VIRGIN ISLANDS PORT AUTHORITY

Transcription

1 VIRGIN ISLANDS PORT AUTHORITY REQUEST FOR PROPOSALS RFP-VIPA-C Grant Administration Services for the Transportation Investment Generating Economic Recovery ( TIGER ) VIII Grant Program Gordon A. Finch Terminal Improvements Project RFP ISSUE DATE Friday, November 4, 2016 QUESTIONS DUE Thursday, November 17, 2016 at 5:00 PM RESPONSES DUE Tuesday, November 22, 2016 PRPOSAL DUE DATE Wednesday, November 30, 2016 at 2:00 PM (EST) Division of Purchasing Administration Building P.O. Box St. Thomas, USVI (340)

2 TABLE OF CONTENTS Page I. Introduction...3 II. III. IV. TIGER Grant Program...3 Purpose...3 General Scope of Services...3 V. Contract Award...5 VI. VII. Submittal Information.6 Questions and Addenda Vendor Information Proposal Requirements.. 7 1) Professional Qualification 2) Relevant Government Grant Industry Experience 3) Grant Administration System and Reports 4) Cost 5) References VIII. Proposal Submission...8 IX. Evaluation Criteria and Rating.. 9 X. Clarifying Proposal During Evaluation Period 9 XI. Cancellation.10 XII. Payments 10 XIII. Insurance 10 XIV. Gifts from Consultants.11 XV. Licenses, Fees, & Tax...11 Exhibits A-H A1-H15 2

3 I. INTRODUCTION The Virgin Islands Port Authority ( Authority or VIPA ) has been awarded a grant under the Transportation Investment Generation Economic Recovery ( TIGER ) VIII Grant Program to conduct Port Infrastructure Improvements at the Gordon A. Finch Terminal located in St. Croix, United States Virgin Islands. Construction of the Gordon A. Finch Terminal ( Project ) involves Marine and Upland Improvements which shall be delivered in three (3) phases. II. III. TIGER GRANT PROGRAM The U.S. Department of Transportation (USDOT) has awarded grants under eight programs for surface transportation projects that will have a significant impact on the Nation, a metropolitan area or a region. This program was first created in the 2009 Recovery Act, since which time USDOT has referred to these grants as Transportation Investment Generating Economic Recovery or "TIGER Discretionary Grants. Beginning with the Recovery Act and continuing through the Fiscal Year (FY) 2016 appropriations processes, Congress has provided DOT with eight rounds of competitive grants totaling nearly $5.1 billion for capital investments in surface transportation infrastructure. Since 2009, the TIGER program has awarded 421 projects in all 50 states, the District of Columbia, Puerto Rico, Guam, and the U.S. Virgin Islands, including 143 projects to support rural and tribal communities. PURPOSE The purpose of this Request for Proposals (RFP) is to solicit proposals for qualified firms to provide grant administration services of VIPA s TIGER VIII Grant award for transportation infrastructure improvements and enhancement to the Gordon A. Finch Terminal in St. Croix, Virgin Islands. The Authority seeks a qualified service provider with the knowledge, experience, and expertise to efficiently and effectively provide grant administration of VIPA s TIGER VIII award to ensure compliance with all regulatory and applicable grant compliances, federal laws and regulations to include, but not limited to; requirements, terms, conditions and clauses, OMB circulars, audits resolutions, grant reporting and assurances, responsibility and authority, reimbursements of project costs, federal and local government policies and procedures. IV. GENERAL SCOPE OF SERVICES A. The successful Respondent(s) ( Firm ) shall work at the direction of the Authority s Executive Director or his designee on this project, VIPA s Federal Grants Coordinator. B. The Firm t must possess subject matter expertise in the DOT Grant program and shall provide the grant administration services necessary to ensure the Authority remains in full compliance with the Act and the Notice of Funding Opportunity published in the Federal Register (81 FR 9935, February 26, 2016). 3

4 C. The Firm shall provide consultation and guidance to VIPA to ensure that the Gordon A. Finch Terminal Project is financed, constructed, operated and maintained in accordance with the Authority s and the United Sates Department of Transportation Grant ( DOT ) Agreement ( Agreement ) and all applicable Federal laws, regulations and policies of the Maritime Administration ( MARAD ) which are herein attached and referenced as: Attachment A, Statement of Work; Attachment B, Project Schedule; Attachment C, Project Budget; Attachment D., Performance Measurement Table; and Exhibits A through H and includes their affixed Appendixes. D. The Firm shall provide consultation and guidance to ensure the Authority s complies with all applicable federal laws and regulations of the TIGER Grant Award which includes but is not limited to executive orders, policies, guidelines, general federal legislation and regulations, and requirements as they relate to the application, acceptance and use of Federal funds awarded under the TIGER grant. E. The Firm shall provide consultation and guidance to ensure the Authority fulfil all applicable assurances referenced under Exhibits D-1 through D-4 of the TIGER Grant Agreement. F. The Firm shall prepare, submit, and file all reports of the TIGER Grant on time, and with the degree of accuracy commensurate with the industry standards. All reports shall be submitted in compliance with the format, contents, reporting procedures, frequency, and requirements set forth under the TIGER Grant, Exhibits G through H-3. VIPA shall provide Firm with the documents necessary to perform the services under this paragraph, which shall include but not necessarily limited to: Contractors contracts to include any required modifications Project Budgets Contractors pay applications Project schedules and updates Contractors certified payrolls, Disadvantaged Business Enterprise (DBE) participation form(s) Daily inspection logs, VIPA certification of payment to Contractors G. The Firm shall provide VIPA with copies of contents in paragraph F and shall deliver the contents Word and PDF document forms. The contents shall be delivered electronically and via mail delivery to VIPA. The appropriate addresses will be provided to the successful Proponent of this RFP. H. The Firm shall advise the Authority s representative/s on salient issues regarding 4

