R-10-06-10-9D2 - 6/10/2010RESOLUTION NO. R -10-06-10-9D2
WHEREAS, the City of Round Rock ("City") has previously entered into an Advance Funding
Agreement ("Agreement") with the Texas Department of Transportation ("TxDOT") for the FM 1460
(A.W. Grimes North) — Old Settlers Boulevard to University Boulevard Project ("Project"), and
WHEREAS, by Resolution No. R -09-05-14-9G7, the City Council approved the Agreement,
and
WHEREAS, the City Council desires to enter into Amendment No. 1 to the Agreement with
TxDOT to void Attachment A, in its entirety and replace with Attachment A-1, 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 Advance
Funding Agreement Amendment No. 1 with TxDOT, 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 10th day of June, 2009.
ALAN MCGRAW, Mayor
City of Round Rock, Texas
ATTEST:
GPM -
SARA L. WHITE, City Secretary
O:\wdox\SCClnts\0112\ 1005\MUNICIPAL\00193 758.DOChmc
STATE OF TEXAS §
COUNTY OF TRAVIS §
EXHIBIT
„A„
CSJ #2211-02-021
District # 14 Austin
Code Chart 64 #36750
Project: FM 1460 from Old Settlers to
University Blvd.
CFDA # 20.205
ADVANCE FUNDING AGREEMENT
AMENDMENT #1
THIS AMENDMENT IS MADE BY AND BETWEEN the State of Texas, acting 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.
ORIGIIt4L
WITNESSETH
WHEREAS, the State and the Local Government executed a contract on May 21st of 2009 to effectuate their
agreement to widen FM 1460 from a two-lane roadway to a four -lane roadway from Old Settlers to University
Boulevard; and,
WHEREAS, it has become necessary to amend that contract;
NOW THEREFORE, in consideration of the premises and of the mutual covenants and agreements of the
parties hereto, the State and the Local Government do agree as follows:
AGREEMENT
Article 1. Description of Amended Items
I. Attachment A, Payment Provisions, of the original agreement is being deleted in its entirety and replaced
with Attachment A-1, contained herein this amendment.
II. Article 2, Project Funding and Work Responsibilities, of the original contract is being deleted in its entirety
and replaced with:
Local Project Sources and Uses of Funds
a. The total estimated cost of the Project is shown in the Payment Provisions - Attachment A-1 which is
attached hereto and made a part hereof. The expected cash contributions from the federal or State
government, the Local Governments, or other parties is shown in Attachment A-1. The State will pay
for only those project costs that have been approved by the Texas Transportation Commission. The
State and the Federal Government will not reimburse the Local Government for any work performed
before the issuance of a formal Letter of Authority by the Federal Highway Administration. The Local
Government is responsible for 100% of the cost of any work performed under its direction or control
before the federal Letter of Authority is formally issued.
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.
AFA—AFA Amend
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b. This project cost estimate shows how necessary resources for completing the project will be provided
by major cost categories. These categories may include but are not limited to: (1) costs of real
property; (2) costs of utility work; (3) costs of environmental assessment and remediation; (4) cost of
preliminary engineering and design; (5) cost of construction and construction management; and (6) any
other local project costs.
c. The State will be responsible for securing the Federal and State share of the funding required for the
development and construction of the local project. If the Local Government is due funds for expenses
incurred, these funds will be reimbursed to the Local Government on a cost basis.
d. The Local Government will be responsible for all non-federal or non -State participation costs
associated with the Project, including any overruns in excess of the approved local project budget,
including any change orders requested by the Local Government, unless otherwise provided for in this
Agreement or approved otherwise in an amendment to this Agreement.
e. Prior to the performance of any engineering review work by the State, the Local Government will pay to
the State the amount specified in Attachment A-1. At a minimum, this amount shall equal the Local
Government's funding share for the estimated cost of preliminary engineering for the project. 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
cost.
f. 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.
g. 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 to the State Project.
h. Upon completion of the Project, the State will perform an audit of the Project costs. Any funds due by
the Local Government, the State, or the Federal government will be promptly paid by the owing party.
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.
i. The State will not pay interest on any funds provided by the Local Government.
j. If a waiver has been granted, the State will not charge the Local Government for the indirect costs the
State incurs on the local project, unless this Agreement is terminated at the request of the Local
Government prior to completion of the project.
k. If the project has been approved for a "fixed price" or an "incremental payment" non-standard funding
or payment arrangement under 43 TAC §15.52, the budget in Attachment A-1 will clearly state the
amount of the fixed price or the incremental payment schedule.
