HomeMy WebLinkAbout2019-875-E AMS - NC State University electric vehicle charger replacement grant
P.O. Box 8181 * 200 S. Cameron Street, * Hillsborough, North Carolina 27278
Telephone: 919.732.8181
Fax: 919-644-3001
November 5, 2019
To: Bonnie Hammersley
From: Brennan Bouma
CC: Steven Arndt, Theo Letman
Dear Ms. Hammersley:
On June 10, 2018, Orange County was approved to receive $147,247.00 in grant funding to offset the
costs of: 1.) A solar-powered electric vehicle charger with battery backup; 2.) Replacing the County’s 12
remaining original electric vehicle charging stations; and 3.) Upgrading a two year lease to an electric
vehicle for the Orange County CarShare program. The Board of Orange County Commissioners
approved our acceptance of the award on September 3rd and the funding agreement was sent to us
from the funder on October 28th. This funding agreement is attached for your review and approval.
This grant comes from NC State University’s Clean Fuel Advanced Technology program, which is
administered by the North Carolina Clean Energy Technology Center and is sponsored by the NC
Department of Transportation with funding from the federal Congestion Mitigation Air Quality program.
Orange County will provide 20%, or $36,812, in cost share. The base costs for the 2-year vehicle lease
will come from Orange County Transportation Services vehicle procurement funds.
The attached funding agreement was reviewed by County Attorney John Roberts, and was approved to
be routed for your review and signature.
Best Regards:
Brennan Bouma
Sustainability Coordinator
DocuSign Envelope ID: 78958EB7-5B02-4CA0-8EAF-F3E892A7B33B
DocuSign Envelope ID:78958EB7-5B02-4CA0-8EAF-F3E892A7B33B
I[1 New
NC State University Cost Reimbursement Modification No.
Subaward Notice (SN) Number: 2018-2835-16
NC STATE UNIVERSITY SUBRECIPIENT
1. NC STATE UNIVERSITY 2, SUBRECIPIENT NAME
Sponsored Programs County of Orange
2701 Sullivan Drive,Admin. Services III Bldg.,
Suite 240 Asset Management Services
Campus Box 7514 200 Cameron Street , P.O. Box 8181
Raleigh, NC 27695-7514 Hillsborough, NC 27278
(See Page 2 for Contact Information.) See Page 2 for Contact Information)
3. Proposal/Project Title: 4. Source of Funding:
Clean Fuel Advanced Technology(CFAT)Outreach, Direct Sponsor: NC DOT
Awareness,and Subawards Program Federal Flow through Agency: FHWA
Prime Agreement Number: C-5601 EB CMAQ-OOSS(020)
CFDA Number: 20.205
CFDA Title: Highway Planning and Construction
(See Block 15,Appendix A)
(see Block 16,Appendix C)
5. Description/Purpose of This Action: To issue a new subaward.
6. Special Terms and Conditions: 7. Funding Information I Period of Performance:
• Technical Reporting: Refer to Appendix A, Statement a. Amount Funded This Action: $147,247
of Work, for details b. Amount Prior Funding: $0
• Final Report Due: Refer to Appendix A, Statement of
Work,for details c. Total Sponsored Funds To Date: $147,247
• Invoicing: Refer to Appendix A, Statement of Work,
for details d. Cost-sharing Added with This Action: $36,812
• Final Invoice Due: Refer to Appendix A, Statement of
Work,for details e. Total Cost Sharing Required To Date: $36,812
f. Start Date: 11/1/2019
® Special T&C Continued in Block 17, page 3 g. End Date: 1/31/2022
Each signatory below certifies that they are authorized to execute legally binding commitments on behalf of their named party.
For: NC STATE UNIVERSITY DocuSignedby! or: SUBRECIPIENT
108F5BG01EAC684B4_ OocuSigned by!
Signature: t111 �cx_
Signature: �bN-v-IG �Au�twtt.Y'i�
0637094e755E477.
Name Wendy J Moore,Assistant Direetor
NC State University Name Bonnie B. Hammersl ey
&Title: Sponsored Progr ms &Title: Orange County Manager
Date: fD n Z0 Date: 11/26/2019
TINIE1N: 56-6000-756 TINJEIN: 56-6000327
DUNS: 042092122 DUNS: 091575191
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DocuSign Envelope ID:78958EB7-5B02-4CA0-8EAF-F3E892A7B33B
F X I NeW
NC State University Cost Reimbursement Modification No.
Subaward Notice(SN) Number: 2018-2835-16
(Subaward Notice Continued) Contact Information
The parties agree that pen and ink entries to correct or update the information in Blocks 10-15 are not"changes"requiring
initials.
NC STATE UNIVERSITY SU13RECIPIENT
8. Principal investigator: 9. Principal Investigator:
Name: Heather Brutx Name: Brennan Bouma
Phone: 919-515-0277 Phone: 919-245-2626
Fax: Fax:
Email: hmbrutz@ncsu.edu Email: bbouma@orangecountync.gov
10.Negotiator 1 Administrator: 11.Negotiator I Administrator:
Name: Anne Lesky Name: Brennan Bouma
Phone: 919-515-2444 Phone: 919-245-2626
Fax: 919-515-7721 Fax:
Email:anne_lesky@ncsu.edu (aft. sps@ncsu.edu) Email: bbouma@orangecountync.gov
Address: Address:
Refer to address in block#1 Refer to address in block#2
12.Financial POC: 13.Alternate POC:
Name: Patrick Hayes Name: Alan Dorman
Phone:919-515-7009 Phone: 919-245-2627
Fax: Fax:
Email: phayes@ncsu.edu Email:adorman@orangecountync.gov
Address:
NC State University
College of Engineering
21 Current drive, 115-D Page Hall, CB 7901
Raleigh, NC 27695-7901
14. Send invoices To: 15.Reserved.
Name: Heather Brutz
Address:
NC State University
NC Clean Energy Technology Center
Campus Box 7409
Raleigh, NC 27695
Phone: 919-515-0277
Email: hmbrutz@ncsu.edu
16.Incorporation:The documents checked are incorporated into this subaward as noted:
® Appendix A: SUBRECIPIENT's Proposal and or Statement of Work,including the approved budget, attached.
® Appendix B: NC State University Cost Reimbursement Subaward Terms and Conditions,05-2019,attached
® Appendix C: Funding Source Prime Agreement, attached.
® Appendix D: Useful Life Table, 41 CFR Section 102-34.270, attached.
® Appendix E: 2 CFR 200-310 through 200-316, Property Standards, attached.
® Appendix F: 2 CFR 200.317 through 200.326, Procurement Standards,attached.
® Appendix G: Standard Special Provision, FHWA-1273, attached.
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DocuSign Envelope ID:78958EB7-5B02-4CA0-8EAF-F3E892A7B33B
X[X I New
NC State University Cost Reimbursement LA Modification No.
Subaward Notice SN Number: 2018-2835-16
17.Special Terms&Conditions from#5, may be continued here:
*The Subrecipient shall comply with all applicable Federal and State policies and procedures, found in the Subaward Agreement
and the Prime Funding Source Agreement and in the NC DOT's guidelines and procedures, including the Local Programs
Management Handbook.
*Subrecipient shall comply with Contract Provisions 2 CFR 200,Appendix I1.
*Subrecipient shall comply with the requirements of the law(23 USC 313)and the regulation(235 CFR 635.410)Buy America
unless a waiver is obtained from the FHWA.
*Subrecipient shall comply with the Contract Provisions related to Title,Use, Management, and Disposal of Vehicles and/or
Equipment in Article 5 of the Funding Source Prime Agreement,Appendix C.
*Subrecipient shall comply with all other Contract Provisions noted in Article 9 of the Funding Source Prime Agreement.
*Subrecipient will use project property,vehicles and equipment,continuously and appropriately throughout the useful life of the
property. Useful Life guidelines are found in Appendix D. Upon the end of the period of useful life,the Subrecipient may dispose
of project property following federal regulations.
*The Subrecipient agrees to use Project Property for appropriate purposes and in accordance with the Property Standards denoted
in 2 CFR 200.3 10 through 200.316, Appendix E. The Subrecipient shall maintain all project equipment at a high level of
cleanliness,safety, and mechanical soundness in accordance with the minimum maintenance requirements recommended by the
manufacturer.
*The Certificate of Title to all vehicles purchased shall be in the name of the Subrecipient.
*When useful life of vehicle or equipment are met,or when the equipment or vehicles are no longer needed for the program and
there is no other appropriate federal program to use the property,then the entity may dispose of the property. For property with a
fair market value of more than$5,000,the NC DOT shall be entitled to eighty(80%)of the proceeds from a sale, less a handling
fee of$500 or 10%of the proceeds, whichever is less.
*A I I projects implemented by the Subrecipient must comply with requirements of the National Environmental Policy Act(NEPA)
and other appropriate environmental laws and regulations. All documentation must be submitted to NC DOT for review and
approval. Most projects under this agreement will qualify as a Type I Non-Ground Disturbing Categorical Exclusion and NEPA
requirements may be met by the completion of a checklist.
*Failure on the part of the Subrecipient to comply with the provisions of this agreement will be grounds for the Recipient to
terminate this agreement immediately upon written notice, instead of providing the 30 days advance notice per Article 12 of the
NC State University Cost Reimbursement Subaward Terms and Conditions, Appendix B. Subrecipient agrees to return any
reimbursement of funds already received.
*Subrecipient shall give written notice to NC State University of its insolvency or intent to file a voluntary petition in bankruptcy,
or enter receivership proceedings,or make an assignment for the benefit of creditors at least thirty(30)days prior to the Filing of
the petition. Following written notice from NC State University,this Subaward will terminate upon the occurrence of the
following events:
(1) InsoIvency of Subrecipient;
(2) Subrecipient's filing of a voluntary petition in bankruptcy without notice to NC State University;or
(3) Initiation of involuntary bankruptcy proceedings against Subrecipient.
In the event of such termination,Subrecipient shall be entitled to reimbursement for allowable costs incurred prior to
receipt of notice of termination, and shall return any unused funds. If property has been purchased,Subrecipient shall
transfer title of the property to NC DOT.
*The total amount spent cannot exceed the total amount funded.
*Proper supporting documentation shall accompany each invoice.Submission of each invoice by the Subrecipient is a certification
that Subrecipient has adhered to all applicable state and federal laws and regulations in this agreement. Work cannot begin until
the final authorization letter from the Federal Highway Administration has been received by the NC Clean Energy Technology
Center. Initial invoice must be received before June 30, 2020 and there must be at least one invoice every twelve month period
following that in order for the contract to remain active,until the final invoice is turned in. Failure to provide invoices along this
timeline could result in the Federal Highway Administration de-obligating the funds. This grant is contingent on federal
authorization and obligation of funds and in the event of federal de-obligation of funds,NC Clean Energy Technology Center/NC
State University will notify in writing the subawardee and the contract will be cancelled.
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DocuSign Envelope ID:78958EB7-5B02-4CA0-8EAF-F3E892A7B33B
APPENDIX
GRANGE
COUNTY
N01UH CAROLINA
October 15, 2019
From:
Brennan Bouma
Sustainability Coordinator
Orange County Asset Management Services
P.O. Box 8181
Hillsborough, NC 27278
To:
NC Clean Energy Technology Center
Attn: Rick Sapienza
resapienza@ncsu.edu
RE: Application for Clean Fuel Advanced Technology Project Grant, Round 2, 2019
Dear Mr. Sapienza,
Orange County is committed to reducing the carbon emissions of its operations and leading the County in
overall emissions reduction and the transition to renewable energy. In April of 2017, the County passed a
resolution upholding the Paris Climate Agreement to reduce greenhouse gas emissions between 26 and 28
percent by 2025 from 2005 levels.The electrification of Orange County's public and private vehicles is also a key
step in reaching the County's goal of moving to 100% renewable energy by 2050. This resolution was passed in
September of 2017. Copies of these resolutions are available upon request. An update to the County's
Greenhouse Gas Emissions Inventory is underway and will lead to the county's first emissions reduction planning
process starting in the fall of 2018.Vehicle electrification will be an important strategy elaborated within this
plan, and having this vehicle as a pilot will help add concrete data to the broad-ranging effort. This letter and the
proceeding documents comprise an application for a Clean Fuel Advanced Technology Project which would
provide critical funding to accelerate Orange County towards meeting these emissions reduction goals.
As described in the application, Orange County NC will provide 20%or$36,812 in cost share for this 2019 CFAT
grant project funding award of$147,247.This cost share is contributed toward an overall project total of
$184,059 that will be used to reduce the regulated vehicle emissions of County fleet vehicles and those of
P.O. Box 8181, Hillsborough, North Carolina 27278
Telephone:Area Code 919 245-2625
E-mail: bbouma@orangecountync.gov
DocuSign Envelope ID:78958EB7-5B02-4CA0-8EAF-F3E892A7B33B
County residents to the greatest extent and at the minimum cost.This includes defraying the costs of upgrading
a vehicle lease to enable Orange County to acquire its first plug-in electric passenger vehicle. CFAT funds will
also dramatically accelerate Orange County's replacement of 12 failing, increasingly incompatible,and
irreparable EATON electric vehicle charging stations with 11 updated single-plug stations and 1 dual-plug
station,This will reinforce Orange County's promotion of electric vehicles by enabling newer electric vehicles to
charge which are blocked by firmware incompatibilities,and renewing faith in the reliability of Orange County's
public charging network. It will also expand upon the network to allow for the County's first plug-in passenger
vehicle to charge so the County can continue to lead by example. Finally,these grant funds will allow Orange
County to purchase a standalone solar canopy EV charging station which will allow Orange County Public
Transportation to operate 3 PHEV Chrysler Pacifica minivans.This will fully-charge the batteries of those vehicles
and enable them to travel a total of 100 miles per day on fully renewable solar energy without connecting to the
grid.This will be a critical demonstration project as the County implements its commitment to transition to
100%renewable energy by 2050.
Cost share funding will be provided through the County's Energy Bank funds,state tax district funds for transit,
or other applicable non-federal funds.
Orange County is committed to using the Chevy Volt throughout its 2-year lease term and is committed to using
all EVSE for a minimum of 5 years. Orange County will provide all usage data for the minimum three year grant
reporting period. Orange County accepts the responsibility and will meet all relevant state and federal
permitting and purchasing requirements including "Buy America" per Sections 1.3 and 1.4 of the Request for
Proposals.
5incerely,
Z�7��
Brennan Bouma
Orange County Sustainability Coordinator
DocuSign Envelope ID:78958EB7-5B02-4CA0-8EAF-F3E892A7B33B
2019 ROUNNA 3 2
Clean Fuel Advanced Technology (CFAT)
Statement of Work
Organization Name: Orange County
Project Coordinator(first and last name): Brennan Bouma
Mailing Address: Orange County, Asset Management Services, P.O. Box 8181
City: Hillsborough
County: Orange
Zip Code: 27278
Email: bbouma@orangecountync.gov
Telephone: 919-245-2626
Cell Phone: 919-406-4909
Fax: 919-640-1873
Project Locations: Various locations in Chapel Hill and Hillsborough, NC.
Alternate Contact Person (first and last name): Alan Dorman
Alternate Contact Person (telephone). 919-245-2627
Alternate Contact Person (email): adorman@orangecountync.gov
Applicant Type (public or private): Public
Amount requested ($): $147,247
Matching funds ($)--minimum 20% of total project cost: $36,812
Total Project Cost($) (includes both funds requested and matching funds): $184,059
Percent matching funds of total project cost: 20%
Applicable Project Types and Specifics
1) Alternative Fuel Vehicle (AFV) Leases
Vehicle type (make, model, year): Chevy Volt 2019
Dedicated or Bi-Fuel: The Chevy Volt is a bi-fuel plug-in hybrid electric vehicle(PHEV)with a gasoline-
powered range-extending motor.
Number of vehicles: 1
Estimated or projected per-vehicle annual mileage: 6,000 miles per year
Estimated or projected % miles using alternative fuel (bi-fuel or PHEV applications): 80%
Conventional fuel type (Diesel or Gasoline): Gasoline
Average conventional fuel economy (MPG): 106 mpge(combined)
Average vehicle speed (for Medium and Heavy Duty): nla
Average vehicle road weight(for Medium and Heavy Duty): nla
Alternative fuel station(s)where vehicle(s)will refuel or recharge(street address):
106 Nash and Kollock St., Hillsborough, NC 27278
5) Electric Vehicle Supply Equipment(EVSE) Level 2 and DC Fast Chargers:
Charger type (Level 2 OR PC Fast): Level 2
DocuSign Envelope ID:78958EB7-5B02-4CA0-8EAF-F3E892A7B33B
2019 Clean Fuel Advanced Technology Proposal Application
Number and Location of chargers (street address and city):
Street Zip
Location Name Address City Code Project Proposed
2551
Homestead Replace Irreparable
Robert and Pearl Seymour Center Rd. Chapel Hill 27516 EVSE - 2 Stations
Durham Technical Community
College, Orange County Campus- 525 College Replace Irreparable
Park and Ride Lot Park Dr. Hillsborough 27278 EVSE -6 Stations
106 Nash and Replace Irreparable
Eno River Parking Deck Kollock St. Hillsborou h 27278 EVSE -4 Stations
600 NC
Orange County Public Highway 86 Install new standalone
Transportation North Hillsborough 27278 solar EVSE
Publicly accessible (Yes/No, and list hours): Yes. The standalone solar EVSE witl be available to the
public from 8:30 am to 4:30 pm. This will ensure that the on-demand transit vehicles which will occupy
the chargers overnight will have had time to leave for the day and will enable them to recharge at the end
of the day. All other EVSE will be publicly available 24 hours per day. One of the 12 new publicly-
available EVSE plugs will also serve the adjacent reserved parking space for the County's new PHEV
CarShare fleet vehicle.
Project type(replacement of stranded asset OR new installation): This project will replace 12 failing,
increasingly incompatible, and irreparable EATON charging stations all of which are considered to be
stranded assets. Since EATON decided in 2015 to discontinue supporting their EV charging stations,
Orange County was left without the ability to repair them as they failed. Of the original 16 installed on
2011, 7 stations have already failed and only 4 have been replaced. According to an EATON
representative who worked with us in 2016 in an unsuccessful attempt to upgrade a station's firmware,
these EATON commercial chargers have an expected life of 5 years. That means our remaining 9
functional stations are already 3 years past their life expectancy. Given that those stations cannot have
their firmware upgraded, they are known to be incompatible with the 2018 Nissan Leaf and potentially
other EV models. For these reasons, these charging stations are considered to be stranded assets.
This project will also install a new standalone solar EVSE with 3 vehicle charging plugs.
Site preparation status (previously completed OR new with no ground disturbing activity): No
ground disturbing activity will be required in the replacement of existing stranded asset EVSE or the
installation of the standalone solar EVSE. Sites for the existing stranded asset EVSE were prepared
previously and the standalone solar EVSE will rest on top of the ground on an anchor pad.
In case of replacement, what was previous project funding source? Original funding for the 12
EATON EVSE to be replaced in this project was through the Carolina Blue Skies and Green Jobs grant
program, using funding from the US Department of Energy's allocation of the American Recovery and
Reinvestment Act.
Projected kWh to be dispensed annually through these EVSE charging stations:
When functional, Orange County charging stations are used approximately 250-500 times per year and
provide an average of 3,873 kWh each. Orange County expects the 12 Clipper Creek EVSE that will
North Carolina Clean Energy Technology Center 2
DocuSign Envelope ID:78958EB7-5B02-4CA0-8EAF-F3E892A7B33B
2019 Clean Fuel Advanced Technology Proposal Application
replace the failing and irreparable EATON EVSE to dispense this amount as well, leading to an estimated
total of 46,476 kWh between them.
5,250 kWh are expected to be dispensed per year by the standalone solar EVSE based on the max solar
capacity for a 4.3kW solar array in this region of North Carolina. Usage of the station by fleet vehicles and
public visitors is expected to use its full capacity. This standalone solar EVSE will be equipped with a
battery that will be able to provide a minimum of 100 miles of all-solar charging per night. These miles will
be shared by 3 PHEV Chrysler Pacifica Minivans operated by Orange County Public Transportation in a
mobility-on-dernand capacity. Each of these vans has an all-electric range of 33 miles.
During the day the solar batteries will recharge before they are needed again by the transit vans, and
Orange County expects this additional capacity to be used by public visitors to the government facility.
Visitor EV charging needs for this #ocation are expected to be lower than other County EVSE locations
due to the lower number of County residents who are directly served by the nearby County Motor Pool
facility and Orange County Public Transportation Office. The additional capacity in the recharging solar
batteries should therefore be sufficient for these needs.
In total, all EVSE proposed in this project are expected to dispense 51,726 kWh annually with 11% (5,250
kWh) of that energy coming from renewable solar energy.
Statement of Work
Project Summary:
Orange County is proposing to complete a three-part project including:
1.) Upgrading a vehicle lease to a plug-in hybrid electric vehicle (PHEV) which will be available for
use by all Orange County staff through the CarShare program managed by Orange County Asset
Management Services, and;
2.) Renewing much of Orange County's public charging network by replacing 12 failing, increasingly
incompatible, and irreparable EATON electric vehicle supply equipment(EVSE, sometimes
referred to as "charging stations") with 12 updated single-plug EVSE, and;
3.) Acquiring a standalone solar EVSE that will fully charge 3 PHEV minivans operated by Orange
County Public Transportation to serve as ADA-accessible On-Demand Transit vehicles for urban
and rural residents. Given that these vehicles will be stationed in a sunny parking lot that is far
from an existing grid connection, and given that the County has committed to transitioning to
100% renewable energy-based operation by 2050, this charging station solution is ideal.