5 the TIGER Grant and shall notify VIPA of all new changes made to the TIGER Grant Program. I. The Firm shall disclose and provide samples of the type of grant management software that will be used to conduct the grant administration services under this RFP. J. The Firm shall develop a schedule using the Authority s in-house resources to monitor, track, and, when appropriate, take action on all required components of the Authority s TIGER Grant Program. The Firm shall collaborate with VIPA and shall respond to all inquiries regarding the Agreement and shall file necessary reports, on time, and with a degree of accuracy commensurate with industry standards. K. The Firm shall arrange and manage in-house meetings with appropriate Department staff and internal stakeholders, project managers, and other concerned parties in order to manage progress for all assigned components of the TIGER Grant during the project phase. L. The Firm shall close out TIGER Grant, when appropriate. M. The Firm shall keep detailed records on its activities, apprise the appropriate Department of all of its activities, and maintain invoices for its activities. N. The Firm shall provide guidance on the language to be included in VIPA s initial Request for Proposals (RFP) Request for Qualifications (RFQ), and/or Invitation for Bids (IFB), template for projects using TIGER Grant funds to fulfill the services awarded thereunder to ensure that they comply with the TIGER Grant requirements. O. Perform other duties as requested by the Authority as it relates to TIGER grant administration. V. AWARD OF CONTRACT The selected Proposer agrees if approved as a provider of the services herein; Proposer agrees to enter into a written contract with the Virgin Islands Port Authority for such service prior to rendering any services. In the event Proposer fails to enter into such Contract, Proposer s approval of such award will be revoked by VIPA. The Contract will contain, among other things, the General and Specific Terms and Conditions and Scope of Services contained herein. The contract awarded under this RFP will be for professional services and cost reimbursement. No payments in advance or in anticipation of services or supplies to be 5

6 provided under the contract shall be made by the Authority. Unless otherwise agreed pursuant to negotiations, the term of the Contract awarded under this RFP will be for a period of two (2) years with a one (1) year option to renew. VI. SUBMISSION INFORMATION Sealed Proposals; No late proposals received after the scheduled closing time for filing will be considered. The responsibility for submitting a response to this RFP, on or before the stated date, time, and location will be solely and strictly the responsibility of the Bidder. Applicants will deliver one (1) original and three (3) copies of the sealed Proposal to the following address: Virgin Islands Port Authority Cyril E. King Airport, Administration Bldg. Attn.: Executive Director c/o Procurement Manager St. Thomas 8074 Lindberg Bay St. Thomas, V.I Proposal(s) shall be due and delivered no later than 2:00 P.M. Wednesday November 30, Each Proposal should be marked on the outside of the envelope with Sealed ; referencing the RFP No., RFP-VIPA-C Clearly mark the envelope with contractor s name and address. Direct purchasing and procurement questions regarding the RFP to Lisa Alejandro, Procurement and Contracting Manager at VIPA s address or lalejandro@viport.com The Authority reserves the right to waive any informality, to reject any and all Proposals, to evaluate all Proposals, or any portion thereof and to accept the proposal/s which in its opinion may be in the best interest of the Authority. The Authority reserves the right to modify the contract after its award and further reserves the right to make multiple contract awards under this RFP. *Bidders may not contact any Department Managers or Supervisors to discuss the bid process or bid opportunities except: 1.) through the Procurement Manager named herein or 2.) VIPA s Purchasing Department. This policy shall be strictly enforced and the VIPA reserves the right to reject the submittal of any bidder violating this provision. QUESTIONS AND ADDENDA All questions regarding this Request for Proposals should be submitted in writing via the following delivery channels: 6

7 Hand Delivery: Virgin Islands Port Authority Cyril E. King Airport, Administration Bldg. Attn.: Executive Director c/o Procurement Manager St. Thomas 8074 Lindberg Bay St. Thomas, V.I Mail Delivery: Virgin Islands Port Authority Cyril E. King Airport, Administrative Bldg. Attn.: Executive Director c/o Procurement Manager P.O. Box , St. Thomas Virgin Islands Electronic Delivery: VENDOR INFORMATION All submissions shall include a completed Vendor Information Form, current copy of a business license and a completed W-9 form. VII. PROPOSAL REQUIREMENTS Proposals should address the following questions or requests for information: A. Professional Qualification: The successful Respondent must establish its qualifications to satisfactorily perform the work. The following information is required: 1) Identify individuals who will be assigned to the project on a day-to-day basis. Provide their background, directly related experiences and past successes. Include an organization chart. 2) A description of prior professional experience in providing grant s management services; 3) A list of clients, for whom Respondent has provided grant services, and scale, including dates of performance. List clients organizational names, contact names, addresses, and telephone numbers; and 4) A full description of any and all sub-consultants who will work on the project, should Respondent be awarded the Agreement. B. Relevant Government Grants Industry Experience: 7

