HomeMy WebLinkAboutResolution - 2015-R0385 - Agreement - TXDOT - North University Enhancement Project - 11/19/2015Resolution No. 2015-RO385
November 19, 2015
Item No. 6.10
RESOLUTION
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THAT the Mayor of the City of Lubbock is hereby authorized and directed to execute for
and on behalf of the City of Lubbock, an Advanced Funding Agreement in connection with the
North University Enhancement Project (Phase 3) for construction projects on North University
Avenue from Amherst Street to U.S. 84, by and between the City of Lubbock and Texas
Department of Transportation, and related documents. Said Agreement is attached hereto and
incorporated in this resolution as if fully set forth herein and shall be included in the minutes of
the City Council.
Passed by the City Council on November 19 2015
ATTEST:
GLE . RO RTSON, MAYOR
Rebe t
a Garza, City Secretary
AS TO
P.E., Director of Public Works
APPROVED AS TO FORM:
0
vw:ccdocs/RES.Agrmt-North Univ -Advanced Funding
October 22, 2015
Resolution No. 2015-RO385
STATE OF TEXAS
COUNTY OF TRAVIS
CSJ: 0905-06-089 Fed. # STP: STP 1502(581)TP
District #: Lubbock
Code Chart 64#: 25650
Project: North University TAP Phase 3
FHWA CFDA #: 20.205
Not Research and Development
ADVANCE FUNDING AGREEMENT
FOR A METROPOLITAN PLANNING ORGANIZATION MANAGED TRANSPORTATION
ALTERNATIVES PROGRAM PROJECT(Off-System)
This Advance Funding Agreement for a Transportation Alternatives Project ("Agreement') is made between the State of
Texas ("State"), acting through the Texas Department of Transportation, and City of Lubbock ("Local
Government"),acting through its duly authorized officials.
BACKGROUND
Local Government prepared and submitted to the Lubbock Metropolitan Planning Organization (MPO) a nomination
form for consideration under the Transportation Alternatives Program ("TAP") for the project, which is briefly described
as North University Enhancement Project - Phase III from Amherst Street to U.S. 84 (Clovis Highway) ("Project').
Federal law establishes federally funded programs for transportation improvements to implement its public purposes
Federal law, 23 USC § 134 and 49 USC § 5303, requires that State and metropolitan planning organizations develop
transportation plans and programs for urbanized areas of Texas.
Tex. Transp. Code §§ 201.103 and 222.052 establish that State shall design, construct, and operate a system of highways
in cooperation with local governments.
Federal and state laws require local governments to meet certain contract standards relating to the management and
administration of State and federal funds.
The Texas Transportation Commission ("Commission") passed Minute Order Number 114264 ("MO") dated May 28,
2015 awarding funding for projects in the 2014 TAP Program Call of the MPO, including Project.
The rules and procedures for TAP are established in 23 USC § 213, and 43 Tex. Admin. Code Subchapter 11.F.
The governing body of Local Government has approved entering into this Agreement by resolution or ordinance dated
November 19, 2015, which is attached to and made a part of this Agreement as Attachment A.
Therefore, State and Local Government agree as follows:
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AGREEMENT
1. Period of Agreement and Performance
CS1: 0905-06-089 Fed. # STP: STP 1502(581)TP
District #: Lubbock
Code Chart 64#: 25650
Project: North University TAP Phase 3
FHWA CFDA #: 20.205
Not Research and Development
1.1. Period of Agreement. This Agreement becomes effective when signed by the last party whose
signing makes the Agreement fully executed. This Agreement shall remain in effect until terminated
as provided in Article 2.
1.2. Period of Performance.
a. Non -Construction Projects. (NOT APPLICABLE to this Agreement)
1. Performance Period begins with the issuance of Federal Project Authorization
Agreement ("FPAW) (i.e., the obligation of federal funds) by the Federal Highway
Administration ("FHWA").
2. Performance Period ends on (Not Applicable).
b. Construction -Related Projects.
1. Performance Period begins with the issuance of Construction FPAA by the FHWA.
2. Performance Period ends three years following issuance of Construction FPAA.
2. Termination of the Agreement
2.1. The termination of this Agreement shall extinguish all rights, duties, obligations and liabilities of
State under this Agreement and may be terminated by any of the following conditions:
a. By mutual written consent and agreement of all parties;
b. By any party with 90 days written notice; or
C. By either party, upon the failure of the other party to fulfill the obligations as set forth in this
Agreement. Any cost incurred due to such breach of contract shall be paid by the breaching
party.
2.2. If the potential termination of this Agreement is due to the failure of Local Government to fulfill its
contractual obligations, State will notify Local Government that possible breach of contract has
occurred. Local Government should make every effort to remedy the breach within a period
mutually agreed upon by both parties.
2.3. If Local Government withdraws from Project after this Agreement is executed, Local Government
shall be responsible for all direct and indirect Project costs as identified by the State's cost
accounting system and with 2 CFR Part 200 recapture requirements.
2.4. A project may be eliminated from the program as outlined below. If Project is eliminated for any of
these reasons, this Agreement will be appropriately terminated. A project may be eliminated from
the program, and this Agreement terminated, if:
a. Local Government fails to satisfy any requirements of the program rules cited as
43 Tex. Admin. Code Subchapter 111.
b. The implementation of Project would involve significant deviation from the activities as
proposed in the nomination form and approved by the MPO in consultation with the State.
