HomeMy WebLinkAboutItem 9 MnDOT Agreement 03330Agreement no. 03330
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MnDOT Agreement No. 03330
STATE OF MINNESOTA AGENCY AGREEMENT
BETWEEN
DEPARTMENT OF TRANSPORTATION
AND
CITY OF LAKE ELMO
FOR FEDERAL PARTICIPATION IN PRELIMINARY ENGINEERING
FOR
S.P. 206-080-001; M.P. HPPH H126(002)
This agreement is entered into by and between CITY OF LAKE ELMO (“City”) and the
State of Minnesota acting through its Commissioner of Transportation (“MnDOT”),
Pursuant to Minnesota Statutes Section 161.36, the City desires MnDOT to act as the
City's agent to accept and disburse federal funds for the study of transportation alternatives
financed in whole or in part by federal funds, hereinafter referred to as the “Project”; and
The City is proposing a federal aid project to study roadway approach alternatives along
TH 36 between Hilton Trail and Manning Ave leading up to the Saint Croix River Crossing. A
public interest finding has determined that the project can be completed more economically as
a Preliminary Engineering hereinafter referred to as the “PRELIMINARY ENGINEERING”; and
The PRELIMINARY ENGINEERING is eligible for the expenditure of federal aid funds,
and is identified in MnDOT records as State Project 206-080-001, and in Federal Highway
Administration (“FHWA”) records as Minnesota Project HPPH H126(002); and
The CFDA number for this project is 20.205; and
MnDOT requires that the terms and conditions of this agency be set forth in an
agreement.
THE PARTIES AGREE AS FOLLOWS:
I. DUTIES OF THE CITY.
A. DESIGNATION. The City designates MnDOT to act as its agent to accept and
disburse federal funds made available for the Project.
B. ELIGIBILITY / COSTS. The estimated cost of the PRELIMINARY ENGINEERING is
$80,000.
1. It is anticipated that 80% (up to $ 64,000) of the cost of the PRELIMINARY
ENGINEERING is to be paid from federal funds made available by the FHWA,
and that the remaining 20% will be paid by the City. The City will pay any part of
the cost or expense of the work that the FHWA does not pay.
2. Any costs incurred by the City prior to authorization, will not be eligible for federal
participation.
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3. Eligible cost and expense, if approved, may consist of the following:
a) The cost of conducting the predesign and study of the roadway approach
alternatives.
b) Expenditures for materials, supplies, mechanical data processing and
equipment rental, limited to the actual expenditures for the purposes of this
agreement.
4. Expenditures for general administration, supervision, maintenance and other
overhead or incidental expenses of the City are not eligible for federal
participation.
5. Acceptability of costs under this agreement will be determined in accordance with
the cost principles and procedures set forth in the applicable Federal Acquisition
Regulations, Contract Cost Principals and Procedures, 48 Code of Federal
Regulations (CFR) 31 which is hereby incorporated by reference and made a
part of this agreement.
6. For costs expected to exceed $80,000, the City must request the preparation and
execution of a supplement to this agreement, prior to incurring such costs.
C. STAFFING.
1. The City will designate a publicly employed registered engineer, (“Project
Engineer"), to be in responsible charge of the Project and to supervise and direct
the work to be performed under any construction contract let for the Project. If
City elects to use a private consultant for engineering services, the City will
provide a qualified, full-time public employee of the City, to be in responsible
charge of the Project. The services of the City to be performed pursuant to this
agreement may not be assigned, sublet, or transferred unless the City is notified
in writing by MnDOT that such action is permitted under 23 CFR 1.33 and 23
CFR 635.105 and state law. This written consent will in no way relieve the City
from its primary responsibility for performance of the work.
2. The City will furnish the personnel, services, supplies, and equipment necessary
to properly supervise, inspect, and document the work for the Project.
D. CONTRACT ADMINISTRATION.
1. The City will request approval from MnDOT for all costs in excess of the amount
of federal funds previously approved for the Project prior to incurring such costs.
Failure to obtain such approval may result in such costs being disallowed for
reimbursement.
2. The City will prepare reports, keep records, and perform work so as to enable
MnDOT to collect the federal aid sought by the City. The City will retain all
records and reports in accordance with MnDOT's record retention schedule for
federal aid projects.