8 The scope of work requires significant interaction with a federally awarded grant, and regional organizations dealing with federal grant funds. Prior professional experience with these entities is essential to the successful completion of the Project. Please provide a narrative detailing the following: Relevant Government Grants Industry Experience 1) A description of all prior professional experience within the grant administration industry, including examples of successful grants management with specific focus in the service areas listed in the Scope of Services; 2) A description of all prior professional experience in working with federal agencies that approve and/or manage grantees; DOT Grant Experience 3) A description of all prior professional experience directly related to firm providing grant administration services for an awarded DOT grant project(s). C. Grant Administration Approach, System and Reports: Proposal shall include a narrative explaining the Respondent s grants strategy for conducting grant administration and submitting grant reports and payment for Program reimbursements. The narrative should be organized by task, with a detailed description of how the project team will accomplish each task. D. Costs Respondent s shall submit a list of the job classifications (exactly as they are to appear on monthly invoices) of all personnel who are expected to participate, along with the corresponding hourly wage rate. No wage rate changes will be permitted for the length of the Agreement. The direct labor cost for each of the Firm's staff members assigned to the work shall be computed and billed as the number of hours spent engaged in projectrelated matters, multiplied by the hourly wage rate for each individual. Fee basis should be an all-inclusive, hourly fee. You must provide a detailed price breakdown, including fees itemized for the following staff: A) senior staff; B) professional staff; and, C) clerical staff. VIII. PROPOSAL SUBMISSION Responses to this RFP must be according to the requirements set forth in this section, both for content and sequence. Failure to adhere to these requirements or inclusion of conditions, limitations or misrepresentations in a response may be cause for rejection of the submittal. 8

9 Cover Letter shall be a maximum one-page cover letter and introduction, and shall include the name and address of the organization submitting the proposal, together with the name, address and telephone number of the contact person who will be authorized to make representations for the organization, the firm s federal tax ID number and a list of subcontractors, if applicable. The cover letter shall also include a statement that the proposal is valid for sixty (60) days after receipt. The Proposal This section must describe the salient features of the proposal. It must contain an overview of the proposer s company background and qualifications, and must condense and highlight the contents of the proposal to provide a broad understanding of the entire proposal. The Executive Summary should include conclusions and generalized recommendations. Technical Response Demonstrate ability and capacity to provide services described in the Scope of Services. In this section, proposers should present their vision of how they propose meeting the Authority s needs and identify the overall approach to the project, define the scope of their offered services, and how they propose to meet the Scope of Services as defined in this RFP. As necessary, indicate any additional or optional tasks. References A minimum of three (3) references from programs of similar scope and magnitude, for which the Proposer has provided services similar to the services requested herein within the past three (3) years. References directly related to Proponent s grant administration services may be added if the services were performed more than (3) years ago. VIPA reserves the right to contact all references. IX. EVALUATION CRITERIA AND WEIGHTING VIPA s Executive Director will appoint a Selection Committee to evaluate the proposals received. For the purpose of scoring proposals each of the committee members will evaluate each proposal based upon the criterial listed below. In order to assist the evaluation committee, outside expertise may be sought, including but not limited to technical advisors. Evaluation Factor Point Value Professional Qualifications 20 Relevant Government Grant Administration Industry Experience 15 DOT Grant Administration Experience 15 Grant Administration Approach, System, and Reporting 20 Cost 25 References 5 X. CLARIFYING PROPOSAL DURING EVALUATION PERIOD 9

10 During the evaluation process, VIPA has the right to require any clarifications or change it needs in order to understand the respondent s view and approach to the project and scope of work. Oral presentations by the bidder/s may also be utilized. Any changes to the proposal will be made before executing the Contract and will become part of the final contract. XI. CANCELLATION VIPA reserves the right to modify, revise, or cancel this RFP. Receipt and evaluation of proposals or the completion of interviews do not obligate VIPA to award a contract(s). XII. PAYMENTS: The Authority will pay the Firm upon receipt of properly completed invoices which shall submitted monthly. Invoices shall contain information, including but not limited to, the period of services covered by the invoice, description of the services performed, and shall include the applicable supporting documents due for the invoice period. Invoices shall be addressed and submitted to: Virgin Islands Port Authority Administrative Building Attn.: Accounting Department, Accounts Payable P.O. Box , St. Thomas Virgin Islands XIII. INSURANCE Insurance Requirements: The policies shall be maintained with insurer(s) and in a form satisfactory to the Authority, and the successful Contractor/Vendor shall submit a Certificate of Commercial General Liability Insurance and Declaration/Endorsement pages naming the Virgin Islands Port Authority as an additional insured and certificate holder on the commercial general liability policy to the Procurement Manger. A. Commercial General Liability: Public Liability and Property Damage i. Combined Single Limit -$1,000,000 per occurrence and annual aggregate per location ii. Coverage shall include personal Injury, Blanket Contractual (specifically covering Contractor for liability, loss, cost and damage, including attorney s fees, assumed by Contractor under the provisions of the Indemnity set forth above), Broad Form Property Damage, Independent Contractors, Products and Completed Operations (including coverage for the additional insured, whether by endorsement or renewal of coverage, and after final completion of the Contract for the term equal to the statues of limitations under the U.S. Virgin Islands) and, in the case of construction, Explosion, Collapse and Underground Hazard (XCU) coverage for any subsurface activities. iii. A combination of primary and excess policies may be utilized to fulfil theses 10

