Project Management Plan Mill River Restoration PMP-QCP_Mill_River_Mar2012
PROJECT MANAGEMENT PLAN
MILL RIVER
AQUATIC ECOSYSTEM RESTORATION
NORTHAMPTON, MASSACHUSETTS
SECTION 1135
Feasibility Phase
1
MILL RIVER
AQUATIC ECOSYSTEM RESTORATION
NORTHAMPTON, MASSACHUSETTS
SECTION 1135
Feasibility Phase
March 23, 2012
TABLE OF CONTENTS
I.INTRODUCTION ............................................................................................................................. 3
II.PROJECT INFORMATION ............................................................................................................. 3
III.PROJECT DELIVERY TEAM ROLES AND RESPONSIBILITIES ................................................... 6
Critical Team Members ............................................................................................................. 7
Supporting Team Members ...................................................................................................... 9
IV.PROJECT SPECIFIC TASK DESCRIPTIONS .............................................................................. 11
V.PROJECT MILESTONES AND SCHEDULE ................................................................................. 17
VI.PROJECT BUDGET ..................................................................................................................... 18
VII.PROJECT DOCUMENTATION ..................................................................................................... 20
VIII.MEETINGS AND COMMUNICATION ........................................................................................... 22
IX.CHANGE MANAGEMENT ............................................................................................................ 22
X.PROJECT CLOSE OUT AND TERMINATION: ............................................................................. 23
Stop Work ................................................................................................................................ 23
Final Project Closeout ............................................................................................................ 24
XI. PROJECT TEAM AGREEMENT……………………………………………………………………………25
2
I. INTRODUCTION
The purpose of the Mill River Ecosystem Restoration feasibility study and environmental
assessment is to develop and evaluate aquatic habitat restoration alternatives for the Mill River in
the city of Northampton, Massachusetts. See Figure 1 for the project location. The city of
Northampton requested Corps of Engineers assistance with a potential reestablishment of flow in
the historic Mill River channel. The old channel conveys only local drainage since the Corps
completed construction of the Northampton Local Protection Project in 1940. The team will
develop alternatives to modify the existing Corps project to restore flow to the historic river
channel and improve fish habitat in the Mill River. The team will evaluate the alternatives with
respect to restoration quality, engineering feasibility, impact to environmental and cultural
resources, real estate requirements and cost. If a feasible alternative is identified, the Corps and
non-Federal sponsor will recommend implementation of one of the several alternatives and
document these findings in a Detailed Project Report/Environmental Assessment (DPR/EA).
The project is currently in the beginning stages of the feasibility assessment. The purpose of this
Project Management Plan (PMP) is to define the scope, schedule and budget for the evaluation of
alternatives based on the information we have to date. All continuing authority projects operate
under the Continuing Authorities Programmatic Project Management Plan available at \\Nae-fs3im-
46662\cenae-shared\Planning_Project_Information\Continuing_Authorities_Program. This PMP
presents information specific to this project (placement locations, data needs, etc) and will
change with project progress and be updated as needed. The project manager will hold project
team meetings to ensure that project changes and specifics are communicated to each team
member on a timely basis. It is the responsibility of each team member to read and understand
this PMP and inform the project manager when changes to scope, schedule or budget are
required.
II. PROJECT INFORMATION
Project Manager: David Larsen
Project Authority: Project Modifications for the Improvement of the Environment,
Section 1135 of the Water Resource Development Act (WRDA)
1986, as amended
Project Phase: Feasibility
Project Description:
Section 1135 of the Water Resource Development Act (WRDA) 1986, as amended, authorizes the
Corps of Engineers to participate in planning, engineering and design, and construction of project
modifications to improve the environment. Project modifications can be proposed to restore
degraded ecosystem structure, function, and dynamic processes to a less degraded, more natural
condition as long as a project’s function for its primary purpose is not compromised. Projects
require partnering with a non-Federal sponsor who may be a public agency, state or local
government, or a large national non-profit organization. The city of Northampton requested the
Corps’ assistance with a study of restoration of the Mill River. The Corps prepared a Preliminary
Restoration Plan (PRP) based on an April 18, 2001 request from the city.
The team will evaluate the feasibility of restoration alternatives on the Mill River. The initial list of
restoration measures include:
1. Provide fish passage facilities at the South Street Drop Structure and the Smith College
Dam
2. Install and modify gate structures at the upper and lower ends of the by-passed section of
the Mill River to restore the connection to the upper and lower Mill River and the
Connecticut River
3. Reconstruct a natural channel configuration in the by-pass section of the Mill River
3
4. Enhance in-stream habitat by constructing riffle and pool habitats and placing boulders
and other structures in the by-pass channel
The team will combine measures where appropriate and evaluate alternative plans.
4
Figure 1.
Northampton Local Protection Project location
5
Expectations of the Study Sponsor – The sponsor for this project is the city of Northampton. The
city expects an evaluation of alternative plans conducted in cooperation with an interagency group
and involvement of the local community. The sponsor is expecting an accurate assessment and cost
estimate, feasibility level designs and a timely and cost effective completion of the feasibility phase.
Project Assumptions:
In addition to the No Action alternative, approximately six alternatives for restoration have
been identified to this point:
1. Restore the natural channel from the upstream end of the bypass channel to its historic
confluence with the Connecticut River. Gates or bypass facilities would be investigated at
the upper and lower ends of the restored channel to restore flow from the connection with the
Connecticut River. Due to urbanization along this stretch of the historic channel, the
feasibility of retaining covered culverts along some of its length while providing fish habitat
will be investigated.
2. Construct fish passage facilities at the bypass channel downstream drop structure and the
Smith College dam which would connect the upper and lower watershed through the
diversion channel.
3. Provide enhanced habitat within the bypass channel by construction of features within and
alongside the channel.
4. Reconstruct a natural channel configuration within the bypass channel in addition to
construction of features in the channel.
5. Investigate potential flood protection measures that may be necessary along the restored
channel and optimize the flow regime within the historic and bypass channels to provide the
maximum environmental benefits.
6. Implement a combination of the features described in the alternatives above to develop a
range of multi-featured alternative project configurations.
Required Output: The feasibility study team will develop a Detailed Project Report (decision
document), with an integrated Environmental Assessment, that will identify a recommended
plan and document compliance with environmental requirements. This document will be
submitted to North Atlantic Division (NAD) of the Corps of Engineers for approval.
Team Involvement: The principal members of the Project Delivery Team (PDT) will be the
project manager, specialists from the Engineering/Planning Division, Real Estate Division, and
representatives from the city of Northampton. The PDT is responsible for preparing the
decision document that will evaluate the restoration alternatives.
III. PROJECT DELIVERY TEAM ROLES AND RESPONSIBILITIES
All Team Members and Elements: All Team Members (TMs) are accountable to ensure that all work is
completed within established schedules and budgets. All TMs are responsible for the technical
adequacy of their work and to ensure that the work is accomplished consistent with Corps of
Engineers and other applicable regulations and guidelines. All functional elements from which staff
is assigned to the project are also responsible to assign staff for District Quality Control (DQC) and
shall certify that the work is accomplished consistent with the District’s overall Quality Control Plan
(QCP) and the specific QCP for the project. All TMs are responsible for responding to review
comments on the project reports and analyses they prepare.
The success of the project is highly dependent on the team’s communication and cooperation.
Every TM provides information and support that is essential for the project. Each project has a
unique set of goals, challenges and constraints that determine the importance of each TM’s role.
TMs are categorized as Critical, providing the foundation for the project and Supporting, providing
assistance to the team throughout the project. General descriptions of each TM responsibilities are
also available in the Continuing Authorities Program (CAP) Programmatic PMP.
6
Critical Team Members
a. Engineering/Planning – Planning Branch – Project Manager: The Planning Branch is
responsible for project management throughout the study, design and construction phases.
The project manager (PM) in the Planning Branch also acts as the technical lead in
Engineering/Planning and directs all technical investigations associated with the project. The
PM is responsible for the overall project scope, budget and schedule and ensures that the
work meets the expectations of the non-Federal sponsor and is consistent with ER 1105-2-100
and other applicable Corps regulations and guidelines. The PM guides the plan formulation
process and is the principal author of the Decision Documents (Initial Appraisal and DPR/EA).
The PM assembles the alternatives, benefits, and economic input from the team to prepare the
cost effectiveness/incremental cost analysis. The PM prepares and keeps current project fact
sheets, web information, budget submissions, Project Review Board (PRB) updates, and state
update reports. The PM coordinates activities of the PDT and manages project schedules,
budget and funding using P2 and CEFMS, and tracks team progress within those resources.
The PM is the point of contact for the non-Federal sponsor and is responsible for ensuring
appropriate Sponsor and public involvement. The PM prepares and coordinates the cost
sharing agreements: Feasibility Cost Share Agreement (FCSA) and Project Partnership
Agreement (PPA) and regularly updates the sponsor on project progress and financial status
and ensures that the sponsor completes its work (e.g. work in kind, non-Federal permits,
lands, easements, rights of way and relocations (LERRDs) coordination) as planned. The PM
assists the project Sponsor with its self-certification of financial responsibility and gathering
data necessary to evaluate project economic justification. During the design phase, the PM
guides the team in ensuring that the following products are consistent: plans, specifications,
permits and environmental requirements, cost estimate, LERRDs, contract documents, and
project agreements (e.g. PPA). Planning Branch staff not assigned to the project may also
serve as the DQC team leaders on CAP projects and are directly responsible for the policy and
formulation aspects of the technical review. The project manager is encouraged to review the
PM Checklist in Appendix D to ensure common project pitfalls are considered.
PM – David Larsen
b. Engineering/Planning – Evaluation Branch – Environmental Team Member: The environmental
TM is responsible for environmental analysis of the project consistent with ER 1105-2-100 and
other applicable Corps regulations and guidelines. The environmental TM is also responsible
for scoping, contracting and evaluating ecological resource and other investigations as
required for the project. The environmental TM ensures that the project is evaluated and
constructed in accordance with National Environmental Policy Act (NEPA) and other Federal
and state laws and statutes, and ensures that any agreed upon environmental requirements
are properly included in the project’s plans and specifications. The environmental TM is the
principal author of the project NEPA (EA) document and any associated coordination
documents, correspondence, and regulatory applications.
Project Specific Challenges: The environmental TM will determine the restoration outputs for
the project. This will involve an estimation of the benefits of fish passage and river habitat
restoration. The environmental TM will conduct surveys sufficient to evaluate existing and
future conditions (potentially including sediment sampling). In addition, impacts to non-target
species must be addressed. Significant coordination with other agencies and TMs is required.
TM – Kenneth Levitt
c. Engineering/Planning – Geotechnical/Water Resources Branch – Hydraulic & Hydrologic
(H&H) Engineering Member: The H&H engineering TM is responsible for scoping, contracting,
coordinating, and evaluating H&H investigations, including surveys, hydrologic/hydraulic
calculations, data interpretation, and, if needed, model set up, calibration, sensitivity analysis,
output prediction and certification for the project. This TM will review all existing data
available from other agencies and determine what information is needed for the project. The
H&H engineering TM prepares the H&H engineering appendix for the report consistent with
7
Corps regulations and guidelines. The H&H engineering TM also provides necessary input to
the development of plans and specifications for the project, ensures that project documents
fully and accurate reflect H&H engineering analysis and products, and provides any required
H&H engineering during construction services.
Project Specific Challenges: This project requires an understanding of river flow regimes.
TM – Townsend Barker
d. Engineering/Planning – Geotechnical/Water Resources Branch – Geotechnical Member: The
geotechnical (geotech) TM is responsible for scoping, contracting, coordinating, and
evaluating geotechnical investigations, including surveys, borings, quantity estimates, quality
evaluation, calculations, and associated documents for the project. The geotech TM will
coordinate and provide support to other TMs throughout the project. Some of the geotech
tasks, such as surveys, need to be coordinated with the environmental TM to avoid duplication
of efforts. The geotech TM will also need to coordinate with other TMs prior to any surveys to
ensure all necessary data are collected for evaluation. The geotech TM prepares the
geotechnical engineering appendix for the report consistent with Corps regulations and
guidelines. The geotech TM also provides necessary input to the development of plans and
specifications for the project, ensures that project documents fully and accurately reflect
geotechnical design elements, and provides any required geotechnical engineering during
construction services.
Project Specific Challenges: This project will require accurate assessment of sediment and
base material (bedrock). This will require close coordination with the civil TM.
TM – Jon Kullberg
e. Engineering/Planning – Design Branch – Civil Team Member: The civil TM is responsible for
scoping, coordinating, and evaluating civil engineering investigations, including surveys,
quantity estimates and civil design drawings for the project and ensuring all appropriate civil
engineering information produced by the team is accurately reflected in the civil drawings.
The civil TM prepares (or ensures the preparation of) the civil engineering drawings and civil
engineering design appendix (as necessary) for the report consistent with Corps regulations
and guidelines. The civil TM also provides necessary input to the development of plans and
specifications for the project, ensures that project documents fully and accurately reflect
project design, and provides any required civil engineering during construction.
Project Specific Challenges: The civil TM will coordinate with the geotech TM to accurately
assess existing conditions and work with the H&H TM to prepare the layouts of the alternative
plans. The civil TM will locate all utilities that affect the project alternatives. The civil TM will
also develop design and quantity information for the work proposed.
TM – Coral Siligato
f. Engineering/Planning – Design Branch – General Engineering Team Members: (Includes
structural, mechanical, electrical, and specifications) The general/structural engineering TMs
are responsible for preparing specifications for the project, including incorporating drawings,
regulatory approval documents, and other technical materials prepared by the project team
into the specifications.
TM – Maruti Wagle / structural and Deborah Gabrielson / mechanical
g. Engineering/Planning – Design Branch – Cost Engineering Team Member: The cost
engineering TM is responsible for conducting any investigations necessary to prepare the
project cost estimates for evaluated alternatives and any recommended plan. The cost
engineering TM will be prepare, evaluate, and update cost estimates, as necessary, consistent
with applicable Corps regulations and guidance. Cost contingencies are developed with
8
consideration of risk. Estimates are prepared and presented using MCACES or CEDEP as
applicable. The cost engineering TM prepares the Independent Government Estimate (IGE) for
project construction prior to bid opening.
TM – Andrew Jordan
Supporting Team Members
h. Engineering/Planning – Planning Branch – Planning Oversight: As mentioned above, the
Planning Branch is responsible for project management of the project throughout the study,
design and construction phases. The Planning Branch chief and Ecosystem Restoration
Project Section chief are responsible for general program/project oversight and serve as a
technical and policy resource throughout the project. The PM will provide the branch/section
chiefs with project updates on scope, schedule and budget.
TM – John Kennelly & Larry Oliver
i. Engineering/Planning – Evaluation Branch – Economics Team Member: The economics TM is
responsible for economic analysis of the project consistent with ER 1105-2-100 and other
applicable Corps regulations and guidelines. The economics TM is also responsible for
scoping, contracting and evaluating economic investigations as required for the project. The
economics TM will prepare the economic portion of the cost effectiveness/incremental cost
analysis with input from the project manager, environmental TM, and cost TM.
TM – Denise Kammerer-Cody
j. Engineering/Planning – Evaluation Branch – Cultural Resources Team Member: The cultural
resources TM is responsible for all cultural resources coordination with the State Historic
Preservation Office (SHPO), tribal officials, and other agencies as required. The cultural
resources TM is also responsible for scoping, contracting and evaluating cultural resource
investigations as required for the project. The TM prepares the cultural resources text for
inclusion in the decision document and NEPA document. This may require preparation of a
separate cultural resources appendix. The cultural resources TM ensures that the project is
evaluated and constructed in accordance with National Historic Preservation Act (NHPA) and
other Federal and state laws and statutes, and ensures that any agreed upon cultural resource
requirements are properly documented and included in the project’s plans and specifications.
TM – Marc Paiva
k. Real Estate Division: The Real Estate TM prepares the Real Estate Plan required for the
decision document. The Real Estate TM works with the PDT to identify all real estate interests
required for the project, and to acquire real estate ownership and valuation data needed for
project justification. The Real Estate TM works with the non-Federal sponsor’s
representatives to insure that the real estate acquisition is performed consistent with Corps
regulations and law. The Real Estate TM works with the PM to determine any real estate credit
to be allocated against the Sponsor’s cost-share.
TM – Jeff Teller
l. Construction Division provides supervision and administration (S&A) of the construction
contract and provides construction-related input to project formulation and plans and
specifications preparation. Construction Division is responsible for quality assurance of the
construction contract and to assure a quality project is constructed on time and within the
established budget. Construction Division staff will coordinate with the PM on all issues that
affect cost, scope and budget to insure these issues are addressed within the Corps and with
the non-Federal sponsor.
TM – To be determined during the next phase
9
m. Contracting Division will provide timely execution of the necessary contacts/delivery orders in
direct support of the project requirements.
TM – To be determined as needed
n. Office of Counsel provides necessary legal reviews of all decision documents, the EA, and
cost sharing agreements (FCSAs & PPAs). Office of Counsel staff will coordinate all
necessary FCSA and PCA deviations with North Atlantic Division (NAD) and USACE
Headquarters staff to insure timely resolution. Office of Counsel staff provides legal
certifications for all documents forwarded to NAD for approval.
TM – To be determined as needed
10
IV. PROJECT SPECIFIC TASK DESCRIPTIONS
In preparation of this PMP, each TM submitted a scope, cost and schedule for the project. Some TMs
edited a template PMP and those changes are incorporated below. Others submitted separate scope
descriptions and cost documentation. Tasks and costs from these documents are summarized
below.
1. Evaluation Branch Efforts:
The Environmental Resources Section will prepare the Environmental Assessment supported
by data provided by other TMs and agencies. This report is included as part of the decision
document. The PM will write the alternatives section; the cultural TM will prepare and
coordinate the archeological resources section; and the environmental TM will incorporate
information from Water Management and Geotechnical Engineering sections as needed to
describe the affected environment and environmental consequences.
a. Environmental Tasks:
Attend team meetings
Attend public meetings
Develop relationship between fish passage alternatives and numbers of fish
expected to pass upstream through target habitat, as well as acres of riverine
habitat (and/or river miles) restored by passage alternatives for input into the
incremental analysis on the mainstem of the river. Assess former channel
habitat to determine whether or not it can be opened and would support
resident fish species. Determine applicability of appropriate habitat model.