Given his familiarity with the CFAT program, as well as his direct management of the County's EVSE
network and CarShare program, the Orange County Sustainability Coordinator, Brennan Bouma, will
manage this project. Bouma will work with the Orange County Asset Management Services as well as
North Carolina Clean Energy Technology Center 3
DocuSign Envelope ID:78958EB7-5B02-4CA0-8EAF-F3E892A7B33B
2019 Clean Fuel Advanced Technology Proposal Application
Orange County Public Transportation to provide administrative support, tracking, and reporting on this
project throughout the reporting period (see Bouma's resume in Attachment 9).
Plan for Deliverables
Plan for Task#1 Acquisition 1 Installation of Equipment with Documentation of Work.
The steps to prepare grant-funded equipment and sites for each element of the project are listed below.
None of these elements require ground disturbance or concrete cutting:
• Lease Vehicle PHEV Upgrade:A 2-year lease of one 2019 Chevy Volt will be procured from an
approved vendor per Orange County's Procurement Manual (see Attachment 8). The incremental
cost determination detailed in the Budget (Attachment 2) is based on quotes received from
Enterprise showing the difference in monthly costs between a 2019 Chevy Volt (106 mpge*) and
a comparable 2019 Chevy Cruze (32 mpg*)over a two year lease. The Volt was selected due to
its suitability for long-range or short-range travel as well as the fact that its final assembly is in
U.& This ]eased vehicle will replace a 2001 Chevy Malibu (21 mpg*)which is currently part of the
County's CarShare shared vehicle program. The CarShare program is a telematics-enabled
distributed vehicle reservation program similar to ZipCar that is open to all Orange County
employees with a valid license. Given that most CarShare trips are well within the 53 mile all-
electric limit of the 2019 Volt's batteries, the Volt is expected to run on battery power 80%of the
time. Once a contract is in place, Orange County will inspect and take
delivery of the vehicle, add NC Smart Fleet labelling, and once it is cleared for use it will be
delivered to its parking space. In advance of its delivery, the County will mark its reserved parking
space with appropriate CarShare program signage (See Figure 3) by mounting to an existing
parking deck wail.
* MPG ratings listed here are from fueleconomy.gov
■ Irreparable EVSE Replacement: A final quote will be developed with a state contract vendor per
Orange County's Procurement Manual (see Attachment 8). Once a contract is in place, the
vendor will remove irreparable EATON charging stations and pedestals, reconfigure mounting
brackets, and install new pedestal-mounted EVSE. Once the new EVSE are commissioned,
Orange County will add NC Smart Fleet labelling and they will be placed into service. On average
during the last year the usage of the County's 2 networked EVSE was 3,873 kWh. Multiplying this
by the 12 EVSE to be replaced though this proposal gives an estimated 46,476 kWh of EV
charging. Maintenance and upkeep of these EVSE should be minimal. Their operation will be
monitored remotely by the Sustainability Coordinator and repairs will be completed as needed by
Asset Management Services,with warranty repairs covered by Clipper Creek.
• Standalone Solar EVSE: A due diligence search will be conducted to identify all vendors who
can supply standalone solar charging for 3 electric vehicles without requiring ground disturbance
or concrete cutting. Then a vendor will be selected either through a bid process or sole source
contracting process per Orange County's Procurement Manual (see Attachment 8). Once
approved and a contract is in place,the vendor will deliver, assemble, and commission the solar
canopy, battery pack and EVSE. This includes sending personnel to offload with a 15,0001b
capacity forklift, un-stow the pre-assembled unit and make it operational. Orange County will then
add NC Smart Fleet labelling and this standalone solar EVSE will be placed into service. Based
North Carolina Clean Energy Technology Center 4
DocuSign Envelope ID:78958EB7-5B02-4CA0-8EAF-F3E892A7B33B
2019 Clean Fuel Advanced Technology Proposal Application
on a solar site assessment conducted for this area by Envision Solar, a 4.3kW standalone solar
EVSE such as the one specified in their quote (see Attachment 6) could supply up to 5,250 kWh
per year. Based on the expected base usage of its 3 charging plugs by the three orange County
Public Transportation vehicles (100 miles per day) as well as the expected usage of the EVSE by
visitors to those government facilities, it is reasonable to expect that all of these kWh will be used.
Maintenance and upkeep of this equipment will be completed per manufacturer guidelines and as-
needed by Asset Management Services, with warranty repairs covered by the manufacturer(s).
For the EV ARCT"" standalone solar EVSE specified in the quote from Envision Solar (see
Attachment 6) the standard maintenance plan calls for Asset Management Services to:
a Visually inspect structure, enclosure exterior, array, EV charger and charger outlet for
damage(Monthly)
o Rinse and clear debris off solar array and structure (as needed — rain will naturally clean
the array)
• Install recommended local firmware update (6 months or as directed)
o Grease slew drives (1 —2 years or as needed) used for solar tracking.
Copies of paid invoices for all costs associated with project will be provided quarterly with quarterly
reports and reimbursement requests. Quarterly reports will include a brief description of what was
accomplished during acquisition and installation. A final cost share letter will be submitted with final
invoice as required.
Plan for Task#2: Usage tracking of project technology/fuel.
The Orange County Sustainability Coordinator will utilize the quarterly tracking form provided by
NCCETC to provide details of activities tied to the task of tracking of the EVSE usage and fuel use of the
PHEV lease vehicle during the project. For the first 24 months of the project actual usage data will be
reported and then usage estimates will be provided for the remaining 12 months.
Specific metrics to be reported as a minimum:
Lease Vehicle PHEV Upgrade:
Fuel usage and mileage data will be reported based on GoEnergies fuel card data used by all County
fleet vehicles.
Irreparable EVSE Replacement:
Total kWh dispensed and an estimate of electric miles will be reported. Number of charge sessions
will be reported as well if this data is collected by the metering installed.
Standalone Solar EVSE:
Total kWh dispensed and an estimate of electric miles will be reported. Number of charge sessions
will be reported as well if this data is collected by the metering installed.
Plan for Task#3: Public Awareness and Education.
Provide detail of activities tied to the task of raising public awareness and educating others during the
project. See complete application instructions in Section 5 of RFP.
Orange County will document all public awareness and education activities on quarterly reports submitted
North Carolina Clean Energy Technology Center 5
DocuSign Envelope ID:78958EB7-5B02-4CA0-8EAF-F3E892A7B33B
2019 Clean Fuel Advanced Technology Proposal Application
to the NC Clean Energy Technology Center, including contact information of the communication and
social media staff who were involved and copies of all press releases and promotional material used to
showcase project. All press releases will acknowledge funding support through the "NC Clean Energy
Technology Center at NC State University with federal Congestion Mitigation Air Quality funding provided
from the NC Department of Transportation."
As part of Orange County's public awareness and education work under this grant, signage and decals
will be posted on applicable vehicles and equipment and documentation of participation in NC Smart
Fleet initiative will be reported in quarterly reports.
This 3-part project is structured to inherently increase public awareness and Orange County will further
disseminate information about these projects in the following ways.
• Lease Vehicle PHEV Upgrade:
The Orange County CarShare program is a telematics-enabled distributed vehicle reservation
program similar to ZipCar that is open to all Orange County employees with a valid license. The
ability for 1,400 Orange County employees to have access to a plug-in electric vehicle over a two-
year period will provide valuable exposure to help normalize electric vehicle technology. The
ability of the plug-in hybrid to run on gasoline will increase new user comfort with the vehicle and
increase overall utilization and user exposure. The availability of this vehicle will be advertised to
County staff, the Orange County Commission for the Environment, Board of Orange County
Commissioners and posted on the County's CarShare webpage. It will also be co-promoted as a
part of the innovative CarShare program which is helping to right-size Orange County's fleet.
• Irreparable EVSE Replacement:
Replacing non-functioning, unreliable, and incompatible EATON EVSE with well-established,
rugged, and up-to-date Clipper Creek EVSE will enable all Orange County EV drivers to use and
rely on the Orange County EVSE network. The presence of more EVs actively charging will in
itself serve as advertising to increase awareness of the viability and accessibility of electric
vehicles. Notification of the upgrade to the EVSE will be posted on PlugShare and will be sent to
the Alternative Fuels Data Center so they can update their interactive database and map. The
upgraded stations will also be highlighted in the County newsletter which reaches more than
1,200 readers including traditional news media reporting staff. A press release will be created and
sent out with the newsletter story in coordination with Orange County Public Relations staff.
■ Standalone Solar EVSE:
This partnership between the Orange County Public Transportation and the Sustainability
Program to launch a renewable energy-powered mobility-on-demand program will help to
increase public awareness and acceptance of electric vehicle technology. As these three clearly-
marked PHEV vans drive around Orange County picking up passengers, they will serve as mobile
advertising for low-emissions transportation.
Orange County Public Transportation also has a full time marketing person who is active on social
media and hold regular public education events. Orange County will work with the OCPT
marketing staff to amplify the inherent visibility of the proposed project through social media
outreach and in-person events such as the County's Earth Evening event. The Sustainability
Program also regularly interacts with a segment of Orange County who is most interested in
environmental conservation and air quality and they would welcome news of this investment in
clean air. A press release will be created and sent out along with a County newsletter story in
coordination with Orange County Public Relations staff.
North Carolina Clean Energy Technology Center 6
DocuSign Envelope ID:78958EB7-5B02-4CA0-8EAF-F3E892A7B33B
2919 Clean Fuel Advanced Technology Proposal Application
Plan for Task#4 Reporting.
Progress reports will be submitted quarterly based on the schedule and templates provided by NCCETC
and will cover all deliverables related to this three-part project. This documentation of achieved
deliverables and cost-share will accompany all itemized paid invoice reimbursement requests.
A final cost share letter providing a description of cost share funding sources and the stating total cost
share contribution will be submitted on Orange County letterhead with the final invoice. A brief final report
summarizing the accomplishments of Tasks 1-3 will be compiled and submitted no later than fifteen {15)
days following the completion of the project and no later than January 15, 2022,
Timeline
NOTE: Work cannot begin until the final authorization letter from the Federal Highway
Administration has been received by the NC Clean Energy Technology Center.
Final invoicing to NCCETC is to be on or before: August 15, 2021
Final report due: January 15, 2022
Project Period: November 1, 2019-- January 31, 2022
1st Quarter: November 1, 2019 — December 31, 2019
• Begin due diligence process
• Request guidance on purchasing requirements from County Purchasing Agent
• Submit Quarterly report on or before November 15, 2019
2nd Quarter: January 1, 2020— March 31, 2020
• Verify vendor qualifications and that all purchases meet relevant standards/codes
• Develop and submit project equipment to bid process (as required)
• Submit Quarterly report on or before January 15, 2020
3rd Quarter: April 1, 2020-- June 30, 2020
• Select winning bids (as required) and approve vendors
• Create, review, and enter into contracts with vendors for equipment and services
• Submit Quarterly report on or before May 15, 2020
4th Quarter: July 1, 2020—September 30, 2020
• Receive leased PHEV vehicle; inspect, test,confirm that equipment is operating correctly
■ Post CarShare Parking signage to reserve space for leased PHEV
■ Apply Smart Fleet labelling and put vehicle 1 equipment in service---vehicle deployment date to be
reported in quarterly report
• Develop and distribute press release
• Begin monitoring and recording of actual usage of vehicle and EVSE
• Submit Quarterly report on or before July 15, 2020
5th Quarter: October 1, 2020 -- December 31, 2020
+ Organize &conduct ribbon cutting of standalone solar charging EVSE with leased PHEV
North Carolina Clean Energy Technology Center 7
DocuSign Envelope ID:78958EB7-5B02-4CA0-8EAF-F3E892A7B33B
2019 Clean Fuel Advanced Technology Proposal Application
• Continue monitoring and recording of actual usage of vehicle and EVSE
• Conduct public awareness and education activities at Earth Evening event
• Submit Quarterly report on or before October 15, 2020
6th Quarter: January 1, 2021 -- March 31, 2021
• Conduct public awareness and education activities though Orange County Public
Transportation's marketing platforms
• Continue monitoring and recording of actual usage of vehicle and EVSE
■ Submit Quarterly report on or before January 15,2021
7th Quarter: April 1, 2021 —June 30, 2021
• Conduct public awareness and education activities though Orange County Public
Transportation's marketing platforms
• Continue monitoring and recording of actual usage of vehicle and EVSE
• Submit Quarterly report on or before May 15, 2021
8th Quarter: July 1, 2021 -- September 30, 2021
• Conduct public awareness and education activities though Orange County Public
Transportation's marketing platforms
• Continue monitoring and recording of actual usage of vehicle and EVSE
• Final invoicing to NCCETC will be submitted on or before: August 15, 2021
• Submit Quarterly report on or before July 15,2021
9th Quarter: October 1, 2021 — December 31, 2021
• Conduct public awareness and education activities at Earth Evening event
• Complete mandatory reporting of actual usage tracking information
• Submit Quarterly report on or before October 15,2021
10th Quarter -- January 30, 2022
• Report usage tracking estimates to complete 36 month reporting period
• Final report due: January 15, 2022
NOTE:
Voluntary quarterly reporting of fuel and mileage usage data continues, in order to accrue 36
months of actual usage.
Final invoicing to NCCETC is to be on or before: August 15, 2021
Final report due: January 15, 2022
North Carolina Clean Energy Technology Center 8
DocuSign Envelope ID: 78958EB7-5B02-4CA0-8EAF-F3E892A7B33B
Budget Justification ORANGE COUNTY CFAT 2018 Round 2
Subcontractors $147,247
NCCETC is issuing a subaward to ORANGE COUNTY for the lease of one (1) Electric Vehicle, the
replacement of twelve (12) non-functional Level 2 Electric Vehicle charging stations, and the purchase of
one (1) dual-port solar Electric Vehicle charging stations. The use of these technologies will reduce
transportation-related emissions.
Total Direct Costs $147,247
Unrecovered Indirect Costs Used as Cost Share $5,000
Under the PRIME contract with NCDOT, NCCETC cannot charge indirect costs to this project but can use
the unrecovered indirect costs as cost share.
Third party cost share $36,812
The subcontractor has committed to providing 20%cost share(excluding our indirect costss)to this
project.
Total Cost Share_ $41,812
Total Protect Costs $189,059
DocuSign Envelope ID:78958EB7-5B02-4CA0-8EAF-F3E892A7B33B
Appendix B
NC State University
Cost Reimbursement Terms and Conditions
for NC DOT CFAT Subawards (version 05-2019)
1. General Provisions.
A. These terms and conditions apply to all Cost Reimbursement Subawards issued by
University. They are binding when incorporated by reference into a fully executed
University Subaward, using a Subaward Notice(SN). All references to"Block #"are to
the SN. The SN identifies the parties, the key persons, the project proposal, establishes
funding and cost share obligations, the period of performance, special terms and
conditions, and carries the signatures of authorized representatives of each party.
B. The Subaward may also include other documents incorporated by the SN. Such other
documents may include a proposal from the Subrecipient, or a Statement of Work with a
budget as well as a Prime Award from the sponsor.
C. The Subaward is a binding agreement whereby the Subrecipient shall provide the
personnel, materials, required facilities and use its reasonable best efforts to accomplish
the work described in the project proposal (incorporated into this Subaward as
Appendix A) or required by the associated Statement of Work. University in turn agrees
to reimburse Subrecipient for the allowable costs of said project or work effort in
accordance with these and other incorporated terms, up to a total funded dollar amount,
(Block 7).
D. The Subaward supersedes any prior or contemporaneous agreements or representations,
between the parties regarding the proposed project, whether oral or written. Each party
remains an independent entity. The Subaward does not establish any employment or
agency relationship between the parties.
2. Changes and Modifications.
A. These Terms and Conditions may be altered by the Special Terms and Conditions
recorded on a given SN or in subsequent written modifications. Any changes to the
Subaward after the initial SN has been executed must be recorded in written
modifications, using the SN form annotated with a Modification Number. Both parties
must sign modifications, except that University may elect to issue the following types of
modifications unilaterally:
1. Changes in key personnel when subrecipient submits a written request for change
2. Revisions to the project budget when subrecipient submits a written request
3. Changes to administrative information
4. Funding actions identified in the approved budget
5. Extension of the project end date (no-cost extension)
B. Subrecipient may reject such unilateral modifications by providing written notice of
exceptions to the University Negotiator/Administrator(Block #10) within 30 days after
receipt of said modification. If the Subrecipient objects to a unilateral modification, the
parties will negotiate an acceptable one.
2 Apptndix 8 NCSU CR T&C's for NC DOT revised 5.10.19 Page l of 9
DocuSign Envelope ID:78958EB7-5B02-4CA0-8EAF-F3E892A7B33B
Appendix B
NC State University
Cost Reimbursement Terms and Conditions
for NC DOT CFAT Suhawards (version 05-2019)
3. Incorporation of Prime. The Subaward is also subject to the terms and conditions of the
Prime Agreement, identified in Block#4 and incorporated into the Subaward as Appendix
C. Prior approval from University is required to extend the period of performance of this
Subaward. Any exceptions or additions to the Prime Award will be identified in the
Special Terms and Conditions, under Block #d. In the event of conflicts among the
various documents and agreements, the following order of precedence will govern:
1. Subaward Notice including any Special Terms and Conditions and modifications
2. University Standard Terms and Conditions Cost Reimbursement Subaward, 05-2019
3. Proposal or Statement Of Work, and approved budget incorporated into the Subaward
4. Terms and conditions of the Prime Award
4. Invoice and Payment.
A. Subrecipient must request reimbursement for allowable costs incurred no more
frequently than monthly but at least quarterly from the individual named in Block #14.
Invoices must include the Subaward number; the period covered by the invoice and must
show the same level of cost detail as the approved proposal budget. Invoices must show
expenditures and cost share contributions for the current period and the cumulative
amount to date. The invoice must include a certification by an authorized official as to
truth and accuracy of the invoice.
B. Subrecipient must submit an invoice marked "FINAL," not later than sixty (60)
days after Subaward end date. Notwithstanding any terms and conditions or other
provisions contained in the final invoice or any accompanying correspondence, the final
invoice and/or financial statement constitutes Subrecipient's final request for
reimbursement and upon its payment by University, a release by which the Subrecipient
does remise, release and discharge University, its officers, agents and employees of and
from all liabilities, obligations, claims and demands whatsoever under or arising from the
Subaward. Both University and Subrecipient understand that all payments are provisional
and are subject to adjustment as a result of an adverse audit finding concerning the
Subaward. In the event that Subrecipient fails to submit either a FINAL invoice or
request for no-cost extension within the time frame established above, University shall
consider the last regular invoice to be the FINAL invoice. Any unexpended balance from
the Total Sponsored Funds to Date (7.c.) will be automatically deobligated and
University will not make any further payments to that Subrecipient.
C. If a cost-sharing amount appears in Block #7.e., Subrecipient must report such
cost-share expenditures to University with each invoice, either on the invoice or
separately on the Subrecipient's letterhead. The report must show current period
expenditures, cumulative expenditures, and a certification as to the truth and accuracy of
the report. The Subrecipient may not use Federal funds to meet cost-share obligations
under any other Federal awards.
2 Appendix B NCSU CR T&C's for NC DOT revised 5.10-19 Page 2 of 9
DocuSign Envelope ID:78958EB7-5B02-4CA0-8EAF-F3E892A7B33B
Appendix B
NC State University
Cost Reimbursement Terms and Conditions
for NC DOT CFAT Subawards (version 05-2019)
5. Access to Records. The Subrecipient will make all access to any and all documents,
papers, or other records of the Subrecipient which are pertinent to the subaward, in order
to make reviews, audits, examinations, excerpts, transcripts, and inspections available at
all reasonable times by the Federal Awarding agency, the Inspectors General, the
Comptroller General of the US, University or by their authorized representatives). This
right also includes timely and reasonable access to the Subrecipient's personnel for the
purpose of interview and discussion related to such documents. Subrecipient must retain
these records for a period of at least three (3) years from the date of submission of the final
invoice or from the settlement date of any claims, audits, appeals, or litigation, whichever
is later, or as the Prime Agreement prescribes.
b. Inspection. Designated representatives of University have the right to inspect and review
the progress of the work performed at the Subrecipient's place of business pursuant to this
Agreement. Subrecipient must make available all reasonable facilities, including access to
relevant data, test results, and computations used or generated under this Agreement if
requested by University. University must conduct such inspections in such manner so as
not to unduly delay the progress of the work. University must give the Subrecipient
reasonable notice prior to conducting any such inspection.
7. Audit, Throughout the term of the Subaward, Subrecipient agrees to forward upon
request, audit information in accordance with an OMB single audit. This could include
certification of audit results, web links to audit reports,the most recent report, corrective
action plans or other pertinent information. In the absence of an OMB single audit,
Subrecipient must submit a record of its most recent audit by an independent accountant,
including a certification as to the accuracy and reliability of the Subrecipient's financial
statements and internal control structure. Upon request, Subrecipient must complete a
questionnaire (to be provided) regarding its accounting system and internal controls.
