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LOCAL AGENCY PROGRAM SUPPLEMENTAL AGREEMENT - FLORIDA BEACH WALK INITIATIVE 525-010-32 PROJ MGT, RESEARCH & DEV OFC 02/01 Page 1 of 1 SUPPLEMENT NO.1 STATE OF FLORIDA DEPARTMENT OF TRANSPORTATION FIN NO: 416652128/5801 LOCAL AGENCY PROGRAM SUPPLEMENTAL CONTRACT NO: AO 070 Ar-ClCCUC"IT PROJECT DESCRIPTION The FLORIDA DEPARTMENT OF TRANSPORTATION, DISTRICT 7 and the City of Clearwater desire to supplement the Agreement entered into and executed on May 4, 2005 as identified above. All provisions in the basic Agreement remain in effect except as expressly modified by this Supplement. The changes to the Agreement are described as follows: Name: Florida Beach Walk Initiative Length: Termini: Description of Work: The City, using a professional services consultant, will perform the necessary evaluation and documentation activities outlined in the Department's Project Development and Environment (PD&E) Study Manual and perform the Construction activities for the proposed reconfiguration of Gulfview Boulevard as part of the Florida Beach Walk Initiative Project. Reason for Supplement: To include funding provided by Federal Earmarks and local funds for the Construction phase of the project. To extend the agreement expiration date to December 31,2009. To amend article 1.01 Modifications and Additions to include Exhibits 1 and AR attached hereto. Additionally, this agreement revises Exhibits A and B to include as provided below: SPECIAL CONSIDERATION BY AGENCY The City will submit to the Department 60% and 100% design plans for review and approval. At 100% plans submittal, the City will provide the project Bid Package to include Specifications, updated construction estimate, City's Certification Clear Package letters (documentation of utility coordination, Right of Way clearance documentation, environmental permits and environmental determination), draft construction contract and completed contract checklists provided by the Department. All above items must be reviewed and approved and a Notice to Proceed for Construction must be issued by the Department prior to any construction related activities, including project advertisement. Construction related activities conducted prior to Notice to Proceed will not be reimbursed and may render the entire project ineligible for federal funding. The City will provide to the Department the following eleven point project milestones schedule upon final execution of this agreement and quarterly thereafter: 1. LAP Agreement Execution Date 4. Permits Clear 7. RIW Certification 10. Award Date 2. NTP to Local Agency 5. Environmental Clear 8. Advertisement Date 11. Construction Completion Date 3. Utility Certification 6. R/R Certification 9. Bid Opening Date The City will let the construction contract prior to June 30, 2007. If the City cannot meet this letting date, the Department must be notified in writing and a new project letting date provided prior to May 1, 2007. Failure to comply with this requirement may be cause for termination of this project agreement and withdrawal of Department funding. The City will complete and provide the Department with a Final Inspection and Acceptance form at the completion of the project in accordance with the Local Agency Program Manual for Federal Aid Projects (Department Procedure: 525-010-300). This form must be completed and accepted by the Department prior to payment of the project Final Invoice. SPECIAL CONSIDERATION BY DEPARTMENT: The Department will issue to the City a Notice to Proceed for the Construction phase after final design plans, bid package, specifications, certification clear package (documentation of utility coordination, right of way clearance documentation, environmental permits and environmental determination), draft construction contract and LAP Checklists have been reviewed and approved. 525-010-32 PROJ MGT, RESEARCH & DEV OFC 02/01 Page 2 of 2 TYPE OF WORK FUNDING (1) (2) (3) (4) (5) PREVIOUS PROJECT ADDITIONAL CURRENT TOTAL TOTAL TOTAL PROJECT PROJECT TOTAL AGENCY FUNDS FEDERAL AND STATE !"IINn!': !"IINn!': !"IINn!': !"IINn!': P.D.&E. a. Agency Work 150 000 150 000 150 000 b. Other c. Other d. Total PD&E (a+b+c) 150,000 150,000 150,000 P.E. a. Agency Work b. Other c. Department Services d. Total PE Cost (a+b+c) Right-of-Way e. Agency Work f. Other g. Department Services h. Total RfW Cost (e+f+g) Construction i. Contract 3 an 000 3 an 000 28 252 3793748 j. Other k. Other I. Other m. Total Contract Costs 3,822,000 3,822,000 28,252 3,793,748 (i+j+k+l) Construction Engineering n. Agency o. Other p. Department Forces q. Total Construction Engineering (n+o+p) r. Total Construction Cost 3,822,000 3,822,000 28,252 3,793,748 (m+q) s. TOTAL COST OF $150,000 $3,822,000 $3,972,000 $28,252 $3,943,748 PROJECT (d+h+r) 525-010-32 PROJ MGT, RESEARCH & DEV OFC 02/01 Page 3 of 3 EXHIBIT AR Audit Reports