Determine data needs, sample if required – If necessary, conduct a fisheries
and water quality study in sections of LPP, as well as upstream of Smith
College Dam impoundment to collect baseline fisheries data to determine
existing species structures and productivity. Determine dissolved oxygen
profiles in impoundment as well as in river downstream in sections of LPP in
selected areas of the river to determine suitability to support target species.
Examine areas of former channel and collect water quality and habitat data as
necessary, as well as fisheries data in areas that appear to be providing fish
habitat. Survey habitat in proposed study area to determine presence of or
potential for restoration of, spawning nursery and migratory habitat for target
fish species. Identify/delineate wetlands in proposed study area for water
quality and wetland permits.
Collect sediment samples within study area upstream of the dams to
determine presence of contaminants that could impact fisheries as well as
proposed construction activities. The sampling plan is based on an in-house
estimate for a sampling effort that is limited to seven samples.
Identify applicable permits and prepare application for Water Quality
Certificate and supporting information for wetlands permit.
Prepare public notice
Coordinate with local, state and Federal agencies and prepare meeting notes.
Prepare benefits section of incremental analysis and appropriate sections
within EA document and appendices.
As part of literature search, determine historical extent of anadromous
species and native riverine species within study area.
Address review comments.
b. Cultural Tasks:
Attend team meetings
Site visit
Perform background research at MA SHPO, State Library, and local Historical
Society, as required
11
Coordinate with MA SHPO, Tribal Historic Preservation Officer (THPO) and
others as required
Prepare appropriate sections within DPR/EA document
Document review and address any comments
c. Economics Tasks:
Tasks
Load Cost Data & Define Increments
Format IWR Program for Incremental Analysis
Evaluate Alternatives for NED/NER Plan
Prepare Economic Appendix
Assumptions
Fewer than 6 alternatives for evaluation, including the no-action alternative
No flood damage mitigation component
2. Water Management Branch Efforts:
Tasks
Hydrologic analyses to determine expected low flows and durations
Hydraulic design of new Mill River channel including an opening in the dike at
the start of the restored channel and determining stone size for stable channels
Ecological improvements in Mill River bypass using HEC-RAS to design a low-
flow channel and evaluate effects of proposed improvements on flood control
Assumptions:
Survey data collected for Civil Layout will be sufficient for H&H analyses.
Comments:
A flow of 3.1 cfs was previously estimated for the new Mill River channel, but flow
estimates are also needed for fish passage at Paradise Pond Dam and under South
Street. A 3-foot wide channel, with side slopes of 1.5 horizontal to 1 vertical and an
average slope of 0.00073 ft/ft, was previously estimated for a flow of 3.1 cfs. However,
the slope will not be uniform for the entire length, and it’s unlikely the channel width
will be the same everywhere, so a HEC-RAS model will be needed, and use of
GeoRAS will make for better display of results. If the South Street barrier is removed,
this will require additional modeling to determine a new stable channel and slope;
estimated additional cost is $15K. If temperature modeling of the channel
improvements is required, it will cost an additional $25K including collection of field
temperature data for calibration. This temperature data collection would have to
occur during summer low flows, which could delay the study.
3. Design Branch Efforts:
a. Cost Engineering Section
Tasks
12
Attend team meetings
Review designs and documents
Develop equipment and labor crews with production
Develop quantities, concept designs, and prepare estimates
Address any review comments
Assumptions: The preliminary cost estimate assumes six alternatives. Additional
alternatives will incur additional costs.
b. Civil Section
Tasks:
Attend team meetings.
Coordination within PDT and with technical personnel from sponsors and
outside agencies.
Site visits as required – assumed that approximately two one-day visits will be
required.
Coordinate with Survey Unit and prepare survey scopes of work as necessary
to obtain any required survey information not currently available.
Research and obtain sufficient background information to assess existing
conditions and problems, including affected utilities, structures, etc.
In coordination with the other PDT members, develop a range of feasible
alternative solutions to the identified problems. As noted above, six
alternatives are assumed to be sufficient at this time.
Provide Civil design and feasibility-level plans for each alternative. It is
anticipated that approximately three 11x17 sheets will be produced to show the
features of each alternative, including plans and typical sections as needed.
Determine quantities of materials for various alternatives and provide input to
Cost Engineering for preparation of cost estimates.
Participate in evaluation of feasible alternatives to identify the selected plan.
For the selected plan, a full size set of conceptual plans will be developed,
including site plans and typical sections. It is assumed that at least two sheets
will be required.
Prepare real estate plans and quantities for the selected alternative.
Prepare appropriate sections within DPR/EA document and appendices.
Review and comment on draft DPR/EA.
Address Civil-related review comments.
Assumptions:
1. No specifications will be prepared at the Feasibility level of study.
2. Drawings and plates will be prepared digitally using appropriate CADD
software and any information obtained from outside sources (surveys, maps,
design drawings, etc.) will not require extensive modification to be
usable/compatible with in-house software and hardware systems.
3. Should additional alternatives be developed during the course of the study this
scope must be modified.
c. Structural Engineering Section:
Tasks
Provide feasibility level:
Input to conceptual design to provide fish passage facilities at the Smith
College Dam
13
Coordination with H & H & Geo-tech
At the rail road bridge parallel to the West Street Bridge provide structural
remedial measures such as modifying the bridge structure to accommodate
changes to channel flow.
Evaluate and provide modifications to the existing flood protection walls
Provide flood protection walls along modified alignment of the river channel
to mitigate flooding of private properties.
Provide an outlet at the dyke using a culvert near the pedestrian bridge for the
diversion of water in to the original channel.
For the bridge located near the parking lot evaluate bridge foundations
affected by the restored alignment of the river channel. Provide structural
solutions to protect the bridge foundations.
Provide underground precast boxed culverts for the channel flow thru the
parking lot and road crossings.
Provide fish passage facilities at the drop structure under the South Street
Bridge.
Modify the gate structures at the upper and lower ends (at the pump station)
of the by-passed section of the Mill River.
Assumptions
Geo-technical will confirm feasibility of providing an opening thru the dyke
structure near the pedestrian bridge.
H & H will size the culvert at the dyke for the diversion into the original
channel.
H & H will size the underground culverts in the parking lot and road crossings.
Geo-technical will provide the subsoil data at the locations of the flood walls
and underground culverts in the parking lot and road crossings.
Mechanical will provide the required changes to the gate structure with
dimensions. City of Northampton will have existing drawings and
information for the South Street Bridge and the Railroad Bridge parallel to the
West Street Bridge.
d. Mechanical Engineering Section:
Tasks
Coordinate with H&H, Civil, and Structural on mechanical equipment
requirements for fish passage facilities at Smith College dam, South St. drop
structure, and existing pumping station.
Coordinate with H&H, Civil, and Structural on mechanical equipment
requirements for conduit and sluice gate structure.
Select mechanical equipment and provide cost estimates.
Provide electrical support
Prepare Mechanical Appendix to include: description of mechanical features,
sketches, and list of mechanical and electrical equipment
Assumptions
Overall design of fish passage facilities/structures, and conduit/ sluice gate
structures by others.
Comments
Features of the plan which may require mechanical input include:
14
1. Fish passage facilities at Smith College dam and South St. drop structure.
Ideally, these should be ladder type structures with no mechanical features.
However, it may be necessary to look at some sort of fish capture and
transport facility similar to what was installed at Townshend Dam in Vermont.
In that case, mechanical team member would provide design and cost of
mechanical equipment for the fish passage facility. Some combination of
gates/valves, hoists, fish transport containers, and/or pumps could be
required.
2. Fish passage at existing pumping station. The former river channel carries
interior drainage to an existing stormwater pumping station. When the
Connecticut River is NOT in flood stage, the drainage flows out through a
gravity conduit. A trash rack is positioned on the land side of the gravity
outlet. There is an existing sluice gate which is normally open. Juvenile fish
may be able to swim downstream through the trash rack if it is clear of debris.
However, adult fish probably cannot swim up through the rack. Also, at the
exit of the gravity outlet, there appears to be a “step” which would need to be
modified to allow fish passage. (This would be a structural modification.)
3. Restoration of former river channel, upstream end. This portion of the plan
requires penetrating the existing flood control levee at a point downstream of
the Rte 66 (West St.) bridge. A conduit through the levee, and a sluice gate
structure extending up to the top of the levee would need to be installed. The
conduit and sluice gate structure design would be by others. Mechanical
team member would select and price the sluice gate and develop O&M costs.
4. Geotechnical Section Efforts:
Tasks
a. General - Perform EP/ITR reviews, and incorporate review comments.
b. Input to conceptual design of fish passage facilities at the South Street Drop
Structure and the Smith College Dam to enable anadromous shad and other
species to access the upper watershed.
Background review and research for existing information
Work with Structural to develop concept design of foundations. Borings
and/or test pits will be required to explore feasibility of proposed
foundation.
Prepare geotechnical sections and details for concept design drawings.
Explore alternative designs to accomplish goals
Assist in development of quantities for geotech features for cost
estimate.
c. Support the design to install or modify gate structures at the upper and lower
(at the pump station) ends of the by-passed section of the Mill River to restore the
connection to the upper and lower Mill River and the Connecticut River.
Background review and research for existing information
Work with Structural to develop concept design of foundations if
modified or new structures installed. Borings and/or test pits may also
be required to explore feasibility of proposed foundation.
Prepare geotechnical sections and details for concept design drawings.
Explore alternative designs to accomplish goals
Assist in development of quantities for geotech features for cost
estimate.
15
d. Support the design for reconstruction of a natural channel configuration in
the by-pass section of the Mill River to restore its capacity to support anadromous
and resident fish species.
Background review and research for existing information
Develop alternative streambank protection scenarios for reconstruction
of channel.
Prepare geotechnical sections and details for concept design drawings.
Assist in development of quantities for geotech features for cost
estimate.
Assumptions
Fish ladder at Smith College Dam will not bear on the existing dam structure,
but will be located adjacent to the existing dam structures, on the right bank.
Walls will not be required for the river channel reconstruction.
5. Real Estate Branch Efforts:
Tasks
Visit Project Site Visit to determine property values.
Research the areas (to include both public and private ownership of lands)
impacted by the project.
Determine the owners of the lands/properties impacted by project.
Research the zoning maps and zoning by-laws to determine what the impact the
project is to the areas. Determine the current uses of the areas and the anticipated
future uses of these areas.
Determine what impact the proposed new channel will have on the lands where
the proposed channel will be located and the lands adjacent to the new channel.
Answer the following questions:
Will the sponsor have to acquire lands to provide alternative parking, construct
alternative playgrounds, or provide alternative business locations and/or parking
spaces to businesses that might lose parking spaces?
Is the Mill River a navigable water of the United States? Are any of the lands
being impacted by the project currently or formerly navigable?
What is the set-back requirement for the river channel? If the minimum 25-foot
set-back for urban areas is required for all areas adjacent to the new channel,
would the cost of purchasing these lands be too prohibitive because the project
will take out developable properties?
Will the cost of acquiring land necessary for the project be so high that they make
the project uneconomical?
16
V. PROJECT MILESTONES AND SCHEDULE
Project Milestones for CAP projects are established by HQUSACE (1105-2-100) and NAD and are
documented in the Draft Project Management Business Process (PMBP) Manual January 2009
Version 0.6. The PM will maintain project budgets, schedules and milestones for individual CAP
projects in P2. Project information will be updated by the PM to reflect changes to individual project
budgets and schedules. PDT members are responsible for informing the project manager as soon as
possible regarding issues or changes in work priorities that could impact individual project
schedules. PDT members will follow Standard Operating Procedures (SOPs) for their organizations
regarding approval for changes in schedules for individual projects. The milestones for this project
are indicated below.
Major feasibility phase milestones are as follows:
1. Initiate PMP
2. PMP Approved
3. Submit Draft CAP FCSA
4. CAP FCSA Approved
5. Signed/Executed CAP FCSA
6. Start Study
7. Submit Draft DPR
8. DPR Public Review
9. Submit Final DPR
10. MSC DPR Approval
Each PDT member must meet their individual task deadlines to adhere to the milestone schedule. If
an intermediate task completion date is not met, subsequent tasks will slip. It is imperative that each
TM communicate all schedule changes as soon as possible to their supervisor, the PM and the PDT.
Each TM must review and understand how completion of their individual task has the potential to
impact other TMs. For example, draft reports from all sections are needed prior to estimating costs,
the cost estimates are then used to perform the incremental analysis. Once all TMs complete their
respective draft reports, cost estimates and incremental analysis is performed and the draft report is
prepared. The draft report cannot be submitted until all previous tasks are complete. Each TM has
the potential to impact the entire project schedule.
17
VI. PROJECT BUDGET
The project budget presented below is composed of rounded estimates from individual submissions
from each TM. It is the responsibility of the TM to ensure these values are accurate. Any changes to
the budget must be justified and communicated to the PM as soon as possible with an explanation of
the change in scope or effort that supports the budget change. The budget change request must be
submitted to the PM in writing with copies to the TM’s section and branch chief.
1. Evaluation Branch Efforts:
ERS:
ERS Budget = $54,640
ERS Sampling = $10,000
Cultural:
Cultural Budget = $5,500
Economics:
Economics Budget = $5,120
2. Geotechnical and Water Management Branch Efforts:
WMS:
WMS Budget = $45,000
Geotechnical Section:
Geotechnical Budget = $ 21,100
3. Design Branch Efforts:
Cost Engineering Section
Cost Budget = $11,500
Civil Section including CADD:
Civil Budget = $42,000
Survey Coordination:
Civil Budget = $ 6,600
General Eng Budget
Mechanical Engineer = $9,000
Electrical Engineer = $2,000
Structural Engineer = $7,500
4. Real Estate Branch Efforts:
Real Estate Branch:
Real Estate Budget = $20,000
5. Planning Branch Efforts:
Project Planning Section:
Project Management Budget = $95,000
Special Projects Section:
GIS Technical Support = $10,000
18
Administrative Support:
Admin & Budget = $4,000
6. External Reviews (Agency Technical Review):
Total technical disciplines = $14,000
7. Contingency
Cover any extra travel, meetings, investigation = $20,000
Feasibility Study Team Total Cost = $382,960, say $383,000
19
checks
VII. PROJECT DOCUMENTATION
Electronic project files will be stored in the following folder:
\\nae-netapp2\office\cenae-
shared\Planning_Project_Information\Continuing_Authorities_Program\Section_1135\Mill_River_-
_Northampton_MA
Draft and final versions of TM electronic project files should be stored in the shared drive within
the appropriate Branch/Section folder under “General Project Information” as shown below. TMs
should maintain copies of files in another location to back up these files. File name convention
should be informative, denoting the purpose and last date modified (e.g.,
Draft_EA_Jan10_2010.doc). Below is the electronic project file structure. TMs may add folders in
their respective area, but keep in mind there is limited space on this network; this file is for final
versions only. Working and previous versions, if you wish to keep after project completion,
should be stored elsewhere. Changes to the main report should be made in tracked changes
mode. The PM will maintain copies of the edited versions and maintain a relatively clean copy in
the Reports folder.
The project file will be the central repository for all documents, which constitutes all materials
relevant to surveys, sampling and analysis, reports, correspondence, etc. The PM is the
custodian of the project files and maintains the contents of the file but each TM is responsible for
ensuring that the PM has all relevant documents. Each TM should provide the PM with a hard
copy of all supporting documentation that is not saved on the shared drive. It is preferable that
TMs scan supporting documentation and reports and save the pdf in the project folder. The
ultimate goal is to have a single repository for all project documents so that five to ten years after
the project’s completion, anyone can go to the electronic or hard file and retrieve and understand
information easily. It is highly recommended that TMs include a “notes” page to document
calculations, assumptions, references, quality checks, etc. in spreadsheets. A separate page for
Word documents and “readme” files is also appropriate. If a separate file is used, the original file
should direct the reader to the location of the documentation file. Major assumptions and a
description of how complex calculations were derived should be documented within the
spreadsheet. All calculations, tables and figures should be reviewed for accuracy and precision
(e.g., conversion factors, formulas, transcription errors, significant digits, etc) by a person other
than the creator. (See QCP in Appendix A.) It is the responsibility of each TM to ensure data
accuracy. These quality checks occur throughout the project and are in addition to the DQC/ATR.
The reviewer should document the date and extent of review in the “notes” page or similar
document. Below is a screen shot of a typical note sheet used to document information within a
spreadsheet file.
QC
20
21
VIII. MEETINGS AND COMMUNICATION
The primary responsibility to conduct team meetings resides with the PM. The PM will meet with
the active members of the project team on a regular basis (quarterly at a minimum provided
funding is available) to review the project scope, schedule and budget and related technical
issues. When funding is not available or project progress is not sufficient to conduct full team
meetings, the PM will e-mail quarterly status updates to the team. The frequency and duration of
meetings is generally dictated by project complexity, phase and level of oversight; in some
instances weekly or monthly meetings are necessary. The PM may schedule impromptu meetings
to discuss issues throughout the project. TMs can also request a project meeting at any time.
The PM will document the date, time, attendance, major topics discussed and decisions made
during each meeting. Meeting documentation can take several forms and will depend on the
meeting topic, decision and action items of the meeting. In some instances a summary email will
suffice while others require a Memorandum for the Record (MFR). The MFR will be sent to all
attendees for a chance to comment. Once final, the PM will sign it and retain an electronic copy in
the fact sheets-correspondence-financial file and e-mail the final version to the full project team.
Other modes of communication not related to meetings include emails, conference calls and
memos. The PM and TMs will prepare MFRs or similar to document major decisions,
recommendations, actions or other relevant information throughout the project. The
environmental TM will prepare the MFR documenting the coordinated site visit with resource
agencies. All TMs will document the results of field investigations in MFRs. Electronic versions
will be stored on the shared drive.
Communication with the project sponsor is the responsibility of the PM. The non-federal sponsor
is a member of the project team and will be invited to many team meetings. The PM may hold
additional conference calls or meetings with the sponsor and other stakeholders (general public,
regulatory agencies, etc) and request attendance from individual TMs.