Audits and/or related documents must be sent to the address in Block 412, Attn:
Compliance Manager.
8. Key Persons,Technical Direction and Reporting,
A. The individual named in Block#9 (normally Subrecipient's Principal Investigator)
is designated as a Key Person. Subrecipient agrees not to replace that individual nor
reduce his/her level of commitment to the project without prior written approval of
University.
B. The University Project Director named in Block#8 is responsible for monitoring
Subrecipient's performance, technical reporting and approval of Subrecipient's invoices.
All questions about technical and financial matters should be directed to that individual.
Technical reporting requirements are stated in Block 96.
9. Administration. Matters concerning any changes in the terms, conditions, dates or
amounts cited in the SN should be directed to the other party's Negotiator/Administrator
identified in Blocks#1 0 and 411.
2 Appendix B NCSU CR T&C's for NC Do'r revised 5.10.19 Page 3 of 9
DocuSign Envelope ID:78958EB7-5B02-4CA0-8EAF-F3E892A7B33B
Appendix B
NC State University
Cost Reimbursement Terms and Conditions
for NC DOT CFAT Subawards(version 05-2019)
10. Publications. Subrecipient and its investigators are free to publish papers dealing with
the results of the research project sponsored under this Subaward. However, Subrecipient
must give University's Project Director(Block #8) the opportunity to review such papers
or presentations prior to their being released. University agrees to complete such review
within sixty(60) days. Subrecipient must include in every publication or presentation
appropriate recognition of the support received from University and the Prime Sponsor.
11. Certifications and Assurances. Subrecipient, by signing the SN incorporating these
Terms and Conditions, certifies its compliance with any applicable regulatory
requirements including but not limited to those listed below. Subrecipient agrees to
immediately report to University any change in its compliance status. Subrecipient must
flow these requirements down to any lower tier subrecipients. See Appendix B of the
Federal Demonstration Partnership Operating Procedures.
(http:llwww.nsf.govlawardslmanaginglfed_dem_part.jsp. ) for a complete description of the
following:
I. 2 C.F.R. §200 UNIFORM ADMINISTRATIVE REQUIREMENTS,COST PRINCIPLES,AND AUDIT
REQUIREMENTS FOR FEDERAL AWARDS
2. Nondiscrimination statues on the basis of race,color, national origin, sex, blindness, handicap, age,
or disabilities.
3. Common Federal Policy for the Protection of Human Subjects(45 CFR Parts 46& 690).
4. USDA Rules that implement the Laboratory Animal Welfare Act of 1966 (9 CFR Parts 1-4).
5. Regulations for the Clean Air Act,42 USC 7606,40 CFR 6& 32.
6. Regulations for the Clean Water Act 33 USC 1368,as implemented by E.O. 1 1738.
7. National Scenic Rivers Act of 1968, 16 USC1271,40 CFR 6.
8. For NSF& ❑HHS awards only, internal conflict of interest policy.
9. E.O. 11246, & E.Q. 11375 "Equal Employment Opportunity," per 41 CFR part 60.
10. OMB Circular A-129 and 40 CFR 30.73, the parties are not delinquent on any Federal debt.
1 1. The parties are in compliance with the Drug-Free Workplace Act of 1988, Public Law 100-690, 41
USC 701, 40 CFR 32 or equivalent.
12. HIPPA Patient Privacy Rule,45 CFR 160 & 164.
13. Coastal Barriers Resource Act, 40 CFR 6.
14, The Anti-Kickback Act of 1986, Pub. L. 99-634,amending 18 U.S.C. 874,29 C.F.R. Part 3
15. The Safe Drinking Water Act,42 U.S.C. 300h-3(e)
16. Davis-Bacon Act,40 U.S.C. 276a to 276a-7,29 C.F.R. Part 5
17. Contract Work Hours and Safety Standards Act,40 U.S.C. 327--330, 29 C.F.R. Part 5
18. Environmental Protection Agency Regulations, 40 C.F.R. Parts 1 through 49
19. Mandatory Standards & Policies contained in the State Energy Conservation Plan issued in
compliance with the Energy Policy and Conservation Act, Pub. L. 94-163, 89 Stat. 871
20. "Debarment and Suspension" Regulations under E.O. 12549& 12689, 7 CFR 3017, 10 CFR 606&
40 CFR 32, or equivalent.
21. Prohibitions against lobbying as set forth in 7 CFR 3018, 31 USC 1352 and 18 USC 1913.
22. The Hatch Act(5 U.S.C. s I501-1508 and 7324-7328)which limits the political activities of
employees whose principal employment activities in whole or in part supported by Federal Funds.
23. Comply with environmental regulations that may be issued pursuant to:
a. Institution of environmental quality control measures under NEPA (PL 91-190& EOI 1514.
b. Notification of violating facilities EO 11738
2 Appendix B NCSU CR T&C's for MC DOT revised 5.10.19 Page 4 of 9
DocuSign Envelope ID:78958EB7-5B02-4CA0-8EAF-F3E892A7B33B
Appendix B
NC State University
Cost Reimbursement Terms and Conditions
for NC DOT CFAT Subawards(version 05-2019)
c. Protection of wetlands EO 11990
d. Evaluation of flood hazards in flood plains EO 11988
e. Assure project consistency under Costal Zone Management Act of 1972 16 USC 1451
f. Endangered Species Act of 1973, as amended PL 93-205
g. National Historic Preservation Act of 1966, 16 USC470, EO1 1593
h. Lead-Based Paint Poisoning Prevention Act 42 USC 4801
i. Requirements governing the applicable Grant Program
24. Subrecipient shall comply with the requirements of the law(23 USC 3 I 3) and the
regulation (235 CFR 635.410) Buy America unless a waiver is obtained from the FHWA.
(Abbreviations: CFR="Code of Federal Regulations," USC="United States Code," E.O. ="Executive
Order,"OMB ="Office of Management and Budget")
12, Termination.
A. University and Subrecipient have the right to terminate the Subaward in whole or
in part, without cause, with 30 days advance written notice to the other party.
B. The Subrecipient must stop work to the extent specified in the Notice of
Termination on the date such notice is received from or issued to University.
Subrecipient may not place any orders or subcontracts for materials, services, or facilities,
except as may be necessary for the completion of such portion of the work that is not
terminated. University agrees to reimburse the Subrecipient for all allowable costs of the
work that has been performed prior to said notice of termination and all obligations
relating to such work that cannot be canceled.
13. Liability. Each party is responsible for its negligent acts or omissions and the negligent
acts or omissions of its employees, officers, or directors, to the extent allowed by
applicable law.
14. Notices. Unless otherwise provided in the SN, official notices, from either party to the
other, shall be deemed to have been fully given when made in writing, addressed/delivered
to the individual shown on the SN, Block#1 I for Subrecipient and Block#14 for
University. The parties agree that the following methods are acceptable for delivering
official notices: Certified mail, return receipt requested, electronic mail with confirmation
of receipt, Express courier service (e.g. FedEx or UPS) or fax with confirmation of
receipt.
15. Assignment and Subcontracting. Subrecipient may not assign the Subaward nor any
right, remedy, obligation or liability arising there under or by reason thereof nor may
Subrecipient further subcontract any of the work to be performed under the Subaward
without prior written approval from University.
16. Use of Names. Either party may use the name of the other in a public announcement of
the existence of the Subaward. Other than that, neither party to the Agreement may use
the names, marks or symbols of the other or of the other party's employees in any manner,
2 Appendix B NCSU CR T&C's for NC DOT revised 5.10.19 Page 5 of 9
DocuSign Envelope ID:78958EB7-5B02-4CA0-8EAF-F3E892A7B33B
Appendix B
NC State University
Cost Reimbursement Terms and Conditions
for NC DOT CFAT Subawards(version 05-2019)
including public announcements, advertising, or promotional sales literature without the
prior written consent of the other party.
17. Disputes. In the event of a dispute or claim regarding any matter under the Subaward that
is not disposed of by mutual agreement, the parties agree to pursue those necessary
institutional and/or legal remedies as may be appropriate. Legal remedies may include
pursuit of the dispute by either party in a court of competent jurisdiction. In this event,
each party shall be responsible for all costs they incur as a result of such action.
Subrecipient agrees to continue performance on a disputed matter until any such dispute is
resolved.
18. Inventions.
A. The parties agree to abide by the applicable United States regulations governing
patents and inventions issued by the US Department of Commerce at 37 CFR 401,
wherein the rights of the Federal Government are established. Any invention or
discovery made or conceived in the performance of the research or other work
(hereinafter called "Invention"), or any patent to be granted on such Invention shall be
jointly or individually owned by Subrecipient and/or University in accordance with the
following criteria:
1} Title to any Invention made or conceived jointly by employees of both
Subrecipient and University in the performance of the Research (hereinafter called
"Joint Invention") shall vest jointly in University and Subrecipient.
2) Title to any Invention made or conceived solely by employees of either
Subrecipient or University in the performance of the Research shall vest in the
party whose employees or students made or conceived such Invention or discovery.
B. The Subrecipient will,within 2 months after their inventor makes a written
disclosure, submit a written report to the University Administrator(Block 10), identifying
the Subaward number, date of disclosure by Subrecipient's PI, and a brief(non-
disclosing) description, identifying the purpose of the invention. Subrecipient will
concurrently make a full disclosure directly to the Prime Sponsor in accordance with the
Prime Agreement.
C. The Subrecipient will submit a final invention report to University concurrently
with the final invoice. Subrecipient will use the forms prescribed by the Prime Sponsor
(e.g. DD Form 882 or NASA Form C-3044), The list will identify all subject inventions,
including the disclosure date(s) or stating that there were no inventions(negative report is
required).
D. The Subrecipient wilt, upon request, submit a written report concerning each
patent filing, including: the filing date, serial number and title, a copy of the patent
application, patent number, and issue date.
19. Copyright. The Subrecipient may copyright any work product, software or data that is
subject to copyright and was first developed by or on behalf of Subrecipient under the
2 Appendix B NCSU CR T&C's for NC DOT revised 5.10.19 Page 6 of 9
DocuSign Envelope ID:78958EB7-5B02-4CA0-8EAF-F3E892A7B33B
Appendix B
NC State University
Cost Reimbursement Terms and Conditions
for NC DOT CFAT Subawards(version 05-2019)
Subaward. For such copyrights or copyrighted material (including any computer software
and its documentation and/or databases), subject to its legal ability to do so, Subrecipient
grants to the Federal Government the rights established in the Prime Agreement and
grants to University, an irrevocable, royalty-free, non-transferable, non-exclusive right
and license to use, reproduce, display, and perform publicly to the extent required to meet
University's obligations under its Prime Agreement and for the purposes of its
noncommercial research and educational missions.
20. Data Rights. For Data and computer software created in the performance of this
Subaward Agreement, Subrecipient grants to the Prime Sponsor the rights established in
the Prime Agreement and grants to University the right to use data to the extent required
to meet University's obligations under its Prime Agreement and for the purposes of its
noncommercial research and educational missions.
21. Confidentiality.
A- In the performance of the Project, it may be necessary for one party to disclose
information that is proprietary and confidential to the disclosing party. All such
information must be disclosed in writing and designated as confidential or, if
disclosed orally, must be identified as confidential at the time of disclosure and
confirmed in writing and designated as confidential within thirty (30) days of such
disclosure. Except as otherwise provided herein, for a period of Three (3) years
following the date of such disclosure, the receiving party agrees to use the
confidential information only for purposes of this Agreement and further agrees
that it will not disclose or publish such information except that these restrictions
do not apply to:
(i) information that is or becomes publicly known through no fault of the
receiving party;
(ii) information learned from a third party entitled to disclose it;
(iii) information already known to or developed by receiving party before
receipt from disclosing party, as shown by receiving party's prior written
records;
(iv) information for which receiving party obtains the disclosing party's prior
written permission to publish;
(v) information required to be disclosed by court order or operation of law,
including, but not limited to, the North Carolina Public Records Law; or
(vi) information that is independently developed by the receiving party's
personnel who are not privy to the disclosing party's confidential
information.
2 Appendix B NCSU CR T&C's for NC DDT revised 5.10.19 Page 7 of 9
DocuSign Envelope ID:78958EB7-5B02-4CA0-8EAF-F3E892A7B33B
Appendix B
NC State University
Cost Reimbursement Terms and Conditions
for NC DOT CFAT Subawards (version 05-2019)
B. The receiving party must use a reasonable degree of care to prevent the inadvertent,
accidental, unauthorized or mistaken disclosure or use by its employees of confidential
information disclosed hereunder.
22. Law and Severability. it is agreed that if either party is an agency of its respective state
government, the applicable constitutional provisions or statutes that govern sovereign
immunity shall dictate the appropriate forum and law governing substantive issues.
Subrecipient agrees to comply with all relevant federal, state, county, and municipal
executive orders, rules, regulations, laws and ordinances. In the event that any
provision(s) of the Agreement are rendered void or illegal the remainder of its provisions
shall remain in effect. Failure on the part of either party to exercise a right or remedy
shall not preclude exercising them in the future.
23. Survivability. In the event of early termination of this Subaward, the parties agree that
Articles 18 through 21 and the obligations inherent in them will survive the termination
of this agreement for a minimum of 3 years.
24. Export Controls. The parties acknowledge that each is responsible for compliance with
US Export Control regulations. In the event that either party becomes aware that the
research work that is being or will be conducted, is or is likely to involve a technology
that is subject to Export Controls, each party agrees to notify the other within three
working days so that the situation can be evaluated and an appropriate course of action
taken.
25. Non-Construction and Vehicle Procurement Projects.
Example of non-construction projects that are eligible for funding include:
*Alternate fuel and advanced technology vehicle conversions
*Purchase of alternate fuel and advanced technology vehicles
*Onboard Idle Reduction Technologies, such as idle reduction equipment and auxiliary
power units
*Diesel retrofits
*Education and Outreach initiatives
*This list is not inclusive and the University may implement other emerging technology
projects with the prior review and approval of the NC DOT and FHWA.
26. Procurement of Goods and Services.
In accordance with the 2 CFR 200 and the exemptions obtained by the US Department of
Transportation, codified at 2 CFR 1201, the Subrecipient shall follow state regulations for
procuring goods and services.
Purchase of Vehicles
2 Appendix B NCSU CR T&C's for NC DOT revised 5,10,19 Page 8 of 9
DocuSign Envelope ID:78958EB7-5B02-4CA0-8EAF-F3E892A7B33B
Appendix S
NC State University
Cost Reimbursement Terms and Conditions
for NC DOT CFAT Subawards(version 05-2019)
The NC DOT, through the NC Department of Administration, Purchase and Contract
Division, awards vehicle contracts to purchase vehicles for public use. These vehicle
contracts comply with Federal Transit Administration (FTA) and State requirements.
Subrecipients that are public entities may utilize these vehicle contracts to purchase
public vehicles, with review and approval from University and NCDOT.
Private entities that purchase vehicles must use a competitive procurement process to
purchase vehicles. Private entities should follow 2 CFR 200.317 through 200.320,
General Procurement Standards. Such procurements must be conducted through a
competitive and open process without limitation of any contractors. Subrecipient agrees
to maintain written procurement procedures and records of the procurement.
End of Terms and Conditions
2 Appendix B NCSU CR T&C`s for NC DOT revised 5.I0,19 Page 9 Of 9
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APPENDIX
NORTH CAROLINA LOCALLY ADMINISTERED PROJECT-FEDERAL
WAKE COUNTY
DATE: 9/10/2018
NORTH CAROLINA DEPARTMENT OF
TRANSPORTATION
TIP#: C-5601EA
AND WBS Elements: 50062.4.4
Fed-Aid#: CMAQ-0055(019)
NORTH CAROLINA STATE UNIVERSITY TIP#: C-5601EB
WBS Element: 60062.4.5
Fed-Aid# CMAQ-005S(020)
CFDA#: 20.205
Total Funds[NCDOT Participation] $3,061,157
THIS AGREEMENT is made and entered into on the last date executed below, by and between the
North Carolina Department of Transportation, an agency of the State of North Carolina, hereinafter
referred to as the"Department"and the North Carolina State University, hereinafter referred to as the
"University".
WITNESSETH:
WHEREAS, Fixing America's Surface Transportation(FAST)Act allows for the allocation of
Congestion Mitigation and Air Quality funds to be available for certain specified transportation
activities; and,
WHEREAS, the University has requested federal funding for Clean Fuel Advanced Technology
(CFAT)Outreach,Awareness and Sub Awards Program,hereinafter referred to as the Project, In
Wake County, North Carolina; and,
WHEREAS, the CFAT Program is administered by the North Carolina Clean Energy Technology
Center(CFTC), a public service center of the University; and,
WHEREAS, subject to the availability of federal funds, the University has been designated as a
recipient to receive funds allocated to the Department by the Federal Highway Administration (FHWA)
up to and not to exceed the maximum award amount of$3,061,157 for the Project; and,
WHEREAS, the Department has agreed to administer the disbursement of said funds on behalf of
FHWA to the University for the Project in accordance with the Project scope of work and in
accordance with the provisions set out in this Agreement; and,
WHEREAS, the Department has programmed funding in the approved Transportation Improvement
Program for the Project; and,
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WHEREAS,the governing board of the University has agreed to participate in certain costs and to
assume certain responsibllitles in the manner and to the extent as hereinafter set out;and,
WHEREAS,this Agreement is made under the authority granted to the Department by the North
Carolina General Assembly including,but not limited to,the following applicable legislation: General
Statutes of North Carolina(NCGS)Section 136.66.1,Section 136-71.6,Season 160A-298 and 297,
Section 136-18,Section 135-41.3 and Section 20-169,to participate in the planning,construction
and/or Implementation of the Project approved by the Board of Transportation.
NOW,THEREFORE,this Agreement states the promises and undertakings of each party as herein
provided,and the parties do hereby covenant and agree, each with the other,as follows:
1. GENERAL PROVISIONS
FEDERAL FUNDING ACCOUNTABILITY AND TRANSPARENCY ACT
All parties to this Agreement,Including contractors,subcontractors,and subsequent workforces,
assoclated with any work under the terms of this Agreement shall provide reports as required by
the Federal Funding Accountability and Transparency Act(FFATA)for this Project.
AGREEMENT MODIFICATIONS
Any modification to scope,funding,responslbllities,or time frame will be agreed upon by all
parties by means of a Supplemental Agreement.
LOCAL PUBLIC AGENCY TO PERFORM ALL WORK
The University shall be responsible for administering all work performed and for certifying to the
Department that all terms set forth in this Agreement are met and adhered to by the University
and/or Its contractors and agents. The Department will provide technical oversight to guide the
University. The Department must approve any assignment or transfer of the responslbil€tZes of
the University set forth in this Agreement to other parties or entities.
PERSON IN RESPONSIBLE CHARGE
The University shall designate a person or persons to be in responsible charge of the Project, in
accordance with Title 23 of the Code of Federal Regulations, Part 635.105. The person,or
persons,shall be expected to:
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■ Administer governmental project activities, Including those dealing with cast,time,
adherence to contract requirements,construction quality and scope of Federal-aid
projects;
■ Maintain knowledge of day to day project operations and safety Issues;
■ Make or participate In decisions about changed conditions or scope changes that
require change orders or supplemental agreements;
■ Visit and review the project in accordance with the project scope and scale;
■ Review financial processes,transactions and documentation to reduce the likelihood
of fraud,waste,and abuse;
• Direct project staff, UnlversIty or consultant,to cant'out project administration and
contract oversight,Including proper documentation;and
• Be aware of the qualifications,assignments and on-the-job performance of the
University and consultant staff at all stages of the project.
The person In responsible charge must be a full-time employee of the University,but the duties
may be split among several employees,if necessary.
COMPLIANCE WITH STATEIFEDERAL POLICY
The University,and/or its agent,Including all contractors,subcontractors,or sub-reciplents shall
comply with all applicable Federal and State policies and procedures,stated both In this
Agreement and in the Department's guidelines and procedures, Including the Local Programs
Management Handbook.
FAILURE TO COMPLY-CONSEQUENCES
Failure on the part of the University to comply with any of the provisions of this Agreement will be
grounds for the Department to terminate participation In the costs of the Project and,if applicable,
seek repayment of any reimbursed funds.
2. SCOPE OF PROJECT
The Project consists of the development and operation of a clean fuel advanced technology
outreach and awareness program, Including sub-awards for projects In eligible counties In North
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Carolina,The Project will be administered by CETC,a Public Service Center of the University,
and CETC will be responsible for day to day management and implementation of the Project.
The Department's funding part€cipation in the Project shall be restricted to the following eligible
items:
Outreach and Educatlon AcWitles Initiated by the University;
• Sub-Awards for eligible activities and to eligible partners as awarded by the
University,
as further set forth in this Agreement,
3. FUNDING
REIMBURSEMENT FOR ELIGIBLE ACTIVITIES
Subject to compliance by the University with the provisions set forth In this Agreement and the
availablllty of federal funds,the Department shall reimburse eighty percent(80%)of eligible
expenses Incurred by the University for its own or its subreciplents'eligible expenses up to a
maximum amount of Three Mllilon Sixty One Thousand One Hundred Fifty Seven Dollars
($3,061,157),as shown In Table 1 below. Eligible expenses shall Include federal and non-federal
costs as described herein.The University,or its subrecipients,shall provide a non-federal share
of twenty percent(20%)as described below.The Department shall not be liable for costs that
exceed the total estimated amount of federal funding.