Article 5.04, Audit Reports, is modified as follows and supersedes that article: The administration of resources awarded by the Department to the Agency may be subject to audits and/or monitoring by the Department, as described in this section. MONITORING In addition to reviews of audits conducted in accordance with OMB Circular A-133 and Section 215.97, F.S., as revised (see "AUDITS" below), monitoring procedures may include, but not be limited to, on-site visits by Department staff, limited scope audits as defined by OMB Circular A-133, as revised, and/or other procedures. By entering into this agreement, the recipient agrees to comply and cooperate fully with any monitoring procedures/processes deemed appropriate by the Department. In the event the Department determines that a limited scope audit of the recipient is appropriate, the recipient agrees to comply with any additional instructions provided by the Department staff to the Agency regarding such audit. The Agency further agrees to comply and cooperate with any inspections, reviews, investigations, or audits deemed necessary by the FOOT's Office of Inspector General (OIG) and Florida's Chief Financial Officer (CFO) or Auditor General. AUDITS PART I: FEDERALLY FUNDED Recipients of federal funds (Le. state, local government, or non-profit organizations as defined in OMB Circular A-133, as revised) are to have audits done annually using the following criteria: 1. In the event that the recipient expends $500,000 or more in Federal awards in its fiscal year, the recipient must have a single or program-specific audit conducted in accordance with the provisions of OMB Circular A-133, as revised. EXHIBIT 1 to this agreement indicates Federal resources awarded through the Department by this agreement. In determining the Federal awards expended in its fiscal year, the recipient shall consider all sources of Federal awards, including Federal resources received from the Department. The determination of amounts of Federal awards expended should be in accordance with the guidelines established by OMB Circular A-133, as revised. An audit of the recipient conducted by the Auditor General in accordance with the provisions OMB Circular A-133, as revised, will meet the requirements of this part. 2. In connection with the audit requirements addressed in Part I, paragraph 1. the recipient shall fulfill the requirements relative to auditee responsibilities as provided in Subpart C of OMB Circular A-133, as revised. 3. If the recipient expends less than $500,000 in Federal awards in its fiscal year, an audit conducted in accordance with the provisions of OMB Circular A-133, as revised, is not required. However, if the recipient elects to have an audit conducted in accordance with the provisions of OMB Circular A-133, as revised, the cost of the audit must be paid from non-Federal resources (Le., the cost of such an audit must be paid from recipient resources obtained from other than Federal entities). 4. Federal awards are to be identified using the Catalog of Federal Domestic Assistance (CFDA) title and number, award number and year, and name of the awarding federal agency. PART II: STATE FUNDED Recipients of state funds (Le. a nonstate entity as defined by Section 215.97(2)(1), Florida Statutes) are to have audits done annually using the following criteria: 1. In the event that the recipient expends a total amount of state financial assistance equal to or in excess of $500,000 in any fiscal year, the recipient must have a State single or project-specific audit for such fiscal year in accordance with Section 215.97, Florida Statutes; applicable rules of the Department of Financial Services and the CFO; and Chapters 10.550 (local governmental entities) or 10.650 (nonprofit and for-profit organizations), Rules of the Auditor General. EXHIBIT 1 to this agreement indicates state financial assistance awarded through the Department by this agreement. In determining the state financial assistance expended in its fiscal year, the recipient shall consider all sources of state financial assistance, including 525-010-32 PROJ MGT. RESEARCH & DEV OFC 02/01 Page 4 of 4 state financial assistance received from the Department, other state agencies, and other nonstate entities. State financial assistance does not include Federal direct or pass-through awards and resources received by a nonstate entity for Federal program matching requirements. 2. In connection with the audit requirements addressed in Part II, paragraph 1, the recipient shall ensure that the audit complies with the requirements of Section 215.97(7), Florida Statutes. This includes submission of a financial reporting package as defined by Section 215.97(2)(d), Florida Statutes, and Chapters 10.550 (local governmental entities) or 10.650 (nonprofit and for-profit organizations), Rules of the Auditor General. 