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R-10-01-14-8D2 - 1/14/2010RESOLUTION NO. R -10-01-14-8D2 WHEREAS, Chapter 791 of the Texas Government Code, V.T.C.A., authorizes local governments and agencies of the state to enter into agreements with one another to perform governmental functions and services, and WHEREAS, the City of Round Rock wishes to enter into an Advance Funding Agreement for Voluntary Local Government Contributions to Transportation Improvement Projects with No Required Match ("Agreement") with the State of Texas, acting through the Texas Department of Transportation regarding the Business Interstate 35 (Mays) at Old Settlers Boulevard Project, Now Therefore BE IT RESOLVED BY THE COUNCIL OF THE CITY OF ROUND ROCK, TEXAS, That the Mayor is hereby authorized and directed to execute on behalf of the City said Agreement, a copy of same being attached hereto as Exhibit "A" and incorporated herein for all purposes. The City Council hereby finds and declares that written notice of the date, hour, place and subject of the meeting at which this Resolution was adopted was posted and that such meeting was open to the public as required by law at all times during which this Resolution and the subject matter hereof were discussed, considered and formally acted upon, all as required by the Open Meetings Act, Chapter 551, Texas Government Code, as amended. RESOLVED this 14th day of January, 2010. ALAN MCGRAW, Mayor ATTEST: City City of Round Rock, Texas SARA L. WHITE, City Secretary o:\wdcx\SCC1nts\0112\1CO5\MUNICIPAL\00179622 .DOC/rmc THE STATE OF TEXAS § THE COUNTY OF TRAVIS § EXHIBIT „A„ CSJ #0015-16 District # 14 Code Chart 64 #36750 Busi 35 (Mays) at Old Settlers Blvd CFDA#: N/A ADVANCE FUNDING AGREEMENT FOR VOLUNTARY LOCAL GOVERNMENT CONTRIBUTIONS TO TRANSPORTATION IMPROVEMENT PROJECTS WITH NO REQUIRED MATCH THIS AGREEMENT IS MADE BY AND BETWEEN the State of Texas, acting by and through the Texas Department of Transportation, hereinafter called the "State", and the City of Round Rock, acting by and through its duly authorized officials, hereinafter called the "Local Government." WITNESSETH WHEREAS, Transportation Code, Chapters 201, 221, 227, and 361, authorize the State to lay out, construct, maintain, and operate a system of streets, roads, and highways that comprise the State Highway System; and, WHEREAS, Government Code, Chapter 791, and Transportation Code, §201.209 and Chapter 221, authorize the State to contract with municipalities and political subdivisions; and, WHEREAS, Commission Minute Order Number 111370 authorizes the State to undertake and complete a highway improvement generally described as intersection improvements; and, WHEREAS, the Local Government has requested that the State allow the Local Government to participate in said improvement by funding that portion of the improvement described as upgrading Business 35 (Mays St) at Old Settlers Boulevard to a four lane roadway with dual left turn lanes and adding a right turn lane on Old Settlers to south Mays St, hereinafter called the "Project"; and, WHEREAS, the State has determined that such participation is in the best interest of the citizens of the State; NOW, THEREFORE, in consideration of the premises and of the mutual covenants and agreements of the parties hereto, to be by them respectively kept and performed as hereinafter set forth, the State and the Local Government do agree as follows: AGREEMENT Article 1. Time Period Covered This agreement becomes effective when signed by the last party whose signing makes the agreement fully executed, and the State and the Local Government will consider it to be in full force and effect until the Project described herein has been completed and accepted by all parties or unless terminated, as hereinafter provided. Article 2. Project Funding and Work Responsibilities The State will authorize the performance of only those Project items of work which the Local Government has requested and has agreed to pay for as described in Attachment A, Payment Provision and Work Responsibilities which is attached to and made a part of this contract. In addition to identifying those items of work paid for by payments to the State, Attachment A, Payment Provision and Work Responsibilities, also specifies those Project items of work that are the AFA-AFA_VoITIP Page 1 of 10 Revised 07/10/2009 CSJ #0015-16 District # 14 Code Chart 64 #36750 Busi 35 (Mays) at Old Settlers Blvd CFDA#: N/A responsibility of the Local Government and will be carried out and completed by the Local Government, at no cost to the State. At least sixty (60) days prior to the date set for receipt of the construction bids, the Local Government shall remit its remaining financial share for the State's estimated construction oversight and construction costs. In the event that the State determines that additional funding by the Local Government is required at any time during the Project, the State will notify the Local Government in writing. The Local Government shall make payment to the State within thirty (30) days from receipt of the State's written notification. Whenever funds are paid by the Local Government to the State under this Agreement, the Local Government shall remit a check or warrant made payable to the "Texas Department of Transportation Trust Fund." The check or warrant shall be deposited by the State in an escrow account to be managed by the State. Funds in the escrow account may only be applied by the State to the Project. If, after final Project accounting, excess funds remain in the escrow account, those funds may be applied by the State to the Local Government's contractual obligations to the State under another advance funding agreement. If the Local Government will perform any work under this contract for which reimbursement will be provided by or through the State, the Local Government must complete training before a letter of authority is issued. Training is complete when at least one individual who is working actively and directly on the Project successfully completes and receives a certificate for the course entitled Local Government Project Procedures Qualification for the Texas Department of Transportation. The Local Government shall provide the certificate of qualification to the State. The individual who receives the training certificate may be an employee of the Local Government or an employee