The Department will allow the University to use unrecovered indirect costs at the approved
indirect cost rate of twenty percent(20%)towards the non-federal match of the project. In
addition,the Department will allow the use of third-party donations towards the non-federal match
with the prior review and approval of the Department.The University shall document its cost
share, Including the unrecovery of Indirect costs and/or third party donation costs,when
requesting reimbursement.
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TABLE 1: FUNDING TABLE
Fund Source Federal Funds Reimbursement Non-Federal Non-Federal
Amount Rate Match$ Match Rate
Congestion $3,061,157 80% $765,290 20%
Mitigation and Alr
quality
Total Estimated Project Costs $3,826,447
TABLE 2:TOTAL COST ALLOCATION BY PROJECT
Projects Phase of Work Federal Funds Non-Federal Fiscal Year
Amount Costs Amount Programmed
C-5601 EA Outreach and $858,675 $214,669 FFY 2019
Education Activities
C-5601 EB I Sub Awards $2,202,482 $550,621 FFY 2019
Total Estimated Project Costs $3,826,447
WORK PERFORMED BY NGDOT
Expenses incurred by the Department for its work performed on this Project,Including, but not
limited to,reviews, Inspections,and Project oversight,during any phase of the delivery of the
Project,shall reduce the funding available to the University under this Agreement. The
Department will set aside three percent(3%)of the total estimated cost,or$114,793,(the*Set
Aside`)for such Department costs and associated non-federal share of the Project.Set Aside
amounts are detailed In Table 3,below.Department activities shall further be related to review
and oversight of this Project, Including, but not limited to review and approval of plans,
environmental documents,contract proposals,engineering estimates,construction engineering
and inspection oversight,and other items as needed to ensure the University's appropriate
compliance with state and federal regulations.
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TABLE 3: DETAILED BREAKDOWN OF FEDERAL.AND NON-FEDERAL COSTS
80%Q Federal 20%Non-federal Share Total
University University
Federal Hon- Non- Total
Phase of Work Funds Federal Federal Non-
Amount Match Share of Federal
Amount NCDOT Funds
Work
G-5601EA:Education and Outreach $833,666 $232.416 $0 $232.416 $1,066,082
Activities
C-5601EA: Education and Outreach $25,010 $0 $6,252.49 $6,252 $31,262
Activities(3%o Set-aside)
C-5601EB:Technology Subawards $2,138,331 $569,583 $0 $569,583 $2,707,914
C-5601 EB:Technology Subawards $64,150 $0 $16,037.48 $16,037 $80,187
(3%Set-Aside)
Total $3,081,157 $801,999 $22,290 $824,289 $3,885,446
In the event that the Department does not utilize all of the Set Aside funding, Department shall
provide notice to University releasing those remaining Set Aside funds for relmbursement of
eligible University project expenses at the above reimbursement rate,Such University
reimbursement request shall document twenty percent(20%)cost share as described In section
above entitled,Reimbursement For Eliglble Activities. For all costs of work performed on the
Project,whether incurred by the University or by the Department,the University shall provide the
non-federal share,
The Department will bill the University for the non-federal share of any costs that the Department
Incurs on the Project and for any costs that exceed the Total Estimated Funding,In accordance
with Article 6,Reimbursement.
FUNDING AUTHOR17-ATION
When any phase of funding Is authorized,the Department will notify the University In writing that
funds have been authorized and can be expended. The University shall not initlate any work nor
solicit for services prior to receipt of written authorization from the Department to proceed. Any
work performed,or contracts executed, prior to receipt of written authorization to proceed will be
inellglbte for reimbursement.
C-5601EA:OUTREACH AND EDUCATION INITIATIVES:
This project Is set up for the University to undertake outreach and education initiatives to
further the objectives of the project. Upon execution of the Agreement,the University shall
present a plan of activities along with a cost estimate. Funding will be authorized based on
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the cost estimate provided. If actual costs exceed estimated costs,the University may
request an amendment to the funding authorization;however,the total amount funded may
not exceed the total available funding for outreach and education Initiatives programmed In
each fiscal year.
C-5601 EB:SUSAWAROS
The University shall develop a program to solicit,review,and award applications for eligible
clean fuel technology projects,as further defined In this agreement. Upon review and
concurrence with selection by NCQOT and FHWA,a project break will be established under
C-5601 EB,with notification to the University. The University will develop a subrecipient
agreement that references the proposed project break and outlines responsibilities as further
detailed In this Agreement. Where the University is named as responsible party,all
requirements will apply equally to subreciplents. Once a proposal for implementation has
been provided by subreciplents,Including NEPA document and cost estimate,the University
will request authorizatlon for funding for that project. if actual costs exceed estimated costs,
the University may request an amendment to the funding authorization,based on
documented costs;however,the total amount funded for each group subaward may not
exceed the total available funding for the subawards programmed In each fiscal year.
SUBRECIPIENT CONTRACTS
All contracts and subcontracts shall include and comply with the following contract provisions,
• All subreciplents shall comply with the requirements of Buy America unless a waiver
Is obtained from the Federal Highway Administration.
• Contract provisions noted at 2 CFR 200,Appendix II
• Contract Provisions related to Title,Use, Management,and Disposal of Vehicles
and/or Equipment,as noted in this Agreement at Provision 5
• Other Provisions,noted in this agreement at Provision 9,shall be Included as
applicable.
• Useful Life related to any vehicles or equipment acquired.
The University shall submit draft subreciplent contracts for review by the Department prior to the
University executing subreciplent contracts.
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4. PERIOD OF PERFORMANCE
C-5601 EA: EDUCATION AND OUTREACH INITIATIVES
The University shall have one year from the date of authorization of the funding for C-5601 Fro to
complete all work associated with each project. Any funding not reimbursed at the end of this
phase will revert back to the Department. The University may use an additional six months to
prepare reimbursement requests and submit to the Department; however,all expenditures mus
be incurred no later than one year after the funding authorization date,
C-5601 Eta:SUBAWARDS
Each sub award request by the University will have a proposed completion date to complete all
work associated with the sub award, request reimbursement from University,and have University
request reimbursement from the Department. All sub awards must be complete and all Invoicing
submitted to the Department no later than three years after the Initial sub award authorization Is
made
5. NON-CONSTRUCTION AND VEHICLE PROCUREMENT PROJECTS
The University shall Implement all non-construction-type projects in accordance with the
provisions set out below. For any subawards,the University shall enter into a project
agreement with each sub-awardee that outlines these responsibllitles as further defined.
Where the Unlverslty acts as the subreciplent to the Department,then the sub-awardee shall
act as subreciplent to the University.
EXAMPLE PROJECTS
Examples of non-construction protects that are eligible for funding Include:
• Alternative fuel and advanced technology vehicle conversions
• Purchase of aitemative fuel and advanced technology vehicles
• Onboard Idle Reduction Technologies,such as Idte reduction equipment and auxiliary
power units
■ Diesel retrofits
• Education and Outreach initiatives,for example,act€vibes that promote new or existing
transportation services,developing messages and advertising materials(including market
research,focus groups,and creative), placing messages and materials,evaluating
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message and material dissemination and public awareness,technical assistance,
programs that promote the Tax Code provision related to commute benefits,transit
.store'operations, and any other activities that help forward less-polluting transportation
options
The above example list is not inclusive and the University may implement other emerging
technology projects with the prior review and approval of the Department and FHWA.
PLANNING 1 ENVIRONMENTAL DOCUMENTATION
All projects Implemented by the University,or any subawardee,must comply with
requirements of the National Environmental Policy Act(NEPA)and other appropriate
environmental laws and regulations. All documentation shall be submitted to the Department
for review and concurrence.
Most projects under this Agreement will qualify as a Type I Programmatic Categorical
Exclusion and NEPA requirements may be met by the completion of a checklist.
PROCUREMENT OF GOODS AND SERVICES
In accordance with 2 CFR 200 and the exemptions obtained by the US Department of
Transportation,codlfled at 2 CFR 1201,the University shall follow state-approved procedures
when procuring goods and services. The University shall submit all procurement proposals
for review and approval by the Department prior to Initiating work.
PURCHASE THROUGH THE STATE CONTRACT
The Department,through the North Carolina Department of Administration,Purchase and
Contract Division,awards vehicle contracts to purchase vehicles for public use. These
vehicle contracts comply with Federal Transit Administration(FTA)and State requirements.
The University may utilize these vehicle contracts to purchase public vehicles,but must
provide assurance that contracts also meet Federal Highway Administration(FHWA)
requirements. For vehicles not Included In these contracts,the University shall conduct a
competitive procurement process in accordance with this Agreement.
TITLE,USE,MANAGEMENT AND DISPOSAL OF PROPERTY AND/OR VEHICLES
• The University agrees to use Project property for appropriate purposes and In
accordance with Property Standards denoted in 2 CFR 200.310--31 B. The
University shall maintain all project equipment at a high level of cleanliness,safety,
and mechanical soundness in accordance with the minimum maintenance
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requirements recommended by the manufacturer. All non-federal sub-recipients of
the University shall comply with property management requirements as indicated
above. Private entitles may not act as non-federal entities;therefore, any projects
awarded to a private entity must be administered by a responsible non-federal entity.
• The University and the Department will agree on an appropriate useful life for the
Project property(vehicles and equipment). The University will use Project property
continuously and appropriately throughout the useful Ilfe of that property. Upon the
end of the period of useful life,the University,or other non-federal sub-recipient,may
dispose of Project property.
• The Certificate of Title to all vehicles purchased shall be In the name of the University
or non-federal sub-recipient. For a private entity,the non-federal entity must retain
the title to the vehicles and provide appropriate oversight to the private entity.
• When useful life of vehicles or equipment are met,or when the equipment or vehicles
are no longer needed for the program and there is no other appropriate federal
program to use the property,then the entity may dispose of the property. For
property with a fair-market value of more than$5,000,the Department shall be
entitled to eighty percent(80%)of the proceeds from a sale,less a handling fee of
$500 or 10%of the proceeds,whichever is less.
PLANNING!ENVIRONMENTAL DOCUMENTATION
For any project that has the potential for environmental impacts,the University shall prepare
the environmental and/or planning document,including any environmental permits, needed
for the Project, In accordance with the National Environmental Policy Act(NEPA)and all
other appropriate environmental laws and regulations.All worts shall be performed in
accordance with Departmental procedures and guidelines.Said documentation shall be
submitted to the Department for review and approval.
• The University shall be responsible for preparing and filing with all proper agencies the
appropriate planning documents,including notices and applications required to apply for
those permits necessary for the construction of the desired improvements. Copies of
approved permits should be forwarded to the Department.
■ The university shall advertise and conduct any required public hearings.
• If any permit issued requires that action be taken to mitigate Impacts associated with the
Improvements,the University shall design and implement a mitigation plan.The
Department will determine if any mitigation costs are eligible for reimbursement. The
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University shall bear all costs assoclated with penalties for violations and claims due to
delays.
■ The University shall be responsible for designing an eroslon control plan if required by
the North Carolina Sedimentation Pollution Control Act of 1973, NCGS 113A,Article 4,
incorporated in this Agreement by reference at
www.ncleg.net/gascripts/Statues/Statutes.asp and obtaining those permits required
thereby in order to construct the Project. During the construction of the improvements,
the CFTC, and its contractors and agents,shall be solely responsible for compliance with
the provisions of said Act and the plan adopted In compliance therewith.
6. REIMBURSEMENT
SCOPE OF REIMBURSEMENT
Activities eligible for funding reimbursement for this Project shall include:
• Outreach and Educatlon activities initiated by the University;
• Sub-Awards for eligible activities and to eligible partners as awarded by the
University.
REIMBURSEMENT GUIDANCE
The University shall adhere to applicable administrative requirements of Title 2 Code of Federal
Regulations, Part 200(www.fhwa.dot.govllegsregsldirectiveslfapgtec.htm}'uniform
Administrative Requirements, Cost Principles and Audit Requirements for Federal Awards.'
Reimbursement to the University shall be subject to the policies and procedures contained In Title
23 Code of Federal Regulations, Part 140 and Part 172,which is being incorporated into this
Agreement by reference at www.fhwa.dot.govllegsrecis/dtrectives/fapgtoc.htm. Reimbursement
to the University shall be subject to the guidance contained in Title 2 Code of Federal
Regulations, Part 170(httr):lledorket.access.gpo.gov/2010/pdf/2010-22705.pdf1 and Office of
Management and Budget(OMB)'Federal Funding Accountability and Transparency Act'
(FFATA). Said reimbursement shall also be subject to the Department being reimbursed by the
Federal Highway Administration and subject to compliance by the University with all applicable
federal policy and procedures.
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REIMBURSEMENT LIMITS
■ WORK PERFORMED BEFORE NOTIFICATION
Any costs incurred by the University prior to written notification by the Department to
proceed with the work shall not be eligible for reimbursement.
• NO REIMBURSEMENT IN EXCESS OF APPROVED FUNDING
At no time shall the Department reimburse the University costs that exceed the total
funding per this Agreement and any Supplemental Agreements.
• UNSUBSTANTIATED COSTS
The University agrees that it shall bear all costs for which it Is unable to substantiate
actual costs or any costs that have been deemed unallowable by the Federal Highway
Administration and/or the Department's Financial Management Division.
• WORK PERFORMED BY NCDOT
All work performed by the Department on this Project,including, but not limited to,
reviews, inspections, and Project oversight,shall reduce the maximum award amount of
$3,061,157 available to the University under this Agreement. The Department will bill the
University for the non-federal match of any costs that the Department incurs on the
Project and For any costs that exceed the Total Estimated Cost,
BILLING THE DEPARTMENT
• PROCEDURE
The University may bi[l the Department for eligible Project costs in accordance with the
Department's guidelines and procedures. Proper supporting documentation shall
accompany each invoice as may be required by the Department. By submittal of each
invoice,the University certifies that It has adhered to all applicable state and federal laws
and regulations as set forth In this Agreement.
Along with each invoice, the University is responsible for submitting the FFATA
Subrecipient Information Form,which is availabte at
httos://connect;ncdot.gov/municipalities]FundingiPages/default.asnx.
■ INTERNAL APPROVALS
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Reimbursement to the University shall be made upon approval of the Invoice by the
Department's Financial Management Division.
• TIMELY SUBMITTAL OF INVOICES
The University may invoice the Department monthly for worts accomplished,but no less
than once every six(6)months to keep the Project funds active and available. If the
University Is unable to invoice the Department,then they must provide an explanation.
Failure to submit invoices or explanation may result in de-obligation of funds.
■ FINAL INVOICE
All invoices associated with the Project must be submitted within six(6)months of the
completion of construction and acceptance of the Project to be eligible for reimbursement
by the Department. Any invoices submitted after this time will not be eligible for
reimbursement.
T. REPORTING REQUIREMENTS AND RECORDS RETENTION
PROJECT EVALUATION REPORTS
The University Is responsible for submitting quarterly Project evaluation reports,in accordance
with the Department's guidelines and procedures,that detall the progress achieved to date for the
Project.
PROJECT RECORDS
The University and its agents shall maintain all books, documents, papers,accounting records,
Project records and such other evidence as may be appropriate to substantiate costs incurred
under this Agreement. Further,the University shall make such materials available at Its office
and shall require its agent to make such materials available at Its office at all reasonable times
during the contract period,and for five(5)years from the date of payment of the final voucher by
the Federal Highway Adminlstratlon,for Inspection and audit by the Department's Financial
Management Section,the Federal Highway Administration,or any authorized representatives of
the Federal Govemment.
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S. OTHER PROVISIONS
REFERENCES
It will be the responsibility of the University to follow the current and/or most recent edition of
references,websites, specifications,standards,guidelines,recommendations,regulations and/or
general statutes, as stated in this Agreement.
INDEMNIFICATION OF DEPARTMENT
The University agrees to indemnify and hold harmless the Department,FHWA and the State of
North Carolina,to the extent allowed by law,for any and all claim for payment,damages and/or
Ilabilities of any mature,asserted against the Department In connection with this Project. The
Department shall not be responsible for any damages or claims,which may be Initiated by third
parties.
DEBARMENT POLICY
It is the policy of the Department not to enter Into any agreement with parties that have been
debarred by any government agency(Federal or State). By execution of this agreement,the
University certifies that neither It nor its agents or contractors are presently debarred,suspended,
proposed for debarment,declared ineligible or voluntarily excluded from participation In this
transaction by any Federal or State Agency or Department and that it will not enter Into
agreements with any entity that Is debarred,suspended, proposed for debarment,declared
Ineligible or voluntarily excluded from participation In this transaction.
TITLE VI-CIVIL RIGHTS ACT OF 1964
The University shall comply with Title VI of the Civil Rights Act of 1964, (Title 49 CFR, Subtitle A,
Part 21). Title Vt prohibits discrimination on the basis of race,color,national origin,disability,
gender, and age In all programs or activities of any recipient of Federal assistance.
OTHER AGREEMENTS
The University,is solely responsible for all agreements,contracts,and work orders entered Into or
Issued by the University for this Project. The Department Is not responsible for any expenses or
obligations incurred for the Project except those specifically eligible for Congestion Mitigation and
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Air Quality funds and obligations as approved by the Department under the terms of this
Agreement.
AVAILABILITY OF FUNDS
All terms and conditions of this Agreement are dependent upon, and,subject to the allocation of
funds for the purpose set forth In the Agreement and the Agreement shall au tom all ce I ly terminate
if funds cease to be available.
IMPROPER USE OF FUNDS
Where either the Department or the FHWA determines that the funds paid to the University for
this Project are not used in accordance with the terms of this Agreement,the Department will bill
the University.
TERMINATION OF PROJECT
If the University decides to terminate the Project without the concurrence of the Department,the
University shall reimburse the Department one hundred percent(100%)of all costs expended by
the Department and associated with the Project.
AUDITS
In accordance with 2 CFR 200"Uniform Administrative Requirements,Cost Principles, and Audit
Requirements for Federal Awards,*Subpart F—Audit Requirements,and the Federal Single
Audit Act Amendments of 1996,the University shall arrange for an annual Independent financial
and compliance audit of its fiscal operations. The University shall furnish the Department with a
copy of the annual Independent audit report within thirty(30)days of completion of the report,but
not later than nine(9)months after the University's fiscal year ends.
REIMBURSEMENT BY UNIVERSITY
For all monies due the Department as referenced In this Agreement, reimbursement shall be
made by the University to the Department within sixty(60)days of receiving an invoice. A late
payment penalty and Interest shall be charged on any unpaid balance due In accordance with
NCGS 147-86.23.
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ENTIRE AGREEMENT
This Agreement contains the entire agreement between the parties and there are no
understandings or agreements,verbal or otherwise, regarding this Agreement except as
expressly set forth herein.
AUTHORIZATION TO EXECUTE
The parties hereby acknowledge that the individual executing the Agreement on their behalf is
authorized to execute this Agreement on their behalf and to bind the respective entitles to the
terms contained herein and that he has read this Agreement,conferred with his attorney,and fully
understands its contents.
GIFT BAN
By Executive Order 24,Issued by Governor Perdue,and NCGS 133-32, it is unlawful for any
vendor or contractor(Le.architect,bidder,contractor,construction manager,design professional,
engineer, landlord, offeror,seller,subcontractor,supplier,or vendor),to make gifts or to give
favors to any State employee of the Govemoes Cabinet Agencies(i.e.Administration,
Commence, Environmental Quality,Health and Human Services, Information Technology, Military
and Veterans Affairs, Natural and Cultural Resources, Public Safety, Revenue,Transportation,
and the Office of the Governor).
9. SUNSET PROVISION
All terms and conditions of this Agreement are dependent upon, and subject to,the allocation of
funds for the purpose set forth in the Agreement and the Agreement shall automatically terminate
if funds cease to be available.
IT IS UNDERSTOOD AND AGREED that the approval of the Project by the Department is
subject to the conditions of this Agreement,and that no expenditures of funds on the part of the
Department will be made until the terms of this Agreement have been complied with on the part of
the University,
Signatures on the following page.
Agreement ID#8239 16
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IN WITNESS WHEREOF,this Agreement has been executed,in duplicate,the day and year
heretofore set out,on the part of the Department and the University by authority duly given.
I
L.S.ATTEST: NORTH CAROLINA STATE UNIVERSITY
on behalf of the
NORTH CAROLINA CLEAN ENERGY
TECHNOLOGY CENTER
BY: ' BY:
t J. Sber,t F-seta
TITLE: ttCt3ta�tJnivenefl TITLE: �s Dim-Lim�ans'nrie��§+egrar►��—
NC Sty University
DATE:
NCGS 133-32 and Executive Order 24 prohlbft the offer to,or acceptance by,any State Employee of
any gift from anyone with a contract with the State,or from any person Seeking to do business with
the State. By execution of any response In this procurement,you attest,for your entire organization and Its employees or agents,that you are not aware that any such gift has been offered,accepted,or
! promised by any employees of your organization.
