HomeMy WebLinkAbout2023-025-03/21/2023-AUTHORIZING THE EXECUTION OF AN INTERGOVERNMENTAL AGREEMENT BETWEEN THE CITY OF FORT COLLINS AND THERESOLUTION 2023-025
OF THE COUNCIL OF THE CITY OF FORT COLLINS
AUTHORIZING THE EXECUTION OF AN INTERGOVERNMENTAL AGREEMENT
BETWEEN THE CITY OF FORT COLLINS AND THE
COLORADO DEPARTMENT OF TRANSPORTATION FOR THE
TIMBERLINE MULBERRY LINCOLN INTERSECTION PROJECT
WHEREAS,the intersection of Timberline Road,Mulberry Street,and Lincoln Avenue
experiences significant congestion for northbound Timberline Road traffic turning onto westbound
Lincoln Avenue,causing traffic to back up onto westbound Mulberry Street,east of Timberline
Road;and
WHEREAS,southbound Timberline Road traffic also experiences congestion at the
intersection with Mulberry Street that causes traffic to block the intersection with Lincoln Avenue;
and
WHEREAS,the intersection of Timberline Road and Lincoln Avenue is of particular
concern as vehicles attempt to cross or turn from eastbound Lincoln Avenue through the
congestion of queued vehicles on southbound Timberline Road with limited visibility of oncoming
traffic;and
WHEREAS,the proximity of these two intersections creates significant conflicts and
safety concerns;and
WHEREAS,the Timberline Mulberry Lincoln Intersection Project (the Project)has been
developed to address these safety concerns and eliminate most of the conflicts presented by this
intersection;and
WHEREAS,the Project’s proposed improvements will reconfigure medians on Timberline
Road to create space for double left turn lanes for southbound Timberline Road onto eastbound
Mulberry Street,as well as create space for a channelized “T intersection”at Timberline Road and
Lincoln Avenue;and
WHEREAS,the Project improvements include installation of an innovative “P-Turn”(also
referred to as a “Michigan Left Turn”)on the northwest corner of the Timberline Road and Lincoln
Avenue intersection to accommodate westbound through traffic and northbound left turns at the
Timberline Road and Lincoln Avenue intersection;and
WHEREAS,in 2018 and 2021,the City appropriated Community Capital Improvement
Program (CCIP)Arterial Intersection Improvement funds to this Project in the amount of $50,000
in 2018 and in the amount of $176,349 in 2021,with a portion of this CCIP funding used to
complete a feasibility study and conceptual design for the Project;and
WHEREAS,in 2020,an adjacent development contributed $23,651 in Capital Projects
Fund Reserves to this Project by paying funds in lieu of land dedication pursuant to the
development review process;and
WHEREAS,in 2020,the Project was placed on hold during a portion of the pandemic due
to staffing issues;and
WHEREAS,in 2020,the City was awarded fiscal year 2023 Highway Safety Improvement
Program (HSIP)grant funds totaling $1,523,915 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 HSIP grant funding became available to the City in the State fiscal year
2023,which began July 2022 and requires the City to provide local matching funds totaling
$169,324;and
WHEREAS,the remaining CCIP Arterial Intersection Improvement funds from the prior
appropriations in 2018 and 2021 and the development payment-in-lieu funds will fulfill the City’s
local funding match obligation for this 1-ISIP award;and
WHEREAS,CDOT has proposed an Intergovernmental Agreement (IGA)between CDOT
and the City that outlines the terms and conditions of the use of the HSIP grant funds;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 the 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,City Charter Article II,Section 16 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,Municipal 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
$169,324;and
WHEREAS,the City Council has determined that the Project and the HSIP grant funding
are 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,
the Intergovernmental Agreement with the Colorado Department of Transportation,in
substantially the form attached hereto as Exhibit A,with additional or modified terms and
conditions as 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.
Passed and adopted at a regular meeting of the Council of the City of Fort Collins this 21st
day of March,2023.a’
*1
ATTEST:
City Clerk
STATE OF COLORADO INTERGOVERNMENTAL AGREEMENT
Signature and Cover Page
State Agency
Department of Transportation
Agreement Routing Number
23-HA4-XC-00130
Local Agency
CITY OF FORT COLLINS
Agreement Effective Date
The later of the effective date or
September 14, 2022
Agreement Description
The purpose of this project is to design the
Timberline Mulberry Lincoln Intersection.
Agreement Expiration Date
September 13, 2032
Project #
SHO M455-
137 (23896)
Region #
4
Contract Writer
WMH
Agreement Maximum Amount
$1,693,239.00
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
CITY OF FORT COLLINS
___________________________________________
Signature
___________________________________________
By: (Print Name and Title)
Date: _________________________
STATE OF COLORADO
Jared S. Polis, Governor
Department of Transportation
Shoshana M. Lew, Executive Director
___________________________________________
Stephen Harelson, P.E., Chief Engineer
Date: _________________________
2nd State or Local Agency Signature if Needed
___________________________________________
Signature
___________________________________________
By: (Print Name and Title)
Date: _________________________
LEGAL REVIEW
Philip J. Weiser, Attorney General
___________________________________________
Assistant Attorney General
___________________________________________
By: (Print Name and Title)
Date: _________________________
In accordance with §24-30-202 C.R.S., this Agreement is not valid until signed and dated below by the State
Controller or an authorized delegate.
STATE CONTROLLER
Robert Jaros, CPA, MBA, JD
By: ___________________________________________
Department of Transportation
Effective Date: _____________________
EXHIBIT A TO RESOLUTION 2023-025
TABLE OF CONTENTS
1.PARTIES ................................................................................................................................................. 2
2.TERM AND EFFECTIVE DATE ........................................................................................................... 2
3.AUTHORITY .......................................................................................................................................... 3
4.PURPOSE ................................................................................................................................................ 4
5.DEFINITIONS ........................................................................................................................................ 4
6.SCOPE OF WORK ................................................................................................................................. 7
7.PAYMENTS .......................................................................................................................................... 11
8.REPORTING - NOTIFICATION ......................................................................................................... 15
9.LOCAL AGENCY RECORDS ............................................................................................................. 16
10.CONFIDENTIAL INFORMATION-STATE RECORDS .................................................................... 17
11.CONFLICTS OF INTEREST ................................................................................................................ 18
12.INSURANCE ........................................................................................................................................ 18
13.BREACH ............................................................................................................................................... 20
14.REMEDIES ........................................................................................................................................... 20
15.DISPUTE RESOLUTION ..................................................................................................................... 22
16.NOTICES AND REPRESENTATIVES ............................................................................................... 22
17.RIGHTS IN WORK PRODUCT AND OTHER INFORMATION ...................................................... 23
18.GOVERNMENTAL IMMUNITY ........................................................................................................ 24
19.STATEWIDE CONTRACT MANAGEMENT SYSTEM .................................................................... 24
20.GENERAL PROVISIONS .................................................................................................................... 24
21.COLORADO SPECIAL PROVISIONS (COLORADO FISCAL RULE 3-3) ..................................... 27
22.FEDERAL REQUIREMENTS ............................................................................................................. 29
23.DISADVANTAGED BUSINESS ENTERPRISE (DBE) ..................................................................... 29
EXHIBIT A, SCOPE OF WORK
EXHIBIT B, SAMPLE OPTION LETTER
EXHIBIT C, FUNDING PROVISIONS (Budget)
EXHIBIT D, LOCAL AGENCY RESOLUTION
EXHIBIT E, LOCAL AGENCY AGREEMENT ADMINISTRATION CHECKLIST
EXHIBIT F, CERTIFICATION FOR FEDERAL-AID AGREEMENTS
EXHIBIT G, DISADVANTAGED BUSINESS ENTERPRISE
EXHIBIT H, 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, OMB UNIFORM GUIDANCE FOR FEDERAL AWARDS
EXHIBIT N, FEDERAL TREASURY PROVISIONS
EXHIBIT O, AGREEMENT WITH SUBRECIPIENT OF FEDERAL RECOVERY FUNDS
EXHIBIT P, SLFRF SUBRECIPIENT QUARTERLY REPORT
EXHIBIT Q, SLFRF REPORTING MODIFICATION FORM
EXHIBIT R, APPLICABLE FEDERAL AWARDS
EXHIBIT S, PII CERTIFICATION
EXHIBIT T, CHECKLIST OF REQUIRED EXHIBITS DEPENDENT ON FUNDING SOURCE
1.PARTIES
This Agreement is entered into by and between Local Agency named on the Signature and Cover Page for this
Agreement (“Local Agency”), and the STATE OF COLORADO acting by and through the State agency named
on the Signature and Cover Page for this Agreement (the “State” or “CDOT”). Local Agency and the State agree
to the terms and conditions in this Agreement.
