HomeMy WebLinkAbout2022-027-02/15/2022-AUTHORIZING THE EXECUTION OF AN INTERGOVERNMENTAL AGREEMENT BETWEEN THE CITY OF FORT COLLINS COLORADr
RESOLUTION 2022-027
OF THE COUNCIL OF THE CITY OF FORT COLLINS
AUTHORIZING THE EXECUTION OF AN INTERGOVERNMENTAL AGREEMENT
BETWEEN THE CITY OF FORT COLLINS,COLORADO,AND THE COLORADO
DEPARTMENT OF TRANSPORTATION FOR THE LAPORTE AVENUE
MULTI-MODAL IMPROVEMENTS PROJECT
WHEREAS,Laporte Avenue between Fishback Avenue and Sunset Street is a two-lane
arterial roadway that lacks adequate bicycle and pedestrian facilities,including sidewalk,bike
lanes,curb,and gutter;and
WHEREAS,Laporte Avenue experiences heavy bicycle and pedestrian traffic in this area,
as Poudre High School and many residential neighborhoods and businesses are located nearby;
and
WHEREAS,Laporte Avenue is identified on the City’s 2014 Bicycle Master Plan as part
of the 2020 Low-Stress Network;and
WHEREAS,the Laporte Avenue Multi-Modal Improvements Project (the “Project”)has
been developed to address the safety concerns and lack of multi-modal infrastructure on Laporte
Avenue between Fishback Avenue and Sunset Street;and
WHEREAS,the City was awarded Transportation Alternative Program (“TAP”)Grant
Funds of $750,000 and Multimodal Options Fund (“MMOF”)Grant Funds of $250,000 through
the North Front Range Metropolitan Planning Organization (“NFRMPO”)and the Colorado
Department of Transportation (“CDOT”)for the design,right-of-way acquisition,and construction
of the Project;and
WHEREAS,the City also was awarded Revitalizing Mainstreet (“RMS”)Grant Funds of
$1,437,500 for this Project;and
WHEREAS,the grant funds for the Project are to be administered by CDOT with project
delivery oversight pursuant to an Intergovernmental Agreement (“IGA”)with CDOT that requires
the City to provide matching funds;and
WHEREAS,the Project will consist of design and construction of bicycle and pedestrian
improvements on Laporte Avenue to include bike lanes,sidewalk,multi-use paths,curb and gutter,
as well as signing and striping,along Laporte Avenue between Sunset Street and Fishback Avenue
to improve bike and pedestrian safety along the corridor;and
WHEREAS,CDOT has proposed an IGA between CDOT and the City that outlines the
terms and conditions of the use of grant funds;and
WHEREAS,on December 7,2021,the City Council approved Ordinance No.155,2021,
which made supplemental appropriations,appropriated prior year reserves,and authorized
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transfers of appropriations for the Project,as well as for Art in Public Places,pursuant to the
matching funds requirements of the proposed IGA;and
WHEREAS,although Ordinance No.155,2021 contains a typographical error stating that
the IGA with CDOT requires $690,000 in local matching funds when the local match requirement
actually is $790,000;and
WHEREAS,notwithstanding the typographical error in Ordinance No.155,2021,all of
the required local matching funds have been duly appropriated as follows:(1)$300,000 in
Community Capital Improvement Program funds were previously appropriated to the Capital
Projects Fund;(2)$389,142 was appropriated by Ordinance No.155,2021 from Transportation
Capital Expansion Fee funds to the Capital Projects Fund;(3)$858 was appropriated by Ordinance
No.155,2021 from the Transportation Services Fund to the Capital Projects Fund;and (4)
$100,000 of the $750,000 Transportation Alternative Program (TAP)Grant Funds that were
appropriated by Ordinance No.155,2021 to this Project are available for and will be used to satisl3’
the remaining local match requirement;and
WHEREAS,Colorado Revised Statutes Section 29-1-203 provides that governments may
cooperate or contract with one another to provide certain services or facilities when such
cooperation or contracts are authorized by each party thereto with the approval of its legislative
body or other authority having the power to so approve;and
WHEREAS,Article II,Section 16 of the City Charter empowers the City Council,by
ordinance or resolution,to enter into contracts with governmental bodies to furnish governmental
services and make charges for such services,or enter into cooperative or joint activities with other
governmental bodies;and
WHEREAS,City Code Section 1-22 requires the City Council to approve
intergovernmental agreements that require the City to make a direct,monetary payment over
$50,000 and the proposed IGA requires the City to provide matching funds in the amount of
$790,000;and
WHEREAS,the City Council has determined that the IGA with CDOT is in the best
interests of the City and that the Mayor be authorized to execute the IGA between the City and
CDOT in support thereof.
NOW,THEREFORE,BE IT RESOLVED BY THE COUNCIL OF THE CITY OF FORT
COLLINS as follows:
Section 1.That the City Council hereby makes and adopts the determinations and
findings contained in the recitals set forth above.
Section 2.That City Council authorizes the Mayor to execute,on behalf of the City,
an Intergovernmental Agreement with the Colorado Department of Transportation,in substantially
the form attached hereto as Exhibit “A,”with such additional or modified terms and conditions as
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the City Manager,in consultation with the City Attorney,determines to be necessary and
appropriate to protect the interests of the City or effectuate the purposes of this Resolution.
Section 3.That the City Council hereby authorizes the Interim City Manager or City
Manager to approve and execute future amendments to the IGA that the City Manager,in
consultation with the City Attorney,determines to be necessarY and appropriate to facilitate
completion of the Project,SO long as such amendments do not increase the cost of the Project,
substantially modify the purposes of the IGA,increase the allocation or amount of funding for the
Project funded by the City,or otherwise increase the obligations and responsibilities of the City as
set forth in the IGA.
Passed and adopted at a regular meeting of the Council of the City of Fort Collins this the
15th day of February,AD.
ATTEST:
A’—A’”’
City Clerk
EXHIBIT A
OLA#:331002691
Routing #:22-HA4-XC-000 17
STATE OF COLORADO INTERGOVERNMENTAL AGREEMENT
Signature and Cover Page
State Agency Agreement RoutiHg Number
Department of Transportation 22-HA4-XC-000l7
Local Agency Agreement Effective Date
CITY OF FORT COLLINS The later of the effective date or
January 12,2022
Agreement Description Agreement Expiration Date
Laporte Avenue Improvements:Fishback to Sunset January II,2032
Project #Region #Contract Writer Agreement Maximum Amount
TAP M455-I33 (23630)&4 TCH $3,227,500.00
MTF M455-I40 (23947)
THE PARTIES HERETO HAVE EXECUTED THIS AGREEMENT
Each person signing this Agreement represents and warrants that he or she is duly authorized to execute this
Agreement and to bind the Party authorizing his or her signature.
LOCAL AGENCY STATE OF COLORADO
CITY OF FORT COLLINS Jared S.Polls,Governor
Department of Transportation
Shoshana M.Lew,Executive Director
Signature
By:(Print Name and Title)Stephen 1-larelson,P.E.,Chief Engineer
Date:Date:
2nd State or Local Agency Signature if Needed LEGAL REVIEW
Philip J.Weiser,Attorney General
Signature Assistant Attorney General
By:(Print Name and Title)By:(Print Name and Title)
Date:Date:
In accordance with §24-30-202 CR5.,this Agreement is not valid until signed and dated below by the State
Controller or an authorized delegate.
STATE CONTROLLER
Robert Jaros,CPA,MBA,SD
By:
Department of Transportation
Effective Date:
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Routing #:22-I iA4-XC-00017
This Agreement shall not be valid or enforceable until the Effective Date,and Agreement Funds shall be
expended within the dates shown in Exhibit C for each respective phase (“Phase Performance Period(s)”).
The State shall not be bound by any provision of this Agreement before the Effective Date,and shall have
no obligation to pay Local Agency for any Work performed or expense incurred before I)the Effective Date
of this original Agreement;except as described in §7.D;2)before the encumbering document for the
respective phase and the official Notice to Proceed for the respective phase;or 3)after the Final Phase
Performance End Date,as shown in Exhibit C.Additionally,the State shall have no obligation to pay Local
Agency for any Work performed or expense incurred after the Agreement Expiration Date or after required
billing deadline specified in §7S.i.e.,or the expiration of “Special Funding”if applicable,whichever is
sooner.The State’s obligation to pay Agreement Funds exclusive of Special Funding will continue until the
Agreement Expiration Date.If Agreement Funds expire before the Agreement Expiration Date,then no
payments will be made after expiration of Agreement Funds.
B.Initial Term and Extension
The Parties’respective performances under this Agreement shall commence on the Agreement Effective
Date shown on the Signature and Cover Page for this Agreement and shall terminate on January II,2032 as
shown on the Signature and Cover Page for this Agreement,unless sooner terminated or further extended in
accordance with the terms of this Agreement.Upon request of Local Agency,the State may,in its sole
discretion,extend the term of this ARPA Award Letter by providing Local Agency with an updated ARPA
Award Letter showing the new ARPA Expiration Date.If the Work will be performed in multiple phases,
the period of performance start and end date of each phase is detailed under the Project Schedule in Exhibit
C.
C.Early Termination in the Public Interest
The State is entering into this Agreement to serve the public interest of the State of Colorado as determined
by its Governor,General Assembly,or Courts.If this Agreement ceases to further the public interest of the
State,and this ARPA Award is not appropriated,or otherwise become unavailable to fund this ARPA Award
the State,in its discretion,may terminate this Agreement in whole or in part.This subsection shall not apply
to a termination of this Agreement by the State for breach by Local Agency,which shall be governed by
§14.A.i.
i.Method and Content
The State shall notify Local Agency by providing written notice to Local Agency of the termination and
be in accordance with §16.The notice shall speci&the effective date of the termination and whether it
affects all or a portion of this Agreement.
ii.Obligations and Rights
Upon receipt of a termination notice for termination in the public interest,Local Agency shall be subject
to §14.A.i.a
iii.Payments
If the State terminates this Agreement in the public interest,the State shall pay Local Agency an amount
equal to the percentage of the total reimbursement payable under this Agreement that corresponds to the
percentage of Work satisfactorily completed and accepted,as determined by the State,less payments
previously made.Additionally,ifthis Agreement is less than 600o completed,as determined by the State,
the State may reimburse Local Agency for a portion of actual out-of-pocket expenses,not otherwise
reimbursed under this Agreement,incurred by Local Agency which are directly attributable to the
uncompleted portion of Local Agency’s obligations,provided that the sum of any and all reimbursement
shall not exceed the maximum amount payable to Local Agency hereunder.This subsection shall not
apply to a termination of this ARPA Award by the State for breach by Local Agency.
D.Local Agency Termination Under Federal Requirements
Local Agency may request termination of the ARPA Award by sending notice to the State,which includes
the effective date of the termination.If this ARPA Award is terminated in this manner,then Local Agency
shall return any advanced payments made for work that will not be performed prior to the effective date of
the termination.
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EXHIBIT A
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N.“Exhibits”means the following exhibits attached to this Agreement;
i.Exhibit A,Scope of Work.
ii.Exhibit B,Sample Option Letter.
iii.Exhibit C,Funding Provisions
iv.Exhibit D,Local Agency Resolution
v.Exhibit E,Local Agency Contract Administration Checklist
vi.Exhibit F,Certification for Federal-Aid Contracts
vii.Exhibit G,Disadvantaged Business Enterprise
viii.Exhibit H,Local Agency Procedures for Consultant Services
ix.Exhibit I,Federal-Aid Contract Provisions for Construction Contracts
x.Exhibit J,Additional Federal Requirements
xi.Exhibit K,The Federal Funding Accountability and Transparency Act of 2006 (FFATA)
Supplemental Federal Provisions
xii.Exhibit L,Sample Sub-Recipient Monitoring and Risk Assessment Form
xiii.Exhibit M,Supplemental Provisions for Federal Awards Subject to The Office of Management and
Budget Uniform Administrative Requirements,Cost principles,and Audit Requirements for Federal
Awards (the “Uniform Guidance”)
xiv.Exhibit N,Federal Treasury Provisions
xv.Exhibit 0,Agreement with Subrecipient of Federal Recovery Funds
xvi.Exhibit P,SLFRF Subrecipient Quarterly Report
xvii.Exhibit Q,SLFRF Reporting Modification Form
xviii.Exhibit R,Applicable Federal Awards
xix.Exhibit S,Checklist of Required Exhibits Dependent on Funding Source
0.“Expiration Date”means the date on which this Agreement expires,as shown on the Signature and Cover
Page for this Agreement.
P.“Extension Term”means the period of time by which the ARPA Expiration Date is extended by the State
through delivery of an updated ARPA Letter.
Q.“Federal Award”means an award of Federal financial assistance or a cost-reimbursement contract under
the Federal Acquisition Requirements by a Federal Awarding Agency to a Recipient.“Federal Award”also
means an agreement setting forth the terms and conditions of the Federal Award.The term does not include
payments to a contractor or payments to an individual that is a beneficiary of a Federal program.
R.“Federal Awarding Agency”means a Federal agency providing a Federal Award to a Recipient.The US
Department of the Treasury is the Federal Awarding Agency for the Federal Award,which may be the subject
of this Agreement.
S.“FHWA”means the Federal Highway Administration,which is one of the twelve administrations under the
Office of the Secretary of Transportation at the U.S.Department of Transportation.FHWA provides
stewardship over the construction,maintenance and preservation of the Nation’s highways and tunnels.
FHWA is the Federal Awarding Agency for the Federal Award which is the subject of this Agreement.
T.“Goods”means any movable material acquired,produced,or delivered by Local Agency as set forth in this
Agreement and shall include any movable material acquired,produced,or delivered by Local Agency in
connection with the Services.
U.“Incident”means any accidental or deliberate event that results in or constitutes an imminent threat of the
unauthorized access or disclosure of State Confidential Information or of the unauthorized modification,
disruption,or destruction of any State Records.
V.“Initial Term”means the time period defined in §2.8.
W.“Matching Funds”means the funds provided by the Local Agency as a match required to receive the federal
ftinding.
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PP.“Subrecipient”means a non-Federal entity that receives a sub-award from a Recipient to carry out part of a
Federal program,but does not include an individual that is a beneficiary of such program.A Subrecipient
may also be a recipient of other Federal Awards directly from a Federal Awarding Agency.
QQ.“Tax Information”means Federal and State of Colorado tax information including,without limitation,
Federal and State tax returns,return information,and such other tax-related information as may be protected
by Federal and State law and regulation.Tax Information includes,but is not limited to all information
defined as Federal tax Information in Internal Revenue Service Publication 1075.
RR.”Uniform Guidance”means the Office of Management and Budget Uniform Administrative Requirements,
Cost Principles,and Audit Requirements for Federal Awards,which supersedes requirements from 0MB
Circulars A-21,A-87,A-I 10,A-122,A-89,A-102,and A-133,and the guidance in Circular A-SO on Single
Audit Act follow-up.
SS.“Work”means the delivery of the Goods and performance of the Services in compliance with CDOT’s Local
Agency Manual described in this Agreement.
TT.“Work Product”means the tangible and intangible results of the Work,whether finished or unfinished,
including drafts.Work Product includes,but is not limited to,documents,text,software (including source
code),research,reports,proposals,specifications,plans,notes,studies,data,images,photographs,negatives,
pictures,drawings,designs,models,surveys,maps,materials,ideas,concepts,know-how,and any other
results of the Work.“Work Product”does not include any material that was developed prior to the Effective
Date that is used,without modification,in the performance of the Work.
Any other term used in this Agreement that is defined in an Exhibit shall be construed and interpreted as defined
in that Exhibit.
6.SCOPEOFWORI<
Local Agency shall complete the Work as described in this Agreement and in accordance with the provisions of
Exhibit A,and the Local Agency Manual.The State shall have no liability to compensate Local Agency for the
delivery of any Goods or the performance of any Services that are not specifically set forth in this Agreement.
Work may be divided into multiple phases that have separate periods of performance.The State may not
compensate for Work that Local Agency performs outside of its designated phase performance period.The
performance period of phases,including,but not limited to Design,Construction,Right of Way,Utilities,or
Environment phases,are identified in Exhibit C.The State may unilaterally modify Exhibit C from time to time,
at its sole discretion,to extend the period of performance For a phase of Work authorized under this Agreement.
To exercise this phase performance period extension option,the State will provide written notice to Local Agency
in a form substantially equivalent to Exhibit B.The State’s unilateral extension of phase performance periods
will not amend or alter in any way the funding provisions or any other terms specified in this Agreement,
notwithstanding the options listed under §7.E
A.Local Agency Commitments
i.Design
If the Work includes preliminary design,final design,design work sheets,or special provisions and
estimates (collectively referred to as the “Plans”),Local Agency shall ensure that it and its Contractors
comply with and are responsible for satisfying the following requirements:
a.Perform or provide the Plans to the extent required by the nature of the Work.
b.Prepare final design in accordance with the requirements of the latest edition of the American
Association of State Highway Transportation Officials (AASHTO)manual or other standard,such
as the Uniform Building Code,as approved by the State.
c.Prepare provisions and estimates in accordance with the most current version of the State’s Roadway
and Bridge Design Manuals and Standard Specifications for Road and Bridge Construction or Local
Agency specifications if approved by the State.
d.Include details of any required detours in the Plans in order to prevent any interference of the
construction Work and to protect the traveling public.
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(d)The State,in its sole discretion,may review construction plans,special provisions and
estimates and may require Local Agency to make such changes therein as the State
determines necessary to comply with State and FHWA requirements.
iii.Construction
If the Work includes construction,Local Agency shall perform the construction in accordance with the
approved design plans and or administer the construction in accordance with Exhibit E.Such
administration shall include Work inspection and testing;approving sources of materials;performing
required plant and shop inspections;documentation of contract payments,testing and inspection
activities;preparing and approving pay estimates;preparing,approving and securing the funding for
contract modification orders and minor contract revisions;processing construction Contractor claims;
construction supervision;and meeting the quality control requirements of the FHWA/CDOT
Stewardship Agreement,as described in Exhibit E.
a.The State may,after providing written notice of the reason for the suspension to Local Agency,
suspend the Work,wholly or in part,due to the failure of Local Agency or its Contractor to correct
conditions which are unsafe for workers or for such periods as the State may deem necessary due to
unsuitable weather,or for conditions considered unsuitable for the prosecution of the Work,or for
any other condition or reason deemed by the State to be in the public interest.
b.Local Agency shall be responsible for the following:
I)Appointing a qualified professional engineer,licensed in the State of Colorado,as Local
Agency Project Engineer (LAPE),to perform engineering administration.The LAPE shall
administer the Work in accordance with this Agreement,the requirements of the construction
contract and applicable State procedures,as defined in the COOT Local Agency Manual
(https:www.codot.gov/business/designsupportlbulletins manuals/2006-local-agency-
manual).
2)For the construction Services,advertising the call for bids,following its approval by the State,
and awarding the construction contract(s)to the lowest responsible bidder(s).
(a)All Local Agency’s advertising and bid awards pursuant to this Agreement shall comply
with applicable requirements of 23 U.S.C.§112 and 23 C.F.R.Parts 633 and 635 and
C.R.S.§24-92-101 et seq.Those requirements include,without limitation,that Local
Agency and its Contractor(s)incorporate Form 1273 (Exhibit I)in its entirety,verbatim,
into any subcontract(s)for Services as terms and conditions thereof,as required by 23
C.F.R.633.102(e).
(b)Local Agency may accept or reject the proposal of the apparent low bidder for Work on
which competitive bids have been received.Local Agency must accept or reject such bids
within 3 working days after they are publicly opened.
(c)If Local Agency accepts bids and makes awards that exceed the amount of available
Agreement Funds,Local Agency shall provide the additional funds necessary to complete
the Work or not award such bids.
(d)The requirements of §6.A.iii.b.2 also apply to any advertising and bid awards made by the
State.