C
Federal Tax Identification Number
North Carolina State University
Remittance Address:
i OMft-4 CM601 On& ►
DEPARTMENT OF TRANSPORTATION
{CHIEF ENGINW
DATE:
APPROVED BY BOARD OF TRANSPORTATION ITEM O: {oetay
Agreement ID#8239 17
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41 CFR 102-34 270. How long must we keep a Govvriiment-owne... ha Ps-/Av+vw.law.corne11.edu/cfrltex t141/102-34.270
Cornell Law School APPENDIX TD
CFR)Title 41 a Subtitle C ) Chapter 102 ) Subchapter B�Part 102 r Subpart E ) Section 102-34-270
41 CFR 102-34.270 - How long must we keep a Government-
owned motor vehicle?
§ 102-34.270 How long must we keep a Government-owned motor vehicle?
You must keep a Government-owned motor vehicle for at least the years or miles shown in
the following table, unless it is no longer needed and declared excess:
TABLE of MININIuM REPLACEMENT STANDARDS
Motor vehicle type J Years ' I Or miles'
Sedans/Station Wagons 3 I 60,000
Ambulances 7 i 60,000
Buses:
Intercity i nla 280,000
City nla 150,000
School nla 80,000
Trucks:
i
Less than 12.500 pounds GVVVR 6 ' 50,000
12,500-23,999 pounds GVWR { 7 60,000
{
24,000 pounds GVWR and over 9 t 80.000
l
4-or 6-wheel drive motor vehicles I 6 i 40,000
' Minimum standards are stated in both years and miles, use whichever occurs first.
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APPENDIX
ELECTRONIC CODE OF FEDERAL REGULATIONS
e-CFR data is current as of August 11, 2017
Title 2—Subtitle A Chapter 11--4, Part 200--� Subpart D Subject Group
Title 2:Grants and Agreements
PART 200--UNIFORM ADMINISTRATIVE REQUIREMENTS,COST PRINCIPLES,AND AUDIT REQUIREMENTS FOR
FEDERAL AWARDS
Subpart D---Posl Federal Award Requirements
PROPERTY STANDARDS
§200.310 Insurance coverage.
The non-Federal entity must,at a minimum,provide the equivalent Insurance coverage for real property and
equipment acquired or improved with Federal funds as provided to property owned by the non-Federal entity. Federally-
owned property need not be insured unless required by the terms and conditions of the Federal award.
§200.311 Real property.
(a) Title. Subject to the obligations and conditions set forth in this section,title to real property acquired or improved
under a Federal award will vest upon acquisition In the non-Federal entity.
(b)Use. Except as otherwise provided by Federal statutes or by the Federal awarding agency,real property will be
used for the originally authorized purpose as long as needed for that purpose,during which time the non-Federal entity
must not dispose of or encumber its title or other interests.
(c)Disposition.When real property is no longer needed for the originally authorized purpose,the non-Federal entity
must obtain disposition instructions from the Federal awarding agency or pass-through entity.The instructions must
provide for one of the following alternatives:
(1) Retain title after compensating the Federal awarding agency.The amount paid to the Federal awarding agency will
be computed by applying the Federal awarding agency's percentage of participation in the cost of the original purchase
(and costs of any improvements)to the fair market value of the property.However,in those situations where the non-
Federal entity is disposing of real property acquired or improved with a Federal award and acquiring replacement real
property under the same Federal award,the net proceeds from the disposition may be used as an offset to the cost of the
replacement property.
(2)Sell the property and compensate the Federal awarding agency.The amount due to the Federal awarding agency
will be calculated by applying the Federal awarding agency's percentage of participation in the cost of the original
purchase(and cost of any improvements)to the proceeds of the sate after deduction of any actual and reasonable selling
and fixing-up expenses. If the Federal award has not been closed out,the net proceeds from sale may be offset against
the original cost of the property. When the non-Federal entity is directed to sell property,sales procedures must be
followed that provide for competition to the extent practicable and result In the highest possible return.
(3)Transfer title to the Federal awarding agency or to a third party designatedlapproved by the Federal awarding
agency.The non-Federal entity is entitled to be paid an amount calculated by applying the non-Federal entity's percentage
of participation In the purchase of the real property(and cost of any improvements)to the current fair market value of the
property.
t78 FR 78608,Dec.26,2013,as amended at 79 FR 75884,Dec. 19,20141
§20D.312 Federally-owned and exempt property.
(a)Title to federally-owned property remains vested in the Federal Government.The non-Federal entity must submit
annually an Inventory listing of federally-owned property in its custody to the Federal awarding agency.Upon completion of
the Federal award or when the property Is no longer needed,the non-Federal entity must report the property to the
Federal awarding agency for further Federal agency utilization.
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(b)If the Federal awarding agency has no further need for the property,It must declare the property excess and report
it for disposal to the appropriate Federal disposal authority,unless the Federal awarding agency has statutory authority to
dispose of the property by alternative methods(e.g.,the authority provided by the Federal Technology Transfer Act(IS
U.S.C.3710(1))to donate research equipment to educational and non-profit organ lzetlons In accordance with Executive
Order 12999,"Educational Technology: Ensuring Opportunity for All Children in the Next Century.").The Federal awarding
agency must issue appropriate Instructions to the non-Federal entity,
(c)Exempt federally-owned property means property acquired under a Federal award where the Federal awarding
agency has chosen to vest title to the property to the non-Federal entlty without further obligation to the Federal
Government,based upon the explicit terms and conditions of the Federal award,The Federal awarding agency may
exercise this option when statutory authority exists,Absent statutory authority and specific terms and conditions of the
Federal award,title to exempt federally-owned property acquired under the Federal award remains with the Federal
Government.
[78 FR 78608,Dec.26.2013,as amended at 79 FIR 75884,Dec.19,20141
§200.313 Equipment.
See also§200.439 Equipment and other capital expenditures.
(a) 17Ue. Subject to the obligatlons and conditions set forth In this section,title to equipment acquired under a Federal
award will vest upon acquisition in the non-Federal entity.unless a statute specifically authorizes the Federal agency to
vest title in the non-Federal entity without further obligatlon to the Federal Government,and the Federal agency elects to
do so,the title must be a conditional title.Title must vest In the non-Federal amity subject to the following conditions:
(1)Use the equipment for the authorized purposes of the project during the period of performance,or until the
property Is no longer needed for the purposes of the project.
(2)Not encumber the property without approval of the Federal awarding agency or pass-through entity.
(3)Use and dispose of the property in accordance with paragraphs(b),(c)and(e)of this section.
(b)A state must use,manage and dispose of equipment acquired under a Federal award by the state In accordance
with state laws and procedures.Other non-Federal entities must follow paragraphs(c)through(a)of this section.
(c)Use.(1)Equipment must be used by the non-Federal entity in the program or project for which it was acquired as
long as needed,whether or not the project or program continues to be supported by the Federal award,and the non-
Federal entity must not encumber the property without prior approval of the Federal awarding agency.When no I a n g a r
needed for the original program or project,the equipment may be used in other activities supported by the Federal
awarding agency,In the following order of prlority:
(i)Activities under a Federal award from the Federal awarding agency which funded the original program or project,
then
(il)Activities under Federal awards from other Federal awarding agencies.This Includes consolidated equipment for
Information technology systems.
(2)During tha time that equipment is used on the project or program for which it was aoquIred,the non-Federal entity
must also make equipment available for use on other projects or programs currently or previously supported by the
Federal Government,provided that such use will not interfere with the worts on the projects or program for which It was
originally acquired.First preference for other use must be given to other programs or projects supported by Federal
awarding agency that financed the equipment and second preference must be given to programs or projects under
Federal awards from other Federal awarding agencies.Use for non-federally-funded programs or projects is also
permissible.User fees should be considered If appropriate.
(3)Notwithstanding the encouragement in§200.307 Program Income to earn program Income,the non-Federal entity
must not use equipment acquired with the Federal award to provide services for a fee that is less than private companies
charge for equivalent services unless specifically authorized by Federal statute for as long as the Federal Government
retains an Interest In the equipment.
(4)When acquiring replacement equipment,the non-Federal entity may use the equipment to be replaced as a trade-
in or sell the property and use the proceeds to offset the cost of the replacement property.
(d)Management requirements.Procedures for managing equipment(Including replacement equipment),whether
acquired in whole or In part under a Federal award,until disposition takes place will,as a minlmum,meet the following
requirements:
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(1)Property records must be maintained that Include a description of the property,a serial number or other
identification number, the source of funding for the property(Including the FAIN),who holds title,the acquisition date,and
cost of the property,percentage of Federal participation In the project costs for the Federal award under which the property
was acquired,the location,use and condition of the property,and any ultimate disposition data Including the date of
disposal and sale price of the property.
(2)A physical Inventory of the property must be taken and the results reconciled with the property records at least
once every two years.
(3)A control system must be developed to ensure adequate safeguards to prevent loss,damage,or theft of the
property.Any loss,damage,or theft must be investigated.
(4)Adequate maintenance procedures must be developed to keep the property in good coed€tlon.
(5)If the non-Federal entity Is authorized or required to sell the property, proper sales procedures must be established
to ensure the highest possible return.
(a)Disposition.When original or replacement equipment acquired under a Federal award is no longer needed for the
original project or program or for other activltles currently or previously supported by a Fedora awarding agency,except as
otherwise provided In Federal statutes,regulations,or Federal awarding agency disposition Instructions,the non-Federal
entity must request disposition instructions from the Federal awarding agency if required by the terms and conditions of
the Federal award. Disposition of the equipment will be made as follows,In accordance with Federal awarding agency
disposition instructions:
(1)Items of equipment with a current per unit fair market value of$5,000 or less may be retained,sold or otherwise
disposed of with no further obligation to the Federal awarding agency.
(2)Except as provided in§200.312 Federally-owned and exempt property,paragraph(b),or if the Federal awarding
agency faits to provide requested disposition Instructions within 120 days,items of equipment with a current per-unit fair-
market value In excess of$5,000 may be retained by the non-Federal entity or sold.The Federal awarding agency Is
entitled to an amount calculated by multiplying the current market value or proceeds from sale by the Federal awarding
agency's percentage of participatlon In the cost of the original purchase.If the equipment is sold,the Federal awarding
agency may permit the non-Federal entity to deduct and retain from the Federal share$500 or ten percent of the
proceeds,whichever is less,for its selling and handling expenses.
(3)The non-Federal entity may transfer title to the property to the Federal Government or to an eligIble third party
provided that,in such cases,the non-Federal entity must be entitled to compensation for its attributable percentage of the
current fair market value of the property,
(4)In cases where a non-Federal entity fails to take appropriate disposition actions,the Federal awarding agency may
direct the non-Federal entity to take disposition actions.
[78 FR 78608,Dec.26.2013,as amended at 79 FR 75W,Dec.19,20141
§200.314 Supplies.
See also§200.453 Materials and supplies costs,Including costs of computing devices.
(a)Title to supplies will vest In the non-Federal entity upon acquisition.If there is a residual Inventory of unused
supplies exceeding$5,000 In total aggregate value upon termination or completion of the project or program and the
supplies are not needed for any other Federal award,the non-Federal entity must retain the supplies for use on other
activities or sell them,but must,in either case,compensate the Federal Government for Its share.The amount of
compensation must be computed in the same manner as for equipment.See§200.313 Equipment,paragraph(eK2)for
the calculation methodology,
(b)As long as the Federal Government retains an Interest In the supplies,the non-Federal entity must not use
supplies acquired under a Federal award to provide services to other organizations for a fee that Is less than private
companies charge for equivalent services,unless specifically authorized by Federal statute.
§200.315 Intangible property.
(a)Title to Intangible property(see§200.59 Intangible property)acquired under a Federal award vests upon
acquisition In the non-Federal entity.The non-Federal entity must use that property for the originally-authorized purpose,
and must not encumber the property without approval of the Federal awarding agency.When no longer needed for the
originally authorized purpose,disposition of the Intangible property must occur In accordance with the provisions In
§200,313 Equipment paragraph(a).
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(b)The non-Federal entity may copyright any work that is subject to copyright and was developed,or for which
ownership was acquired,under a Federal award.The Federal awarding agency reserves a royalty-free,nonexclusive and
Irrevocable right to reproduce,publish,or otherwise use the work for Federal purposes,and to authorize others to do so.
(c)The non-Federal entity is subject to applicable regulations governing patents and inventions,including
govemmentwide regulations issued by the Department of Commerce at 37 CFR Part 401,"Rights to inventions Made by
Nonprofit Organizations and Small Business Firms Under Government Awards,Contracts and Cooperative Agreements."
td)The Federal Government has the right to:
(1)Obtain,reproduce,publish,or otherwise use the data produced under a Federal award;and
(2)Authorize others to receive,reproduce,publish,or otherwise use such data for Federal purposes.
(e)Freedom of lnformatlon Act(FOIA).
(1)In response to a Freedom of Inform atlon Act(FOIA)request far research data relating to published roses roh
flndIngs produced under a Federal award that were used by the Federal Govemment In developing an agency action that
has the force and effect of law,the Federal awarding agency must request,and the non-Federal entity must provide,within
a reasonable time,the research data so that they can be made available to the public through the procedures established
under the FOIA.If the Federal awarding agency obtains the research data solely in response to a FOIA request, the
Federal awarding agency may charge the requester a reasonable fee equaling the full incremental cost of obtaining the
research data.This fee should reflect costs incurred by the Federal agency and the non-Federal entity.This fee is In
addition to any fees the Federal awarding agency may assess under the FOIA 45 U.S.C.552(ax4)(A)).
(2)Published research findings means when:
(i)Research findings are published In a peer-reviewed scientific or technical joumal;or
(11)A Federal agency publicly and officially cites the research findings In support of an agency action that has the force
and effect of law."Used by the Federal Government in developing an agency action that has the force and effect of law"is
defined as when an agency publicly and officially cites the research findings In support of an agency action that has the
force and effect of law,
(3)Research data means the recorded factual material commonly accepted In the scientific community as necessary
to validate research findings,but not any of the following:preliminary analyses,drafts of scientific papers,plans for future
research, peer reviews,or communications with colleagues.This"recorded'material excludes physical objects(e.g.,
laboratory samples). Research data also do not include:
(1)Trade secrets,commercial Information,materials necessary to be held confidential by a researcher until they are
published,or similar information which Is protected under law;and
(il)Personnel and medical information and similar information the disclosure of which would constitute a clearly
unwarranted invasion of personal privacy,such as information that could be used to Identify a particular person in a
research study.
178 FR 78608,Dec.26,2013.as amended at 79 FIR 75884,Dec.19,2014)
§200.318 Property trust relationship.
Real property,equipment,and intangible property,that are acquired or improved with a Federal award must be held in
trust by the non-Federal entlty as trustea for the beneficiaries of tha protect or program under which the property was
acquired or improved.The Federal awarding agency may require the non-Federal entity to record liens or other
appropriate notices of record to indicate that personal or real property has been acquired or Improved with a Federal
award and that use and dispositlon conditions apply to the property.
Need aulslance?
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APPENDIX F
ELECTRONIC CODE OF FEDERAL REGULATIONS
e-CFR data is current as of August 11, 2017
Title 2 Subtitle A—Chapter II — fart 200—Subpart D—Subject Group
Title 2:Grants and Agreements
PART 200—UNIFORM ADMINISTRATIVE REQUIREMENTS, COST PRINCIPLES,AND AUDIT REQUIREMENTS FOR
FEDERAL AWARDS
Subpart D—Post Federal Award Requirements
PROCUREMENT STANDARDS
§200.317 Procurements by states.
When procuring property and services under a Federal award,a state must follow the same policies and procedures it
uses for procurements from its non-Federal funds.The state will comply with§200.322 Procurement of recovered
materials and ensure that every purchase order or other contract includes any clauses required by section§200.326
Contract provisions.All other non-Federal entities,including subrecipients of a state,will follow§§200.318 General
procurement standards through 200.326 Contract provisions.
§200.318 General procurement standards.
(a)The non-Faderat entity must use Its own documented procurement procedures which reflect applicable State,
local,and tribal laws and regulations,provided that the procurements conform to applicable Federal law and the standards
identified in this part.
(b)Non-Federal entities must maintain oversight to ensure that contractors perform in accordance with the terms,
conditions,and specifications of their contracts or purchase orders.
(c)(1)The non-Federal entity must maintain written standards of conduct covering conflicts of interest and governing
the actions of its employees engaged In the selection, award and administration of contracts. No employee,officer, or
agent may participate in the selection,award, or administration of a contract supported by a Federal award if he or she has
a real or apparent conflict of interest. Such a conflict of interest would arise when the employee, officer,or agent, any
member of his or her Immediate family, his or her partner,or an organization which employs or is about to employ any of
the parties indicated herein, has a financial or other interest in or a tangible personal benefit from a firm considered for a
contract.The officers,employees,and agents of the non-Federal entity may neither solicit nor accept gratuities,favors,or
anything of monetary value from contractors or parties to subcontracts.However,non-Federal entities may set standards
for situations in which the financial interest is not substantial or the gift is an unsolicited item of nominal value.The
standards of conduct must provide for disciplinary actions to be applied for violations of such standards by officers,
employees,or agents of the non-Federal entity.
(2) If the non-Federal entity has a parent,affiliate,or subsidiary organization that is not a state, local government,or
Indian tribe,the non-Federal entity must also maintain written standards of conduct covering organizational conflicts of
interest. Organizational conflicts of interest means that because of relationships with a parent company,affiliate, or
subsidiary organization,the non-Federal entity is unable or appears to be unable to be impartial in conducting a
procurement action involving a related organization.
(d)The non-Federal entity's procedures must avoid acquisition of unnecessary or duplicative items.Consideration
should be given to consolidating or breaking out procurements to obtain a more economical purchase.Where appropriate,
an analysis will be made of lease versus purchase alternatives,and any other appropriate analysis to determine the most
economical approach.
(e)To foster greater economy and efficiency,and in accordance with efforts to promote cost-effective use of shared
services across the Federal Government, the non-Federal entity is encouraged to enter into state and local
intergovernmental agreements or inter-entity agreements where appropriate for procurement or use of common or shared
goods and services.
(f)The non-Federal entity Is encouraged to use Federal excess and surplus property In lieu of purchasing new
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aqu1pment and property whenever such use Is feasible and redddes pljdct' sts.
(g)The non-Federal entity is encouraged to use value engineering clauses In contracts for construction projects of
sufficient size to offer reasonable opportunitlas for cost reductions.Value englneering is a systematic and creative analysis
of each contract Item or task to ensure that Its essential Function is provided at the overall lower cost.
(h)The non-Federal entity must award contracts only to responsible contractors possessing the ability to perform
successfully under the terms and conditions of a proposed procurement.ConsIderatlon wlII be given to such matters as
contractor integrity,compliance with public policy,record of past performance,and financlal and technical resources.See
also§200.213 Suspension and debarment.
(I)The non-Federal entity must maintain records sufficlent to detail the history of procurement.These records will
include,but are not necessarily limited to the following:rationale for the method of procurement,selection of contract type,
contractor selection or rejection,and the basis for the contract price.
0)(1)The non-Federal entity may use a time and materials type contract only after a determination that no other
contract is suitable and If the contract Includes a ceiling price that the contractor exceeds at its own risk.Time and
materials type contract means a contract whose cast to a non-Federal entity is the sum of*
(1)The actual cost of materials;and
(ii)Direct labor hours charged at fixed hourly rates that reflect wages,general and administrative expenses,and profit.
(2)Since this formula generates an open-ended contract price,a time-and-materials contract provides no positive
profit incentive to the contractor for cost control or labor efficiency.Therefore,each contract must set a ceiling price that
the contractor exceeds at its own risk.Further,the non-Federal entity awarding such a contract must assert a high degree
of oversight In order to obtain reasonable assurance that the contractor Is using efficient methods and effective cost
controls.
(k)The non-Federal entity alone must be responsible,in accordance with goad administrative practice and sound
business Judgment,for the settlement of all contractual and administrative issues arising out of procurements.These
Issues Include,but are not limited to,source evaluation,protests,disputes,and claims.These standards do not relieve the
non-Federal ent€ty of any contractual responsibilities under its contracts.The Federal awarding agency will not substitute
its judgment for that of the non-Federal entity unless the matter Is primarily a Federal concern.Violations of law will be
referred to the local,state,or Federal authority having proper Jurisdiction.
178 FR 78608,Dec.26,2013,as amended at 79 FR 75885,Dec.19.2014;80 FR 43309,,July 22,2015]
§200.319 Competition.
(a)Ail procurement transactions must be conducted in a manner providing full and open competition consistent with
the standards of this section.In order to ensure objective contractor performance and eIIm€hate unfair earnpetltive
advantage,contractors that develop or draft specifications,requirements,statements of work,or invitations for bids or
requests for proposals must be excluded from competing for such procurements.Some of the situations considered to be
restrictive of competition include but are not limited to:
(1)Placing unreasonable requirements on firms In order for them to qualify to do business;
(2)Requiring unnecessary experience and excessive bonding;
(3)Noncompetifive pricing practices between fums or between affiliated companies;
(4)Noncompetitive contracts to consultants that are on retainer contracts;
(5)Organizatlonat confilcts of Interest;
(6)Specifying only a`brand name"product Instead of allowing"an equal"product to be offered and describing the
performance or other relevant requirements of the procurement;and
(7)Any arbitrary action In the procurement process.