2.TERM AND EFFECTIVE DATE
A.Effective Date
EXHIBIT A TO RESOLUTION 2023-025
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 1) 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 §7.B.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 September 13,
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 Agreement by Option Letter pursuant §7.E.iv. 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 specify 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, if this Agreement is less than 60% 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.
3.AUTHORITY
EXHIBIT A TO RESOLUTION 2023-025
Authority to enter into this Agreement exists in the law as follows:
A.Federal Authority
Pursuant to Title I, Subtitle A, of the “Fixing America’s Surface Transportation Act” (FAST Act) of 2015,
and to applicable provisions of Title 23 of the United States Code and implementing regulations at Title 23
of the Code of Federal Regulations, as may be amended, (collectively referred to hereinafter as the
“Federal Provisions”), certain federal funds have been and are expected to continue to be allocated for
transportation projects requested by Local Agency and eligible under the Surface Transportation
Improvement Program that has been proposed by the State and approved by the Federal Highway
Administration (“FHWA”).
Pursuant to Title VI of the Social Security Act, Section 602 of the “Coronavirus State and Local Fiscal
Recovery Funds”, a part of the American Rescue Plan, provides state, local and Tribal governments with the
resources needed to respond to the pandemic and its economic effects and to build a stronger, more equitable
economy during the recovery.
B.State Authority
Pursuant to CRS §43-1-223 and to applicable portions of the Federal Provisions, the State is responsible for
the general administration and supervision of performance of projects in the Program, including the
administration of federal funds for a Program project performed by a Local Agency under a contract with the
State. This Agreement is executed under the authority of CRS §§29-1-203, 43-1-110; 43-1-116, 43-2-
101(4)(c) and 43-2-104.5.
4.PURPOSE
The purpose of this Agreement is to disburse Federal funds to the Local Agency pursuant to CDOT’s Stewardship
Agreement with the FHWA and/or USDT as shown in Exhibit C.
5.DEFINITIONS
The following terms shall be construed and interpreted as follows:
A.“Agreement” means this agreement, including all attached Exhibits, all documents incorporated by
reference, all referenced statutes, rules and cited authorities, and any future modifications thereto.
B.“Agreement Funds” means the funds that have been appropriated, designated, encumbered, or otherwise
made available for payment by the State under this Agreement.
C.“ARPA” means American Rescue Plan Act, funded by the US Department of the Treasury (“USDT”). See
“SLFRF” below.
D.“Award” means an award by a Recipient to a Subrecipient funded in whole or in part by a Federal Award.
The terms and conditions of the Federal Award flow down to the Award unless the terms and conditions of
the Federal Award specifically indicate otherwise.
E.“Budget” means the budget for the Work described in Exhibit C.
F.“Business Day” means any day in which the State is open and conducting business, but shall not include
Saturday, Sunday or any day on which the State observes one of the holidays listed in §24-11-101(1) C.R.S..
G.“Chief Procurement Officer” means the individual to whom the Executive Director has delegated his or
her authority pursuant to §24-102-202 to procure or supervise the procurement of all supplies and services
needed by the State.
H.“CJI” means criminal justice information collected by criminal justice agencies needed for the performance
of their authorized functions, including, without limitation, all information defined as criminal justice
information by the U.S. Department of Justice, Federal Bureau of Investigation, Criminal Justice
Information Services Security Policy, as amended and all Criminal Justice Records as defined under §24-
72-302, C.R.S.
I.“Consultant” means a professional engineer or designer hired by Local Agency to design the Work Product.
J.“Contractor” means the general construction contractor hired by Local Agency to construct the Work.
EXHIBIT A TO RESOLUTION 2023-025
K.“CORA” means the Colorado Open Records Act, §§24-72-200.1 et. seq., C.R.S.
L.“Effective Date” means the date on which this Agreement is approved and signed by the Colorado State
Controller or designee, as shown on the Signature and Cover Page for this Agreement.
M.“Evaluation” means the process of examining Local Agency’s Work and rating it based on criteria
established in §6, Exhibit A and Exhibit E.
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 O, 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, PII Certification
xx.Exhibit T, Checklist of Required Exhibits Dependent on Funding Source
O.“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.
EXHIBIT A TO RESOLUTION 2023-025
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.B.
W.“Local Funds” means the funds provided by the Local Agency as their obligated contribution to the federal
and/or State Awards to receive the federal and/or State funding.
X.“Notice to Proceed” means the letter issued by the State to the Local Agency stating the date the Local
Agency can begin work subject to the conditions of this Agreement.
Y.“OMB” means the Executive Office of the President, Office of Management and Budget.
Z.“Oversight” means the term as it is defined in the Stewardship Agreement between CDOT and the FHWA.
AA. “Party” means the State or Local Agency, and “Parties” means both the State and Local Agency.
BB. “PCI” means payment card information including any data related to credit card holders’ names, credit card
numbers, or the other credit card information as may be protected by state or federal law.
CC.“PHI” means any protected health information, including, without limitation any information whether oral
or recorded in any form or medium: (i) that relates to the past, present or future physical or mental condition
of an individual; the provision of health care to an individual; or the past, present or future payment for the
provision of health care to an individual; and (ii) that identifies the individual or with respect to which there
is a reasonable basis to believe the information can be used to identify the individual. PHI includes, but is
not limited to, any information defined as Individually Identifiable Health Information by the federal Health
Insurance Portability and Accountability Act.
DD.“PII” means personally identifiable information including, without limitation, any information maintained
by the State about an individual that can be used to distinguish or trace an individual‘s identity, such as
name, social security number, date and place of birth, mother‘s maiden name, or biometric records; and any
other information that is linked or linkable to an individual, such as medical, educational, financial, and
employment information. PII includes, but is not limited to, all information defined as personally
identifiable information in §24-72-501 C.R.S. “PII” shall also mean “personal identifying information” as
set forth at § 24-74-102, et. seq., C.R.S.
EE. “Recipient” means the Colorado Department of Transportation (CDOT) for this Federal Award.
FF. “Services” means the services to be performed by Local Agency as set forth in this Agreement and shall
include any services to be rendered by Local Agency in connection with the Goods.
GG. “SLFRF” means State and Local Fiscal Recovery Funds, provided by ARPA, funded by the US Treasury
Department.
HH. “Special Funding” means an award by Federal agency or the State which may include but is not limited to
one or a combination of Multimodal Transportation & Mitigation Options Funding, Revitalizing Main
Streets, Safer Main Streets, Stimulus Funds, Coronavirus Response and Relief Supplemental Funds, ARPA,
SLFRF, or COVID Relief.
II.“State Confidential Information” means any and all State Records not subject to disclosure under CORA.
State Confidential Information shall include, but is not limited to, PII and State personnel records not subject
to disclosure under CORA.
JJ. “State Fiscal Rules” means the fiscal rules promulgated by the Colorado State Controller pursuant to §24-
30-202(13)(a).
KK. “State Fiscal Year” means a 12-month period beginning on July 1 of each calendar year and ending on
June 30 of the following calendar year. If a single calendar year follows the term, then it means the State
Fiscal Year ending in that calendar year.
LL.“State Purchasing Director” means the position described in the Colorado Procurement Code and its
implementing regulations.
EXHIBIT A TO RESOLUTION 2023-025
MM. “State Records” means any and all State data, information, and records, regardless of physical form,
including, but not limited to, information subject to disclosure under CORA.
NN. “Sub-Award” means this Award by the State to Local Agency funded in whole or in part by a Federal
Award. The terms and conditions of the Federal Award flow down to this Sub-Award unless the terms and
conditions of the Federal Award specifically indicate otherwise.
OO. “Subcontractor” means third parties, if any, engaged by Local Agency to aid in performance of the Work.