of a firm that has been contracted by the Local Government to perform oversight of the Project. The State in its discretion may deny reimbursement if the Local Government has not designated a qualified individual to oversee the Project. Whenever funds from the American Recovery and Reinvestment Act of 2009 (ARRA) are distributed to a Local Government, the Local Government must complete its Schedule of Expenditures of Federal Awards (SEFA) and the Data Collection Form (SF -SAC), as required by OMB Circular A-133, and separately identify any ARRA expenditures for Federal Awards. Payment under this contract beyond the end of the current fiscal biennium is subject to availability of appropriated funds. If funds are not appropriated, this contract shall be terminated immediately with no liability to either party. Article 3. Right of Access If the Local Government is the owner of any part of the Project site, the Local Government shall permit the State or its authorized representative access to the site to perform any activities required to execute the work. Article 4. Adjustments Outside the Project Site The Local Government will provide for all necessary right-of-way and utility adjustments needed for performance of the work. AFA-AFA VoITIP Page 2 of 10 Revised 07/10/2009 CSJ #0015-16 District # 14 Code Chart 64 #36750 Busi 35 (Mays) at Old Settlers Blvd CFDA#: N/A Article 5. Responsibilities of the Parties The State and the Local Government agree that neither party is an agent, servant, or employee of the other party and each party agrees it is responsible for its individual acts and deeds as well as the acts and deeds of its contractors, employees, representatives, and agents. Article 6. Document and Information Exchange The Local Government agrees to electronically deliver to the State all general notes, specifications, contract provision requirements and related documentation in a Microsoft® Word or similar document. If requested by the State, the Local Government will use the State's document template. The Local Government shall also provide a detailed construction time estimate including types of activities and month in the format required by the State. This requirement applies whether the local government creates the documents with its own forces or by hiring a consultant or professional provider. At the request of the State, the Local Government shall submit any information required by the State in the format directed by the State. Article 7. Interest The State will not pay interest on funds provided by the Local Government. Funds provided by the Local Government will be deposited into, and retained in, the State Treasury. Article 8. Inspection and Conduct of Work Unless otherwise specifically stated in Attachment A, Project Budget and Description, to this contract, the State will supervise and inspect all work performed hereunder and provide such engineering inspection and testing services as may be required to ensure that the Project is accomplished in accordance with the approved plans and specifications. All correspondence and instructions to the contractor performing the work will be the sole responsibility of the State. Unless otherwise specifically stated in Attachment A to this contract, all work will be performed in accordance with the Standard Specifications for Construction and Maintenance of Highways, Streets, and Bridges adopted by the State and incorporated herein by reference, or special specifications approved by the State. Article 9. Increased Costs In the event it is determined that the funding provided by the Local Government will be insufficient to cover the State's cost for performance of the Local Government's requested work, the Local Government will pay to the State the additional funds necessary to cover the anticipated additional cost. The State shall send the Local Government a written notification stating the amount of additional funding needed and stating the reasons for the needed additional funds. The Local Government shall pay the funds to the State within 30 days of the written notification, unless otherwise agreed to by all parties to this agreement. If the Local Government cannot pay the additional funds, this contract shall be mutually terminated in accord with Article 11 - Termination. If this is a fixed price agreement as specified in Attachment A, Project Budget and Description, this provision shall only apply in the event changed site conditions are discovered or as mutually agreed upon by the State and the Local Government. If any existing or future local ordinances, commissioners court orders, rules, policies, or other directives, including but not limited to outdoor advertising billboards and storm water drainage facility requirements, are more restrictive than State or Federal Regulations, or if any other locally proposed changes, including but not limited to plats or replats, result in increased costs, then any increased costs associated with the ordinances or changes will be paid by the local government. The cost of providing right of way acquired by the State shall mean the total expenses in acquiring the property AFA-AFA VoITIP Page 3 of 10 Revised 07/10/2009 CSJ #0015-16 District # 14 Code Chart 64 #36750 Busi 35 (Mays) at Old Settlers Blvd CFDA#: N/A interests either through negotiations or eminent domain proceedings, including but not limited to expenses related to relocation, removal, and adjustment of eligible utilities. Article 10. Maintenance Upon completion of the Project, the State will assume responsibility for the maintenance of the completed Project unless otherwise specified in Attachment A to this agreement. Article 11. Termination This agreement may be terminated in the following manner: • by mutual written agreement and consent of both parties; • by either party upon the failure of the other party to fulfill the obligations set forth herein; • by the State if it determines that the performance of the Project is not in the best interest of the State. If the agreement is terminated in accordance with the above provisions, the Local Government will be responsible for the payment of Project costs incurred by the State on behalf of the Local Government up to the time of termination. • Upon completion of the Project, the State will perform an audit of the Project costs. Any funds due to the Local Government, the State, or the Federal Government