HomeMy WebLinkAbout2015-04-13 15-124 ORDERCOUNCIL ACTION
Item No. 15-124
Date: April 13, 2015
Item/Subject: ORDER, Authorizing Execution of Agreement for Maine Department of Transportation
Local Project — WIN 018639.00, Resurfacing a Portion of Broadway
Responsible Department: Engineering
Commentary: This order would authorize the City Manager to execute a Local Project Agreement with
the Maine Department of Transportation for design and construction work for a mill and fill treatment on
a portion of 0.65 mile of Broadway (Route 15) starting at Husson Avenue and ending at Center Street.
The Maine Department of Transportation has approved federal and state funds in an amount not to
exceed $872,612.00 which includes a Federal share of $698,089.60 or 80% of construction costs, State
share of $87,261.20 or 10% of construction costs, and a City share of funding of $87,261.20 or 10% of
construction costs. As part of that project, the City would need to enter into a local project agreement
with the Maine Department of Transportation which have been reviewed and recommended for approval
by the Infrastructure Committee at its March 24, 2015 meeting.
John Theriault, City Engineer
Department Head
Manager's Comments:
m ( �
City Manager
Associated Information: Councilor Order and Agreement
Budget Approval:
FfKance Director
Legal Approval:
City Solicitor
Introduced for
X Passage CONSENT
_ First Reading Page _ of _
Referral
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APRIL 13, 2015
Assigned to Councilor Plourde
CI`T'Y OF BANGOR
ER, Authorizing the Execution of Agreement for Maine Department of
Local Project — WIN #018639.00, Resurfacing of a Portion of Broadway
Manager is hereby authorized and directed to execute an agreement with the
ent of Transportation for the following:
with the Maine Department of Transportation — Resurfacing of a Portion of
1# 018639.00
eement is attached.
IN CITY COUNCIL
APRIL 13, 2015
PASSED
CITY CLAK
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MaineDOT
15-124
13, ZU1
MoineDOT use only
TEDOCS #:
AMS ID #:
CSN:
PROGRAM: Multimodal (OUC 57000)
MAINE DEPARTMENT OF TRANSPORTATION
Locally Administered Project Agreement
With the
City of Bangor
Regarding
Resurfacing of a portion of Broadway: WIN 018639.00
Total Project Amount: $872,612.00
Federal Award Amount: $698,089.60 (,80%)
State Match: $87,261.20 (10%)
Municipal Match: $87,261.20 (10%)
Effective Date:
Expiration Date:
(MaineDOT Use Only)
MaineDOT WIN: 018639.00
Federal Project Number: STP -1863(900)
Federal Authorization Date:
Sub -recipient's Vendor ID: VC 1000007010
Sub -recipient's DUNS® Number: 07-173-9692
CFDA 420.205: Hi away Planning & Construction
This subaward agreement for a federal -aid project is between the Maine Department of
Transportation, a Maine State Government agency headquartered at 24 Child Street in Augusta,
Maine ("MaineDOT") and the City of Bangor, a municipal corporation and body politic with its
principal offices at 73 Harlow Street in Bangor, Maine ("the City.") MaineDOT and the City are
collectively referred to as "the Parties."
This Agreement contains the following attachments:
1. Federal Funding Accountability and Transparency Act (signature required);
2. Federal Title VI Assurances.
WHEREAS, the scope of work described herein was programmed for the MaineDOT 2015-2017
Work Plan by the Bangor Area Comprehensive Transportation System, the metropolitan planning
organization for the Bangor Urbanized Area, located at 12 Acme Road, Suite 102, in Brewer,
Maine ("BACTS"); and
WHEREAS, MaineDOT approved the City's request to administer the project at the local level.
NOW, in consideration of the foregoing, MaineDOT and the City agree as follows:
ARTICLE 1. PROJECT OVERVIEW
A. SCOPE OF WORK: Preliminary engineering and construction work for a mill -and -fill treatment
of 0.65 mile of Broadway (Route 15), starting at Husson Avenue and ending at Center Street
("the Project.") Any substantial change to this scope of work shall require approval from
BACTS and MaineDOT to be eligible for federal and state funding.
B. FUNDING. The estimated total cost of the Project is eight hundred seventy-two thousand six
hundred twelve dollars ($872,612) to be shared at the rates and terms described in Article 3.
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C. ROLE OF CITY. The City shall take the lead in developing the Project and assign a full-time
municipal employee with certification from MaineDOT to be in responsible charge of the
Project. At all times, this Local Project Administrator shall follow the policies and procedures in
the latest edition of MaineDOT's Local Project Administration Manual.
D. ROLE OF MAINEDOT. MaineDOT will assign a Project Manager to carry out the State's
responsibilities regarding the Project. This person or his/her designee will have the authority to
request design changes to meet applicable laws and design standards; accept or reject any
invoice; review construction activities to ensure compliance with contract documents; and take
all other action necessary to ensure the proper performance of this agreement.