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3. Upon completion of the Project, the Project Engineer will determine whether the
work will be accepted.
E. PAYMENTS.
1. The entire cost of the Project is to be paid from federal funds made available by
the FHWA and by other funds provided by the City. The City will pay any part of
the cost or expense of the Project that is not paid by federal funds.
2. The City may request partial payments not more than once each thirty (30) days.
The Project Engineer will certify each partial estimate.
3. The invoice and supplements thereto, will contain all details that may be
necessary for a proper audit. Such details will consist of at least the following:
(a) A breakdown of labor by individual, classification, dates and hours worked
times the applicable rate to arrive at a total dollar amount for each
individual.
(b) The labor additive may be applied to total labor dollars, not including
overtime labor dollars.
(c) The equipment charges must be broken down by type of equipment times
the applicable rate and dates used to arrive at total equipment charges.
(d) A detailed breakdown of outside services used and supporting invoices.
Documentation that costs of outside services have been paid.
(e) Detail for materials, supplies, and other items with the description, units,
and unit prices included in the invoice. If materials or supplies are
purchased from an outside source, a copy of that invoice must be
included.
(f) The invoices will include 100% of eligible charges applicable to the
Preliminary Engineering so that the prorata share of federal and City
participation can be applied to the total costs.
4. Following certification, by the Project Engineer, of the final estimate, the City may
request reimbursement for costs eligible for federal funds. The City's request will
be made to MnDOT and will include a copy of the certified final estimate along
with the required records.
5. Reimbursement of costs under this agreement will be based on actual costs, but
limited to eligible items.
F. LIMITATIONS.
1. The City will comply with all applicable Federal, State, and local laws,
ordinances, and regulations.
2. Nondiscrimination. It is the policy of the Federal Highway Administration and the
State of Minnesota that no person in the United States will, on the grounds of
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race, color, or national origin, be excluded from participation in, be denied the
benefits of, or be subjected to discrimination under any program or activity
receiving Federal financial assistance (42 U.S.C. 2000d). Through expansion of
the mandate for nondiscrimination in Title VI and through parallel legislation, the
proscribed bases of discrimination include race, color, sex, national origin, age,
and disability. In addition, the Title VI program has been extended to cover all
programs, activities and services of an entity receiving Federal financial
assistance, whether such programs and activities are Federally assisted or not.
Even in the absence of prior discriminatory practice or usage, a recipient in
administering a program or activity to which this part applies, is expected to take
affirmative action to assure that no person is excluded from participation in, or is
denied the benefits of, the program or activity on the grounds of race, color,
national origin, sex, age, or disability. It is the responsibility of the City to carry
out the above requirements.
3. Workers’ Compensation. Any and all employees of the City or other persons
while engaged in the performance of any work or services required or permitted
by the City under this agreement will not be considered employees of MnDOT,
and any and all claims that may arise under the Workers’ Compensation Act of
Minnesota on behalf of said employees, or other persons while so engaged, will
in no way be the obligation or responsibility of MnDOT. The City will require
proof of Workers’ Compensation Insurance from any contractor and sub-
contractor.
G. AUDIT.
1. The City will comply with the Single Audit Act of 1984 and Office of Management
and Budget (OMB) circular A-133 including amendments and successors thereto,
which are incorporated herein by reference.
2. As provided under Minnesota Statutes Section 16C.05, subdivision 5, all books,
records, documents, and accounting procedures and practices of the City are
subject to examination by the United States Government, MnDOT, and either the
Legislative Auditor or the State Auditor as appropriate, for a minimum of six
years. The City will be responsible for any costs associated with the
performance of the audit.
H. CLAIMS. The City will pay any and all lawful claims arising out of or incidental to
the performance of the Project work. The City acknowledges that MnDOT is
acting only as the City's agent for receipt and disbursement of federal funds, and
not as a principal or co-principal with respect to the Project. In all events, the City
will indemnify MnDOT and hold MnDOT harmless from any claims arising out of
the Project.
I. FEDERAL FUNDING ACCOUNTABILITY AND TRANSPARENCY ACT (FFATA).
This Agreement requires the City to provide supplies and/or services that are
funded in whole or in part by federal funds that are subject to FFATA. The City is
responsible for ensuring that all applicable requirements, including but not limited
to those set forth herein, of FFATA are met and that the City provides information
to the MnDOT as required.