C. Local Government withdraws from participation in Project.
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CSJ: 0905-06-089 Fed. # STP: STP 1502(581)TP
District #: Lubbock
Code Chart 64#: 25650
Project: North University TAP Phase 3
FHWA CFDA #: 20.205
Not Research and Development
d. A construction contract has not been awarded or construction has not been initiated within
three years after the date MPO selected Project.
e. State determines that federal funding may be lost due to Project not being implemented and
completed.
f. Funds are not appropriated, in which case this Agreement shall be terminated immediately with
no liability to either party. Payment under this Agreement beyond the current fiscal biennium is
subject to availability of appropriated funds.
g. The associated FPAA is not issued by the end of the third federal fiscal year following the federal
fiscal year for which the funds are authorized. Federal fiscal years run October 1 through
September 30.
h. Local Government fails to attend progress meetings at least twice yearly, as scheduled by State.
2.5. State, at its sole discretion, may terminate this Agreement if State does not receive project invoice
within 120 days of Construction FPAA.
3. Amendments
This Agreement may be amended due to changes in the work, the amount of funding required to complete
Project, or the responsibilities of the parties. Such amendment must be made through a mutually agreed upon,
written amendment that is executed by the parties.
4. Scope of Work, Use of Project, and Project Location
4.1. The scope of work for Project (located as shown in Attachment B, Project Location Map) consists of:
enhancement of pedestrian facilities by rebuilding driveways, upgrading ADA ramps, and improving
illumination. This project will improve mobility and safety for pedestrians, children, wheelchair, and
bicycle movement.
4.2. Any project changes proposed must be submitted in writing by Local Government to State. Changes
may also require an amendment to this Agreement and the approval of the MPO, FHWA, State, or
the Commission. Any changes undertaken without written approval and amendment of this
Agreement mayjeopardize not only the federal funding for the changes, but the federal funding of
the entire Project.
S. Right of Way and Real Property Acquisition
5.1. Right of way and real property acquisition shall be the responsibility of Local Government. Title to
right of way and other related real property must be acceptable to State before funds may be
expended for the improvement of the right of way or real property. If Local Government is the
owner of any part of Project site under this Agreement, Local Government shall permit State or its
authorized representative access to occupy the site to perform all activities required to execute the
work.
5.2. Local Government will comply with and assume the costs for compliance with all the requirements
of Title II and Title III of the Uniform Relocation Assistance and Real Property Acquisition Policies Act
of 1970, 42 USC § 4601 et seq., including those provisions relating to incidental expenses incurred by
the property owners in conveying the real property to Local Government, and benefits applicable to
the relocation of any displaced person as defined in 49 CFR § 24.2(g). Documentation to support
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CSJ: 0905-06-089 Fed. # STP: STP 1502(581)TP
District #: Lubbock
Code Chart 64#: 25650
Project: North University TAP Phase 3
FHWA CFDA #: 20.205
Not Research and Development
such compliance must be maintained and made available to State and its representatives for review
and inspection.
5.3. Local Government shall assume all costs and perform all work necessary to obtain needed evidence
of title or right of use in the name of Local Government to the real property required for
development of Project. The evidence of title or rights shall be acceptable to State, and be free and
clear of all encroachments. Local Government shall secure and provide easements and any needed
rights of entry over any other land needed to develop Project according to the approved Project
plans. Local Government shall be responsible for securing any additional real property required for
completion of Project.
5.4. Local Government shall prepare real property maps, property descriptions, and other data as
needed to properly describe the real property and submit them to State for approval prior to Local
Government acquiring the real property. Tracings of the maps shall be retained by Local
Government for a permanent record.
5.5. Local Government shall determine property values for each real property parcel to be purchased
with federal funds using methods acceptable to State and shall submit to State a tabulation of the
values so determined, signed by the appropriate Local Government representative. The tabulations
must list the parcel numbers, ownership, acreage, and recommended compensation. The tabulation
must be accompanied by an explanation to support the estimated values, together with a copy of
the documentation and reports used in calculating each parcel's value. Expenses incurred by Local
Government in performing this work may be eligible for reimbursement after Local Government has
received written authorization by State to proceed with determination of real property values. State
will review the data submitted and will base its reimbursement for parcel acquisitions on these in
determining the fair market values.
5.6. Local Government shall not use eminent domain or condemnation to acquire real property for this
TAP Project.
5.7. Reimbursement for real property costs will be made to Local Government for real property
purchased in an amount not to exceed 80 percent of the cost of the real property purchased in
accordance with the terms and provisions of this Agreement. Reimbursement will be in an amount
not to exceed 80 percent of State's predetermined fair market value of each parcel, or the net cost
thereof, whichever is less. In addition, reimbursement will be made to Local Government for
necessary payments to appraisers for expenses incurred in order to assure good title.
5.8. Local Government and current property owner are responsible for any costs associated with the
relocation of displaced persons and personal property as well as incidental expenses incurred in
acquiring property to implement Project. State will not pay any of these costs.
5.9. If Project requires the use of real property to which Local Government will not hold title, a separate
agreement between the owners of the real property and Local Government must be executed prior
to execution of this Agreement. The separate agreement between Local Government and the
current property owner must establish that Project will be dedicated for public use for a period of
time not less than ten years after project completion and commensurate with the federal
investment as outlined in 43 Tex. Admin. Code § 11.317. The separate agreement must define the
responsibilities of the parties as to the use of the real property and operation and maintenance of
Project after completion. The separate agreement must be approved by State prior to its execution
and a copy of the executed separate agreement shall be provided to State.