I. If the Local government is an Economically Disadvantaged County and if the State has approved
adjustments to the standard financing arrangement, this Agreement reflects those adjustments.
m. 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.
n. 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.
The State will not execute the contract for the construction of the project until the required funding has
been made available by the Local Government in accordance with this Agreement.
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II. Article 7, Interest and Article 9, Increased Costs, of the original agreement is being deleted in its entirety.
Ill. Article 12, Notices, of the original agreement, the State contact is being amended from Austin District
Engineer to Director of Contract Services, 125 E. 11th, St., Austin, Texas 78701.
IV. Add an Article 20 to the original agreement. Article 20 reads as follows:
Compliance with Laws
The parties shall comply with all Federal, State, and Local laws, statutes, ordinances, rules and
regulations, and the orders and decrees of any courts or administrative bodies or tribunals in any manner
affecting the performance of this Agreement. When required, the Local Government shall furnish the
State with satisfactory proof of this compliance.
V. Add an Article 21 to the original agreement. Article 21 reads as follows:
Cost Principles
In order to be reimbursed with federal funds, the parties shall comply with the Cost Principles established
in OMB Circular A-87 that specify that all reimbursed costs are allowable, reasonable and allocable to
the Project.
VI. Add an Article 22 to the original agreement. Article 22 reads as follows:
Procurement and Property Management
The parties shall adhere to the procurement standards established in Title 49 CFR §18.36 and with the
property management standard established in Title 49 CFR §18.32.
VII. Add an Article 23 to the original agreement. Article 23 reads as follows:
Inspection of Books and Records
The parties to this Agreement shall maintain all books, documents, papers, accounting records and other
documentation relating to costs incurred under this Agreement and shall make such materials available
to the State, the Local Government, and, if federally funded, the Federal Highway Administration
(FHWA), and the U.S. Office of the Inspector General, or their duly authorized representatives for review
and inspection at its office during the contract period and for four (4) years from the date of completion of
work defined under this contract or until any impending litigation, or claims are resolved. Additionally, the
State, the Local Government, and the FHWA and their duly authorized representatives shall have access
to all the governmental records that are directly applicable to this Agreement for the purpose of making
audits, examinations, excerpts, and transcriptions.
Whenever American Recovery and Reinvestment Act of 2009 (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 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:
AFA—AFA_Amend
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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,
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.
VIII. Add an Article 24 to the original agreement. Article 24 reads as follows:
Office of Management and Budget (OMB) Audit Requirements
The parties shall comply with the requirements of the Single Audit Act of 1984, P.L. 98-502, ensuring
that the single audit report includes the coverage stipulated in OMB Circular A-133.
Whenever funds from the American 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.
IX. Add an Article 25 to the original agreement. Article 25 reads as follows:
Civil Rights Compliance
The Local Government shall comply with the regulations of the Department of Transportation as they
relate to nondiscrimination (49 CFR Chapter 21 and 23 CFR §710.405(B)), and Executive Order 11246
titled "Equal Employment Opportunity," as amended by Executive Order 11375 and supplemented in
the Department of Labor Regulations (41 CFR Part 60).
X. Add an Article 26 to the original agreement. Article 26 reads as follows:
Disadvantaged Business Enterprise Program Requirements
The parties shall comply with the Disadvantaged/Minority Business Enterprise Program requirements
established in 49 CFR Part 26.
XI. Add an Article 27 to the original agreement. Article 27 reads as follows:
Lobbying Certification
In executing this Agreement, the signatories certify to the best of his or her knowledge and belief, that:
a. No federal appropriated funds have been paid or will be paid by or on behalf of the parties to any
person for influencing or attempting to influence an officer or employee of any federal agency, a
AFA—AFA_Amend
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Member of Congress, an officer or employee of Congress, or an employee of a Member of
Congress in connection with the awarding of any federal contract, the making of any federal grant,
the making of any federal loan, the entering into of any cooperative agreement, and the extension,
continuation, renewal, amendment, or modification of any federal contract, grant, loan, or
cooperative agreement.
b. If any funds other than federal appropriated funds have been paid or will be paid to any person for
influencing or attempting to influence an officer or employee of any agency, a Member of
Congress, an officer or employee of Congress, or an employee of a Member of Congress in
connection with federal contracts, grants, loans, or cooperative agreements, the signatory for the
Local Government shall complete and submit the federal Standard Form -LLL, "Disclosure Form to
Report Lobbying," in accordance with its instructions.
c. The parties 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 cooperative agreements) and that all subrecipients shall certify and disclose accordingly.