The City shall comply with the following:
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1. Reporting of Total Compensation of the City’s Executives.
(a) The City shall report the names and total compensation of each of its five
most highly compensated executives for the City’s preceding completed fiscal
year, if in the City’s preceding fiscal year it received:
i. 80 percent or more of the City’s annual gross revenues from Federal
procurement contracts and Federal financial assistance subject to the
Transparency Act, as defined at 2 CFR 170.320 (and subawards); and
ii. $25,000,000 or more in annual gross revenues from Federal procurement
contracts (and subcontracts), and Federal financial assistance subject to the
Transparency Act (and subawards); and
iii. The public does not have access to information about the compensation
of the executives through periodic reports filed under section 13(a) or 15(d) of
the Securities Exchange Act of 1934 (15 U.S.C. 78m(a), 78o(d)) or section
6104 of the Internal Revenue Code of 1986. (To determine if the public has
access to the compensation information, see the U.S. Security and Exchange
Commission total compensation filings at
http://www.sec.gov/answers/execomp.htm.).
Executive means officers, managing partners, or any other employees in
management positions.
(b) Total compensation means the cash and noncash dollar value earned by
the executive during the City’s preceding fiscal year and includes the following
(for more information see 17 CFR 229.402(c)(2)):
i. Salary and bonus.
ii. Awards of stock, stock options, and stock appreciation rights. Use the
dollar amount recognized for financial statement reporting purposes with
respect to the fiscal year in accordance with the Statement of Financial
Accounting Standards No. 123 (Revised 2004) (FAS 123R), Shared Based
Payments.
iii. Earnings for services under non-equity incentive plans. This does not
include group life, health, hospitalization or medical reimbursement plans that
do not discriminate in favor of executives, and are available generally to all
salaried employees.
iv. Change in pension value. This is the change in present value of defined
benefit and actuarial pension plans.
v. Above-market earnings on deferred compensation which is not tax
qualified.
vi. Other compensation, if the aggregate value of all such other
compensation (e.g. severance, termination payments, value of life insurance
paid on behalf of the employee, perquisites or property) for the executive
exceeds $10,000.
2. The City must report executive total compensation described above to the
MnDOT by the end of the month during which this agreement is awarded.
3. The City will obtain a Data Universal Numbering System (DUNS) number and
maintain its DUNS number for the term of this agreement. This number shall be
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provided to MnDOT on the plan review checklist submitted with the plans for
each project. More information about obtaining a DUNS Number can be found
at: http://fedgov.dnb.com/webform/
4. The City’s failure to comply with the above requirements is a material breach of
this agreement for which the MnDOT may terminate this agreement for cause.
The MnDOT will not be obligated to pay any outstanding invoice received from
the City unless and until the City is in full compliance with the above
requirements.
II. DUTIES OF MnDOT.
A. ACCEPTANCE. MnDOT accepts designation as Agent of the City for the receipt
and disbursement of federal funds and will act in accordance herewith.
B. PROJECT ACTIVITIES. MnDOT will make the necessary requests to the FHWA
for authorization to use federal funds for the Project, and for reimbursement of
eligible costs pursuant to the terms of this agreement.
C. PAYMENTS.
1. MnDOT will receive the federal funds to be paid by the FHWA for the Project,
pursuant to Minnesota Statutes § 161.36, Subdivision 2.
2. MnDOT will review and certify each partial pay request. Following certification of
the partial estimate, MnDOT will reimburse the City, from said federal funds
made available to the Project, for each partial payment request, subject to the
availability and limits of those funds.
3. Upon completion of the Project, the City will prepare a final payment request in
accordance with the terms of this agreement. MnDOT will review and certify the
final payment request with a final audit.
4. No more than 90% of the reimbursement due under this agreement will be paid
until completion of the final audit and approval by MnDOT’s authorized
representative.
5. In the event MnDOT does not obtain funding from the FHWA or other funding
source, or funding cannot be continued at a sufficient level to allow for the
processing of the federal aid reimbursement requests, the City may continue the
work with local funds only, until such time as MnDOT is able to process the
federal aid reimbursement requests.