(b)The non-Federal entity must conduct procurements In a manner that prohibits the use of statutorily or
administratively Imposed state,local,or tribal geographical preferences In the evaluation of bids or proposals,except In
those cases where applicable Federal statutes expressly mandate or encourage geographic preference.Nothing In this
section preempts state licensing laws.When contracting for architectural and engineering(ME)services,geographic
location may be a selection criterion provided its application leaves an appropriate number of qualified firms,given the
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nature and size of the project,to compete for the contract.
(c)The non-Federal entity must have written procedures for procurement transactions.These procedures must
ensure that all solicitations:
(1)Incorporate a clear and accurate description of the technical requirements for the material,product,or service to
be procured.Such description must not,in competitive procurements,contain features which unduly restrict competition.
The description may Include a statement of the qualitative nature of the material,product or service to be procured and,
when necessary,must set forth those minimum essentlal characteristics and standards to which It must conform if It Is to
satisfy its intended use.Detailed product specifications should be avoided if at all possible.When it is impractical or
uneconomical to make a clear and accurate description of the technical requirements,a"brand name or equivalent"
description may be used as a means to define the performance or other salient requirements of procurement.The specific
features of the named brand which must be met by offers must be clearly stated;and
(2)Identify all requirements which the offerors must fulfill and all other factors to be used in evaluating bids or
proposals.
(d)The non-Federal entity must ensure that all prequalified fists of persons,firms,or products which are used in
acquiring goads and services are current and Include enough qualified sources to ensure maxlmum open and free
competlllon.Also,the non-Federal entity must not preclude potential bidders from qualifying during the sclicitation period.
f78 FR 78648,Dec.26,2013.as amended at 79 FIR 75885,Dec. 19,2014]
§200,320 Methods of procurement to be followed.
The non-Federal entity must use one of the following methods of procurement.
(a)Procurement by micro-purchases.Procurement by micro-purchase is the acquisition of supplies or services,the
aggregate dollar amount of which does not exceed the micro-purchase threshold(§200.67 Micro-purchase).To the extent
practicable,the non-Federal entity must distribute micro-purchases equitably among qualified suppliers.Micro-purchases
may be awarded without sollelting competltive quotations if the non-Federal entity considers the price to be reasonable.
(b)Procurement by small purchase procedures.Small purchase procedures are those relatively simple and informal
procurement methods for securing services,supplies,or other property that do not cost more than the Simplified
Acquisition Threshold.If small purchase procedures are used,price or rate quotations must be obtained from an adequate
number of qualified sources.
(c)Procurement by sealed bids(formal advertising).Bids are publicly solicited and a firm fixed price contract(lump
sum or unit price)Is awarded to the responsible bidder whose bid,conforming with all the material terms and conditions of
the lnvltatlon for bids,Is the lowest In price.The sealed bid method is the preferred method for procuring construction,If
the conditions in paragraph(cx1)of this section apply.
(1)In order for sealed bidding to be feasible,the following conditions should be present:
(€)A complete,adequate,and realistic specification or purchase description is available:
(11)Two or more responsible bidders are willing and able to compete effectively for the business;and
(ill)The procurement lends itself to a firm fixed price contract and the selection of the suocessful bidder can be made
principally on the basis of price.
(2)If sealed bids are used,the following requirements apply:
(I)Bids must be solicited from an adequate number of known suppliers,providing them sufficient response time prior
to the date set for opening the bids,for local,and tribal governments,the Invitation for bids must be publicly advertised;
(Il)The invitation for bids,which will include any speclficallons and pertinent attachments,must define the items or
services in order for the bidder to property respond;
(III)All bids will be opened at the time and place prescribed In the Invitation for bids,and for local and tribal
governments,the bids must be opened publicly;
(lv)A firm fixed price contract award will t7e made In writing to the lowest responsive and responsible bidder.Where
specified in bidding documents,factors such as discounts,transportation crest,and life cycle costs must be considered In
determining which bid is lowest.Payment discounts will only be used to determine the low bid when prior experience
Indicates that such discounts are usually taken advantage of;and
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(v)Any or all bids may be rejected if there Is a sound documented reason.
(d)Procurement by competitive proposals.The technique of competitive proposals is normally conducted with more
than one source submitting an offer,and either a fixed price or cost-relmbursement type contract is awarded. It Is generally
used when conditions are not appropriate for the use of seated bids. If this method Is used,the following requirements
apply:
(1)Requests far proposals must be pubIlelzed and identify all eve luallon factors and their relative importance.Any
response to publicized requests for proposals must be considered to the maximum extent practical;
(2)Proposals must be solicited from an adequate number of qualified sources;
(3)The non-Federal entity must have a written method for conducting technical evaluations of the proposals received
and for selecting recipients;
(4)Contracts must be awarded to the responsible firm whose proposal is most advantageous to the program,with
prim and other factors considered;and
(5)The non-Federal entity may use competitive proposal procedures for quallflcations-basad procurement of
architecturaNengineedng(A1E)professional services whereby competitors'qualifications are evaluated and the most
qualified competitor is selected,subject to negotiation of fair and reasonable compensation.The method,where price is
not used as a selection factor,can only be used In procurement of AIE professional services. It cannot be used to
purchase other types of services though A!E firms are a potential source to perform the proposed effort.
(a)[Reserved]
(f)I Procurement by noncompetitive proposals.Procurement by noncompetitive proposals is procurement through
solicitation of a proposal from only one source and may be used only when one or more of the following circumstances
apply:
(1)The item is available only from a single source;
(2)The public exigency or emergency for the requirement will not permit a delay resulting from competitive
sollcitation;
(3)The Federal awarding agency or pass-through entity expressly authorizes noncompetitive proposals In response
to a written request from the non-Federal entity;or
(4)After solicitation of a number of sources,competition is determined inadequate.
(78 FR 78608,Dec.26,2013,as amended at 79 FR 75885,Dec. 19,2014,8D FR 54409,Sept.10,2015]
§200.321 Contracting with small and minority businesses,women's business enterprises,and labor surplus area
firms.
(a)The non-Federal entity roust take all necessary affirmative steps to assure that minority businesses,women's
business enterprises,and labor surplus area firms are used when possible.
(b)Affirmative steps must include:
(1)Placing qualified small and minority businesses and women's business enterprises on solicitation lists;
(2)Assuring that small and minority businesses,and women's business enterprises are solicited whenever they are
potential sources;
(3)D€vid€ng total requirements,when economically feasible,Into smaller tasks or quantities to permit maximum
participation by small and minority businesses,and women's business enterprises;
(4)Establishing delivery schedules,where the requirement permits,which encourage participation by small and
minority businesses,and women's business enterprises;
(5)Using the services and assistance,as appropriate,of such organizations as the Small Business Administrallon
and the Minority Business Development Agency of the Department of Commerce;and
(6)Requiring the prime contractor,if subcontracts are to be let,to take the affirmative steps listed In paragraphs(1)
through(5)of this section.
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§200.322 Procurement of recovered materials.
A non-Federal entity that is a slate agency or agency of a political subdivision of a state and its contractors must
comply with section 6002 of the Solid Waste Disposal Act,as amended by the Resource Conservation and Recovery Act.
The requirements of Section 6002 Include procuring only items designated in guidellnes of the Environmental Protection
Agency(EPA)at 40 CFR part 247 that contain the highest percentage of recovered materials practicable,consistent with
maintaining a satisfactory level of competition,where the purchase price of the item exceeds$10,000 or the value of the
quantity acquired during the preceding fiscal year exceeded$10,000;procuring solid waste management services In a
manner that maximizes energy and resource recovery;and establishing an affirmative procurement program for
procurement of recovered materials Identified in the EPA guidelines.
[78 FR 78808,Dec.26,2013.as amended al 79 FIR 75885.Dec.19,2014]
§200.323 Contract cost and price.
(a)The non-Federal entity must perform a cost or price analysis in connection with every procurement action in
excess of the Simplified Acquisition Threshold including contract modifications,The method and degree of analysis is
dependent on the facts surrounding the particular procurement situation,but as a starting point,the non-Federal entity
must make independent estimates before receiving bids or proposals.
(b)The non-Federal entity must negotiate profit as a separate element of the price for each contract In which there Is
no price competition and in all cases where cost analysis is performed.To establish a fair and reasonable profit,
consideration must be given to the complexity of the work to be performed,the risk bome by the contractor,the
contractor's investment,the amount of subcontracting,the quality of its record of past performance,and industry profit
rates In the surrounding geographical area for slmllar work.
(c)Costs or prices based on estimated costs for contracts under the Federal award are allowable only to the extent
that costs incurred or cost estimates Included in negotiated prices would be allowable for the non-Federal entity under
Subpart E- Cost Principles of this part.The non-Federal entity may reference its own cost principles that comply with the
Federal cost principles.
(d)The cost plus a percentage of cost and percentage of construction cost methods of contracting must not be used.
§200.324 Federal awarding agency or pass-through entity review.
(a)The non-Federal entity must make available,upon request of the Federal awarding agency or pass-through entity,
technical specifications on proposed procurements where the Federal awarding agency or pass-through entity believes
such review Is needed to ensure that the Item or service specified is the one being proposed for acquisition,This review
generally will take place prior to the time the specification Is incorporated Into a solicitation document.However,if the non-
Federal entity desires to have the revlaw accomplished after a solicitation has been developed,the Federal awarding
agency or pass-through entity may still review the specificatlons,with such review usually limited to the technical aspects
of the proposed purchase.
(b)The non-Federal entity must make availabla upon request,for the Federal awarding agency or pass-through entity
pre-procurement review,procurement documents,such as requests for proposals or Invitations for bids,or independent
cost estimates,when:
(1)The non-Federal entity's procurement procedures or operation fails to comply with the procurement standards In
this part;
(2)The procurement Is expected to exceed the Simplified Acquisition Threshold and Is to be awarded without
competition or only one bid or offer is received in response to a solicitation;
(3)The procurement,which is expected to exceed the Simplified Acquisition Threshold,specifies a'brand name'
product;
(4)The proposed contract is more than the Simplified Acquisition Threshold and Is to be awarded to other than the
apparent low bidder under a sealed bid procurement;or
(5)A proposed contract modification changes the scope of a contract or Increases the contract amount by more than
the Simplified Acquisition Threshold.
(c)The non-Federal entity Is exempt from the pre-procurement review In paragraph(b)of this section if the Federal
awarding agency or pass-through entity determines that Its procurement systems comply with the standards of this part.
(1)The non-Federal entity may request that Its procurement system be reviewed by the Federal awarding agency or
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pass-through entity to determine whether its system meets these standards In order for its system to be cerUfiad.
Generally,these reviews must occur where there Is continuous high-dollar funding,and third party contracts are awarded
on a regular basis;
(2)The non-Federal entity may self-certify Its procurement system.Such self-certification must not limit the Federal
awarding agency's right to survey the system.Under a self-certificatlon procedure,the Federal awarding agency may rely
on written assurances from the non-Federal entity that it is complying with these standards.The non-Federal entity must
cite specific policies,procedures,regulations,or standards as being In compliance with these requirements and have its
system available for review,
§200.325 Bonding requirements.
For construction or facility Improvement contracts or subcontracts exceeding the Simplified Acquisition Threshold,the
Federal awarding agency or pass-through entity may accept the bonding policy and requirements of the non-Federal entity
provided that the Federal awarding agency or pass-through entity has made a determination that the Federal Interest Is
adequately protected.If such a determination has not been made,the min#mum requirements must be as follows:
(a)A bid guarantee from each bidder equivalent to five percent of the bid price.The"bid guarantee"must consist of a
firm commitment such as a bid bond,certified check,or other negotiable instrument accompanying a bid as assurance that
the bidder will,upon acceptance of the bid,execute such contractual documents as may be required within the time
specified.
(b)A performance bond on the part of the contractor for 100 percent of the contract price.A`performance bond'Is
one executed In connection with a contract to secure fulfillment of all the contractor's obligations under such contract.
(c)A payment band on the part of the contractor for 100 percent of the contract price.A"payment bond"is one
executed In con nectlon with a contract to assure payment as required by law of all persons supplying tabor and material In
the execution of the work provided for In the contract.
§200.326 Contract provisions.
The non-Federal entity's contracts must contain the applicable provisions described In Appendix II to Part 200—
Contract Provisions for non-Federal Entity Contracts Under Federal Awards.
Need assistance?
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APPENDIX
STANDARD SPECIAL PROVISION
REQUIRED CONTRACT PROVISIONS FEDERAL-AID CONSTRUCTION CONTRACTS
FHWA-1273 Electronic Version-May 1,2012 Z-8
1.General
II,Nondiscrimination
111.]Nonsegregated Facilities
IV.Davis-Bacon and Related Act Provisions
V.Contract Work Hours and Safety Standards Act Provisions
VI,Subletting or Assigning the Contract
VIL Safety:Accident Prevention
VIII,False Statements Concerning Highway Projects
1X.Implementation of Clean Air Act and Federal Water Pollution Control Act
X.Compliance with Govemmentwide Suspension and Debarment Requirements
XI.Certification Regarding Use of Contract Funds for Lobbying
ATTACHMENTS
A. Employment and Materials Preference for Appalachian Development Highway System or Appalachian Local Access Road Contracts(included in
Appalachian contracts only)
I. GENERAL
I. Form FHWA-1273 must be physically incorporated in each construction contract funded under Title 23(excluding emergency contracts solely
intended for debris removal).The contractor(or subcontractor)must insert this form in cacti subcontract and further require its inclusion in all
lower tier subcontracts(excluding purchase orders,rental agreements and other agreements for supplies or services).
The applicable requirements of Form FHWA-1273 are incorporated by reference for work done under any purchase order,rental agreement
or agreement for other services. The prime contractor shall be responsible for compliance by any subcontractor, lower-tier subcontractor or
service provider.
Form FHWA-1273 must be included in all Federal-aid design-build contracts,in all subcontracts and in lower tier subcontracts(excluding
subcontracts for design services,purchase orders,rental agreements and other agreements for supplies or services).The design-builder shall be
responsible for compliance by any subcontractor,lower-tier subcontractor or service provider.
Contracting agencies may reference Form FHWA-1273 in bid proposal or request for proposal documents,however,the Form
FHWA-1273 must be physically incorporated (not referenced) in all contracts,subcontracts and lower-tier subcontracts (excluding purchase
orders,rental agreements and other agreements for supplies or services related to a construction contract),
2. Subject to the applicability criteria noted in the following sections,these contract provisions shall apply to all work performed on the contract by
the contractors own organization and with the assistance of workers under the contractors immediate superintendence and to all work performed
on the contract by piecework,station work,or by subcontract.
3. A breach of any of the stipulations contained in these Required Contract Provisions may be sufficient grounds for withholding of progress
payments,withholding of final payment,termination of the contract,suspension/debarment or any other action determined to be appropriate by
the contracting agency and FHWA.
4. Selection of Labor: During the performance of this contract, the contractor shall not use convict labor for any purpose within the limits of
a construction project on a Federal-aid highway unless it is labor performed by convicts who are on parole,supervised release,or probation.The
term Federal-aid highway does not include roadways functionally classified as local roads or rural minor collectors.
IL NONDISCRIMINATION
The provisions of this section related to 23 CFR Part 230 arc applicable to all Federal-aid construction contracts and to all related construction
subcontracts of$10,000 or more. The provisions of 23 CFR Part 230 are not applicable to material supply, engineering,or architectural service
contracts.
In addition,the contractor and all subcontractors must comply with the following policies:Executive Order 11246,41 CFR 60,
29 CFR 1625-1627,Title 23 USC Section 140,the Rehabilitation Act of 1973,as amended(29 USC 794),Title VI of the Civil Rights Act of 1964,as
anmendcd,and related regulations including 49 CFR Parts 21,26 and 27;and 23 CFR Parts 200,230,and 633.
The contractor and all subcontractors must comply with: the requirements of the Equal Opportunity Clause in 41 CFR 60-1.4(b)and,for all
construction contracts exceeding 510,000,the Standard Federal Equal Employment Opportunity Construction Contract Specifications in
41 CFR 60-4.3.
Nate: The U.S. Department of Labor has exclusive authority to determine compliance with Executive Order 11246 and the policies of the
Secretary of Labor including 41 CFR 60,and 29 CFR 1625-1627.The contracting agency and the FHWA have the authority and the responsibility to
ensure compliance with Title 23 USC Section 140,the Rehabilitation Act of 1973,as amended(29 USC 794),and Title VI of the Civil Rights Act of
1964,as amended,and related regulations including 49 CFR Parts 21,26 and 27;and 23 CFR Parts 200,230,and 633.
The following provision is adopted from 23 CFR 230, Appendix A, with appropriate revisions to conform to the U.S. Department of
Labor(US DOL)and FHWA requirements.
t. Equal Employment Opportunity: Equal employment opportunity(EEO)requirements not to discriminate and to take affirmative action to
assure equal opportunity as set forth under laws,executive orders,rules,regulations(28 CFR 35,29 CFR 1630,29 CFR 16254627,
41 CFR 60 and 49 CFR 27)and orders of the Secretary of Labor as modified by the provisions prescribed herein,and imposed pursuant to
23 U.S.C. 140 shall constitute the EEO and specific affirmative action standards for the contractor's project activities under this contract.
The provisions of the Americans with Disabilities Act of 1990(42 U.S.C. 12101 et seq.) set forth under 28 CFR 35 and 29 CFR 1630 are
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incorporated by reference in this contract.In the execution of this contract,the contractor agrees to comply with the following minimum specific
requirement activities of EEO:
a. The contractor will worst with the contracting agency and the Federal Government to ensure that it has made every good faith effort to
provide equal opportunity with respect to all of its terms and conditions ofemployment and in their review of activities[order the contract.
b. The contractor will accept as its operating policy the to]]owing statement:
"It is the policy of this Company to assure that applicants are employed,and that employees are treated during employment,without regard to
their race,religion,sex,color,national origin,age or disability.Such action shall include:employment,upgrading,demotion,or transfer,
recruitment or recruitment advertising; layoff or termination; rates of pay or other forms of compensation; and selection for training,
including apprenticeship,pre-apprenticeship,and/or on-the job training."
2. EEO Officer:The contractor will designate and make known to the contracing officers an EEO Officer who will have the responsibility for and
must be capable of effectively administering and promoting an active EEO program and who must be assigned adequate authority and
responsibility to do so.
3. Dissemination of Policy:All members of the contractor's staff who are authorized to hue,supervise,promote,and discharge employees,or who
recommend such action,or who arc substantially involved in such action,will be made fully cognizant of,and will implement,the contractors
EEO policy and contractual respoasibilitics to provide EEO in each grade and classification of employment.To ensure that the above agreement
will he met,the following actions will be taken as a minimum:
a. Periodic meetings of supervisory and personnel office employees will be conducled before the start of work and then not less often than once
every six months,at which time the contractor's EEO policy and its implementation will be reviewed and explained.The meetings will be
conducted by the EEO Officer.
b. All new supervisory or personnel office employees will be given a thorough indoctrination by the EEO Ofcer,covering all major aspects of
the contractor's EEO obligations within thirty days following their reporting for duty with the contractor.
c. All personnel who are engaged in direct recruitment for the project will be instructed by the EEO Officer in the contractor's procedures for
locating and hiring minorities and women.
d. Notices and posters setting forth the contractor's EEO policy will be placed in areas readily accessible to employees, applicants for
employment and potential employees.
e. The contractor's EEO policy and the procedures to implement such policy will be brought to the attention of employees by means of
meetings,employee handbooks,or other appropriate means.
4. Reerullment: When advertising for employees, the contractor will include in all advertisements for employees the nolatiom "An Equal
Opportunity Employer."All such advertisements will be placed in publications having a large circulation among minorities and women in the
area from which the project work force would normally be derived.
a. The contractor will,unless precluded by a valid bargaining agreement,conduct systematic and direct recruitment through public and private
employee referral sources likely to yield qualified minorities and women.To meet this requirement,die contractor will identify sources of
potential minority group employees,and establish with such identified sources procedures whereby minority and women applicants may be
referred to the contractor for employment consideration.
b. In the event the contractor has a valid bargaining agreement providing for exclusive hiring hall referrals,the contractor is expected to observe
the provisions of that agreement to the extent that the system meets the contractor's compliance with EEO contract provisions. Where
implementation of such an agreement has the cffceI of discriminating against mine nties or women,or obligates the contractor to do the same,
such implementation vioIales Federal nondiscrimination provisions.
c. The contractor will encourage its present employees to refer minorities and women as applicants for employment. Information and
procedures with regard to referring such applicants will be discussed with employees.
S. Personnel Actions:Wages,working conditions,and employee benefits shall be established and administered,and personnel actions of every
type,including hiring,upgrading,promotion,transfer,demotion,layoff,and termination,shall be taken without regard to race,color,religion,sex,
national origin,age or disability.The following procedures shall be followed:
a. The contractor will conduct periodic inspections of project sites to insure that working conditions and employee facilities do not indicate
discriminatory treatment of project site personnel.
b. The con>raclor will periodically evaluate the spread of wages paid within each classification to determine any evidence of discriminatory
wage practices.
c. The contractor will periodically review selected personnel actions in depth to determine whether there is evidence of discrimination.Where
evidence is found,the contractor will promptly take corrective action.If the review indicates that die discrimination may extend beyond the
actions reviewed,such corrective action shall include all affected persons.
d. The contractor will promptly investigate all complaints of alleged discrimination made to the contractor in connection with its obligations
under this contract,will attempt to resolve such complaints,and will take appropriate corrective action within a reasonable time. If the
investigation indicates that the discrimination may affect persons other than the complainant,such corrective action shall include such other
persons.Upon completion of each investigation,the contractor will inform every complainant of all of their avenues of appeal.