(e)The State (and in some cases FHWA)must approve in advance all Force Account
Construction,and Local Agency shall not initiate any such Services until the State issues a
written Notice to Proceed.
iv.Right of Way (ROW)and Acquisition/Relocation
a.If Local Agency purchases a ROW for a State highway,including areas of influence,Local Agency
shall convey the ROW to COOT promptly upon the completion of the project/construction.
b.Any acquisition/relocation activities shall comply with all applicable federal and State statutes and
regulations,including but not limited to,the Uniform Relocation Assistance and Real Property
Acquisition Policies Act of 1970,as amended,the Uniform Relocation Assistance and Real Property
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B.State’s Commitments
i.The State will perform a final project inspection of the Work as a quality control/assurance activity.
When all Work has been satisfactorily completed,the State will sign the FHWA Form 1212.
ii.Notwithstanding any consents or approvals given by the State for the Plans,the State shall not be liable
or responsible in any manner for the structural design,details or construction of any Work constituting
major structures designed by,or that are the responsibility of,Local Agency,as identified in Exhibit E.
7.PAYMENTS
A.Maximum Amount
Payments to Local Agency are limited to the unpaid,obligated balance of the Agreement Funds set forth in
Exhibit C.The State shall not pay Local Agency any amount under this Agreement that exceeds the
Agreement Maximum set forth in Exhibit C.
B.Payment Procedures
i.Invoices and Payment
a.The State shall pay Local Agency in the amounts and in accordance with conditions set forth in
Exhibit C.
b.Local Agency shall initiate payment requests by invoice to the State,in a form and manner approved
by the State.
c.The State shall pay each invoice within 45 days following the State’s receipt of that invoice,so long
as the amount invoiced correctly represents Work completed by Local Agency and previously
accepted by the State during the term that the invoice covers.I f the State determines that the amount
of any invoice is not correct,then Local Agency shall make all changes necessary to correct that
invoice.
d.The acceptance of an invoice shall not constitute acceptance of any Work performed or deliverables
provided tinder the Agreement.
e.If a project is funded in part with Federal or State special funding there may be an expiration date
for the funds.The expiration date applies to grants and local funds used to match grants.To receive
payment or credit for the match,Work must be completed or substantially completed,as outlined in
the terms of the grant,prior to the expiration date of the special funding and invoiced in compliance
with the rules outlined in the award of the funding.The acceptance of an invoice shall not constitute
acceptance of any Work performed or deliverables provided under the Agreement.
ii.Interest
Amounts not paid by the State within 45 days after the State’s acceptance of the invoice shall bear interest
on the unpaid balance beginning on the 46th day at the rate of l°o per month,as required by §24-30-
202(24)(a),CR5.,until paid in full;provided,however,that interest shall not accrue on unpaid amounts
that the State disputes in writing.Local Agency shall invoice the State separately for accrued interest on
delinquent amounts,and the invoice shall reference the delinquent payment,the number of days interest
to be paid and the interest rate.
iii.Payment Disputes
I f Local Agency disputes any calculation,determination,or amount of any payment,Local Agency shall
notify the State in writing of its dispute within 30 days following the earlier to occur of Local Agency’s
receipt of the payment or notification of the determination or calculation of the payment by the State.
The State will review the information presented by Local Agency and may make changes to its
determination based on this review.The calculation,determination,or payment amount that results from
the State’s review shall not be subject to additional dispute under this subsection.No payment subject to
a dispute under this subsection shall be due until after the State has concluded its review,and the State
shall not pay any interest on any amount during the period it is subject to dispute under this subsection.
iv.Available Funds-Contingency-Termination
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with the provisions of this Agreement.The applicable principles described in 2 C.F.R.Part 200 shall govern
the State’s obligation to reimburse all costs incurred by Local Agency and submitted to the State for
reimbursement hereunder,and Local Agency shall comply with all such principles.The State shall reimburse
Local Agency for the federal-aid share of properly documented costs related to the Work after review and
approval thereof,subject to the provisions of this Agreement and Exhibit C.Local Agency costs for Work
performed prior to the Effective Date shall not be reimbursed absent specific allowance of pre-award costs
and indication that the Federal Award funding is retroactive.Local Agency costs for Work performed after
any Performance Period End Date for a respective phase of the Work,is not reimbursable.Allowable costs
shall be:
i.Reasonable and necessary to accomplish the Work and for the Goods and Services provided.
ii.Actual net cost to Local Agency (i.e.the price paid minus any items of value received by Local Agency
that reduce the cost actually incurred).
E.Unilateral Modification of Agreement Funds Budget by State Option Letter
The State may,at its discretion,issue an “Option Letter”to Local Agency to add or modify Work phases in
the Work schedule in Exhibit C if such modifications do not increase total budgeted Agreement Funds.Such
Option Letter shall amend and update Exhibit C,Sections 2 or 4 of the Table,and sub-sections B and C of
the Exhibit C.Option Letters shall not be deemed valid until signed by the State Controller or an authorized
delegate.Modification of Exhibit C by unilateral Option Letter is permitted only in the specific scenarios
listed below.The State will exercise such options by providing Local Agency a fully executed Option Letter,
in a form substantially equivalent to Exhibit B.Such Option Letters will be incorporated into this
Agreement.This applies to the entire Scope of Work.
i.Option to Begin a Phase and or Increase or Decrease the Encumbrance Amount
The State may require by Option Letter that Local Agency begin a new Work phase that may include
Design,Construction,Environmental,Utilities,ROW Incidentals or Miscellaneous Work (but may not
include Right of Way Acquisition Relocation or Railroads)as detailed in Exhibit A.Such Option
Letters may not modi&the other terms and conditions stated in this Agreement,and must decrease the
amount budgeted and encumbered for one or more other Work phases so that the total amount of
budgeted Agreement Funds remains the same.The State may also issue a unilateral Option Letter to
simultaneously increase and decrease the total encumbrance amount of two or more existing Work
phases,as long as the total amount of budgeted Agreement Funds remains the same,replacing the
original Agreement Funding exhibit (Exhibit C)with an updated Exhibit C-I (with subsequent exhibits
labeled C-2,C-3,etc.).
ii.Option to Transfer Funds from One Phase to Another Phase.
The State may require or permit Local Agency to transfer Agreement Funds from one Work phase
(Design,Construction,Environmental,Utilities,ROW Incidentals or Miscellaneous)to another phase
as a result of changes to State,federal,and local match funding.In such case,the original fUnding exhibit
(Exhibit C)will be replaced with an updated Exhibit C-I (with subsequent exhibits labeled C-2,C-3,
etc.)attached to the Option Letter.The Agreement Funds transferred from one Work phase to another
are subject to the same terms and conditions stated in the original Agreement with the total budgeted
Agreement Funds remaining the same.The State may unilaterally exercise this option by providing a
fully executed Option Letter to Local Agçncy within thirty (30)days before the initial targeted start date
of the Work phase,in a form substantially equivalent to Exhibit B.
iii.Option to Exercise Options i and ii.
The State may require Local Agency to add a Work phase as detailed in Exhibit A,and encumber and
transfer Agreement Funds from one Work phase to another.The original fUnding exhibit (Exhibit C)in
the original Agreement will be replaced with an updated Exhibit C-i (with subsequent exhibits labeled
C-2,C-3,etc.)attached to the Option Letter.The addition of a Work phase and encumbrance and transfer
of Agreement Funds are subject to the same terms and conditions stated in the original Agreement with
the total budgeted Agreement Funds remaining the same.The State may unilaterally exercise this option
by providing a fully executed Option Letter to Local Agency within 30 days before the initial targeted
start date of the Work phase,in a form substantially equivalent to Exhibit B.
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Period End Date,but for which an invoice is received more than 60 days after the Performance Period
End Date.
vi.Risk Assessment &Monitoring
Pursuant to 2 C.F.R.200.33 1(b),CDOT will evaluate Local Agency’s risk of noncompliance with
federal statutes,regulations,and terms and conditions of this Agreement.Local Agency shall complete
a Risk Assessment Form (Exhibit L)when that may be requested by CDOT.The risk assessment is a
quantitative and or qualitative determination of the potential for Local Agency’s non-compliance with
the requirements of the Federal Award.The risk assessment will evaluate some or all of the following
factors:
•Experience:Factors associated with the experience and history of the Subrecipient with the same or
similar Federal Awards or grants.
•Monitorin Audit:Factors associated with the results of the Subrecipient’s previous audits or
monitoring visits,including those performed by the Federal Awarding Agency,when the
Subrecipient also receives direct federal funding.Include audit results if Subrecipient receives single
audit,where the specific award being assessed was selected as a major program.
•Operation:Factors associated with the significant aspects of the Subrecipient’s operations,in which
failure could impact the Subrecipient’s ability to perform and account for the contracted goods or
services.
•Financial:Factors associated with the Subrecipient’s financial stability and ability to comply with
financial requirements of the Federal Award.
•Internal Controls:Factors associated with safeguarding assets and resources,deterring and detecting
errors,fraud and theft,ensuring accuracy and completeness of accounting data,producing reliable
and timely financial and management information,and ensuring adherence to its policies and plans.
•Impact:Factors associated with the potential impact of a Subrecipient’s non-compliance to the
overall success of the program objectives.
•Program Management:Factors associated with processes to manage critical personnel,approved
written procedures,and knowledge of rules and regulations regarding federal-aid projects.
Following Local Agency’s completion of the Risk Assessment Tool (Exhibit L),CDOT will determine
the level of monitoring it will apply to Local Agency’s performance of the Work.This risk assessment
may be re-evaluated after CDOT begins performing monitoring activities.
G.Close Out
Local Agency shall close out this Award within 90 days after the Final Phase Performance End Date.If
SLFRF Funds are used the Local Agency shall close out the SLFRF portion of this Award within 45 days
after the ARPA Award Expiration Date.Close out requires Local Agency’s submission to the State of all
deliverables defined in this Agreement,and Local Agency’s final reimbursement request or invoice.The
State will withhold S°o of allowable costs until all final documentation has been submitted and accepted by
the State as substantially complete.If FF1 WA or US Treasury has not closed this Federal Award within one
(I)year and 90 days after the Final Phase Performance End Date due to Local Agency’s failure to submit
required documentation,then Local Agency may be prohibited from applying for new Federal Awards
through the State until such documentation is submitted and accepted.
8.REPORTING -NOTIFICATION
A.Quarterly Reports
In addition to any reports required pursuant to §19 or pursuant to any exhibit,for any contract having a term
longer than 3 months,Local Agency shall submit,on a quarterly basis,a written report specifying progress
made for each specified perFormance measure and standard in this Agreement.Such progress report shall be
in accordance with the procedures developed and prescribed by the State.Progress reports shall be submitted
to the State not later than five (5)Business Days following the end of each calendar quarter or at such time
as otherwise specified by the State.If SLFRF Funds are used the report must be in the format of Exhibit P.
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EXHIBIT A
OLA#:331002691
Routing #22.HA4.XC.00O~
by Local Agency or a third pa~y.Additionally,if Local Agency is required to perform a single audit under
2 CFR 200.501,et seq ,then Local Agency shall submit a copy of the results of that audit to the State within
the same timelines as the submission to the federal government.
10.CONFTDENT~INFORMATIONSTATE RECORDS
A.ConfidentialitY
Local Agency shall hold and maintain,and cause all Subcontractors to hold and maintain,any and all State
Records that the State provides or makes available tO Local Agency for the sole and eKclusive benefit of the
State,unless those State Records are othe~ise publicly available at the time of disclosure or are subject to
disclosure by Local Agency under CORA.Local Agency shall not,without prior written approval of the
State,use for Local Agency’s own benefit,publish,copy,or otherwise disclose tO any third pa~y,or permit
the use by any third pa~y for its benefit or to the detriment of the State,any State Records,except as otherwise
stated in this Agreement.Local Agency shall provide for the security of all State Confidential Information
in accordance with all policies promulgated by the Colorado Office of information Security and all applicable
laws,rules,policies~publication5~and guidelines.Local Agency shall immediately forward any request or
demand for State Records to the State’s principal representative.If Local Agency or any of its Subcontractors
will or may receive the following types of data,Local Agency or its Subcontractors shall provide for the
security of such data according to the following:(I)the most recently promulgated IRS Publication 1075 for
all Tax Information and in accordance with the 5afeguarding Requirements for Federal Tax Information
attached to this Award as an Exhibit,if applicable~(ii)the most recently updated PCI Data Security Standard
from the PCI Security Standards Council for all PCI,(iii)the most recently issued version of the U.S.
Depaflment of Justice,Federal Bureau of Investigation,Criminal Justice Information Services Security
Policy for all CJI,and (iv)the federal Health Insurance po~ability and ~~~~untability Act for all PHI and
the H1PAA Business Associate Agreement attached to this Award,if applicable.Local Agency shall
j~rnediately forward any request or demand for State Records to the State’s principal representative.
B.Other Entity Access and Nondisclosure Agreements
Local Agency may provide State Records to its agents,employees~assigns and Subcontractors as necessary
to perform the Work,but shall restrict access to State Confidential Information to those agents,employees,
assigns and Subcontractors who require access to perform their obligations under this Agreement.Local
Agency shall ensure all such agents,employees~assigns,and Subcontractors sign nondisclosure agreements
with provisions at least as protective as those in this Agreement~and that the nondisclosure agreements are
in force at all times the agent,employee,assign or Subcontractor has access to any State Confidential
Information.Local Agency shall provide copies of those signed nondisclosure agreements to the State upon
request.
C.Use,Security,and Retention
Local Agency shall use,hold and maintain State Confidential Information in compliance with any and all
applicable laws and regulations in facilities located within the United States,and shall maintain a secure
environment that ensures ~0nfidentiality of all State Confidential Information wherever located.Local
Agency shall provide the State with access,subject to Local Agency’s reasonable security requirements~for
pu~oses of inspecting and monitoring access and use of State Confidential Information and evaluating
security control effectiveness.Upon the expiration or termination of this Agreement~Local Agency shall
return State Records provided to Local Agency or destroy such State Records and cenify to the State that it
has done so,as directed by the State.If Local Agency is prevented by law or regulation from ~etuming or
destroying State Confidential Information,Local Agency ~varmnts it will guarantee the confidentialitY of,
and cease to use,such State Confidential Informatiolt
ID.Incident Notice and Remediation
If Local Agency becomes aware of any Incident,it shall notify the State ~~mediately and cooperate with the
State regarding recovery,remediation,and the necessity to involve law enforcement,as determined by the
State.Unless Local Agency can establish that none of Local Agency or any of its agents,employee5~assigns
or Subcontractors are the cause or source of the Incident,Local Agency shall be responsible for the cost of
notifying each person who may have been impacted by the Incident.After an Incident,Local Agency shall
take steps to reduce the risk of ~ncu~ing a similar type of Incident in the future as directed by the State,which
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EXHIBIT A
OLA#:331002691
Routing #:22.H~4.X~000I7
Workers’compensation insurance as required by state statute,and employers’‘iability Insurance
covering all Local Agency or Subcontractor employees acting within the course and scope of their
employment
ii.General ~iability
Commercial general ~~ability Insurance written on an insurance Services Office occu~ence form,
~~vering premises operati0ns~fire damage,independent contractors,products and completed operationS~
blanket contractual liability,personal injury,and ~~ve~ising liability with minimum limits as follows’
a.$1,000,000 each occurrence;
b.51,000,00°general aggregate;
c.$1,000,000 products and completed operations aggregate;and
d.$50,000 any I fire.
iii.Automobile ~iability
Automobile ‘iability insurance ~~vering any auto (including owned,hired and non~owned autos)with a
minimum limit of $1,000,000 each accident combined single limit.
iv.protected Information
~iability insurance covering all loss of State Confldent~lnfo~ation,such as P11,PHI,PCI,Tax
information,and Cii,and claims based on alleged violations of privacy rights through improper use or
disclosure of protected information with minimum limits as follows:
a.$1,000,000 each occurrence;and
b.$2,000,000 general aggregate.
v.Professional ~iability Insurance
professional ‘iability insurance ~~vering any damages caused by an error,omission or any negligent act
with minimum limits as follows:
a.$1,000,000 each occurrence;and
b.$1,000,000 general aggregate.
vi.Crime Insurance
Crime insurance ~~cluding employee ~~5hone5ty ~0verage with minimum limits as follows:
a.$1,000,000 each occurrence;and
b.51,000,00°general aggregate.
vii.Cyber/Netwo~Security and Privacy ~iability
~iability insurace covering all civil,regulatory and 5~atutory damages,contractual damages,data breach
management expo5ure~and any loss of State ConfIdent~Information,such as P11,PHI,PCI,Tax
Information,and CM,and claims based on alleged violations of breach,violation or infringment of right
to privacy rights through improper use or disclosure of protect consumer data protection law,00~fi~entiality or other legal protection for personal infonflation,as well as State Confidential
Information with minimum limits as follows:
a.$1,000,000 each occurrence;and
b.$2,000,000 general aggregate.
C.Additional Insured
The State shall be named as additional insured on all commercial general ‘iability policies (leases and
construction contracts require additional insured coverage for completed operations)required of Local
Agency and Subcontractots In the event of cancellation of any commercial general ‘iability policY~the ca~ier
shall provide at least 10 days prior written notice to CDOT.
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EXHIBIT A
OLA#:331002691
Routing #22_HA4_XcM0017
In the event of Local Agency’s uncured breach,the State may terminate this entire Agreement or any
part of this Agreement.Local Agency shall continue performance of this Agreement to the extent not
terminated,if any.
a.Obligations and Rights
To the extent specified in any termination notice,Local Agency shall not incur further obligations
or render further performance past the effective date of such notice,and shall terminate outstanding
orders and subcontracts with third parties.However,Local Agency shall complete and deliver to the
State all Work not cancelled by the termination notice,and may incur obligations as necessa~to do
so within this Agreement’s terms.At the request of the State,Local Agency shall assign to the State
all of Local Agency’s rights,title,and interest in and to such terminated orders or subcontracts.Upon
termination,Local Agency shall take timely,reasonable and necessary action to protect and preserve
property in the possession of Local Agency but in which the State has an interest.At the State’s
request,Local Agency shall return materials owned by the State in Local Agency’s possession at
the time of any termination.Local Agency shall deliver all completed Work Product and all Work
Product that was in the process of completion to the State at the State’s request.
b.Payments
~0~withstanding anything to the contra~,the State shall only pay Local Agency for accepted Work
received as of the date of termination.If,after termination by the State,the State agrees that Local
Agency was not in breach or that Local Agency’s action or inaction was excusable,such termination
shall be treated as a termination in the public interest,and the rights and obligations of the Parties
shall be as if this Agreement had been terminated in the public interest under §2.C.
c.Damages and ~~thholding
~0~withstan~~ng any other remedial action by the State,Local Agency shall remain liable to the
State for any damages sustained by the State in connection with any breach by Local Agency,and
the State may withhold payment to Local Agency for the purpose of mitigating the State’s damages
until such time as the exact amount of damages due to the State from Local Agency ~5 determined.
The State may withhold any amount that may be due Local Agency as the State deems necessary to
protect the State against toss including,without limitation,loss as a result of 0~tstanding liens and
excess costs incurred by the State in procuring from third parties replacement Work as cover.
ii.Remedies Not Involving Termination
The State,in its discretion,may exercise one or more of the following additional remedies:
a.Suspend Performance
suspend Local Agency’s performance with respect to all or any portion of the Work pending
corrective action as specified by the State without entitling Local Agency to an adjustment in price
or cost or an adjustment in the performance schedule.Local Agency shall promptly cease
performing Work and incurring costs in accordance with the State’s directive,and the State shall
not be liable for costs incurred by Local Agency after the suspension of performance.
b.Withhold Payment
Withhold payment to Local Agency until Local Agency corrects its Work.
c.Deny Payment
Deny payment for Work not performed~or that due to Local Agency’s actions or inactions,cannot
be performed or if they were performed are reasonably of no value to the state;provided~that any
denial of payment shall be equal to the value of the obligations not performed.
d.Removal
Demand immediate removal from the Work of any of Local Agency’s employees,agents,or
Subcontractors from the Work whom the State deems incompetent,careless,insubordinate,
unsuitable,or otherwise unacceptable or whose continued relation to this Agreement is deemed by
the State to be contratY to the public interest or the State’s best interest.