will be promptly paid by the owing party. Article 12. Notices All notices to either party by the other required under this agreement shall be delivered personally or sent by certified or U.S. mail, postage prepaid or sent by electronic mail, (electronic notice being permitted to the extent permitted by law but only after a separate written consent of the parties), addressed to such party at the following addresses: Local Government: Mayor, City of Round Rock 221 E. Main Street Round Rock, Texas 78664 State: Austin District Engineer 7901 North 1-35 Austin, Texas 78753 All notices shall be deemed given on the date so delivered or so deposited in the mail, unless otherwise provided herein. Either party may change the above address by sending written notice of the change to the other party. Either party may request in writing that such notices shall be delivered personally or by certified U.S. mail and such request shall be honored and carried out by the other party. Article 13. Sole Agreement In the event the terms of the agreement are in conflict with the provisions of any other existing agreements between the Local Government and the State, the latest agreement shall take precedence over the other agreements in matters related to the Project. Article 14. Successors and Assigns The State and the Local Government each binds itself, its successors, executors, assigns, and administrators to the other party to this agreement and to the successors, executors, assigns, and administrators of such other party in respect to all covenants of this agreement. Article 15. Amendments By mutual written consent of the parties, this contract may be amended prior to its expiration. AFA-AFA_VoITIP Page 4 of 10 Revised 07/10/2009 CSJ #0015-16 District # 14 Code Chart 64 #36750 Busi 35 (Mays) at Old Settlers Blvd CFDA#: N/A Article 16. State Auditor The state auditor may conduct an audit or investigation of any entity receiving funds from the state directly under the contract or indirectly through a subcontract under the contract. Acceptance of funds directly under the contract or indirectly through a subcontract under this contract acts as acceptance of the authority of the state auditor, under the direction of the legislative audit committee, to conduct an audit or investigation in connection with those funds. An entity that is the subject of an audit or investigation must provide the state auditor with access to any information the state auditor considers relevant to the investigation or audit. Whenever ARRA funds are used and the Local Government is performing any work, either directly or through a contractor, it must comply with the following provisions. If a Local Government is receiving ARRA funds, but is not performing any work, the following provisions apply, if appropriate, and to the extent necessary to comply with ARRA regulations. In accordance with Section 902 of the ARRA, should this agreement involve the expenditure of ARRA funds, then the U.S. Comptroller General and its representatives shall have the authority to: a. examine any records of the contractor or any of its subcontractors, or any State or local agency administering such contract, that directly pertain to, and involve transactions relating to the contract or subcontract; and b. interview any officer or employee of the contractor or any of its subcontractors, or any State or local agency administering the contract regarding such contracts. Nothing in the section previously mentioned shall be interpreted to limit or restrict in any way the existing authority of the Comptroller General. In accordance with Section 1515(a) of the ARRA, with respect to each contract or grant awarded using covered funds, any representative of an appropriate inspector general appointed under Section 3 or 8G of the Inspector General Act of 1978 (5 U.S.C. App.), is authorized: a. to examine any records of the contractor or grantee, any of its subcontractors or subgrantees, or any State or local agency administering such contract that pertain to and involve transactions relating to the contract, subcontract, grant, or subgrant; and b. to interview any officer or employee of the contractor, grantee or subgrantee, or agency regarding such transactions. Section 1515(b) further provides that nothing in the section previously mentioned shall be interpreted to limit or restrict in any way the existing authority of an inspector general. The ARRA requires that the Contractor report monthly employment information for its firm as well as that of all of its subcontractors. The Contractor, similarly, shall include this reporting requirement in all of its subcontracts. Failing to include the requirement in agreements with subcontractors can serve as grounds for contract termination. Form FHWA-1589, Monthly Employment Report, promulgated by the Federal Highway Administration (FHWA), captures the necessary monthly employment information and shall be submitted by the Contractor on a regular basis to the LG (Local Government). It is the responsibility of the LG to obtain this form from the prime Contractor and any subcontractors and, the LG shall verify the accuracy, AFA-AFA VoITIP Page 5 of 10 Revised 07/10/2009 CSJ #0015-16 District # 14 Code Chart 64 #36750 Busi 35 (Mays) at Old Settlers Blvd CFDA#: N/A completeness, and reasonableness of the data contained in the form. The LG shall ensure that this form is submitted by the LG to the State according to the policies and at the direction of the State. In order to meet any other FHWA and ARRA reporting requirements, the LG shall provide to the State all information requested by the State, including data or information in possession of contractors and subcontractors for completing other necessary reporting forms, and the information shalt be submitted in the manner required and according to all due dates as set by the State. Furthermore, the ARRA mandates that the U.S. Comptroller General's Office shall have authority to examine the records of the contractor, subcontractor, or local agency relating to the project at any time. Article 17. Insurance If this agreement authorizes the Local Government or its contractor to perform any work on State right of way, before beginning work the entity performing the work shall provide the State with a fully executed copy of the State's Form 1560 Certificate of Insurance verifying the existence of coverage in