5. Training and Promotion:
a. The contractor will assist in locating,qualifying,and increasing the skills of minorities and women who are applicants for employment or
current employees.Such efforts should be aimed at developing full journey level status employees in the type of trade or job classification
involved.
b. Consistent with the contractor's work force requirements and as permissible under Federal and State regulations,the contractor shall make
full use of training programs,i.c.,apprenticeship,and on-the job training programs for the geographical area of contract performance.In the
event a special provision for training is provided under this contract, this subparagraph will be superseded as indicated in the special
provision.The contracting agency may reserve training positions for persons who receive welfare assistance in accordance with
23 U.S.C. 140(a).
c The cortmic tor wi I I advise employees and applicants for employment ofavai lab Ic training programs and entrance requirements for each.
d. The contractor will periodically review the training and promotion potential of employees who are minorities and women and will encourage
eligible employees to apply for such training and promotion.
T Unions:If the contractor relics in whole or in part upon unions as a source of employees,the contractor will use good faith efforts to obtain the
cooperation of Stich unions to increase opportunities for minorities and women.Actions by[lie contractor,either directly or through a contractors
association acting as agent,will include the procedures set forth below:
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a. The contractor wi11 use good faith efforts to develop,in cooperation with the unions,joint training programs aimed toward qualifying more
minorities and women for membership in the unions and increasing the skips of minorilics and women so that they may qualify for higher
paying employment.
b. The contractor will use good faith efforts to incorporate an EEO clause into each union agreement to the end that such union will be
contractually bound to refer applicants without regard to choir race,color,religion,sex,national origin,age or disability.
c. The contractor is to obtain information as to the referral practices and policies of the labor union except that to the extent such information is
within the exclusive possession of the labor union and such labor union refuses to furnish such information to the contractor,the contractor
shall so certify to the contracting agency and shall set forth what efforts have been made to obtain such information.
d. In the event the union is unable to provide the contractor with a reasonable flow of referrals within the time limit set forth in the collective
bargaining agreement,the contractor will,through independent recruitment efforts, fill the employment vac=cies without regard to race,
color, religion, sex, national origin, age or disability; making full efforts to obtain qualified and/or qualifiable minorities and women.
The failure of a union to provide sufficient referrals(even though it is obligated to provide exclusive referrals under the terms of a collective
bargaining agreement)does not relieve the contractor from the requirements of this paragraph. In the event the union referral practice
prevents the contractor from meeting the obligations pursuant to Executive Order 11246,as amended,and these special provisions,such
contractor shall immediately notify the contracting agency-
8- Reasonable Accommodation for Applicants 1 Employees with Disabilities-The contractor must be familiar with the requirements for and
comply with the Americans with Disabilities Act and all rules and regulations established there under. Employers most provide reasonable
accommodation in all employment activities unless to do so would cause an undue hardship.
9. Selection of Subcontractors,Procurement of Materials and Leasing of Equipment:The contractor shall not discriminate on the grounds of
race,color,religion,sex,national origin,age or disability in the selection and retention of subcontractors,including procurement of materials and
leases of equipment.The contractor shall take all necessary and reasonable steps to ensure nondiscrimination in the administration of this contract.
a. The contractor shall notify all potential subcontractors and suppliers and lessors of their EEO obligations under this contract.
b. The contractor will use good faith efforts to ensure subcontractor compliance with their EEO obligations-
ID. Assurance Required by 49 CFR 26.i3(b):
a. The requirements of 49 CFR Part 26 and the State DOT'S U.S.DOT-approved DBE program are incorporated by reference.
b. The contractor or subcontractor 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 Pan 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 contract,which may result in the termination of this contract
or such other remedy as the contracting agency deems appropriate.
I . Records and Reports:The contractor shall keep sue It records as necessary to document compliance with the EEO requirements.Such records
shall be retained for a period of three years following the date of the Final payment io the contractor for all contract work and shall be avai lab to at
reasonable times and}daces for inspection by authorized representatives of the contracting agency and the FHWA.
a. The records kept by the contractor shall document the following:
(1) The number and work hours of minority and non-minority group members and women employed in each work classification on the
project;
(2) The progress and efforts being made in cooperation with unions,when applicable,to increase employment opporamiries for minorities
and women;and
(3) The progress and efforts bring made in locating,hiring,training,qualifying,and upgrading minorities and women;
b. The contractors and subcontractors will submit an annual report to the contracting agency each J a I y for the duration of the project,indicating
the number of minority,women,and non-minority grnup employees currently engaged in each work classification required by the contract
work.This information is to be re parted on Forth Fi-TWA-1391,Thc staffing data should represent the project work force cn board in all or
any part of the fast payroll period preceding the end of July.I on-the-job training is being required by special provision,the contractor will be
required to collect and report training data.The employment data should reflect the work force on board during all or any pan of the last
payroll period preceding the end of July.
Ill.NONSEGREGATED FACILITIES
This provision is applicable to all Federal-aid construction contracts and to all related construetion subcontracts of$10,000 or more.
The contractor must ensure that facilities provided for employees are provided in such a manner that segregation on the basis of race,color,
religion,sex,or national origin cannot result.The contractor may neither require such segregated use by written or oral policies nor tolerate such use
by employee custom.The contractor's obligation extends further to ensure that its employees are not assigned to perform their services at any location,
under the contractors control,where the facilities arc segregated.The term"facilities"includes waiting rooms,work areas,restaurants and other eating
areas, time clocks, restrooms, washrooms, locker rooms, and other storage or dressing areas, parking lots, drinking fountains, recreation or
entertainment areas,transportation,and housing provided for employees.The contractor shall provide separate or single-user restroo ins and necessary
dressing or sleeping areas to assure privacy betwecn sexes.
IV.DAVIS-BACON AND RELATED ACT PROVISIONS
This section is applicable to all Federal-aid construction projects exceeding$2,000 and to all related subcontracts and lower-tier subcontracts
(regardless of subcontract size).The requirements apply to all pmyects located within the right-of--way of a roadway that is functionally classified as
Fcdcral-aid highway.This excludes roadways functionally classified as local roads or rural minor collectors,which are exempt.Contracting agencies
may elect to apply these requirements to other projects.
The following provisions are from the U.S.Department of Labor regulations in 29 CFR 5.5"Contract provisions and related matters"with minor
revisions to con farm to the FHWA-1273 format and FHWA program requirements,
1. Minimum wages
a. All laborers and mechanics employed or working upon the site of the work,will be paid unconditionally and not"soften than once a week,
and without subsequent deduction or rebate on any account(except such payroll deductions as are permitted by regulations issued by the
Secretary of Labor under the Copeland Act(29 CFR part 3)),the full amount of wages and bona fide fringe benefits(or cash equivalents
thereof)due at time of payment computed at rates not less than those contained in the wage determination of the Secretary of Labor which is
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attached hereto and made a pan hereof,regardless of any contractual rel aliens hip which may be alleged to exist between the contractor and
such laborers and mcchanics.
Contributions made or costs reasonably anticipated for bona fide fringe benefits under section 1(b)(2)of the Davis-Bacon Act on behalf of
laborers or mechanics are considered wages paid to such laborers or mechanics,subject to the provisions of paragraph l.d.of this section;
also,regular contributions made or costs incurred for more than a weekly period(but not less often than quarterly) under plans, funds,
or programs which cover the particular weekly period,are deemed to be constructively made or incurred during such weekly period.Stich
laborers and mechanics shall be paid the appropriate wage rate and fringe benefits on the wage determination for the classification of work
actually performed,without regard to skill,except as provided in 29 CFR 5.5(a)(4).Laborers or mechanics performing work in more than one
classification may be compensated at the rate specified for each classification for the time actually worked therein: Provided,That the
employer's payroll records accurately set forth the time spent in each classification in which work is performed.The wage determination
(including any additional classification and wage rates conformed undcr paragraph Lb.ofthis section)and the Davis-Bacon
poster(WH-1321)shall be posted at all times by the contractor and its subcontractors at the site of the work in a prominent and accessible
place where it can be easily seen by the workers.
b.(1) The contracting officer shall require that any class of laborers or mechanics, including helpers, which is not listed in the wage
determination and which is to be employed under the contract shall be classified in conformance with the wage determination. The
contracting officer shall approve an additional classification and wage rate and fringe benefits therefore only when the following criteria
have been met:
(i) The work to be performed by the classification requested is not performed by a classification in the wage determination;and
(ii) The classification is utilized in the area by the construction industry;and
(iii)The proposed wage rate,including any bona fide fringe benefits,bears a reasonable relationship to the wage rates contained in the
wage determination-
(2) if the contractor and the laborers and mechanics to be employed in the classification (if known), or their representatives, and the
contracting officer agree on the classification and wage rate(including the amount designated for fringe benefits where appropriate),
a report of the action taken shaft be sent by the contracting off cer to the Administrator of the Wage and Hour Division,Employment
Standards Administration,U.S.Department of Labor,Washington,DC 20210.The Administrator,or an authorized representative,will
approve,modify,or disapprove every additional classification action within 30 days of receipt and so advise the contracting officer or
will notify the contracting officer within the 30-day period that additional lime is necessary.
(3) in the event the contractor,the laborers or mechanics to be employed in the classification or their representatives,and the contracting
officer do not agree on the proposed classification and wage rate (including the amount designated for fringe benefits, where
appropriate),the contracting officer shall refer the questions,including the views of all interested parties and the recommendation of die
contracting officer, to the Wage and Hour Administrator for determination. The Wage and Hour Administrator, or an authorized
representative,will issue a determination within 30 days of receipt and so advise the contracting officer or will notify the contracting
officer within the 30-day period that additional time is necessary.
(4) The wage rate(including fringe benefits where appropriate)determined pursuant to paragraphs I.b.(2)or I.b.(3)of this section,shall be
paid to all workers performing work in the classification under this contract from the first day on which work is performed in the
classification.
c. Whenever the minimum wage rate prescribed in the contract for a class of laborers or mechanics includes a fringe benefit which is not
expressed as an hourly rate,the contractor shall either pay the benefit as stated in the wage determination or shall pay another bona fide fringe
benefit or an hourly cash equivalent thereof.
d If the contractor does not make payments to a trustee or other third person,the contractor may consider as part of the wages of any laborer or
mechanic the amount of any costs reasonably anticipated in providing bona fide fringe benefits under a plan or program,Provided,That the
Secretary of Labor has found,upon the written request of the contractor,that the applicable standards of the Davis-Bacon Act have been met.
The Secretary of Labor may require the contractor to set aside in a separate account assets for the meeting of obligations under the plan or
program.
2. Withholding.Tire contracting agency shall upon its own action or upon written request of an authorized representative of the Department of
Labor,withhold or cause to be withheld from the contractor under this contract,or any other Federal contract with the same prime contractor,or
any other federally-assisted contract subject to Davis-Bacon prevailing wage requirements,which is held by the same prime contractor,so much
ofthe accrued payments or advances as may be considered necessary to pay laborers and mechanics,including apprentices,trainees,and helpers,
employed by the contractor or any subcontractor the frill amount of wages required by the contract. In the event of failure to pay any laborer or
mechanic,including any apprentice,trainee,or helper,employed or working on the site of the work,all or pan of the wages required by the
contract,the contracting agency may,after written notice to the contractor,take such action as may be necessary to cause the suspension of any
further payment,advance,or guarantee of funds until such violations have ceased.
3. Payrolls and basic records
a. Payrolls and basic records relating thereto shall be maintained by the contractor during the course of the work and preserved far a period of
three years thereafter for all laborers and mechanics working at the site of the work.Such records shall contain the name,address,and social
security number of each such worker,his or her correct classification,hourly rates of wages paid(including rates of contributions or costs
anticipated for bona fide fringe benefits or cash equivalents thereof of the types described in section I(b)(2)(S)of the Davis-Bacon Act),daily
and weekly number of hours worked,deductions made and actual wages paid.Whenever the Secretary of Labor has found under
29 CFR 5.5(a)(1)(iv)that the wages of any laborer or mechanic include the amount of any costs reasonably anticipated in providing benefits
under a plan or program described in section I(b)(2)(B)of rite Davis-Bacon Act,the contractor shall maintain records which show that the
commitment to provide such benefits is enforceable,that the plan or program is financially responsible,and that the plan or programs has been
communicated in writing to the laborers or mechanics affected,and records which show the costs anticipated or the actual cost incurred in
providing such benefits. Contractors employing apprentices or trainees under approved programs shall maintain written evidence of the
registration of apprenticeship programs and certification of trainee programs,the registration of the apprentices and mainees,and the ratios
and wage rates prescribed in the applicable programs.
b,(1) The contractor shall submit weekly for each week in which any contract work is performed a copy of all payrolls to the contracting
agency.The payrolls submitted shall set cut accurately and completely all of the information required to be maintained under
29 CFR 5.5(a)(3)(i),except that full social security numbers and home addresses shall not be included on weekly transmittals.Inslead the
payrolls shall only need to include an individually identifying number for each employee(e.g. ,the last four digits of the employee's
social security number).The required weekly payroll information may be submitted in any form desired.Optional Form WH-347 is
DocuSign Envelope ID:78958EB7-5B02-4CA0-8EAF-F3E892A7B33B
available for this purpose from the Wage and Hour Division Web site at htip:llwww.dol.govlesalwhdlformsl wh347instr.htm or its
successor site. The prime contractor is responsible for the submission of copies of payrolls by all subcontractors. Contractors and
subcontractors shall maintain the full social security number and current address of each covered worker,and shall provide them upon
request to the contracting agency for transmission to the State DOT,the FHWA or the Wage and Hour Division of the Department of
Labor for purposes of an investigation or audit of compliance with prevailing wage requirements.It is not a violation of this section for
a prime contractor to require a subcontractor to provide addresses and social security numbers to the prime contractor for its own records,
without weekly submission to the contracting agency.
(2) Each payroll submitted shall be accompanied by a"Statement of Compliance;'signed by the contractor or subcontractor or his or her
agent who pays or supervises the paynicni of the persons employed under the contract and shall certify the following:
(i) That the payroll for the payroll period contains the information required to be provided under§5.5(a)(3)(ii)of Regulations,
29 CFR part 5,the appropriate information is being maintained under§5.5(a)(3)(i)of Regulations, 29 CFR pan 5,and that such
information is correct and complete;
(ii) That each laborer or mechanic(including each helper,apprentice,and trainee)employed on the contract during the payroll period has
been paid the full weekly wages earned,without rebalc,either directly or indirectly,and that no deductions have been made either
directly or indirectly from the full wages earned,other than permissible deductions as set forth in Regulations,29 CFR pan 3,
(hi)That each laborer or mechanic has been paid not less than the applicable wage rates and fringe benefits or cash equivalents for the
classification of work performed,as specified in the applicable wage determination incorporated into the contract.
(3) The weekly submission of a properly executed certification set forth on the reverse side of Optional Form WH-347 shall satisfy the
requirement for submission of the"Statement of Comp]iancc"required by paragraph 3.b.(2)of this section.
(4) The falsification of any of the above certifications may subject the contractor or subcontractor to civil or criminal prosecution under
section 1001 of title I8 and section 231 of title 31 of the United States Code.
c. The contractor or subcontractor shall make the records required under paragraph 3.a. ❑f this section available for inspection,copying,or
U-4mcription by authorized representatives of time contracting agency,the State DOT,the FHWA,or the Department of Labor, and shall
permit such representatives to interview employees during working hours on the job. If the contractor or subcontractor fails to submit the
required records or io make them available,the FHWA may,a[ter written notice to the contractor,the contracting agency or the State DOT,
take such action as may be necessary to cause the suspension of any furher payment,advance,or guarantee of funds.Furthermore,failure to
submit the required records upon request or to make such records available may be grounds for debarment action prrrstrant to 29 CFR 5.12.
4. Apprentices and trainees
a. Apprentices(programs of the USDOL). Apprentices will be permitted to work at less than the predetermined rate for the work they
performed when they are employed pursuant to and individually registered in a bona fide apprenticeship program registered with the U.S.
Depanment of Labor,Employment and Training Administration,Office of Apprenticeship Training,Employer and Labor Scrvicm or with
a State Apprenticeship Agency recognized by the Office,or if a person is employed in his or her first 90 days of probationary employment as
an apprentice in such an apprenticeship program,who is not individually registered in the program,but who has been certified by the Office
of Apprenticeship Training, Employer and Labor Services or a State Apprenticeship Agency (where appropriate) to be eligible for
probationary employment as an apprentice.
The allowable ratio of apprentices to journeymen on the job aitc in any crag classification shall not be greater than the ratio permitted to
the connctor as to the entire work force under the registered program.Any worker listed oa a payroll at an apprentice wage rate,who is not
registered or otherwise employed as stated above,shall be paid not less than the applicable wage rate on the wage determination for the
classification of work actually performed.In addition,any apprentice performing work on the job site in excess of the ratio permitted under
the registered program shall be paid not less than the applicable wage vale on the wage determination for the work actually performed.Where
a contractor is performing construction on a project in a locality other than that in which its program is registered,the ratios and wage rates
(expressed in percentages of the journeyman's hourly rate) specified in the contractor's or subcontractor's registered program shall be
observed.
Every apprentice must be paid at not less than the rate specified in the registered program for the apprentice's level of progress,expressed
as a percentage of the joumeymen hourly rate specified in the appiicabla wage determination.Apprentices shall be paid fringe benefits in
accordance with the provisions of the apprenticeship program. If the apprenticeship program does not specify fringe benefits,apprentices
must be paid the full amount of fringe benefits listed on the wage determination for the applicable classification. If the Administrator
determines that a different practice prevails for the applicable apprentice classification, fringes shall be paid in accordance with that
determination.
in the event the Office of Apprenticeship Training,Employer and Labor Services,or a State Appenliceship Agency recognized by the
Office,withdraws approval of an apprenticeship program,the contractor will no longer be permitted to utilize apprentices at less than the
applicable predetermined rate for(lie work performed until an acceptable progranm is approved.
b. Trainees(programs of the USD0L). Except as provided in 29 CFR 5.15,trainees will not be permitted to work at less than the predetermincd
rote for the work performed unless they arc employed pursuant to and individually registered in a program which has received prior approvai,
evidenced by formal certiftcation by the U.S.Deparment of Labor,Eniptoyment and Training Administration.
The ratio of trainees to journeymen on the job site shall not be greater than permitted under the plan approved by the Employment and
Training Administration.
Every trainee must be paid at not less than the rate specified in the approved program for the trainee's level of progress,expressed as
a percentage of the journeyman hourly rate specified in the applicable wage determination. Trainees shall be paid fringe benefrLs in
accordance with the provisions of the trainee program.If the trainee program does not mention fringe benefits,trainees shall be paid the full
amount of fringe benefms listed on the wage determination unless the Administrator of the Wage and Hour Division detemiinos that there is
an apprenticeship program associated with the corresponding joumeyman wage rate on the wage determination which provides for less than
full fringe benefits for apprentices.Any employee listed on the payroll at a trainee rate who is not registered and participating in a training
plan approved by the Employment and Training Administration shall be paid not less than the applicable wage rate on the wage
determination for the classification of work actually performed.In addition,any trainee performing work on the job site in excess of the ratio
permitted under the registered program shall be paid not less than the applicable wage rate on time wage determination for the work actually
performed.
In the event the Employment and Training Administration withdraws approval of a training program,the contractor will no longer be
permitted to utilize trainees at less than the applicable predeterritied rate for the work performed until an acceptable program is approved.
DocuSign Envelope ID:78958EB7-5B02-4CA0-8EAF-F3E892A7B33B
c. Equal employment opportunity.The utilization of apprentices,trainees and joumeymen under this pan shall be in conformity with the equal
employment opportunity requirements of Executive Order 1]246,as amended,and 29 CFR part 30.
d. Apprentices and Trainees(programs of the U.S.DOT). Apprentices and trainees working under apprenticeship and skill training programs
which have been certified by the Secretary of Transportation as promoting EEO in connection with Federal-aid highway cottstntction
programs arc not subject to the requirements of paragraph 4 of this Section 1V. The straight time hourly wage rates for apprentices and
trainees under such programs will be established by the particular programs.The ratio of apprentices and trainees to journeymen shall not be
greater than permitted by the terms of the particular program.
5. Compliance with Copeland Act requirements.The contractor shall comply with the requirements of 29 CFR pan 3,which an:incorporated by
reference in this contract.
6. Subcontracts.The contractor or subcontractor shalt insert Form FH WA-1273 in any subcontracts and also require the subcontractors to include
Form FH WA-1273 in any lower tier subcontracts.The prime contractor shall be responsible for the compliance by any subcontractor or lower tier
subcontractor with all the contract clauses in 29 CFR 5.5.