By executing this Agreement, the parties affirm this lobbying certification with respect to the individual
projects and affirm this certification of the material representation of facts upon which reliance will be
made. Submission of this certification is a prerequisite for making or entering into this transaction
imposed by Title 31 U.S.C. §1352.
Any person who fails to file the required certification shall be subject to a civil penalty of not less than
$10,000 and not more than $100,000 for each such failure.
All other provisions of the original contract are unchanged and remain in full force and effect.
Article 2. Signatory Warranty
The signatories to this amendment warrant that each has the authority to enter into this agreement on behalf
of the organization they represent.
IN WITNESS WHEREOF, THE STATE AND THE LOCAL GOVERNMENT have executed duplicate
counterparts to effectuate this agreement.
THE LOCAL GOVERNMENT THE STATE OF TEXAS
Executed for the Executive Director and
approved for the Texas Transportation
Name of Local Government Commission for the purpose and effect of
activating and/or carrying out the orders,
By: established policies or work programs
Signature heretofore approved and authorized by the
Texas Transportation Commission.
Printed Name By:
Janice Mullenix
Title
AFA—AFA_Amend
Director of Contract Services
Date Date
Page 5 of 5 Revised 10/23/08
CSJ #2211-02-021
District # 14 Austin
Code Chart 64 #36750
Project: FM 1460 from
Old Settlers to University
Blvd.
CFDA # 20.205
ATTACHMENT A-1
Payment Provisions
ARRA funds will be used towards the construction of the widening of FM 1460 from a 2 -lane roadway
to a 4 -lane facility. The Local Government will be responsible for all non-federal or non -State
participation costs associated with the Project, including any overruns in excess of the approved
project budget, and including any change orders requested by the Local Government.
Description
Total
Estimate
Cost
Federal
Participation
ARRA
State
Participation
Local
Participation
Cost
%
Cost
%
Cost
CONSTRUCTION COSTS
Construction of the
widening of a 2 -lane
roadway to a 4 -lane
facility.
$10,000,000
100%
$10,000,000
0%
$0
0%
$0
Subtotal
$10,000,000
$10,000,000
$0
$0
Direct State Costs
(including plan review,
inspection and
oversight @17%)
$1,700,000
0%
$0
100%
$1,700,000
0%
$0
TOTAL
$11,700,000
$10,000,000
$1,700,000
$0
Local Government's Participation (100% of project budget overruns and any change orders
requested by the Local Government)
It is further understood that the State will include only those items for the improvements as requested
and required by the Local Govemment. This is an estimate only; final participation amounts will be
based on actual charges to the project.
Page 1 of 2 Attachment A-1
Work Responsibilities
Environmental Requirements
CSJ #2211-02-021
District # 14 Austin
Code Chart 64 #36750
Project: FM 1460 from
Old Settlers to University
Blvd.
CFDA # 20.205
A. The state shall prepare the appropriate environmental documentation and secure
environmental clearance for the project.
B. To the extent required to complete the project, the state will be responsible for the mitigation
and remediation of any environmental problems associated with the development of the
Project.
Engineering Services
The Local Governmental has completed all engineering plans.
Construction Responsibilities
A. The State shall advertise for the construction bids, issue bid proposals, receive 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 or issuance of
change orders, supplemental agreements, amendments, or additional work orders which may
become necessary subsequent to the award of the construction contract.
B. The State will use its approved contract letting and award procedures to let and award the
construction contract.
C. The Local Government will retain, at its own expense, a consultant engineer for construction
phase services. Those services entail shop drawing review, preparation of any re -design,
alternative design or additional design details needed during construction. The consultant
engineer will also be available to respond to questions relating to the plans.
Page 2 of 2 Attachment A-1
ROUND ROCK, TEXAS
PI IRPOSE. PASSION. PROSPERITY
Agenda Item No. 9D2.
Ci Council A_enda Summar Sheet
Agenda Caption:
Consider a resolution authorizing the Mayor to execute Amendment No. 1 to the Advance
Funding Agreement with the Texas Department of Transportation for the FM 1460 (A.W.