ARTICLE 2. PROJECT DEVELOPMENT
A. AUTHORIZATION. The City shall receive Authorization to Proceed from MaineDOT before
starting work or executing a contract for services under this Agreement. All municipal costs
incurred before authorization is given shall be ineligible for reimbursement.
B. KICKOFF. Before starting work, the City shall review with MaineDOT's Project Manager the
scope of work, estimated cost, schedule, and legal requirements for the Project. If necessary,
the City shall provide an updated schedule and cost estimate within a reasonable timeframe.
C. PROGRESS REPORTS. The City shall provide MaineDOT with monthly progress reports for
the duration of the Project listing tasks completed, any changes in staffing, and any issues that
could affect the schedule.
D. CONSULTANT SERVICES. The City may contract for consultant engineering services as
necessary to develop and oversee the Project. In doing so, the City shall:
1. Use qualifications -based selection pursuant to federal regulation 23 CFR, Part 172.
2. Obtain the MaineDOT Project Manager's written approval before awarding any contract.
3. Ensure that "Consultant General Conditions for Local Public Agencies" govern all work,
including insertion of Form FHWA-1273 and Civil Rights Assurances into every contract.
4. Obtain MaineDOT's written approval before modifying any contract. MaineDOT reserves
the right not to reimburse the City for work covered by a modification executed without prior
approval or for work performed before the effective date of a modification.
E. DESIGN. All design plans, specifications, estimates and contract documents shall be
developed in accordance with the latest versions of MaineDOT's Highway Design Guide and
Standard Specifications (2014), as follows:
1. The City shall submit a preliminary design report (PDR), if applicable, and the final plans,
specifications and estimate (PS&E) package to MaineDOT for review and comment.
2. The City shall address to MaineDOT's satisfaction any changes requested or concerns
expressed before the Project may be advertised for construction.
3. Advertising for construction bids or moving to the construction stage without MaineDOT's
written authorization shall render the Project ineligible for federal and state funding.
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F. QUALITY CONTROL. The City shall be responsible for the quality of the design plans,
specifications and estimates for the Project using a documented quality -control process.
Acceptance of the final PS&E package by MaineDOT shall not relieve the City of responsibility
for the quality of the engineering documents for the Project.
G. PUBLIC PARTICIPATION. The City shall provide opportunity for the public to learn about the
Project and express concerns, using a public process that is appropriate for the scope of work
and acceptable to the MaineDOT Project Manager. Documentation and a public process
certification (Letter 16) shall be submitted to MaineDOT with the final PS&E package.
H. ENVIRONMENTAL PROCESS. The City or its contracted consultant shall prepare and submit
to MaineDOT all required environmental documents, including but not limited to Letter 11 and
the National Environmental Policy Act (NEPA) checklist. MaineDOT will prepare and submit to
the Federal Highway Administration all documentation required under NEPA.
I. PERMITS. The City shall obtain all approvals, permits and licenses needed for the Project.
Copies shall be submitted to MaineDOT with an environmental certification (Letter 12) with the
final PS&E package.
J. UTILITIES. The City shall coordinate the Project with all utilities and submit documentation to
MaineDOT with a utility certification (Letter 13) with the final PS&E package. MaineDOT's
revised Utility Accommodation Rules (October 2014) shall apply to any utility relocations.
K. RIGHT OF WAY. If applicable, MaineDOT will acquire any rights necessary to construct and
maintain the Project.
L. FORCE ACCOUNT. If the City intends to construct the Project with its municipal work force or
to furnish any materials for the Project, the City shall obtain MaineDOT's written authorization
before proceeding. If so authorized to use a "force account" process, the City shall comply with
the applicable regulations — 23 CFR, Parts 635.201 to 635.205.
M. SOLICITATION OF BIDS. Competitive bidding shall be used to hire a contractor unless a "force
account" process is authorized. The City shall solicit for bids upon MaineDOT's written
authorization in accordance with the final, approved plans and specifications as follows:
1. The City shall follow the procedures in MaineDOT's "Standard Specifications" and adhere
to all applicable federal requirements, unless otherwise authorized by MaineDOT.
2. The City and MaineDOT shall have the right to accept or reject the bids submitted.
3. The City shall not award a contract without MaineDOT's written approval.
N. CONTRACT AWARD. Upon MaineDOT's written approval, the City shall award a construction
contract to the lowest responsive, responsible bidder as follows:
1. The City shall administer the contract for the duration of the Project.
2. Form FHWA-1273 shall be physically incorporated into the contract.
3. The contract shall specify that the Project comply with the latest version of MaineDOT's
"Standard Specifications" (November 2014) and applicable special provisions.