IX. CHANGE MANAGEMENT
Managing change throughout the project requires planning and communication. Several types of
changes may occur during the life of a project. Some of the typical components that may change
include:
Schedule
Budget
Scope
Team Members
Alternatives
Resources
Policy
Whenever one of these project components changes, it has a potential to ripple through the
project and the program. Therefore, it is important to minimize changes and communicate their
effects when they occur.
A simplified step by step process to address change management is proposed.
1. Identify problem and reason for the change and communicate to PM as soon as possible
Communicate issues and need for change to PM as soon as possible
2. Define effects of the change
Identify those affected by the change (TMs, Sponsor, etc.)
Quantify change (how much deviation from plan is needed?)
22
How does it affect scope, schedule, budget, team, next steps, deliverables, etc?
Communicate problem to Branch or Section Chiefs and/or the Project Review Board
(depending on severity of problem)
3. Brainstorm, analyze, and prioritize strategies
Determine outcomes with and without change
Determine alternative solutions and compare predicted outcomes
Identify any constraints associated with potential solutions
Evaluate options based on their effects to scope, schedule, budget, constraints and
project goals & objectives
Solicit sponsor input on potential solutions if appropriate
Revise solutions based on sponsors feedback if needed
4. Develop a response/action plan
Document the “what, why, who and how” of the problem and proposed strategy. For
simple changes, MFR or notes within the project notebook can suffice. The amount
of documentation is commensurate with the level of change needed. A significant
change may require formal documentation, meetings, presentations, etc.
Document communication to the team, sponsor and stakeholder of change and
resolution
5. Implement response action
Identify responsible parties
Implement action
Update PMP and P2 as needed
Evaluate implementation and adjust change as needed
Document actions
X. PROJECT CLOSE OUT AND TERMINATION:
Stop Work
Occasionally projects are terminated or put on hold before phase completion. This may happen
as a result of funding, sponsor desires, environmental issues, or other unexpected reasons.
Upon stop work announcement, each TM should document what was accomplished to date and
what tasks or needs are required to complete the phase. The Stop Work documentation must
include a statement on how the anticipated phase completion budget is affected and provide the
location of all project information; this information should reside with the PM or be saved on the
shared drive in the project folder.
The section chief must read and sign the Stop Work documentation so that he/she understands
the project status at the time work is stopped, what remains to accomplish and what resources it
will take to restart. The PM, together with section chiefs, will decided whether the project phase
should be completed based on this information. In some instances, it may be beneficial to
complete the phase. An example of a Stop Work documentation form is provided in Appendix D.
Example: An ecosystem restoration project was stopped when the Feasibility Phase was nearly
complete. For the Environmental Branch, the TM would document:
progress with regulator coordination (who was notified, when, who needs
notification upon restart),
EA reporting (completeness of draft report),
incremental analysis (was it started, completed?) etc.
impacts to the project budget: increased overall cost upon restart due to:
documentation of Stop Work,
o
any environmental changes that occurred during down time,
o
23
reevaluation of the incremental cost due to inflation, and
o
editing/revising the draft EA.
o
All electronic file names should contain a descriptor informing the user of the last date updated.
For example, the latest cost file could be named “Costs as of Feb22 2010.xls” or similar.
Final Project Closeout
The non-Federal sponsor will be notified in writing for all projects terminated prior to its
construction. Cost shared projects terminating prior to construction will be closed-out in
accordance with the FCSA. Congressional offices will be notified on all projects where a
Congressional member has expressed an interest.
Projects constructed by the Corps will be closed-out in accordance with the executed Project
Partnership Agreement (PPA) following the completion of all project construction and the
preparation of an operation and maintenance manual. Project close out may be delayed where
environmental monitoring is required.
Each TM will ensure that all final electronic files are saved on the shared drive in the appropriate
folder at project close out. The TM will name and store the files in an organized manner so that
five to ten years after the project’s completion, anyone can go to the electronic or hard file and
retrieve & understand information easily. The PM will check with each TM to ensure they have
placed their files accordingly. The PM will create five DVD copies of the project information.
24
XI. PROJECT TEAM AGREEMENT:
The signatures below indicate that the TM has read and understands the commitments described
in this PMP. The TM understands that his/her actions or failure to complete assigned tasks in a
timely manner affects the ability of other TMs to perform and may result in missed NAD/HQ
tracked milestones. The TMs confirm that the scope, budget and schedule set forth in this PMP
are accurate as of [to be completed when FCSA is executed].
Study Team Signature Date
Chief, Planning Branch John R. Kennelly ___________________ ________
Study Manager David Larsen ___________________ ________
WMB Townsend Barker ___________________ ________
Environmental Ken Levitt ___________________ ________
Cultural Marc Paiva ___________________ ________
Economics Denise Kammerer-Cody ___________________ ________
Civil Design Coral Siligato ___________________ ________
Structural Maruti Wagle ___________________ ________
Mechanical Deborah Gabrielson ___________________ ________
Cost Engineering Andrew Jordan ___________________ ________
Geotech Jon Kullberg ___________________ ________
Real Estate Jeff Teller ___________________ ________
25
Project Information Sheet
Mill River Ecosystem Restoration
Feasibility Study
Northampton, Massachusetts
January 14, 2010 696 Virginia Road, Concord Massachusetts, 01742-2751
STUDY NAME: Mill River Ecosystem Restoration Feasibility Study
STUDY AUTHORITY: Section 206, 1996 Water Resources Development Act, as amended.
CONGRESSIONAL DISTRICT: Massachusetts – 2nd
STUDY SPONSOR: City of Northampton, MA
LOCATION AND DESCRIPTION
: The objective of the proposed study is to examine alternatives to
restore fish and riparian habitat in the area affected by the project. Project features that would be
investigated include the following:
Provide fish passage facilities at the South Street Drop Structure and the Smith College Dam to
enable anadromous shad and other species to access the upper watershed.
Install or modify gate structures at the upper and lower (at the pump station) ends of the by-passed
section of the Mill River to restore flow to the historic connection to the upper and lower Mill
River and the Connecticut River.
Reconstruct a natural channel configuration in the by-pass section of the Mill River to restore its
capacity to support anadromous and resident fish species.
Smith College Dam
South Street
p Structure
Dro
Former Mill River Pumping Station
Channel
Mill River Diversion
Figure 1 – Study Area
-1-
EXISTING CONDITION: The Mill River, including the by-pass channel, in the vicinity of the
Northampton Local Protection Project, is a degraded waterway in an urban setting, with impediments to
fish passage, degraded instream habitat, and insufficient buffers. Diversion of flow through the by-pass
channel, construction of a dam and drop structure, and development along the banks of the former riverbed
have severely reduced the quality of fisheries in the river segment and upstream reaches. The former river
channel represents approximately 1.6 miles of fish habitat that has been lost altogether. See Figure 3 for an
historic map of the Mill River before the Corps flood control project was built. Without this project, the
area will continue to be a degraded, segmented section of river with reduced fish and wildlife habitat value.
Anadromous and resident fish will not be able to access spawning areas and up to 2.2 miles of river and
stream habitat.
RESTORATION OBJECTIVES: The overall goal of the study is to select and evaluate feasible
alternatives to restore a riverine migratory corridor to the Mill River and improve the quality of its
ecosystem. The primary objectives of the study are:
Select a plan to restore a riverine migratory corridor and open up high value habitat to aquatic
species
Restore flow to the historic river channel thereby re-creating aquatic habitat
Enhance or restore riparian buffers
The secondary objectives (or non-ecosystem issues) that address identified watershed stakeholder concerns
include:
Increase recreational use of the river
Create or increase public access to the river
Provide aesthetic improvement to the location of the historic river channel
CURRENT PROJECT STATUS: The New England District team will initiate a report to identify and
evaluate specific restoration alternatives.
Mill River Diversion where historic Pumping Station for
channel used to diverge Northampton Local Protection Project
Figure 2
-2-
SECTION 105(a) – WRDA 86, AS AMENDED
MODEL AGREEMENT
FOR
COST SHARED FEASIBILITY STUDIES OF
PROPOSED PROJECTS UNDER THE CONTINUING AUTHORITIES PROGRAM
AND
COST SHARED FEASIBILITY STUDIES OF
PROPOSED PROJECTS UNDER OTHER PROGRAM AUTHORITIES THAT DO NOT
REQUIRE ADDITIONAL AUTHORIZATION TO IMPLEMENT PROJECTS
JULY 24, 2007
APPLICABILITY. – The attached model agreement is one of two models for cost shared
feasibility studies being undertaken in accordance with Section 105(a) of the Water
Resources Development Act of 1986, Public Law 99-662, as amended (33 U.S.C. 2215(a)).
The following descriptions are provided to assist in determining the correct model to be
used for your cost shared feasibility study. The models discussed below should not be used
for a cost shared feasibility study conducted under a feasibility cost sharing authority other
than Section 105(a) (such as Section 729 of the Water Resources Development Act of 1986 –
Watershed and River Basin Assessments). If there is no approved model posted in the
approved model section of the PCA Web page that is applicable to your particular study,
the District Project Delivery Team should consult with the appropriate HQ RIT for
guidance on drafting the appropriate agreement.
CAP FCSA – The attached model should be used only for cost shared feasibility
studies of proposed projects under the Continuing Authorities Program (CAP) and other
program authorities that do not require additional authorization to implement a project -
such as Section 544 of the Water Resources Development Act of 2000 – Puget Sound and
Adjacent Waters Restoration.
FCSA – Use only for cost shared feasibility studies of proposed projects that will
require specific authorization from Congress; for cost shared feasibility studies of
modifications that are beyond the scope of the existing project authorization; and for cost
shared feasibility studies of projects authorized without a feasibility study performed by the
U.S. Army Corps of Engineers.
NOTES. – The following pages (iii – xvii) contain numbered notes to assist in drafting an
agreement using this model. Throughout the model agreement, there are references to the
numbered notes (example: [SEE NOTE – 7]) to direct you to the appropriate note that
provides explanation and guidance on use of optional language or information required to
fill in the blanks. Several of the notes are general in nature and should be reviewed and
discussed with the sponsor during preparation of the draft agreement for your study.
OPTIONAL LANGUAGE. – The use of optional language allows the model to be
applicable to a larger universe of studies. Many of the numbered notes (example: [SEE
NOTE – 6]) require you to choose between multiple versions of language or to choose
whether or not to include a paragraph, sentence, or phrase depending on the specifics of
your study. In many cases optional language to address a concept, such as application of
Section 1156, is required in numerous locations throughout the agreement. Each of these
locations has been identified with numbered notes; however, it is important to ensure that,
if the optional language addressing a certain concept is included in one location, it is also
included in all other appropriate locations. Correct use of the optional language is not
considered a deviation from the model.
BLANKS. – There are numerous locations where information specific to your study is
required to fill in a blank. All of the blanks must be filled in, except the date in the first
paragraph, prior to forwarding the agreement for review. Including the information
required to fill in a blank is not considered a deviation from the model.
DEFINED TERMS SHOWN IN ITALICS. – Throughout the agreement the terms defined
in Article I are shown in italics. Do not remove any of the italics from the agreement.
ii
NOTES:
1. FORMAT. - Remove the cover pages, notes section, all bold type references to notes,
and any bold type text from the agreement prior to forwarding for review. Reminder: Do
not remove any of the italics from the agreement.
2. MULTIPLE SPONSORS.
A. No division of responsibilities between or among multiple sponsors in agreement.
- In the event there are two or more entities serving as the sponsors for the study, and there
is no division of responsibilities between or among them, the agreement can be modified to
identify all the entities collectively as the “Non-Federal Sponsors”. However, it should be
explained to all entities that the term “Non-Federal Sponsors” is construed to hold multiple
sponsors jointly and severally responsible for compliance with all agreement obligations.
The changes outlined in paragraphs A.1., A.2., and C. of this note are required to identify
all entities collectively as “Non-Federal Sponsors” and are not considered deviations from
the model.
1. Modify first paragraph to include name of each entity serving as a
sponsor. (Example: … Magoffin County Fiscal Court represented by the Magoffin County
Judge and the City of Salyersville, Kentucky represented by its Mayor (hereinafter the
“Non-Federal Sponsors”))
2. Change “Non-Federal Sponsor” to “Non-Federal Sponsors” throughout
the agreement. There are several paragraphs where this change will require additional
grammatical changes immediately following the phrase “Non-Federal Sponsors” to reflect
multiple sponsors (i.e. “its” to “their” or “assumes” to “assume”, etc.).
B. Division of responsibilities between or among multiple sponsors required in
agreement. - While it is preferred to have only one sponsor or, when multiple sponsors are
necessary, to designate them collectively as “Non-Federal Sponsors” (see paragraph A. of
this note), we do recognize there are instances where there are two or more entities serving
as the sponsors for the study and there is a need for a division of responsibilities between or
among them in the body of the agreement. It is important that each obligation in the
agreement is reviewed and assigned to the appropriate party and that all obligations of the
agreement are addressed. We have found that modifying an agreement to address a
division of responsibilities can be very cumbersome and it offers many opportunities for
inadvertent omissions. Therefore, at a minimum, the division of responsibilities in the
agreement drafted for your study must be coordinated with the vertical team (PDT and
MSC, and, if necessary HQ) to ensure that the proposed division of obligations is
acceptable and that all obligations are addressed. The changes outlined in paragraphs B.1.,
B.2., and C. of this note are required for multiple sponsors where such approach was
approved in writing by the MSC. When so approved, such changes to address multiple
sponsors are not considered deviations from the model.
iii
1. Modify first paragraph to identify each entity separately using the
identifier preferred by the sponsor (see note 4) and then collectively as the “Non-Federal
Sponsors”. (Example: … The State of California (hereinafter the “State”), represented by the
President of The Reclamation Board, and the Sacramento Area Flood Control Agency
(hereinafter “SAFCA”) represented by its Chair of the Board (the State and SAFCA when
referred to collectively are referred to as the “Non-Federal Sponsors”))
2. Review each occurrence of “Non-Federal Sponsor” and change it to the
identifier for the sponsor that will be responsible for that obligation. If all sponsors
collectively will be responsible for an obligation, then change “Non-Federal Sponsor” to
“Non-Federal Sponsors”. There are several paragraphs where this change will require
additional grammatical changes immediately following the phrase “Non-Federal Sponsors”
to reflect multiple sponsors (i.e. “its” to “their” or “assumes” to “assume”, etc.).
C. The changes below are required for all agreements with multiple sponsors,
regardless of whether you followed paragraph A. or B. above. These changes are not
considered deviations from the model.
1. Modify title to include name of each entity serving as a sponsor.
2. On the signature page, a separate signature block will be required for
each entity serving as a sponsor.
3. A separate Certificate of Authority will be required for each entity serving
as a sponsor.
4. A Certification Regarding Lobbying must be signed by each signatory to
the agreement.
3. GOVERNMENT REPRESENTATIVE. – Insert the title of the Government
representative signing the agreement. Do not include the name, only the title. (Example:
U.S. Army Engineer, Mobile District)
4. REFERENCE TO NON-FEDERAL SPONSOR. - Use “Non-Federal Sponsor”, “Local
Sponsor”, “State”, “County”, “Commonwealth”, “Territory” or other identifier as
preferred by the sponsor in the parenthetical phrase and consistently throughout the
agreement. This change is not considered a deviation from the model. If this change is
made in one location, ensure that all other locations are similarly changed. Reminder:
Non-profit entities cannot serve as sponsors for agreements developed using this model,
except for agreements for CAP Sections 204, 206, or 1135.
5. NON-FEDERAL SPONSOR REPRESENTATIVE. – Insert the title of the sponsor’s
representative signing the agreement. Do not include the name, only the title. The title
iv
shown for the sponsor’s representative should match the title shown on the signature page
and should be preceded by “the” or “its”, as appropriate, to match the title of the sponsor’s
representative. (Example: the Mayor)
6. LETTER FROM SPONSOR. - The input required to complete the Whereas clause
following the reference to this note is described below.
A. First Blank – Include the date of the letter from the sponsor – use civilian format
for date (Example: January 22, 2004).
B. Second Blank - List the purposes (such as flood damage reduction, navigation,
ecosystem restoration, recreation, etc.) that describe the identified water resources
problems to be studied pursuant to this agreement in detail sufficient to avoid any
confusion over what is or is not included.
C. Third Blank – Include the specific location of the study, including state,
Commonwealth, or Territory.
7. SPONSOR IS A NON-PROFIT ENTITY. – Non-profit entities cannot serve as sponsors
for agreements developed using this model, except for agreements for CAP Sections 204,
206, or 1135. Further, the affected local government must consent, in writing, to the non-
profit entity serving as sponsor for the study before the Corps will proceed with drafting an
agreement using this model.
A. Optional Whereas clauses.
1. If the sponsor is a non-profit entity, the two Whereas clauses following the
reference to this note should be included in your agreement. If the sponsor is not a non-profit
entity, delete the two Whereas clauses following the reference to this note. Deletion of these
Whereas clauses is not considered a deviation from the model.
2. If the two Whereas clauses following the reference to this note are included
in your agreement, in the first Whereas clause fill in the appropriate State. The phrase
“State of ________” is used in the model; however, the substitution of “Commonwealth of”
or “Territory of”, as appropriate, based on the location of the project is not considered a
deviation from the model.
B. For each location that requires a choice between two options - Choose Option (1)
if the sponsor is not a non-profit entity or Option (2) if the sponsor is a non-profit entity.
Delete, in its entirety, the option not used. If Option (2) is selected, then all other optional
language regarding a non-profit entity must be selected for inclusion elsewhere in the
agreement (see paragraph A. of this note and note 34).
8. STUDY AUTHORITY.
v
A. Choose Option (1) if the study is being implemented pursuant to CAP Section
14; Option (2) if the study is being implemented pursuant to CAP Section 103; Option (3)
if the study is being implemented pursuant to CAP Section 107; Option (4) if the study is
being implemented pursuant to CAP Section 111; Option (5) if the study is being
implemented pursuant to CAP Section 145; Option (6) if the study is being implemented
pursuant to CAP Section 204; Option (7) if the study is being implemented pursuant to
CAP Section 205; Option (8) if the study is being implemented pursuant to CAP Section
206; Option (9) if the study is being implemented pursuant to CAP Section 208; Option
(10) if the study is being implemented pursuant to CAP Section 1135; or Option (11) if the
study is being implemented pursuant to Section 544. Delete, in their entirety, the options
not used.