11 insurance requirements. Policies must be on an occurrence based form, with deductibles agreeable to the Authority. B. Worker s Compensation: United States Virgin Islands Statutory Limits. The Contractor shall maintain a current, valid certificate of workers compensation insurance on file with the Authority for the entire period during which work is performed under the Contract. C. Professional Liability Professional Liability Insurance - Firm and any sub-consultant shall maintain insurance covering losses rendered by Professional Services (Errors or Omissions) that arise from the operations described under the Scope of Services section. Per Claim Limit: $1,000,000 Aggregate Limit: $2,000,000 If coverage is written on a Claims-made basis, the Firm warrants that any retroactive date applicable to coverage under the insurance policy precedes the effective date of the Agreement and that continuous coverage will be maintained, or an Extended Discovery Period will be purchased for a period of one (1) year beginning when the work under the Agreement is completed. XIV. GIFTS FROM CONSULTANTS VIPA s officers, employees, or agents shall neither solicit nor accept gratuities, favors, or anything of monetary value from contractors or potential Proponents. To the extent permissible under local laws, rules, or regulations, such standards shall provide for appropriate penalties, sanctions, or other disciplinary actions to be applied for violations of such standards. XV. LICENSES, FEES & TAXES The Firm shall be responsible for paying all applicable taxes and fees, including but not limited to, excise tax, gross receipts, local income tax, and payroll and withholding taxes for its employees. The contractor shall hold the Authority harmless for all claims arising from payment of such taxes and fees. The Firm shall obtain and post as required, all license, permits, and certificates as required by federal and local laws, rules and regulations, and policies. XVI. LICENSE REQUIREMENT An award will not be made to any firm or individual doing business in the Virgin Islands to perform work with the Virgin Islands Port Authority until evidence is submitted that said firm or individual has a valid Virgin Islands Business License to do business in the Virgin Islands. All Bidders bidding as Joint Ventures must be licensed as a Joint Venture to do business in the Virgin Islands. 11

12 EXHIBIT A LEGISLATIVE AUTHORITY 1. The U.S. Department of Transportation ( USDOT ) is authorized to award $500 million in FY 2016 TIGER Discretionary Grants pursuant to the Consolidated Appropriations Act, 2016 (Pub. L , Dec. 18, 2015) (the Act ). This appropriation is similar, but not identical to the appropriation for the Transportation Investment Generating Economic Recovery, or TIGER Discretionary Grants, program authorized and implemented pursuant to the American Recovery and Reinvestment Act of 2009 (the Recovery Act ), the FY 2010 TIGER Discretionary Grants pursuant to Title I (Department of Transportation) of Division A of the Consolidated Appropriations Act, 2010, the FY 2011 TIGER Discretionary Grants pursuant to Title XII (Transportation, Housing and Urban Development, and Related Agencies) of Division B of the Department of Defense and Full-Year Continuing Appropriations Act, 2011 (Pub. L , Apr. 15, 2011), the FY 2012 TIGER Discretionary Grants pursuant to the Consolidated and Further Continuing Appropriations Act, 2012 (Pub. L , Nov. 18, 2011), the FY 2013 TIGER Discretionary Grants pursuant to the Further Continuing Appropriations Act, 2013 (Pub. L , Mar. 26, 2013), the Consolidated Appropriations Act, 2014 (Pub. L , Jan. 17, 2014), and the Consolidated and Further Continuing Appropriations Act, 2015 (Pub. L , Dec. 16, 2014). Because of the similarity in program structure and objectives, DOT is referring to the grants for National Infrastructure Investments under the Act as the FY 2016 TIGER Discretionary Grants or TIGER Discretionary Grants. 2. The grant awards made under TIGER Discretionary Grant program are in full compliance with the Act and the Notice of Funding Opportunity published in the Federal Register (81 FR 9935, February 26, 2016). 3. Funds for the TIGER Discretionary Grants program are being awarded on a competitive basis for projects that will have a significant impact on the Nation, a metropolitan area or a region. Additionally, the awards ensure an equitable geographic distribution of funds, an appropriate balance in addressing the needs of urban and rural areas, and the investment in a variety of transportation modes. 4. The Act specifies that not less than $100 million of the funds provided for FY 2016 TIGER Discretionary Grants be used for projects located in rural areas. A-1

13 EXHIBIT B GENERAL TERMS AND CONDITIONS 1. The Recipient shall ensure that the project is financed, constructed, operated and maintained in accordance with this agreement, and all applicable Federal laws, regulations and policies of the Maritime Administration ( MARAD or the Government ) will apply to the project. 2. The maximum obligation of the Government payable under this award, hereinafter referred to as the Grant, shall be the award as specified in section 1.6 of the agreement, subject to all the terms and conditions in this agreement and of all other Federal awards funding the project. Once the Government executes this agreement for the project, or a segment of the project, the Grant funds will then be authorized for obligation. 3. Reimbursement of costs incurred pursuant to the agreement will be made pursuant to and in accordance with 2 C.F.R. Part 200 and the provisions of such regulations and procedures as the Government may prescribe. Determination of allowable costs incurred by the Recipient under the Grant shall be made in accordance with applicable government-wide cost principles under 2 C.F.R. Part 200, Subpart E. Closeout of the Grant shall be based upon a determination that all applicable administrative actions and all required work of the Grant have been completed in accordance with 2 C.F.R Upon the Government s review of all financial, performance, and other reports required as a condition of the Grant, the Government may make any upward or downward adjustments to the allowable costs in accordance with 2 C.F.R The Recipient agrees to notify the Government within 30 calendar days of any change in circumstances or commitments that adversely affect the Recipient s plan to complete the project as described in Attachments A-C. In its notification, the Recipient shall advise the Government of what actions it has taken or plans to take to ensure completion of the project and shall reaffirm its commitment to the Government as set forth in this agreement. The Recipient is solely liable for any funding shortfalls pertaining to the project as agreed to in the agreement. The TIGER Discretionary Grant Award Amount will remain unchanged. (See article 8 of the agreement regarding termination). 5. The Recipient agrees to carry out and complete the project without undue delays and in accordance with the terms of this agreement, including the Project Schedule set out in Attachment B, and to comply with such regulations and procedures as the Government may prescribe. 6. The Recipient has submitted a request for Federal assistance, hereinafter referred to as the Technical Application, hereby incorporated by reference into this agreement and the Government is relying upon the Recipient s assurances, certifications, and other representations made in the Technical Application, or any other related documents submitted to the Government; and, in its submissions, the Recipient has demonstrated justification for the project, and has demonstrated the financial and technical feasibility of the project, including the ability to start the project quickly upon receipt of the Grant; to expend Grant funds once the planning activities B-1