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 OMB
Circulars A-21, A-87, A-110, A-122, A-89, A-102, and A-133, and the guidance in Circular A-50 on Single
Audit Act follow-up.
SS. “USDT” The United States Department of the Treasury (USDT) is the national treasury and finance
department of the federal government of the United States where it serves as an executive department. The
USDT funds ARPA.
TT. “Work” means the delivery of the Goods and performance of the Services in compliance with CDOT’s
Local Agency Manual described in this Agreement.
UU. “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. SCOPE OF WORK
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 Agreement Expiration Date and/or to extend the period of performance for a
phase of Work authorized under this Agreement. To exercise these options to extend the Agreement Expiration
Date and/or to update the 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 the Agreement
Expiration Date and/or the 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:
EXHIBIT A TO RESOLUTION 2023-025
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.
e. Stamp the Plans as produced by a Colorado registered professional engineer.
f. Provide final assembly of Plans and all other necessary documents.
g. Ensure the Plans are accurate and complete.
h. Make no further changes in the Plans following the award of the construction contract to Contractor
unless agreed to in writing by the Parties. The Plans shall be considered final when approved in
writing by CDOT, and when final, they will be deemed incorporated herein.
ii. Local Agency Work
a. Local Agency shall comply with the requirements of the Americans With Disabilities Act (ADA)
42 U.S.C. § 12101, et. seq., and applicable federal regulations and standards as contained in the
document “ADA Accessibility Requirements in CDOT Transportation Projects”.
b. Local Agency shall afford the State ample opportunity to review the Plans and shall make any
changes in the Plans that are directed by the State to comply with FHWA requirements.
c. Local Agency may enter into a contract with a Consultant to perform all or any portion of the Plans
and/or construction administration. Provided, however, if federal-aid funds are involved in the cost
of such Work to be done by such Consultant, such Consultant contract (and the performance
provision of the Plans under the contract) must comply with all applicable requirements of 23 C.F.R.
Part 172 and with any procedures implementing those requirements as provided by the State,
including those in Exhibit H. If Local Agency enters into a contract with a Consultant for the Work:
1) Local Agency shall submit a certification that procurement of any Consultant contract complies
with the requirements of 23 C.F.R. 172.5(1) prior to entering into such Consultant contract,
subject to the State’s approval. If not approved by the State, Local Agency shall not enter into
such Consultant contract.
2) Local Agency shall ensure that all changes in the Consultant contract have prior approval by
the State and FHWA and that they are in writing. Immediately after the Consultant contract has
been awarded, one copy of the executed Consultant contract and any amendments shall be
submitted to the State.
3) Local Agency shall require that all billings under the Consultant contract comply with the
State’s standardized billing format. Examples of the billing formats are available from the
CDOT Agreements Office.
4) Local Agency (and any Consultant) shall comply with 23 C.F.R. 172.5(b) and (d) and use the
CDOT procedures described in Exhibit H to administer the Consultant contract.
5) Local Agency may expedite any CDOT approval of its procurement process and/or Consultant
contract by submitting a letter to CDOT from Local Agency’s attorney/authorized
representative certifying compliance with Exhibit H and 23 C.F.R. 172.5(b)and (d).
6) Local Agency shall ensure that the Consultant contract complies with the requirements of 49
CFR 18.36(i) and contains the following language verbatim:
(a) The design work under this Agreement shall be compatible with the requirements of the
contract between Local Agency and the State (which is incorporated herein by this
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reference) for the design/construction of the project. The State is an intended third-party
beneficiary of this agreement for that purpose.
(b) Upon advertisement of the project work for construction, the consultant shall make
available services as requested by the State to assist the State in the evaluation of
construction and the resolution of construction problems that may arise during the
construction of the project.
(c) The consultant shall review the construction Contractor’s shop drawings for conformance
with the contract documents and compliance with the provisions of the State’s publication,
Standard Specifications for Road and Bridge Construction, in connection with this work.
(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:
1) 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 CDOT Local Agency Manual
(https://www.codot.gov/business/designsupport/bulletins_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 three (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.
EXHIBIT A TO RESOLUTION 2023-025
(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 CDOT 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
Acquisition Policies for Federal and Federally Assisted Programs, as amended (49 C.F.R. Part 24),
CDOT’s Right of Way Manual, and CDOT’s Policy and Procedural Directives.
c. The Parties’ respective responsibilities for ensuring compliance with acquisition, relocation and
incidentals depend on the level of federal participation as detailed in CDOT’s Right of Way Manual
(located at http://www.codot.gov/business/manuals/right-of-way); however, the State always
retains oversight responsibilities.
d. The Parties’ respective responsibilities at each level of federal participation in CDOT’s Right of
Way Manual, and the State’s reimbursement of Local Agency costs will be determined pursuant the
following categories:
1) Right of way acquisition (3111) for federal participation and non-participation;
2) Relocation activities, if applicable (3109);
3) Right of way incidentals, if applicable (expenses incidental to acquisition/relocation of right of
way – 3114).
v. Utilities
If necessary, Local Agency shall be responsible for obtaining the proper clearance or approval from any
utility company that may become involved in the Work. Prior to the Work being advertised for bids,
Local Agency shall certify in writing to the State that all such clearances have been obtained.
vi. Railroads
If the Work involves modification of a railroad company’s facilities and such modification will be
accomplished by the railroad company, Local Agency shall make timely application to the Public
Utilities Commission (“PUC”) requesting its order providing for the installation of the proposed
improvements. Local Agency shall not proceed with that part of the Work before obtaining the PUC’s
order. Local Agency shall also establish contact with the railroad company involved for the purpose of
complying with applicable provisions of 23 C.F.R. 646, subpart B, concerning federal-aid projects
involving railroad facilities, and:
a. Execute an agreement with the railroad company setting out what work is to be accomplished and
the location(s) thereof, and which costs shall be eligible for federal participation.
b. Obtain the railroad’s detailed estimate of the cost of the Work.
c. Establish future maintenance responsibilities for the proposed installation.
d. Proscribe in the agreement the future use or dispositions of the proposed improvements in the event
of abandonment or elimination of a grade crossing.
e. Establish future repair and/or replacement responsibilities, as between the railroad company and the
Local Agency, in the event of accidental destruction or damage to the installation.
vii. Environmental Obligations
Local Agency shall perform all Work in accordance with the requirements of current federal and State
environmental regulations, including the National Environmental Policy Act of 1969 (NEPA) as
applicable.
EXHIBIT A TO RESOLUTION 2023-025
viii. Maintenance Obligations
Local Agency shall maintain and operate the Work constructed under this Agreement at its own cost and
expense during their useful life, in a manner satisfactory to the State and FHWA. Local Agency shall
conduct such maintenance and operations in accordance with all applicable statutes, ordinances, and
regulations pertaining to maintaining such improvements. The State and FHWA may make periodic
inspections to verify that such improvements are being adequately maintained.
ix. Monitoring Obligations
Local Agency shall respond in a timely manner to and participate fully with the monitoring activities
described in §7.F.vi.
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. If 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 under 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 1% per month, as required by §24-30-
202(24)(a), C.R.S., 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
EXHIBIT A TO RESOLUTION 2023-025
If 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
a.The State is prohibited by law from making commitments beyond the term of the current State Fiscal
Year. Payment to Local Agency beyond the current State Fiscal Year is contingent on the
appropriation and continuing availability of Agreement Funds in any subsequent year (as provided
in the Colorado Special Provisions). If federal funds or funds from any other non-State funds
constitute all or some of the Agreement Funds, the State’s obligation to pay Local Agency shall be
contingent upon such non-State funding continuing to be made available for payment. Payments to
be made pursuant to this Agreement shall be made only from Agreement Funds, and the State’s
liability for such payments shall be limited to the amount remaining of such Agreement Funds. If
State, federal or other funds are not appropriated, or otherwise become unavailable to fund this
Agreement, the State may, upon written notice, terminate this Agreement, in whole or in part,
without incurring further liability. The State shall, however, remain obligated to pay for Services
and Goods that are delivered and accepted prior to the effective date of notice of termination, and
this termination shall otherwise be treated as if this Agreement were terminated in the public interest
as described in §2.C.
b.If the agreement funds are terminated, the State can terminate the contract early. Payment due for
work done to the date of termination will be processed in a manner consistent with §2.C.
v.Erroneous Payments
The State may recover, at the State’s discretion, payments made to Local Agency in error for any reason,
including, but not limited to, overpayments or improper payments, and unexpended or excess funds
received by Local Agency. The State may recover such payments by deduction from subsequent
payments under this Agreement, deduction from any payment due under any other contracts, grants or
agreements between the State and Local Agency, or by any other appropriate method for collecting debts
owed to the State. The close out of a Federal Award does not affect the right of FHWA or the State to
disallow costs and recover funds on the basis of a later audit or other review. Any cost disallowance
recovery is to be made within the Record Retention Period (as defined below in §9.A.).
vi.Federal Recovery
The close-out of a Federal Award does not affect the right of the Federal Awarding Agency or the State
to disallow costs and recover funds on the basis of a later audit or other review. Any cost disallowance
recovery is to be made within the Record Retention Period, as defined below.