the amounts and types specified on the Certificate of Insurance for all persons and entities working on State right of way. This coverage shall be maintained until all work on the State right of way is complete. If coverage is not maintained, all work on State right of way shall cease immediately, and the State may recover damages and all costs of completing the work. Article 18. Debarment The parties are prohibited from making any award at any tier to any party that is debarred or suspended or otherwise excluded from or ineligible for participation in Federal Assistance Programs under Executive Order 12549, "Debarment and Suspension." By executing this agreement, the [Contractor, Local Government, Engineer, or whatever] certifies that it is not currently debarred, suspended, or otherwise excluded from or ineligible for participation in Federal Assistance Programs under Executive Order 12549. The parties to this contract shall require any party to a subcontract or purchase order awarded under this contract to certify its eligibility to receive Federal funds and, when requested by the State, to furnish a copy of the certification. Article 19. Signatory Warranty The signatories to this agreement warrant that each has the authority to enter into this agreement on behalf of the party they represent. IN WITNESS WHEREOF, THE STATE AND THE LOCAL GOVERNMENT have executed duplicate counterparts to effectuate this agreement. AFA-AFA VoITIP Page 6 of 10 Revised 07/10/2009 CSJ #0015-16 District # 14 Code Chart 64 #36750 Busi 35 (Mays) at Old Settlers Blvd CFDA#: N/A THE STATE OF TEXAS Executed for the Executive Director and approved for the Texas Transportation Commission for the purpose and effect of activating and/or carrying out the orders, established policies or work programs heretofore approved and authorized by the Texas Transportation Commission. By Date District Engineer THE LOCAL GOVERNMENT Name of the Local Government City of Round Rock By Date Typed or Printed Name and Title AFA-AFA VoITIP Page 7 of 10 Revised 07/10/2009 CSJ #0015-16-020 District # 14 Code Chart 64 #36750 Busi 35 (Mays) at Old Settlers Blvd CFDA#: N/A ATTACHMENT A Payment Provision and Work Responsibilities The Local Government will pay for the cost of the construction of intersection improvements on Business 35 (Mays) at Old Settlers Boulevard in Round Rock, an on -system roadway. The Local Govemment's participation is 100% of the cost of this particular improvement. The Local Govemment's estimated cost of this additional work is $147,000 for construction items. The State has estimated the project to be as follows: Description Total Estimate Cost State Participation Local Participation Cost % Cost Construction Construction of Intersection Improvements $147,000 0% $0 100% $147,000 Subtotal $147,000 $0 $147,000 Direct State Costs (including plan review, inspection and oversight) 5% $7,350 100% $7,350 0% $0 Indirect State Costs (no local participation required except for service projects) $0 0% $0 0% $0 Total $154,350 $7,350. $147,000 Indirect Cost will be charged. Local Government's Participation (100% of Bid Items) = $147,000 This is an estimate only; final participation amounts will be based on actual charges to the project. AFA-AFA_VoITIP Page 8 of 10 Revised 07/10/2009 CSJ #0015-16 District # 14 Code Chart 64 #36750 Busi 35 (Mays) at Old Settlers Blvd CFDA#: N/A Work Responsibilities 1. Environmental Requirements A. The Local Government is responsible for the identification of all environmental issues associated with this project and shall be responsible for the preparation of the appropriate environmental documentation and secure environmental clearance for the Project. Preparation and coordination of the environmental documentation shall be through the TxDOT Austin District Environmental Coordinator at (512) 832- 7168. B. To the extent required to complete the Project, the Local Government will be responsible for the mitigation and remediation of any environmental problems associated with the development of the Project. All costs associated with the remediation of the environmental problems will be the responsibility of the Local Government. C. The Local Government shall provide to the State written documentation from the appropriate regulatory agency(s) that all environmental clearances have been obtained, prior to the advertising for bids. 2. Engineering Services A. The Local Government shall prepare or cause to be prepared the engineering plans, specifications, and estimates (PS&E) necessary for the development of the Project. The PS&E shall be prepared in accordance with all applicable laws, policies and regulations, deemed necessary by the State. B. The engineering plans shall be developed in accordance with the Texas Department of Transportation Roadway Design Manual, the current edition of the Standard Specifications for Construction and Maintenance of Highways, Streets, and Bridges and the special specifications and special provisions related thereto, and the Texas Accessibility Standards. C. The Local Government shall submit a copy of the redlined plans provided by the State with all applicable plan submittals to indicate that QC/QA was undertaken. D. The State must approve the project before advertisement can begin. The Local government shall submit the completed PS&E to the State for review and approval at least fourteen weeks prior to the advertising for receipt of bids. 3. Construction Responsibilities A. The Local Government shall advertise for construction bids, issue bid proposals, receives and tabulate the bids and award and administer the contract for construction of the Project. Administration of the contract includes the responsibility for construction engineering and for issuance of any change orders, supplemental Page 9 of 10 Revised 07/10/2009 AFA-AFA VoITIP CSJ #0015-16 District # 14 Code Chart 64 #36750 Busi 35 (Mays) at Old Settlers Blvd CFDA#: N/A agreements, amendments, or additional work orders, which may become necessary subsequent to the award of the construction contract. B. The Local Government will use its approved contract letting and award procedures to let and award the construction contract. C. Prior to their execution, the State will review and approve contract change orders. AFA-AFA VoITIP Page 10 of 10 Revised 07/10/2009 DATE: January 7, 2010 SUBJECT: City Council Meeting —January 14, 2010 ITEM: 