3. If the recipient expends less than $500,000 in state financial assistance in its fiscal year, an audit conducted in accordance with the provisions of Section 215.97, Florida Statutes, is not required. However, if the recipient elects to have an audit conducted in accordance with the provisions of Section 215.97, Florida Statutes, the cost of the audit must be paid from the nonstate entity's resources (i.e., the cost of such an audit must be paid from the recipient's resources obtained from other than State entities). 4. State awards are to be identified using the Catalog of State Financial Assistance (CSFA) title and number, award number and year, and name of the state agency awarding it. PART III: OTHER AUDIT REQUIREMENTS The recipient shall follow up and take corrective action on audit findings. Preparation of a summary schedule of prior year audit findings, including corrective action and current status of the audit findings is required. Current year audit findings require corrective action and status of findings. Records related to unresolved audit findings, appeals, or litigation shall be retained until the action is completed or the dispute is resolved. Access to project records and audit work papers shall be given to the FOOT, the Department of Financial Services, and the Auditor General. This section does not limit the authority of the Department to conduct or arrange for the conduct of additional audits or evaluations of state financial assistance or limit the authority of any other state official. PART IV: REPORT SUBMISSION 1. Copies of reporting packages for audits conducted in accordance with OMS Circular A-133, as revised, and required by PART I of this agreement shall be submitted, when required by Section .320 (d), OMS Circular A-133, as revised, by or on behalf of the recipient directly to each of the following: A. The Department at each of the following addresses: Florida Department of Transportation Lawrence Taylor, District JPAlLAP Administrator 11201 North McKinley Drive, Mail Station 7-500 Tampa, FL 33612 B. The Federal Audit Clearinghouse designated in OMS Circular A-133, as revised (the number of copies required by Sections .320 (d)(1) and (2), OMS Circular A-133, as revised, should be submitted to the Federal Audit Clearinghouse), at the following address: Federal Audit Clearinghouse Sureau of the Census 1201 East 10lh Street Jeffersonville, IN 47132 C. Other Federal agencies and pass-through entities in accordance with Sections .320 (e) and (t), OMS Circular A-133, as revised. 2. In the event that a copy of the reporting package for an audit required by PART I of this agreement and conducted in accordance with OMS Circular A-133, as revised, is not required to be submitted to the Department for reasons pursuant to section .320 (e)(2), OMS Circular A-133, as revised, the recipient shall submit the required written notification pursuant to Section .320 (e)(2) and a copy of the recipient's audited schedule of expenditures of Federal awards diredl)l to each of the following: 525-010-32 PROJ MGT, RESEARCH & DEV OFC 02/01 Page 5 of 5 Florida Department of Transportation Lawrence Taylor, District JPAlLAP Administrator 11201 North McKinley Drive, Mail Station 7-500 Tampa, FL 33612 In addition, pursuant to Section .320 (t), OMB Circular A-133, as revised, the recipient shall submit a copy of the reporting package described in Section .320 (c), OMB Circular A-133, as revised, and any management letters issued by the auditor, to the Department at each of the following addresses: Florida Department of Transportation Lawrence Taylor, District JPAlLAP Administrator 11201 North McKinley Drive, Mail Station 7-500 Tampa, FL 33612 3. Copies of financial reporting packages required by PART II of this agreement shall be submitted by or on behalf of the recipient ~ to each of the following: A. The Department at each of the following addresses: Florida Department of Transportation Lawrence Taylor, District JPAlLAP Administrator 11201 North McKinley Drive, Mail Station 7-500 Tampa, FL 33612 B. The Auditor General's Office at the following address: Auditor General's Office Room 401, Pepper Building 111 West Madison Street Tallahassee, Florida 32399-1450 4. Copies of reports or the management letter required by PART III of this agreement shall be submitted by or on behalf of the recipient ~ to: A. The Department at each of the following addresses: Florida Department of Transportation Lawrence Taylor, District JPAlLAP Administrator 11201 North McKinley Drive, Mail Station 7-500 Tampa, FL 33612 5. Any reports, management letter, or other information required to be submitted to the Department pursuant to this agreement shall be submitted timely in accordance with OMB Circular A-133, Florida Statutes, and Chapters 10.550 (local governmental entities) or 10.650 (nonprofit and for-profit organizations), Rules of the Auditor General, as applicable. 