AFA-AFA_TAP Page 4 of 15 Revised 2015-02-26
CSJ: 0905-06-089 Fed. # STP: STP 1502(581)TP
District #: Lubbock
Code Chart 64#: 25650
Project: North University TAP Phase 3
FHWA CFDA #: 20.205
Not Research and Development
5.10. Local Government shall execute individually or produce a legal document as necessary to provide for
Project's continued use from the date of completion, and agrees to cause the same to be recorded
in the land records of the appropriate jurisdiction.
5.11. Local governments receiving federal funds must retain an inventory of funded items and monitor
projects in accordance with 23 CFR Part 710 and 49 CFR § 18.82, and with the procedures provided
in State's Local Government Project Procedures manual. Local Government agrees to monitor
Project to ensure: (1) continued use of the property for approved activities, and (2) the repayment
of the Federal funds, as appropriate.
a. Local Government agrees to the review of their Project accounts and site visits by State during
the development of Project at any time.
b. Upon Project completion, State will continue to perform periodic visits to confirm Project's
continued use and upkeep.
5.12. 45 days prior to any construction contract let date, Local Government shall provide a certification to
State that all real property has been acquired.
6. Utilities
Local Government shall be responsible for the adjustment, removal, or relocation of utility facilities in
accordance with applicable State laws, regulations, rules, policies, and procedures, including any cost to State of
a delay resulting from Local Governments failure to ensure that utility facilities are adjusted, removed, or
relocated before the scheduled beginning of construction. Local Government will not be reimbursed with
federal or state funds for the cost of required utility work, unless specified in the Local Government's
Transportation Alternatives Program project nomination submitted to and approved by the MPO in consultation
with the State. Local Govemment must obtain advance approval for any variance from established procedures.
Before a construction contract is let, Local Government shall provide, at State's request, a certification stating
that Local Government has completed the adjustment of all utilities that must be adjusted before construction
begins. Additional utility work may be required due to unknown conditions discovered during construction.
These costs may be eligible for TAP participation if, the activity is required to complete Project; the cost is
incidental to Project, and TAP funding is available. Any change orders must be approved by MPO in consultation
with the State prior to incurring any cost for which reimbursement is sought.
7. Environmental Assessment and Mitigation
Development of Project must comply with the National Environmental Policy Act and the National Historic
Preservation Act of 1966, which require environmental clearance of federal -aid projects.
7.1. Local Government is responsible for the identification and assessment of any environmental
problems associated with the development of Project.
7.2. Local Government is responsible for the cost of any environmental problem's mitigation and
remediation. These costs will not be reimbursed or credited towards Local Government's financial
share of Project unless specified in the nomination form and approved by the MPO in consultation
with the State.
7.3. Local Government is responsible for providing any public meetings or public hearings required for
development of the environmental assessment.
AFA-AFA_TAP Page 5 of 15 Revised 2015-02-26
CSJ: 0905-06-089 Fed. # STP: STP 1502(581)TP
District #: Lubbock
Code Chart 64#: 25650
Project: North University TAP Phase 3
FHWA CFDA #: 20.205
Not Research and Development
7.4. 45 days prior to any construction contract let date, Local Government shall provide a certification to
State that all environmental problems have been remediated. Additionally, before the
advertisement for bids, Local Government shall provide to State written documentation from the
appropriate regulatory agency or agencies that all environmental clearances have been obtained.
S. Compliance with Texas Accessibility Standards and ADA
All parties to this Agreement shall ensure that the plans for and the construction of Project subject to this
Agreement are in compliance with the Texas Accessibility Standards ('TAS") issued by the Texas Department of
Licensing and Regulation, under Tex. Govt Code § 469.052. The TAS establishes minimum accessibility
requirements to be consistent with minimum accessibility requirements of the Americans with Disabilities Act
(P.L. 101-336) ("ADA").
9. Architectural and Engineering Services
Architectural and engineering services for preliminary engineering will be provided by Local Government. In
procuring professional services, the parties to this Agreement must comply with federal requirements cited in
23 CFR Part 172 if Project is federally funded and Local Government will be seeking reimbursement for these
services; and with Tex. Govt Code Subchapter 2254.A., in all cases. Professional services contracts for federally
funded projects must conform to federal requirements. Architectural and Engineering Services are not eligible
for TAP reimbursement in the Statewide TAP Program.
9.1. The architectural contract documents shall be developed in accordance with the standards of the
American Institute of Architects, the U.S. Secretary of the Interior's Standards for Historic
Preservation Projects, Standards and Guidelines for Archeology and Historic Preservation, the
National Register Bulletin Number 36: Guidelines for Evaluating and Registering Historical
Archeological Sites and in consultation with the State Historic Preservation Officer, as applicable.
The engineering plans shall be developed in accordance with State's applicable Standard
Specifications for Construction and Maintenance of Highways, Streets and Bridges and the two
American Association of State Highway and Transportation Officials' ("AASHTO") publications, "A
Policy on Geometric Design of Highways and Streets" and "Guide for the Development of Bicycle
Facilities," as applicable. All contract procurement procedures and documents must adhere to the
applicable requirements established in the Standard Specifications for Construction and
Maintenance of Highways, Streets and Bridges. The use of other systems of specifications shall be
approved by State in writing in advance.
9.2. When architectural and engineering services are provided by or through Local Government, Local
Government shall submit any plans it has completed to State for review and approval. Local
Government may also submit the plans to State for review anytime prior to completion. Local
Government shall make the necessary revisions determined by State. Local Government will not let
the construction contract until all required plans have received State approval.
9.3. When architectural and engineering services are provided by or through State, then the following
applies:
State is responsible for the delivery and performance of any required architectural or preliminary
engineering work. Local Government may review and comment on the work as required to accomplish
Project purposes. State will cooperate fully with Local Government in accomplishing these Project
purposes to the degree permitted by state and federal law.