Grimes North) — Old Settlers Boulevard to University Boulevard Project.
Meeting Date: June 10, 2010
Department: Transportation Services
Staff Person making presentation: Tom Word
Chief of Public Works Operations
Item Summary:
In May, 2009 the City of Round Rock executed an Advanced Funding Agreement with the Texas Department of
Transportation for the A.W. Grimes Boulevard (FM 1460) North project (University Boulevard to Old Settlers
Boulevard), which entered the City into a cost participation agreement with the State for the construction of this
segment of A.W. Grimes Boulevard.
This amendment to the agreement was requested by the Texas Department of Transportation to address federal
requirements for language related to the American Recovery and Reinvestment Act. Also, this amendment clarifies
responsibilities for change orders to the project. Previously, neither party was assigned responsibility for change
orders; with this amendment change orders requested by the City of Round Rock which are outside the scope of the
project are the responsibility of the City. In addition, in change orders which exceed the total available state funds
of $10 M are the responsibility of the City. These changes are in line with the original terms and understanding
between the State and the City for this project.
Strategic Plan Relevance:
26.0 Construct Major Elements of the Transportation and Mobility System
Cost:
Source of Funds:
N/A
N/A
Date of Public Hearing (if required): N/A
Recommended Action: Staff recommends approval
EXECUTED
DOCUMENT
FOLLOWS
STATE OF TEXAS §
COUNTY OF TRAVIS §
CSJ #2211-02-021
District # 14 Austin
Code Chart 64 #36750
Project: FM 1460 from Old Settlers to
University Blvd.
CFDA # 20.205
ADVANCE FUNDING AGREEMENT
AMENDMENT #1
THIS AMENDMENT IS MADE BY AND BETWEEN the State of Texas, acting 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.
ORIGINAL
WITNESSETH
WHEREAS, the State and the Local Government executed a contract on May 21St of 2009 to effectuate their
agreement to widen FM 1460 from a two-lane roadway to a four -lane roadway from Old Settlers to University
Boulevard; and,
WHEREAS, it has become necessary to amend that contract;
NOW THEREFORE, in consideration of the premises and of the mutual covenants and agreements of the
parties hereto, the State and the Local Government do agree as follows:
AGREEMENT
Article 1. Description of Amended Items
I. Attachment A, Payment Provisions, of the original agreement is being deleted in its entirety and replaced
with Attachment A-1, contained herein this amendment.
II. Article 2, Project Funding and Work Responsibilities, of the original contract is being deleted in its entirety
and replaced with:
Local Project Sources and Uses of Funds
a. The total estimated cost of the Project is shown in the Payment Provisions - Attachment A-1 which is
attached hereto and made a part hereof. The expected cash contributions from the federal or State
government, the Local Governments, or other parties is shown in Attachment A-1. The State will pay
for only those project costs that have been approved by the Texas Transportation Commission. The
State and the Federal Government will not reimburse the Local Government for any work performed
before the issuance of a formal Letter of Authority by the Federal Highway Administration. The Local
Government is responsible for 100% of the cost of any work performed under its direction or control
before the federal Letter of Authority is formally issued.
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.
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b. This project cost estimate shows how necessary resources for completing the project will be provided
by major cost categories. These categories may include but are not limited to: (1) costs of real
property; (2) costs of utility work; (3) costs of environmental assessment and remediation; (4) cost of
preliminary engineering and design; (5) cost of construction and construction management; and (6) any
other local project costs.
c. The State will be responsible for securing the Federal and State share of the funding required for the
development and construction of the local project. If the Local Government is due funds for expenses
incurred, these funds will be reimbursed to the Local Government on a cost basis.
d. The Local Government will be responsible for all non-federal or non -State participation costs
associated with the Project, including any overruns in excess of the approved local project budget,
including any change orders requested by the Local Government, unless otherwise provided for in this
Agreement or approved otherwise in an amendment to this Agreement.
e. Prior to the performance of any engineering review work by the State, the Local Government will pay to
the State the amount specified in Attachment A-1. At a minimum, this amount shall equal the Local
Government's funding share for the estimated cost of preliminary engineering for the project. 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
cost.
f. 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.
g. 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 to the State Project.
h. Upon completion of the Project, the State will perform an audit of the Project costs. Any funds due by
the Local Government, the State, or the Federal government will be promptly paid by the owing party.