C.Local Agency Funds
Local Agency shall provide their obligated contribution funds as outlined in §7.A. and Exhibit C. Local
Agency shall have raised the full amount of their funds prior to the Effective Date and shall report to the
State regarding the status of such funds upon request. Local Agency’s obligation to pay all or any part of any
matching funds, whether direct or contingent, only extend to funds duly and lawfully appropriated for the
purposes of this Agreement by the authorized representatives of Local Agency and paid into Local Agency’s
treasury. Local Agency represents to the State that the amount designated “Local Agency Funds” in Exhibit
C has been legally appropriated for the purpose of this Agreement by its authorized representatives and paid
into its treasury. Local Agency may evidence such obligation by an appropriate ordinance/resolution or other
authority letter expressly authorizing Local Agency to enter into this Agreement and to expend its match
share of the Work. A copy of any such ordinance/resolution or authority letter is attached hereto as Exhibit
D if applicable. Local Agency does not by this Agreement irrevocably pledge present cash reserves for
payments in future fiscal years, and this Agreement is not intended to create a multiple-fiscal year debt of
EXHIBIT A TO RESOLUTION 2023-025
Local Agency. Local Agency shall not pay or be liable for any claimed interest, late charges, fees, taxes, or
penalties of any nature, except as required by Local Agency’s laws or policies.
D. Reimbursement of Local Agency Costs
The State shall reimburse Local Agency’s allowable costs, not exceeding the maximum total amount
described in Exhibit C and §7. However, any costs incurred by Local Agency 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. The State shall pay Local Agency for costs or expenses incurred or performance by
the Local Agency prior to the Effective Date, only if (1) the Grant Funds involve federal funding and (2)
federal laws, rules, and regulations applicable to the Work provide for such retroactive payments to the Local
Agency. Any such retroactive payments shall comply with State Fiscal Rules and be made in accordance
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 Letters 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. This is NOT a Notice to Proceed. 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 modify 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 change the funding sources so long
as the amount budgeted remains the same and the Local Agency contribution does not increase. The
State may also issue a unilateral Option Letter to increase and/or 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-1
(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-1 (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
EXHIBIT A TO RESOLUTION 2023-025
fully executed Option Letter to Local Agency 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-1 (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.
iv. Option to Extend Agreement/Phase Term and/or modify the OMB Uniform Guidance. The State, at its
discretion, shall have the option to extend the term of this Agreement and/or update a Work Phase
Performance Period and/or modify information required under the OMB Uniform Guidance, as outlined
in Exhibit C. Any updated version of Exhibit C shall be attached to any executed Option Letter as
Exhibit C-1 (with subsequent exhibits labeled C-2, C-3, etc.). In order to exercise this option, the State
shall provide written notice to the Local Agency in a form substantially equivalent to Exhibit B.
F. Accounting
Local Agency shall establish and maintain accounting systems in accordance with generally accepted
accounting standards (a separate set of accounts, or as a separate and integral part of its current accounting
scheme). Such accounting systems shall, at a minimum, provide as follows:
i. Local Agency Performing the Work
If Local Agency is performing the Work, it shall document all allowable costs, including any approved
Services contributed by Local Agency or subcontractors, using payrolls, time records, invoices,
contracts, vouchers, and other applicable records.
ii. Local Agency-Checks or Draws
Checks issued or draws made by Local Agency shall be made or drawn against properly signed vouchers
detailing the purpose thereof. Local Agency shall keep on file all checks, payrolls, invoices, contracts,
vouchers, orders, and other accounting documents in the office of Local Agency, clearly identified,
readily accessible, and to the extent feasible, separate and apart from all other Work documents.
iii. State-Administrative Services
The State may perform any necessary administrative support services required hereunder. Local Agency
shall reimburse the State for the costs of any such services from the budgeted Agreement Funds as
provided for in Exhibit C. If FHWA Agreement Funds are or become unavailable, or if Local Agency
terminates this Agreement prior to the Work being approved by the State or otherwise completed, then
all actual incurred costs of such services and assistance provided by the State shall be reimbursed to the
State by Local Agency at its sole expense.
iv. Local Agency-Invoices
Local Agency’s invoices shall describe in detail the reimbursable costs incurred by Local Agency for
which it seeks reimbursement, the dates such costs were incurred and the amounts thereof, and Local
Agency shall not submit more than one invoice per month.
v. Invoicing Within 60 Days
The State shall not be liable to reimburse Local Agency for any costs invoiced more than 60 days after
the date on which the costs were incurred, including costs included in Local Agency’s final invoice. The
State may withhold final payment to Local Agency at the State’s sole discretion until completion of final
audit. Any costs incurred by Local Agency that are not allowable under 2 C.F.R. Part 200 shall be Local
Agency’s responsibility, and the State will deduct such disallowed costs from any payments due to Local
Agency. The State will not reimburse costs for Work performed after the Performance Period End Date
for a respective Work phase. The State will not reimburse costs for Work performed prior to Performance
EXHIBIT A TO RESOLUTION 2023-025
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. 200.331(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.
• Monitoring/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 that portion of the 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 5% of allowable costs until all final documentation has been submitted and accepted by the State
as substantially complete. If FHWA or US Treasury has not closed this Federal Award within one (1) 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 ten (10) 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.
EXHIBIT A TO RESOLUTION 2023-025
B. Litigation Reporting
If Local Agency is served with a pleading or other document in connection with an action before a court or
other administrative decision making body, and such pleading or document relates to this Agreement or may
affect Local Agency’s ability to perform its obligations under this Agreement, Local Agency shall, within 10
days after being served, notify the State of such action and deliver copies of such pleading or document to
the State’s principal representative identified in §16.
C. Performance and Final Status
Local Agency shall submit all financial, performance and other reports to the State no later than 60 calendar
days after the Final Phase Performance End Date or sooner termination of this Agreement, containing an
Evaluation of Subrecipient’s performance and the final status of Subrecipient’s obligations hereunder.
D. Violations Reporting
Local Agency must disclose, in a timely manner, in writing to the State and FHWA, all violations of federal
or State criminal law involving fraud, bribery, or gratuity violations potentially affecting the Federal Award.
Penalties for noncompliance may include suspension or debarment (2 CFR Part 180 and 31 U.S.C. 3321).
9. LOCAL AGENCY RECORDS
A. Maintenance
Local Agency shall make, keep, maintain, and allow inspection and monitoring by the State of a complete
file of all records, documents, communications, notes and other written materials, electronic media files, and
communications, pertaining in any manner to the Work or the delivery of Services (including, but not limited
to the operation of programs) or Goods hereunder. Local Agency shall maintain such records for a period
(the “Record Retention Period”) pursuant to the requirements of the funding source and for a minimum of
three (3) years following the date of submission to the State of the final expenditure report, whichever is
longer, or if this Award is renewed quarterly or annually, from the date of the submission of each quarterly
or annual report, respectively. If any litigation, claim, or audit related to this Award starts before expiration
of the Record Retention Period, the Record Retention Period shall extend until all litigation, claims, or audit
findings have been resolved and final action taken by the State or Federal Awarding Agency. The Federal
Awarding Agency, a cognizant agency for audit, oversight or indirect costs, and the State, may notify Local
Agency in writing that the Record Retention Period shall be extended. For records for real property and
equipment, the Record Retention Period shall extend three (3) years following final disposition of such
property.