B. If your study is being implemented pursuant to an authority not listed above and
it has been determined that this is the appropriate model to use, then contact your MSC
and the appropriate HQ RIT during drafting of the agreement, for discussions with the
vertical team (PDT, MSC, and HQ) to determine the appropriate modifications necessary
to complete an agreement for your study. Any modifications approved in writing by the
HQ RIT to address a different authority will not be considered a deviation from the model.
9. NON-FEDERAL IN-KIND CONTRIBUTIONS.
A. The sponsor may provide up to 100 percent of its share of total study costs
(equates to 50 percent of total study costs) as non-Federal in-kind contributions. The
sponsor for a study may provide in-kind contributions in the form of services, materials,
supplies, or other in-kind services necessary to prepare the feasibility report and receive
credit for such contributions toward its required share of total study costs. A description of
the non-Federal in-kind contributions, and the estimated costs for those in-kind
contributions, should be in the PMP for the study.
B. The non-Federal in-kind contributions should consist of new data or studies
performed after execution of the FCSA that are needed for the feasibility study.
Preparation of a flood plain management plan by the sponsor during the feasibility study
may be accepted as non-Federal in-kind contributions (for more information, see note 12).
C. If during the course of a study, it is discovered that there is a potential for
hazardous substances regulated under the Comprehensive Environmental Response,
Compensation, and Liability Act (42 U.S.C. 9601-9675; CERCLA) to exist in, on, or under
lands, easements, or rights-of-way that may be required for the proposed project, it may be
appropriate to evaluate the nature and extent of the contamination as part of plan selection
and formulation for the feasibility study. However, the study should not include
development (including studies and investigations) of a response plan for such
contamination. The costs of any studies and investigations necessary to determine an
appropriate response to such contamination are a 100 percent non-Federal sponsor
vi
responsibility and cannot be accepted as non-Federal in-kind contributions.
rd
D. The non-Federal in-kind contributions may be performed by the sponsor or a 3
party (such as state agencies; local communities; watershed districts; colleges and
universities; and other non-profit organizations that are incorporated under applicable
state law). Determination of the costs and amount of credit that will be afforded for non-
rd
Federal in-kind contributions performed by a 3 party shall follow the procedures outlined
in Articles II.B.3. and II.B.4. of the FCSA.
E. Affording credit for non-Federal in-kind contributions.
1. The costs of non-Federal in-kind contributions provided by the sponsor or
rd
a 3 party can only be credited toward the amount of funds determined in accordance with
Article II.B.1.a. of the agreement. The maximum amount of credit that can be afforded for
non-Federal in-kind contributions is limited to the lesser of the two amounts shown: a) the
amount of funds determined in accordance with Article II.B.1.a. of the agreement; or b)
the costs of non-Federal in-kind contributions determined in accordance with Article
II.B.3. of the agreement. The sponsor is not entitled to reimbursement of any costs for non-
Federal in-kind contributions that exceed the lesser of the two amounts indicated above.
2. In the event Section 1156 is applicable (see note 10) and the sponsor will
be providing non-Federal in-kind contributions, the Government should first apply the
reduction afforded by Section 1156 to determine the sponsor’s remaining cash requirement
for the study. Only after such determination of the remaining cash requirement should the
Government begin affording credit, in accordance with Article II.B.4., toward the
sponsor’s remaining cash requirement for the study for the value of the non-Federal in-
kind contributions provided by the sponsor. If the procedure above is not followed, the
Government could overestimate the amount of credit that can be afforded for non-Federal
in-kind contributions.
3. When the sponsor proposes to provide or perform non-Federal in-kind
contributions, timely provision or performance of the non-Federal in-kind contributions
and documentation of the costs for such contributions is critical to enable the Government
to perform the accounting and audit necessary to determine the actual amount of credit to
be afforded for non-Federal in-kind contributions. The verification of the credit projected
to be afforded for non-Federal in-kind contributions should be performed periodically
throughout the period of study.
4. If the Government, in coordination with the sponsor, projects that the
amount of credit to be afforded for the non-Federal in-kind contributions will be different
from the amount of credit previously projected, the Government should immediately
recalculate the amount of cash required by Article II.B.1.b. of the agreement. If the
amount of cash required increases, the Government should request and obligate the
increased amount in accordance with Article IV.B. as needed to maintain the non-Federal
vii
proportionate share. If the amount of cash required decreases, non-Federal funds should
be de-obligated and Federal funds should be obligated to the extent needed to attain the
non-Federal proportionate share.
10. REDUCTION IN SPONSOR’S SHARE PURSUANT TO SECTION 1156. – If the
project or project modification that is the subject of the study is located in America Samoa,
Guam, the Commonwealth of the Northern Mariana Islands (formerly known as the Northern
Mariana Islands), or the Virgin Islands, the sponsor will be afforded a $200,000 reduction in its
required share of total study costs pursuant to Section 1156 of the Water Resources
Development Act of 1986, Public Law 99-662 (33 U.S.C. 2310).
A. Whereas clause - If Section 1156 is applicable, the Whereas clause following the
reference to this note should be included in the agreement. If Section 1156 is not applicable,
delete the Whereas clause following the reference to this note. Deletion of this Whereas clause is
not considered a deviation from the model.
B. For each location where an optional paragraph(s) or an optional phrase
regarding the application of Section 1156 is provided, include in your agreement all of the
optional paragraph(s) or optional phrase, as applicable, only if Section 1156 is applicable.
C. For each location that requires a choice between two options - Choose Option (1)
if Section 1156 is not applicable or Option (2) if Section 1156 is applicable. Delete, in its
entirety, the option not used.
D. Article IV.D. – If optional Article IV.D. is included in your agreement, include in
this article the optional phrase, only if Section 1156 is applicable to your project.
11. DESCRIPTION OF THE STUDY. – The input required for the description of the
study is described below.
A. First Blank - List the purposes (such as flood damage reduction, ecosystem
restoration, recreation, etc.) that describe the identified water resources problems to be
studied pursuant to this agreement in detail sufficient to avoid any confusion over what is
or is not included.
B. Second Blank – Include the specific location of the study, including state,
Commonwealth, or Territory.
12. FLOODPLAIN MANAGEMENT PLAN. – Include in your agreement all of the
optional text after the colon only if the project that is the subject of the study is addressing
flood damage reduction (Section 205) or hurricane and storm damage reduction (Section
103) and the sponsor requests the Government to prepare the floodplain management plan
required by Section 402 of WRDA 1986, as amended, as part of the feasibility study. If the
sponsor prepares this plan as part of the feasibility study, this work should be considered a
viii
non-Federal in-kind contribution and the optional text after the colon should not be
included. Reminder: If this plan is prepared during the feasibility study, the costs of
preparation will be shared 50/50. If the plan is prepared after the feasibility study, the
costs of preparation will be a 100% sponsor responsibility.
13. PROGRAM LIMIT.
A. Optional Article I.J.
1. If applicable, choose Option (1) if the study is being implemented
pursuant to CAP Section 14; Option (2) if the study is being implemented pursuant to CAP
Section 103; Option (3) if the study is being implemented pursuant to CAP Section 107;
Option (4) if the study is being implemented pursuant to CAP Section 204; Option (5) if
the study is being implemented pursuant to CAP Section 205; Option (6) if the study is
being implemented pursuant to CAP Section 206; Option (7) if the study is being
implemented pursuant to CAP Section 208; Option (8) if the study is being implemented
pursuant to CAP Section 1135; or Option (9) if the study is being implemented pursuant to
Section 544. Delete, in their entirety, the options not used.
2. If the study is being implemented pursuant to CAP Section 111 or CAP
Section 145, do not include any of the options for Article I.J. in the agreement. Deletion of
optional Article I.J. is not considered a deviation from the model. Reminder: If optional
Article I.J. is not included, reletter the remaining paragraphs in Article I and verify all
previous and subsequent references to paragraphs in Article I throughout the agreement
and correct, as necessary. Relettering the remaining paragraphs in Article I and correction
of all references to paragraphs in Article I is not considered a deviation from the model.
B. Articles II.B.2. and IV.C.2.
1. If applicable, choose Option (1) if the study is being implemented
pursuant to one of the following CAP authorities (Section 14, Section 103, Section 107,
Section 204, Section 205, Section 206, Section 208, or Section 1135) or Option (2) if the
study is being implemented pursuant to Section 544. Delete, in its entirety, the option not
used. If the study is being implemented pursuant to CAP Section 111 or CAP Section 145,
do not include the language from Option (1) or Option (2) in the agreement.
2. If Option (1) is included in the agreement, fill in the blank with the
number of the appropriate CAP authority.
14. FISCAL YEAR OF THE NON-FEDERAL SPONSOR. – If the sponsor requests that
the timing of the sponsor’s payments for work to be performed using the Government’s
own forces (in-house labor) be on the sponsor’s fiscal year basis, include optional Article
I.K. in the agreement. Please note that any contracts awarded by the Government for
feasibility studies cannot use the continuing contracts clause and must be fully funded prior
ix
to award.
A. If optional Article I.K. is included, Option (2) of Article IV.B. must be selected
(see note 19) and Option (3) in Articles IV.B.1., IV.B.2., and IV.B.3. must be selected (see
note 24). Fill in the blanks with the beginning and ending dates of the sponsor’s fiscal year.
(Example – beginning date July 1 and ending date June 30)
B. Regardless of whose fiscal year is used for timing of the payments in the
agreement, the timing of the payments cannot be such that they, in any way, adversely
effect the Government’s ability to perform the work using in-house labor. Also, the
payments from the sponsor and the availability of Federal funds must be managed to
ensure that the proportional cash financing required by the agreement is maintained
throughout the life of the agreement.
C. The term “fiscal year” occurs in numerous locations throughout the agreement.
If optional Article I.K. is included in the agreement, do not execute a “change all”
command to change all occurrences of the term “fiscal year” to “fiscal year of the Non-
Federal Sponsor”. Only those occurrences of the term “fiscal year” which are highlighted
as optional text in Article IV should be changed. The other occurrences of the term “fiscal
year” should not be modified since they are referring to the fiscal year of the Government.
15. VOLUNTARY DEFERRAL PARAGRAPH. - Include optional Article II.A.8. in the
agreement upon the written request of the sponsor.
A. This deferral will allow the Government and sponsor to evaluate whether to
continue with the study, modify the study to reduce costs, or defer the study up to three
years to allow the sponsor time to budget for additional funding for its share. However,
this deferral cannot exceed three years.
B. The sponsor must specify the dollar amount to be included in this paragraph;
however, the dollar amount shown cannot be less than total study costs shown in Article
IV.A.1. of the agreement. Further, it is recommended that the amount shown be somewhat
greater than total study costs since any increase in total study costs would inevitably lead to
invoking the terms of this paragraph.
C. Inclusion of this paragraph does not set a maximum amount of the sponsor’s
contributions for total study costs.
16. MULTIPLE SPONSORS.
A. For each location that requires a choice between two options - Choose Option (1)
if there is only one entity serving as sponsor for the study or Option (2) if there are multiple
entities serving as sponsors for the study. Delete, in its entirety, the option not used.
x
B. Optional Article IX.D. - Delete optional Article IX.D. if there is only one sponsor
for the study. Reminder: If optional Article IX.D. is not included, reletter the remaining
paragraphs in Article IX and verify all previous and subsequent references to paragraphs
in Article IX throughout the agreement and correct, as necessary. Relettering the
remaining paragraphs in Article IX and correction of all references to paragraphs in
Article IX are not considered deviations from the model.
17. ARTICLE II.C. - LIMITS ON FEDERAL PARTICIPATION. – The following
paragraphs should be used to choose which option should be included in your agreement.
Delete, in their entirety, the options not used.
A. Choose Option (1) if the study is being implemented pursuant to one of the
following CAP authorities (Section 14, Section 103, Section 107, Section 204, Section 205,
Section 206, Section 208, or Section 1135).
1. Article II.C.2. - Fill in the blank with the number of the appropriate CAP
authority.
2. Article II.C.3. - Include Article II.C.3. in the agreement only if the study
undertaken by the agreement does not comply with Army budget policy as of the date of
the agreement, even if the study has received all of the Federal funds estimated to be
needed to complete work on the study. Verify the need for inclusion of this paragraph and
the amount to be included in the blank(s) with your Programs Management Team. The
dollar amount to be included in the blank should be the total funds provided by Congress
for the study in this agreement, minus any rescissions and reductions for savings and
slippages, as of the effective date of the agreement.
B. Choose Option (2) if the study is being implemented pursuant to Section 544.
The dollar amount to be included in the first blank of Article II.C.3. should the amount of
Federal funds that have been appropriated for the Section 544 Program, minus any
rescissions and reductions for savings and slippages, as of the effective date of the
agreement. The dollar amount to be included in the second blank of Article II.C.3. should
be that portion of available Section 544 Program funds that the district is projecting to be
available for the study in this agreement, as of the effective date of the agreement. The sum
of the amount of Federal funds made available for all the Section 544 agreements, including
this one, plus the sum of Federal funds made available for overall management of the
Section 544 Program, cannot exceed the amount of Federal funds that have been
appropriated for the Section 544 Program, minus any rescissions and reductions for
savings and slippages, as of the effective date of the agreement, nor can it exceed the
current Section 544 Program Limit, unless Congress has authorized an increase in the limit
in Act language.
C. Choose Option (3) if the study is being implemented pursuant to CAP Section
111 or CAP Section 145 and the study undertaken by the agreement does not comply with
xi
Army budget policy as of the date of the agreement, even if the study has received all of the
Federal funds estimated to be needed to complete work on the study. Verify the need for
use of this option (because study does not comply with Army budget policy) and the
amount to be included in the blank(s) with your Programs Management Team. If your
Programs Management Team determines that the study complies with Army budget policy
– use Option (4). If Option (3) is used, the dollar amount to be included in the blank
should be the total funds provided by Congress for the study in this agreement, minus any
rescissions and reductions for savings and slippages, as of the effective date of the
agreement.
D. Choose Option (4) if the study is being implemented pursuant to CAP Section
111 or CAP Section 145 and the Programs Management Team has determined that the
study undertaken by the agreement does comply with Army budget policy as of the date of
the agreement.
18. ARTICLE IV.A. – BREAKDOWN OF STUDY COSTS.
A. The costs shown in Article IV.A.1. should be the current estimate of the costs at
current price levels and inflated through the estimated mid-point of the study.
B. To determine the sponsor’s contribution of funds required by Article II.B.1.b.:
Step (1) determine the sponsor’s share of total study costs; Step (2) subtract from the
sponsor’s share of total study costs the costs of the sponsor’s participation in the Study
Coordination Team (Article III) and the costs of audits performed by the sponsor (Article
VI); Step (3) subtract from the amount determined in Step (2) the credit the Government
projects will be afforded for non-Federal in-kind contributions pursuant to Article II.B.4.
of the agreement. If the result of Step 3 is greater than zero, this amount is the sponsor’s
contribution of funds required by Article II.B.1.b. that should be shown in the sixth blank
in Article IV.A.1. (or seventh blank – if the agreement includes Section 1156). If the result
of Step 3 is equal to or less than zero, then “0” should be shown as the sponsor’s
contribution of funds required by Article II.B.1.b. in Article IV.A.1.
Example:
total study costs = $300,000
sponsor’s costs for Articles III and VI = $35,000
credit for non-Federal in-kind contributions = $90,000
Step 1 - ($300,000 x .50) = $150,000
Step 2 - $150,000 – $35,000 = $115,000
Step 3 - $115,000 - $90,000 = $25,000
C. To determine the percentage of the sponsor’s proportionate share of financial
obligations for study: Step (1) determine the financial obligations for study by subtracting
from total study costs the costs of the sponsor’s participation in the Study Coordination
Team (Article III) and the costs of audits performed by the sponsor (Article VI); Step (2)
divide the sponsor’s contribution of funds required by Article II.B.1.b. shown in Article
xii
IV.A.1. plus the credit to be afforded for non-Federal in-kind contributions, if any, by the
financial obligations for study. This is the percentage that should be shown in the seventh
blank in Article IV.A.1. (or eighth blank – if the agreement includes Section 1156).
Example:
total study costs = $300,000
sponsor’s costs for Articles III and VI = $35,000
sponsor’s contribution of funds required by Article II.B.1.b. = $25,000
credit for non-Federal in-kind contributions = $90,000
Step 1 - $300,000 - $35,000 = $265,000
Step 2 - ($25,000 + $90,000)/$265,000 = 43.40 percent
D. The blank in Article IV.A.2. should be filled in with the date (month, year) of the
first quarterly report of costs to be provided to the sponsor.
19. PAYMENT BY LUMP SUM OR PERIODIC PAYMENTS.
A. Article IV.A.2. - The optional language after the colon must be included in the
agreement if the sponsor elects to provide its cash share in periodic payments and Option
(2) described in paragraph B of this note will be selected in Article IV.B. of the agreement.
B. Article IV.B. - Choose Option (1) if the sponsor elects to provide its cash share in
one lump sum or Option (2) if the sponsor elects to provide its cash share in periodic
payments. Delete, in its entirety, the option not used. Continuing contracts authorities are
not available for use on work for feasibility studies; therefore, each contract awarded by
the Government for work on studies must be fully funded prior to award. Option (2) can
be selected only if the project will be implemented using a combination of contracts and the
Government’s own forces (in-house labor). While the sponsor must provide its required
cash share of each contract in full prior to the award of such contract it may provide its
cash share for any work to be performed using the Government’s own forces (in-house
labor) in periodic payments by fiscal year, quarter, or fiscal year of the Non-Federal
Sponsor (see notes 14 and 24).
20. PAYMENT MECHANISMS. – Both Option (1) and Option (2) of Article IV.B.1. offer
the sponsor four mechanisms from which to choose in deciding how to provide its monetary
contribution required by Article II.B.1.b. to the Government. The sponsor should indicate
its choice during the course of negotiating the agreement. However, the sponsor may use
any of the methods or a combination of them, during the life of the agreement in
accordance with guidance governing the use of electronic funds transfers, escrow
agreements, and irrevocable letters of credit. Do not delete any of the four mechanisms.