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O. CONSTRUCTION. The City shall hold a pre -construction meeting with MaineDOT, the
contractor, utilities and any other parties involved in or affected by the construction process.
During the work, the City shall provide the supervision, inspection and documentation
necessary to ensure that the Project is completed to MaineDOT's satisfaction in accordance
with the plans, specifications and provisions of the contract, as follows:
1. The City shall use procedures acceptable to MaineDOT to document the quantity and
quality of all construction -related work. The City shall provide monthly progress reports and
shall retain all documentation as provided under Article 5.A.
2. The City or its contracted consultant shall be responsible for coordinating all materials
testing necessary to meet Minimum Testing Requirements for the Project, in compliance
with 23 CFR, Part 637, "Quality Assurance Procedures for Construction." Test results shall
be provided to MaineDOT upon request.
3. Any contract modification shall be submitted to MaineDOT for review and comment before
it is executed. MaineDOT reserves the right not to reimburse the City for work associated
with a contract modification executed without MaineDOT's prior review.
4. Traffic in work zones shall be controlled in accordance with Part VI of the federal Manual on
Uniform Traffic Control Devices for Streets and Highways (MUTCD).
5. Upon completion, the City shall provide compliance certification that the Project was
constructed, quantities were measured and documented, and materials were tested in
accordance with the approved plans, specifications and provisions of the contract.
P. MAINEDOT OVERSIGHT. MaineDOT may inspect construction activities and documentation —
and any test materials used — to ensure compliance with the Project specifications and
construction contract. MaineDOT may reject work or materials out of compliance and may
withhold reimbursement to the City for any such work or materials.
ARTICLE 3. FINANCIAL PROVISIONS
A. MAINEDOT SHARE. MaineDOT, using federal and state resources programmed by BACTS,
will reimburse the City for ninety percent (90%) of Project expenditures incurred that are
deemed to be eligible for such funding, up to a maximum reimbursement of seven hundred
eighty-five thousand three hundred fifty dollars and eighty cents ($785,350.80.)
B. LOCAL SHARE. The City shall share in all Project expenditures deemed eligible for federal
and state funding at the rate of ten percent (10%), said share estimated to be eighty-seven
thousand two hundred sixty-one dollars and twenty cents ($87,261.20.) The City shall be
responsible for one hundred percent (100%) of any costs deemed ineligible for reimbursement
and all costs exceeding the maximum amount of this Agreement as outlined in Article 1.13,
unless otherwise approved in writing by BACTS and MaineDOT.
C. MAINEDOT COSTS. All costs incurred by MaineDOT staff in developing and overseeing the
Project shall be paid for out of the Project, including but not limited to design reviews,
environmental work, utility support, right-of-way support, and construction engineering. The
City shall share in these costs commensurate with its overall portion of the Project. MaineDOT
will reconcile these costs upon completion of the Project and shall deduct the City's share from
the final invoice payment to the City.
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D. REIMBURSEMENT. The City may invoice MaineDOT periodically for the federal and state
shares of Project expenditures eligible for federal and state funding, up to the maximum in
Article 3.A. Invoices shall be submitted no more than monthly, subject to these conditions:
1. Invoices shall be submitted on the City's letterhead and reference WIN 018639.00.
2. Each invoice shall be accompanied by a progress report in accordance with Article 2.C.
3. Each invoice shall contain an itemized account of expenditures incurred during the period
covered by the invoice, consistent with the approved budget for the Project. Backup
documentation and proof of payment made shall accompany each invoice.
4. Each invoice shall have an accumulative total and a breakdown of MaineDOT's and the
City's shares of Project costs.
5. Each invoice shall include a certification from the City that all amounts claimed are correct,
due and not claimed previously.
6. Payment of the final invoice shall be subject to a final inspection of the completed Project to
determine the acceptability of the work.
7. MaineDOT may withhold reimbursements to the City to recover previous payments for
items subsequently deemed to be ineligible for federal or state funding.
E. REPAYMENT. If the City withdraws its support for the Project, leading MaineDOT to cancel
the Project and terminate this Agreement for cause, MaineDOT reserves the right to require
the City to refund all reimbursements made and to repay MaineDOT fully for all Project costs
incurred. All federal and state funds returned to MaineDOT by the City, as well as all federal
and state funds remaining in the Project, shall be made available to BACTS for reprogramming
once the Project is closed out.
F. REMAINING FUNDS. Any federal and state funds remaining in the Project shall be made
available to BACTS for reprogramming upon payment of the final invoice from the City.
ARTICLE 4. PROJECT RECORDS AND AUDIT
A. Project records shall consist of all printed or electronic plans, specifications, contracts, reports,
notes, or other documents prepared by or for the City. The City shall retain all Project records
for at least four (4) years from the date of MaineDOT's acceptance of the final invoice for the
Project. If any litigation, claim, negotiation or audit has begun before the end of this four (4)
year period, all Project records shall be kept at least until all action and resolution of all issues
arising from it are complete. All records shall be provided to MaineDOT upon request after
completion or termination of the Project.