D. AUTHORITY. MnDOT may withhold federal funds, where MnDOT or the FHWA
determines that the Project was not completed in compliance with federal
requirements.
E. INSPECTION. MnDOT, the FHWA, or duly authorized representatives of the
state and federal government will have the right to audit, evaluate and monitor
the work performed under this agreement. The City will make available all books,
records, and documents pertaining to the work hereunder, for a minimum of
seven years following the closing of the construction contract.
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III. AUTHORIZED REPRESENTATIVES. Each authorized representative will have
responsibility to administer this agreement and to ensure that all payments due to the
other party are paid pursuant to the terms of this agreement.
A. The City authorized representative is Dean Zuleger, City Administrator, City of
Lake Elmo, 3800 Laverne Ave N, Lake Elmo, MN 55042, (651)233-5401, or his
successor.
B. MnDOT’s authorized representative is Lynnette Roshell, Minnesota Department
of Transportation, State Aid for Local Transportation, 395 John Ireland
Boulevard, Mail Stop 500, St Paul, MN 55155, phone 651.366.3822, or her
successor.
IV. TORT LIABILITY. Each party is responsible for its own acts and omissions and the
results thereof to the extent authorized by law and will not be responsible for the acts
and omissions of any others and the results thereof. The Minnesota Tort Claims Act,
Minnesota Statutes Section 3.736, governs MnDOT liability.
V. ASSIGNMENT. Neither party will assign or transfer any rights or obligations under this
agreement without prior written approval of the other party.
VI. AMENDMENTS. Any amendments/supplements to this Agreement must be in writing
and be executed by the same parties who executed the original agreement, or their
successors in office.
VII. TERM OF AGREEMENT. This agreement will be effective upon execution by the City
and by appropriate State officials, pursuant to Minnesota Statutes Section 16C.05, and
will remain in effect for five (5) years from the effective date or until all obligations set
forth in this agreement have been satisfactorily fulfilled, whichever occurs first.
VIII. TERMINATION. This agreement may be terminated by the City or MnDOT at any time,
with or without cause, upon ninety (90) days written notice to the other party. Such
termination will not remove any unfulfilled financial obligations of the City as set forth in
this Agreement. In the event of such a termination the City will be entitled to
reimbursement for MnDOT-approved federally eligible expenses incurred for work
satisfactorily performed on the Project to the date of termination subject to the terms of
this agreement.
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IN WITNESS WHEREOF, the parties have caused this Agreement to be duly executed intend to
be bound thereby.
CITY
City certifies that the appropriate person(s)
have executed the contract on its behalf as required
by applicable resolutions, ordinances, or charter
provisions
By: _______________________________________
Date:______________________________________
Title:_____________________________________
By: _______________________________________
Date:______________________________________
Title:_____________________________________
DEPARTMENT OF TRANSPORTATION
By: _______________________________________
Title: Director State Aid for Local Transportation
Date:___________________________________
COMMISSIONER OF ADMINISTRATION
By:________________________________________
Date:______________________________________
SAMPLE RESOLUTION FOR AGENCY AGREEMENT
BE IT RESOLVED, that pursuant to Minnesota Stat. Sec. 161.36, the Commissioner of
Transportation be appointed as Agent of the City of Lake Elmo to accept as its agent, federal
aid funds which may be made available for eligible transportation related projects.
BE IT FURTHER RESOLVED, the * (Mayor) and the * (Clerk) are hereby authorized and
directed for and on behalf of the City to execute and enter into an agreement with the
Commissioner of Transportation prescribing the terms and conditions of said federal aid
participation as set forth and contained in “Minnesota Department of Transportation Agency
Agreement No. 03330“, a copy of which said agreement was before the City Council and
which is made a part hereof by reference.
*Titles of persons authorized to sign on behalf of the City*
SAMPLE CERTIFICATION
STATE OF MINNESOTA
COUNTY OF___________
I hereby certify that the foregoing Resolution is a true and correct copy of the Resolution
presented to and adopted by the City of Lake Elmo at a duly authorized meeting thereof held
on the _____ day of _________, 20___, as shown by the minutes of said meeting in my
possession.