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EXHIBIT A
OLA#:331002691
Routing #:22-I-1A4-XC-000i7
Tim Sellers,Civil Engineer II
281 North College Avenue,P0 Box 580
Fort Collins,CO 80522-0580
720-280-6926
tsellers~fcgov.com
17.RIGHTS IN WORK PRODUCT AND OTHER INFORMATION
A.Work Product
Local Agency hereby grants to the State a perpetual,irrevocable,non-exclusive,royalty free license,with
the right to sublicense,to make,use,reproduce,distribute,perform,display,create derivatives of and
otherwise exploit all intellectual property created by Local Agency or any Subcontractors.Local Agency
assigns to the State and its successors and assigns,the entire right,title,and interest in and to all causes of
action,either in law or in equity,for past,present,or future infringement of intellectual property rights related
to the Work Product and all works based on,derived from,or incorporating the Work Product.Whether or
not Local Agency is under contract with the State at the time,Local Agency shall execute applications,
assignments,and other documents,and shall render all other reasonable assistance requested by the State,to
enable the State to secure patents,copyrights,licenses and other intellectual property rights related to the
Work Product.The Parties intend the Work Product to be works made for hire.
i.Copyrights
To the extent that the Work Product (or any portion of the Work Product)would not be considered works
made for hire under applicable law,Local Agency hereby assigns to the State,the entire right,title,and
interest in and to copyrights in all Work Product and all works based upon,derived from,or incorporating
the Work Product;all copyright applications,registrations,extensions,or renewals relating to all Work
Product and all works based upon,derived from,or incorporating the Work Product;and all moral rights
or similar rights with respect to the Work Product throughout the world.To the extent that Local Agency
cannot make any of the assignments required by this section,Local Agency hereby grants to the State a
perpetual,irrevocable,royalty-free license to use,modify,copy,publish,display,perform,transfer,
distribute,sell,and create derivative works of the Work Product and all works based upon,derived from,
or incorporating the Work Product by all means and methods and in any format now known or invented
in the future.The State may assign and license its rights under this license.
ii.Patents
In addition,Local Agency grants to the State (and to recipients of Work Product distributed by or on
behalf of the State)a perpetual,worldwide,no-charge,royalty-free,irrevocable patent license to make,
have made,use,distribute,sell,offer for sale,import,transfer,and otherwise utilize,operate,modify
and propagate the contents of the Work Product.Such license applies only to those patent claims
licensable by Local Agency that are necessarily infringed by the Work Product alone,or by the
combination of the Work Product with anything else used by the State.
iii.Assignments and Assistance
Whether or not the Local Agency is under Agreement with the State at the time,Local Agency shall
execute applications,assignments,and other documents,and shall render all other reasonable assistance
requested by the State,to enable the State to secure patents,copyrights,licenses and other intellectual
property rights related to the Work Product.The Parties intend the Work Product to be works made for
hire.Local Agency assigns to the State and its successors and assigns,the entire right,title,and interest
in and to all causes of action,either in law or in equity,for past,present,or future infringement of
intellectual property rights related to the Work Product and all works based on,derived from,or
incorporating the Work Product.
B.Exclusive Property of the State
Except to the extent specifically provided elsewhere in this Agreement,any pre-existing State Records,State
software,research,reports,studies,photographs,negatives,or other documents,drawings,models,materials,
data,and information shall be the exclusive property of the State (collectively,“State Materials”).Local
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EXHIBIT A
OLA#:331002691
Routing #:22-HA4-XC-00017
The captions and headings in this Agreement are for convenience of reference only,and shall not be used to
interpret,define,or limit its provisions.All references in this Agreement to sections (whether spelled out or
using the §symbol),subsections,exhibits or other attachments,are references to sections,subsections,
exhibits or other attachments contained herein or incorporated as a part hereof,unless otherwise noted.
F.Counterparts
This Agreement may be executed in multiple,identical,original counterparts,each of which shall be deemed
to be an original,but all of which,taken together,shall constitute one and the same agreement.
G.Digital Signatures
If any signatory signs this agreement using a digital signature in accordance with the Colorado State
Controller Contract,Grant and Purchase Order Policies regarding the use of digital signatures issued under
the State Fiscal Rules,then any agreement or consent to use digital signatures within the electronic system
through which that signatory signed shall be incorporated into this Contract by reference.
H.Entire Understanding
This Agreement represents the complete integration of all understandings between the Parties related to the
Work,and all prior representations and understandings related to the Work,oral or written,are merged into
this Agreement.Prior or contemporaneous additions,deletions,or other changes to this Agreement shall not
have any force or effect whatsoever,unless embodied herein.
Jurisdiction and Venue
All suits or actions related to this Agreement shall be filed and proceedings held in the State of Colorado and
exclusive venue shall be in the City and County of Denver.
J.Modification
Except as otherwise provided in this Agreement,any modification to this Agreement shall only be effective
if agreed to in a formal amendment to this Agreement,properly executed and approved in accordance with
applicable Colorado State law and State Fiscal Rules.Modifications permitted under this Agreement,other
than contract amendments,shall conform to the policies promulgated by the Colorado State Controller.
K.Statutes,Regulations,Fiscal Rules,and Other Authority.
Any reference in this Agreement to a statute,regulation,State Fiscal Rule,fiscal policy or other authority
shall be interpreted to refer to such authority then current,as may have been changed or amended since the
Effective Date of this Agreement.
L Order of Precedence
In the event of a conflict or inconsistency between this Agreement and any exhibits or attachment such
conflict or inconsistency shall be resolved by reference to the documents in the following order of priority:
Exhibit N,Federal Treasury Provisions
ii.Exhibit F,Certification for Federal-Aid Contracts
iii.Exhibit G,Disadvantaged Business Enterprise
iv.Exhibit 1,Federal-Aid Contract Provisions for Construction Contracts
v.Exhibit J,Additional Federal Requirements
vi.Exhibit K,Federal Funding Accountability and Transparency Act of 2006 (FFATA)Supplemental
Federal Provisions
vii.Exhibit L,Sample Sub-Recipient Monitoring and Risk Assessment Form
viii.Exhibit M,Supplemental Provisions for Federal Awards Subject to The Office of Management and
Budget Uniform Administrative Requirements,Cost principles,and Audit Requirements for Federal
Awards (the “Uniform Guidance”)
ix.Exhibit 0,Agreement with Subrecipient of Federal Recovery Funds.
x.Exhibit R.Applicable Federal Awards
xi Colorado Special Provisions in the main body of this Agreement.
xii.The provisions of the other sections of the main body of this Agreement.
xiii.Exhibit A,Statement of Work.
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EXHIBIT A
OLA#:331002691
Routing #:22-11A4-XC-000 17
Local Agency shall comply with and adhere to Section 508 of the U.S.Rehabilitation Act of 1973,as
amended,and §~24-85-101,et seq.,C.R.S.Local Agency shall comply with all State of Colorado technology
standards related to technology accessibility and with Level AA of the most current version of the Web
Content Accessibility Guidelines (WCAG),incorporated in the State of Colorado technology standards and
available at httpr www.w3.org/TRJWCAG2I
V.Taxes
The State is exempt from federal excise taxes under I.R.C.Chapter 32(26 U.S.C.,SubtitleD,Ch.32)(Federal
Excise Tax Exemption Certificate of Registry No.84-730123K)and from State and local government sales
and use taxes under §~39-26-704(l),et seq.,C.R.S.(Colorado Sales Tax Exemption Identification Number
98-02565).The State shall not be liable for the payment of any excise,sales,or use taxes,regardless of
whether any political subdivision of the state imposes such taxes on Local Agency.Local Agency shall be
solely responsible for any exemptions from the collection of excise,sales or use taxes that Local Agency may
wish to have in place in connection with this Agreement.
21.COLORADO SPECIAL PROVISIONS (COLORADO FISCAL RULE 3-3)
These Special Provisions apply to all contracts except where noted in italics.
A.STATUTORY APPROVAL.§24-30-202(1),C.R.S.
This Contract shall not be valid until it has been approved by the Colorado State Controller or designee.If
this Contract is for a Major Information Technology Project,as defined in §24-37.5-102(2.6),then this
Contract shall not be valid until it has been approved by the State’s Chief Information Officer or designee.
B.FUND AVAILABILITY.§24-30-202(5.5),C.R.S.
Financial obligations of the State payable after the current State Fiscal Year are contingent upon funds for
that purpose being appropriated,budgeted,and otherwise made available.
C.GOVERNMENTAL IMMUNITY.
Liability for claims for injuries to persons or property arising from the negligence of the State,its
departments,boards,commissions committees,bureaus,offices,employees and officials shall be controlled
and limited by the provisions of the Colorado Governmental Immunity Act,§24-10.101,et seq.,C.R.S.;the
Federal Tort Claims Act,28 U.S.C.Pt.VI,Ch.171 and 28 U.S.C.1346(b),and the State’s risk management
statutes,§~24-30-l50 I,et seq.C.R.S.No term or condition of this Contract shall be construed or interpreted
as a waiver,express or implied,of any of the immunities,rights,benefits,protections,or other provisions,
contained in these statutes.
D.INDEPENDENT CONTRACTOR
Contractor shall perform its duties hereunder as an independent contractor and not as an employee.Neither
Contractor nor any agent or employee of Contractor shall be deemed to be an agent or employee of the State.
Contractor shall not have authorization,express or implied,to bind the State to any agreement,liability or
understanding,except as expressly set forth herein.Contractor and its employees and agents are not
entitled to unemployment insurance or workers compensation benefits through the State and the State
shall not pay for or otherwise provide such coverage for Contractor or any of its agents or employees.
Contractor shall pay when due all applicable employment taxes and income taxes and local head taxes
incurred pursuant to this Contract.Contractor shall (i)provide and keep in force workerst
compensation and unemployment compensation insurance in the amounts required by law,(ii)provide
proof thereof when requested by the State,and (iii)be solely responsible for its acts and those of its
employees and agents.
E.COMPLIANCE WITH LAW.
Contractor shall comply with all applicable federal and State laws,rules,and regulations in effect or hereafter
established,including,without limitation,laws applicable to discrimination and unfair employment practices.
F.CHOICE OF LAW,JURISDICTION,AND VENUE.
Colorado law,and rules and regulations issued pursuant thereto,shall be applied in the interpretation,
execution,and enforcement of this Contract.Any provision included or incorporated herein by reference
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EXHIBIT A
OLA#:331002691
Routing#:22-[1A4 XC-000I7
23.DISADVANTAGED BUSINESS ENTERPRISE (DEE)
Local Agency will comply with all requirements of Exhibit G and Local Agency Contract Administration
Checklist regarding DBE requirements for the Work,except that if Local Agency desires to use its own DBE
program to implement and administer the DBE provisions of 49 C.F.R.Part 26 under this Agreement,it must
submit a copy of its program’s requirements to the State for review and approval before the execution of this
Agreement.If Local Agency uses any State-approved OBE program for this Agreement,Local Agency shall be
solely responsible to defend that DRE program and its use of that program against all legal and other challenges
or complaints,at its sole cost and expense.Such responsibility includes,without limitation,determinations
concerning DRE eligibility requirements and certification,adequate legal and factual bases for DBE goals and
good faith efforts.State approval (if provided)of Local Agency’s DBE program does not waive or modify the
sole responsibility of Local Agency for use of its program.
24.DISPUTES
Except as otherwise provided in this Agreement,any dispute concerning a question of fact arising under this
Agreement which is not disposed of by agreement shall be decided by the Chief Engineer of the Department of
Transportation.The decision of the Chief Engineer will be final and conclusive unless,within 30 calendar days
after the date of receipt of a copy of such written decision,Local Agency mails or otherwise fumishes to the State
a written appeal addressed to the Executive Director oICDOT.In connection with any appeal proceeding under
this clause,Local Agency shall be afforded an opportunity to be heard and to offer evidence in support of its
appeal.Pending final decision of a dispute hereunder,Local Agency shall proceed diligently with the performance
of this Agreement in accordance with the Chief Engineer’s decision.The decision of the Executive Director or
his duly authorized representative for the determination of such appeals shall be final and conclusive and serve
as final agency action.This dispute clause does not preclude consideration of questions of law in connection with
decisions provided for herein.Nothing in this Agreement,however,shall be construed as making final the
decision of any administrative official,representative,or board on a question of law.
THE REMAINDER OF THIS PAGE 15 INTENTIONALLY LEFT BLANK
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EXHIBIT A
EXHIBIT B
SAMPLE IGA OPTION LETTER
Date State Fiscal Year Option Letter No.
Project Code Original Agreement #
Vendor Name:
Option to unilaterally add phasing to include Design,Construction,Environmental,
Utilities,ROW incidentals or Miscellaneous and to update encumbrance
amount(s).
Option to unilaterally transfer funds from one phase to another phase.
Option to unilaterally add phasing to include Design,Construction,Environmental,
Utilities,ROW incidentals or Miscellaneous,to update encumbrance amount(s),and
to unilaterally transfer hinds from one phase to another phase.
Option to unilaterally extend the performance of this Agreement and/or update a
Work Phase Performance Period.
Option to unilaterally extend the Agreement Phase Term of ARPA Award.
Option to unilaterally extend the End of Term of ARPA Award.
Option A
In accordance with the terms of the original Agreement between the State of
Colorado,Department of Transportation and the Local Agency,the State hereby
exercises the option to authorize the Local Agency to add a phase and to encumber
hinds for the phase based on changes in Thnding availability and authorization.The
total encumbrance is (or increased)by $0.00.A new Exhibit C-I is made part of the
original Agreement and replaces Exhibit C.
Option B
In accordance with the terms of the original Agreement between the State of
Colorado,Department of Transportation and the Local Agency,the State hereby
exercises the option to transfer funds based on variance in actual phase costs and
original phase estimates.A new Exhibit C-i is made part of the original Agreement
and replaces Exhibit C.
Exhibit B -Page 1 of 3
EXHIBIT A
The effective date of this option letter is upon approval of the State Controller or delegate.
STATE OF COLORADO
Jared S.Polls
Department of Transportation
By:______________________________________
Stephen Harelson,P.E.,Chief Engineer
(For)Shoshana M.Lew,Executive Director
Date:
ALL AGREEMENTS MUST BE APPROVED BY THE STATE CONTROLLER
CRS §24-30-202 requires the State Controller to approve all State Agreements.This Agreement is
not valid until signed and dated below by the State Controller or delegate.Contractor is not
authorized to begin performance until such time.If the Local Agency begins performing prior
thereto,the State of Colorado is not obligated to pay the Local Agency for such performance or for
any goods and or services provided hereunder.
STATE OF COLORADO
STATE CONTROLLER
Robert Jaros,CPA,MBA,JD
By:
Colorado Department of Transportation
Date:_______________________
Exhibit B -Page 3 of 3
EXHIBIT A
Note:No funds are currently available.Design and Construction funds will become available after
execution of an Option letter (Exhibit B)or formal Amendment.
TAP
WBS Element 23630.10.30 Performance Period Start*/End Date Design 3020 $0.00
TBD-TBD
WBS Element 23630.20.10 Performance Period Start*/End Date Const.3301 $0.00
TBD-TBD
ARPA
WBS Element 23630.10.30 Performance Period Start**/End Date Design 3020 $0.00
TBD-TBD
WBS Element 23630.20.10 Performance Period Start**/End Date Const.3301 $0.00
TSD-TBD
MTF
WBS Element 23947.10.30 Performance Period Start***/End Date Design 3020 $0.00
N/A-N/A
WBS Element 23947.20.10 Performance Period Startt/End Date Const.3301 $0.00
N/A-N/A
*TAP M455-133 (23630)the Local Agency should not begin work until all three (3)of the following are in
place:1)Phase Performance Period Start Date;2)the execution of the document encumbering funds for
the respective phase;and 3)Local Agency receipt of the official Notice to Proceed.Any work performed
before these three (3)milestones are achieved will not be reimbursable.
**MTF M455-140 (23947)the Local Agency should not begin work until both of the following are in place:
1)the execution of the document encumbering funds for the respective phase;and 2)Local Agency receipt
of the official Notice to Proceed.Any work performed before these two (2)milestones are achieved will not
be reimbursable.
B.Matching Funds
Project TAP M455-133 (23630)
Federal TAP Funds
The matching ratio for the federal funds for this Work is 80.00%federal funds to 20.00%Local Agency
funds,and this ratio applies only to the $937,500.00 that is eligible for federal funding.All other costs are
borne by the Local Agency at 100%.If the total cost of performance of the Work exceeds $937,500.00,
and additional federal funds are available for the Work,the Local Agency shall pay 20.00%of all such
costs eligible for federal funding and 100%of all other costs.If additional federal funds are not available,
the Local Agency shall pay all such excess costs.If the total cost of performance of the Work is less than
$937,500.00,then the amounts of Local Agency and federal funds will be decreased in accordance with
the funding ratio described herein.This applies to the entire scope of Work.
Federal ARPA Funds
The matching ratio for the federal funds for this Work is 80.31%federal funds to 19.69%Local Agency
funds,and this ratio applies only to the $1,790,000.00 that is eligible for federal funding.All other costs are
borne by the Local Agency at 100%.If the total cost of performance of the Work exceeds $1,790,000.00,
and additional federal funds are available for the Work,the Local Agency shall pay 19.69%of all such
costs eligible for federal funding and 100%of all other costs.If additional federal funds are not available,
the Local Agency shall pay all such excess costs.If the total cost of performance of the Work is less than
$1,790,000.00,then the amounts of Local Agency and federal funds will be decreased in accordance
with the funding ratio described herein.This applies to the entire scope of Work.
Project MTF M455-140 (23947)
State MTF Funds
The matching ratio for the State funds for this Work is 50.00%State funds to 50.00%Local Agency funds,
and tl~is ratio applies only to the $500,000.00 that is eligible for State funds.All other costs are borne by the
Local Agency at 100%.If the total cost of performance of the Work exceeds $500,000.00,and additional
State funds are available for the Work,the Local Agency shall pay 50.00%of all such costs eligible for
State funds and 100%of all other costs.If additional State funds are not available,the Local Agency shall
pay all such excess costs.If the total cost of performance of the Work is less than $500,000.00,then the
amounts of Local Agency and State funds will be decreased in accordance with the funding ratio described
herein.This applies to the entire scope of Work.
Exhibit C -Page 2 of 4
EXHIBIT A
iv.Independent CPA
Single Audit shall only be conducted by an independent CPA not by an auditor on staff.An
audit is an allowable direct or indirect cost.
THE REST OF THIS PAGE INTENTIONALLY LEFT BLANK
Exhibit C Page 4 of 4
EXHIBIT A
I ~
Wa—
EXHIBIT E
LOCAL AGENCY AGREEMENT ADMINISTRATION CHECKLIST
RESPONSIBLE
DESCRIPTION OF TASK PARTY
LA CDOT
TIP!STIP AND LONG-RANGE PLANS
Review Project to ensure it is consistent with STIP and amendments thereto
FEDERAL FUNDING OBLIGATION AND AUTHORIZATION
Authorize funding by phases (COOT Form 418-Federal-aid Program Data.Requires FHWA
concurrence/involvement)
PROJECT DEVELOPMENT
Prepare Design Data -CDOT Form 463
Prepare Local Agency/COOT Inter-Governmental Agreement (see also Chapter 3)
Conduct Consultant Selection/Execute Consultant Agreement
•Project Development
•Construction Contract Administration (including Fabrication Inspection Services)
Conduct Design Scoping Review Meeting
Conduct Public Involvement
Conduct Field Inspection Review (FIR)
Conduct Environmental Processes (may require Fl-tWA concurrence/involvement)
Acquire Right-of-Way (may require Fl-TWA concurrence/involvement)
Obtain Utility and Railroad Agreements
Conduct Final Office Review (FORf ____________________________
COLORADO DEPARTMENT OF TRANSPORTATION
LOCAL AGENCY CONTRACT ADMINISTRATION CHECKLIST
Project No.STIP No.Project Code Region
TAP M455-133/MTF M455-140 SR47020 23630/23947 4
Project Location Date
Laporte Aye,Sunset St to FishbaCk Ave 09/09/202 1
Project Description
Laporte Roadway Improvements
Local Agency Local Agency Project Manager
City of Fort Collins Tim Sellers
COOT Resident Engineer COOT Project Manager
BryCe Reeves Jake Oneal
INSTRUCTIONS:
This checklist shall be utilized to establish the contract administration responsibilities of the individual parties to this agreement.