21. TIMING OF FIRST REQUEST FOR SPONSOR’S FUNDS. - Article IV.B.1. - Insert
the number of days (must be 30 or more).
22. LENGTH OF TIME TO PROVIDE ADDITIONAL FUNDS. – Insert the number of
xiii
days. The period of time should not exceed the time shown unless the District Engineer
approves a longer period of time after determining that the longer period of time will not
result in delays to the study (including study contract modifications) or the Government
using its funds to meet a shortfall in the sponsor’s funds. The district must determine the
need for additional funds from the sponsor far enough ahead of time to permit the sponsor
full use of the specified period of time. Neither party’s funds should be used to meet any
shortfall in the other party’s funds.
23. COSTS INCURRED BY THE GOVERNMENT FOR SECTION 14, SECTION 204,
AND SECTION 208 STUDIES PRIOR TO 31 JANUARY 2006. – In order to accommodate
the transition to the new CAP implementation procedures outlined in Appendix F of ER
1105-2-100, options are included to allow the sponsor for studies pursuant to CAP Section
14, CAP Section 204, and CAP Section 208 to pay, in equal installments, its share of study
costs that exceed $100,000 and that were incurred by the Government prior to 31 January
2006.
A. Article IV.B.1.
1. Delete the optional language from your agreement ONLY if the agreement
is being drafted to complete the study of a potential CAP Section 14, CAP Section 204, or
CAP Section 208 project that was initiated prior to 31 January 2006 and the study costs
incurred by the Government prior to the effective date of the agreement being drafted
exceed $100,000.
2. If the optional language described in paragraph A.1. of this note is not
included in Article IV.B.1., then reletter the remaining items in this paragraph. Relettering
the remaining items in this paragraph is not considered a deviation from the model.
B. Optional Article IV.D. – Optional Article IV.D. should be included in the
agreement ONLY if the study of a potential CAP Section 14, CAP Section 204, or CAP
Section 208 project was initiated prior to 31 January 2006 and the study costs incurred by
the Government prior to the effective date of the agreement being drafted exceed $100,000.
24. TIMING OF SPONSOR’S PAYMENT FOR WORK TO BE PERFORMED USING
THE GOVERNMENT’S OWN FORCES (IN-HOUSE LABOR). – Choose Option (1) if the
timing of the payments from the sponsor for work to be performed using the Government’s
own forces (in-house labor) will be on the Federal fiscal year basis; Option (2) if the timing
of the payments from the sponsor for work to be performed using the Government’s own
forces (in-house labor) will be on a quarterly basis; or Option (3) if the timing of the
payments from the sponsor for work to be performed using the Government’s own forces
(in-house labor) will be on the fiscal year of the Non-Federal Sponsor’s basis. Delete, in
their entirety, the options not used. Whichever option is chosen it should be used
consistently throughout the agreement. However, do not choose an option if that option
would adversely effect the Government’s ability to perform the work using in-house labor.
xiv
Also, the payments from the sponsor and availability of Federal funds must be managed to
ensure that the proportional cash financing required by the agreement is maintained
throughout the life of the agreement. Option (3), may be selected only if optional Article
I.K. is included in the agreement (see note 14). Reminder: The sponsor’s payments
provided pursuant to these options only cover work to be performed using the
Government’s own forces (in-house labor). Each contract awarded by the Government for
work on feasibility studies cannot use the continuing contracts clause and must be fully
funded prior to award.
25. ARTICLE IV.C. - FINAL ACCOUNTING.
A. When a final accounting cannot be conducted in a timely manner because of
outstanding claims and appeals, an interim accounting should be conducted. The district
should use its best judgment in determining whether to conduct an interim accounting or
wait for final resolution of outstanding claims and appeals.
B. Nothing in the agreement, prevents any interim accountings from being
conducted prior to the end of the period of study.
26. REFERENCE TO ARTICLE II.C. - Choose Option (1) if study is being implemented
pursuant to one of the CAP authorities (Section 14, Section 103, Section 107, Section 111,
Section 145, Section 204, Section 205, Section 206, Section 208, or Section 1135) or Option
(2) if the study is being implemented pursuant to Section 544. Delete, in its entirety, the
option not used.
27. ARTICLE X - NOTICES. – Insert the full address of the sponsor and Government -
including titles or office title/symbol of individuals to receive the notices. Do not include
the name of the individual to receive the notices as it may change throughout the life of the
agreement.
28. ARTICLE XII – THIRD PARTY RIGHTS, BENEFITS, OR LIABILITIES. - Article
XII is optional and can be deleted if requested by the sponsor. If the article is deleted,
renumber the remaining articles in the agreement and verify the references throughout the
agreement to the remaining articles. Renumbering the remaining articles in the agreement
and correction of all references to the remaining articles are not considered deviations from
the model.
29. ARTICLE XIII – OBLIGATIONS OF FUTURE APPROPRIATIONS. - Reminder:
Use of this article is limited to a sponsor that is a State agency or a political subdivision of
the State. It cannot be used by a non-profit entity.
A. Include optional Article XIII in the agreement only if the sponsor requests this
language and only after your District Counsel determines, in writing after review of
information supporting the request from the sponsor, that the sponsor is a State agency or
xv
a political subdivision of the State that derives its funds for work on the study directly from
appropriations and the sponsor has constitutional or statutory limitations prohibiting it from
committing future appropriations.
B. The information to be added in the first three blanks in Article XIII.A. should
identify the body that makes the appropriations. (Example: Legislature of the State of Ohio or
City Counsel of the City of Cleveland)
30. ARTICLE XIII.A. - ADDITIONAL RESTRICTION ON OBLIGATIONS OF
FUTURE APPROPRIATIONS. - Include all the optional language after the colon if
requested by the sponsor. The information to be included in the blanks must provide more
detailed information on the location of the obligation of future appropriations restriction.
(Example: Section 7 of the City Charter of the City of Cleveland)
31. SPONSOR’S BUDGET CYCLE. - Choose Option (1) if the sponsor has a 1 year
budget cycle or Option (2) if the sponsor has a 2 year budget cycle. Delete, in its entirety,
the option not used.
32. ARTICLE XIV – TRIBAL SOVEREIGN IMMUNITY. – Include optional Article XIV
only if the sponsor is a Native American Tribe. The information to be included in the first
and third blanks should be the name of the instrument (resolution, ordinance, etc) where
the sponsor has waived sovereign immunity. The information to be included in the second
blank should be the date of the instrument named in the first blank - use civilian format for
date (Example: January 22, 2004). The information to be included in the fourth blank
should be the title of the sponsor’s representative (see note 5).
33. TITLE OF GOVERNMENT REPRESENTATIVE. – Insert the title of the
Government representative signing the agreement. Do not include the name, only the title.
If the signature authority is delegated to the district, the phrase “District Engineer” should
be used in this location. If the signature authority is not delegated, the title shown should
match the title of the Government representative shown in the first paragraph (see note 3).
34. CERTIFICATE OF AUTHORITY.
A. If applicable, choose Option (1) if the sponsor is not a non-profit entity or
Option (2) if the sponsor is a non-profit entity. Delete, in its entirety, the option not used.
If Option (2) is selected, then all other optional language regarding a non-profit entity must
be selected for inclusion elsewhere in the agreement (see note 7). Further, if Option (2) is
selected, fill in the appropriate State. The phrase “State of ________” is used in the model;
however, the substitution of “Commonwealth of” or “Territory of”, as appropriate, based
on the location of the project is not considered a deviation from the model.
B. The attorney signing the Certificate of Authority cannot be the signatory to the
agreement. The attorney signing the Certificate of Authority is certifying that the
xvi
signatory to the agreement has the authority to obligate the sponsor. Do not forget to fill in
the name in the first line prior to execution of the agreement.
35. PREPARING AGREEMENT FOR SIGNATURE.
A. When printing the agreement for execution: 1) remove the cover page, notes
section, bold type references to notes, and any bold type text from the agreement; 2) ensure
that the appropriate information has been included in all blanks in the agreement and the
Certificate of Authority; 3) ensure that titles of articles are not the last thing at the bottom
of the page; and 4) ensure that there are no page breaks which allow half empty pages.
Reminder: Do not remove any of the italics from the agreement.
B. If the signature authority has been delegated to the District Engineer: 1) the title
of the Government representative in the first paragraph (see note 3) should be “U.S. Army
Engineer, ________ District”; 2) the title of the Government representative in the last
paragraph (see note 33) should be “District Engineer”; and 3) since this is a civilian
document use the civilian version of the District Engineer’s signature block.
C. If the signature authority is not delegated, the title in the first paragraph (see
note 3) and last paragraph should match the title of the Government representative shown
in the signature block.
D. Before signature by the Government representative, ensure that the sponsor
signs and dates a minimum of four copies of the agreement, and Certification Regarding
Lobbying, and that the Certificates of Authority are signed and dated by the appropriate
people. The date on the first page should be filled in by the Government representative
signing the agreement, not the sponsor.
E. The Government should retain two copies of the fully executed agreement. All
other copies should be provided to the sponsor. A photocopy or a pdf file (as determined
by the MSC and the appropriate HQ RIT) of the fully executed agreement should be
provided to the MSC and to the appropriate HQ RIT within 14 days after execution of the
agreement.
xvii
AGREEMENT
BETWEEN
THE DEPARTMENT OF THE ARMY
AND
CITY OF NORTHAMPTON, MA
FOR THE
MILL RIVER RESTORATION STUDY
THIS AGREEMENT is entered into this ________ day of ________, ____, by and
[SEE
between the Department of the Army (hereinafter the “Government”), represented by the
NOTE - 3]City of Northampton, MA[SEE NOTE - 4]
and (hereinafter the “Non-Federal
[SEE NOTE - 5]
Sponsor”), represented by .
WITNESSETH, THAT:
[SEE NOTE - 6]
City of
WHEREAS, the Government received a letter, dated ________, from the
Northampton, MA
in which it stated its desire to participate in a feasibility study for ecosystem
restoration of the Mill River at Northampton, MA, and in which it acknowledged its financial
responsibilities for the study and a project, if one is recommended;
[SEE NOTE – 7]
[FULL NAME OF NON-FEDERAL SPONSOR]
WHEREAS, the is an organization
that is incorporated under the applicable laws of the State of ________ as a non-profit
organization, exempt from paying Federal income taxes under Section 501 of the Internal
Revenue Code (26 U.S.C. 501), and organized and operated primarily for one of the conservation
purposes specified in Section 170(h)(4)(A) of the Internal Revenue Code (26 U.S.C.
170(h)(4)(A));
City of Northampton,
WHEREAS, the affected local government has consented to the
MA
, serving as the non-Federal sponsor for the feasibility study;
[SEE NOTE - 8]
OPTION 1
WHEREAS, the Secretary of the Army is authorized by Section 14 of the Flood Control
Act of 1946, Public Law 79-526, as amended (33 U.S.C. 701r; hereinafter “Section 14”) to allot
from certain appropriations an amount not to exceed $15,000,000 per year for the construction,
repair, restoration, and modification of emergency streambank and shoreline protection works to
prevent damages to highways, bridge approaches, and public works, churches, hospitals, schools,
and other nonprofit public services; provided that no more than $1,000,000 shall be allotted for
this purpose at any single locality from the appropriations for any one fiscal year;
OPTION 2
WHEREAS, the Secretary of the Army is authorized by Section 103 of the River and
Harbor Act of 1962, Public Law 87-874, as amended (33 U.S.C. 426g; hereinafter “Section 103”)
to allot from certain appropriations an amount not to exceed $30,000,000 per fiscal year to
undertake construction of small shore and beach restoration and protection projects; provided that
no more than $3,000,000 shall be allotted for this purpose for any single project and the total
amount allotted shall be sufficient to complete the Federal participation in the project including
periodic nourishment;
OPTION 3
WHEREAS, the Secretary of the Army is authorized by Section 107 of the River and
Harbor Act of 1960, Public Law 86-645, as amended (33 U.S.C. 577; hereinafter “Section 107”)
to allot from certain appropriations an amount not to exceed $35,000,000 per fiscal year for the
construction of small river and harbor improvements projects and not more than $4,000,000 in
Federal funds shall be allotted for a project at any single locality;
OPTION 4
WHEREAS, the Secretary of the Army is authorized by Section 111 of the River and
Harbor Act of 1968, Public Law 90-483, as amended (33 U.S.C. 426i) to investigate, study, plan,
and implement structural and nonstructural measures for the prevention or mitigation of shore
damages attributable to Federal navigation works and shore damage attributable to the Atlantic
Intracoastal Waterway and the Gulf Intracoastal Waterway and no project shall be constructed
under this authority if the Federal first cost exceeds $5,000,000;
OPTION 5
WHEREAS, the Secretary of the Army is authorized by Section 145 of the Water
Resources Development Act of 1976, Public Law 94-587, as amended (33 U.S.C. 426j) to place
on beaches such beach quality sand that has been dredged in constructing and maintaining
navigation inlets and channels adjacent to such beaches;
OPTION 6
WHEREAS, Section 204 of the Water Resources Development Act of 1992, Public Law
102-580, as amended (33 U.S.C. 2326; hereinafter “Section 204”) provides that not to exceed
$15,000,000 in Federal funds are authorized to be appropriated annually to carry out projects for
the protection, restoration, and creation of aquatic and ecologically related habitats in connection
with dredging for construction or operation and maintenance of an authorized navigation project;
2
OPTION 7
WHEREAS, the Secretary of the Army is authorized by Section 205 of the Flood Control
Act of 1948, Public Law 80-858, as amended (33 U.S.C. 701s; hereinafter “Section 205”) to allot
from certain appropriations an amount not to exceed $50,000,000 per fiscal year for the
implementation of small structural and nonstructural projects for flood control and related
purposes; provided that no more than $7,000,000 shall be allotted for a project at any single
locality;
OPTION 8
WHEREAS, Section 206 of the Water Resources Development Act of 1996, Public Law
104-303, as amended (33 U.S.C. 2330; hereinafter “Section 206”) provides that $25,000,000 in
Federal funds are authorized to be appropriated for each fiscal year to carry out projects for
aquatic ecosystem restoration and no more than $5,000,000 in Federal funds may be allotted for a
project at any single locality;
OPTION 9
WHEREAS, the Secretary of the Army is authorized by Section 208 of the Flood Control
Act of 1954, Public Law 83-780, as amended (33 U.S.C. 701g; hereinafter “Section 208”) to allot
from certain appropriations an amount not to exceed $7,500,000 per fiscal year for removing
accumulated snags and other debris, and clearing and straightening the channel in navigable
streams and tributaries thereof, when such work is in the interest of flood control; provided that
no more than $500,000 shall be expended for this purpose for any single tributary from the
appropriations for any one fiscal year;
OPTION 10
WHEREAS, Section 1135 of the Water Resources Development Act of 1986, Public Law
99-662, as amended (33 U.S.C. 2309a; hereinafter “Section 1135”) provides that not to exceed
$25,000,000 in Federal funds are authorized to be appropriated annually to carry out projects for
the purpose of: (1) making such modifications in the structures and operations of water resources
projects constructed by the Secretary of the Army which the Secretary determines will improve
the quality of the environment, or (2) undertaking measures for restoration of environmental
quality when the Secretary determines that construction or operation of a water resources project
has contributed to the degradation of the quality of the environment; and not more than
$5,000,000 in Federal funds may be expended on any single modification or measure carried out
or undertaken pursuant to Section 1135;
OPTION 11
WHEREAS, Section 544 of the Water Resources Development Act of 2000, Public Law
106-541 (hereinafter “Section 544”), provides that $40,000,000 in Federal funds are authorized to
3
be appropriated to carry out critical restoration projects in the area of Puget Sound, Washington
and adjacent waters of which not more than $5,000,000 may be used to carry out any one critical
restoration project;
WHEREAS, the Governmentinitiated a feasibility study, to be initially Federally funded
up to $100,000, and during this Federally funded portion the Government determined that the
costs of the feasibility study would exceed $100,000;
City of Northampton, MA
WHEREAS, the Government and the desire to enter into an
agreement (hereinafter the “Agreement”) to complete the feasibility study (hereinafter the “Study”
as defined in Article I.A. of this Agreement) and to share equally the costs of the Study that
exceed $100,000;
WHEREAS, Section 105(a) of the Water Resources Development Act of 1986, Public
Law 99-662, as amended (33 U.S.C. 2215(a)), specifies the cost-sharing requirements applicable
to the Study;
[SEE NOTE – 9]
WHEREAS, the Non-Federal Sponsor desires to provide in-kind contributions
(hereinafter the “non-Federal in-kind contributions” as defined in Article I.I. of this Agreement)
that are necessary to prepare the feasibility report and to receive credit for such contributions
toward the amount of its required contribution for the Study;
WHEREAS, the Non-Federal Sponsor may provide up to 100 percent of its required
contribution for the Study as non-Federal in-kind contributions;
[SEE NOTE - 10]
WHEREAS, the Non-Federal Sponsor qualifies for a reduction of the non-Federal cost-sharing
requirements for studies and projects located in America Samoa, Guam, the Commonwealth of the
Northern Mariana Islands (formerly known as the Northern Mariana Islands), and the Virgin Islands
pursuant to Section 1156 of the Water Resources Development Act of 1986, Public Law 99-662 (33
U.S.C. 2310);
WHEREAS, the Government and Non-Federal Sponsor have the full authority and capability
to perform as hereinafter set forth and intend to cooperate in cost-sharing and financing of the Study in
accordance with the terms of this Agreement; and
WHEREAS, the Government and the Non-Federal Sponsor, in connection with this
Agreement, desire to foster a partnering strategy and a working relationship between the
Government and the Non-Federal Sponsor through a mutually developed formal strategy of
commitment and communication embodied herein, which creates an environment where trust and
teamwork prevent disputes, foster a cooperative bond between the Government and the Non-
4
Federal Sponsor, and facilitate the successful Study.
NOW, THEREFORE, the Government and the Non-Federal Sponsor agree as follows:
ARTICLE I – DEFINITIONS
[SEE NOTE - 11]
A. The term “Study” shall mean the activities and tasks required to identify and evaluate
alternatives and the preparation of a decision document that, when appropriate, recommends a
coordinated and implementable solution for ________ at ________. The term includes the non-
Federal in-kind contributions described in paragraph I. of this Article.