B. Inspection
Records during the Record Retention Period. Local Agency shall make Local Agency Records available
during normal business hours at Local Agency’s office or place of business, or at other mutually agreed upon
times or locations, upon no fewer than two (2) Business Days’ notice from the State, unless the State
determines that a shorter period of notice, or no notice, is necessary to protect the interests of the State.
C. Monitoring
The State will monitor Local Agency’s performance of its obligations under this Agreement using procedures
as determined by the State. The State shall monitor Local Agency’s performance in a manner that does not
unduly interfere with Local Agency’s performance of the Work. Local Agency shall allow the State to
perform all monitoring required by the Uniform Guidance, based on the State’s risk analysis of Local Agency.
The State shall have the right, in its sole discretion, to change its monitoring procedures and requirements at
any time during the term of this Agreement. The State shall monitor Local Agency’s performance in a
manner that does not unduly interfere with Local Agency’s performance of the Work. If Local Agency enters
into a subcontract with an entity that would also be considered a Subrecipient, then the subcontract entered
into by Local Agency shall contain provisions permitting both Local Agency and the State to perform all
monitoring of that Subcontractor in accordance with the Uniform Guidance.
D. Final Audit Report
Local Agency shall promptly submit to the State a copy of any final audit report of an audit performed on
Local Agency’s records that relates to or affects this Agreement or the Work, whether the audit is conducted
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by Local Agency or a third party. 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. CONFIDENTIAL INFORMATION-STATE 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 exclusive benefit of the
State, unless those State Records are otherwise 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 party, or permit
the use by any third party 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, publications, 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 Safeguarding 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.
Department of Justice, Federal Bureau of Investigation, Criminal Justice Information Services Security
Policy for all CJI, and (iv) the federal Health Insurance Portability and Accountability Act for all PHI and
the HIPAA Business Associate Agreement attached to this Award, if applicable. Local Agency shall
immediately 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 confidentiality of all State Confidential Information wherever located. Local
Agency shall provide the State with access, subject to Local Agency’s reasonable security requirements, for
purposes 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 certify to the State that it
has done so, as directed by the State. If Local Agency is prevented by law or regulation from returning or
destroying State Confidential Information, Local Agency warrants it will guarantee the confidentiality of,
and cease to use, such State Confidential Information.
D. Incident Notice and Remediation
If Local Agency becomes aware of any Incident, it shall notify the State immediately 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, employees, 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 incurring a similar type of Incident in the future as directed by the State, which
EXHIBIT A TO RESOLUTION 2023-025
may include, but is not limited to, developing, and implementing a remediation plan that is approved by the
State at no additional cost to the State.
E. Safeguarding Personally Identifying Information “PII”
If Local Agency or any of its Subcontracts will or may receive PII under this agreement, Local Agency shall
provide for the security for such PII, in a manner and form acceptable to the State, including, without
limitation, State non-disclosure requirements, use of appropriate technology, security practices, computer
access security, data access security, data storage encryption, data transmission encryption, security
inspections, and audits. Local Agency shall be a “Third Party Service Provider” as defined in §24-73-
103(1)(i), C.R.S. and shall maintain security procedures and practices consistent with §§24-73-101 et seq.,
C.R.S. In addition, as set forth in § 24-74-102, et. seq., C.R.S., Contractor, including, but not limited to,
Contractor’s employees, agents and Subcontractors, agrees not to share any PII with any third parties for the
purpose of investigating for, participating in, cooperating with, or assisting with Federal immigration
enforcement. If Contractor is given direct access to any State databases containing PII, Contractor shall
execute, on behalf of itself and its employees, the certification attached hereto as Exhibit S on an annual
basis Contractor’s duty and obligation to certify as set forth in Exhibit S shall continue as long as Contractor
has direct access to any State databases containing PII. If Contractor uses any Subcontractors to perform
services requiring direct access to State databases containing PII, the Contractor shall require such
Subcontractors to execute and deliver the certification to the State on an annual basis, so long as the
Subcontractor has access to State databases containing PII.
11. CONFLICTS OF INTEREST
A. Actual Conflicts of Interest
Local Agency shall not engage in any business or activities or maintain any relationships that conflict in any
way with the full performance of the obligations of Local Agency under this Agreement. Such a conflict of
interest would arise when a Local Agency or Subcontractor’s employee, officer or agent were to offer or
provide any tangible personal benefit to an employee of the State, or any member of his or her immediate
family or his or her partner, related to the award of, entry into or management or oversight of this Agreement.
Officers, employees, and agents of Local Agency may neither solicit nor accept gratuities, favors or anything
of monetary value from contractors or parties to subcontracts.
B. Apparent Conflicts of Interest
Local Agency acknowledges that, with respect to this Agreement, even the appearance of a conflict of interest
shall be harmful to the State’s interests. Absent the State’s prior written approval, Local Agency shall refrain
from any practices, activities or relationships that reasonably appear to be in conflict with the full
performance of Local Agency’s obligations under this Agreement.
C. Disclosure to the State
If a conflict or the appearance of a conflict arises, or if Local Agency is uncertain whether a conflict or the
appearance of a conflict has arisen, Local Agency shall submit to the State a disclosure statement setting
forth the relevant details for the State’s consideration. Failure to promptly submit a disclosure statement or
to follow the State’s direction in regard to the actual or apparent conflict constitutes a breach of this
Agreement.
12. INSURANCE
Local Agency shall obtain and maintain, and ensure that each Subcontractor shall obtain and maintain, insurance
as specified in this section at all times during the term of this Agreement. All insurance policies required by this
Agreement that are not provided through self-insurance shall be issued by insurance companies with an AM Best
rating of A-VIII or better.
A. Local Agency Insurance
Local Agency is a "public entity" within the meaning of the Colorado Governmental Immunity Act, §24-10-
101, et seq., C.R.S. (the “GIA”) and shall maintain at all times during the term of this Agreement such liability
insurance, by commercial policy or self-insurance, as is necessary to meet its liabilities under the GIA.
B. Subcontractor Requirements
EXHIBIT A TO RESOLUTION 2023-025
Local Agency shall ensure that each Subcontractor that is a public entity within the meaning of the GIA,
maintains at all times during the terms of this Agreement, such liability insurance, by commercial policy or
self-insurance, as is necessary to meet the Subcontractor’s obligations under the GIA. Local Agency shall
ensure that each Subcontractor that is not a public entity within the meaning of the GIA, maintains at all
times during the terms of this Agreement all of the following insurance policies:
i. Workers’ Compensation
Workers’ compensation insurance as required by state statute, and employers’ liability insurance
covering all Local Agency or Subcontractor employees acting within the course and scope of their
employment.
ii. General Liability
Commercial general liability insurance written on an Insurance Services Office occurrence form,
covering premises operations, fire damage, independent contractors, products and completed operations,
blanket contractual liability, personal injury, and advertising liability with minimum limits as follows:
a. $1,000,000 each occurrence;
b. $1,000,000 general aggregate;
c. $1,000,000 products and completed operations aggregate; and
d. $50,000 any 1 fire.
iii. Automobile Liability
Automobile liability insurance covering 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
Liability insurance covering all loss of State Confidential Information, such as PII, PHI, PCI, Tax
Information, and CJI, 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 Liability Insurance
Professional liability insurance covering 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 including employee dishonesty coverage with minimum limits as follows:
a. $1,000,000 each occurrence; and
b. $1,000,000 general aggregate.
vii. Cyber/Network Security and Privacy Liability
Liability insurance covering all civil, regulatory and statutory damages, contractual damages, data breach
management exposure, and any loss of State Confidential Information, such as PII, PHI, PCI, Tax
Information, and CJI, and claims based on alleged violations of breach, violation or infringement of right
to privacy rights through improper use or disclosure of protect consumer data protection law,
confidentiality or other legal protection for personal information, as well as State Confidential
Information with minimum limits as follows:
a. $1,000,000 each occurrence; and
EXHIBIT A TO RESOLUTION 2023-025
b. $2,000,000 general aggregate.
C. Additional Insured
The State shall be named as additional insured on all commercial general liability policies (leases and
construction contracts require additional insured coverage for completed operations) required of Local
Agency and Subcontractors. In the event of cancellation of any commercial general liability policy, the carrier
shall provide at least 10 days prior written notice to CDOT.