B. The City and any consultant or contractor working on its behalf shall allow authorized
representatives of the U.S. Government and the State of Maine to inspect and audit Project
documents at reasonable times. Copies shall be furnished at no cost.
C. The City shall keep Project records in such form as may be easily audited. Audits shall be
performed in accordance with generally accepted government auditing standards and Title 2
CFR, Part 200, Subpart F - "Audit Requirements."
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ARTICLE 5. GENERAL PROVISIONS
A. Governing Laws. This Agreement shall be construed under the laws of the State of Maine.
Additionally, all activities under this Agreement will be subject to applicable federal laws and
regulations, including but not limited to Title 23 in the United States Code (USC) for statutory
law and Title 23 in the Code of Federal Regulations (CFR) for administrative law, as well as
Title 2 CFR Part 200, "Uniform Administrative Requirements, Cost Principles, and Audit
Requirements for Federal Awards."
B. Indemnification. To the extent permitted by law, the City shall indemnify, defend and hold
harmless MaineDOT, its officers, agents and employees from all claims, suits or liabilities
arising from negligent or wrongful act, error or omission by the City, its officials, employees,
agents, consultants or contractors. Nothing herein shall waive any defense, immunity or
limitation of liability that may be available to either party under the Maine Tort Claims Act (14
M.R.S. Section 8101 et seq.) or other privileges or immunities provided by law. This provision
shall survive the termination or expiration of this Agreement.
C. Confidentiality. Information pertaining to engineering estimates of construction costs shall be
kept confidential in accordance with the provisions of Maine law (23 MRSA, Section 63.)
D. Independent Capacity. The City, its employees, agents, representatives, consultants and
contractors shall not act as officers, employees or agents of MaineDOT.
E. Flow Down. Contracts between the City and all consultants, contractors or other third parties
shall contain or incorporate by reference all applicable provisions of this Agreement.
F. Equal Employment Opportunity. The City shall adhere to all applicable EEO requirements in
the administration of the Project, as follows:
The City shall not discriminate against any employee or applicant for employment relating
specifically to work under this Agreement because of race, color, religious creed, sex,
national origin, ancestry, age or physical handicap unless related to a bona fide
occupational qualification. The City shall take affirmative action to ensure that all such
applicants are employed and that all such employees are treated regardless of their race,
color, religious creed, sex, national origin, ancestry, age or physical handicap during any
period of employment under this Agreement. Such action shall include, but not be limited to:
employment, upgrading, demotions, transfers, recruitment, layoffs or terminations, rates of
pay or other forms of compensation and selection for all forms of training and
apprenticeships. The City shall post prominently in places readily available to all employees
and applicants for such employment under this Agreement notices setting forth the
provisions of this paragraph.
2. In all solicitations or advertising for employees relating to work done under this Agreement,
the City shall state that all qualified applicants shall receive consideration for employment
regardless of race, color, religious creed, sex, national origin, ancestry, age or physical
handicap.
3. The City shall send to each representative of any of its employees covered by a collective-
bargaining agreement — or any other contract or understanding under which labor or
services are to be furnished under this Agreement — a notice advising of the City's
commitment under this Article and shall post copies prominently in places readily available
to all such employees and applicants for employment.
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4. The City shall include all of the foregoing equal employment opportunity provisions under
this Article in any contract for services or work for the Project so that such provisions are
binding upon each consultant and contractor — with the exception of any contract for the
purchase of standard commercial supplies or raw materials. To the maximum extent
feasible, the City or any of its consultants and contractors shall list all suitable employment
openings with the Maine Job Service. This provision shall not apply to employment
openings that the City or any of its consultants and contractors propose to fill from within
their own organizations.
G. Set -Off. MaineDOT shall have all of its common law, equitable, and statutory rights of set-off.
These rights shall include, without being limited to, the State of Maine's option to withhold for
purposes of set-off any payment due to the City under this Agreement and any other
agreement with MaineDOT or any other agency of the State of Maine, including any contract
commencing before the effective date of this Agreement. MaineDOT shall exercise its set-off
rights in accordance with standard state practices including — in case of set-off pursuant to an
audit — the finalization of the audit by MaineDOT or the State Controller.
H. No Assignment Without Approval. The City shall not assign this Agreement to a third party or
dispose of this Agreement without specific written consent from MaineDOT. In no case shall
such action release the City from liability under this Agreement.
I. Binding Effect. The City and MaineDOT shall be bound by the terms of this Agreement. This
provision shall apply to the executors of this Agreement, their successors, administrators and
legal representatives.