AFA-AFA TAP Page 6 of 15 Revised 2015-02-26
CSJ: 0905-06-089 Fed. # STP: STP 1502(581)TP
District #: Lubbock
Code Chart 64#: 25650
Project: North University TAP Phase 3
FHWA CFDA #: 20.205
Not Research and Development
30. Construction Responsibilities
10.1. The State shall advertise for construction bids, issue bid proposals, receive and tabulate the bids,
and award and administer the contract for construction of Project. Administration of the contract
includes the responsibility for construction engineering and for issuance of any change orders,
supplemental agreements, amendments, or additional work orders that may become necessary
subsequent to the award of the construction contract. In order to ensure federal funding eligibility,
projects must be authorized by State prior to advertising for construction.
10.2. All contract letting and award procedures must be approved by State prior to letting and award of
the construction contract, whether the construction contract is awarded by State or by Local
Government.
10.3. All contract change order review and approval procedures must be approved by State prior to start
of construction.
10.4. Upon completion of Project, the party constructing Project will issue and sign a "Notification of
Completion" acknowledging Project's construction completion.
10.5. For federally funded contracts, the parties to this Agreement will comply with federal construction
requirements provided in 23 CFR Parts 633 and 635, and shall include the latest version of Form
"FHWA-1273" in the contract bidding documents. If force account work will be performed, a finding
of cost effectiveness shall be made in compliance with 23 CFR Subpart 635.B.
10.6. Any field changes, supplemental agreements, or revisions to the design plans that may occur after
the construction contract is awarded will be mutually agreed to by State and Local Government
prior to authorizing the contractor to perform the work. Prior to completion of Project, the party
responsible for construction will notify the other parry to this Agreement of the anticipated
completion date. All parties will be afforded the opportunity to assist in the final review of the
construction services performed by the contractor.
11. Project Maintenance
11.1. Upon completion of Project, Local Government will be responsible for maintaining the completed
facility for public use. The property shall be maintained and operated for the purpose for which it
was approved and funded for a period of time commensurate with the federal investment or State
rules, whichever is greater. Should Local Government at any time after Project completion decide it
can no longer maintain and operate Project for its intended purpose, Local Government shall consult
with State and the FHWA as to the disposal or alternate uses, consistent with Project's original
intent. State may require Local Government to return the federal funds in accordance with
2 CFR Part 200 federal recapture requirements. Should Local Government consider conveying the
property, State and FHWA must be notified prior to the sale, transfer, or disposal of any property
that received federal funds. Written concurrence of approval for the transaction, detailing any
required recapture, must be obtained from FHWA prior to the transaction. Advance notice from
Local Government of their intended action must be submitted to State for an FHWA review a
minimum of 90 days prior to any action being taken by Local Government. Local Government shall
be held responsible for reimbursement of all federal funds used or a portion of those funds based
on a pro -rata amount, considering the original percentage of federal funds provided and the time
elapsed from Project completion date. This same percentage of reimbursement also applies to any
amount of profit that may be derived from the conveyance of the property, as applicable.
AFA-AFA_TAP Page 7 of 15 Revised 2015-02-26
CSJ: 0905-06-089 Fed. # STP: STP 1502(581)TP
District #: Lubbock
Code Chart 64#: 25650
Project: North University TAP Phase 3
FHWA CFDA #: 20.205
Not Research and Development
11.2. Any manufacturer warranties extended to Local Government as a result of Project shall remain in
the name of Local Government. State shall not be responsible for honoring any warranties under
this Agreement.
11.3. Should Local Government derive any income from the development and operation of Project, a
portion of the proceeds sufficient for the maintenance and upkeep of the property shall be set aside
for future maintenance. A project income report shall be submitted to State on a quarterly basis.
Monies set aside according to this provision shall be expended using accounting procedures and
with the property management standards established in 2 CFR Part 200.
11.4. Should any historic properties be included in or affected by this federally funded Project, the historic
integrity of the property and any contributing features must continue to be preserved regardless of
any approved changes that may occur throughout the life of Project.
12. Local Project Sources and Uses of Funds
12.1. A Project Budget Estimate and Source of Funds is provided as Attachment C, showing the total
estimated development cost of Project. This estimate shows the itemized cost of real property,
utilities, environmental assessments, construction, and other construction related costs. To be
eligible for reimbursement or as in-kind contribution, costs must have been included in the
nomination form approved by the MPO in consultation with the State. State and the Federal
Government will not reimburse Local Government for any work performed outside the Performance
Period. After federal funds have been obligated, State will send to Local Government a copy of the
formal documentation showing the obligation of funds including federal award information. Local
Government is responsible for 100 percent of the cost of any work performed under its direction or
control before the federal spending authority is formally obligated.
12.2. If Local Government will perform any work under this Agreement for which reimbursement will be
provided by or through State, Local Government must complete training in Local Government
Procedures Qualification for the Texas Department of Transportation before federal spending
authority is obligated. Training is complete when at least one individual who is working actively and
directly on Project successfully completes and receives a certificate for the course. Local
Government shall provide the certificate of qualification to State. The individual who receives the
training certificate may be an employee of Local Government or an employee of a firm that has
been contracted by Local Government to perform oversight of Project. State in its discretion may
deny reimbursement if Local Government has not designated a qualified individual to oversee
Project.
12.3. The Project budget and source of funds estimate based on the budget provided in the project
nomination is included as Attachment C. Attachment C shows the percentage and estimated dollar
amounts to be contributed to Project by state and local sources, as well as the maximum amount in
federal Transportation Alternative Program funds assigned by the MPO in consultation with the
State to Project. This Agreement may be amended from time to time as required to meet the
funding commitments based on revisions to the Transportation Improvement Program, Federal
Project Authorization and Agreement ("FPAA" ), or other federal documents.