14 or construction starts; and to receive all necessary environmental, state and local planning, and legislative approvals as necessary for the project to proceed in accordance with the Project Schedule. 7. The Government has determined that the Project is an Eligible Project for TIGER funding as it provides planning for or construction of a highway or bridge project, public transportation project, passenger or freight rail transportation project, or a port infrastructure project, or other such eligible project as authorized, and that the Project will have a significant impact on the Nation, a metropolitan area, or a region. The Government has determined that Recipient should receive the award of a Grant based on a review of the Project s Technical Application, as it meets the requirements specified in the Act and the February 26, 2016, Federal Register Notice, Notice of Funding Opportunity for the Department of Transportation s National Infrastructure Investments under the Consolidated Appropriations Act, 2016 (Available at 8. The Recipient s progress will be monitored periodically by the Government, both programmatically and financially, to ensure that the Project goals, objectives, performance requirements, timelines, milestone completion, budgets, and other related program criteria are being met. Monitoring will be accomplished through a combination of office-based reviews and onsite monitoring visits. Monitoring will involve the review and analysis of the financial, programmatic, performance and administrative issues relative to each program and will identify areas where technical assistance and other support may be needed. The Recipient is responsible for monitoring award activities, to include subawards, and accountable to the Government for the use of the funds provided and to assure that the Federal award is administered in compliance with applicable requirements. Responsibilities include the accounting of receipts and expenditures, cash management, maintaining adequate financial records, and refunding disallowed expenditures. 9. The Recipient agrees to take all steps, including initiating litigation, if necessary, to recover Federal funds if the Government determines, after consultation with the Recipient, that such funds have been spent fraudulently, wastefully, or in violation of Federal laws, or misused in any manner in undertaking the Project. For the purposes of this agreement, the term Federal funds means funds however used or disbursed by the Recipient that were originally paid pursuant to the agreement. 10. The Recipient agrees to retain all documents relevant to the Grant award for a period of three years from completion of the Project and receipt of final reimbursement from the Government. The Recipient agrees to furnish the Government, upon request, all documents and records pertaining to the determination of the Grant amount or to any settlement, litigation, negotiation, or other efforts taken to recover such funds. All settlements or other final positions of the Recipient, in court or otherwise, involving the recovery of such Grant amount shall be approved in advance by the Government. 11. The Government is subject to the Freedom of Information Act ( FOIA ). The Recipient should therefore be aware that all applications and related materials submitted by the Recipient B-2

15 related to this agreement will become agency records and thus are subject to FOIA and to public release through individual FOIA requests. 12. The Government shall not be responsible or liable for any damage to property or any injury to persons that may arise from, or be incident to, performance or compliance with this agreement. 13. The Government encourages the Recipient and the State Department of Transportation ( State DOT ) acting as the limited agent on behalf of the Recipient (if applicable), to adopt and enforce workplace safety policies to decrease crashes caused by distracted drivers including policies that bar text messaging while driving company-owned or rented vehicles, or government-owned, leased, or rented vehicles or privately-owned vehicles when on official government business or when performing any work for or on behalf of the Government. See Executive Order Federal Leadership on Reducing Text Messaging While Driving, Oct. 1, 2009 (available at and DOT Order Text Messaging While Driving, Dec. 30, 2009, as implemented by Financial Assistance Policy Letter (No. FAP , Feb. 2, 2010, available at This includes, but is not limited to, the Recipient and the State Department of Transportation acting as the limited agent on behalf of the Recipient: a) considering new rules and programs or re-evaluating existing programs to prohibit text messaging while driving; b) conducting education, awareness, and other outreach for employees about the safety risks associated with texting while driving; and c) encouraging voluntary compliance with the agency s text messaging policy while off duty. The Recipient is encouraged to insert the substance of this clause in all assistance awards. Where a Recipient, and the State DOT if acting as a limited agent for the Recipient, is located within a State that already has enacted legislation regarding texting while driving, that State s law controls and the requirements of this paragraph will not apply to or be a part of this agreement. 14. The Recipient agrees to expend all funds administered by or through a State DOT in compliance with the requirements set out at 49 C.F.R. Part 26 for the Participation by Disadvantaged Business Enterprises in Department of Transportation Financial Assistance Programs. 15. The Recipient agrees to expend all funds administered by a direct local recipient in compliance with the requirements set out at 2 C.F.R for Contracting with small and minority businesses, women s business enterprises, and labor surplus area firms. B-3