ARTICLE 6. TERMINATION
A. FOR CAUSE. MaineDOT may terminate this Agreement for cause in the event of default as
defined in Section 6.B below. The City will have a cure period of fourteen (14) calendar days
after receiving a Notice of Default. If the City fails to make a good -faith effort to correct all
defaults within the cure period, MaineDOT may terminate this Agreement upon written Notice
of Termination for Cause, with the following conditions:
1. The City and all consultants and contractors working on the Project shall cease work
immediately — except for work required to protect public health and safety — and turn over to
MaineDOT all Project records within thirty (30) days of the termination date.
2. If termination is the result of the City's failure to correct any occurrence of default,
MaineDOT reserves the right to recover from the City all reimbursements made in
accordance with Article 3, "Financial Provisions."
3. All federal and state funds remaining in the terminated Project, as well as any federal and
state funds recovered from the City, shall be made available to BACTS for reprogramming
in accordance with Article 3.F, "Remaining Funds."
B. GROUNDS FOR DEFAULT. The City shall receive a Notice of Default if the City:
1. Takes any action without approval from MaineDOT that leads to cancelation of the Project
or the loss of eligibility of the Project for federal or state funding.
2. Uses Project funds for a purpose other than what is authorized by this Agreement.
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3. Misrepresents or falsifies of any claim for reimbursement.
4. Fails to meet standards of performance outlined in this Agreement.
5. Breaches any material provision of this Agreement.
C. FOR CONVENIENCE. This Agreement may be terminated for convenience by mutual consent
of the Parties for any reason not defined as "default." MaineDOT shall notify the City through a
written Notice of Termination for Convenience, with the following conditions:
1. If termination is other than for default by the City, the City shall be reimbursed for federally
eligible work or service performed until the effective termination date. The City's share of
costs incurred by MaineDOT staff in the development and oversight of the Project shall be
deducted from amounts due to the City in accordance with Article 3.C, "MaineDOT Costs."
2. All Project records shall be turned over to MaineDOT within thirty (30) days of the date of
the Notice of Termination for Convenience.
3. All federal and state funds remaining in the Project shall be made available to BACTS for
reprogramming once the Project is closed out.
ARTICLE 7. EXPIRATION
All provisions of this Agreement — except for Article 4.A (records), Article 5.13 (indemnification)
and Article 5.0 (confidentiality) — shall expire upon satisfactory completion of the terms of this
Agreement or four (4) years from the final day of the month in which this Agreement was fully
executed, whichever occurs first. The provisions of Article 5.13 and Article 5.0 shall remain in full
effect until terminated in writing by the Parties or negated by law.
ARTICLE S. DEBARMENT
A. By signing this Agreement, the City certifies to the best of its knowledge and belief that it and
its officers, agents and employees associated with the Project are not debarred, suspended,
proposed for debarment, declared ineligible, or voluntarily excluded from participating in this
transaction by any federal or state agency. If the City is unable to certify to this statement, it
shall attach an explanation to this Agreement. For the term of this Agreement, the City shall
notify MaineDOT promptly if it or any of its officers, agents and employees associated with the
Project is debarred, suspended, proposed for debarment, declared ineligible, or voluntarily
excluded from participating in this transaction by any federal or state agency.
B. The City agrees that it shall not hire an outside entity that is debarred, suspended, proposed
for debarment, declared ineligible, or voluntarily excluded from covered transactions by any
federal or state agency.
C. The City agrees that if it contracts with an outside entity, that entity and its principals shall
certify that they:
1. Have not within a 3 -year period preceding the date of such contract been convicted of or
had a civil judgment rendered against them for commission of fraud or a criminal offense in
connection with the following: a.) obtaining, attempting to obtain, or performing a public
(federal, state or local) transaction or contract under a public transaction; b.) violating
federal or state antitrust statutes; and c.) committing embezzlement, theft, forgery, bribery,
falsification or destruction of records, making false statements, or receiving stolen property.
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2. Are not currently 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 1 of this section; and
3. Have not within a 3 -year period preceding this agreement had one or more public
transactions (federal, state or local) terminated for cause or default.
ARTICLE 9. CONFLICT OF INTEREST
By signing this Agreement, the City agrees that it shall not enter into a contract with any outside
entity that has a financial or other interest in the Project or in its outcome, other than the
performance of the contract. This prohibition includes, without limitation: a.) any agreement with, or
other interest involving, third parties having an interest in the outcome of the Project that is the
subject to the contract; b.) any agreement providing incentives or guarantees of future work on the
project or related matters; and c.) any interest in real property acquired for the Project unless such
real property interest is openly disclosed to MaineDOT before the person or entity entered into the
contract.
ARTICLE 10. AGREEMENT APPROVAL
The undersigned municipal representative assures that the City's legislative body has approved
the City's entry into this Agreement, has appropriated or authorized use of required matching
funds, and has authorized the representative to sign this Agreement.