____________________________
Clerk
Notary Public
My Commission expires __________
(SEAL)
Minnesota Department of Transportation
State Aid for Local Transportation
395 John Ireland Boulevard, MS 500
Saint Paul, MN 55155
An Equal Opportunity Employer
March 27, 2013
Dean Zuleger
City Administrator
City of Lake Elmo
3800 Laverne Ave N
Lake Elmo, MN 55042
SUBJECT: SP 206-080-001, HPPH H126(002)
Roadway approach study
Agency Agreement No. 03330
Dear Mr. Zuleger:
Your project is now authorized you may now begin work and be reimbursed for it.
Attached are four copies of the agency agreement between the City of Lake Elmo and
MnDOT, which allows for MnDOT to act as the City’s agent in accepting federal aid in
connection with the above referenced project.
While I do not anticipate that the requirements in Section I.I.1 will apply to you, the
language required by federal law and must be included in all federally funded project
agreements as of October 1, 2010. Please review and if approved, have all four
copies signed. A Council resolution similar to the example attached, must be passed.
The certified resolution should then be placed as the last page in each of the four
copies of the agreement. Please verify that the person/title authorized to sign as
stated in the resolution, corresponds to the signature (person/title) on the signature
page. Please return all four copies of the agreement to me for MnDOT signatures. A
fully executed copy will be returned to you. If you have any questions or need any
revisions, please feel free to contact me at 651.366.3822.
Sincerely,
Lynnette Roshell, PE
Project Development Engineer
Enclosures
cc: Ted Schoenecker--DSAE
Adam Josephson—Metro
File
Minnesota Department of Transportation
State Aid for Local Transportation
395 John Ireland Boulevard, MS 500
Saint Paul, MN 55155
An Equal Opportunity Employer
March 27, 2013
Dean Zuleger
City Administrator
City of Lake Elmo
3800 Laverne Ave N
Lake Elmo, MN 55042
SUBJECT: SP 206-080-001, HPPH H126(002)
Roadway approach study
Agency Agreement No. 03330
Dear Mr. Zuleger:
Attached is a fully executed agency agreement between City of Lake Elmo and
MnDOT, which allows for MnDOT to act as City’s agent in accepting federal aid in
connection with the above referenced project.
Also attached is a sample billing summary. Please include this information with any
invoices you send to TED SCHOENECKER when requesting for payment. It must be
signed or it will be returned for signature.
If you have any questions, please feel free to contact me at 651.366.3822, or by e-
mail at Lynnette.Roshell@state.mn.us.
Sincerely,
Lynnette Roshell, PE
Project Development Engineer
Enclosure
Cc: Ted Schoenecker—DSAE
Adam Josephson—Metro
Cyndi Degener—MS 215
Kai Vang—OCPPM
File
Minnesota Department of Transportation
State Aid for Local Transportation
395 John Ireland Boulevard, MS 500
Saint Paul, MN 55155
An Equal Opportunity Employer
MEMORANDUM
DATE: March 27, 2013
TO: James Cownie
Contracts Management
MS 130
FROM: Lynnette Roshell
Project Development Engineer
PHONE: 651.366.3822
SUBJECT: Agreement No. 03330
SP 206-080-001; HPPH H126(002)
AGREEMENT EXECUTION
Please process the attached agency agreement between MnDOT and the
City of Lake Elmo which provides for MnDOT to act as the City’s agent in
accepting federal aid for Preliminary Engineering work. Attached are four
copies.
Please contact me if you have any questions.
File
TO: Minnesota Department of Transportation
Date:
State Project number: SP 206-080-001
Federal Project number: HPPH H126(002)
Agreement number: 03330
Invoice number:
Partial or Final Payment (circle one)
Dates this invoice covers: January 2010 to June 2010 (for example)
Agreement amount: List total amount of project( local and federal share) .
Work completed to date: Briefly list what work has been done .
Percentage complete: pp%
Amount requested this invoice: $nnn,nnn.nn.
Amount requested to date: $nnn,nnn,nn
Please forward payment to:
Payment requested by: Project manager must sign.
Approval to pay: by TED SCHOENECKER
Date: xx/xx/xxxx
Enclosures (Include all backup documentation)
Your organization’s letterhead