The checklist becomes an attachment to the Local Agency agreement.Section numbers correspond to the applicable chapters
of the CDOT Local Agency ManuaL
The checklist shall be prepared by placing an “X”under the responsible party,opposite each of the tasks.The ~X denotes the
party responsible for initiating and executing the task.Only one responsible party should be selected when neither COOT nor
the Local Agency is responsible for a task,not applicable (NA)shall be noted.In addition a #“will denote that COOT must
concur or approve.
Tasks that will be performed by Headquarters staff will be indicated.The Regions!in accordance with established policies and
procedures,will determine who will perform all other tasks that are the responsibility of CDOT.
The checklist shall be prepared by the COOT Resident Engineer or the COOT Project Manager,in cooperation with the Local
Agency Project Manager,and submitted to the Region Program Engineer.If contract administration responsibilities change,the
COOT Resident Engineer,in cooperation with the Local Agency Project Manager Wi I prepare and distribute a revised checklist
Note:
Failure to comply with applicable Federal and State requirements may result in the loss of Federal or State participation in
fund no.
Previous editions are obsolete and may nol be used.COOT Form 1243 3)16 Page 1 of 4
Exhibit E -Page I or4
EXHIBIT A
UF,naU-
8.10
FE
Er-
8.18
x
x
RESPONSIBLE
DESCRIPTION OF TASK PARTY
LA COOT
Supervise Construction
A Professional Engineer (PE)registered in Colorado,who will be ‘in responsible charge of
construction supervision.”
TIm Sellers --
Local Agency Professional Engineer or Phone number
CDOT Resident Engineer
Provide competent,experienced staff who will ensure the Contract work is constructed in
accordance with the plans and specifications
Construction inspection and documentation
Fabrication Inspection and documentation
Approve Shop Drawings
Perform Traffic Control Inspections
Perform Construction Surveying
Monument Right-of-Way
Prepare and Approve Interim and Final Contractor Pay Estimates.Collect and review CDOT
Form 1418 (or equivalent)
Provide the name and phone number of the person authorized for this task.
Tim Sellers 720-280-6926
Local Agency Representative Phone number
Prepare and Approve Interim and Final Utility and Railroad Billings
Prepare and Authorize Change Orders
Submit Change Order Package to CDOT
Prepare Local Agency Reimbursement Requests
Monitor Project Financial Status
Prepare and Submit Monthly Progress Reports
Resolve Contractor Claims and Disputes
Conduct Routine and Random Project Reviews
Provide the name and phone number of the person responsible for this task.
BryCe Reeves 970-350-2126
CDOT Resident Engineer Phone number
Ongoing Oversight of DBE Participation
MATERIALS
Discuss Materials at Pre-Construction Meeting
•Buy America documentation required prior to installation of steel
Complete CDOT Form 250 -Materials Documentation Record
•Generate form,which includes determining the minimum number of required tests and
applicable material submittals for all materials placed on the project
•Update the form as work progresses
•Complete and distribute form after work is completed
Perform Project Acceptance Samples and Tests
Perform Laboratory Verification Tests
Accept Manufactured Products
Inspection of structural components:
•Fabrication of structural steel and pre-stressed concrete structural components
•Bridge modular expansion devices (0”to 6”or greater)
•Fabrication of bearing devices
Approve Sources of Materials
Independent Assurance Testing (IAT),Local Agency Procedures Q CDOT Procedures El
•Generate IAT schedule
•Schedule and provide notification
•Conduct IAT
x
—p
Fin-
9.5
X
U-
97
x
x
x
n
x
x
X
Previous editions are obsolete and may not be used COOT Form 1243 3/16 Page 3 of 4
ExhibiL E -Page 3 o14
EXHIBIT A
EXHIBIT F
CERTIFICATION FOR FEDERAL-AID CONTRACTS
The Local Agency certifies,by signing this Agreement,to the best of its knowledge and belief,that:
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 Federal agency,a Member of Congress,an officer or
employee of Congress,or an employee of a Member of Congress in connection with the awarding of any Federal loan,
the entering into of any cooperative agreement,and the extension,continuation,renewal,amendment,or modification
of any Federal contract,Agreement,loan,or cooperative agreement.
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 of Congress,or an employee of a Member of Congress in connection with this Federal
contract,Agreement,loan,or cooperative agreement,the undersigned shall complete and submit Standard Form-LLL,
“Disclosure Form to Report Lobbying,”in accordance with its instructions.
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
Section 1352,Title 31,U.S.Code.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.
The prospective participant also agrees by submitting his or her bid or proposal that he or she shall require that the
language of this certification be included in all lower tier subcontracts,which exceed $100,000 and that all such sub
recipients shall certify and disclose accordingly.
Exhibit F -Page 1 of 1
EXHIBIT A
EXHIBIT H
LOCAL AGENCY PROCEDURES FOR CONSULTANT SERVICES
Title 23 Code of Federal Regulations (CFR)172 applies to a federally funded Local Agency project agreement
administered by CDOT that involves professional consultant services.23 CFR 172.1 states “The policies and
procedures involve federally funded contracts for engineering and design related services for projects subject to the
provisions of 23 U.S.C.112(a)and are issued to ensure that a qualified consultant is obtained through an equitable
selection process,that prescribed work is properly accomplished in a timely manner,and at fair and reasonable cost”
and according to 23 CFR 172.5 “Price shall not be used as a factor in the analysis and selection phase.”Therefore,
local agencies must comply with these CFR requirements when obtaining professional consultant services under a
federally funded consultant contract administered by CDOT.
CDOT has formulated its procedures in Procedural Directive (P.D.)400.1 and the related operations guidebook titled
“Obtaining Professional Consultant Services.This directive and guidebook incorporate requirements from both Federal
and State regulations,i.e.,23 CFR 172 and CRS §24-30-1401 et seq.Copies ofthe directive and the guidebook may be
obtained upon request from CDOT’s Agreements and Consultant Management Unit.[Local agencies should have their
own written procedures on file for each method of procurement that addresses the items in 23 CFR 172].
Because the procedures and laws described in the Procedural Directive and the guidebook are quite lengthy,the
subsequent steps serve as a short-hand guide to CDOT procedures that a Local Agency must follow in obtaining
professional consultant services.This guidance follows the format of 23 CFR 172.The steps are:
I.The contracting Local Agency shall document the need for obtaining professional services.
2.Prior to solicitation for consultant services,the contracting Local Agency shall develop a detailed scope of
work and a list ofevaluation factors and their relative importance.The evaluation factors are those identified in
C.R.S.24-30-1403.Also,a detailed cost estimate should be prepared for use during negotiations.
3.The contracting agency must advertise for contracts in conformity with the requirements of C.R.S.24-30-
1405.The public notice period,when such notice is required,is a minimum of 15 days prior to the selection of
the three most qualified firms and the advertising should be done in one or more daily newspapers of general
circulation.
4.The Local Agency shall not advertise any federal aid contract without prior review by the CDOT Regional
Civil Rights Office (RCRO)to determine whether the contract shall be subject to a DBE contract goal.If the
RCRO determines a goal is necessary,then the Local Agency shall include the goal and the applicable provisions
within the advertisement.The Local Agency shall not award a contract to any Contractor or Consultant without
the confirmation by the CDOT Civil Rights and Business Resource Center that the Contractor or Consultant has
demonstrated good faith efforts.The Local Agency shall work with the CDOT RCRO to ensure compliance with
the established terms during the performance of the contract.
5 The Local Agency shall require that all contractors pay subcontractors for satisfactory performance of work
no later than 30 days after the receipt of payment forthat work from the contractor.For construction projects,this
time period shall be reduced to seven days in accordance with Colorado Revised Statute 24-91 -103(2).If the Local
Agency withholds retainage from contractors and/or allows contractors to withhold retainage from
subcontractors,such retainage provisions must comply with 49 CFR26.29.
6.Payments to all Subconsultants shall be made within thirty days of receipt of payment from [the Local
Agency]or no later than ninety days from the date of the submission of a complete invoice from the
Subconsultant,whichever occurs first.If the Consultant has good cause to dispute an amount invoiced by a
Subconsultant,the Consultant shall notify [the Local Agency]no later than the required date for payment.Such
notification shall include the amount disputed and justification for the withholding.The Consultant shall
maintain records of payment that show amounts paid to all Subconsultants.Good cause does not include the
Consultant’s failure to submit an invoice to the Local Agency or to deposit payments made.
7.The analysis and selection ofthe consultants shall be done in accordance with CRS §24-30-1403.This section
of the regulation identifies the criteria to be used in the evaluation ofCDOT pre-qualified prime consultants and
their team.It also shows which criteria are used to short-list and to make a final selection.
The short-list is based on the following evaluation factors:
a.Qualifications,
Exhibit H -Page I of 2
EXHIBIT A
EXHIBIT I
FEDERAL-AID CONTRACT PROVISIONS FOR CONSTRUCTION CONTRACTS
I.General
II.Nondiscrimination
Ill.Nonsegregated Facilities
IV.Davis-Bacon and Related Act Provisions
V.Contract Work Hours and Safely Standards Act
Provisions
VI.Subletting or Assigning the Contract
VII.Safety:AccidentPrevention
VIII.False Statements ConcerningHighwayProjects
IX.Implementation of Clean Air Act and Federal Waler
Pollution Control Act
X.Compliance with Government wideSuspension and
Debarment Requi rements
Xl.Certification Regarding Use ofContract Funds for
Lobbying
ATTACHMENTS
A.Employment and Materials Preference for Appalachian
Development Highway System or Appalachian Local Access Road
Contracts (included in Appalachian contracts only)
I.GENERAL
I.Form FHWA-1273 must be physically incorporated in each
construction contract funded under Title 23 (excluding emergency
contracts solely intended for debris removal).The contractor (or
subcontractnr)must insert this form in each subcontract and further
require its inclusion in all lower tier subcontracts (excluding purchase
orders,rental agreements and other agreements for supplies or
services).
Theapplicable requirements of Form FM WA-1273 are incorporated by
reference for work done under any purchase order,rental agreement or
agreement for other services.The prime contractor shall be responsible
for compliance by any subcontractor,lower-tier subcontractor or
service provider.
Form FHWA-l273 must be included in all Federal-aid design-build
contracts,in all subcontracts and in lower tier subcontracts (excluding
subcontracts for design services,purchase orders,rental agreements
and other agreements for supplies or services).The design-builder
shall be responsible for compliance by any subcontractor,lower-tier
subcontractor or service provider
Contracting agencies may reference Form FHWA-1273 in bid
proposal or request for proposal documents,however,the Form
FHWA-t 273 must be physically incorporated (not referenced)in all
contracts,subcontracts and lower-tier subcontracts (excluding
purchase orders,rental agreements and other agreements for supplies
or services related to a construct oncontract).
2.Subject to the app tc ilit cr teria noted in the folIo”ing sections,
these contract provision shall apply to all work performed on the
contract by the contractor’s own organization and with the assistance
of workers under the contractor’s immediate superintendence and to
all work performed on the contract by piecework,station work,or by
subcontract
3.A breach of any of the stipulations contained in these Required Contract
Provisions may be sufficient grounds for withholding of progress payments,
withholding of final payment,termination of the contract,suspension/debarment
or any other action determined to be appropriate by the contracting agency and
FHWA.
4.Selection of Labor:During the performance of this contract,the contractor
shall not use convict labor for any purpose within the limits of a construction
project on a Federal-aid highway unless it is labor performed by convicts who
are on parole,supervised release,or probation The term Federal-aid highway
does not include roadways functionally classified as local roads or rural minor
collectors.
II.NONDISCRIMINATION
The provisions of this section related to 23 CFR Part 230 art applicable to all
Federal-aid construction contracts and to all related construction subcontracts of
$10,000 or more.The provisions of 23 CFR Part 230 are not applicable to
material supply,engineering.or architectural service contracts.
In addition,the contractor and all subcontractors must comply with the following
policies:Executive Order 11246,41 CFR 60,29 CFR 1625-1627,Title 23 USC
Section 140,theRehabilitation Act of 1973.as amended (29 USC 794),Title VI
ofthe Civil Rights Act of 1964,asamended,and related regulations including 49
CFR Parts 21,26 and 27;and 23 CFR Parts 200.230,and 633.
The contractor and all subcontractors must comply with:the requirements of the
Equal Opportunity Clause in 41 CFR 60-1.4(b)and,for all construction
contracts exceeding $10,000,the Standard Federal Equal Employment
Opportunity Construction Contract Specifications in 41 CFR 60-4.3.
Note:The U.S.Department of Labor has exclusive authority to determine
compliance with Executive Order 11246 and the policies of the Secretary of
Labor including 41 CFR 60,and 29 CFR 1625-1627.The contracting agency
and the FHWA have the authority and the responsibility to ensure compliance
with Title 23 USC Section 140,the Rehabilitation Act of 1973,as amended (29
USC 794),and Title VI of the Civil Rights Act of 1964.as amended,and related
regulations including 49 CFR Parts 21,26 and 27;and 23 CFR Parts 200,230,
and 633.
The following provision is adopted from 23 CFR 230,Appendix A.with
appropriate revisions to conform to the U.S.Department of Labor (US DOL)and
FHWA requirements
I.Equal Employment Opportunity:Equal employment opportunity (EEO)
requirements not to discriminate and to take affirmative action to assure equal
opportunity as set forth under laws,executive orders,rules,regulations (28 CFR
35,29 CFR 1630.29 CFR 1625-1627,41 CFR 60 and 49 CFR 27)and orders of
the Secretary of Labor as modified by the provisions prescribed herein,and
imposed pursuant to 23 U.S.C.140 shall constitute the EEO and specific
affirmative action standards for the contractor’s project activities under this
contract.The provisions of the Americans with Disabilities Act of 1990 (42
U.S.C.l2tOt et seq.)set forth under 28 CFR 35 and 29 CFR 1630 are
incorporated by reference in this contract In the execution of this contract,the
contractor agrees to comply with the following minimum specific requirement
activities of EEO:
Exhibit I -Page 1 of 11
EXHIBIT A
7.Unions:lithe contractor relies in whole orin part upon unions asa
urce of employees,the contractor will use good faith efforts to obtain
the cooperation of such unions to increase opportunities for minorities
and women.Actions by the contractor,either directly or through a
contractors association acting as agent,will include the procedures set
forth below:
a.The contractor will use good faith efforts to develop,in
cooperation with the unions,joint training programs aimed toward
qualifying more minorities and women for membership in the unions
and increasing the skills of minorities and women so that they may
quali~for higherpaying employment.
b.The contractor will use good faith efforts to incorporate anEEO
clause into each union agreement to the end that such union will be
contractually bound to refer applicants without regard to their race,
color,religion,sex,national origin,age ordisability.
c.The contractor is to obtain information as to the referral practices
and policies of the labor union except that to the extent such
information is within the exclusive possession of the labor union and
such labor union refuses to furnish such information to the contractor,
the contractor shall so certify to the contracting agency and shall set
forth what efforts have been made to obtain such information.
d.In the event the union is unable to provide the contractor with
a reasonable flow of referrals within the time limit set forth in the
collective bargaining agreement,the contractor will,through
independent recruitment efforts,fill the employment vacancies
without regard to race,color,religion,sex,national origin,age or
disability;making full efforts to obtain qualified and/or qualitiable
minorities and women.The failure of a union to provide sufficient
referrals (even though it is obligated to provide exclusive referrals
under the terms of a collective bargaining agreement)does not relieve
the contractor from the requirements of this paragraph.In the event the
union referral practice prevents the contractor from meeting the
obligations pursuant to Executive Order 11246,as amended,and these
special provisions,such contractor shall immediately notify the
contractingagency.
8.Reasonable Accommodation for Applicants /Employees with
Disabilities:The contractor mustbe familiar with the requirements for
and comply with the Americans with Disabilities Actand all rules and
regulations established there under.Employers must provide
reasonable accommodation in all employment activities unless to do
so would cause an undue hardship.
9.Selection of Subcontractors,Procurement of Materials and
Leasing of Equipment:The contractor shall not discriminate on the
grounds of race,color,religion,sex,national origin,age or disability
in the selection and retention of subcontractors,including procurement
of materials and leases of equipment.The contractor shall take all
necessary and reasonable steps to ensure nondiscrimination in the
administration ofthis contract.
a.The contractor shall notify all potential subcontractors and
suppliers and lessors of their EEO obligations under this contract.
b.The contractor will use good faith efforts to ensure
subcontractorcompliance with theirEEO obligations.
10.AssuranceRequired hy49CFR26.13(b):
a.The requirements of49 CFR Part 26 and the State DOT’s
U.S.DOT-approved DBE program are incorporated by reference.
b.The contractor or subcontractor shall not discriminate on the basis
of race,color,national origin,or sex in the performance of this contract.
The contractor shall carry out applicable requirements of 49 CFR Part
26 in the award and administration of DOT-assisted contracts.Failure
by the contractor to carry out these requirements is a material breach of
this contract,which may result in the termination of this contract or such
other remedy as the contracting agency deems appropriate.
II.Records and Reports:The contractor shall keep such records as
necessary to document compliance with the EEO requirements.Such
records shall be retained for a period of three years following the date of
the final payment to the contractor for all contract work and shall be
available at reasonable times and places for inspection by authorized
representatives of the contracting agency and theFKWA.
a.The records kept by the contractor shall documentthe following:
(I)The number and work hours of minority and non-minority
group members and women employed in each work classification on the
project;
(2)The progress and efforts being made in cooperation with unions,
when applicable,to increase employment opportunities for minorities
and women;and
(3)The progress and efforts being made in locating.hiring,
training,quali~’ing,and upgrading minorities and women;
b.The contractors and subcontractors will submit an annual report to
the contracting agency each July for the duration of the project,
indicating the number of minority,women,and non-minority group
employees currently engaged in each work classification required by the
contract work.This information is to be reported on Form FHWA 1391
The staffing data should represent the project work force on board in all
or any part of the last payroll period preceding the end ofJuly If on-the
jobtraining is being required by special provision,the contractor will be
required to collect and report training data.The employment data should
reflect the work force on board during all or any part of the last payro
period preceding the end ofJuly.
Ill.NONSEC RECATED FACILITIES
This provision is applicable to all Federal-aid construction contracts
and to all related construction subcontracts of
$10,000 or more.
The contractor must ensure that facilities provided for employees are
provided in such a manner that segregation on the basis of race,color,
religion.sex,or national origin cannot result.The contractor may neither
require such segregated use by written or oral policies nor tolerate such
use by employee custom.The contractors obligation extends further to
ensure that its employees are not assigned to perform their services at
any location,under the contractor’s control,where the facilities are
segregated.The term “facilities”includes waiting rooms,work areas,
restaurants and other eating areas,time clocks,restrooms,washrooms,
locker rooms,and other storage or dressing areas,parking lots,drinking
fountains,recreation or entertainment areas,transportation,and housing
provided for employees.The contractor shall provide separate or single-
user restrooms and necessary dressing or sleeping areas to assure privacy
between sexes
IV.DAVIS-BACON AND RELATED ACTPROVISIONS
This section is applicable to all Federal-aid construction projects
exceeding $2,000 and to all related subcontracts and lower-tier
subcontracts (regardless of subcontract size).The requirements apply to
all projects located within the right-of-way of a roadway that is
functionally classified as Federal-aid highway.This excludes roadways
functionally classified as local roads or rural minor collectors,which are
exempt.