12.4. Local Government will be responsible for all non-federal participation costs associated with Project,
including any overruns in excess of Project's estimated budget and any operating or maintenance
expenses.
AFA-AFA_TAP Page 8 of 15 Revised 2015-02-26
CSJ: 0905-06-089 Fed. # STP: STP 1502(581)TP
District #: Lubbock
Code Chart 64#: 25650
Project: North University TAP Phase 3
FH WA CFDA M 20.205
Not Research and Development
12.5. State will be responsible for securing the federal share of funding required for the development and
construction of Project, in an amount not to exceed 80 percent of the actual cost of the work up to
the amount of funds approved for Project by the MPO in consultation with the State. Federal funds
will be reimbursed on a cost basis. Project costs incurred prior to project selection by the MPO in
consultation with the State and approval by the Federal Highway Administration to proceed are not
eligible for reimbursement.
12.6. Following execution of this Agreement, but prior to the performance of any plan review work by
State, Local Government will pay to State the amount specified in Attachment C for plan review. At
least 60 days prior to the date set for receipt of the construction bids, Local Government shall remit
its remaining local match as specified in Attachment C for State's estimated construction oversight
and construction cost.
12.7. In the event State determines that additional funding is required by Local Government at any time
during Project, State will notify Local Government in writing. Local Government is responsible for
the percentage of the authorized Project cost shown in Attachment C and 100 percent of any
overruns above the federally authorized amount. Local Government will make payment to State
within 30 days from receipt of State's written notification.
12.8. Whenever funds are paid by Local Government to State under this Agreement, Local Government
will remit a warrant made payable to the "Texas Department of Transportation." The warrant will be
deposited by State and managed by State. Funds may only be applied by State to Project.
12.9. Upon completion of Project, State will perform an audit of Project costs. Any funds due to Local
Government, State, or the Federal Government will be promptly paid by the owing party. If, after
final Project accounting, any excess funds remain, those funds may be applied by State to Local
Government's contractual obligations to State under another advance funding agreement with
approval by appropriate personnel of Local Government.
12.10. In the event Project is not completed, State may seek reimbursement from Local Government of the
expended federal funds. Local Government will remit the required funds to State within 60 days
from receipt of State's notification.
12.11. 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 re -plats, result in increased costs, then any
increased costs associated with the ordinances or changes will be paid by Local Government. The
cost of providing right of way acquired by State shall mean the total expenses in acquiring the
property interests through negotiations, including, but not limited to, expenses related to
relocation, removal, and adjustment of eligible utilities.
12.12. The state auditor may conduct an audit or investigation of any entity receiving funds from the State
directly under the Agreement or indirectly through a contract or subcontract under the Agreement.
Acceptance of funds directly under the Agreement or indirectly through a contract or subcontract
under this Agreement 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.
12.13. State will not pay interest on any funds provided by Local Government.
AFA-AFA_TAP Page 9 of 15 Revised 2015-02-26
13.
14.
15.
CS1: 0905-06-089 Fed. # STP: STP 1502(581)TP
District#: Lubbock
Code Chart 64#: 25650
Project: North University TAP Phase 3
FHWA CFDA #: 20.205
Not Research and Development
12.14. State will not execute the contract for the construction of Project until the required funding has
been made available by Local Government in accordance with this Agreement.
12.15. Local Government is authorized to submit requests for reimbursement by submitting the original of
an itemized invoice in a form and containing all items required by State no more frequently than
monthly, and no later than 90 days after costs are incurred. If Local Government submits invoices
more than 90 days after the costs are incurred, and if federal funding is reduced as a result, State
shall have no responsibility to reimburse Local Government for those costs.
12.16. If Local government is an Economically Disadvantaged County ("EDC') and if State has approved
adjustments to the standard financing arrangement, this agreement reflects those adjustments.
Notices
13.1. All notices to either party shall be delivered personally or sent by certified or U.S. mail, postage
prepaid, addressed to that party at the following address:
Local Government State
Director of Public Works Director, Contract Services
City of Lubbock Texas Department of Transportation
P.O. Box 2000 125 E. 111h Street
Lubbock, Texas 79457 Austin, TX 78701-2483
13.2. All notices shall be deemed given on the date delivered in person or deposited in the mail, unless
otherwise provided by this agreement. 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 notices shall
be delivered personally or by certified U.S. mail, and that request shall be carried out by the other
party.
Legal Construction
In case one or more of the provisions contained in this Agreement shall for any reason be held invalid, illegal, or
unenforceable in any respect, such invalidity, illegality, or unenforceability shall not affect any other provisions
and this Agreement shall be construed as if it did not contain the invalid, illegal, or unenforceable provision.
Responsibilities of the Parties
Neither party is an agent, servant, or employee of the other parry and each party is responsible for its individual
acts and deeds as well as the acts and deeds of its contractors, employees, representatives, and agents.
AFA-AFA_TAP Page 10 of 15 Revised 2015-02-26
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District #: Lubbock
Code Chart 64#: 25650
Project: North University TAP Phase 3
FHWA CFDA #: 20.205
Not Research and Development
16. Ownership of Documents
Upon completion or termination of this Agreement, all documents prepared by State shall remain the property
of State. All data prepared under this Agreement shall be made available to State without restriction or
limitation on their further use. All documents produced or approved or otherwise created by Local Government
shall be transmitted to State in the form of photocopy reproduction on a monthly basis as required by State. The
originals shall remain the property of Local Government.