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.
i. The State will not pay interest on any funds provided by the Local Government.
j. If a waiver has been granted, the State will not charge the Local Government for the indirect costs the
State incurs on the local project, unless this Agreement is terminated at the request of the Local
Government prior to completion of the project.
k. If the project has been approved for a "fixed price" or an "incremental payment" non-standard funding
or payment arrangement under 43 TAC §15.52, the budget in Attachment A-1 will clearly state the
amount of the fixed price or the incremental payment schedule.
I. If the Local government is an Economically Disadvantaged County and if the State has approved
adjustments to the standard financing arrangement, this Agreement reflects those adjustments.
m. 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.
n. 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.
The State will not execute the contract for the construction of the project until the required funding has
been made available by the Local Government in accordance with this Agreement.
AFA—AFA Amend
Page 2 of 5 Revised 10/23/08
II. Article 7,, Interest and Article 9, Increased Costs, of the original agreement is being deleted in its entirety.
III. Article 12, Notices, of the original agreement, the State contact is being amended from Austin District
Engineer to Director of Contract Services, 125 E. 11th, St., Austin, Texas 78701.
IV. Add an Article 20 to the original agreement. Article 20 reads as follows:
Compliance with Laws
The parties shall comply with all Federal, State, and Local laws, statutes, ordinances, rules and
regulations, and the orders and decrees of any courts or administrative bodies or tribunals in any manner
affecting the performance of this Agreement. When required, the Local Government shall furnish the
State with satisfactory proof of this compliance.
V. Add an Article 21 to the original agreement. Article 21 reads as follows:
Cost Principles
In order to be reimbursed with federal funds, the parties shall comply with the Cost Principles established
in OMB Circular A-87 that specify that all reimbursed costs are allowable, reasonable and allocable to
the Project.
VI. Add an Article 22 to the original agreement. Article 22 reads as follows:
Procurement and Property Management
The parties shall adhere to the procurement standards established in Title 49 CFR §18.36 and with the
property management standard established in Title 49 CFR §18.32.
VII. Add an Article 23 to the original agreement. Article 23 reads as follows:
Inspection of Books and Records
The parties to this Agreement shall maintain all books, documents, papers, accounting records and other
documentation relating to costs incurred under this Agreement and shall make such materials available
to the State, the Local Government, and, if federally funded, the Federal Highway Administration
(FHWA), and the U.S. Office of the Inspector General, or their duly authorized representatives for review
and inspection at its office during the contract period and for four (4) years from the date of completion of
work defined under this contract or until any impending litigation, or claims are resolved. Additionally, the
State, the Local Government, and the FHWA and their duly authorized representatives shall have access
to all the governmental records that are directly applicable to this Agreement for the purpose of making
audits, examinations, excerpts, and transcriptions.
Whenever American Recovery and Reinvestment Act of 2009 (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 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:
AFA—AFA Amend
Page 3 of 5 Revised 10/23/08
•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,
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.
VIII. Add an Article 24 to the original agreement. Article 24 reads as follows:
Office of Management and Budget (OMB) Audit Requirements
The parties shall comply with the requirements of the Single Audit Act of 1984, P.L. 98-502, ensuring
that the single audit report includes the coverage stipulated in OMB Circular A-133.
Whenever funds from the American 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.
IX. Add an Article 25 to the original agreement. Article 25 reads as follows:
Civil Rights Compliance
The Local Government shall comply with the regulations of the Department of Transportation as they
relate to nondiscrimination (49 CFR Chapter 21 and 23 CFR §710.405(B)), and Executive Order 11246
titled "Equal Employment Opportunity," as amended by Executive Order 11375 and supplemented in
the Department of Labor Regulations (41 CFR Part 60).
X. Add an Article 26 to the original agreement. Article 26 reads as follows:
Disadvantaged Business Enterprise Program Requirements
The parties shall comply with the Disadvantaged/Minority Business Enterprise Program requirements
established in 49 CFR Part 26.