Contracting agencies may elect to apply these requirements to other
projects
Exhibit I -Page 3 of 11
EXHIBIT A
2.Withholding
The contracting agency shall upon its own action or upon written
request of an authorized representative of the Department of Labor,
withhold or cause to be withheld from the contractor under this
contract,or any other Federal contract with the same prime contractor,
or any other federally-assisted contract subject to Davis-Bacon
prevailing wage requirements,which is held by the same prime
contractor,so much of the accnied payments or advances as may be
considered necessary to pay laborers and mechanics,including
apprentices,trainees,and helpers,employed by the contractor or any
subcontractor the full amount ofwages required by the contract.In the
event of failure to pay any taborer or mechanic,including any
apprentice,trainee,or helper,employed or working on the site of the
work,all or part of the wages required by the contract,lhe contracting
agency may,after written notice to the contractor,rake such action as
may be necessary to cause the suspension of any further payment,
advance,or guarantee of funds until such violations have ceased
3.Payrolls and basic records
a.Payrolls and basic records relating thereto shall be maintained by
the contractor during the course ofthe work and preserved for a period
of three years thereafter for all laborers and mechanics working at the
site of the work Such records shall contain the name,address,and
social security number of each such worker,his or her correct
classification,hourly rates of wages paid (including rates of
contributions or costs anticipated for bona fide fringe benefits or cash
equivalents thereof of the types described in section l(b)(2)(B)of the
Davis-Bacon Act),daily and weekly number of hours worked,
deductions made and actual wages paid.Whenever the Secretary of
Labor has found under 29 CFR 5.5(axt)(iv)that the wages of any
laborer or mechanic include the amount of any costs reasonably
anticipated in providing benefits under a plan or program described in
section l(b)(2)(B)of the Davis-BaconAct,thecontractorshall maintain
records which show that the commitment to provide such benefits is
enforceable,that the plan or program is financially responsible,and
that the plan or program has been communicated in writing to the
laborers or mechanics affected,and records which show the costs
anticipated or the actual cost incurred in providing such benefits.
Contractors employing apprentices or trainees under approved
programs shall maintain written evidence of the registration of
apprenticeship programs and certification of trainee programs,the
registration of the apprentices and trainees,and the ratios and wage
rates prescribed in the applicableprograms.
b.(I)The contractor shall submit weekly for each week in which any
contract work is performed a copy of all payrolls to the contracting
agency.The payrolls submitted shall set out accurately and completely
all of the information required to be maintained under 29 CFR
5.5(a)(3)(i),except that full social security numbers and home
addresses shall not be included on weekly transmittals.Instead the
payrolls shall only need to include an individually identifying number
for each employee (e.g.,the last four digits of the employee’s social
security number).The required weekly payroll information may be
submitted in any form desired.Optional Form WH—347 is available
for this purpose from the Wage and Hour Division Web site at
http://~vww.dol.gov/esafwhd/forms/wh347instr.htm or its successor
site.The prime contractor is responsible for the submission of copies
of payrolls by all subcontractors.Contractors and subcontractors shall
maintain the full social security number and current address of each
covered worker,and shall provide them upon request to the contracting
agency for transmission to the State DOT,the FHWA or the Wage and
Hour Division of the Department of Labor for purposes of an
investigation or audit of compliance with prevailing wage
requirements.
It is not a violation of this section for a prime contractor to require a
subcontractor to provide addresses and social security numbers to the prime
contractor for its own records,without weekly submission to the contracting
agency.
(2)Each payroll submitted shall be accompanied by a “Statement of
Compliance,”signed by the contractor or subcontractor or his or her
agent who pays or supervises the payment of the persons employed
underthe contractand shall certi1~’the followingS
(i)That the payroll for the payroll period contains the
information required to be provided under §5.5(a)(3)
(ii)of Regulations,29 CFR part 5,the appropriate information
is being maintained under §5.5 (aX3)(i)of Regulations,29 CFR
part Sand that such information is correct and complete;
(ii)That each laborer or mechanic (including each helper,
apprentice,and trainee)employed on the contract during the
payroll period has been paid the fill
weekly wages earned,without rebate,either directly
or indirectly,and that no deductions have been made either
directly or indirectly from the full wages earned,other than
permissible deductions as set forth in Regulations.29 CFR part
3;
(iii)That each laborer or mechanic has been paid not less than the
applicable wage rates and fringe benefits or cash equivalents for
the classification of work performed,as specified in the
applicable wage determination incorporated into the contract.
(3)The weekly submission of a properly executed certification set forth
on the reverse side of Optional Form WH—347 shall satis&the
requirement for submission of the “Statement of Compliance”required
by paragraph 3.b.(2)ofthissection.
(4)The falsification of any of the above certifications may subject the
contractor or subcontractor to civil or criminal prosecution under
section 1001 of title 18 and section 231 of title 31 of the United States
Code.
c.The contractor or subcontractor shall make the records required under
paragraph 3.a.of this section available for inspection,copying,or
transcription by authorized representatives of the contracting agency,the
State DOT,the FHWA,orthe Department of Labor,and shall permit such
representatives to interviewemployees during working hours on the job.If
the contractor or subcontractor fails to submit the required records or to
make them available,the FHWA may,after written notice to the
contractor,the contracting agency or the State DOT,take such action as
may be necessary to cause the suspension of any further payment,
advance,orguarantee of funds.Furthermore,failure to submit the required
records upon request or to make such records available may be grounds
for debarment action pursuant to 29 CFR 5.12.
4.Apprentices and trainees
a.Apprentices(programs oftheUSDOL).
Apprentices will be permitted to work at less than the predetermined rate
for the work they performed when they are employed pursuant to and
individualty registered in a bona fide apprenticeship program registered
with the U.S.Department of Labor,Employment and Training
Administration,Office of Apprenticeship Training,Employer and Labor
Services,or with a State Apprenticeship Agency recognized by the Office,
or if a person is employed in his or her first 90 days of probationary
employment as an apprentice in such an apprenticeship program,who is
not individually registered in the program,but who has been certified by
the Office of Apprenticeship Training.Employer and Labor Services ora
State Apprenticeship Agency (where appropriate)to be eligible for
probationary employment asan apprentice
Exhibitl-Page5ofll
EXHIBIT A
10.Certification of eligibility.
a.By entering into this contract,the contractor certifies that neither it
(nor he or she)nor any person or firm who has an interest in the
contractors firm is a person or firm ineligible to be awarded
Government contracts by virtue of section 3(a)of the Davis-Bacon Act
or 29 C FR 5.12(a)(I).
b.No part of this contract shall be subcontracted to any person or finn
ineligible for award ofa Government contract by virtue of section 3(a)
of the Davis-Bacon Act or29 CFR5.l2(a)(l).
The penalty for making false statements is prescribed in the U.S.
Criminal Code,18 U.S.C 1001.
V.CONTRACT WORK HOURS ANDSAFETY
STANDARDS ACT
The following clauses apply to any Federal-aid construction contract
in an amount in excess of $100,000 and subject to the overtime
provisions of the Contract Work Hours and Safety Standards Act.
These clauses shall be inserted in addition to the clauses required by 29
CFR 5.5(a)or 29 CFR 4.6.As used in this paragraph,the terms
laborers and mechanics include watchmen and guards.
I.Overtime requirements.No contractor or subcontractor
contracting for any part of the contract work which may require or
involve the employment of laborers or mechanics shall require or
permit any such laborer or mechanic in any workweek in which he or
she is employed on such work to work in excess of forty hours in such
workweek unless such laborer or mechanic receives compensation at
a rate not tess than one and one-half times the basic rate of pay forall
hours worked in excess of forty hours in suchworkweek.
2.Violation;liabilityfor unpaid wages;liquidated damages.In the
event of any violation of the clause set forth in paragraph (I.)of this
section.the contractor and any subcontractor responsible therefor
shall be liable for the unpaid wages.In addition,such contractor and
subcontractor shall be liable to the United States (in the case of work
done under contract for the District ofColumbia ora territory,to such
District or to such territory),for liquidated damages.Such liquidated
damages shall be computed with respect to each individual laborer or
mechanic,including watchmen and guards,employed in violation of
the clause set forth in paragraph (I.)ofthis section,inthesum ofSlO
for each calendar day on which such individual was required or
permitted to work in excess of the standard workweek of forty hours
without payment of the overtime wages required by the clause set forth
in paragraph (I.)of this section.
3.Withholding for unpaid wages and liquidated damages.The
FHWA or the contacting agency shall upon its own action or upon
written request of an authorized representative of the Department of
Labor withhold or cause to be withheld,from any moneys payable on
account of work performed by the contractor or subcontractor under
any such contract or any other Federal contract with the same prime
contractor,or any other federally-assisted contract subject to the
Contract Work Hours and Safety Standards Act,which is held by the
same prime contractor,such sums as may be determined to be
necessary to satisfy any liabilities of such contractor or subcontractor
for unpaid wages and liquidated damages as prov ded inthec auseset
forthinparagraph(2.)ofthis section.
4.Subeontracts.The contractor or subcontractor shall insert in any
subcontracts the clauses set forth in paragraph (I.)through (4.)of this
section and also a clause requiring the subcontractors to include these
clauses in any lower tier subcontracts.The prime contractor shall be
responsible for compliance by any subcontractor or lower tier
subcontractor with the clauses set forth in paragraphs (I.)through (4.)
of this section.
VI.SUBLETTING OR ASSIGNINGTHECONTRACT
This provision is applicable to all Federal-aid construction contracts on
the National Highway System.
I.The contractor shall perform with its own organization contract work
amounting to not less than 30 percent (or a greater percentage if
specified elsewhere in the contract)of the total original contract price,
excluding any specialty items designated by the contracting agency.
Specialty items may be performed by subcontract and the amount ofany
such specialty items performed may be deducted from the total original
contract price before computing the amount of work required to be
performed by the contractor’s own organization (23 CFR 635.116).
a.The term “perform work with its own organization”refers to
workers employed or leased by the prime contractor,and equipment
owned or rented by the prime contractor,with or without operators.
Such term does not include employees or equipment of a subcontractor
or lower tier subcontractor,agents of the prime contractor,orany other
assignees.The term may include payments for the costs of hiring leased
employees from an employee leasing firm meeting all relevant Federal
and State regulatory requirements.Leased employees may only be
included in this term if the prime contractor meets all of the following
conditions:
(I)the prime contractor maintains control over the supervision of
the day-to-day activities of the leased employees;
(2)the prime contractor remains responsible for the quality of the
work of the leasedemployees;
(3)the prime contractor retains all power to accept orexclude
individual employees from work on the project;and
(4)the prime contractor remains ultimately responsible for the
payment of predetermined minimum wages,the submission of
payrolls,statements of compliance and all other Federal regulatory
requirements.
b.‘Specialty Items”shall be construed to be limited to work that
requires highly specialized knowledge,abilities,or equipment not
ordinarily available in the type of contracting organizations qualified and
expected to bid or propose on the contract as a whole and in general are
lobe limited to minorcomponents ofthe overall contract.
2.The contract amount upon which the requirements set forth in
paragraph (I)of Section VI is computed includes the cost of material and
manufactured products which are to be purchased or produced by the
contractor under the contractprovisions.
3.The contractor shall furnish (a)a competent superintendent or
supervisor who is employed by the finn,has full authority to direct
performance of the work in accordance with the contract requirements,
and is in charge of all construction operations (regardless of who
performs the work)and (b)such other of its own organizational resources
(supervision,management,and engineering services)as the contracting
officer determines is necessary to assure the performance ofthe contract
Exhibit 1-Page 7ofll
The certification or explanation will be considered in connection
with the department or agency’s detennination whether to enter
into this transaction.However,failure of the prospective first tier
participant to furnish a certification or an explanation shall
disqualify such a person from participation in this transaction.
c.The certification in this clause is a material representation of fact
upon which reliance was placed when the contracting agency
determined to enter into this transaction.If it is later detennined
that the prospective participant knowingly rendered an erroneous
certification,in addition to other remedies available to the Federal
Government,the contracting agency may terminate this
transaction for cause of default.
d.The prospective first tier participant shall provide immediate
written notice to the contracting agency to whom this proposal is
submitted if any time the prospective first tier participant learns
that its certification was erroneous when submitted or has
become erroneous by reason of changed circumstances
e.The terms ‘covered transaction,”“debarred,”‘suspended,”
“ineligible,’‘participant,’“person,”principal,”and ‘voluntarily
excluded,”as used in this clause,are defined in 2 CFR Parts 180
and 1200.“First Tier Covered Transactions”refers to any
covered transaction between a grantee or subgrantee of Federal
funds and a participant (such as the prime or general contract).
“Lower Tier Covered Transactions”refers to any covered
transaction under a First Tier Covered Transaction (such as
subcontracts).“First Tier Participant”refers to the participant
who has entered into a covered transaction with a grantee or
subgrantee of Federal funds (such as the prime or general
contractor).“Lower Tier Participant”refers any participant who
has entered into a covered transaction with a First Tier
Participant or other Lower Tier Participants (such as
subcontractors and suppliers).
The prospective first tier participant agrees by submitting this
proposal that,should the proposed covered transaction be entered
into,it shall not knowingly enter into any lower tier covered
transaction with a person who is debarred,suspended,declared
ineligible,or voluntarily excluded from participation in this
covered transaction,unless authorized by the department or
agency entering intothis transaction.
g.The prospective first tier participant furtheragrees by submitting
this proposal that it will include the clause titled “Certification
Regarding Debarment,Suspension,Ineligibility and Voluntary
Exclusion-Lower Tier Covered Transactions,”provided by the
department or contracting agency,entering into this covered
transaction,without modification,in all lower tier covered
transactions and in all solicitations for lower tier covered
transactions exceedingthe$25,000threshold.
h.A participant in a covered transaction may rely upon a
certification of a prospective participant in a lower tier covered
transaction that is not debarred,suspended,ineligible,or
voluntarily excluded from the covered transaction,unless it
knows that the certification is erroneous.A participant is
responsible for ensuring that its principals are not suspended,
debarred,or otherwise ineligible to participate in covered
transactions To verify the eligibility of its principals,as well as
the eligibility of any lower tier prospective participants,each
participant may.but is not required to,check the Excluded
Parties List System website (httos://www.eols.govfl,which is
compiled by the General Services Administration.
EXHIBIT A
i.Nothing contained in the foregoing shall be construed to require the
establishment ofa system of records in order to render in good faith
the certification required by this clause.The knowledge and
information of the prospective participant is not required to exceed
that which is normally possessed by a prudent person in the ordinary
course ofbusinessdealings.
j.Except for transactions authorized under paragraph (0 of these
instructions,if a participant in a covered transaction knowingly
enters into a lower tier covered transaction with a person who is
suspended,debarred,ineligible,or voluntarily excluded from
participation in this transaction,in addition to other remedies
available to the Federal Government,the department or agency may
terminate this transaction for cause ordefault.
2.Certification Regarding Debarment,Suspension,Ineligibility
and Voluntary Exclusion —First TierParticipants:
a.The prospective first tier participant certifies to the best of its
knowledge and belief,that it and its principals:
(I)Are not presently debarred,suspended,proposed for debarment,
declared ineligible,or voluntarily excluded from participating in
covered transactions by any Federal department or agency;
(2)Have not within a three-year period preceding this proposal
been convicted of or had a civil judgment rendered against them for
commission of fraud or a criminal offense in connection with obtaining,
attempting to obtain,or performing a public (Federal,State or local)
transaction or contract under a public transaction;violation of Federal
or State antitrust statutes or commission of embezzlement,theft,
forgery,bribery,falsification or destruction of records,making false
statements,orreceivingstolenproperty;
(3)Are not presently indicted for or otherwise criminally or civilly
charged by a governmental entity (Federal,State or local)with
commission ofany ofthe offensesenumerated in paragraph(a)(2)of this
certification;and
(4)Have not within a three-year period preceding this
application/proposal had one or more public transactions (Federal,State
orlocal)terminated forcauseordefault.
b.Where the prospective participant is unable to certify to any of the
statements in this certification,such prospective participant shall attach
an explanationtothis proposal.
2.InstructionslorCertiflcation-towerTierParticipants:
(Applicable to all subcontracts,purchase orders and other lower tier
transactions requiring prior FHWA approval or estimated to cost
$25,000 or more -2 CFR Parts 180 and 1200)
a.Bysigningand submitting this proposal,the prospective lowertier
isprovidingthecertificationsetout below.
b.The certification in this clause is a material representation of fact
upon which reliance was placed when this transaction was entered into.
If it is later determined that the prospective lower tier participant
knowingly rendered an erroneous certification,in addition to other
remedies available to the Federal Govemment,the department,or
agency with which this transaction originated may pursue available
remedies,including suspension and/or debarment.
Exhibit I -Page 9 of 11
EXHIBIT A
ATTACHMENT A -EMPLOYMENT AND MATERIALS
PREFERENCE FOR APPALACHIAN DEVELOPMENT
HIGHWAY SYSTEM OR APPALACHIAN LOCAL ACCESS
ROAD CONTRACTS
Thisprovision isapplicabletoall Federal-aid projects funded underthe
AppalachianRegionalDevelopmentActofl 965.
I.During the performance of this contract,the contractor
undertaking to do work which is,orreasonably may be,done as on-site
work,shall give preference to qualified persons who regularly reside
in the labor area as designated by the DOL wherein the contract work
is situated,or the subregion,or (he Appalachian counties of the Slate
wherein thecontract work issituated,except:
a.To the extent that qualified persons regularly residing in the area
are not available.
b.For the reasonable needs of the conlractor to employ supervisory
or specially experienced personnel necessary to assure an efficient
execution of thecontract work.
c.For the obligation ofthe contractor to offeremployment to present
or former employees as the result of a lawful collective bargaining
contract,provided that the number of nonresident persons employed
under Ibis subparagraph (Ic)shall not exceed 20 percent of the total
number of employees employed by the contractor on the contract
work,except as provided in subparagraph(4)below.
2.The contractor shall place ajoborder with the State Employment
Serviceindicating(a)theclassificationsofthe laborers,mechanics and
other employees required to perform the contract work,(b)the number
of employees required in each classification,(c)the dale on which the
participantestimatessuchemployeeswillbe required,and (d)anyother
pertinent information required by the State Employment Service (0
complete thejob order form.Thejob order may be placed with the Slate
Employment Service in writing or by lelephone.Ifduring the course of
the conlract work,the information submitted by the contiaclor in the
original job order is substanlially modified,(he participant shall
promptlynolify theStateEmploymentService.
3.The conraclor shall give full consideralion to all qualified job
applicanls referred to him by the State Employment Service.The
contractor is not required to grant employment to any job applicants
who,in his opinion,are nor qualified to perform the classification of
work required.
4.If,within one week following (he placing ofajob order by the
conlraclor with the State Employment Service,the State Employment
Service isunable to referany qualified job applicants to the contractor,
or less than the number requesred,the State Employment Service will
forward a certificate to the conlractor indicaling the unavailability of
applicants.Such certificale shall be made a part of the conlractor’s
permanent project records.Upon receipt of (his certificate,the
contractor may employ persons who do not normallyreside in the labor
area to fill positions covered by (he certificate,notwithstanding the
provisions of subparagraph(lc)above.
5.The provisions of23 CFRÔ33.207(e)allowthecontractingagency
to provide a contractual preference for the use of mineral resource
materials native to the Appalachian region.
6.The contractor shall include the provisions of Sections I through 4
of this Attachment A in every subconlract for work which is.or
reasonably maybe,done as on-she work.
Exhibit 1-Page 11 of 11
EXHIBIT A
ADA
In any contract utilizing federal funds,land,or other federal aid,the Local Agency shall require the federal-
aid recipient or contractor to provide a statement of written assurance that they will comply with Section 504
and not discriminate on the basis of disability.