17. Document and Information Exchange
Local Government agrees to electronically deliver to State all general notes, specifications, contract provision
requirements, and related documentation in a Microsoft Word or similar format. If requested by State, Local
Government will use State's document template. Local Government shall also provide a detailed construction
time estimate, including types of activities and month in which the activity will be completed, in the format
required by State. This requirement applies whether Local Government creates the documents with its own
forces or by hiring a consultant or professional provider. At the request of State, Local Government shall submit
any information required by State in the format directed by State.
18. 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, Local Government shall furnish State with satisfactory proof of
this compliance.
19. Sole Agreement
This Agreement constitutes the sole and only agreement between the parties and supersedes any prior
understandings or written or oral agreements respecting the Agreements subject matter.
20. Cost Principles
In order to be reimbursed with federal funds, the parties shall comply with the Cost Principles established in
2 CFR Part 200 that specify that all reimbursed costs are allowable, reasonable, and allocable to Project.
21. Procurement and Property Management Standards
The parties shall adhere to the procurement standards established in 2 CFR Part 200 and with the property
management standard established in 2 CFR Part 200.
22. 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 State,
Local Government, and, if federally funded, the FHWA, and the U.S. Office of the Inspector General, or their duly
authorized representatives for review and inspection at its office during the Agreement period and for four
years from the date of completion of work defined under this Agreement or until any impending litigation or
claims are resolved. Additionally, State, 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.
AFA-AFA_TAP Page 11 of 15 Revised 2015-02-26
CSI: 0905-06-089 Fed. # STP: STP 1502(581)TP
District #: Lubbock
Code Chart 64#: 25650
Project: North University TAP Phase 3
FHWA CFDA #: 20.205
Not Research and Development
23. Civil Rights Compliance
Local Government shall comply with the regulations of the U. S. Department of Transportation ("DOT")as they
relate to non-discrimination (49 CFR Part 21 and 23 CFR Part 200), 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).
24. Disadvantaged Business Enterprise Program Requirements
24.1. The parties shall comply with the Disadvantaged Business Enterprise ("DBE") Program requirements
established in 49 CFR Part 26.
24.2. Local Government shall adopt, in its totality, State's federally approved DBE program.
24.3. Local Government shall set an appropriate DBE goal consistent with State's DBE guidelines and in
consideration of Local market, project size, and nature of the goods or services to be acquired. Local
Government shall have final decision-making authority regarding the DBE goal and shall be
responsible for documenting its actions.
24.4. Local Government shall follow all other parts of State's DBE program referenced in TxDOT Form
2395, Memorandum of Understanding Regarding the Adoption of the Texas Department of
Transportation's Federally -Approved Disadvantaged Business Enterprise by Entity, and attachments
found at web address: http://ftp.dot.state.tx.us/pub/txdot-
info/bop/dbe/mou/mou attachments.pdf.
24.5. Local Government shall not discriminate on the basis of race, color, national origin, or sex in the
award and performance of any DOT -assisted contract or in the administration of its DBE program or
the requirements of 49 CFR Part 26. Local Government shall take all necessary and reasonable steps
under 49 CFR Part 26 to ensure non-discrimination in award and administration of DOT -assisted
contracts. State's DBE program, as required by 49 CFR Part 26 and as approved by DOT, is
incorporated by reference in this Agreement. Implementation of this program is a legal obligation
and failure to carry out its terms shall be treated as a violation of this Agreement. Upon notification
to Local Government of its failure to carry out its approved program, State may impose sanctions as
provided for under 49 CFR Part 26 and may, in appropriate cases, refer the matter for enforcement
under 18 USC 1001 and the Program Fraud Civil Remedies Act of 1986 (31 USC § 3801 et seq.).
24.6. Each contract Local Government signs with a contractor (and each subcontract the prime contractor
signs with a subcontractor) must include the following assurance:
The contractor, sub -recipient, or sub -contractor shall not discriminate on the basis of race, color, national
origin, or sex in the performance of this contract. The contractor shall carry out applicable requirements
of 49 CFR Part 26 in the award and administration of DOT -assisted contracts. Failure by the contractor to
carry out these requirements is a material breach of this agreement, which may result in the termination
of this agreement or such other remedy as the recipient deems appropriate.
AFA-AFA TAP Page 12 of 15 Revised 2015-02-26
CSJ: 0905-06-089 Fed. # STP: STP 1502(581)TP
District #: Lubbock
Code Chart 64#: 25650
Project: North University TAP Phase 3
FHWA CFDA #: 20.205
Not Research and Development
25. Debarment Certifications
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, Local Government certifies that it and its
principals are not currently debarred, suspended, or otherwise excluded from or ineligible for participation in
Federal Assistance Programs under Executive Order 12549, and further certifies that it will not do business with
any party, to include principals, that is currently debarred, suspended, or otherwise excluded from or ineligible
for participation in Federal Assistance Programs under Executive Order 12549. The parties to this Agreement
shall require any party to a contract, subcontract, or purchase order awarded under this Agreement to certify its
eligibility to receive federal funds and, when requested by State, to furnish a copy of the certification.
26. Lobbying Certification
In executing this Agreement, each signatory certifies to the best of that signatory's knowledge and belief, that:
26.1. 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
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.
26.2. If any funds other than federal appropriated funds have been paid or will be paid to any person for
influencing or attempting to influence an officer or employee of any agency, a Member of Congress,
an officer or employee of Congress, or an employee of a Member of Congress in connection with
federal contracts, grants, loans, or cooperative agreements, the signatory for Local Government
shall complete and submit the federal Standard Form -LLL, "Disclosure Form to Report Lobbying," in
accordance with its instructions.