6. Recipients, when submitting financial reporting packages to the Department for audits done in accordance with OMB Circular A-133 or Chapters 10.550 (local governmental entities) or 10.650 (nonprofit and for-profit organizations), Rules of the Auditor General, should indicate the date that the reporting package was delivered to the recipient in correspondence accompanying the reporting package. PART V: RECORD RETENTION 1. The recipient shall retain sufficient records demonstrating its compliance with the terms of this agreement for a period of at least five years from the date the audit report is issued, and shall allow the Department, or its designee, CFO, or Auditor General access to such records upon request. The recipient shall ensure that audit working papers are made available to the Department, or its designee, CFO, or Auditor General upon requE;lst for a period of at least five years from the date the audit report is issued, unless extended in writing by the Department. 525-010-32 PROJ MGT, RESEARCH & DEV OFC 02/01 Page 6 of 6 EXHIBIT 1 Single Audit Act Federal Resources Awarded to the Recipient Pursuant To This Agreement Consist Of The Following: Federal Agency: Federal Highway Administration CFDA #: 20.205 Highway Planning and Construction Amount: $3,943,748 Compliance Requirement: Allowed Activities: To be eligible, most projects must be located on public roads that are not functionally classified as local. The major exceptions are the Highway Bridge Replacement and Rehabilitation Program, which provides assistance for bridges on and off the Federal-Aid highways; highway safety activities; bicycle and pedestrian projects, transportation enhancement activities, the recreational trails program, and planning, research, development, and technology transfer. Proposed projects meeting these and other planning, design, environmental, safety, etc., requirements can be approved on the basis of State and local priorities within the limit of the funds apportioned or allocated to each State. Allowable Costs: Eligible activities and allowable costs will be determined in accordance with Title 23 and Title 49 Code of Federal Regulations and the OMB cost principles applicable to the recipient/sub-recipient. Eligibility: By law, the Federal-aid highway program is a federally assisted State program that requires each State to have a suitably equipped and organized transportation department. Therefore, most projects are administered by or through State transportation departments (State DOTs). Projects to be funded under the Federal-aid highway program are generally selected by State DOTs or MPOs, in cooperation with appropriate local officials, as specified in 23 U.S.C. and implementing regulations. Territorial highway projects are funded in the same manner as other Federal aid highway projects, with the territorial transportation agency functioning in a manner similar to a State transportation department. Most FLHP projects are administered by the FHWA Office of Federal Lands Highway and its Divisions or by the various FLMAs. Under the FLHP, projects in the Indian Reservation Road (IRR) Program are selected by Tribal governments and are approved by the Bureau of Indian Affairs (BIA) and the Federal Highway Administration. Due to recent legislation, Tribal governments meeting certain requirements may now administer various IRR projects on behalf of the BIA and FHWA. The Fish and Wildlife Service (FWS) and the National Park Service (NPS) select projects in the Refuge Road and Park Roads and Parkways programs, respectively. For the Forest Highway Program, the Forest Service, the States and the Federal Highway Administration jointly select projects. Compliance Requirements Applicable To The Federal Resources Awarded Pursuant To This Agreement Are As Follows: The recipient of Local Agency Program funding must comply with the statutory requirements in Sections 112.061, 215.422, 339.12, and 339.135, Florida Statutes, and Chapters 23 and 49, Code of Federal Regulations. Note: Section .400(d) of OMB Circular A133, as revised, and Section 215.97(5) (a), Florida Statutes, require that the information about Federal Programs and State Projects included in Exhibit 1 be provided to the recipient. (Remainder of this page intentionally left blank) 525-010-32 PROJ MGT, RESEARCH & DEV OFC 02/01 Page 7 of 7 IN WITNESS WHEREOF I the parties have caused these presents to be executed the day and year first above written. CITY OF CLEARWATER STATE OF FLORIDA DEPARTMENT OF TRANSPORTATION By: ~~ ~ (Frl!rfl"k Hibbard Mayor-Commissioner By ~g: Scott . Collister, P.E., CPC Director of Transportation Development Attest: Title: Date: ~ By: a. . ~--:IT William B. Horne II, City Manager Date: As to form: As to form: ~9~~ ~y Carlos F. Colon Assistant City Attorney ~H istrict Attorney See attached Encumbrance Form for date of funding approval by Comptroller.