8D2. Consider a resolution authorizing the Mayor to execute an Advance Funding Agreement with the Texas Department of Transportation for the Business Interstate 35 (Mays) at Old Settlers Boulevard project. Department: Staff Person: Justification: Transportation Services Tom Word, P.E., Chief of Public Works Operations The North Mays Extension Project, which widens and extends North Mays between Old Settlers Boulevard and Jeffrey Way makes some modifications to the intersection of Old Settlers Boulevard and North Mays. The intersection of North Mays and Old Settlers Boulevard as well as North Mays south of Old Settlers Boulevard are owned and maintained by the Texas Department of Transportation (TxDOT). As such, TxDOT must review and approve the City's construction plans and environmental documents related to the work which will be done on this portion of the roadway. This agreement allows for TxDOT to review the plans so that this project may move forward. The estimate for the cost of work to be done in the state right-of-way is $147,000, which is included in the budgeting for the Mays Extension Project (originally approved by the Transportation System Development Corporation and Council on November 8, 2007) —TxDOT has agreed to review the construction plans and environmental documents at no cost to the City. Strategic Plan Relevance: Goal 26.0: Construct major elements of the transportation and mobility system as approved by Council in the Master Transportation Plan. Funding: Cost: $0.00 Source of funds: N/A Outside Resources (if applicable): Texas Department of Transportation Public Comment (if applicable): CSJ #0015-16 - oaa District # 14 Code Chart 64 #36750 Busi 35 (Mays) at Old Settlers Blvd CFDA#: N/A THE STATE OF TEXAS § THE COUNTY OF TRAVIS § ADVANCE FUNDING AGREEMENT FOR VOLUNTARY LOCAL GOVERNMENT CONTRIBUTIONS TO TRANSPORTATION IMPROVEMENT PROJECTS WITH NO REQUIRED MATCH THIS AGREEMENT IS MADE BY AND BETWEEN the State of Texas, acting by and through the Texas Department of Transportation, hereinafter called the "State", and the City of Round Rock, acting by and through its duly authorized officials, hereinafter called the "Local Government." oRic WITNESSETH WHEREAS, Transportation Code, Chapters 201, 221, 227, and 361, authorize the State to lay out, construct, maintain, and operate a system of streets, roads, and highways that comprise the State Highway System; and, WHEREAS, Government Code, Chapter 791, and Transportation Code, §201.209 and Chapter 221, authorize the State to contract with municipalities and political subdivisions; and, WHEREAS, Commission Minute Order Number 111370 authorizes the State to undertake and complete a highway improvement generally described as intersection improvements; and, WHEREAS, the Local Government has requested that the State allow the Local Government to participate in said improvement by funding that portion of the improvement described as upgrading Business 35 (Mays St) at Old Settlers Boulevard to a four lane roadway with dual left turn lanes and adding a right turn lane on Old Settlers to south Mays St, hereinafter called the "Project"; and, WHEREAS, the State has determined that such participation is in the best interest of the citizens of the State; NOW, THEREFORE, in consideration of the premises and of the mutual covenants and agreements of the parties hereto, to be by them respectively kept and performed as hereinafter set forth, the State and the Local Government do agree as follows: AGREEMENT Article 1. Time Period Covered This agreement becomes effective when signed by the last party whose signing makes the agreement fully executed, and the State and the Local Government will consider it to be in full force and effect until the Project described herein has been completed and accepted by all parties or unless terminated, as hereinafter provided. Article 2. Project Funding and Work Responsibilities The State will authorize the performance of only those Project items of work which the Local Government has requested and has agreed to pay for as described in Attachment A, Payment Provision and Work Responsibilities which is attached to and made a part of this contract. In addition to identifying those items of work paid for by payments to the State, Attachment A, Payment Provision and Work Responsibilities, also specifies those Project items of work that are the AFA-AFA VoITIP Page 1 of 10 Revised 07/10/2009 '�-iu-utl-t4- Sp2 CSJ #0015-16 District # 14 Code Chart 64 #36750 Busi 35 (Mays) at Old Settlers Blvd CFDA#: N/A responsibility of the Local Government and will be carried out and completed by the Local Government, at no cost to the State. At least sixty (60) days prior to the date set for receipt of the construction bids, the Local Government shall remit its remaining financial share for the State's estimated construction oversight and construction costs. In the event that the State determines that additional funding by the Local Government is required at any time during the Project, the State will notify the Local Government in writing. The Local Government shall make payment to the State within thirty (30) days from receipt of the State's written notification. Whenever funds are paid by the Local Government to the State under this Agreement, the Local Government shall remit a check or warrant made payable to the "Texas Department of Transportation Trust Fund." The check or warrant shall be deposited by the State in an escrow account to be managed by the State. Funds in the escrow account may only be applied by the State to the Project. If, after final Project accounting, excess funds remain in the escrow account, those funds may be applied by the State to the Local Government's contractual obligations to the State under another advance funding agreement. If the Local Government will perform any work under this contract for which reimbursement will be provided by or through the State, the Local Government must complete training before a letter of authority is issued. Training is complete when at least one individual who is working actively and directly on the Project successfully completes and receives a certificate for the course entitled Local Government Project Procedures Qualification for the Texas Department of Transportation. The Local Government shall provide the certificate of qualification to the State. The individual who receives the