16 EXHIBIT C APPLICABLE FEDERAL LAWS AND REGULATIONS By entering into the agreement for a FY 2016 TIGER Discretionary Grant, the Recipient assures and certifies, with respect to this Grant, that it will comply with all applicable Federal laws, regulations, executive orders, policies, guidelines, and requirements as they relate to the application, acceptance, and use of Federal funds for this Project. Performance under this agreement shall be governed by and in compliance with the following requirements, as applicable, to the type of organization of the Recipient and any applicable sub-recipients. The applicable provisions to the agreement include, but are not limited to, the following: General Federal Legislation a. Davis-Bacon Act - 40 U.S.C. 3141, et seq. b. Federal Fair Labor Standards Act - 29 U.S.C. 201, et seq. c. Hatch Act - 5 U.S.C. 1501, et seq. d. Uniform Relocation Assistance and Real Property Acquisition Policies Act of U.S.C. 4601, et seq. e. National Historic Preservation Act of U.S.C f. Archeological and Historic Preservation Act of U.S.C , et seq. g. Native American Graves Protection and Repatriation Act - 25 U.S.C. 3001, et seq. h. Clean Air Act 42 U.S.C. 7401, et. seq. i. Clean Water Act - 33 U.S.C. 1251, et seq. j. Endangered Species Act 16 U.S.C et seq. k. Coastal Zone Management Act 16 U.S.C et seq. l. Flood Disaster Protection Act of U.S.C et seq. m. Age Discrimination Act of U.S.C. 6101, et seq. n. American Indian Religious Freedom Act, 42 U.S.C o. Drug Abuse Office and Treatment Act of 1972, as amended, 21 U.S.C. 1101, et seq. p. The Comprehensive Alcohol Abuse and Alcoholism Prevention, Treatment and Rehabilitation Act of 1970, P.L , as amended - 42 U.S.C. 4541, et seq. q. Sections 523 and 527 of the Public Health Service Act of 1912, as amended, 42 U.S.C. 290dd through 290dd-2 r. Architectural Barriers Act of U.S.C. 4151, et seq. s. Power Plant and Industrial Fuel Use Act of 1978, P.L Section U.S.C t. Contract Work Hours and Safety Standards Act - 40 U.S.C. 3701, et seq. u. Copeland Anti-kickback Act, as amended - 18 U.S.C. 874 and 40 U.S.C v. National Environmental Policy Act of U.S.C. 4321, et seq. w. Wild and Scenic Rivers Act 16 U.S.C. 1271, et seq. x. Single Audit Act of U.S.C. 7501, et seq. y. Americans with Disabilities Act of U.S.C , et seq. z. Title IX of the Education Amendments of 1972, as amended - 20 U.S.C through 1683, and 1685 through 1687 aa. Section 504 of the Rehabilitation Act of 1973, as amended - 29 U.S.C. 794 bb. Title VI of the Civil Rights Act of U.S.C. 2000d et seq. cc. Title IX of the Federal Property and Administrative Services Act of U.S.C , et seq. C-1

17 dd. Limitation on Use of Appropriated Funds to Influence Certain Federal Contracting and Financial Transactions 31 U.S.C ee. Freedom of Information Act - 5 U.S.C. 552, as amended ff. Magnuson-Stevens Fishery Conservation and Management Act 16 U.S.C et seq. gg. Farmland Protection Policy Act of U.S.C et seq. hh. Noise Control Act of U.S.C. 4901, et seq. ii. Fish and Wildlife Coordination Act of U.S.C. 661 et seq. jj. Section 9 of the Rivers and Harbors Act and the General Bridge Act of U.S.C. 401 and 525 kk. Section 4(f) of the Department of Transportation Act of 1966, 49 U.S.C. 303 and 23 U.S.C. 138 ll. Comprehensive Environmental Response, Compensation, and Liability Act of 1980 (CERCLA) 42 U.S.C et seq. mm.safe Drinking Water Act U.S.C. 300f et seq. nn. The Wilderness Act U.S.C et seq. oo. Migratory Bird Treaty Act 16 U.S.C. 703 et seq. pp. The Federal Funding Transparency and Accountability Act of 2006, as amended (Pub. L , as amended by section 6202 of Public Law ) qq. Cargo Preference Act of U.S.C rr. Buy American Act 41 U.S.C Executive Orders a. Executive Order Equal Employment Opportunity b. Executive Order Protection of Wetlands c. Executive Order Floodplain Management d. Executive Order Intergovernmental Review of Federal Programs e. Executive Order Debarment and Suspension f. Executive Order Federal Actions to Address Environmental Justice in Minority Populations and Low-Income Populations g. Executive Order Improving Access to Services for Persons With Limited English Proficiency General Federal Regulations a. Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal Awards 2 C.F.R. Parts 200, 1201 b. Non-procurement Suspension and Debarment 2 C.F.R. Parts 180, 1200 c. Investigative and Enforcement Procedures - 14 C.F.R. Part 13 d. Procedures for predetermination of wage rates - 29 C.F.R. Part 1 e. Contractors and subcontractors on public building or public work financed in whole or part by loans or grants from the United States - 29 C.F.R. Part 3 f. Labor standards provisions applicable to contracts governing federally financed and assisted construction (also labor standards provisions applicable to non-construction contracts subject to the Contract Work Hours and Safety Standards Act) - 29 C.F.R. Part 5 g. Office of Federal Contract Compliance Programs, Equal Employment Opportunity, C-2