B. The term “total study costs” shall mean the sum of all costs incurred by the Non-Federal
Sponsor and the Government in accordance with the terms of this Agreement directly related to
performance of the Study plus the costs of the Study incurred by the Government prior to the
effective date of this Agreement. Subject to the provisions of this Agreement, the term shall include,
but is not necessarily limited to: the Government’s costs of plan formulation and evaluation,
including applicable economic, engineering, real estate, and environmental analyses; the
Government’s costs of preparation of the decision document for the Study; the costs of the non-
Federal in-kind contributions determined in accordance with Article II.B.3. of this Agreement;
the Government’s costs of independent technical review and other review processes required by the
[SEE NOTE - 12:
Government; the Government’s costs of preparation of a floodplain
]
management plan; the Government’s supervision and administration costs; the Non-Federal
Sponsor’s and the Government’s costs of participation in the Study Coordination Team in accordance
with Article III of this Agreement; the Government’s costs of contract dispute settlements or awards;
and the Non-Federal Sponsor’s and the Government’s costs of audit in accordance with Article VI.B.
and Article VI.C. of this Agreement. The term does not include the first $100,000 incurred by the
Government for the Study; any costs of dispute resolution under Article V of this Agreement; any
costs incurred as part of reconnaissance studies or feasibility studies under any other agreement or
program; the Non-Federal Sponsor’s costs of negotiating this Agreement; or any costs of
negotiating a project cooperation agreement for design and construction of a project or separable
element thereof.
C. The term “period of study” shall mean the time from the effective date of this Agreement to
the date that the decision document for the study is duly approved by the Government or the date
that this Agreement is terminated in accordance with Article IX of this Agreement.
D. The term “financial obligations for the study” shall mean the financial obligations of the
Government and the costs for the non-Federal in-kind contributions, as determined by the
Government, that result or would result in costs that are or would be included in total study costs.
5
E. The term “non-Federal proportionate share” shall mean the ratio of the sum of the costs
included in total study costs for the non-Federal in-kind contributions, as determined by the
Government, and the Non-Federal Sponsor’s contribution of funds required by Article II.B.1.b. of this
Agreement to financial obligations for the study, as projected by the Government.
F. The term “Federal program funds” shall mean funds provided by a Federal agency,
other than the Department of the Army, plus any non-Federal contribution required as a matching
share therefor.
G. The term “fiscal year” shall mean one year beginning on October 1 and ending on
September 30.
H. The term “PMP” shall mean the project management plan, and any modifications
thereto, developed by the Government, and agreed to by the Non-Federal Sponsor, that specifies
the scope, cost, and schedule for Study activities and guides the performance of the Study through
the period of study.
[SEE NOTE - 9]
I. The term “non-Federal in-kind contributions” shall mean planning, supervision and
administration, services, materials, supplies, and other in-kind services that are performed or
provided by the Non-Federal Sponsor after the effective date of this Agreement in accordance
with the PMP and that are necessary for performance of the Study.
[SEE NOTE - 13]
OPTION 1
J. The term “Section 14 Annual Program Limit” shall mean the statutory limitation on the
Government’s annual allotment for planning, design, and construction of all projects implemented
pursuant to Section 14 of the Flood Control Act of 1946, Public Law 79-526, as amended (33
U.S.C. 701r). As of the effective date of this Agreement, such limitation is $15,000,000.
OPTION 2
J. The term “Section 103 Annual Program Limit” shall mean the statutory limitation on
the Government’s annual allotment for planning, design, and construction of all projects
implemented pursuant to Section 103 of the River and Harbor Act of 1962, Public Law 87-874,
as amended (33 U.S.C. 426g). As of the effective date of this Agreement, such limitation is
$30,000,000.
OPTION 3
J. The term “Section 107 Annual Program Limit” shall mean the statutory limitation on
6
the Government’s annual allotment for planning, design, and construction of all projects
implemented pursuant to Section 107 of the River and Harbor Act of 1960, Public Law 86-645,
as amended (33 U.S.C. 577). As of the effective date of this Agreement, such limitation is
$35,000,000.
OPTION 4
J. The term “Section 204 Annual Program Limit” shall mean the statutory limitation on
the Government’s annual appropriations for planning, design, and construction of all projects
implemented pursuant to Section 204 of the Water Resources Development Act of 1992, Public
Law 102-580, as amended (33 U.S.C. 2326). As of the effective date of this Agreement, such
limitation is $15,000,000.
OPTION 5
J. The term “Section 205 Annual Program Limit” shall mean the statutory limitation on
the Government’s annual allotment for planning, design, and construction of all projects
implemented pursuant to Section 205 of the Flood Control Act of 1948, Public Law 80-858, as
amended (33 U.S.C. 701s). As of the effective date of this Agreement, such limitation is
$50,000,000.
OPTION 6
J. The term “Section 206 Annual Program Limit” shall mean the statutory limitation on
the Government’s annual appropriations for planning, design, and construction of all projects
implemented pursuant to Section 206 of the Water Resources Development Act of 1996, Public
Law 104-303, as amended (33 U.S.C. 2330). As of the effective date of this Agreement, such
limitation is $25,000,000.
OPTION 7
J. The term “Section 208 Annual Program Limit” shall mean the statutory limitation on
the Government’s annual allotment for planning, design, and construction of all projects
implemented pursuant to Section 208 of the Flood Control Act of 1954, Public Law 83-780, as
amended (33 U.S.C. 701g). As of the effective date of this Agreement, such limitation is
$7,500,000.
OPTION 8
J. The term “Section 1135 Annual Program Limit” shall mean the statutory limitation on
the Government’s annual appropriations for planning, design, and construction of all projects
implemented pursuant to Section 1135 of the Water Resources Development Act of 1986, Public
Law 99-662, as amended (33 U.S.C. 2309a). As of the effective date of this Agreement, such
limitation is $25,000,000.
7
OPTION 9
J. The term “Section 544 Program Limit” shall mean the amount of Federal funds
authorized to be appropriated for all projects implemented pursuant to Section 544 of the Water
Resources Development Act of 2000, Public Law 106-541. As of the effective date of this
Agreement, such amount is $40,000,000.
[SEE NOTE - 14]
K. The term “fiscal year of the Non-Federal Sponsor” shall mean one year beginning on
________ and ending on ________.
ARTICLE II - OBLIGATIONS OF THE GOVERNMENT AND
THE NON-FEDERAL SPONSOR
A. The Government, subject to receiving funds appropriated by the Congress of the United
States (hereinafter the “Congress”) and using those funds and funds provided by the Non-Federal
Sponsor, expeditiously shall conduct the Study, applying those procedures usually applied to Federal
projects, in accordance with Federal laws, regulations, and policies. The Non-Federal Sponsor
expeditiously shall perform or provide the non-Federal in-kind contributions in accordance with
applicable Federal laws, regulations, and policies.
1. The Government shall not issue the solicitation for the first contract for the Study or
commence the Study using the Government’s own forces until the Non-Federal Sponsor has confirmed
in writing its willingness to proceed with the Study.
2. To the extent possible, the Government and the Non-Federal Sponsor shall
conduct the Study in accordance with the PMP.
3. The Government shall afford the Non-Federal Sponsor the opportunity to
review and comment on all products that are developed by contract or by Government personnel
during the period of study. The Government shall consider in good faith the comments of the
Non-Federal Sponsor, but the final approval of all Study products shall be exclusively within the
control of the Government.
4. The Government shall afford the Non-Federal Sponsor the opportunity to review
and comment on the solicitations for all Government contracts, including relevant scopes of work,
prior to the Government’s issuance of such solicitations. To the extent possible, the Government shall
afford the Non-Federal Sponsor the opportunity to review and comment on all proposed contract
modifications, including change orders. In any instance where providing the Non-Federal Sponsor
with notification of a contract modification is not possible prior to execution of the contract
modification, the Government shall provide such notification in writing at the earliest date possible. To
8
the extent possible, the Government also shall afford the Non-Federal Sponsor the opportunity to
review and comment on all contract claims prior to resolution thereof. The Government shall consider
in good faith the comments of the Non-Federal Sponsor, but the contents of solicitations, award of
contracts or commencement of work on the Study using the Government’s own forces, execution of
contract modifications, resolution of contract claims, and performance of all work on the Study, except
for the non-Federal in-kind contributions, shall be exclusively within the control of the Government.
5. At the time the U.S. Army Engineer, New England District (hereinafter the “District
Engineer”) furnishes the contractor with the Government’s Written Notice of Acceptance of
Completed Work for each contract awarded by the Government for the Study, the District Engineer
shall furnish a copy thereof to the Non-Federal Sponsor.
6. The Non-Federal Sponsor shall afford the Government the opportunity to
review and comment on the solicitations for all contracts for the non-Federal in-kind
contributions, including relevant scopes of work, prior to the Non-Federal Sponsor’s issuance of
such solicitations. To the extent possible, the Non-Federal Sponsor shall afford the Government
the opportunity to review and comment on all proposed contract modifications, including change
orders. In any instance where providing the Government with notification of a contract
modification is not possible prior to execution of the contract modification, the Non-Federal
Sponsor shall provide such notification in writing at the earliest date possible. To the extent
possible, the Non-Federal Sponsor also shall afford the Government the opportunity to review
and comment on all contract claims prior to resolution thereof. The Non-Federal Sponsor shall
consider in good faith the comments of the Government but the contents of solicitations, award of
contracts or commencement of work on the Study using the Non-Federal Sponsor’s own forces,
execution of contract modifications, resolution of contract claims, and performance of all work on
the non-Federal in-kind contributions shall be exclusively within the control of the Non-Federal
Sponsor.
7. At the time the Non-Federal Sponsor furnishes a contractor with a notice of
acceptance of completed work for each contract awarded by the Non-Federal Sponsor for the
non-Federal in-kind contributions, the Non-Federal Sponsor shall furnish a copy thereof to the
Government.
[SEE NOTE - 15]
8. Notwithstanding paragraph A.4. and paragraph A.6., if the award of any
contract for work on the Study, or continuation of work on the Study using the Government’s or
the Non-Federal Sponsor’s own forces, would result in total study costs exceeding ________, the
Government and the Non-Federal Sponsor agree to defer award of that contract, award of all
remaining contracts for work on the Study, and continuation of work on the Study using the
Government’s or the Non-Federal Sponsor’s own forces until such time as the Government and
the Non-Federal Sponsor agree in writing to proceed with further contract awards for the Study or
the continuation of work on the Study using the Government’s or the Non-Federal Sponsor’s own
forces, but in no event shall the award of contracts or the continuation of work on the Study using
9
the Government’s or the Non-Federal Sponsor’s own forces be deferred for more than three
years. If the Government and the Non-Federal Sponsor agree to not proceed or fail to reach
agreement on proceeding with further contract awards for the Study, or the continuation of work
on the Study using the Government’s or the Non-Federal Sponsor’s own forces, the parties shall
[SEE NOTE - 16 - CHOOSE: (1)
terminate this Agreement and proceed in accordance with
(2)]
Article IX.D. Article IX.E. of this Agreement.
B. The Non-Federal Sponsor shall contribute 50 percent of total study costs in accordance
with the provisions of this paragraph.
1. The Non-Federal Sponsor shall provide a contribution of funds as determined
below:
a. If the Government projects at any time that the collective value of the Non-
Federal Sponsor’s contributions listed in the next sentence will be less than the Non-Federal Sponsor’s
required share of 50 percent of total study costs, the Government shall determine the amount of funds
[SEE
that would be necessary to meet the Non-Federal Sponsor’s required share without considering
NOTE - 10 - CHOOSE: (1)
the credit the Government projects will be afforded for the non-
(2)
Federal in-kind contributions pursuant to paragraph B.4. of this Article the amount that will
be waived by the Government pursuant to paragraph G. of this Article and the credit the
Government projects will be afforded for the non-Federal in-kind contributions pursuant to
]
paragraph B.4. of this Article. The Government shall determine the amount of funds that would
be necessary by subtracting from the Non-Federal Sponsor’s required share of 50 percent of total
study costs the collective value of the Non-Federal Sponsor’s contributions under Article III and
Article VI of this Agreement.
b. The Non-Federal Sponsor shall provide funds in the amount determined
by this paragraph in accordance with Article IV.B. of this Agreement. To determine the
[SEE NOTE -
contribution of funds the Non-Federal Sponsor shall provide, the Government shall
10 - CHOOSE: (1)
reduce the amount determined in accordance with paragraph B.1.a. of this
Article by the amount of credit the Government projects will be afforded for the non-Federal in-
(2)
kind contributions pursuant to paragraph B.4. of this Article reduce the amount determined in
accordance with paragraph B.1.a. of this Article by the amount that will be waived by the
Government pursuant to paragraph G. of this Article and the amount of credit the Government
projects will be afforded for the non-Federal in-kind contributions pursuant to paragraph B.4. of
]
this Article.
2. The Government, subject to the availability of funds and as limited by paragraph
[SEE NOTE - 13 - CHOOSE: (1)
B.5. of this Article and the Section ___ Annual Program Limit
(2) ]
and the Section 544 Program Limit, shall refund or reimburse to the Non-Federal Sponsor any
contributions in excess of 50 percent of total study costs if the Government determines at any time that
the collective value of the following has exceeded 50 percent of total study costs: (a) the Non-Federal
Sponsor’s contribution of funds required by paragraph B.1.b. of this Article; (b) the amount of credit to
10
be afforded for the non-Federal in-kind contributions pursuant to paragraph B.4. of this Article;
[SEE NOTE - 10 - CHOOSE: (1)
and (c) the value of the Non-Federal Sponsor’s contributions
(2)
under Article III and Article VI of this Agreement (c) the amount that will be waived by the
Government pursuant to paragraph G. of this Article; and (d) the value of the Non-Federal
]
Sponsor’s contributions under Article III and Article VI of this Agreement.
3. The Government shall determine and include in total study costs any costs
incurred by the Non-Federal Sponsor for non-Federal in-kind contributions, subject to the
conditions and limitations of this paragraph. The Non-Federal Sponsor in a timely manner shall
provide the Government with such documents as are sufficient to enable the Government to
determine the amount of costs to be included in total study costs for non-Federal in-kind
contributions.
a. Acceptance by the Government of non-Federal in-kind contributions
shall be subject to a review by the Government to verify that all economic, engineering, real
estate, and environmental analyses or other items performed or provided as non-Federal in-kind
contributions are accomplished in a satisfactory manner and in accordance with applicable Federal
laws, regulations, and policies, and to verify that all analyses, services, materials, supplies, and
other in-kind services provided as non-Federal in-kind contributions are necessary for the Study.
b. The Non-Federal Sponsor’s costs for non-Federal in-kind contributions
that may be eligible for inclusion in total study costs pursuant to this Agreement shall be subject to
an audit in accordance with Article VI.C. of this Agreement to determine the reasonableness,
allocability, and allowability of such costs.
c. The Non-Federal Sponsor’s costs for non-Federal in-kind contributions
that may be eligible for inclusion in total study costs pursuant to this Agreement are not subject to
interest charges, nor are they subject to adjustment to reflect changes in price levels between the
time the non-Federal in-kind contributions are provided and the time the costs are included in
total study costs.
d. The Government shall not include in total study costs any costs for non-
Federal in-kind contributions paid by the Non-Federal Sponsor using Federal program funds
unless the Federal agency providing the Federal portion of such funds verifies in writing that
expenditure of such funds for such purpose is expressly authorized by Federal law.
e. The Government shall not include in total study costs any costs for non-
Federal in-kind contributions in excess of the Government’s estimate of the costs of the non-
Federal in-kind contributions if the services, materials, supplies, and other in-kind services had
been provided by the Government.
4. The Government, in accordance with this paragraph, shall afford credit toward
the amount of funds determined in accordance with paragraph B.1.a. of this Article for the costs
11
of the non-Federal in-kind contributions determined in accordance with paragraph B.3. of this
Article. However, the maximum amount of credit that can be afforded for the non-Federal in-
kind contributions shall not exceed the least of the following amounts as determined by the
Government: the amount of funds determined in accordance with paragraph B.1.a. of this Article;
the costs of the non-Federal in-kind contributions determined in accordance with paragraph B.3.
of this Article; or 50 percent of total study costs.
5. Notwithstanding any other provision of this Agreement, the Non-Federal
Sponsor shall not be entitled to reimbursement of any costs of non-Federal in-kind contributions
determined in accordance with paragraph B.3. of this Article and included in total study costs that
exceed the amount of credit afforded for the non-Federal in-kind contributions determined in
accordance with paragraph B.4. of this Article and the Non-Federal Sponsor shall be responsible
for 100 percent of all costs of non-Federal in-kind contributions included in total study costs that
exceed the amount of credit afforded.
[SEE NOTE - 17]
OPTION 1 – (PARAGRAPHS C. AND C.1. - C.3.)
C. Notwithstanding any other provision of this Agreement, Federal financial participation
in the Study is limited by the following provisions of this paragraph.
1. In the event the Government projects that the amount of Federal funds the
Government will make available to the Study through the then-current fiscal year, or the amount
of Federal funds the Government will make available for the Study through the upcoming fiscal
year, is not sufficient to meet the Federal share of total study costs that the Government projects
to be incurred through the then-current or upcoming fiscal year, as applicable, the Government
shall notify the Non-Federal Sponsor in writing of such insufficiency of funds and of the date the
Government projects that the Federal funds that will have been made available to the Study will be
exhausted. Upon the exhaustion of Federal funds made available by the Government to the Study,
future performance under this Agreement shall be suspended and the parties shall proceed in
accordance with Article IX.C. of this Agreement.
2. If the Government determines that the total amount of Federal funds provided
by Congress for all studies and projects implemented pursuant to Section 1135 has reached the
Section 1135 Annual Program Limit, and the Government projects that the Federal funds the
Government will make available to the Study within the Section 1135 Annual Program Limit will
not be sufficient to meet the Federal share of total study costs, the Government shall notify the
Non-Federal Sponsor in writing of such insufficiency of funds and of the date the Government
projects that the Federal funds that will have been made available to the Study will be exhausted.