Xl. Add an Article 27 to the original agreement. Article 27 reads as follows:
Lobbying Certification
In executing this Agreement, the signatories certify to the best of his or her knowledge and belief, that:
a. No federal appropriated funds have been paid or will be paid by or on behalf of the parties to any
person for influencing or attempting to influence an officer or employee of any federal agency, a
AFA-AFA Amend
Page 4 of 5 Revised 10/23/08
'Member of Congress, an officer or employee of Congress, or an employee of a Member of
Congress in connection with the awarding of any federal contract, the making of any federal grant,
the making of any federal loan, the entering into of any cooperative agreement, and the extension,
continuation, renewal, amendment, or modification of any federal contract, grant, loan, or
cooperative agreement.
b. If any funds other than federal appropriated funds have been paid or will be paid to any person for
influencing or attempting to influence an officer or employee of any agency, a Member of
Congress, an officer or employee of Congress, or an employee of a Member of Congress in
connection with federal contracts, grants, loans, or cooperative agreements, the signatory for the
Local Government shall complete and submit the federal Standard Form -LLL, "Disclosure Form to
Report Lobbying," in accordance with its instructions.
c. The parties 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 cooperative agreements) and that all subrecipients shall certify and disclose accordingly.
By executing this Agreement, the parties affirm this lobbying certification with respect to the individual
projects and affirm this certification of the material representation of facts upon which reliance will be
made. Submission of this certification is a prerequisite for making or entering into this transaction
imposed by Title 31 U.S.C. §1352.
Any person who fails to file the required certification shall be subject to a civil penalty of not less than
$10,000 and not more than $100,000 for each such failure.
All other provisions of the original contract are unchanged and remain in full force and effect.
Article 2. Signatory Warranty
The signatories to this amendment warrant that each has the authority to enter into this agreement on behalf
of the organization they represent.
IN WITNESS WHEREOF, THE STATE AND THE LOCAL GOVERNMENT have executed duplicate
counterparts to effectuate this agreement.
THE LOCAL GOVERNMENT
4t@ttv -Via,
By:
me of Local Government
Signature
Mum r1/1, vv
Mmyz
610•t
Printed Name
Title
Date
AFA—AFA Amend
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.
anice Mullenix
Director of Contract Services
to /7 a.o rD
Date
Page 5 of 5 Revised 10/23/08
CSJ #2211-02-021
District # 14 Austin
Code Chart 64 #36750
Project: FM 1460 from
Old Settlers to University
Blvd.
CFDA # 20.205
ATTACHMENT A-1
Payment Provisions
ARRA funds will be used towards the construction of the widening of FM 1460 from a 2 -lane roadway
to a 4 -lane facility. The Local Government will be responsible for all non-federal or non -State
participation costs associated with the Project, including any overruns in excess of the approved
project budget, and including any change orders requested by the Local Government.
Description
Total
Estimate
Cost
Federal
Participation
ARRA
State
Participation
Local
Participation
%
Cost
%
Cost
%
Cost
CONSTRUCTION COSTS
Construction of the
widening of a 2 -lane
roadway to a 4 -lane
facility.
$10,000,000
100%
$10,000,000
0%
$0
0%
$0
Subtotal
$10,000,000
$10,000,000
$0
$0
Direct State Costs
(including plan review,
inspection and
oversight @17%)
$1,700,000
0%
$0
100%
$1,700,000
0%
$0
TOTAL
$11,700,000
$10,000,000
$1,700,000
$0
Local Government's Participation (100% of project budget overruns and any change orders
requested by the Local Government)
It is further understood that the State will include only those items for the improvements as requested
and required by the Local Govemment. This is an estimate only; final participation amounts will be
based on actual charges to the project.
Page 1 of 2 Attachment A-1
Work Responsibilities
Environmental Requirements
CSJ #2211-02-021
District # 14 Austin
Code Chart 64 #36750
Project: FM 1460 from
Old Settlers to University
Blvd.
CFDA # 20.205
A. The state shall prepare the appropriate environmental documentation and secure
environmental clearance for the project.
B. To the extent required to complete the project, the state will be responsible for the mitigation
and remediation of any environmental problems associated with the development of the
Project.
Engineering Services
The Local Governmental has completed all engineering plans.
Construction Responsibilities
A. The State shall advertise for the construction bids, issue bid proposals, receive 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 or issuance of
change orders, supplemental agreements, amendments, or additional work orders which may
become necessary subsequent to the award of the construction contract.
B. The State will use its approved contract letting and award procedures to let and award the
construction contract.
C. The Local Government will retain, at its own expense, a consultant engineer for construction
phase services. Those services entail shop drawing review, preparation of any re -design,
alternative design or additional design details needed during construction. The consultant
engineer will also be available to respond to questions relating to the plans.
Page 2 of 2 Attachment A-1