Uniform Relocation Assistance and Real Property Acquisition Policies Act
The Uniform Relocation Assistance and Real Property Acquisition Policies Act,as amended (Public Law 91-
646,as amended and Public Law 100-17,101 Stat.246-256).(If the contractor is acquiring real property and
displacing households or businesses in the performance of the Agreement).
Drug-Free Workplace Act
The Drug-Free Workplace Act (Public Law 100-690 Title V,subtitle D,41 USC 701 et seq.).
Age Discrimination Act of 1975
The Age Discrimination Act of 1975,42 U.S.C.Sections 6101 et.seq.and its implementing regulation,45
C.F.R.Part 91;Section 504 of the Rehabilitation Act of 1973,29 U.S.C.794,as amended,and implementing
regulation 45 C.F.R.Part 84.
23 C.F.R.Part 172
23 C.F.R.Part 172,concerning ‘Administration of Engineering and Design Related Contracts”.
23 C.F.R Part 633
23 C.F.R Part 633,concerning “Required Contract Provisions for Federal-Aid Construction Contracts”.
23 C.F.R.Part 635
23 C.F.R.Part 635,concerning “Construction and Maintenance Provisions”.
Title VI of the Civil Rights Act of 1964 and 162(a)of the Federal Aid Highway Act of 1973
Title VI ofthe Civil Rights Act of 1964 and 162(a)ofthe Federal Aid Highway Act of 1973.The requirements
for which are shown in the Nondiscrimination Provisions,which are attached hereto and made a part hereof.
Nondiscrimination Provisions:
In compliance with Title VI of the Civil Rights Act of 1964 and with Section 162(a)of the Federal Aid
Highway Act of 1973,the Contractor,for itself,its assignees and successors in interest,agree as follows:
i.Compliance with Regulations
The Contractor will comply with the Regulations of the Department of Transportation relative to
nondiscrimination in Federally assisted programs of the Department of Transportation (Title 49,Code
of Federal Regu ations,Part 21,hereinafter referred to as the “Regulations”),which are herein
incorporated by reference and made a part of this Agreement.
ii.Nondiscrimination
The Contractor,with regard to the work performed by it after award and prior to completion of the
contract work,will not discriminate on the ground of race,color,sex,mental or physical handicap or
national origin in the selection and retention ofSubcontractors,including procurement ofmaterials and
leases of equipment.The Contractor will not participate either directly or indirectly in the
discrimination prohibited by Section 21.5 of the Regulations,including employment practices when
the contract covers a program set forth in Appendix C of the Regulations.
iii.Solicitations for Subcontracts,Including Procurement of Materials and Equipment
In all solicitations either by competitive bidding or negotiation made by the Contractor for work to be
performed under a subcontract,including procurement of materials or equipment,each potential
Subcontractor or supplier shall be notified by the Contractor of the Contractor’s obligations under this
Agreement and the Regulations relative to nondiscrimination on the ground of race,color,sex,mental
or physical handicap or national origin.
iv.Information and Reports
The Contractor will provide all information and reports required by the Regulations,or orders and
instructions issued pursuant thereto and will permit access to its books,records,accounts,other sources
of information and its facilities as may be determined by the State or the FHWA to be pertinent to
ascertain compliance with such Regulations,orders and instructions.Where any information required
of the Contractor is in the exclusive possession of another who fails or refuses to furnish this
information,the Contractor shall so certify to the State,or the FHWA as appropriate and shall set forth
what efforts have been made to obtain the information.
Exhibiti-Page2of 11
EXHIBIT A
SAMPLE
The United States Department of Transportation (USDOT)Standard Title VI/Non-Discrimination
Assurances for Local A2encies
DOT Order No.1050.2A
The [Local Agency](herein referred to as the “Recipient”),HEREBY AGREES THAT,as a condition to receiving
any Federal financial assistance from the U.S.Department of Transportation (DOT),through the Colorado Department
of Transportation and the Federal Highway Administration (FHWA),Federal Transit Administration (FTA),and
Federal Aviation Administration (FAA),is subject to and will comply with the following:
Statutory/Regulatory Authorities
•Title VI of the Civil Rights Act of 1964(42 U.S.C.§2000d et seq.,78 stat.252),(prohibits discrimination on
the basis of race,color,national origin);
•49 C.F.R.Part 21 (entitled Non-discrimination In Federally-Assisted Programs Of The Department Of
Transportation-Effectuation Of Title VI Of The Civil Rights Act Of 1964);
•28 C.F.R.section 50.3 (U.S.Department of Justice Guidelines for Enforcement of Title VI of the Civil Rights
Act of 1964);
The preceding statutory and regulatory cites hereinafter are referred to as the “Acts”and “Regulations,”respectively.
General Assurances
In accordance with the Acts,the Regulations,and other pertinent directives,circulars,policy,memoranda,and/or
guidance,the Recipient hereby gives assurance that it will promptly take any measures necessary to ensure that:
“No person in the United States shall,on the grounds of race,color,or national origin,be excluded from
participation in,be denied the benefits of or be otherwise subjected to discrimination under any program or
activity,7or which the Recipient receives Federalfinancial ass istance from DOT,including the FHWA,FTA
or FAA.
The Civil Rights Restoration Act of 1987 clarified the original intent of Congress,with respect to Title VI and other
Non-discrimination requirements (The Age Discrimination Act of 1975,and Section 504 of the Rehabilitation Act of
1973),by restoring the broad,institutional-wide scope and coverage of these non-discrimination statutes and
requirements to include all programs and activities of the Recipient,so long as any portion of the program is Federally
assisted.
Specific Assurances
More specifically,and without limiting the above general Assurance,the Recipient agrees with and gives the following
Assurances with respect to its Federally assisted FHWA,FTA,and FAA assisted programs:
I.The Recipient agrees that each “activity,”“facility,”or “program,”as defined in §~21.23(b)and 21.23(e)of
49 C.F.R.§21 will be(with regard to an “activity”)facilitated,orwill be(with regard to a “facility”)operated,
orwill be (with regard to a “program”)conducted in compliance with all requirements imposed by,orpursuant
to the Acts and the Regulations.
2.The Recipient will insert the following notification in all solicitations forbids,Requests For Proposals forwork,
orniaterial subject to the Acts and the Regulations made in connection withall FHWA,FTA and FAA programs
and,in adapted form,in all proposals for negotiated agreements regardless offundingsource:
3.“The [Local Agency]in accordance with the provisions of Title VI of the Civil Rights Act of 1964 (78 Stat.
252,42 US.C.§~2000d to 2000d-4)and the Regulations,hereby notifies all bidders that it will affirmatively
ensure that any contract entered into pursuant to this advertisement,disadvantaged business enterprises will
be afforded full and fairopportunity
Exhibit J -Page 4 of 11
EXHIBIT A
upon request to CDOT,FHWA,FTA,or FAA,or its designee in a timely,complete,and accurate way.Additionally,
you must comply with all other reporting,data collection,and evaluation requirements,as prescribed by law or detailed
in program guidance.
[Local Agency]gives this ASSURANCE in consideration of and for obtaining any Federal grants,loans,contracts,
agreements,property,and/or discounts,or other Federal-aid and Federal financial assistance extended after the date
hereof to the recipients by the U.S.Department ofTransportation under the FHWA,FTA,and FAA.This ASSURANCE
is binding on [Local Agency],other recipients,sub-recipients,sub-grantees,contractors,subcontractors and their
subcontractors’,transferees,successors in interest,and any other participants in the FI-{WA,FTA,and FAA funded
programs.The person(s)signing below is authorized to sign this ASSURANCE on behalf of the Recipient.
(Name of Recipient)
by
(Signature ofAuthorized Official)
DATED
Exhibitj -Page 6 of 11
EXHIBIT A
APPENDIX B
CLAUSES FOR DEEDS TRANSFERRING UNITED STATES PROPERTY
The following clauses will be included in deeds effecting or recording the transfer of real property,structures,or
improvements thereon,or granting interest therein from the United States pursuant to the provisions of Assurance 4:
NOW,THEREFORE,the U.S.Department of Transportation as authorized by law and upon the condition that the
[Local Agency]will accept title to the lands and maintain the project constructed thereon in accordance with (Name of
Appropriate Legislative Authority),the Regulations for the Administration of (Name of Appropriate Program),and
the policies and procedures prescribed by the FHWA of the U.S.Department of Transportation in accordance and in
compliance with all requirements imposed by Title 49,Code of Federal Regulations,U.S.Department of
Transportation,Subtitle A,Office of the Secretary,Part 21,Non-discrimination in Federally-assisted programs of the
U.S Department of Transportation pertaining to and effectuating the provisions of Title VI of the Civil Rights Act of
1964 (78 Stat.252;42 U.S.C.§2000d to 2000d-4),does hereby remise,release,quitclaim and convey unto the [Local
Agency]all the right,title and interest of the U.S.Department of Transportation in and to said lands described in Exhibit
A attached hereto and made a part hereof.
(HABENDUM CLAUSE)
TO HAVE AND TO HOLD said lands and interests therein unto [Local Agency]and its successors forever,subject,
however,to the covenants,conditions,restrictions and reservations herein contained as follows,which will remain in
effect for the period during which the real property or structures are used for a purpose for which Federal financial
assistance is extended or for another purpose involving the provision of similar services or benefits and will be binding
on the [Local Agency]its successors and assigns.
The [Local Agency],in consideration of the conveyance of said lands and interests in lands,does hereby covenant and
agree as a covenant running with the land for itself,its successors and assigns,that (I)no person will on the grounds of
race,color,or national origin,be excluded from participation in,be denied the benefits of,or be otherwise subjected to
discrimination with regard to any facility located wholly or in part on,over,or under such lands hereby conveyed [,]
[and]*(2)that the [Local Agency]will use the lands and interests in lands and interests in lands so conveyed,in
compliance with all requirements imposed by or pursuant to Title 49,Code of Federal Regulations,U.S.Department of
Transportation,Subtitle A,Office of the Secretary,Part 21,Non-discrimination in Federally-assisted programs of the
U.S.Department ofTransportation,Effectuation ofTitle VI ofthe Civil Rights Act of 1964,and as said Regulations and
Acts may be amended [‘and (3)that in the event of breach ofany ofthe above-mentioned non-discrimination conditions,
the Department will have a right to enter or re-enter said lands and facilities on said land,and that above described land
and facilities will thereon revert to and vest in and becomethe absolute property ofthe U.S.Department ofTransportation
and its assigns as such interest existed prior to this instruction].*
(tReverter clause and related language to be used only when it is determined that such a clause is necessary to make clear
the purpose of Title VI.)
ExhibitJ-Page8ofll
EXHIBIT A
APPENDIX U
CLAUSES FOR CONSTRUCTIONIUSE/ACCESS TO REAL PROPERTY ACQUIRED UNDER THE
ACTIVITY,FACILITY OR PROGRAM
The following clauses will be included in deeds,licenses,permits,or similar instruments/agreements entered into by
[Local Agency]pursuant to the provisions of Assurance 7(b):
A.The (grantee,licensee,permittee,etc.,as appropriate)for himself/herself,his/her heirs,personal representatives,
successors in interest,and assigns,as a part of the consideration hereof,does hereby covenant and agree (in the
case of deeds and leases add,“as a covenant running with the land)that (I)no person on the ground of race,
color,or national origin,will be excluded from participation in,denied the benefits of,or be otherwise subjected
to discrimination in the use of said facilities,(2)that in the construction of any improvements on,over,or under
such land,and the furnishing of services thereon,no person on the ground of race,color,or national origin,will
be excluded from participation in,denied the benefits of,or otherwise be subjected to discrimination,(3)that the
(grantee,licensee,lessee,permittee,etc.)will use the premises in compliance with all other requirements imposed
by or pursuant to the Acts and Regulations,as amended,set forth in thisAssurance.
B.With respect to (licenses,leases,permits,etc.),in the event of breach of any of the above Non-discrimination
covenants,[Local Agency]will have the right to terminate the (license,permit,etc.,as appropriate)and to enter
or re-enter and repossess said land and the facilities thereon,and hold the same as if said (license,permit,etc.,as
appropriate)had never been made or issued.*
C.With respect to deeds,in the event of breach of any of the above Non-discrimination covenants,[Local Agency]
will there upon revert to and vest in and become the absolute property of [Local Agency]of Transportation and its
assigns.*
(*Reverter clause and related language to be used only when it is determined that such a clause is necessary to make
clear the purpose of Title VI.)
Exhibit)-Page 10 of II
EXHIBIT A
EXHIBIT K
FFATA SUPPLEMENTAL FEDERAL PROVISIONS
State of Colorado
Supplemental Provisions for
Federally Funded Contracts,Grants,and Purchase Orders
Subject to
The Federal Funding Accountability and Transparency Act of 2006 (FFATA),As Amended
Revised as of 3-20-13
The contract,grant,or purchase order to which these Supplemental Provisions are attached has been funded,in whole
or in part,with an Award of Federal funds.In the event of a conflict between the provisions of these Supplemental
Provisions,the Special Provisions,the contract or any attachments or exhibits incorporated into and made a part of the
contract,the provisions of these Supplemental Provisions shall control.
Definitions.For the purposes of these Supplemental Provisions,the following terms shall have the meanings
ascribed to them below.
1.1.“Award”means an award of Federal financial assistance that a non-Federal Entity receives or administers
in the form of:
1.1.1.Grants;
1.1.2.Contracts;
1.13.Cooperative agreements,which do not include cooperative research and development
agreements (CRDA)pursuant to the Federal Technology Transfer Act of 1986,as amended
(15 U.S.C.3710);
1.1.4.Loans;
1.1.5.Loan Guarantees;
1.1.6.Subsidies;
1.1.7.Insurance;
1.1.8.Food commodities;
1.1.9.Direct appropriations;
1.1.10.Assessed and voluntary contributions;and
1.1.11.Other financial assistance transactions that authorize the expenditure of Federal funds by non
Federal Entities.
Award does not include:
1.1.12.Technical assistance,which provides services in lieu ofmoney;
1.1.13.A transfer oftitle to Federally-owned property provided in lieu of money;even if the award is
called a grant;
1.1.14.Any award classified for security purposes;or
1.1.15.Any award ftinded in whole or in part with Recovery finds,as defined in section 1512 of the
American Recovery and Reinvestment Act (ARRA)of 2009 (Public Law 111-5).
1.2.“Contract”means the contract to which these Supplemental Provisions are attached and includes all Award
types in §1.1.1 through 1.1.11 above.
1.3.“Contractor”means the party or parties to a Contract funded in whole or in part,with Federal financial
assistance,otherthan the Prime Recipient,and includes grantees,subgrantees,Subrecipients,and borrowers.
For purposes of Transparency Act reporting,Contractor does not include Vendors.
1.4.“Data Universal Numbering System (DUNS)Number”means the nine-digit number established and
assigned by Dun and Bradstreet,Inc.to uniquely identify a business entity.Dun and Bradstreet’s website
may be found at:httn:fed~ov.dnb.com webform.
1.5.“Entity”means all of the following as defined at 2 CFR part 25,subpartC;
1.5.1.A governmental organization,which is a State,local government,or IndianTribe;
1.5.2.A foreign public entity;
1.53.A domestic or foreign non-profitorganization;
Exhibit K -Page 1 of4
EXHIBIT A
2.Compliance.Contractor shall comply with all applicable provisions of the Transparency Act and the regulations
issued pursuant thereto,including but not limited to these Supplemental Provisions.Any revisions to such
provisions orregulations shall automatically become a part ofthese Supplemental Provisions,without the necessity
of either party executing any further instrument.The State of Colorado may provide written notification to
Contractor ofsuch revisions,but such notice shall not be a condition precedent to the effectiveness of such revisions.
3.System for Award Management (SAM)and Data Universal Numbering System (DUNS)Requirements.
3.1.SAM.Contractor shall maintain the currency of its information in SAM until the Contractor submits the
final financial report required under the Award orreceives final payment,whichever is later.Contractor shall
review and update SAM information at least annually after the initial registration,and more frequently if
required by changes in its information.
32.DUNS.Contractor shall provide its DUNS number to its Prime Recipient,and shall update Contractor’s
information in Dun &Bradstreet,Inc.at least annually after the initial registration,and more frequently if
required by changes in Contractor’s information.
4.Total Compensation.Contractor shall include Total Compensation in SAM for each of its five most highly
compensated Executives for the preceding fiscal yearif:
4.1.The total Federal funding authorized to date under the Award is $25,000 or more;and
4.2.In the preceding fiscal year,Contractorreceived:
4.2.1.80%or more of its annual gross revenues from Federal procurement contracts and subcontracts
and/or Federal financial assistance Awards or Subawards subject to the Transparency Act;and
4.22,$25,000,000 or more in annual gross revenues from Federal procurement contracts and
subcontracts and/or Federal financial assistance Awards or Subawards subject to the
Transparency Act;and
4.3.The public does not have access to information about the compensation ofsuch Executives through periodic
reports filed under section 13(a)or 15(d)of the Securities Exchange Act of 1934 (15 U.S.C.78m(a),78o(d)
or~6104 of the Internal Revenue Code of 1986.
5.Reporting.Contractor shall report data elements to SAM and to the Prime Recipient as required in §7 below if
Contractor is a Subrecipient for the Award pursuant to the Transparency Act.No direct payment shall be made to
Contractor for providing any reports required under these Supplemental Provisions and the cost of producing such
reports shall be included in the Contract price.The reporting requirements in §7 below are based on guidance from
the US Office of Management and Budget (0MB),and as such are subject to change at any time by 0MB.Any such
changes shall be automatically incorporated into this Contract and shall become part of Contractor’s obligations
under this Contract,as provided in §2 above.The Colorado Office of the State Controller will provide summaries
ofrevised 0MB reporting requirements at http:I/www.colorado.gov doaldfDlsco/FFATA.htm.
6.Effective Date and Dollar Threshold for Reporting.The effective date of these Supplemental Provisions apply
to new Awards as of October 1,2010.Reporting requirements in §7 below apply to new Awards as of October I,
2010,if the initial award is $25,000 or more.If the initial Award is below $25,000 but subsequent Award
modifications result in a total Award of $25,000 or more,the Award is subject to the reporting requirements as of
the date the Award exceeds $25,000.If the initial Award is $25,000 or more,but funding is subsequently de
obligated such that the total award amount falls below $25,000,the Award shall continue to be subject to the
reportingrequirements.
7.Subrecipient Reporting Requirements.If Contractor is a Subrecipient,Contractor shall report as set forth below.
Exhibit K~Page 3 of 4
r EXHIBIT A
EXHIBIT L
SAMPLE SUBRECIPIENT MONITORING AND RISK ASSESSMENT
CDOT SUBRECIPIENT RISK ASSESSMENT Date:
Name of Entity (Subrecipient):
Name of Prr4ect/Program:
Estimated Award Period:
Entity Executive Director or VP:
Entity Chief Financial Officer:
Entity Representative for this Self Assessment:
Instructions;(Sn “irisfrudions’tab for man infomiatlon)
1.Check only one boxfor each question.All questions are required tobeanswered.~N A
•Utilize the “Comment”section below the last question for additional responses.es
•When complete,check the box at the bottom of theforrn to authorize.
A Is your entity new to operating or managing federal funds (has not done so within the past three
an?U CaIsthisfundingprogramnewforyourentity(managed for less than three years)?Examples of
undi include CMA TAP.STP’M,etc.
3 Does your staff assigned to the program have at least thxee full years of experience with this c C
federal r am?
MCNItcikINtAOb(tM~ESsM
4 Has your entity had an on-site project or grant revIew from an external entity (e.g~,(DOT,
FI4WA within the last three ars?
S Were there no hence Issues In this nor review?
b)What were the number and extent of issues in prIor review?~C
I to 2
op:’~a.
