier covered transactions exceeding the $25,000 threshold.
h. A participant in a covered transaction may rely upon a certification of a prospective
participant in a lower tier covered transaction that is not debarred, suspended,
ineligible, or voluntarily excluded from the covered transaction, unless it knows that
the certification is erroneous. A participant is responsible for ensuring that its
principals are not suspended, debarred, or otherwise ineligible to participate in
covered transactions. To verify the eligibility of its principals, as well as the
eligibility of any lower tier prospective participants, each participant may, but is not
required to, check the System for Award Management website
(https://www.sam.gov/), which is compiled by the General Services Administration.
Nothing contained in the foregoing shall be construed to require the establishment of a
system of records in order to render in good faith the certification required by this
clause. The knowledge and information of the prospective participant is not required
to exceed that which is normally possessed by a prudent person in the ordinary course
of business dealings.
Except for transactions authorized under paragraph (f) of these instructions, if a
participant in a covered transaction knowingly enters into a lower tier covered
transaction with a person who is suspended, debarred, ineligible, or voluntarily
excluded from participation in this transaction, in addition to other remedies available
to the Federal Government, the department or agency may terminate this transaction
for cause or default.
Certification Regarding Debarment, Suspension, Ineligibility and Voluntary Exclusion —
First Tier Participants:
17
ATTACHMENT 6
ASSURANCES AND CERTIFICATIONS
a. The prospective first tier participant certifies to the best of its knowledge and belief,
that it and its principals:
(1) Are not presently debarred, suspended, proposed for debarment, declared
ineligible, or voluntarily excluded from participating in covered transactions by
any Federal department or agency;
(2) Have not within a three-year period preceding this proposal been convicted of or
had a civil judgment, including a civil settlement, rendered against them for
commission of fraud or a criminal offense in connection with obtaining,
attempting to obtain, or performing a public (Federal, State or local) transaction
or contract under a public transaction; violation of Federal or State antitrust
statutes or commission of embezzlement, theft, forgery, bribery, falsification or
destruction of records, making false statements, or receiving stolen property;
(3) Are not presently indicted for or otherwise criminally or civilly charged by a
governmental entity (Federal, State or local) with commission of any of the
offenses enumerated in paragraph (a)(2) of this certification; and
(4) Have not within a three-year period preceding this application/proposal had one
or more public transactions (Federal, State or local) terminated for cause or
default.
b. Where the prospective participant is unable to certify to any of the statements
in this certification, such prospective participant shall attach an explanation
to this proposal.
2. Instructions for Certification - Lower Tier Participants:
(Applicable to all subcontracts, purchase orders and other lower tier transactions requiring prior
FHWA approval or estimated to cost $25,000 or more - 2 C.F.R. Parts 180 and 1200)
a. The prospective lower tier participant is providing the certification set out below.
b. The certification in this clause is a material representation of fact upon which reliance
was placed when this transaction was entered into. If it is later determined that the
prospective lower tier participant knowingly rendered an erroneous certification, in
addition to other remedies available to the Federal Government, the department, or
agency with which this transaction originated may pursue available remedies,
including suspension and/or debarment.
c. The prospective lower tier participant shall provide immediate written notice to the
person to which this proposal is submitted if at any time the prospective lower tier
participant learns that its certification was erroneous by reason of changed
circumstances.
d. The terms "covered transaction," "civil settlement," "debarred," "suspended,"
"ineligible," "participant," "person," "principal," and "voluntarily excluded," as used
18
ATTACHMENT 6
ASSURANCES AND CERTIFICATIONS
in this clause, are defined in 2 C.F.R. Parts 180 and 1200. You may contact the person
to which this proposal is submitted for assistance in obtaining a copy of those
regulations. "First Tier Covered Transactions" refers to any covered transaction
between a Recipient or subrecipient of Federal funds and a participant (such as the
prime or general contract). "Lower Tier Covered Transactions" refers to any covered
transaction under a First Tier Covered Transaction (such as subcontracts). "First Tier
Participant" refers to the participant who has entered into a covered transaction with a
Recipient or subrecipient of Federal funds (such as the prime or general contractor).
"Lower Tier Participant" refers any participant who has entered into a covered
transaction with a First Tier Participant or other Lower Tier Participants (such as
subcontractors and suppliers).
e. The prospective lower tier participant agrees by submitting this proposal that, should
the proposed covered transaction be entered into, it shall not knowingly enter into any
lower tier covered transaction with a person who is debarred, suspended, declared
ineligible, or voluntarily excluded from participation in this covered transaction,
unless authorized by the department or agency with which this transaction originated.
f. The prospective lower tier participant further agrees by submitting this proposal that it
will include this clause titled "Certification Regarding Debarment, Suspension,
Ineligibility and Voluntary Exclusion -Lower Tier Covered Transaction," without
modification, in all lower tier covered transactions and in all solicitations for lower tier
covered transactions exceeding the $25,000 threshold.
g. A participant in a covered transaction may rely upon a certification of a prospective
participant in a lower tier covered transaction that is not debarred, suspended,
ineligible, or voluntarily excluded from the covered transaction, unless it knows that
the certification is erroneous. A participant is responsible for ensuring that its
principals are not suspended, debarred, or otherwise ineligible to participate in covered
transactions. To verify the eligibility of its principals, as well as the eligibility of any
lower tier prospective participants, each participant may, but is not required to, check
the System for Award Management website (https://www.sam.gov/), which is
compiled by the General Services Administration.
h. Nothing contained in the foregoing shall be construed to require establishment of a
system of records in order to render in good faith the certification required by this
clause. The knowledge and information of participant is not required to exceed that
which is normally possessed by a prudent person in the ordinary course of business
dealings.