D. Primacy of Coverage
Coverage required of Local Agency and each Subcontractor shall be primary over any insurance or self-
insurance program carried by Local Agency or the State.
E. Cancellation
All commercial insurance policies shall include provisions preventing cancellation or non-renewal, except
for cancellation based on non-payment of premiums, without at least 30 days prior notice to Local Agency
and Local Agency shall forward such notice to the State in accordance with §16 within 7 days of Local
Agency’s receipt of such notice.
F. Subrogation Waiver
All commercial insurance policies secured or maintained by Local Agency or its Subcontractors in relation
to this Agreement shall include clauses stating that each carrier shall waive all rights of recovery under
subrogation or otherwise against Local Agency or the State, its agencies, institutions, organizations, officers,
agents, employees, and volunteers.
G. Certificates
For each commercial insurance plan provided by Local Agency under this Agreement, Local Agency shall
provide to the State certificates evidencing Local Agency’s insurance coverage required in this Agreement
within seven (7) Business Days following the Effective Date. Local Agency shall provide to the State
certificates evidencing Subcontractor insurance coverage required under this Agreement within seven (7)
Business Days following the Effective Date, except that, if Local Agency’s subcontract is not in effect as of
the Effective Date, Local Agency shall provide to the State certificates showing Subcontractor insurance
coverage required under this Agreement within seven (7) Business Days following Local Agency’s execution
of the subcontract. No later than 15 days before the expiration date of Local Agency’s or any Subcontractor’s
coverage, Local Agency shall deliver to the State certificates of insurance evidencing renewals of coverage.
At any other time during the term of this Agreement, upon request by the State, Local Agency shall, within
seven (7) Business Days following the request by the State, supply to the State evidence satisfactory to the
State of compliance with the provisions of this §12.
13. BREACH
A. Defined
The failure of a Party to perform any of its obligations in accordance with this Agreement, in whole or in part
or in a timely or satisfactory manner, shall be a breach. The institution of proceedings under any bankruptcy,
insolvency, reorganization, or similar law, by or against Local Agency, or the appointment of a receiver or
similar officer for Local Agency or any of its property, which is not vacated or fully stayed within 30 days
after the institution of such proceeding, shall also constitute a breach.
B. Notice and Cure Period
In the event of a breach, the aggrieved Party shall give written notice of breach to the other Party. If the
notified Party does not cure the breach, at its sole expense, within 30 days after the delivery of written notice,
the Party may exercise any of the remedies as described in §14 for that Party. Notwithstanding any provision
of this Agreement to the contrary, the State, in its discretion, need not provide notice or a cure period and
may immediately terminate this Agreement in whole or in part or institute any other remedy in the Agreement
in order to protect the public interest of the State.
14. REMEDIES
A. State’s Remedies
EXHIBIT A TO RESOLUTION 2023-025
If Local Agency is in breach under any provision of this Agreement and fails to cure such breach, the State,
following the notice and cure period set forth in §13.B, shall have all of the remedies listed in this §14.A. in
addition to all other remedies set forth in this Agreement or at law. The State may exercise any or all of the
remedies available to it, in its discretion, concurrently or consecutively.
i. Termination for Breach
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 canceled by the termination notice and may incur obligations as necessary 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
Notwithstanding anything to the contrary, 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 Withholding
Notwithstanding 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 is determined.
The State may withhold any amount that may be due Local Agency as the State deems necessary to
protect the State against loss including, without limitation, loss as a result of outstanding 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.
EXHIBIT A TO RESOLUTION 2023-025
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 contrary to the public interest or the State’s best interest.
e. Intellectual Property
If any Work infringes a patent, copyright, trademark, trade secret, or other intellectual property right,
Local Agency shall, as approved by the State (a) secure that right to use such Work for the State or
Local Agency; (b) replace the Work with non infringing Work or modify the Work so that it
becomes non infringing; or, (c) remove any infringing Work and refund the amount paid for such
Work to the State.
B. Local Agency’s Remedies
If the State is in breach of any provision of this Agreement and does not cure such breach, Local Agency,
following the notice and cure period in §13.B and the dispute resolution process in §15 shall have all remedies
available at law and equity.
15. DISPUTE RESOLUTION
A. Initial Resolution
Except as herein specifically provided otherwise, disputes concerning the performance of this Agreement
which cannot be resolved by the designated Agreement representatives shall be referred in writing to a senior
departmental management staff member designated by the State and a senior manager designated by Local
Agency for resolution.
B. Resolution of Controversies
If the initial resolution described in §15.A fails to resolve the dispute within 10 Business Days, Contractor
shall submit any alleged breach of this Contract by the State to the Procurement Official of CDOT as
described in §24-101-301(30), C.R.S. for resolution in accordance with the provisions of §§24-106-109, 24-
109-101.1, 24-109-101.5, 24-109-106, 24-109-107, 24-109-201 through 24-109-206, and 24-109-501
through 24-109-505, C.R.S., (the “Resolution Statutes”), except that if Contractor wishes to challenge any
decision rendered by the Procurement Official, Contractor’s challenge shall be an appeal to the executive
director of the Department of Personnel and Administration, or their delegate, under the Resolution Statutes
before Contractor pursues any further action as permitted by such statutes. Except as otherwise stated in this
Section, all requirements of the Resolution Statutes shall apply including, without limitation, time limitations.
C. Questions of Fact
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 furnishes
to the State a written appeal addressed to the Executive Director of CDOT. 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.
16. NOTICES AND REPRESENTATIVES
Each individual identified below shall be the principal representative of the designating Party. All notices required
or permitted to be given under this Agreement shall be in writing and shall be delivered (i) by hand with receipt
required, (ii) by certified or registered mail to such Party’s principal representative at the address set forth below
EXHIBIT A TO RESOLUTION 2023-025
or (iii) as an email with read receipt requested to the principal representative at the email address, if any, set forth
below. If a Party delivers a notice to another through email and the email is undeliverable, then, unless the Party
has been provided with an alternate email contact, the Party delivering the notice shall deliver the notice by hand
with receipt required or by certified or registered mail to such Party’s principal representative at the address set
forth below. Either Party may change its principal representative or principal representative contact information
by notice submitted in accordance with this §16 without a formal amendment to this Agreement. Unless otherwise
provided in this Agreement, notices shall be effective upon delivery of the written notice.
For the State
Colorado Department of Transportation (CDOT)
Jake Oneal, EIT II
Region 4
10601 10th St.
Greeley, CO 80634
970-515-2731
jake.oneal@state.co.us
For the Local Agency
CITY OF FORT COLLINS
Mark Laken, Civil Engineer II
PO BOX 580
FORT COLLINS, CO 80522-0580
970-221-6770
mlaken@fcgov.com
yyyyyyy
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
EXHIBIT A TO RESOLUTION 2023-025
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
Agency shall not use, willingly allow, cause or permit Work Product or State Materials to be used for any
purpose other than the performance of Local Agency’s obligations in this Agreement without the prior written
consent of the State. Upon termination of this Agreement for any reason, Local Agency shall provide all
Work Product and State Materials to the State in a form and manner as directed by the State.
C.Exclusive Property of Local Agency
Local Agency retains the exclusive rights, title, and ownership to any and all pre-existing materials owned
or licensed to Local Agency including, but not limited to, all pre-existing software, licensed products,
associated source code, machine code, text images, audio and/or video, and third-party materials, delivered
by Local Agency under this Agreement, whether incorporated in a Deliverable or necessary to use a
Deliverable (collectively, “Local Agency Property”). Local Agency Property shall be licensed to the State as
set forth in this Agreement or a State approved license agreement: (i) entered into as exhibits to this
Agreement, (ii) obtained by the State from the applicable third-party vendor, or (iii) in the case of open
source software, the license terms set forth in the applicable open source license agreement.
18. GOVERNMENTAL IMMUNITY
Liability for claims for injuries to persons or property arising from the negligence of the Parties, their departments,
boards, commissions committees, bureaus, offices, employees and officials shall be controlled and limited by the
provisions of the GIA; 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, §§24-30-1501, et seq. C.R.S. The following applies through June 30, 2022: 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.