IN WITNESS WHEREOF, MaineDOT and the City have executed this Agreement effective on the
date last signed.
City of Bangor Maine Department of Transportation
LTJ
Catherine M. Conlow, City Manager
Date:
M
William A. Pulver, P.E., Director,
Bureau of Project Development
Date:
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ATTACHMENT 1
Federal Funding Accountability and Transparency Act
The City of Bangor, Maine and its contractors may be subject to the provisions of the Federal Funding
Accountability and Transparency Act of 2006 as amended and any regulations, policies, procedures and
guidance documents adopted pursuant thereto or in connection therewith.
If the Federal portion of the Project exceeds $25,000, an authorized representative from the City shall
sign this document under (B) below and return it with the Project Agreement. Additionally, the City shall
provide the following information, if applicable:
A) The total compensation and names of the top five officers if:
• More than 80% of the City's annual gross revenues are from the U.S. Federal Government; and
• Those revenues are greater than $25 million annually; and
• Compensation information is not already available through reporting to the U.S. Securities and
Exchange Commission (SEC).
B) Legal name and DUNS® number on file with the Central Contractor Registration (CCR):
City of Bangor, Maine 07-173-9692
Sign and Print Legal CCR Name DUNS® Number
Authorized Representative:
Catherine M. Conlow, City Manager
Attachment 1: FFATA Disclosure Form Page 10 of 10
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Attachment 2, City of Bangor
The United States Department of Transportation (U.S. DOT)
FHWA STANDARD TITLE VI/NONDISCRIMINATION ASSURANCES
DOT Order No. 1050.2A
The City of Bangor (herein referred to as the "Recipient") AGREES THAT, as a condition of
receiving Federal financial assistance from the U.S. Department of Transportation (DOT) through the
Federal Highway Administration (FHWA), it is subject to and will comply with the following:
Statutory/Regulatory Authorities
• Title VI of the Civil Rights Act of 1964 (42 U.S.C. § 2000d et seq., 78 stat. 252), (prohibits
discrimination on the basis of race, color, national origin);
49 C.F.R. Part 21 (entitled Nondiscrimination In Federally -Assisted Programs Of The
Department Of Transportation—Effectuation Of Title VI Of The Civil Rights Act Of 1964);
28 C.F.R. section 50.3 (U.S. Department of Justice Guidelines for Enforcement of Title VI of
the Civil Rights Act of 1964);
The preceding statutory and regulatory citations hereinafter are referred to as the "Acts" and
"Regulations," respectively.
General Assurances
In accordance with the Acts, the Regulations, and other pertinent directives, circulars, policy,
memoranda, and/or guidance, the Recipient hereby gives assurance that it will promptly take any
measures necessary to ensure that:
No person in the United States shall, on the grounds of race, color, or national origin, be excluded
from participation in, be denied the benefits of, or be otherwise subjected to discrimination under any
program or activity, "for which the Recipient receives Federal financial assistance from the U.S DOT,
including the FHWA.
The Civil Rights Restoration Act of 1987 clarified the original intent of Congress, with respect to Title
VI and other Nondiscrimination requirements (The Age Discrimination Act of 1975, and Section 504
of the Rehabilitation Act of 1973), by restoring the broad, institutional -wide scope and coverage of
these nondiscrimination statutes and requirements to include all programs and activities of the
Recipient, so long as any portion of the program is Federally assisted.
Specific Assurances
More specifically, and without limiting the above general Assurance, the Recipient agrees with and
gives the following Assurances with respect to its federally assisted programs:
1. The Recipient agrees that each "activity," "facility," or "program," as defined in §§ 21.23 (b)
and 21.23 (e) of 49 C.F.R. § 21 will be (with regard to an "activity") facilitated, or will be (with
regard to a "facility") operated, or will be (with regard to a "program") conducted in
compliance with all requirements imposed by, or pursuant to the Acts and the Regulations.
2. The Recipient will insert the following notification in all solicitations for bids, Requests For
Proposals for work, or material subject to the Acts and the Regulations made in connection
with all Federal Highway Programs and, in adapted form, in all proposals for negotiated
agreements regardless of funding source:
Title V1'Assurances, City of Bangor Page I of 3
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The City of Bangor, in accordance with the provisions of Title VI of the Civil Rights Act of
1964 (78 Stat. 252, 42 U.S.C. §§ 2000d to 2000d-4) and the Regulations, hereby notifies all
bidders that it will affirmatively ensure that any contract entered into pursuant to this
advertisement, disadvantaged business enterprises will be afforded full opportunity to
submit bids in response to this invitation and will not be discriminated against on the
grounds of race, color, or national origin in consideration for an award.
3. The Recipient will insert the clauses of Appendix A and E of this Assurance in every
contract or agreement subject to the Acts and the Regulations.