Except for transactions authorized under paragraph e of these instructions, if a
participant in a covered transaction knowingly enters into a lower tier covered
transaction with a person who is suspended, debarred, ineligible, or voluntarily
excluded from participation in this transaction, in addition to other remedies available
to the Federal Government, the department or agency with which this transaction
originated may pursue available remedies, including suspension and/or debarment.
19
ATTACHMENT 6
ASSURANCES AND CERTIFICATIONS
Certification Regarding Debarment, Suspension, Ineligibility and Voluntary Exclusion --
Lower Tier Participants:
1. The prospective lower tier participant certifies, by submission of this proposal, that neither it
nor its principals is presently debarred, suspended, proposed for debarment, declared ineligible,
or voluntarily excluded from participating in covered transactions by any Federal department or
agency.
2. Where the prospective lower tier participant is unable to certify to any of the statements in
this certification, such prospective participant shall attach an explanation to this proposal.
20
ATTACHMENT 6
ASSURANCES AND CERTIFICATIONS
REQUIREMENTS REGARDING DELINQUENT TAX LIABILITY OR A FELONY
CONVICTION UNDER ANY FEDERAL LAW
As required by sections 744 and 745 of Division E of the Consolidated and Further Continuing
Appropriations Act, 2015 (Pub. L. 113-235), and similar provisions in subsequent appropriations
acts, the funds provided under this award shall not be used to enter into a contract, memorandum
of understanding, or cooperative agreement with, make a grant to, or provide a loan or loan
guarantee to, any corporation that:
(1) Has any unpaid Federal tax liability that has been assessed, for which all judicial and
administrative remedies have been exhausted or have lapsed, and that is not being paid in a
timely manner pursuant to an agreement with the authority responsible for collecting the tax
liability, where the awarding agency is aware of the unpaid tax liability, unless an agency has
considered suspension or debarment of the corporation and made a determination that suspension
or debarment is not necessary to protect the interests of the Government; or
(2) Was convicted of a felony criminal violation under any Federal law within the preceding
24 months, where the awarding agency is aware of the conviction, unless an agency has
considered suspension or debarment of the corporation and made a determination that this action
is not necessary to protect the interests of the Government.
The Recipient therefore agrees:
1. Definitions. For the purposes of this exhibit, the following definitions apply:
"Covered Transaction" means a transaction that uses any funds under this award and that is a
contract, memorandum of understanding, cooperative agreement, grant, loan, or loan guarantee
"Felony Conviction" means a conviction within the preceding 24 months of a felony criminal
violation under any Federal law and includes conviction of an offense defined in a section of the
United States Code that specifically classifies the offense as a felony and conviction of an
offense that is classified as a felony under 18 U.S.C. 3559.
"Participant" means the Recipient, an entity who submits a proposal for a Covered Transaction,
or an entity who enters into a Covered Transaction.
"Tax Delinquency" means an unpaid Federal tax liability that has been assessed, for which all
judicial and administrative remedies have been exhausted, or have lapsed, and that is not being
paid in a timely manner pursuant to an agreement with the authority responsible for collecting
the tax liability.
2. Mandatory Check in the System for Award Management. Before entering a Covered
Transaction with another entity, a Participant shall check the System for Award Management
(the "SAM") at http://www.sam.gov/ for an entry describing that entity.
3. Mandatory Certifications. Before entering a Covered Transaction with another entity, a
Participant shall require that entity to:
21
ATTACHMENT 6
ASSURANCES AND CERTIFICATIONS
(1) Certify whether the entity has a Tax Delinquency; and
(2) Certify whether the entity has a Felony Conviction.
4 Prohibition. If
(1) the SAM entry for an entity indicates that the entity has a Tax Delinquency or a
Federal Conviction;
(2) an entity provides an affirmative response to either certification in section 3; or
(3) an entity's certification under section 3 was inaccurate when made or became
inaccurate after being made then a Participant shall not enter or continue a Covered
Transaction with that entity unless the USDOT has determined in writing that suspension
or debarment of that entity are not necessary to protect the interests of the Government.
5. Mandatory Notice to the USDOT.
(a) If the SAM entry for a Participant indicates that the Participant has a Tax
Delinquency or a Felony Conviction, the Recipient shall notify the USDOT in writing of
that entry.
(b) If a Participant provides an affirmative response to either certification in section
1, the Recipient shall notify the USDOT in writing of that affirmative response.
(c) If the Recipient knows that a Participant's certification under section 1 was
inaccurate when made or became inaccurate after being made, the Recipient shall notify
the USDOT in writing of that inaccuracy.
6. Flow Down. For all Covered Transactions, including all tiers of subcontracts and
subawards, the Recipient shall:
(1) require the SAM check in section 2;
(2) require the certifications in section 3;
(3) include the prohibition in section 4; and
(4) require all Participants to notify the Recipient in writing of any information that
would require the Recipient to notify the USDOT under section 5.
[END OF ASSURANCES AND CERTIFICATIONS]
22