18 Department of Labor (Federal and federally assisted contracting requirements) - 41 C.F.R. Parts 60, et seq. h. Contractor Qualifications - 48 C.F.R. Part 9 i. New Restrictions on Lobbying 49 C.F.R. Part 20 j. Nondiscrimination in Federally Assisted Programs of the Department of Transportation Effectuation of Title VI of the Civil Rights Act of C.F.R. Part 21 k. Uniform relocation assistance and real property acquisition for Federal and Federally assisted programs - 49 C.F.R. Part 24 l. Nondiscrimination on the Basis of Sex in Education Programs or Activities Receiving Federal Financial Assistance - 49 C.F.R. Part 25 m. Nondiscrimination on the Basis of Handicap in Programs and Activities Receiving or Benefiting from Federal Financial Assistance - 49 C.F.R. Part 27 n. DOT s oversight of DOJ s ADA regulations for non-transit programs, including the ADA Accessibility Guidelines, required by the DOJ regulations at 28 C.F.R. Part 35 o. Enforcement of Nondiscrimination on the Basis of Handicap in Programs or Activities Conducted by the Department of Transportation 49 C.F.R. Part 28 p. Denial of public works contracts to suppliers of goods and services of countries that deny procurement market access to U.S. contractors - 49 C.F.R. Part 30 q. Governmentwide Requirements for Drug-Free Workplace (Financial Assistance) 49 C.F.R. Part 32 r. DOT's implementing ADA regulations for transit, including the ADA Accessibility Guidelines in Part 37, Appendix A - 49 C.F.R. Parts 37 and 38 s. Procedures for Transportation Workplace Drug and Alcohol Testing Programs 49 C.F.R. Part 40 t. Participation by Disadvantaged Business Enterprises in Department of Transportation Financial Assistance Programs 49 C.F.R. Part 26 u. Preference for Privately Owned Commercial U.S. Flag Vessels 46 C.F.R. Part 381 Specific assurances required to be included in the FY 2016 TIGER Discretionary Grant agreement by any of the above laws, regulations, or circulars are hereby incorporated by reference into the agreement. C-3

19 EXHIBIT D GRANT ASSURANCES D-1

20 EXHIBIT D 1 TITLE VI ASSURANCE (Implementing Title VI of the Civil Rights Act of 1964, as amended) ASSURANCE CONCERNING NONDISCRIMINATION IN FEDERALLY-ASSISTED PROGRAMS AND ACTIVITIES RECEIVING OR BENEFITING FROM FEDERAL FINANCIAL ASSISTANCE (Implementing the Rehabilitation Act of 1973, as amended, and the Americans With Disabilities Act, as amended) 49 C.F.R. Parts 21, 25, 27, 37 and 38 The United States Department of Transportation (USDOT) Standard Title VI/Non-Discrimination Assurances DOT Order No A By signing and submitting the Technical Application and by entering into the agreement under the FY 2016 TIGER Discretionary Grants program, the Recipient HEREBY AGREES THAT, as a condition to receiving any Federal financial assistance from the U.S. Department of Transportation (DOT), through the Maritime Administration (MARAD), it is subject to and will comply with the following: Statutory/Regulatory Authorities Title VI of the Civil Rights Act of 1964 (42 U.S.C. 2000d et seq., 78 stat. 252), (prohibits discrimination on the basis of race, color, national origin); 49 C.F.R. Part 21 (entitled Non-discrimination In Federally-Assisted Programs Of The Department Of Transportation Effectuation Of Title VI Of The Civil Rights Act Of 1964); 28 C.F.R. section 50.3 (U.S. Department of Justice Guidelines for Enforcement of Title VI of the Civil Rights Act of 1964); The preceding statutory and regulatory cites hereinafter are referred to as the Acts and Regulations, respectively. General Assurances In accordance with the Acts, the Regulations, and other pertinent directives, circulars, policy, memoranda, and/or guidance, the Recipient hereby gives assurance that it will promptly take any measures necessary to ensure that: D-1

21 No person in the United States shall, on the grounds of race, color, or national origin, be excluded from participation in, be denied the benefits of, or be otherwise subjected to discrimination under any program or activity, for which the Recipient receives Federal financial assistance from DOT, including MARAD. The Civil Rights Restoration Act of 1987 clarified the original intent of Congress, with respect to Title VI and other Non-discrimination requirements (The Age Discrimination Act of 1975, and Section 504 of the Rehabilitation Act of 1973), by restoring the broad, institutional-wide scope and coverage of these non-discrimination statutes and requirements to include all programs and activities of the Recipient, so long as any portion of the program is Federally assisted. Specific Assurances More specifically, and without limiting the above general Assurance, the Recipient agrees with and gives the following Assurances with respect to its Federally assisted FY 2016 TIGER Discretionary Grants program: 1. The Recipient agrees that each activity, facility, or program, as defined in (b) and (e) of 49 C.F.R. 21 will be (with regard to an activity ) facilitated, or will be (with regard to a facility ) operated, or will be (with regard to a program ) conducted in compliance with all requirements imposed by, or pursuant to the Acts and the Regulations. 2. The Recipient will insert the following notification in all solicitations for bids, Requests For Proposals for work, or material subject to the Acts and the Regulations made in connection with the FY 2016 TIGER Discretionary Grant and, in adapted form, in all proposals for negotiated agreements regardless of funding source: The Recipient, in accordance with the provisions of Title VI of the Civil Rights Act of 1964 (78 Stat. 252, 42 U.S.C. 2000d to 2000d-4) and the Regulations, hereby notifies all bidders that it will affirmatively ensure that for any contract entered into pursuant to this advertisement, disadvantaged business enterprises will be afforded full and fair opportunity to submit bids in response to this invitation and will not be discriminated against on the grounds of race, color, or national origin in consideration for an award. 3. The Recipient will insert the clauses of Appendix A and E of this Assurance in every contract or agreement subject to the Acts and the Regulations. 4. The Recipient will insert the clauses of Appendix B of this Assurance, as a covenant running with the land, in any deed from the United States effecting or recording a transfer of real property, structures, use, or improvements thereon or interest therein to a Recipient. D-2