training certificate may be an employee of the Local Government or an employee of a firm that has been contracted by the Local Government to perform oversight of the Project. The State in its discretion may deny reimbursement if the Local Government has not designated a qualified individual to oversee the Project. Whenever funds from the American Recovery and Reinvestment Act of 2009 (ARRA) are distributed to a Local Government, the Local Government must complete its Schedule of Expenditures of Federal Awards (SEFA) and the Data Collection Form (SF -SAC), as required by OMB Circular A-133, and separately identify any ARRA expenditures for Federal Awards. Payment under this contract beyond the end of the current fiscal biennium is subject to availability of appropriated funds. If funds are not appropriated, this contract shall be terminated immediately with no liability to either party. Article 3. Right of Access If the Local Government is the owner of any part of the Project site, the Local Government shall permit the State or its authorized representative access to the site to perform any activities required to execute the work. Article 4. Adjustments Outside the Project Site The Local Government will provide for all necessary right-of-way and utility adjustments needed for performance of the work. AFA-AFA VoITIP Page 2 of 10 Revised 07/10/2009 CSJ #0015-16 District # 14 Code Chart 64 #36750 Busi 35 (Mays) at Old Settlers Blvd CFDA#: N/A Article 5. Responsibilities of the Parties The State and the Local Government agree that neither party is an agent, servant, or employee of the other party and each party agrees it is responsible for its individual acts and deeds as well as the acts and deeds of its contractors, employees, representatives, and agents. Article 6. Document and Information Exchange The Local Government agrees to electronically deliver to the State all general notes, specifications, contract provision requirements and related documentation in a Microsoft® Word or similar document. If requested by the State, the Local Government will use the State's document template. The Local Government shall also provide a detailed construction time estimate including types of activities and month in the format required by the State. This requirement applies whether the local government creates the documents with its own forces or by hiring a consultant or professional provider. At the request of the State, the Local Government shall submit any information required by the State in the format directed by the State. Article 7. Interest The State will not pay interest on funds provided by the Local Government. Funds provided by the Local Government will be deposited into, and retained in, the State Treasury. Article 8. Inspection and Conduct of Work Unless otherwise specifically stated in Attachment A, Project Budget and Description, to this contract, the State will supervise and inspect all work performed hereunder and provide such engineering inspection and testing services as may be required to ensure that the Project is accomplished in accordance with the approved plans and specifications. All correspondence and instructions to the contractor performing the work will be the sole responsibility of the State. Unless otherwise specifically stated in Attachment A to this contract, all work will be performed in accordance with the Standard Specifications for Construction and Maintenance of Highways, Streets, and Bridges adopted by the State and incorporated herein by reference, or special specifications approved by the State. Article 9. Increased Costs In the event it is determined that the funding provided by the Local Government will be insufficient to cover the State's cost for performance of the Local Government's requested work, the Local Government will pay to the State the additional funds necessary to cover the anticipated additional cost. The State shall send the Local Government a written notification stating the amount of additional funding needed and stating the reasons for the needed additional funds. The Local Government shall pay the funds to the State within 30 days of the written notification, unless otherwise agreed to by all parties to this agreement. If the Local Government cannot pay the additional funds, this contract shall be mutually terminated in accord with Article 11 - Termination. If this is a fixed price agreement as specified in Attachment A, Project Budget and Description, this provision shall only apply in the event changed site conditions are discovered or as mutually agreed upon by the State and the Local Government. If any existing or future local ordinances, commissioners court orders, rules, policies, or other directives, including but not limited to outdoor advertising billboards and storm water drainage facility requirements, are more restrictive than State or Federal Regulations, or if any other locally proposed changes, including but not limited to plats or replats, result in increased costs, then any increased costs associated with the ordinances or changes will be paid by the local government. The cost of providing right of way acquired by the State shall mean the total expenses in acquiring the property AFA-AFA_VoITIP Page 3 of 10 Revised 07/10/2009 CSJ #0015-16 District # 14 Code Chart 64 #36750 Busi 35 (Mays) at Old Settlers Blvd CFDA#: N/A interests either through negotiations or eminent domain proceedings, including but not limited to expenses related to relocation, removal, and adjustment of eligible utilities. Article 10. Maintenance Upon completion of the Project, the State will assume responsibility for the maintenance of the completed Project unless otherwise specified in Attachment A to this agreement. Article 11. Termination This agreement may be terminated in the following manner: • by mutual written agreement and consent of both parties; • by either party upon the failure of the other party to fulfill the obligations set forth herein; • by the State if it determines that the performance of the Project is not in the best interest of the State. If the agreement is terminated in accordance with the above provisions, the Local Government will be responsible for the payment of Project costs incurred by the State on behalf of the Local Government up to the time of termination. • Upon completion of the Project, the State will perform an audit of the Project