7. Contract termination. debarment.A breach of the contract clauses in 29 CFR 5.5 may be grounds far termination of the contract,and for
debarment as a contractor and a subcontractor as provided in 29 CFR 5.12.
ti. Compliance with Davis-Bacon and Related Act requirements.All rulings and interpretations of the Davis-Bacon and Related Acts contained
in 29 CFR pare 1,3,and 5 are herein incorporated by reference in this contract.
9. Disputes concerning labor standards.Disputes arising out of the labor standards provisions of this contract shall not be subject to the general
disputes clause of this contract.Such disputes shall be resolved in accordance with the procedures of the Department of Labor set forth in
29 CFR parts 5,6,and 7.Disputes within the meaning of this clause include disputes between the contractor(or any of its subcontractors)and the
contracting agency,the U.S.Department of Labor,or the employees or their representatives.
l0. Certification of eligibility.
a. By entering into this contract,the contractor certifies that neither it (nor he or she) nor any person or firm who has an interest in the
contractor's firm is a person or Firm ineligible to be awarded Govemment contracts by virtue of section 3(a)of the Davis-Sawn Act or
29 CFR S.12(a)(1).
b. No pan or this contract shall be subcontracted to any person or Firm ineligible for award of a Govemment contract by virtue of section 3(a)of
the Davis-Bacon Act or 29 CFR 5.12(a)(I).
c. The penalty for making false statements is prescribed in the U.S.Criminal Cade,18 U.S.C. 1001,
V. CONTRACT WORK HOURS AND SAFETY STANDARDS ACT
The following clauses apply to any Federal-aid conslruction contract in an amount in excess of$louoo and subject to the avertime provisions of
the Contract Work Hours and Safety Standards Act. These clauses shall be inserted in addition to the clauses required by 29 CFR 5.5(a) ar
29 CFR 4.6.As used in this paragraph,the terms laborers and mechanics include watchmen and guards.
I. Overtime requirements. No contractor or subcontractor contracting for any pan of the contract work which may require or involve the
employment of laborers or mechanics shall require or pcmmit any such laborer or mechanic in any workweek in which he or she is employed on
such work to work in excess of forty hours in such workweek unless such laborer or mechanic receives compensation at a rate not less than one
and one-half times the basic rate of pay for all hours worked in excess of forty hours in such workweek.
2. Violation;[]ability for unpaid wages;liquidated damages.In the a yen t of any violation of the clause set forth in paragraph(1.)of this section,
the contractor and any subcontractor responsible therefor shall be liable for the unpaid wages.In additian,such contractor and subcontractor shall
be liable to the United States(in the case of work done under contract for the District of Columbia or n territory,to such District or to such
territory),for liquidated damages.Such liquidated damages shall be computed with respect to each individual laborer or mechanic, including
watchmen and guards,employed in violation of the clause set forth in paragraph(I.)of this section,in the sum of$10 for each calendar day on
which such individual was required or permitted to work in excess of the standard workweek of forty hours without payment of the overtime
wages required by the clause set forth in paragraph(1.)of this section.
3. Withholding for unpaid wages and liquidated damages.The FHWA or the contacting agency sha]1 upon its own action or upon written request
of an authorized representative of the Department of tabor withhold at cause to be withheld,from any moneys payable on account of work
performed by the contractor or subcontractor under any such contract or any other Federal contract with the same prime contractor,or any other
federally-assisted contract subject to the Contract Work Hours and Safety Standards Act,which is held by the same prime contractor,such sums
as may be determined to be necessary to satisfy any liabilities of such contractor or subcontractor for unpaid wages and liquidated damages as
provided iit the clause set forth in paragraph(2.)of this section.
4. Subcontracts.The contractor or subcontractor shall insert in any subcontracts the clauses set forth in paragraph(1.)through(4.)of this section
and also a clause requiring the subcontractors to include these clauses in any lower tier subcontracts.The prime contractor shall be responsible for
compliance by any subcontractor or lower tier subcontractor with the clauses set forth in paragraphs(I.)through(4.)of this section.
VI.SUBLETTING OR ASSIGNING THE CONTRACT
This provision is applicable to all Federal-aid construction contracts on the National Highway System.
1. The contractor shall perform with its own organization contract work amounting to not Less than 30 percent(or a greater percentage if specified
elsewhere in the contract)of the total original contract price,excluding any specialty items designated by the contracting agency.Specialty items
may be performed by subcontract and the amount of any such specialty items performed may be deducted from the total original contract price
Ware computing the amount of work required to be performed by the contractor's own organization(23 CFR 635.116).
a. The term"perform work with its own organization"refers to workers employed or leased by the prime contractor,and equipment owned or
rented by the prime contractor,with or without operators.Such term does not include employees or equipment ofa subcontractor or lower tier
subcontractor,agents of the prime contractor,or any other assignees.The term may include payments for the costs of hiring leased employees
DocuSign Envelope ID:78958EB7-5B02-4CA0-8EAF-F3E892A7B33B
from an employee leasing firm meeting all relevant Federal and State regulatory requirements.Leased employees may only be included in
this term if the prime contractor mccis all ofthe Following conditions:
(1)the prime contractor maintains control over the supervision of the day-today aclivities of the leased employees;
(2)the prime contrac[or remains responsible for the quality of the work of the leased employees;
(3)the prime contractor retains all power to accept or exclude individual employees from work on the project;and
(4)the prime contractor remains ultimately responsible for the payment of predetermined minimum wages, the submission of payrolls,
statements of compliance and all other Federal regulatory requirements.
b. "Specialty Items"shall be construed to be limited to work that requires highly specialized knowledge,abilities,or equipment not ordinarily
available in the type of contracting organizations qualified and expected to bid or propose on the contract as a whole and in general are to be
limited to minor components of the overall contract.
2. The contract amount upon which the requirements set forth in paragraph (1) of Section V1 is computed includes the cost of material and
manufactured products which are to be purchased or produced by the contractor under[he contract provisions.
3. The contractor shall fumish(a)a competent superintendent or supervisor who is employed by the fora,has full authority to direct performance of
the work in accordance with the contract requirements,and is in charge of all construction operations(regardless of who performs the work)and
(b)such other of its own organizational resources(supervision,management,and engineering services)as the contracting officer determines is
necessary to assure the performance of the contract.
4. No portion of the contract shall be sublet, assigned or otherwise disposed of except with the written consent of the contracting officer,or
authorized representative,and such consent when given shall not be construed to relieve the contractor of any responsibility for the fulfillment of
the contract.Written consent will be given only after the contracting agency has assured that each subcontract is evidenced in writing and that it
contains all pertinent provisions and requirements of the prime contract.
5. The 30%self-performance requirement of paragraph(1)is not applicable to design-build contracts;however,contracting agencies may establish
their own self-performance requirements.
VIL SAFETY:ACCIDENT PREVENTION
This provision is applicable to all Fedcral-aid construction contrasts and to all related subcontracts.
1. In die performance of this contract the contractor shall comply with all applicable Federal,Stale,and local laws governing safety,health,and
sanitation(23 CFR 635).The contractor shall provide all safeguards,safety devices and protective equipment and take any other needed actions
as it determines,or as the contracting officer may determine,to be reasonably necessary to protect the life and health of employees on the job and
the safety of the public and to protect property in connection with the performance of die work covered by the contract.
2. 1t is a condition of this contract,and shall be made a condition of each subcontract,which the contractor enters into pursuant to this contract,that
the contractor and any subcontractor shall not permit any employee,in performance of the contract,to work in surroundings or under conditions
which are unsanitary,hazardous or dangerous to hislhcr health or safety,as determined under construction safety and health standards
(29 CFR 1926)promulgated by the Secretary of Labor,in accordance with Section 107 of the Contract Work Hours and Safety Standards
Act(40 U.S.C.3704).
3. Pursuant to 29 CFR 1926.3, it is a condition of this contract that the Secretary of Labor or authorized representative thereof,shall have right of
entry to any site of contract performance to inspect or investigate the matter of compliance with the construction safety and health standards and
to carry out the duties of the Secretary under Section 107 of the Contract Work Hours and Safety Standards Act(40 II.S.C.3704).
VIII, FALSE STATEMENTS CONCERNING HIGHWAY PROJECTS
This provision is applicable to all Federal-aid construction contracts and to ail related subcontracts.
In acder to assure high quality and durable construction in conformity with approved plans and specifications and a high degree of reliability on
statements and representations made by engineers,contractors,suppliers,and workers on Federal-aid highway projects,it is essential chat all persons
concerned with the project perform their functions as carefully, thoroughly, and honestly as possible. Willful falsification, distortion, or
misrepresentation with respect to any facts related to the project is a violation of Federal law. To prevent any misunderstanding regarding the
seriousness of these and similar acts,Farm FHWA-1022 shall be posted on each Federal-aid highway project(23 CFR 635)in one or more plares
where it is readily available to all persons concemed with the project:
18 U.S.C.1020 reads as follows:
"Whoever,being an officer,agent,or employee of the United Staics,or of any State or Territory,or whoever,whether a person,association,firm,
or corporation,knowingly makes any false statement,false representation,ar false report as to the character,quality,quantity,or cost of the material
used or to be used,or the quantity or quality of the work performed or to be performed,or the cost thereof in connection with the submission of plants,
maps,specifications,contracts,or costs 0 f c onstruc tion on any highway or related project submitted for approval to the Secretary of Transportation;a
Whoever knowingly makes any false statement,false representation,false report or false claim with respect to the character,quality,quantity,or
cost of any work performed or to be performed,or materials furnished or to be furnished,in connection with the construction of any highway or
related project approved by the Secretary of Transportation;or
Whoever knowingly makes any false statement or false representation as to material fact in any statement,certificate,or report submitted pursuant
to provisions of the Federal-aid Roads Act approved July 1,19I6,(39 Stat.355),as amended and supplemenled;
Shall be fined under this title or imprisoned not more than 5 years or both."
IX. IMPLEMENTATION OF CLEAN AIR ACT AND FEDERAL WATER POLLUTION CONTROL ACT
This provision is applicable to all Federal-aid construction contracts and to all refuted subcontracts.
By submission of This bid/proposal or the execution of this contract,or subcontract,as appropriate,the bidder,proposer,Federal-aid construction
contractor,or subcontractor,as appropriate,will be deemed to have stipulated as follows:
I. That any person who is or will be utilized in the performance of this contract is not prohibited from receiving an award due 10 a violation of
Section 508 of the Clcan Water Act or Section 306 of the Clean Air Act.
2. That the contractor agrees to include or cause to be included the requirements of paragraph(I)of this Set[ion X in every subcontract,and further
agrees to take such action as the contracting agency may direct as a means of enforcing such requirenicnis,
DocuSign Envelope ID:78958EB7-5B02-4CA0-8EAF-F3E892A7B33B
X. CERTIFICATION REGARDING DEBARMENT,SUSPENSION,INELIGfBILlTY AND VOLUNTARY EXCLUSION
This provision is applicable to all Federal-aid construction contracts,design-build contracts,subcontracts,lower-tier subcontracts,purchase orders,
lease agreements,consultant contracts or any other covered transaction requiring FHWA approval or that is estimated to cost$25,000 or more—as
defined in 2 CFR Ports 180 and 1200,
1. Instructions for Certification—First Tier Participants:
a. By signing and submitting this proposal,the prospective first tier participant is providing the certification set out below.
b. The inability of a person to provide the certification set out below will not necessarily result in denial of participation in this covered
transaction.The prospective first tier participant shall submit an explanation of why it cannot provide the certification set out below.The
certification or explanation will be considered in connection with the department or agency's determination whether to enter into this
transaction.However,failure of the prospective first tier participant to furnish a certification or an explanation shall disqualify such a person
from participation in this transaction.
c. Tha certification in this clause is a material represcmalion of fact upon which rcliancc was placed when the contracting agency determined to
enter into this transaction.I it is later determined that the prospective participant knowingly rendered an erroneous certification,in addition to
other remedies available to the Federal Government,the contracting agency may terminate this transaction for cause ofdcfault.
d. The prospective first tier participant shall provide immediate written notice to the contracting agency to whom this proposal is submitted if
any time the prospective First tier participant teams that its certification was erroneous when submitted or has become erroneous by reason of
changed circumstances.
e. The terms"covered transaction,""debarred,""suspended,""ineligible,""participant,""person;'"principal,"and"voluntarily excluded,"as
used in this clause,are defined in 2 CFR Parts 180 and 1200."Firs[Tier Covered Transactions"refers to any covered transaction between
a grantee or subgrantee of Federal funds and a participant(such as the prime or general contract)."Lower Tier Covered Transactions"refers
to any covered transaction under a First Tier Ccvcrcd Transaclion(such as subcontracts)."First Ticr Participant"refers 16 the participant who
has entered into a covered transaction with a grantee or subgrantee of Federal funds(such as the prime or general contractor)."Lower Tier
Participant"refers any participant who has entered into a covered transaction with a First Tier Participant or other Lower Tier Participants
(such as subcontractors and suppliers).
f. The prospective first tier participant agrees by submitting this proposal that,should the proposed covered transaction be entered into,it shall
not knowingly enter into any lower tier covered transaction with a person who is debarred,suspended,declared ineligible,or voluntarily
excluded from participation in this covered transaction,unless authorized by the department or agency entering into this transaction.
g. The prospective first tier participant further agrees by submitting this proposal that it will include the clause tilled"Certification Regarding
Debarment,Suspension,I n eligib il i ry and Voluntary Exclusion-Lower Tier Covered Transactions;'provided by the deparmient or contracting
agency,enlering into this covered transaction,without modification,in all lower tier covered transactions and in all solicitations for tower tier
covered transactions exceeding the$25,000 threshold.
h. A participant in a covered transaction may rely upon a certification of a prospective participant in a Power tier covered transaction that is not
debarred,suspended, ineligible, or voluntarily excluded from the covered transaction,unless it knows that the certification is erroneous.
A participant is responsible for ensuring that its principals are not suspended,debarred,or otherwise ineligible to participate in covered
transactions.To verify the eligibility of its principals,as well as the eligibility of any lower tier prospective participants,each participant may,
but is not required to,check the Excluded Parties List System website(https:liwww.epls.gov/),which is compiled by the General Services
Administration.
i. Nothing contained in the foregoing shall be construed to require the establishment of a system of records in order to render in good faith the
certification required by this clause.The knowledge and information of the prospective participant is not required to exceed that which is
normally possessed by a pendent person in the ordinary course ofbusiness dealings,
j. Except for transactions authorized under paragraph(f)of these instructions,if a participant in a covered transaction knowingly enters into
a lower tier covered transaction with a person who is suspended, debarred, ineligible,or voluntarily excluded from participation in this
transaction,in addition to other remedies available to the Federal Government,the department or agency may terminate this transaction for
cause or default.
2. Certification Regarding Debarment,Suspension,Ineligibility and Voluntary Exclusion—First Tier Participants:
a. The prospective first tier participant certifies to the best of its knowledge and belief,that it and its principals:
(I) Arc not presently debarred,suspended,proposed for debarment,declared ineligible,or voluntarily excluded from participating in covered
transactions by any Federal department or agency;
(2) Have not within a three-year period preceding this proposal been convicted of or had a civil judgment rendered against them for
commission of fraud or a criminal offense in connection with obtaining,aticmpting to obtain,or performing a public(Fodcral,State or
local)transaction or contract under a public transaction;violation of Federal or State antitrust statutes or commission of embezzlement,
theft,forgery,bribery,falsification or destruction of records,making false statements,or receiving stolen property;
(3) Arc not presently indicted for or otherwise criminally or civilly charged by a governmental entity (Federal, State or local) with
commission of any of the offenses enumerated in paragraph(a)(2)of this certification;and
(4) Have not within a three-year period preceding this applicationlproposal had one or more public transactions(Federal,State or local)
Itrminaled far cause or default.
b. Where the prospective participant is unable to certify to any of the statements in this ceniftcation,such prospective participant shall attach an
explanation to this prapasal.
2. Instructions for CLr dlication-Lower Tier Participants:
(Applicable to all subcontracts,purchase orders and other lower tier transactions requiring prior FHWA approval or estimated to cost$25,000 or
mare-2 CFR Ports 180 and 120D)
a. By signing and submitting this proposal,the prospective lower tier is providing the ccrtitication set out below,
b. The certification in this clause is a material representation of fact upon which rcliancc was placed when this transaction was entered into.If it
is later determined that the prospective lower tier panicipant knowingly rendered an erroneous certi fica[ion,in addition to other remedies
available to the Federal Government, the department,or agency with which this transaction originated may pursue available remedies,
including suspension andlor debarment.
DocuSign Envelope ID:78958EB7-5B02-4CA0-8EAF-F3E892A7B33B
c. The prospective lower tier participant shall provide immediate written notice to the person to which this proposal is submitted if at any time
the prospective lower tier participant learns that its certification was erroneous by reason of changed circumstances.
d. The terms"covered transaction;' "debarred,""suspended,""ineligible," "participant,""person,""principal,"and"voluntarily excluded,"as
used in this clause,are defined in 2 CFR Parts 180 and 1200.You may contact the person to which this proposal is submitted for assistance in
obtaining a copy of those regulations."First Tier Covered Transactions"refers to any covered transaction between a grantee or subgruntee of
Federal funds and a participant(such as the prime or general contract)."Lower Tier Covered Transactions"refers to any covered transaction
under a First Tier Covered Transaction(such as subcontracts)."First Tier Participant'refers to the participant who has entered into a covered
transaction with a grantee or subgrantee of Fcdcral funds(such as the prince or general contractor). "Lower Tier Participant"refers any
participant who has entered into a covered transaction with a First Tier Participant or other Lower Tier Participants(such as subcontractors
and suppliers).
c. The prospective lower tier participant agrees by submitting this proposal that,should the proposed covered transaction be entered into,it shall
not knowingly enter into any lower tier covered transaction with a person who is debarred,suspended,declared ineligible,or voluntarily
excluded from participation in this covered transaction,unless authorized by the department or agency with which this transaction originated.
f. The prospective lower tier participant further agrees by submitting this proposal that it will include this clause titled"Certification Regarding
Debarment,Suspension, Ineligibility and Voluntary Exclusion-Lower Tier Covered Transaction," without modification, in all lower tier
covered transactions and in alt solicitations for lower tier covered transactions exceeding the S25,000 threshold.
g. A participant in a covered transaction may rely upon a certification of a prospective participant in a lower tier covered transaction that is not
debarred,suspended, ineligible, or voluntarily excluded from the covered transaction, unless it knows that the certification is erroneous.
A participant is responsible for ensuring that its principals are not suspended, debarred,or otherwise ineligible to participate in covered
transactions.To verify the eligibility of its principals,as well as the eligibility of any lower tier prospective participants,each participant may,
but is not required to,check the Excluded Parties List System wcbsite(https:l/w%vw.epis.gov/),which is compiled by the General Services
Administration-
h. Nothing contained in the foregoing shall be construed to require establishment of a system of records in order to render in good faith the
certification required by this clause.The knowledge and information of participant is not required to exceed that which is normally possessed
by a prudent person in the ordinary course of business dealings.
i. Except for transactions authorized under paragraph a of these instructions, if a participant in a covered transaction knowingly enters into
a lower tier covered transaction with a person who is suspended,debarred,ineligible,or voluntarily excluded from participation in this
transaction, in addition to other remedies available to the Fcdcral Government, the department or agency with which this transaction
originated may pursue available remedies,including suspension and/or dcbarment.
.....
Certification Regarding Debarment,Suspension,Ineligibility and Voluntary Exclusion—Lower Tic Participants:
1. The prospective lower tier participant certifies,by submission of this proposal,that neither it nor its principals is presently debarred,suspended,
proposed for debarment,declared ineligible,or voluntarily excluded from part cipaling in covered transactions by any Federal department or
agency.
2. Where the prospective lower tier participant is unable to certify to any of the statements in this certification,such prospec live participant shall
attach an explanation to this proposal.
X1.CERTIFICATION REGARDING USE OF CONTRACT FUNDS FOR LOBBYING
"]his provision is applicable to a]I Federal-aid construction conuacts and to a]I related subcontracts which exceed S100,000(49 CFR 20).
1. The prospective participant certifies,by signing and submitting this bid or proposal,to the best of his or her knowledge and belief,that:
a. No Federal appropriated funds have been paid or will be paid,by or on hehalf of the undersigncd,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 cooperutive agreement.
b. If any funds other than Federal appropriated fiutds have been paid or will be paid to any person for influencing or attempting to influence an
officer or employee of any Federal agency,a Member of Congress,an officer or employer of Congress,or an employee of a Member of
Congress in connection with this Federal contract,grant,loan,or cooperative agreement,the undersigned shall comp It le and submit Standard
Form-LLL,"Disclosure Form to Report Lobbying,"in accordance with its instructions.
2. This certification is a material representa li on of fact upon which reliance was placed when this transaction was made or entered into.Submission
of this certification is a prerequisite for making or entering into this transaction imposed by 31 U.S.C. 1352.Any person who fails to file the
required certification shall be subject to a civil penalty of not less than S 10.000 and not more than S 100,000 for each such failure.
3. The prospective participant also agrees by submitting its bid or proposal that the participant shall require that the language of this certification be
included in all lower tier subcontracts,which exceed 5t00,000 and that all such recipients shall certify and disclose accordingly.