4. The Recipient will insert the clauses of Appendix B of this Assurance, as a covenant running
with the land, in any deed from the United States effecting or recording a transfer of real
property, structures, use, or improvements thereon or interest therein to a Recipient.
5. That where the Recipient receives Federal financial assistance to construct a facility, or part of
a facility, the Assurance will extend to the entire facility and facilities operated in connection
therewith.
6. That where the Recipient receives Federal financial assistance in the form, or for the
acquisition of real property or an interest in real property, the Assurance will extend to rights to
space on, over, or under such property.
7. That the Recipient will include the clauses set forth in Appendix C and Appendix D of this
Assurance, as a covenant running with the land, in any future deeds, leases, licenses, permits,
or similar instruments entered into by the Recipient with other parties:
a. for the subsequent transfer of real property acquired or improved under the applicable
activity, project, or program; and
b. for the construction or use of, or access to, space on, over, or under real property
acquired or improved under the applicable activity, project, or program.
8. That this Assurance obligates the Recipient for the period during which Federal financial
assistance is extended to the program, except where the Federal financial assistance is to
provide, or is in the form of, personal property, or real property, or interest therein, or structures
or improvements thereon, in which case the Assurance obligates the Recipient, or any
transferee for the longer of the following periods:
a. the period during which the property is used for a purpose for which the Federal
financial assistance is extended, or for another purpose involving the provision of
similar services or benefits; or
b. the period during which the Recipient retains ownership or possession of the property.
9. The Recipient will provide for such methods of administration for the program as are found by
the Secretary of Transportation or the official to whom he/she delegates specific authority to
give reasonable guarantee that it, other recipients, sub -recipients, sub -grantees, contractors,
subcontractors, consultants, transferees, successors in interest, and other participants of Federal
financial assistance under such program will comply with all requirements imposed or pursuant
to the Acts, the Regulations, and this Assurance.
10. The Recipient agrees that the United States has a right to seek judicial enforcement with regard
to any matter arising under the Acts, the Regulations, and this Assurance.
17 de VI Assurances, City of Bangor Page 2 of 3
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By signing this ASSURANCE, the Recipient also agrees to comply (and require any subrecipients,
sub=grantees, contractors, successors, transferees, and/or assignees to comply) with all applicable
provisions governing the FHWA access to records, accounts, documents, information, facilities, and
staff. You also recognize that you must comply with any program or compliance reviews, and/or
complaint investigations conducted by the FHWA. You must keep records, reports, and submit the
material for review upon request to the FHWA, or their designees in a timely, complete, and accurate
way. Additionally, you must comply with all other reporting, data collection, and evaluation
requirements, as prescribed by law or detailed in program guidance.
The Recipient gives this ASSURANCE in consideration of and for obtaining any Federal grants, loans,
contracts, agreements, property, and/or discounts, or other Federal -aid and Federal financial assistance
extended after the date hereof to the recipients by the U.S. Department of Transportation. This
ASSURANCE is binding on the Recipient, other recipients, sub -recipients, sub -grantees, contractors,
subcontractors and their subcontractors', transferees, successors in interest, and any other participants
in it programs. The person signing below is authorized to sign this ASSURANCE on behalf of the
Recipient.
DATED -�) ,.) S - D 0A S_
By
Catherine M.. Conlow, City Manager
City of Bangor
Encl.: Appendices A, and C, D, and E
MAR 0 4 2015
Title VI Assurances, City of Bangor Page 3 of 3
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APPENDIX A TO THE TITLE VI ASSURANCES
During the performance of this contract, the contractor, for itself, its assignees, and successors in interest
(hereinafter referred to as the "contractor") agrees as follows:
1. Compliance with Regulations: The contractor (hereinafter .includes consultants) will comply with the Acts
and the Regulations relative to Nondiscrimination in Federally -assisted programs of the U.S. Department of
Transportation, Federal Highway Administration, as they may be amended from time to time, which are
herein incorporated by reference and made a part of this contract.
2. Nondiscrimination: The contractor, with regard to the work performed by it during the contract, will not
discriminate on the grounds of race, color, or national origin in the selection and retention of subcontractors,
including procurements of materials and leases of equipment. The contractor will not participate directly or
indirectly in the discrimination prohibited by the Acts and the Regulations as set forth in Appendix E,
including employment practices when the contract covers any activity, project, or program set forth in
Appendix B of 49 CFR Part 21.
3. Solicitations for Subcontracts, Including Procurements of Materials and Equipment: In all
solicitations, either by competitive bidding, or negotiation made by the contractor for work to be performed
under a subcontract, including procurements of materials, or leases of equipment, each potential
subcontractor or -supplier will be notified by the contractor of the contractor's obligations under this contract
and the Acts and the Regulations relative to Non-discrimination on the grounds of race, color, or national
origin.