6 Does your entity have a tIme and effort reporting system In place to account for 100%of all
employees time,thatcan provide a breakdown of the actual time spent on each funded
project?If No,In the comment sectian please explain how you intend to document 100%of
ins worked by employees and breakdown of time spent on each funding profect
P1 n
Z a)Does your entity have an indirect cost rate that Is approved and current?fl U
b)If Yes,who approved the rate,and what date was It approved?
S Is this gran~faward 1O%or more of your entity’s overall funding?
‘-‘3%cIO%
~Hasyour entity returned lapsed”funds?“Funds “lapse’when they oreno Ion gerovallablefar I I D n
oh lion.
Z&Has your entity had difficulty meeting loal match requirements in the last three years?r El C
What is the total federal funding your entity has been awarded for the last federal fls&year,
nd what is urenti s fis~l ar end?
Exhibit L -Page 1 of 3
EXHIBIT A
d)Does your entity have a written policy or certification statement approved by your governing
board assuring that materials Installed on the projects are sampled and tested per approved 0 0
rocesses.I Yes lease submit with this orm.
e)Does your entity have a written policy or certification statement approved by your governing
board assuring that only 135 manufactured steel will be Incorporated into the project (Buy I C 0
erica r uirements ?I Yes lease submit with this arm.
Comments -As needed,include the question number and provide comments related to the above questions.
Insert additional rows as needed.
By checking this bo%the Executive Director,Vporthlef rinanclal officer of this entity certifies that all -.Thai Version!
Information pro vided on this form Is tue and correct -v2.0W81816)
Exhibit L -Page 3 of3
EXHIBIT A
Awards to Subrecipients unless the Uniform Guidance or the terms and conditions of the
Federal Award specifically indicate otherwise.
1.11.“Uniform Guidance Supplemental Provisions”meansthese Supplemental Provisions for
Federal Awards subject to the 0MB Uniform Guidance,as may be revised pursuant to
ongoing guidance from relevant Federal agencies or the Colorado StateController.
2.Compliance.Subrecipient shall comply with all applicable provisions ofihe Uniform Guidance,
including but notlimited to these Uniform Guidance Supplemental Provisions.Any revisions to
such provisions automatically shall become a part of these Supplemental Provisions,
without the necessity of either party executing any further instrument.The State of
Colorado may provide written notification to Subrecipient of suchrevisions,but such
notice shall not be a condition precedent to the effectiveness of such revisions.
3.Procurement Standards.
3.1 Procurement Procedures.Subrecipient shall use its own documented procurement
procedures which reflectapplicable State,local,and Tribal laws and regulations,provided
that the procurements conform to applicable Federal law and the standards identified in the
Uniform Guidance,including without limitation,
§~200.3l8 through 200.326 thereof.
3.2 Procurement of Recovered Materials.If Subrecipient is a State Agency or an agency
of a politicalsubdivision of a state,its contractors must comply with section 6002 of the
Solid Waste Disposal Act,as amended by the Resource Conservation and Recovery Act.
The requirements of Section 6002 include procuring only items designated in guidelines
of the Environmental Protection Agency (EPA)at 40 CFR part 247 that contain the highest
percentage of recovered materials practicable,consistent with maintaining a satisfactory
level of competition,where the purchase price of the item exceeds $10,000 or the value of
the quantity acquired during the preceding fiscal year exceeded $10,000;procuring solid
waste management services in a manner that maximizes energy and resource recovery;
and establishing an affirmative procurement program for procurement of
recovered materials identified in theEPA guidelines.
4.Access to Records.Subrecipient shall permit Recipient and auditors to have access to
Subrecipient’s records and financial statements as necessary for Recipient to meet the
requirements of §200.33 I (Requirements for pass through entities),§~200.300 (Statutory and
national policy requirements)through 200.309 (Period of performance),and Subpart F-Audit
Requirements of the Uniform Guidance.2 CFR §200.331(a)(5).
5.Single Audit Requirements.If Subrecipient expends $750,000 or more in Federal Awards during
Subrecipient’s fiscal year,Subrecipient shall procure or arrange for a single or program-specific
audit conducted for that year in accordance with the provisions of Subpart F-Audit Requirements
of the Uniform Guidance,issued pursuant tothe Single Audit Act Amendments of 1996,(31
U.S.C.7501-7507).2 CFR §200.501.
5.1 Election.Subrecipient shall have a single audit conducted in accordance with Uniform
Guidance §200.5 l4(Scope of audit),except when it elects to have a program-specific audit
conducted in accordance with §200.507 (Program-specific audits).Subrecipient may
elect to have a program-specific audit if Subrecipient expends Federal Awards
under only one Federal program (excluding research and development)and the
Federal program’s statutes,regulations,or the terms and conditions of the Federal
award do not require a financial statement audit of Recipient.A program-specific
audit may not be electedfor research and development unless all of the Federal
Awards expended were received from Recipient and Recipient approves in
advance a program-specific audit.
5.2 Exemption.If Subrecipient expends less than $750,000 in Federal Awards during its fiscal
year,Subrecipient shall be exempt from Federal audit requirements for that year,except
Exhibit M -Page 2 of 5
r EXHIBIT A
be canceled,terminated or suspendedin whole or in part and the contractor may be
declared ineligible for further Government contracts in accordance with procedures
authorized in Executive Order 11246 of September 24,1965,and such other sanctions
may be imposed and remedies invoked as provided in Executive Order 11246 of
September 24,1965,or by rule,regulation,or order of the Secretary of Labor,or as
otherwise provided bylaw.
(7)The contractor will include the provisions of paragraphs (I)through (7)in every
subcontract or purchase order unless exempted by rules,regulations,or orders of the
Secretary of Labor issued pursuantto section 204 of Executive Order 11246 of September
24,1965,so that such provisions will be binding upon each subcontractor or vendor.The
contractor will take such action with respect to any subcontractor purchase order as may
be directed by the Secretary of Labor as a means of enforcing such provisions including
sanctions for noncompliance:Provided,however,that in the event the contractor becomes
involved in,or is threatened with,litigation with a subcontractor or vendor as a result
of such direction,the contractor may request the United States to enter into such litigation
to protect the interests of the United States.”
6.2 Davis-Bacon Act.Davis-Bacon Act,as amended (40 U.S.C.3141-3148).When required by
Federal program legislation,all prime construction contracts in excess of $2,000 awarded
by non-Federal entities must include a provision for compliance with the Davis-Bacon Act
(40 U.S.C.3141-3144,and 3146-3148)as supplemented by Department of Labor
regulations (29 CFR Part 5,“Labor Standards Provisions Applicable to Contracts
Covering Federally Financed and Assisted Construction”).In accordance with the
statute,contractors must be required to pay wages to laborers and mechanics at a
rate not less than the prevailing wages specified in a wage determination made by
the Secretary of Labor.In addition,contractorsmust be required to pay wages not
less than once a week.The non-Federal entity must place a copy of the current
prevailing wage determination issued by the Department of Labor in each
solicitation.The decision to award a contract or subcontract must be conditioned
tL~Ofl the acceptance of the wage determination.The non-Federal entity must
report all suspected or reported violations to the Federal awarding agency.The
contracts must also include a provision for compliance with the Copeland “Anti-
Kickback”Act (40
U.S.C.3145),as supplemented by Department of Labor regulations (29 CFR Part 3,
“Contractors and Subcontractors on Public Building or Public Work Financed in Whole or
in Part by Loans or Grants from the United States”).The Act provides that each contractor
or Subrecipient must be prohibited from inducing,by any means,any person employed in
the construction,completion,or repair of public work,to give up any part of the
compensation to which he or she is other wise entitled.
The non-Federal entity must report all suspected or reported violations to the Federal
awarding agency.
6.3 Rights to Inventions Made Under a Contract or Agreement.If the Federal Award meets
the definition of “funding agreement”under 37 CFR §401.2(a)and Subrecipient wishes to
enter into a contract with a small business firm or nonprofit organization regarding the
substitution of parties,assignment or performance of experimental,developmental,or
research work under that “funding agreement,”Subrecipient must comply with the
requirements of 37 CFR Part 401,“Rights to Inventions Made by Nonprofit Organizations
and Small Business Firms Under Government Grants,Contracts and Cooperative
Agreements,”and anyimplementing regulations issued by the awarding agency.
6.4 Clean Air Act (42 U.S.C.7401-7671q.)and the Federal Water Pollution Control Act (33
U.S.C.1251-1387),as amended.Contracts and subgrants of amounts in excess of
$150,000 must contain a provision that requires the non-Federal award to agree to comply
with all applicable standards,orders or regulations issued pursuant to the Clean Air Act
(42 U.S.C.7401-7671q)and the Federal Water Pollution Control Actas amended (33
U.S.C.1251-1387).Violations must be reported to the Federal awarding agency and the
Regional Office of the Environmental Protection Agency (EPA).
Exhibit M -Page 4 of 5
EXHIBIT A
EXHIBIT N
Federal Provisions
1.APPLICABILITY OF PROVISIONS.
1 .1.The Grant to which these Federal Provisions are attached has been funded,in whole or in
part,with an Award of Federal funds.In the event of a conflict between the provisions of
these Federal Provisions,the Special Provisions,the body of the Grant,or any attachments
or exhibits incorporated into and made a part of the Grant,the provisions of these Federal
Provisions shall control.
1.2.The State of Colorado is accountable to Treasury for oversight of their subrecipients,
including ensuring their subrecipients comply with the SLFRF statute,SLFRF Award
Terms and Conditions,Treasury’s Interim Final Rule,and reporting requirements,as
applicable.
1.3.Additionally,any subrecipient that issues a subaward to another entity (2~tier
subrecipient),must hold the 2~~d tier subrecipient accountable to these provisions and
adhere to reporting requirements.
1 .4.These Federal Provisions are subject to the Award as defined in §2 of these Federal
Provisions,as may be revised pursuant to ongoing guidance from the relevant Federal or
State of Colorado agency or institutions of higher education.
2.DEFINITIONS.
2.1.For the purposes of these Federal Provisions,the following terms shall have the
meanings ascribed to them below.
2.1 .I.“Award”means an award of Federal financial assistance,and the Grant setting forth
the terms and conditions of that financial assistance,that a non-Federal Entity
receives or administers.
2.1.2.“Data Universal Numbering System (DUNS)Number”means the nine-digit
number established and assigned by Dun and Bradstreet,Inc.to uniquely identi&
a business entity.Dun and Bradstreet’s website may be found at:
http://fedgov.dnb.com webform.
2.1.3.“Entity”means:
2.1.3.1.a Non-Federal Entity;
2.1.3.2.a foreign public entity;
2.1.3.3.a foreign organization;
2.1.3.4.a non-profit organization;
2.1.3.5.a domestic for-profit organization (for 2 CFR parts 25 and 170 only);
2.1.3.6.a foreign non-profit organization (only for 2 CFR part 170)only);
ExhibitN -Page 1 of 16
EXHIBIT A
2.1.15.“Subrecipient”or “Subgrantee”means a non-Federal Entity (or a Federal agency
tinder an Award or Subaward to a non-Federal Entity)receiving Federal funds
through a Prime Recipient to support the performance of the Federal project or
program for which the Federal funds were awarded.A Subrecipient is subject to
the terms and conditions of the Federal Award to the Prime Recipient,including
program compliance requirements.The term does not include an individual who is
a beneficiary of a federal program.
2.1.16.“System for Award Management (SAM)”means the Federal repository into which
an Entity must enter the information required under the Transparency Act,which
may be found at http://www.sam.gov.“Total Compensation”means the cash and
noncash dollar value earned by an Executive during the Prime Recipient’s or
Subrecipient’s preceding fiscal year (see 48 CFR 52.204-10,as prescribed in 48
CFR 4.1403(a))and includes the following:
2.1.16.1.Salary and bonus;
2.1.16.2.Awards of stock,stock options,and stock appreciation rights,using the
dollar amount recognized for financial statement reporting purposes with
respect to the fiscal year in accordance with the Statement of Financial
Accounting Standards No.123 (Revised 2005)(FAS l23R),Shared Based
Payments;
2.1.16.3.Earnings for services under non-equity incentive plans,not including group
life,health,hospitalization or medical reimbursement plans that do not
discriminate in favor of Executives and are available generally to all salaried
employees;
2.1.16.4.Change in present value of defined benefit and actuarial pension plans;
2.1.16.5.Above-market earnings on deferred compensation which is not tax-
qualified;
2.1.16.6.Other compensation,if the aggregate value of all such other compensation
(e.g.,severance,termination payments,value of life insurance paid on
behalf of the employee,perquisites or property)for the Executive exceeds
$10,000.
2.1.1 7.“Transparency Act”means the Federal Funding Accountability and Transparency
Act of 2006 (Public Law 109-282),as amended by §6202 of Public Law 110-252.
2.1.18.“Uniform Guidance”means the Office of Management and Budget Uniform
Administrative Requirements,Cost Principles,and Audit Requirements for Federal
Awards.The terms and conditions of the Uniform Guidance flow down to Awards
to Subrecipients unless the Uniform Guidance or the terms and conditions of the
Federal Award specifically indicate otherwise.
3.COMPLIANCE.
Exhibii N -Page 3 of 16
EXHIBIT A
6.1.If Grantee is a Subrecipient of the Award pursuant to the Transparency Act,Grantee
shall report data elements to SAM and to the Prime Recipient as required in this Exhibit.
No direct payment shall be made to Grantee for providing any reports required under
these Federal Provisions and the cost of producing such reports shall be included in the
Grant price.The reporting requirements in this Exhibit are based on guidance from the
0MB,and as such are subject to change at any time by 0MB.Any such changes shall
be automatically incorporated into this Grant and shall become part of Grantee’s
obligations under this Grant.
7.EFFECTIVE DATE AND DOLLAR THRESHOLD FOR FEDERAL REPORTING.
7.1.Reporting requirements in §8 below apply to new Awards as of October 1,2010,if the
initial award is $30,000 or more.If the initial Award is below $30,000 but subsequent
Award modifications result in a total Award of $30,000 or more,the Award is subject
to the reporting requirements as of the date the Award exceeds $30,000.If the initial
Award is $30,000 or more,but funding is subsequently de-obligated such that the total
award amount falls below $30,000,the Award shall continue to be subject to the
reporting requirements.If the total award is below $30,000 no reporting required;if
more than $30,000 and less than $50,000 then FFATA reporting is required;and,
$50,000 and above SLFRF reporting is required.
7.2.The procurement standards in §9 below are applicable to new Awards made by Prime
Recipient as of December 26,2015.The standards set forth in §11 below are applicable
to audits of fiscal years beginning on or after December 26,2014.
8.SUBRECIPIENT REPORTING REQUIREMENTS.
8.1.Grantee shall report as set forth below.
8.1.1.Grantee shall use the SLFRF Subrecipient Quarterly Report Workbook as
referenced in Exhibit P to report to the State Agency within ten (10)days following
each quarter ended September,December,March and June.Additional information
on specific requirements are detailed in the SLFRF Subrecipient Quarterly Report
Workbooks and “Compliance and Reporting Guidance,State and Local Fiscal
Recovery Funds”report available at www.treasury.gov.
ECI:Public Health
COVID-19 Vaccination (EC 1.1)and COVID-19 Testing (EC 1.2)
a.Description of metrics for disadvantaged communities served.
Prevention in Congregate Settings (Nursing Homes,Prisons/Jails,Dense Work
Sites,Schools,etc.)(EC 1.4),Mental Health Services (EC 1.10)and Substance Use
Substances (1.11)
a.Measurement of the metric.
Payroll for Public Health and Safety Employees (EC 1.9)
a.Number of governmental FTEs responding to COVID-19 supported under
this authority
Public Health Project-Specific Reporting Requirements (ECU)
Exhibit N -Page 5 of 16
EXHIBIT A
Education Assistance:Early Learning (EC 3.1).Education Assistance:Aid to
High-Poverty Districts (EC 3.2)Education Assistance:Academic Services (EC
3.3),Education Assistance:Social,Emotional,and Mental Health Services (EC
3.4).and Education Assistance:Other (EC 3.5)
a.Description of metrics for disadvantaged communities served.
b.Measurement of the metric.
c.National Center for Education Statistics (“NCES”)School ID or NCES
District ID
d.Number of students participating in evidence-based tutoring programs
Housing Childhood Environments (EC 3.6-3.9)
a.Number of children served by childcare and early learning
(preschool/pre-K/ages 3-5)
b.Number of families served by home visiting.
Healthy Childhood Environments:Child Care (EC 3.6).Healthy Childhood
Environments:Home Visiting (EC 3.7).Healthy Childhood Environments:
Services to Foster Youth or Families Involved in Child Welfare S stem EC 3.8
Health Childhood Enyironments:Other EC 3.9 Housin Su ort:Affordable
Housin EC 3.10 Housin Su ii:Services for Unhoused Persons EC 3.11
Housin Su ort:Other Housin Assistance EC 3.12 Social Determinants of
Health:Other EC 3.13 Social Determinants of Health:Communi Health
Workers or Benefits Navi ators EC 3.14 Social Determinants of Health:
Communi Violence Interventions EC 3.16
a.Description of the metrics for disadvantaged communities served.
b.Measurement of the metric.
Housing Support (EC 3-10-3.12)
c.Number of people or households receiving eviction prevention services
(including legal representation)
d.Number of affordable housing units preserved or developed.
Social Determinants of Health:Lead Remediation (EC 3.15)
a.Description of metrics for disadvantaged communities served.
b.Measurement of the metric.
Services to Disproportionately Impacted Communities Project-Specific Reporting
Requirements (EC3)
a.Unique requirement(s),if applicable
EC4:Premium Pay
Premium Pay (both Public Sector EC 4.1 and Private Sector EC 4.2)
Exhibit N -Page 7 of 16
EXHIBIT A
25 Mbps download and 3 Mbps upload,in each of the following
categories:business,sinai!business,elementary school,secondary
school,higher education institution,library,healthcare facility,and
public safety organization,with the number of each type of
institution with access to the minimum speed standard of reliable
100 Mbps symmetrical upload and download;and number of each
type of institution with access to the minimum speed standard of
reliable 100 Mbps download and 20Mbps upload
c.Narrative identif~’ing speeds/pricing tiers to be offered,including
the speed pricing of its affordability offering,technology to be
deployed,miles of fiber,cost per mile,cost per passing,number of
households (broken out by households on Tribal lands and those not
on Tribal lands)projected to have increased access to broadband
meeting the minimum speed standards in areas that previously
lacked access to service of at least 25 Mbps download and 3 Mbps
upload,number of households with access to minimum speed
standard of reliable 100 Mbps symmetrical upload and download,
number of households with access to minimum speed standard of
reliable 100 Mbps download and 20 Mbps upload,and number of
institutions and businesses (broken out by institutions on Tribal
lands and those not on Tribal lands)projected to have increased
access to broadband meeting the minimum speed standards in areas
that previously lacked access to service of at least 25 Mbps
download and 3 Mbps upload,in each of the following categories:
business,small business,elementary school,secondary school,
higher education institution,library,healthcare facility,and public
safety organization.Specif~’the number of each type of institution
with access to the minimum speed standard of reliable 100 Mbps
symmetrical upload and download;and the number of each type of
institution with access to the minimum speed standard of reliable
100 Mbps download and 20 Mbps upload.
Infrastructure Proiect-Specific Reporting Reciuirements (EC5)
a.Unique requirement(s),if applicable
8.1 .2.A Subrecipient shall report the following data elements to Prime Recipient no later
than five days after the end of the month following the month in which the
Subaward was made.