19. STATEWIDE CONTRACT MANAGEMENT SYSTEM
If the maximum amount payable to Local Agency under this Agreement is $100,000 or greater, either on the
Effective Date or at any time thereafter, this §19 shall apply. Local Agency agrees to be governed by and
comply with the provisions of §24-106-103, §24-102-206, §24-106-106, and §24-106-107 C.R.S. regarding the
monitoring of vendor performance and the reporting of contract performance information in the State’s contract
management system (“Contract Management System” or “CMS”). Local Agency’s performance shall be
subject to evaluation and review in accordance with the terms and conditions of this Agreement, Colorado
statutes governing CMS, and State Fiscal Rules and State Controller policies.
20. GENERAL PROVISIONS
A. Assignment
EXHIBIT A TO RESOLUTION 2023-025
Local Agency’s rights and obligations under this Agreement are personal and may not be transferred or
assigned without the prior, written consent of the State. Any attempt at assignment or transfer without such
consent shall be void. Any assignment or transfer of Local Agency’s rights and obligations approved by the
State shall be subject to the provisions of this Agreement
B.Subcontracts
Local Agency shall not enter into any subcontract in connection with its obligations under this Agreement
without the prior, written approval of the State. Local Agency shall submit to the State a copy of each such
subcontract upon request by the State. All subcontracts entered into by Local Agency in connection with this
Agreement shall comply with all applicable federal and state laws and regulations, shall provide that they are
governed by the laws of the State of Colorado, and shall be subject to all provisions of this Agreement.
C.Binding Effect
Except as otherwise provided in §20.A. all provisions of this Agreement, including the benefits and burdens,
shall extend to and be binding upon the Parties’ respective successors and assigns.
D.Authority
Each Party represents and warrants to the other that the execution and delivery of this Agreement and the
performance of such Party’s obligations have been duly authorized.
E.Captions and References
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.
I.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.
EXHIBIT A TO RESOLUTION 2023-025
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:
i.The provisions of the other sections of the main body of this Agreement.
ii.Exhibit N, Federal Treasury Provisions.
iii.Exhibit F, Certification for Federal-Aid Contracts.
iv.Exhibit G, Disadvantaged Business Enterprise.
v.Exhibit I, Federal-Aid Contract Provisions for Construction Contracts.
vi.Exhibit J, Additional Federal Requirements.
vii.Exhibit K, Federal Funding Accountability and Transparency Act of 2006 (FFATA) Supplemental
Federal Provisions.
viii.Exhibit L, Sample Sub-Recipient Monitoring and Risk Assessment Form.
ix.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”).
x.Exhibit O, Agreement with Subrecipient of Federal Recovery Funds.
xi.Exhibit R. Applicable Federal Awards.
xii Colorado Special Provisions in the main body of this Agreement.
xiii.Exhibit A, Scope of Work.
xiv.Exhibit H, Local Agency Procedures for Consultant Services.
xv.Exhibit B, Sample Option Letter.
xvi.Exhibit C, Funding Provisions.
xvii.Exhibit P, SLFRF Subrecipient Quarterly Report.
xviii.Exhibit Q, SLFRF Reporting Modification Form.
xix.Exhibit D, Local Agency Resolution.
xx.Exhibit E, Local Agency Contract Administration Checklist.
xxi.Exhibit S, PII Certification.
xxii.Exhibit T, Checklist of Required Exhibits Dependent on Funding Source.
xxiii.Other exhibits in descending order of their attachment.
M.Severability
The invalidity or unenforceability of any provision of this Agreement shall not affect the validity or
enforceability of any other provision of this Agreement, which shall remain in full force and effect, provided
that the Parties can continue to perform their obligations under this Agreement in accordance with the intent
of the Agreement.
N.Survival of Certain Agreement Terms
Any provision of this Agreement that imposes an obligation on a Party after termination or expiration of the
Agreement shall survive the termination or expiration of the Agreement and shall be enforceable by the other
Party.
O.Third Party Beneficiaries
Except for the Parties’ respective successors and assigns described in §20.C, this Agreement does not and is
not intended to confer any rights or remedies upon any person or entity other than the Parties. Enforcement
of this Agreement and all rights and obligations hereunder are reserved solely to the Parties. Any services or
benefits which third parties receive as a result of this Agreement are incidental to the Agreement, and do not
create any rights for such third parties.
P.Waiver
A Party’s failure or delay in exercising any right, power, or privilege under this Agreement, whether explicit
or by lack of enforcement, shall not operate as a waiver, nor shall any single or partial exercise of any right,
power, or privilege preclude any other or further exercise of such right, power, or privilege.
Q.CORA Disclosure
To the extent not prohibited by federal law, this Agreement and the performance measures and standards
required under §24-106-107 C.R.S., if any, are subject to public release through the CORA.
EXHIBIT A TO RESOLUTION 2023-025
R.Standard and Manner of Performance
Local Agency shall perform its obligations under this Agreement in accordance with the highest standards of
care, skill and diligence in Local Agency’s industry, trade, or profession.
S.Licenses, Permits, and Other Authorizations.
Local Agency shall secure, prior to the Effective Date, and maintain at all times during the term of this
Agreement, at its sole expense, all licenses, certifications, permits, and other authorizations required to
perform its obligations under this Agreement, and shall ensure that all employees, agents and Subcontractors
secure and maintain at all times during the term of their employment, agency or subcontract, all license,
certifications, permits and other authorizations required to perform their obligations in relation to this
Agreement.
T.Compliance with State and Federal Law, Regulations, and Executive Orders
Local Agency shall comply with all State and Federal law, regulations, executive orders, State and Federal
Awarding Agency policies, procedures, directives, and reporting requirements at all times during the term of
this Agreement.
U.Accessibility
i.Local Agency shall comply with and the Work Product provided under this Agreement shall be in
compliance with all applicable provisions of §§24-85-101, et seq., C.R.S., and the Accessibility
Standards for Individuals with a Disability, as established by the Governor’s Office of Information
Technology (OIT), pursuant to Section §24-85-103 (2.5), C.R.S. Local Agency shall also 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.
ii.Each Party agrees to be responsible for its own liability incurred as a result of its participation in and
performance under this Agreement. In the event any claim is litigated, each Party will be responsible for
its own attorneys’ fees, expenses of litigation, or other costs. No provision of this Agreement shall be
deemed or construed to be a relinquishment or waiver of any kind of the applicable limitations of liability
provided to either the Local Agency or the State by the Colorado Governmental Immunity Act, C.R.S.
§ 24-10-101, et seq. and Article XI of the Colorado Constitution. Nothing in the Agreement shall be
construed as a waiver of any provision of the State Fiscal Rules.
iii.The State may require Local Agency’s compliance to the State’s Accessibility Standards to be
determined by a third party selected by the State to attest to Local Agency’s Work Product and software
is in compliance with §§24-85-101, et seq., C.R.S., and the Accessibility Standards for Individuals with
a Disability as established by OIT pursuant to Section §24-85-103 (2.5), C.R.S.
V.Taxes
The State is exempt from federal excise taxes under I.R.C. Chapter 32 (26 U.S.C., Subtitle D, 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(1), 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. Contractor refers to Local Agency.
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.
EXHIBIT A TO RESOLUTION 2023-025
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 Parties, 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, §§24-30-1501, 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 workers'
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
which conflicts with said laws, rules, and regulations shall be null and void. All suits or actions related to this
Contract shall be filed and proceedings held in the State of Colorado and exclusive venue shall be in the City
and County of Denver.
G.PROHIBITED TERMS.
Any term included in this Contract that requires the State to indemnify or hold Contractor harmless; requires
the State to agree to binding arbitration; limits Contractor’s liability for damages resulting from death, bodily
injury, or damage to tangible property; or that conflicts with this provision in any way shall be void ab initio.
Nothing in this Contract shall be construed as a waiver of any provision of §24-106-109 C.R.S. Any term
included in this Contract that limits Contractor’s liability that is not void under this section shall apply only
in excess of any insurance to be maintained under this Contract, and no insurance policy shall be interpreted
as being subject to any limitations of liability of this Contract.
H.SOFTWARE PIRACY PROHIBITION.
State or other public funds payable under this Contract shall not be used for the acquisition, operation, or
maintenance of computer software in violation of federal copyright laws or applicable licensing restrictions.