costs. Any funds due to the Local Government, the State, or the Federal Government will be promptly paid by the owing party. Article 12. Notices All notices to either party by the other required under this agreement shall be delivered personally or sent by certified or U.S. mail, postage prepaid or sent by electronic mail, (electronic notice being permitted to the extent permitted by law but only after a separate written consent of the parties), addressed to such party at the following addresses: Local Government: Mayor, City of Round Rock 221 E. Main Street Round Rock, Texas 78664 State: Austin District Engineer 7901 North 1-35 Austin, Texas 78753 All notices shall be deemed given on the date so delivered or so deposited in the mail, unless otherwise provided herein. Either party may change the above address by sending written notice of the change to the other party. Either party may request in writing that such notices shall be delivered personally or by certified U.S. mail and such request shall be honored and carried out by the other party. Article 13. Sole Agreement In the event the terms of the agreement are in conflict with the provisions of any other existing agreements between the Local Government and the State, the latest agreement shall take precedence over the other agreements in matters related to the Project. Article 14. Successors and Assigns The State and the Local Government each binds itself, its successors, executors, assigns, and administrators to the other party to this agreement and to the successors, executors, assigns, and administrators of such other party in respect to all covenants of this agreement. Article 15. Amendments By mutual written consent of the parties, this contract may be amended prior to its expiration. AFA-AFA_VoITIP Page 4 of 10 Revised 07/10/2009 CSJ #0015-16 District # 14 Code Chart 64 #36750 Busi 35 (Mays) at Old Settlers Blvd CFDA#: N/A Article 16. State Auditor The state auditor may conduct an audit or investigation of any entity receiving funds from the state directly under the contract or indirectly through a subcontract under the contract. Acceptance of funds directly under the contract or indirectly through a subcontract under this contract acts as acceptance of the authority of the state auditor, under the direction of the legislative audit committee, to conduct an audit or investigation in connection with those funds. An entity that is the subject of an audit or investigation must provide the state auditor with access to any information the state auditor considers relevant to the investigation or audit. Whenever ARRA funds are used and the Local Government is performing any work, either directly or through a contractor, it must comply with the following provisions. If a Local Government is receiving ARRA funds, but is not performing any work, the following provisions apply, if appropriate, and to the extent necessary to comply with ARRA regulations. In accordance with Section 902 of the ARRA, should this agreement involve the expenditure of ARRA funds, then the U.S. Comptroller General and its representatives shall have the authority to: a. examine any records of the contractor or any of its subcontractors, or any State or local agency administering such contract, that directly pertain to, and involve transactions relating to the contract or subcontract; and b. interview any officer or employee of the contractor or any of its subcontractors, or any State or local agency administering the contract regarding such contracts. Nothing in the section previously mentioned shall be interpreted to limit or restrict in any way the existing authority of the Comptroller General. In accordance with Section 1515(a) of the ARRA, with respect to each contract or grant awarded using covered funds, any representative of an appropriate inspector general appointed under Section 3 or 8G of the Inspector General Act of 1978 (5 U.S.C. App.), is authorized: a. to examine any records of the contractor or grantee, any of its subcontractors or subgrantees, or any State or local agency administering such contract that pertain to and involve transactions relating to the contract, subcontract, grant, or subgrant; and b. to interview any officer or employee of the contractor, grantee or subgrantee, or agency regarding such transactions. Section 1515(b) further provides that nothing in the section previously mentioned shall be interpreted to limit or restrict in any way the existing authority of an inspector general. The ARRA requires that the Contractor report monthly employment information for its firm as well as that of all of its subcontractors. The Contractor, similarly, shall include this reporting requirement in all of its subcontracts. Failing to include the requirement in agreements with subcontractors can serve as grounds for contract termination. Form FHWA-1589, Monthly Employment Report, promulgated by the Federal Highway Administration (FHWA), captures the necessary monthly employment information and shall be submitted by the Contractor on a regular basis to the LG (Local Government). It is the responsibility of the LG to obtain this form from the prime Contractor and any subcontractors and, the LG shall verify the accuracy, AFA-AFA VoITIP Page 5 of 10 Revised 07/10/2009 CSJ #0015-16 District # 14 Code Chart 64 #36750 Busi 35 (Mays) at Old Settlers Blvd CFDA#: N/A completeness, and reasonableness of the data contained in the form. The LG shall ensure that this form is submitted by the LG to the State according to the policies and at the direction of the State. In order to meet any other FHWA and ARRA reporting requirements, the LG shall provide to the State all information requested by the State, including data or information in possession of contractors and subcontractors for completing other necessary reporting forms, and the information shall be submitted in the manner required and according to all due dates as set by the State. Furthermore, the ARRA mandates that the U.S. Comptroller General's Office shall have authority to examine the records of the contractor, subcontractor, or local agency relating to the project at any time. Article 17. Insurance If this agreement authorizes the Local Government or its contractor to perform any work on State right of way, before beginning work the entity performing the work shall provide the State with a fully executed copy of the