4. Information and Reports: The contractor will provide all information and reports required by the Acts,
the Regulations and directives issued pursuant thereto and will permit access to its books, records, accounts,
other sources of information, and its facilities as may be determined by the Recipient or the Federal
Highway Administration, to be pertinent to ascertain compliance with such Acts, Regulations, and
instructions. Where any information required of a contractor is in the exclusive possession of another who
fails or refuses to furnish the information, the contractor will so certify to the Recipient or the Federal
Highway Administration„ as appropriate, and will set forth what efforts it has made to obtain the
information.
5. Sanctions for Noncompliance: In the event of a contractor's noncompliance with the Non-discrimination
provisions of this contract, the Recipient will impose such contract sanctions as it or the Federal Highway
Administration, may determine to be appropriate, including, but not limited to:
a. withholding payments to the contractor under the contract until the contractor complies; and/or
b. cancelling, terminating, or suspending a contract, in whole or in part.
Incorporation of Provisions: The contractor will include the provisions of paragraphs one through six in
every subcontract, including procurements of materials and leases of equipment, unless exempt by the Acts,
the Regulations and directives issued pursuant thereto. The contractor will take action with respect to any
subcontract or procurement as the Recipient or the Federal Highway Administration, may direct as a
means of enforcing such provisions including sanctions for noncompliance. Provided, that if the contractor
becomes involved in, or is threatened with litigation by a subcontractor, or supplier because of such
direction, the contractor may request the Recipient to enter into any litigation to protect the interests of the
Recipient. In addition, the contractor may request the United States to enter into the litigation to protect the
interests of the United States.
Rile VI Assurances, Appendix A
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APPENDIX E TO THE TITLE VI ASSURANCES
During the performance of this contract, the contractor, for itself, its assignees, and successors in interest
(hereinafter referred to as the "contractor") agrees to comply with the following non-discrimination
statutes and authorities; including but not limited to:
Pertinent Non -Discrimination Authorities:
• Title VI of the Civil Rights Act of 1964 (42 U.S.C. §2000d et seq., 78 stat. 252), (prohibits
discrimination on the basis of race, color, national origin); and 49 CFR Part 21.
• The Uniform Relocation Assistance and Real Property Acquisition Policies Act of 1970, (42
U.S.C. §4601), (prohibits unfair treatment of persons displaced or whose property has been
acquired because of Federal or Federal -aid programs and projects);
• Federal -Aid Highway Act of 1973, (23 U.S.C. §324 et seq.), (prohibits discrimination on the
basis of sex);
• Section 504 of the Rehabilitation Act of 1973, (29 U.S.C. §794 et seq.), as amended, (prohibits
discrimination on the basis of disability); and 49 CFR Part 27;
• The Age Discrimination Act of 1975, as amended, (42 U.S.C. §6101 et seq.), (prohibits
discrimination on the basis of age);
• Airport and Airway- Improvement Act of 1982, (49 U.S.C. §471, Section 47123), as amended,
(prohibits discrimination based on race, creed, color, national origin, or sex);
• The Civil Rights Restoration Act of 1987, (PL 100-209), (Broadened the scope, coverage and
applicability of Title VI of the Civil Rights Act of 1964, The Age Discrimination Act of 1975
and Section 504 of the Rehabilitation Act of 1973, by expanding the definition of the terms
"programs or activities" to include all of the programs or activities of the Federal -aid recipients,
sub -recipients and contractors, whether such programs or activities are Federally funded or not);
• Titles II and III of the Americans with Disabilities Act, which prohibit discrimination on the
basis of disability in the operation of public entities, public and private transportation systems,
places of public accommodation, and certain testing entities (42 U.S.C. §§ 12131-121.89) as
implemented by Department of Transportation regulations at 49 C.F.R. Parts 37 and 38;
• The Federal Aviation Administration's Non-discrimination statute (49 U.S.C. §47123) (prohibits
discrimination on the basis of race, color, national origin and sex);
• Executive Order 12898, Federal Actions to Address Environmental Justice in Minority
Populations and Low -Income Populations, which ensures discrimination against minority
populations by discouraging programs, policies, and activities with disproportionately high and
adverse human health or environmental effects on minority and low-income populations;
• Executive Order 13166, Improving Access to Services for Persons with Limited English
Proficiency, and resulting agency guidance, national origin discrimination includes
discrimination because of limited English proficiency (LEP). To ensure compliance with Title
VI, you must take reasonable steps to ensure that LEP persons have meaningful access to your
programs (70 Fed. Reg. at 74087 to 74100);
• Title IX of the Education Amendments of 1972, as amended, which prohibits you from
discriminating of sex in education programs or activities (20 U.S.C. 1681 et seq.).
Title VI Assurances, Appendix E