Upon the exhaustion of Federal funds made available by the Government to the Study within the
Section 1135 Annual Program Limit, future performance under this Agreement shall be
suspended and the parties shall proceed in accordance with Article IX.C. of this Agreement.
12
3. As of the effective date of this Agreement, $________ of Federal funds is
currently projected to be available for the Study. The Government makes no commitment to
request Congress to provide additional Federal funds for the Study. Further, the Government’s
financial participation in the Study is limited to the Federal funds that the Government makes
available to the Study.
OPTION 2 – (PARAGRAPHS C. AND C.1. - C.3.)
C. Notwithstanding any other provision of this Agreement, Federal financial participation
in the Study is limited by the following provisions of this paragraph.
1. In the event the Government projects that the amount of Federal funds the
Government will make available to the Study through the then-current fiscal year, or the amount
of Federal funds the Government will make available for the Study through the upcoming fiscal
year, is not sufficient to meet the Federal share of total study costs that the Government projects
to be incurred through the then-current or upcoming fiscal year, as applicable, the Government
shall notify the Non-Federal Sponsor in writing of such insufficiency of funds and of the date the
Government projects that the Federal funds that will have been made available to the Study will be
exhausted. Upon the exhaustion of Federal funds made available by the Government to the Study,
future performance under this Agreement shall be suspended and the parties shall proceed in
accordance with Article IX.C. of this Agreement.
2. If the Government determines that the total amount of Federal funds provided
by Congress for all studies and projects implemented pursuant to Section 544 has reached the
Section 544 Program Limit, and the Government projects that the Federal funds the Government
will make available to the Study within the Section 544 Program Limit will not be sufficient to
meet the Federal share of total study costs, the Government shall notify the Non-Federal Sponsor
in writing of such insufficiency of funds and of the date the Government projects that the Federal
funds that will have been made available to the Study will be exhausted. Upon the exhaustion of
Federal funds made available by the Government to the Study within the Section 544 Program
[SEE
Limit, the parties shall terminate this Agreement and proceed in accordance with Article
NOTE - 16 - CHOOSE: (1)(2)]
Article IX.D. Article IX.E. of this Agreement.
3. As of the effective date of this Agreement, $________ of Federal funds have
been provided by Congress for the Section 544 Program of which $________ is currently
projected to be available for the Study. The Government makes no commitment to request
Congress to provide additional Federal funds for the Section 544 Program or the Study. Further,
the Government’s financial participation in the Study is limited to the Federal funds that the
Government makes available to the Study.
OPTION 3 – (PARAGRAPHS C. AND C.1. - C.2.)
C. Notwithstanding any other provision of this Agreement, Federal financial participation
13
in the Study is limited by the following provisions of this paragraph.
1. In the event the Government projects that the amount of Federal funds the
Government will make available to the Study through the then-current fiscal year, or the amount
of Federal funds the Government will make available for the Study through the upcoming fiscal
year, is not sufficient to meet the Federal share of total study costs that the Government projects
to be incurred through the then-current or upcoming fiscal year, as applicable, the Government
shall notify the Non-Federal Sponsor in writing of such insufficiency of funds and of the date the
Government projects that the Federal funds that will have been made available to the Study will be
exhausted. Upon the exhaustion of Federal funds made available by the Government to the Study,
future performance under this Agreement shall be suspended and the parties shall proceed in
accordance with Article IX.C. of this Agreement.
2. As of the effective date of this Agreement, $________ of Federal funds is
currently projected to be available for the Study. The Government makes no commitment to
request Congress to provide additional Federal funds for the Study. Further, the Government’s
financial participation in the Study is limited to the Federal funds that the Government makes
available to the Study.
OPTION 4 – (PARAGRAPH C. ONLY)
C. Notwithstanding any other provision of this Agreement, Federal financial participation
in the Study is limited as described in this paragraph. In the event the Government projects that
the amount of Federal funds the Government will make available to the Study through the then-
current fiscal year, or the amount of Federal funds the Government will make available for the
Study through the upcoming fiscal year, is not sufficient to meet the Federal share of total study
costs that the Government projects to be incurred through the then-current or upcoming fiscal
year, as applicable, the Government shall notify the Non-Federal Sponsor in writing of such
insufficiency of funds and of the date the Government projects that the Federal funds that will
have been made available to the Study will be exhausted. Upon the exhaustion of Federal funds
made available by the Government to the Study, future performance under this Agreement shall be
suspended and the parties shall proceed in accordance with Article IX.C. of this Agreement.
D. Upon conclusion of the period of study, the Government shall conduct an accounting, in
accordance with Article IV.C. of this Agreement, and furnish the results to the Non-Federal Sponsor.
E. The Non-Federal Sponsor shall not use Federal program funds to meet any of its
obligations for the Study under this Agreement unless the Federal agency providing the Federal portion
of such funds verifies in writing that expenditure of such funds for such purpose is expressly authorized
by Federal law.
F. This Agreement shall not be construed as obligating either party to implement a
project. Whether the Government proceeds with implementation of the project depends upon,
among other things, the outcome of the Study and whether the proposed solution is consistent
14
with the Economic and Environmental Principles and Guidelines for Water and Related Land
Resources Implementation Studies and with the budget priorities of the Administration.
[SEE NOTE – 10]
G. Pursuant to Section 1156 of the Water Resources Development Act of 1986, Public
Law 99-662 (33 U.S.C. 2310), the Government shall waive payment of the amount of funds
determined in accordance with paragraph B.1.a. of this Article, up to $200,000.
ARTICLE III - STUDY COORDINATION TEAM
A. To provide for consistent and effective communication, the Non-Federal Sponsor and the
Government, not later than 30 calendar days after the effective date of this Agreement, shall appoint
named senior representatives to a Study Coordination Team. Thereafter, the Study Coordination
Team shall meet regularly until the end of the period of study. The Government’s Project Manager
and a counterpart named by the Non-Federal Sponsor shall co-chair the Study Coordination Team.
B. The Government’s Project Manager and the Non-Federal Sponsor’s counterpart shall keep
the Study Coordination Team informed of the progress of the Study and of significant pending issues
and actions, and shall seek the views of the Study Coordination Team on matters that the Study
Coordination Team generally oversees.
C. Until the end of the period of study, the Study Coordination Team shall generally oversee
the Study, including matters related to: plan formulation and evaluation, including applicable
economic, engineering, real estate, and environmental analyses; scheduling of reports and work
products; independent technical review and other review processes required by the Government;
completion of all necessary environmental coordination and documentation; contract awards and
modifications; contract costs; the Government’s cost projections; the performance of and scheduling
for the non-Federal in-kind contributions; determination of anticipated future requirements for real
property and relocation requirements and performance of operation, maintenance, repair, rehabilitation,
and replacement of the proposed project including anticipated requirements for permits; and other
matters related to the Study. This oversight of the Study shall be consistent with the PMP.
D. The Study Coordination Team may make recommendations to the District Engineer on
matters related to the Study that the Study Coordination Team generally oversees, including
suggestions to avoid potential sources of dispute. The Government in good faith shall consider the
recommendations of the Study Coordination Team. The Government, having the legal authority and
responsibility for performance of the Study except for the non-Federal in-kind contributions, has the
discretion to accept or reject, in whole or in part, the Study Coordination Team’s recommendations.
On matters related to the non-Federal in-kind contributions, that the Study Coordination Team
generally oversees, the Study Coordination Team may make recommendations to the Non-Federal
Sponsor including suggestions to avoid potential sources of dispute. The Non-Federal Sponsor in
good faith shall consider the recommendations of the Study Coordination Team. The Non-
15
Federal Sponsor, having the legal authority and responsibility for the non-Federal in-kind
contributions, has the discretion to accept or reject, in whole or in part, the Study Coordination
Team’s recommendations except as otherwise required by the provisions of this Agreement,
including compliance with applicable Federal, State, or local laws or regulations.
E. The Non-Federal Sponsor’s costs of participation in the Study Coordination Team
shall be included in total study costs and shared in accordance with the provisions of this
Agreement, subject to an audit in accordance with Article VI.C. of this Agreement to determine
reasonableness, allocability, and allowability of such costs. The Government’s costs of
participation in the Study Coordination Team shall be included in total study costs and shared in
accordance with the provisions of this Agreement.
ARTICLE IV - METHOD OF PAYMENT
[SEE NOTE - 18]
A. In accordance with the provisions of this paragraph, the Government shall maintain
current records and provide to the Non-Federal Sponsor current projections of costs, financial
obligations, the contributions provided by the parties, the costs included in total study costs for
the non-Federal in-kind contributions determined in accordance with Article II.B.3. of this
Agreement, and the credit to be afforded for the non-Federal in-kind contributions pursuant to
Article II.B.4. of this Agreement.
1. As of the effective date of this Agreement, total study costs are
projected to be $________; the value of the Non-Federal Sponsor’s contributions under Article III
and Article VI of this Agreement is projected to be ________; the amount of funds determined in
accordance with Article II.B.1.a. of this Agreement is projected to be $________; the costs
included in total study costs for the non-Federal in-kind contributions determined in accordance
with Article II.B.3. of this Agreement are projected to be $________; the credit to be afforded for
the non-Federal in-kind contributions pursuant to Article II.B.4. of this Agreement is projected
[SEE NOTE - 10:
to be $________; the amount that will be waived by the Government pursuant
]
to Article II.G. of this Agreement is projected to be $________;the Non-Federal Sponsor’s
contribution of funds required by Article II.B.1.b. of this Agreement is projected to be
$________; and the non-Federal proportionate share is projected to be ________ percent.
These amounts and percentage are estimates subject to adjustment by the Government, after
consultation with the Non-Federal Sponsor, and are not to be construed as the total financial
responsibilities of the Government and the Non-Federal Sponsor.
2. By ________ and by each quarterly anniversary thereof until the conclusion of
the period of study and resolution of all relevant claims and appeals, the Government shall provide
the Non-Federal Sponsor with a report setting forth all contributions provided to date and the
current projections of the following: total study costs; the value of the Non-Federal Sponsor’s
16
contributions under Article III and Article VI of this Agreement; the amount of funds determined in
accordance with Article II.B.1.a. of this Agreement; the costs included in total study costs for the
non-Federal in-kind contributions determined in accordance with Article II.B.3. of this
Agreement; the credit to be afforded for the non-Federal in-kind contributions pursuant to
[SEE NOTE - 10:
Article II.B.4. of this Agreement; the amount that will be waived by the
]
Government pursuant to Article II.G. of this Agreement;the Non-Federal Sponsor’s contribution
[SEE NOTE - 19:
of funds required by Article II.B.1.b. of this Agreement; the total contribution
of funds required from the Non-Federal Sponsor for the upcoming contract and upcoming fiscal
]
year; and the non-Federal proportionate share.
[SEE NOTE – 19]
OPTION 1 – (PARAGRAPHS B. AND B.1. - B.2.)
B. The Non-Federal Sponsor shall provide the contribution of funds required by Article
II.B.1.b. of this Agreement in accordance with the provisions of this paragraph.
[SEE NOTE – 20]
[SEE NOTE - 21]
1. Not less than calendar days prior to the scheduled date for
issuance of the solicitation for the first contract for work on the Study or commencement of work
on the Study using the Government’s own forces, the Government shall notify the Non-Federal
Sponsor in writing of such scheduled date and the funds the Government determines to be
required from the Non-Federal Sponsor to meet its projected share under Article II.B.1.b. of this
Agreement. Not later than such scheduled date, the Non-Federal Sponsor shall provide the
Government with the full amount of such required funds by delivering a check payable to “FAO,
[APPROPRIATE USACE DISTRICT & EROC]
USAED, ” to the District Engineer, or
verifying to the satisfaction of the Government that the Non-Federal Sponsor has deposited such
required funds in an escrow or other account acceptable to the Government, with interest
accruing to the Non-Federal Sponsor, or by presenting the Government with an irrevocable letter
of credit acceptable to the Government for such required funds, or by providing an Electronic
Funds Transfer of such required funds in accordance with procedures established by the
Government.
2. The Government shall draw from the funds provided by the Non-Federal
[SEE NOTE - 10 - CHOOSE: (1)
Sponsor such sums as the Government deems necessary ,
when considered with any credit the Government projects will be afforded for the non-Federal in-
(2)
kind contributions pursuant to Article II.B.4. of this Agreement, , when considered with any
amount that will be waived by the Government pursuant to Article II.G. of this Agreement and
any credit the Government projects will be afforded for the non-Federal in-kind contributions
]
pursuant to Article II.B.4. of this Agreement, to cover: (a) the non-Federal proportionate share
of financial obligations for the study incurred prior to the commencement of the period of study;
and (b) the non-Federal proportionate share of financial obligations for the study as financial
17
obligations for the study are incurred. If at any time the Government determines that additional
funds will be needed from the Non-Federal Sponsor to cover the Non-Federal Sponsor’s share of
such financial obligations, the Government shall notify the Non-Federal Sponsor in writing of the
additional funds required and provide an explanation of why additional funds are required. Within
[SEE NOTE - 22 - NOT TO EXCEED 60]
calendar days from receipt of such notice, the Non-
Federal Sponsor shall provide the Government with the full amount of such additional required
funds through any of the payment mechanisms specified in paragraph B.1. of this Article.
OPTION 2 – (PARAGRAPHS B. AND B.1. – B.3.)
B. The Non-Federal Sponsor shall provide the contribution of funds required by Article
II.B.1.b. of this Agreement in accordance with the provisions of this paragraph.
[SEE NOTE – 20]
[SEE NOTE - 21]
1. Not less than calendar days prior to the scheduled date for
issuance of the solicitation for the first contract for work on the Study or commencement of work
on the Study using the Government’s own forces, the Government shall notify the Non-Federal
Sponsor in writing of such scheduled date and the funds the Government determines to be
[SEE NOTE - 23:
required from the Non-Federal Sponsor to meet: (a) the non-Federal
proportionate share of financial obligations for the study incurred prior to the commencement of
]
the period of study; (b) the projected non-Federal proportionate share of financial obligations
for the study to be incurred for such contract; and (c) the projected non-Federal proportionate
share of financial obligations for the study using the Government’s own forces through the first
[SEE NOTE – 24 - CHOOSE: (1)(2)(3)
fiscal year. quarter. fiscal year of the Non-Federal
]
Sponsor. Not later than such scheduled date, the Non-Federal Sponsor shall provide the
Government with the full amount of such required funds by delivering a check payable to “FAO,
[APPROPRIATE USACE DISTRICT & EROC]
USAED, ” to the District Engineer, or
verifying to the satisfaction of the Government that the Non-Federal Sponsor has deposited such
required funds in an escrow or other account acceptable to the Government, with interest
accruing to the Non-Federal Sponsor, or by presenting the Government with an irrevocable letter
of credit acceptable to the Government for such required funds, or by providing an Electronic
Funds Transfer of such required funds in accordance with procedures established by the
Government.
2. Thereafter, until the work on the Study is complete, the Government shall
notify the Non-Federal Sponsor in writing of the funds the Government determines to be required
from the Non-Federal Sponsor, and the Non-Federal Sponsor shall provide such funds in
accordance with the provisions of this paragraph.
a. The Government shall notify the Non-Federal Sponsor in writing, no
later than 60 calendar days prior to the scheduled date for issuance of the solicitation for each
remaining contract for work on the Study, of the funds the Government determines to be required
18
from the Non-Federal Sponsor to meet the projected non-Federal proportionate share of
financial obligations for the study to be incurred for such contract. No later than such scheduled
date, the Non-Federal Sponsor shall make the full amount of such required funds available to the
Government through any of the payment mechanisms specified in paragraph B.1. of this Article.
b. The Government shall notify the Non-Federal Sponsor in writing, no
[SEE NOTE - 24 - CHOOSE: (1)
later than 60 calendar days prior to the beginning of each
(2)(3)]
fiscal year quarter fiscal year of the Non-Federal Sponsor in which the Government
projects that it will make financial obligations for the study using the Government’s own forces,
of the funds the Government determines to be required from the Non-Federal Sponsor to meet the
projected non-Federal proportionate share of financial obligations for the study using the
[SEE NOTE - 24 - CHOOSE: (1)(2)(3)
Government’s own forces for that fiscal year. quarter.
]
fiscal year of the Non-Federal Sponsor. No later than 30 calendar days prior to the beginning of
[SEE NOTE - 24 - CHOOSE: (1)(2)(3)
that fiscal year, quarter, fiscal year of the Non-
]
Federal Sponsor, the Non-Federal Sponsor shall make the full amount of such required funds for
[SEE NOTE - 24 - CHOOSE: (1)(2)(3)
that fiscal year quarter fiscal year of the Non-Federal
]
Sponsor available to the Government through any of the payment mechanisms specified in
paragraph B.1. of this Article.
3. The Government shall draw from the funds provided by the Non-Federal
[SEE NOTE - 10 - CHOOSE: (1)
Sponsor such sums as the Government deems necessary ,
when considered with any credit the Government projects will be afforded for the non-Federal in-
(2)
kind contributions pursuant to Article II.B.4. of this Agreement, , when considered with any
amount that will be waived by the Government pursuant to Article II.G. of this Agreement and
any credit the Government projects will be afforded for the non-Federal in-kind contributions
]
pursuant to Article II.B.4. of this Agreement, to cover: (a) the non-Federal proportionate share
of financial obligations for the study incurred prior to the commencement of the period of study;
and (b) the non-Federal proportionate share of financial obligations for the study as financial
obligations for the study are incurred. If at any time the Government determines that additional
funds will be needed from the Non-Federal Sponsor to cover the Non-Federal Sponsor’s share of
such financial obligations for the current contract or to cover the Non-Federal Sponsor’s share of
such financial obligations for work performed using the Government’s own forces in the current
[SEE NOTE - 24 - CHOOSE: (1)(2)(3)
fiscal year, quarter, fiscal year of the Non-Federal
]
Sponsor, the Government shall notify the Non-Federal Sponsor in writing of the additional funds
[SEE NOTE -
required and provide an explanation of why additional funds are required. Within
22 - NOT TO EXCEED 60]
calendar days from receipt of such notice, the Non-Federal Sponsor
shall provide the Government with the full amount of such additional required funds through any
of the payment mechanisms specified in paragraph B.1. of this Article.