26.3. The parties shall require that the language of this certification be included in the award documents
for all sub -awards at all tiers (including subcontracts, sub -grants, and contracts under grants, loans,
and cooperative agreements) and all sub -recipients shall certify and disclose accordingly. Submission
of this certification is a prerequisite imposed by 31 USC § 1352 for making or entering into this
transaction. 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.
27. Insurance
27.1. Should this Agreement authorise Local Government or its contractor to perform any work on State
right of way, before beginning work, the entity performing the work shall provide State with a fully
executed copy of 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 State right of way is
complete. If coverage is not maintained, all work on State right of way shall cease immediately, and
State may recover damages and all costs of completing the work.
27.2. For projects including buildings, Local Government agrees to insure the building according to
Department specifications and further agrees to name the Federal Government as a "Loss Payee"
should the building be destroyed.
AFA-AFA_TAP Page 13 of 15 Revised 2015-02-26
CSJ: 0905-06-089 Fed. # STP: STP 15O2(581)TP
District #: Lubbock
Code Chart 64#: 25650
Project: North University TAP Phase 3
FH WA CFDA #: 20.205
Not Research and Development
28. Federal Funding Accountability and Transparency Act Requirements
28.1. Any recipient of funds under this agreement agrees to comply with the Federal Funding
Accountability and Transparency Act ("FFATA") and implementing regulations at 2 CFR Part 170,
including Appendix A. This agreement is subject to the following award terms:
http://www.gpo.gov/fdsys/pkg/FR-2010-09-14/pdf/2010-22705.pdf and
http://www.gpo.gov/fdsVs/pkg/FR-2010-09-14/pdf/2010-22706.pdf.
28.2. Local Government agrees that it shall:
a. Obtain and provide to State a System for Award Management ("SAM") number (Federal
Acquisition Regulation ("FAR") Subpart 4.11) if this award provides more than $25,000 in
Federal funding. The SAM number may be obtained by visiting the SAM website whose address
is https://www.sam.gov/portal/public/SAM/
b. Obtain and provide to State a Data Universal Numbering System ("DUNS") number, a unique
nine -character number that allows the federal government to track the distribution of federal
money. The DUNS number may be requested free of charge for all businesses and entities
required to do so by visiting the Dun & Bradstreet on-line registration website
http://fedgov.dnb.com/webform; and
C. Report the total compensation and names of its top five executives to State if:
1. More than 80 percent of annual gross revenues are from the Federal government, and
those revenues are greater than $25,000,000; and
2. The compensation information is not already available through reporting to the U.S.
Securities and Exchange Commission.
29. Single Audit Report
29.1. 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 2 CFR Part 200.
29.2. If threshold expenditures are met during Local Government's fiscal year, Local Government must
submit a Single Audit Report and Management Letter (if applicable) to TxDOT's Audit Office, 125
East 11th Street, Austin, TX 78701 or contact TxDOT's Audit Office at http://www.txdot.gov/inside-
txdot/office/audit/c,,J ; ml. The expenditure threshold for fiscal years beginning prior to
December 31, 2014 is $500,000; the expenditure threshold for fiscal years beginning on or after
December 31, 2014 is $750,000.
29.3. If expenditures are less than the threshold during Local Government's fiscal year, Local Government
must submit a statement to TxDOT's Audit Office as follows:
We did not meet the $ expenditure threshold and therefore, are not required to have a single
audit performed for FY
29.4. For each year Project remains open for federal funding expenditures, Local Government will be
responsible for filing a report or statement as described above. The required annual filing shall
extend throughout the life of the agreement, unless otherwise amended or Project has been
formally closed out and no charges have been incurred within the current fiscal year.
AFA-AFA_TAP Page 14 of 15 Revised 2015-02-26
CSJ: 0905-06-089 Fed. # STP: STP 1502(581)TP
District #: Lubbock
Code Chart 64#: 25650
Project: North University TAP Phase 3
FHWA CFDA #: 20.205
Not Research and Development
30. Signatory Warranty
Each signatory warrants that the signatory has necessary authority to execute this agreement on behalf of the
entity represented.
Each party is signing this agreement on the date stated opposite that party's signature.
Date: November 19, 2015
City of Lubbock
By:
Gleq' . oberts n
Mayor
ATTEST:
0 a,, . —A)�
Re cca Garza
City Secretary
AS TO
in, P.E.
lic Works
APPROVE AS TO FORM:
THE STATE OF TEXAS
Date: % L 2 1 1S By: JUL, ---
Thomas Marrs
Deputy Director of Contract Services
Texas Department of Transportation
AFA-AFA_TAP Page 15 of 15 Revised 2015-02-26
CSJ: 0905-06-089 Fed. # STP: STP 1502(581)TP
District #: Lubbock
Code Chart 64#: 25650
Project: North University TAP Phase 3
FHWA CFDA #: 20.205
Not Research and Development
r_- FEW W. TM T I ► 1
RESOLUTION OF LOCAL GOVERNMENT
AFA-AFA_TAP Page 1 of 1 Attachment A
Resolution No. 2015-R0385
November 19, 2015
Item No. 6.10
RESOLUTION
BE IT RESOLVED BY THE CITY COUNCIL OF THE CITY OF LUBBOCK:
THAT the Mayor of* the City of Lubbock is hereby authorized and directed to execute for
and on behalf of the City of Lubbock, an Advanced Funding Agreement in connection with the
North University Enhancement Project (Phase 3) for construction projects on North University
Avenue from Amherst Street to U.S. 84. by and between the City of Lubbock and Texas
Department of Transportation. and related documents. Said Agreement is attached hereto and
incorporated in this resolution as if fully set forth herein and shall be included in the minutes of'
the City Council.