22 5. That where the Recipient receives Federal financial assistance to construct a facility, or part of a facility, the Assurance will extend to the entire facility and facilities operated in connection therewith. 6. That where the Recipient receives Federal financial assistance in the form, or for the acquisition of real property or an interest in real property, the Assurance will extend to rights to space on, over, or under such property. 7. That the Recipient will include the clauses set forth in Appendix C and Appendix D of this Assurance, as a covenant running with the land, in any future deeds, leases, licenses, permits, or similar instruments entered into by the Recipient with other parties: a. for the subsequent transfer of real property acquired or improved under the applicable activity, project, or program; and b. for the construction or use of, or access to, space on, over, or under real property acquired or improved under the applicable activity, project, or program. 8. That this Assurance obligates the Recipient for the period during which Federal financial assistance is extended to the program, except where the Federal financial assistance is to provide, or is in the form of, personal property, or real property, or interest therein, or structures or improvements thereon, in which case the Assurance obligates the Recipient, or any transferee for the longer of the following periods: a. the period during which the property is used for a purpose for which the Federal financial assistance is extended, or for another purpose involving the provision of similar services or benefits; or b. the period during which the Recipient retains ownership or possession of the property. 9. The Recipient will provide for such methods of administration for the program as are found by the Secretary of Transportation or the official to whom he/she delegates specific authority to give reasonable guarantee that it, other recipients, sub-recipients, contractors, subcontractors, consultants, transferees, successors in interest, and other participants of Federal financial assistance under such program will comply with all requirements imposed or pursuant to the Acts, the Regulations, and this Assurance. 10. The Recipient agrees that the United States has a right to seek judicial enforcement with regard to any matter arising under the Acts, the Regulations, and this Assurance. By signing this ASSURANCE, the Recipient also agrees to comply (and require any subrecipients, sub-recipients, contractors, successors, transferees, and/or assignees to comply) with all applicable provisions governing MARAD s access to records, accounts, documents, information, facilities, and staff. You also recognize that you must comply with any program or compliance reviews, and/or complaint investigations conducted by MARAD. You must keep records, reports, and submit the material for review upon request to MARAD, or its designee in a timely, complete, and accurate way. Additionally, you must comply with all other reporting, D-3

23 data collection, and evaluation requirements, as prescribed by law or detailed in program guidance. The Recipient gives this ASSURANCE in consideration of and for obtaining any Federal grants, loans, contracts, agreements, property, and/or discounts, or other Federal-aid and Federal financial assistance extended after the date hereof to the recipients by the U.S. Department of Transportation under the FY 2016 TIGER Discretionary Grants Program. This ASSURANCE is binding on the Recipient, other recipients, sub-recipients, sub-recipients, contractors, subcontractors and their subcontractors, transferees, successors in interest, and any other participants in the FY 2016 TIGER Discretionary Grants Program. D-4

24 APPENDIX A During the performance of this contract, the contractor, for itself, its assignees, and successors in interest (hereinafter referred to as the contractor ) agrees as follows: 1. Compliance with Regulations: The contractor (hereinafter includes consultants) will comply with the Acts and the Regulations relative to Non-discrimination in Federallyassisted programs of the U.S. Department of Transportation, Maritime Administration (MARAD), as they may be amended from time to time, which are herein incorporated by reference and made a part of this contract. 2. Non-discrimination: The contractor, with regard to the work performed by it during the contract, will not discriminate on the grounds of race, color, or national origin in the selection and retention of subcontractors, including procurements of materials and leases of equipment. The contractor will not participate directly or indirectly in the discrimination prohibited by the Acts and the Regulations, including employment practices when the contract covers any activity, project, or program set forth in Appendix B of 49 C.F.R. Part Solicitations for Subcontracts, Including Procurements of Materials and Equipment: In all solicitations, either by competitive bidding, or negotiation made by the contractor for work to be performed under a subcontract, including procurements of materials, or leases of equipment, each potential subcontractor or supplier will be notified by the contractor of the contractor s obligations under this contract and the Acts and the Regulations relative to Non-discrimination on the grounds of race, color, or national origin. 4. Information and Reports: The contractor will provide all information and reports required by the Acts, the Regulations, and directives issued pursuant thereto and will permit access to its books, records, accounts, other sources of information, and its facilities as may be determined by the Recipient or MARAD to be pertinent to ascertain compliance with such Acts, Regulations, and instructions. Where any information required of a contractor is in the exclusive possession of another who fails or refuses to furnish the information, the contractor will so certify to the Recipient or MARAD, as appropriate, and will set forth what efforts it has made to obtain the information. 5. Sanctions for Noncompliance: In the event of a contractor s noncompliance with the Non-discrimination provisions of this contract, the Recipient will impose such contract sanctions as it or MARAD may determine to be appropriate, including, but not limited to: a. withholding payments to the contractor under the contract until the contractor complies; and/or b. cancelling, terminating, or suspending a contract, in whole or in part. 6. Incorporation of Provisions: The contractor will include the provisions of paragraphs one through six in every subcontract, including procurements of materials and leases of D-5