8.1.2.!.Subrecipient DUNS Number;
8.1 .2.2.Subrecipient DUNS Number if more than one electronic funds transfer
(EFT)account;
8.1.2.3.Subrecipient parent’s organization DUNS Number;
8.1 .2.4.Subrecipient’s address,including:Street Address,City,State,Country,Zip
+4,and Congressional District;
Exhibit N -Page 9 of 16
r EXHIBIT A
(month/year),and location (for broadband,geospatial location data).For
projects over $10 million:
8.1.3.8.Certification that all laborers and mechanics employed by Contractors and
Subcontractors in the performance of such project are paid wages at rates
not less than those prevailing,as determined by the U.S.Secretary of Labor
in accordance with subchapter IV of chapter 31 of title 40,United States
Code (commonly known as the “Davis-Bacon Act’),for the corresponding
classes of laborers and mechanics employed on projects of a character
similar to the Agreement work in the civil subdivision of the State (or the
District of Columbia)in which the work is to be performed,or by the
appropriate State entity pursuant to a corollary State prevailing-wage-in-
construction law (commonly known as baby Davis-Bacon Acts”).If such
certification is not provided,a recipient must provide a project employment
and local impact report detailing (I)the number of employees of
Contractors and sub-contractors working on the project;(2)the number of
employees on the project hired directly and hired through a third party;(3)
the wages and benefits of workers on the project by classification;and (4)
whether those wages are at rates less than those prevailing.Recipients must
maintain sufficient records to substantiate this information upon request.
8.1.3.8.1.A Subrecipient may provide a certification that a project includes a
project labor agreement,meaning a pre-hire collective bargaining
agreement consistent with section 8(f)of the National Labor Relations
Act (29 U.S.C.158(f)).If the recipient does not provide such
certification,the recipient must provide a project workforce continuity
plan,detailing:(I)how the Subrecipient will ensure the project has ready
access to a sufficient supply of appropriately skilled and unskilled labor
to ensure high-quality construction throughout the life of the project;(2)
how the Subrecipient will minimize risks of labor disputes and
disruptions that would jeopardize timeliness and cost-effectiveness of the
project;and (3)how the Subrecipient will provide a safe and healthy
workplace that avoids delays and costs associated with workplace
illnesses,injuries,and fatalities;(4)whether workers on the project will
receive wages and benefits that will secure an appropriately skilled
workforce in the context of the local or regional labor market;and (5)
whether the project has completed a project labor agreement.
8.1.3.8.2.Whether the project prioritizes local hires.
8.1.3.8.3.Whether the project has a Community Benefit Agreement,with a
description of any such agreement.
8.1.4.Subrecipient also agrees to comply with any reporting requirements established by the
US Treasury,Governor’s Office and Office of the State Controller.The State of
Colorado may need additional reporting requirements after this agreement is executed.
If there are additional reporting requirements,the State will provide notice of
such additional reporting requirements via Exhibit Q SLFRF Reporting
Modification Form.
Exhibit N -Page 11 of 16
C EXHIBIT A
11.1.1.Election.A Subrecipient shall have a single audit conducted in accordance with
Uniform Guidance 2 CFR 200.5 14 (Scope of audit),except when it elects to have
a program-specific audit conducted in accordance with 2 CFR 200.507 (Program-
specific audits).The Subrecipient may elect to have a program-specific audit if
Subrecipient expends Federal Awards under only one Federal program (excluding
research and development)and the Federal program’s statutes,regulations,or the
terms and conditions of the Federal award do not require a financial statement audit
of Prime Recipient.A program-specific audit may not be elected for research and
development unless all of the Federal Awards expended were received from
Recipient and Recipient approves in advance a program-specific audit.
11.1.2.Exemption.If a Subrecipient expends less than $750,000 in Federal Awards during
its fiscal year,the Subrecipient shall be exempt from Federal audit requirements for
that year,except as noted in 2 CFR 200.503 (Relation to other audit requirements),
but records shall be available for review or audit by appropriate officials of the
Federal agency,the State,and the Government Accountability Office.
11.1.3.Subrecipient Compliance Responsibility.A Subrecipient shall procure or
otherwise arrange for the audit required by Subpart F of the Uniform Guidance and
ensure it is properly performed and submitted when due in accordance with the
Uniform Guidance.Subrecipient shall prepare appropriate financial statements,
including the schedule of expenditures of Federal awards in accordance with 2 CFR
200.510 (Financial statements)and provide the auditor with access to personnel,
accounts,books,records,supporting documentation,and other information as
needed for the auditor to perform the audit required by Uniform Guidance Subpart
F-Audit Requirements.
12.GRANT PROVISIONS FOR SUBRECIPIENT AGREEMENTS.
12.1.In addition to other provisions required by the Federal Awarding Agency or the Prime
Recipient,Grantees that are Subrecipients shall comply with the following provisions.
Subrecipients shall include all of the following applicable provisions in all
Subcontractors entered into by it pursuant to this Grant.
12.1.1.[Applicable to federally assisted construction Agreements.]Equal Employment
Opportunity.Except as otherwise provided under 41 CFR Part 60,all Agreements
that meet the definition of “federally assisted construction Agreement”in 41 CFR
Part 60-1.3 shall include the equal opportunity clause provided under 41 CFR 60-
1.4(b),in accordance with Executive Order 11246,“Equal Employment
Opportunity”(30 FR 12319,12935,3 CFR Part,1964-1965 Comp.,p.339),as
amended by Executive Order 11375,“Amending Executive Order 11246 Relating
to Equal Employment Opportunity,”and implementing regulations at 41 CFR part
60,Office of Federal Agreement Compliance Programs,Equal Employment
Opportunity,Department of Labor.
12.1.2.[Applicable to on-site employees working on government-fUnded construction,
alteration and repair projects.]Davis-Bacon Act.Davis-Bacon Act,as amended
(40 U.S.C.3 141-3148).
Exhibit N -Page 13 of 16
EXHIBIT A
12.1.8.Prohibition on certain telecommunications and video surveillance services or
equipment (2 CFR 200.216).Grantee is prohibited from obligating or expending
loan or grant funds on certain telecommunications and video surveillance services
or equipment pursuant to 2 CFR 200.216.
12.1.9.Title VI of the Civil Rights Act.The Subgrantee,Contractor,Subcontractor,transferee,
and assignee shall comply with Title VI of the Civil Rights Act of 1964,which
prohibits recipients of federal financial assistance from excluding from a program or
activity,denying benefits of,or otherwise discriminating against a person on the basis
of race,color,or national origin (42 U.S.C.§2000d et seq.),as implemented by the
Department of Treasury’s Title VI regulations,31 CFR Part 22,which are herein
incorporated by reference and made a part of this Agreement (or agreement).Title VI
also includes protection to persons with “Limited English Proficiency”in any program
or activity receiving federal financial assistance,42 U.S.C.§2000d et seq.,as
implemented by the Department of the Treasury’s Title VI regulations,31 CRF Part
22,and herein incorporated by reference and made part of this Agreement or
agreement.
13.CERTIFICATIONS.
13.1.Subrecipient Certification.Subrecipient shall sign a “State of Colorado Agreement
with Recipient of Federal Recovery Funds”Certification Form in Exhibit 0 and
submit to State Agency with signed grant agreement.
13.2.Unless prohibited by Federal statutes or regulations,Prime Recipient may require
Subrecipient to submit certifications and representations required by Federal statutes
or regulations on an annual basis.2 CFR 200.208.Submission may be required more
frequently if Subrecipient fails to meet a requirement of the Federal award.
Subrecipient shall certif~’in writing to the State at the end of the Award that the project
or activity was completed or the level of effort was expended.2 CFR 200.20 1(3).If
the required level of activity or effort was not carried out,the amount of the Award
must be adjusted.
14.EXEMPTIONS.
14.1.These Federal Provisions do not apply to an individual who receives an Award as a
natural person,unrelated to any business or non-profit organization he or she may own
or operate in his or her name.
14.2.A Grantee with gross income from all sources of less than $300,000 in the previous tax
year is exempt from the requirements to report Subawards and the Total Compensation
of its most highly compensated Executives.
15.EVENT OF DEFAULT AND TERMINATION.
15.1.Failure to comply with these Federal Provisions shall constitute an event of default
under the Grant and the State of Colorado may terminate the Grant upon 30 days prior
written notice if the default remains uncured five calendar days following the
termination of the 30-day notice period.This remedy will be in addition to any other
remedy available to the State of Colorado under the Grant,at law or in equity.
ExhibitN-Page 15 of 16
C EXHIBIT A
EXHIBIT 0
AGREEMENT WITH SUBSUBRECIPIENT OF FEDERAL RECOVERY FUNDS
Section 602(b)of the Social Security Act (the Act),as added by section 9901 of the American
Rescue Plan Act (ARPA),Pub.L.No.117-2 (March 11,2021),authorizes the Department of
the Treasury (Treasury)to make payments to certain Subrecipients from the Coronavirus State
Fiscal Recovery Fund.The State of Colorado has signed and certified a separate agreement with
Treasury as a condition of receiving such payments from the Treasury.This agreement is
between your organization and the State and your organization is signing and certifying the
same terms and conditions included in the State’s separate agreement with Treasury.Your
organization is referred to as a Subrecipient.
As a condition of your organization receiving federal recovery funds from the State,the
authorized representative below hereby (i)certifies that your organization will carry out the
activities listed in section 602(c)of the Act and (ii)agrees to the terms attached hereto.Your
organization also agrees to use the federal recovery funds as specified in bills passed by the
General Assembly and signed by the Governor.
Under penalty of perjury,the undersigned official certifies that the authorized representative
has read and understood the organization’s obligations in the Assurances of Compliance and
Civil Rights Requirements,that any information submitted in conjunction with this assurances
document is accurate and complete,and that the organization is in compliance with the
nondiscrimination requirements.
Subrecipient Name
Authorized Representative:________________________
Title:
Signature:
Exhibit 0 -Page 1 of 9
C EXHIBIT A
is applicable to each activity funded under this award.Subrecipient and Contractors must
disclose in writing to the Office of the State Controller or the pass-through entity,as appropriate,
any potential conflict of interest affecting the awarded funds in accordance with 2 C.F.R.§
200.112.The Office of the State Controller shall disclose such conflict to Treasury.
9.Compliance with Applicable Law and Regulations.
a.Subrecipient agrees to comply with the requirements of section 602 of the Act,
regulations adopted by Treasury pursuant to section 602(f)of the Act,and guidance
issued by Treasury regarding the foregoing.Subrecipient also agrees to comply with all
other applicable federal statutes,regulations,and executive orders,and Subrecipient
shall provide for such compliance by other parties in any agreements it enters into with
other parties relating to this award.
b.Federal regulations applicable to this award include,without limitation,the following:
i.Uniform Administrative Requirements,Cost Principles,and Audit
Requirements for Federal Awards,2 C.F.R.Part 200,other than such provisions
as Treasury may determine are inapplicable to this Award and subject to such
exceptions as may be otherwise provided by Treasury.Subpart F Audit
Requirements of the Uniform Guidance,implementing the Single Audit Act,
shall apply to this award.
ii.Universal Identifier and System for Award Management (SAM),2 C.F.R.Part
25,pursuant to which the award term set forth in Appendix A to 2 C.F.R.Part
25 is hereby incorporated by reference.
iii.Reporting Subaward and Executive Compensation Information,2 C.F.R.Part
170,pursuant to which the award term set forth in Appendix A to 2 C.F.R.Part
170 is hereby incorporated by reference.
iv.0MB Guidelines to Agencies on Government wide Debarment and Suspension
(Nonprocurement),2 C.F.R.Part 180,including the requirement to include a
term or condition in all lower tier covered transactions (Agreements and
Subcontractors described in 2 C.F.R.Part 180,subpart B)that the award is
subject to 2 C.F.R.Part 180 and Treasury’s implementing regulation at 31
C.F.R.Part 19.
v.Subrecipient Integrity and Performance Matters,pursuant to which the award
term set forth in 2 C.F.R.Part 200,Appendix XII to Part 200 is hereby
incorporated by reference.
vi.Government wide Requirements for Drug-Free Workplace,31 C.F.R.Part 20.
vii.New Restrictions on Lobbying,3 1 C.F.R.Part 21.
viii.Uniform Relocation Assistance and Real Property Acquisitions Act of 1970(42
U.S.C.§~4601-4655)and implementing regulations.
Exhibit 0-Page 3 of9
EXHIBIT A
13.Publications.Any publications produced with funds from this award must display the
following language:“This project [is being)[was]supported,in whole or in part,by
federal award number SLFRFOI26 awarded to the State of Colorado by the U.S.
Department of the Treasury.”
14.Debts Owed the Federal Government.
a.Any funds paid to the Subrecipient (I)in excess of the amount to which the
Subrecipient is finally determined to be authorized to retain under the terms of this
award;(2)that are determined by the Treasury Office of Inspector General to have
been misused;or (3)that are determined by Treasury to be subject to a repayment
obligation pursuant to sections 602(e)and 603(b)(2)(D)of the Act and have not
been repaid by the Subrecipient shall constitute a debt to the federal government.
b.Any debts determined to be owed to the federal government must be paid promptly
by Subrecipient.A debt is delinquent if it has not been paid by the date specified in
Treasury’s initial written demand for payment,unless other satisfactory
arrangements have been made or if the Subrecipient knowingly or improperly
retains funds that are a debt as defined in paragraph 14(a).Treasury will take any
actions available to it to collect such a debt.
15.Disclaimer.
a.The United States expressly disclaims any and all responsibility or liability to
Subrecipient or third persons for the actions of Subrecipient or third persons
resulting in death,bodily injury,property damages,or any other losses resulting in
any way from the performance of this award or any other losses resulting in any
way from the performance of this award or any Agreement,or Subcontractor under
this award.
b.The acceptance of this award by Subrecipient does not in any way establish an
agency relationship between the United States and Subrecipient.
16.Protections for Whistleblowers.
a.In accordance with 41 U.S.C.§4712,Subrecipient may not discharge,demote,or
otherwise discriminate against an employee in reprisal for disclosing to any of the list
of persons or entities provided below,information that the employee reasonably
believes is evidence of gross mismanagement of a federal Agreement or grant,a gross
waste of federal funds,an abuse of authority relating to a federal Agreement or grant,
a substantial and specific danger to public health or safety,or a violation of law,rule,
or regulation related to a federal Agreement (including the competition for or
negotiation of an Agreement)or grant.
b.The list of persons and entities referenced in the paragraph above includes the following:
i.A member of Congress or a representative of a committee of Congress;
ii.An Inspector General;
Exhibit 0-PageS of 9
EXHIBIT A
ASSURANCES OF COMPLIANCE WITH CIVIL RIGHTS
REQUIREMENTS
ASSURANCES OF COMPLIANCE WITH TITLE VI
OF THE CIVIL RIGHTS ACT OF 1964
As a condition of receipt of federal financial assistance from the Department of the
Treasury,the Subrecipient provides the assurances stated herein.The federal financial assistance
may include federal grants,loans and Agreements to provide assistance to the Subrecipient’s
beneficiaries,the use or rent of Federal land or property at below market value,Federal training,a
loan of Federal personnel,subsidies,and other arrangements with the intention of providing
assistance.Federal financial assistance does not encompass Agreements of guarantee or insurance,
regulated programs,licenses,procurement Agreements by the Federal government at market value,
or programs that provide direct benefits.
The assurances apply to all federal financial assistance from or funds made available
through the Department of the Treasury,including any assistance that the Subrecipient may request
in the future.
The Civil Rights Restoration Act of 1987 provides that the provisions of the assurances
apply to all of the operations of the Subrecipient’s program(s)and activity(ies),so long as any
portion of the Subrecipient’s program(s)or activity(ies)is federally assisted in the manner
prescribed above.
1.Subrecipient ensures its current and future compliance with Title VI of the Civil Rights Act of
1964,as amended,which prohibits exclusion from participation,denial of the benefits of,or
subjection to discrimination under programs and activities receiving federal financial assistance,
of any person in the United States on the ground of race,color,or national origin (42 U.S.C.§
2000d ci’seq.),as implemented by the Department of the Treasury Title VI regulations at 31 CFR
Part 22 and other pertinent executive orders such as Executive Order 13166,directives,circulars,
policies,memoranda,and/or guidance documents.
2.Subrecipient acknowledges that Executive Order 13166,“Improving Access to Services for
Persons with Limited English Proficiency,”seeks to improve access to federally assisted
programs and activities for individuals who,because of national origin,have Limited English
proficiency (LEP).Subrecipient understands that denying a person access to its programs,
services,and activities because of LEP is a form of national origin discrimination prohibited
under Title VI of the Civil Rights Act of 1964 and the Department of the Treasury’s
implementing regulations.Accordingly,Subrecipient shall initiate reasonable steps,or comply
with the Department of the Treasury’s directives,to ensure that LEP persons have meaningful
access to its programs,services,and activities.Subrecipient understands and agrees that
meaningful access may entail providing language assistance services,including oral
interpretation and written translation where necessary,to ensure effective communication in the
Subrecipient’s programs,services,and activities.
3.Subrecipient agrees to consider the need for language services for LEP persons when
Subrecipient develops applicable budgets and conducts programs,services,and activities.As a
resource,the Department of the Treasury has published its LEP guidance at 70 FR 6067.For
more information on taking reasonable steps to provide meaningful access for LEP persons,
please visit http://.lep.gov.
Exhibit 0-Page 7 of9
r EXHIBIT A
discrimination,please so state.
10.If the Subrecipient makes sub-awards to other agencies or other entities,the Subrecipient is
responsible for ensuring that sub-Subrecipients also comply with Title VI and other applicable
authorities covered in this document State agencies that make sub-awards must have in place
standard grant assurances and review procedures to demonstrate that that they are effectively
monitoring the civil rights compliance of sub-Subrecipients.
The United States of America has the right to seek judicial enforcement of the terms of this assurances
document and nothing in this document alters or limits the federal enforcement measures that the
United States may take in order to address violations of this document or applicable federal law.
Exhibit 0-Page 9 of9
EXHIBIT A
EXHIBIT Q
SAMPLE SLFRF REPORTING MODIFICATION FORM
Local Agency:Agreement No:
Project Title:
Project Duration:
State Agency:
This form serves as notification that there has been a change to the reporting requirements set forth in the
original SLFRF Grant Agreement.
The following reporting requirements have been (add!remove additional rows as necessary):
Updated Reporting Project Number Reporting Requirement
Requirement
(Add/Delete/Modify)
By signing this form,the Local Agency agrees to and acknowledges the changes to the reporting requirements
set forth in the original SLFRF Grant Agreement.All other terms and conditions of the original SLFRF Grant
Agreement,with any approved modifications,remain in full force and effect.Grantee shall submit this form to
the State Agency within 10 business days of the date sent by that Agency.
Local Agency
CDOT Program Manager
Exhibit Q -Page I of I
CDOT
Project No:
From:
EXHIBIT A
EXHIBIT S
CHECKLIST OF REQUIRED EXHIBITS DEPENDENT ON FUNDING SOURCE
Checklist for required exhibits due to funding sources.Required Exhibits are dependent on the source of funding.This is
a guide to assist in the incorporation and completion of Exhibits in relation to funding sources.
Exhibit Funding only from Funding only from FHWA and ARPA Funding
FHWA ARPA
EXHIBIT A,
SCOPE OF WORK
EXHIBIT B,
SAMPLE OPTION LETTER
EXHIBIT C,
FUNDING PROVISIONS
EXHIBIT D,
LOCAL AGENCY
RESOLUTION (IF
APPLICABLE)
EXHIBIT E,
LOCAL AGENCY
AGREEMENT
ADMINISTRATION
CHECKLIST
EXHIBIT F,
CERTIFICATION FOR
FEDERAL-AID
AGREEMENTS
EXHIBIT G,
DISADVANTAGED
BUSINESS ENTERPRISE
EXHIBIT I-I,
LOCAL AGENCY
PROCEDURES FOR
CONSULTANT SERVICES
EXHIBIT I,
FEDERAL-AID AGREEMENT
PROVISIONS FOR
CONSTRUCTION
AGREEMENTS
EXHIBIT J,
ADDITIONAL FEDERAL
REQUIREMENTS
EXHIBIT K,
FFATA SUPPLEMENTAL
FEDERAL PROVISIONS
EXHIBIT L,
SAMPLE SUBRECIPIENT
MONITORING AND RISK
ASSESSMENT FORM
EXHIBIT M,
0MB UNIFORM GUIDANCE
FOR FEDERAL AWARDS
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