Passed by the City Council on November 19 2015
ATTEST:
GLE RO 'RTSON. MAYOR
Rebe t
a Garza, City Secretary
AS TO
P.E., Director of Public Works
APPROVED AS TO FORM:
vw:ccdocs/RES.Agnnt-North Univ -Advanced Funding
October 22. 2015
CSJ: 0905-06-089 Fed. # STP: STP 1502(581)TP
District#: Lubbock
Code Chart 64#:25650
Project: North University TAP Phase 3
FHWA CFDA #: 20.205
Not Research and Development
ATTACHMENT B
PROJECT LOCATION MAP
Location Map: North University Enhancement Project
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MARSHA SHARP FWY US 82
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AFA-AFA_TAP Page 1 of 1 Attachment B
CSJ: 0905-06-089 Fed. # STP: STP 1502(581)TP
District#: Lubbock
Code Chart 64#: 25650
Project: North University TAP Phase 3
FHWA CFDA #: 20.205
Not Research and Development
ATTACHMENT C
PROJECT ESTIMATE AND SOURCE OF FUNDS
LG Performs PE Work or Hires Consultant / State Lets Project to Construction
AFA-AFA_TAP Page 1 of 2 Attachment C
Work Performed by Local Government ("LG")
Description of
Project Costs tobeIncurred
Total Project Cost
Estimate
Federal Participation
Includes additional percentage
forTDCapportionmentwhereapplicable
State Participation
Local Government (LG)
Participation
Includes any EDC reduction
where applicable
%
Cost
%
Cost
%
Cost
Planning/Maps/Education/Non-CST
$0.00
0%
$0.00
0%
$0.00
0%
$0.00
Preliminary Engineering
$27,530.95
0%
$0.00
0%
$0.00
100%
$27,530.95
Environmental Cost
$5,000.00
0%
$0.00
0%
$0.00
100%
$5,000.00
Right of Way
$0.00
0%
$0.00
0%
$0.00
0%
$0.00
Utilities
$2,000.00
0%
$0.00
0%
$0.00
100%
$2,000.00
Construction
$0.00
0%
$0.00
0%
$0.00
0%
$0.00
In-kind donation Value
(Add to Total Project Cost -20%Maximum value)
1 $0.00
0%
$0'00
0%
$0.00
0%
$0.00
Work by LG Subtotal
1 $34,530.95 1
$0.001
$34,530.95
Work Performed by the State (Local Participation paid up front by LG to TxDOT)
Preliminary Engineering'
$0.00
0% $0.00
0%
$0.00
0%
$0.00
Environmental Cost'
$0.00
0% $0.00
0%
$0.00
0%
$0.00
Right ofWay3
$0.00
0% $0.00
0%
$0.00
0%
$0.00
Utilities2
$0.00
0% $0.00
0%
$0.00
0%
$0.00
Construction2
$673,370.00
80% $538,696.00
0%
$0.00
20%
$134,674.00
Work by State Subtotal
$673,370.00
$538,696.00
$0.00
$134,674.00
AFA-AFA_TAP Page 1 of 2 Attachment C
CSJ: 0905-06-089 Fed. # STP: STP 1502(581)TP
District #: Lubbock
Code Chart 64#: 25650
Project: North University TAP Phase 3
FHWA CFDA #: 20.205
Not Research and Development
Direct and Indirect State Costs Incurred for Review, Inspection, Administration & Oversight
Description of
Project Costs to be Incurred
Total Project Cost
Estimate
Federal Participation
Includes additional percentage
for TDcapportionment where applicable
% Cost
%
State Participation
Cost
Local Government (LG)
Participation
Includes any EDC reduction
where applicable
% Cost
Preliminary Engineering'
$30,957.50
80% $24,765.20
0%
$0.00
20%
$6,192.30
Environmental Cost'
$4,500.00
80% $3,600.00
0%
$0.00
20%
$900.00
Right of Way'
$2,500.00
80% $2,000.00
0%
$0.00
20%
$500.00
Utilities'
$3,000.00
80% $2,400.00
0%
$0.00
20%
$600.00
Construction'
$50,048.50
80% $40,038.80
0%
$0.00
20%
$10,009.70
Indirect State Costs
$10,000.00
80% $8,000.00
0%
$0.00
20%
$2,000.00
Direct & Indirect State Cost Subtotal
$101,006.00
$80,804.00
$0.00
$20,202.00
TOTAL PARTICIPATION
$808,906.95
5619,500.00
$0.00
$189,406.95
In-kind Contribution Credit Applied
0%
$0.00
TOTAL REMAINING PARTICIPATION
AFTER IN-KIND CONTRIBUTION
$189,406.95
The estimated total participation by Local Government is $189,406.95, plus 100% of overruns.
Total estimated payment by Local Government to State is $154,876.00.
'First payment of $20,202.00 is due to State within 30 days from execution of the AFA contract.
'Second payment of $134,674.00 is due to State within 60 days prior to the Construction contract being advertised for bids.
'If ROW is to be acquired by State, Local Government's share of property cost will be due prior to acquisition.
The eligible percent of required local match is stated in the nomination and must be 20% or greater, unless In -Kind, EDC adjustments or TDCs are applied.
This is an estimate, the final amount of Local Government participation will be based on actual costs.
Maximum federal TAP funds available for Project are $619,500.00.
AFA-AFA_TAP Page 2 of 2 Attachment C