State's Form 1560 Certificate of Insurance verifying the existence of coverage in the amounts and types specified on the Certificate of Insurance for all persons and entities working on State right of way. This coverage shall be maintained until all work on the State right of way is complete. If coverage is not maintained, all work on State right of way shall cease immediately, and the State may recover damages and all costs of completing the work. Article 18. Debarment The parties are prohibited from making any award at any tier to any party that is debarred or suspended or otherwise excluded from or ineligible for participation in Federal Assistance Programs under Executive Order 12549, "Debarment and Suspension." By executing this agreement, the [Contractor, Local Government, Engineer, or whatever] certifies that it is not currently debarred, suspended, or otherwise excluded from or ineligible for participation in Federal Assistance Programs under Executive Order 12549. The parties to this contract shall require any party to a subcontract or purchase order awarded under this contract to certify its eligibility to receive Federal funds and, when requested by the State, to furnish a copy of the certification. Article 19. Signatory Warranty The signatories to this agreement warrant that each has the authority to enter into this agreement on behalf of the party they represent. IN WITNESS WHEREOF, THE STATE AND THE LOCAL GOVERNMENT have executed duplicate counterparts to effectuate this agreement. AFA-AFA VoITIP Page 6 of 10 Revised 07/10/2009 CSJ #0015-16 District # 14 Code Chart 64 #36750 Busi 35 (Mays) at Old Settlers Blvd CFDA#: N/A THE STATE OF TEXAS Executed for the Executive Director and approved for the Texas Transportation Commission for the purpose and effect of activating and/or carrying out the orders, established policies or work programs heretofore approved and authorized by the Texas Transportation Commission. By r D ,44, Date / (i.77//6' r District En sneer THE LOCAL GOVERNMENT Name of the Local Government City of Round Rock By Date (. 1 .1 Typed or Printed Name and Title Ata 1/1 Gjiil.W AFA-AFA VoITIP M0‘Ydr.- Page 7 of 10 Revised 07/10/2009 CSJ #0015-16 District # 14 Code Chart 64 #36750 Busi 35 (Mays) at Old Settlers Blvd CFDA#: N/A ATTACHMENT A Payment Provision and Work Responsibilities The Local Government will pay for the cost of the construction of intersection improvements on Business 35 (Mays) at Old Settlers Boulevard in Round Rock, an on -system roadway. The Local Government's participation is 100% of the cost of this particular improvement. The Local Government's estimated cost of this additional work is $147,000 for construction items. The State has estimated the project to be as follows: Description Total Estimate Cost Local Participation Cost Construction Construction of Intersection Improvements $147,000 100% $147,000 Subtotal $147,000 $147,000 Direct State Costs (including plan review, inspection and oversight) $0 0% $00 Indirect State Costs (no local participation required except for service projects) $0 0% $0 TOTAL $147,000 $147,000 No Direct State Cost or Indirect Cost will be charged. Local Government's Participation (100%) = $147,000 This is an estimate only; final participation amounts will be based on actual charges to the project. AFA-AFA VoITIP Page 8 of 10 Revised 07/10/2009 CSJ #0015-16 District # 14 Code Chart 64 #36750 Busi 35 (Mays) at Old Settlers Blvd CFDA#: N/A Work Responsibilities 1. Environmental Requirements A. The Local Government is responsible for the identification of all environmental issues associated with this project and shall be responsible for the preparation of the appropriate environmental documentation and secure environmental clearance for the Project. Preparation and coordination of the environmental documentation shall be through the TxDOT Austin District Environmental Coordinator at (512) 832- 7168. B. To the extent required to complete the Project, the Local Government will be responsible for the mitigation and remediation of any environmental problems associated with the development of the Project. All costs associated with the remediation of the environmental problems will be the responsibility of the Local Government. C. The Local Government shall provide to the State written documentation from the appropriate regulatory agency(s) that all environmental clearances have been obtained, prior to the advertising for bids. 2. Engineering Services A. The Local Government shall prepare or cause to be prepared the engineering plans, specifications, and estimates (PS&E) necessary for the development of the Project. The PS&E shall be prepared in accordance with all applicable laws, policies and regulations, deemed necessary by the State. B. The engineering plans shall be developed in accordance with the Texas Department of Transportation Roadway Design Manual, the current edition of the Standard Specifications for Construction and Maintenance of Highways, Streets, and Bridges and the special specifications and special provisions related thereto, and the Texas Accessibility Standards. C. The Local Government shall submit a copy of the redlined plans provided by the State with all applicable plan submittals to indicate that QC/QA was undertaken. D. The State must approve the project before advertisement can begin. The Local government shall submit the completed PS&E to the State for review and approval at least fourteen weeks prior to the advertising for receipt of bids. 3. Construction Responsibilities A. The Local Government shall advertise for construction bids, issue bid proposals, receives and tabulate the bids and award and administer the contract for construction of the Project. Administration of the contract includes the responsibility for construction engineering and for issuance of any change orders, supplemental Page 9 of 10 Revised 07/10/2009 AFA-AFA VoITIP CSJ #0015-16 District # 14 Code Chart 64 #36750 Busi 35 (Mays) at Old Settlers Blvd CFDA#: N/A agreements, amendments, or additional work orders, which may become necessary subsequent to the award of the construction contract. B. The Local Government will use its approved contract letting and award procedures to let and award the construction contract. C. Prior to their execution, the State will review and approve contract change orders. AFA-AFA VoITIP Page 10 of 10 Revised 07/10/2009