[SEE NOTE - 25]
C. Upon conclusion of the period of study and resolution of all relevant claims and appeals,
the Government shall conduct a final accounting and furnish the Non-Federal Sponsor with
19
written notice of the results of such final accounting. If outstanding relevant claims and appeals
prevent a final accounting from being conducted in a timely manner, the Government shall
conduct an interim accounting and furnish the Non-Federal Sponsor with written notice of the
results of such interim accounting. Once all outstanding relevant claims and appeals are resolved,
the Government shall amend the interim accounting to complete the final accounting and furnish
the Non-Federal Sponsor with written notice of the results of such final accounting. The interim
or final accounting, as applicable, shall determine total study costs, each party’s required share
thereof, and each party’s total contributions thereto as of the date of such accounting.
1. Should the interim or final accounting, as applicable, show that the Non-Federal
Sponsor’s total required share of total study costs exceeds the Non-Federal Sponsor’s total
contributions provided thereto, the Non-Federal Sponsor, no later than 90 calendar days after
receipt of written notice from the Government, shall make a payment to the Government in an
amount equal to the difference by delivering a check payable to “FAO, USAED,
[APPROPRIATE USACE DISTRICT & EROC]
” to the District Engineer or by providing an
Electronic Funds Transfer in accordance with procedures established by the Government.
2. Should the interim or final accounting, as applicable, show that the total
contributions provided by the Non-Federal Sponsor for total study costs exceed the Non-Federal
Sponsor’s total required share thereof, the Government, subject to the availability of funds and as
[SEE NOTE - 13 - CHOOSE: (1)
limited by Article II.B.5. of this Agreement and the Section ___
(2) ]
Annual Program Limit and the Section 544 Program Limit, shall refund or reimburse the
excess amount to the Non-Federal Sponsor within 90 calendar days of the date of completion of
such accounting. In the event the Non-Federal Sponsor is due a refund or reimbursement and
funds are not available to refund or reimburse the excess amount to the Non-Federal Sponsor, the
Government shall seek such appropriations as are necessary to make the refund or reimbursement.
[SEE NOTE - 23]
D. The Non-Federal Sponsor shall provide funds in the amount determined by this
paragraph in accordance with the provisions of this paragraph.
1. Not later than 60 calendar days after the effective date of this Agreement, the
Government shall determine that portion of financial obligations for the study incurred prior to the
commencement of the period of study and furnish the Non-Federal Sponsor with written notice of
the results of such determination. If outstanding relevant claims and appeals prevent a final
determination of that portion of financial obligations for the study incurred prior to the
commencement of the period of study from being conducted in a timely manner, the Government
shall prepare an interim determination of that portion of financial obligations for the study
incurred prior to the commencement of the period of study and furnish the Non-Federal Sponsor
with written notice of the results of such interim determination. Once all outstanding relevant
claims and appeals are resolved, the Government shall amend the interim determination to
20
complete the final determination and furnish the Non-Federal Sponsor with written notice of the
results of such final determination of that portion of financial obligations for the study incurred
prior to the commencement of the period of study. The interim or final determination, as
applicable, shall determine that portion of financial obligations for the study incurred prior to the
commencement of the period of study and each party’s required share thereof.
2. The Government shall calculate four equal installments for payment of the Non-
Federal Sponsor’s required 50 percent share of that portion of financial obligations for the study
[SEE NOTE - 10:
incurred prior to the commencement of the period of study , after
consideration of any amount that will be waived by the Government pursuant to Article II.G. of
]
this Agreement. The Government shall notify the Non-Federal Sponsor in writing of the Non-
Federal Sponsor’s required share of that portion of financial obligations for the study incurred
prior to the commencement of the period of study and the amount of each installment.
3. The Non-Federal Sponsor shall pay the installments calculated pursuant to
paragraph D.2. of this Article upon each six month anniversary of the date the Government
notifies the Non-Federal Sponsor of the Non-Federal Sponsor’s required share of that portion of
financial obligations for the study incurred prior to the commencement of the period of study and
the amount of the installments by delivering a check payable to “FAO, USAED,
[APPROPRIATE USACE DISTRICT & EROC]
” to the District Engineer or providing an
Electronic Funds Transfer in accordance with procedures established by the Government.
ARTICLE V - DISPUTE RESOLUTION
As a condition precedent to a party bringing any suit for breach of this Agreement, that
party must first notify the other party in writing of the nature of the purported breach and seek in
good faith to resolve the dispute through negotiation. If the parties cannot resolve the dispute
through negotiation, they may agree to a mutually acceptable method of non-binding alternative
dispute resolution with a qualified third party acceptable to both parties. Each party shall pay an
equal share of any costs for the services provided by such a third party as such costs are incurred.
The existence of a dispute shall not excuse the parties from performance pursuant to this
Agreement.
ARTICLE VI - MAINTENANCE OF RECORDS AND AUDIT
A. Not later than 60 calendar days after the effective date of this Agreement, the Government
and the Non-Federal Sponsor shall develop procedures for keeping books, records, documents, or
other evidence pertaining to costs and expenses incurred pursuant to this Agreement. These
procedures shall incorporate, and apply as appropriate, the standards for financial management systems
[SEE
set forth in the Uniform Administrative Requirements for Grants and Cooperative Agreements
NOTE - 7 - CHOOSE: (1)(2)
to State and Local Governments at 32 C.F.R. Section 33.20 with
21
Institutions of Higher Education, Hospitals, and other Non-Profit Organizations, OMB Circular
]
A-110. The Government and the Non-Federal Sponsor shall maintain such books, records,
documents, or other evidence in accordance with these procedures and for a minimum of three years
after completion of the accounting for which such books, records, documents, or other evidence were
required. To the extent permitted under applicable Federal laws and regulations, the Government and
the Non-Federal Sponsor shall each allow the other to inspect such books, records, documents, or
other evidence.
B. In accordance with 32 C.F.R. Section 33.26, the Non-Federal Sponsor is responsible for
complying with the Single Audit Act Amendments of 1996 (31 U.S.C. 7501-7507), as implemented by
OMB Circular No. A-133 and Department of Defense Directive 7600.10. Upon request of the Non-
Federal Sponsor and to the extent permitted under applicable Federal laws and regulations, the
Government shall provide to the Non-Federal Sponsor and independent auditors any information
necessary to enable an audit of the Non-Federal Sponsor’s activities under this Agreement. The costs
of any non-Federal audits performed in accordance with this paragraph shall be allocated in accordance
[SEE NOTE - 7 - CHOOSE: (1)(2)]
with the provisions of OMB Circulars A-87 A-122and A-
133, and such costs as are allocated to the Study shall be included in total study costs and shared in
accordance with the provisions of this Agreement.
C. In accordance with 31 U.S.C. 7503, the Government may conduct audits in addition to any
audit that the Non-Federal Sponsor is required to conduct under the Single Audit Act Amendments of
1996. Any such Government audits shall be conducted in accordance with Government Auditing
[SEE NOTE - 7 - CHOOSE: (1)(2)
Standards and the cost principles in OMB Circular No. A-87
]
A-122 and other applicable cost principles and regulations. The costs of Government audits
performed in accordance with this paragraph shall be included in total study costs and shared in
accordance with the provisions of this Agreement.
ARTICLE VII - FEDERAL AND STATE LAWS
In the exercise of their respective rights and obligations under this Agreement, the Non-
Federal Sponsor and the Government shall comply with all applicable Federal and State laws and
regulations, including, but not limited to: Section 601 of the Civil Rights Act of 1964, Public Law
88-352 (42 U.S.C. 2000d) and Department of Defense Directive 5500.11 issued pursuant thereto
and Army Regulation 600-7, entitled “Nondiscrimination on the Basis of Handicap in Programs
and Activities Assisted or Conducted by the Department of the Army”.
ARTICLE VIII - RELATIONSHIP OF PARTIES
A. In the exercise of their respective rights and obligations under this Agreement, the
Government and the Non-Federal Sponsor each act in an independent capacity, and neither is to be
considered the officer, agent, or employee of the other.
22
B. In the exercise of its rights and obligations under this Agreement, neither party shall
provide, without the consent of the other party, any contractor with a release that waives or purports
to waive any rights the other party may have to seek relief or redress against that contractor either
pursuant to any cause of action that the other party may have or for violation of any law.
ARTICLE IX - TERMINATION OR SUSPENSION
A. Prior to conclusion of the period of study, upon 30 calendar days written notice to the
other party, either party may elect without penalty to terminate this Agreement or to suspend
future performance under this Agreement. In the event that either party elects to suspend future
performance under this Agreement pursuant to this paragraph, such suspension shall remain in
effect until either the Government or the Non-Federal Sponsor elects to terminate this Agreement.
B. If at any time the Non-Federal Sponsor fails to fulfill its obligations under this Agreement,
the Assistant Secretary of the Army (Civil Works) shall terminate this Agreement or suspend future
performance under this Agreement unless he determines that continuation of performance of the Study
is in the interest of the United States or is necessary in order to satisfy agreements with any other
non-Federal interests in connection with the Study.
[SEE
C. In the event future performance under this Agreement is suspended pursuant to
NOTE - 26 - CHOOSE: (1)(2)]
Article II.C. Article II.C.1.of this Agreement, such suspension
shall remain in effect until such time that the Government notifies the Non-Federal Sponsor in
writing that sufficient Federal funds are available to meet the Federal share of total study costs the
Government projects to be incurred through the then-current or upcoming fiscal year, or the
Government or the Non-Federal Sponsor elects to terminate this Agreement.
[SEE NOTE - 16]
D. In the event that one or more of the Non-Federal Sponsors elects to terminate its
responsibilities under this Agreement, and the remaining Non-Federal Sponsor(s) elects to
continue to participate in the Study, the Government shall negotiate in good faith with the
remaining Non-Federal Sponsor(s) to effect a timely and productive conclusion to that portion of
the Study pertaining to the area of statutory authority applicable for the remaining Non-Federal
Sponsor(s). The Government shall prepare a revised PMP and revised estimate of total study
costs to complete that portion of the Study of interest to the remaining Non-Federal Sponsor(s).
If the remaining Non-Federal Sponsor(s) elects to complete the Study, this Agreement shall be
amended to reflect the negotiated revisions to the scope of the Study defined in Article I.A. of this
Agreement and the estimate of total study costs in Article IV.A.1. of this Agreement.
Amendments to this Agreement made pursuant to this paragraph shall reflect credits for the
contribution of funds and non-Federal in-kind contributions provided previously by all of the
Study sponsors and shall reflect task reductions made as a result of withdrawal of any Study
23
sponsor.
E. In the event that this Agreement is terminated pursuant to this Article, the parties shall
conclude their activities relating to the Study and conduct an accounting in accordance with Article
IV.C. of this Agreement. To provide for this eventuality, the Government may reserve a
percentage of total Federal funds made available for the Study and an equal percentage of the total
funds contributed by the Non-Federal Sponsor in accordance with Article II.B.1.b. of this
Agreement as a contingency to pay costs of termination, including any costs of resolution of
contract claims and contract modifications. Upon termination of this Agreement, all data and
information generated as part of the Study shall be made available to the parties to the Agreement.
F. Any termination of this Agreement or suspension of future performance under this
Agreement in accordance with this Article shall not relieve the parties of liability for any obligation
previously incurred. Any delinquent payment owed by the Non-Federal Sponsor shall be charged
interest at a rate, to be determined by the Secretary of the Treasury, equal to 150 per centum of the
average bond equivalent rate of the 13 week Treasury bills auctioned immediately prior to the date on
which such payment became delinquent, or auctioned immediately prior to the beginning of each
additional 3 month period if the period of delinquency exceeds 3 months.
ARTICLE X - NOTICES
A. Any notice, request, demand, or other communication required or permitted to be given
under this Agreement shall be deemed to have been duly given if in writing and delivered personally or
sent by telegram or mailed by first-class, registered, or certified mail, as follows:
[SEE NOTE - 27]
If to the Non-Federal Sponsor:
If to the Government:
B. A party may change the address to which such communications are to be directed by giving
written notice to the other party in the manner provided in this Article.
C. Any notice, request, demand, or other communication made pursuant to this Article shall be
deemed to have been received by the addressee at the earlier of such time as it is actually received or
seven calendar days after it is mailed.
ARTICLE XI - CONFIDENTIALITY
To the extent permitted by the laws governing each party, the parties agree to maintain the
confidentiality of exchanged information when requested to do so by the providing party.
24
[SEE NOTE – 28]
ARTICLE XII - THIRD PARTY RIGHTS, BENEFITS, OR LIABILITIES
Nothing in this Agreement is intended, nor may be construed, to create any rights, confer
any benefits, or relieve any liability, of any kind whatsoever in any third person not party to this
Agreement.
[SEE NOTE - 29]
ARTICLE XIII - OBLIGATIONS OF FUTURE APPROPRIATIONS
A. Nothing herein shall constitute, nor be deemed to constitute, an obligation of future
[SEE NOTE - 30:
appropriations by the ________ of the ________ of ________ , where
]
creating such an obligation would be inconsistent with ________ of the ________ of ________.
B. The Non-Federal Sponsor intends to fulfill its obligations under this Agreement. The
Non-Federal Sponsor shall include in its budget request or otherwise propose appropriations of
[SEE NOTE - 31 - CHOOSE: (1)
funds in amounts sufficient to fulfill these obligations for that
(2)]
year, biennium, and shall use all reasonable and lawful means to secure those appropriations.
The Non-Federal Sponsor reasonably believes that funds in amounts sufficient to fulfill these
obligations lawfully can and will be appropriated and made available for this purpose. In the event
funds are not appropriated in amounts sufficient to fulfill these obligations, the Non-Federal
Sponsor shall use its best efforts to satisfy any requirements for payments or contributions of
funds under this Agreement from any other source of funds legally available for this purpose.
Further, if the Non-Federal Sponsor is unable to fulfill these obligations, the Government may
exercise any legal rights it has to protect the Government’s interests related to this Agreement.
[SEE NOTE - 32]
ARTICLE XIV – TRIBAL SOVEREIGN IMMUNITY
By ________ dated ________, the Non-Federal Sponsor waived any sovereign immunity
that it may possess from suit by the United States in an appropriate Federal Court related to the
provisions, terms, and conditions contained in this Agreement. Further, such ________
[SEE NOTE - 5]
authorized ________ to include such waiver as part of this Agreement.
Accordingly, the Non-Federal Sponsor hereby waives any sovereign immunity that it may possess
from suit by the United States in an appropriate Federal Court to: (1) enforce the terms and
conditions of this Agreement; and (2) recover damages for any breach of the terms and conditions
of this Agreement.
IN WITNESS WHEREOF, the parties hereto have executed this Agreement, which shall
25
[SEE NOTE - 33]
become effective upon the date it is signed by the .
City of Northampton, MA
DEPARTMENT OF THE ARMY
[SIGNATURE][SIGNATURE]
BY: BY:
[TYPED NAME] [TYPED NAME]
[TITLE IN FULL] [TITLE IN FULL]
DATE: _________________________ DATE: ________________________
26
[SEE NOTE - 34]
CERTIFICATE OF AUTHORITY
OPTION 1
City of
I, ____________, do hereby certify that I am the principal legal officer of the
Northampton, MACity of Northampton, MA
, that the is a legally constituted public body with
full authority and legal capability to perform the terms of the Agreement between the Department of
City of Northampton, MAMill
the Army and the in connection with the feasibility study for the
River Restoration Study
, and to pay damages, if necessary, in the event of the failure to perform in
accordance with the terms of this Agreement and that the persons who have executed this Agreement
City of Northampton, MA
on behalf of the have acted within their statutory authority.
IN WITNESS WHEREOF, I have made and executed this certification this ______________
day of _____________ 20___.
OPTION 2
[FULL TITLE OF ATTORNEY
I, ____________, do hereby certify that I am the
SIGNING CERTIFICATE OF AUTHORITY][FULL NAME OF NON-FEDERAL
of the
SPONSOR][FULL NAME OF NON-FEDERAL SPONSOR]
; that the is a legally constituted
non-profit entityincorporated under the applicable laws of the State of ________ as a non-profit
organization, exempt from paying Federal income taxes under Section 501 of the Internal
Revenue Code (26 U.S.C. 501), and organized and operated primarily for one of the conservation
purposes specified in Section 170(h)(4)(A) of the Internal Revenue Code (26 U.S.C.
[FULL NAME OF NON-FEDERAL SPONSOR]
170(h)(4)(A)); that the has the full authority
and legal capability to perform the terms of the Agreement between the Department of the Army
[FULL NAME OF NON-FEDERAL SPONSOR]
and the in connection with the feasibility
[FULL NAME OF “STUDY”]
study for the , and to pay damages, if necessary, in the event of
the failure to perform in accordance with the terms of this Agreement; and that the persons who
[FULL NAME OF NON-FEDERAL
have executed this Agreement on behalf of the
SPONSOR]
have acted within their corporate authority.
IN WITNESS WHEREOF, I have made and executed this certification this
______________ day of _____________ 20_ .
[SIGNATURE]
[TYPED NAME]
[TITLE IN FULL]
27
CERTIFICATION REGARDING LOBBYING
The undersigned certifies, to the best of his or her knowledge and belief that:
(1) No Federal appropriated funds have been paid or will be paid, by or on behalf of the
undersigned, to any person for influencing or attempting to influence an officer or employee of
any 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 cooperative agreement.
(2) If any funds other than Federal appropriated funds have been paid or will be paid to
any person for influencing or attempting to influence an officer or employee of any agency, a
Member of Congress, an officer or employee of Congress, or an employee of a Member of
Congress in connection with this Federal contract, grant, loan, or cooperative agreement, the
undersigned shall complete and submit Standard Form-LLL, “Disclosure Form to Report
Lobbying,” in accordance with its instructions.
(3) The undersigned shall require that the language of this certification be included in the
award documents for all subawards at all tiers (including subcontracts, subgrants, and contracts
under grants, loans, and cooperative agreements) and that all subrecipients shall certify and
disclose accordingly.
This certification is a material representation 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 $10,000 and not more
than $100,000 for each such failure.
[SIGNATURE OF FCSA SIGNATORY]
[TYPED NAME]
[TITLE IN FULL]
DATE: ______________________________
28