Contractor hereby certifies and warrants that, during the term of this Contract and any extensions, Contractor
has and shall maintain in place appropriate systems and controls to prevent such improper use of public funds.
If the State determines that Contractor is in violation of this provision, the State may exercise any remedy
available at law or in equity or under this Contract, including, without limitation, immediate termination of
this Contract and any remedy consistent with federal copyright laws or applicable licensing restrictions.
I.EMPLOYEE FINANCIAL INTEREST/CONFLICT OF INTEREST. §§24-18-201 and 24-50-507,
C.R.S.
EXHIBIT A TO RESOLUTION 2023-025
The signatories aver that to their knowledge, no employee of the State has any personal or beneficial interest
whatsoever in the service or property described in this Contract. Contractor has no interest and shall not
acquire any interest, direct or indirect, that would conflict in any manner or degree with the performance of
Contractor’s services and Contractor shall not employ any person having such known interests.
22.FEDERAL REQUIREMENTS
Local Agency and/or their contractors, subcontractors, and consultants shall at all times during the execution of
this Agreement strictly adhere to, and comply with, all applicable federal and State laws, and their implementing
regulations, as they currently exist and may hereafter be amended. A summary of applicable federal provisions
are attached hereto as Exhibit F, Exhibit I, Exhibit J, Exhibit K, Exhibit M, Exhibit N and Exhibit O are
hereby incorporated by this reference.
23.DISADVANTAGED BUSINESS ENTERPRISE (DBE)
Local Agency will comply with all requirements of Exhibit G and Exhibit E, 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 DBE program for this Agreement, Local
Agency shall be solely responsible to defend that DBE 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 DBE 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.
EXHIBIT A TO RESOLUTION 2023-025
EXHIBIT A
SCOPE OF WORK
Name of Project: Timberline Mulberry Lincoln Intersection
Project Number: SHO M455-137
SubAccount #: 23896
The Colorado Department of Transportation (“CDOT”) will oversee the City of Fort
Collins when City of Fort Collins designs the Timberline Mulberry Lincoln
Intersection (Hereinafter referred to as “this work”). CDOT and the City of Fort
Collins believe it will be beneficial to perform this work to improve intersection safety.
The design will be completed in accordance with AASHTO design standards, the
Americans with Disabilities Act, and all applicable state, federal and local rules and
regulations. The design phase of the work will begin in the fall of 2022 and will
identify more exact requirements, qualities, and attributes for this work (Herein after
referred to as “the exact work”). The exact work shall be used to complete the
construction phase of the project. The construction phase of the contract is anticipated
to begin in 2024.
If ARPA funds are used all ARPA funds must be encumbered by
December 31, 2024. All work funded by ARPA must be completed by
December 31, 2026 and all bills must be submitted to CDOT for payment
by January 31, 2027. These bills must be paid by CDOT by March 31,
2027.
If this project is funded with Multimodal Transportation & Mitigation
Options Funding (MMOF) these funding expenditures must be invoiced
by June 1st of the year they expire.
EXHIBIT A TO RESOLUTION 2023-025
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 funds from one phase to another phase.
Option to unilaterally extend the term of this Agreement and/or update a Work
Phase Performance Period and/or modify OMB Guidance.
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
funds for the phase based on changes in funding availability and authorization. The
total encumbrance is (or increased) by $0.00. A new Exhibit C-1 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-1 is made part of the original Agreement
and replaces Exhibit C.
Option C
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 1) release the Local Agency to begin a phase; 2) to encumber
funds for the phase based upon changes in funding availability and authorization;
and 3) to transfer funds from phases based on variance in actual phase costs and
EXHIBIT A TO RESOLUTION 2023-025
original phase estimates. A new Exhibit C-1 is made part of the original Agreement
and replaces Exhibit C.
Option D
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
extend the term of this Agreement and/or update a Work Phase Performance Period and/or
modify information required under the OMB Uniform Guidance, as outlined in Exhibit
C.This is made part of the original Agreement and replaces the Expiration Date shown on
the Signature and Cover Page. Any updated version of Exhibit C shall be attached to any
executed Option Letter as Exhibit C-1 (with subsequent exhibits labeled C-2, C-3, etc.).
The effective date of this option letter is upon approval of the State Controller or delegate.
STATE OF COLORADO
Jared S. Polis
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 A TO RESOLUTION 2023-025
EXHIBIT C- FUNDING PROVISIONS
City of Fort Collins Project # SHO M455-137 (23896)
A.Cost of Work Estimate
The Local Agency has estimated the total cost the Work to be $1,693,239.00, which is to be funded as follows:
1.FUNDING
SHO M455-137 (23896)
$ 1,523,915.00
a.Federal Funds
(90% of HSIP Award)
b.Local Agency Funds
(10% of HSIP Award)$ 169,324.00
____________________________________________________________________________________
TOTAL FUNDS ALL SOURCES $ 1,693,239.00
____________________________________________________________________________________
2.OMB UNIFORM GUIDANCE
a.Federal Award Identification Number (FAIN): TBD
b.Name of Federal Awarding Agency: FHWA
c.Local Agency Unique Entity Identifier TBD
d.Assistance Listing # Highway Planning and Construction ALN 20.205
e.Is the Award for R&D? No
f.Indirect Cost Rate (if applicable) N/A
g.Amount of Federal Funds Obligated by this Action:$0.00
h. Amount of Federal Funds Obligated to Date (including this Action): $0.00
____________________________________________________________________________________
3. ESTIMATED PAYMENT TO LOCAL AGENCY
a. Federal Funds Budgeted $ 1,523,915.00
b. Less Estimated Federal Share of CDOT-Incurred Costs $ 0.00
____________________________________________________________________________________
TOTAL ESTIMATED PAYMENT TO LOCAL AGENCY 90% $ 1,523,915.00
TOTAL ESTIMATED FUNDING BY LOCAL AGENCY 10% $ 169,324.00
TOTAL PROJECT ESTIMATED FUNDING 100.00% $ 1,693,239.00
____________________________________________________________________________________
4.FOR CDOT ENCUMBRANCE PURPOSES
Type of Fed Funds
a. Total Encumbrance Amount (Federal funds + Local Agency funds) $ 1,693,239.00
b. Less ROW Acquisition 3111 and/or ROW Relocation 3109 $ 0.00
____________________________________________________________________________________
NET TO BE ENCUMBERED BY CDOT IS AS FOLLOWS $ 1,693,239.00
____________________________________________________________________________________
Note: No funds are currently available. Design and Construction funds will become available after
execution of an Option letter (Exhibit B) or formal Amendment.
____________________________________________________________________________________
SHO M455-137 (23896)
WBS Element 23896.10.30 Performance Period Start*/End Date Design 3020 $0.00
TBD-TBD
WBS Element 23896.20.10 Performance Period Start*/End Date Const. 3301 $0.00
TBD- TBD
N/A- N/A
____________________________________________________________________________________
*SHO M455-137 (23896) 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.
B. Funding Ratios
SHO M455-137 (23896)
EXHIBIT A TO RESOLUTION 2023-025
The funding ratio for the federal funds for this Work is 90% federal funds to 10% Local Agency funds, and
this ratio applies only to the $1,693,239.00 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 $1,693,239.00, and
additional federal funds are available for the Work, the Local Agency shall pay 10% 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
$1,693,239.00, 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.
C. Maximum Amount Payable
SHO M455-137 (23896)
The maximum amount payable to the Local Agency under this Agreement shall be $1,523,915.00. For
CDOT accounting purposes, the federal funds of $1,523,915.00 and the Local Agency funds of
$169,324.00 will be encumbered for a total encumbrance of $1,693,239.00, unless this amount is
increased by an executed amendment before any increased cost is incurred. The total cost of the Work
is the best estimate available, based on the design data as approved at the time of execution of this
Agreement, and that any cost is subject to revisions agreed to by the parties prior to bid and award. The
maximum amount payable will be reduced without amendment when the actual amount of the Local
Agency’s awarded Agreement is less than the budgeted total of the federal funds and the Local Agency
funds. The maximum amount payable will be reduced through the execution of an Option Letter as
described in Section 7. E. of this contract. This applies to the entire scope of Work.
D. Single Audit Act Amendment
All state and local government and non-profit organizations receiving $750,000 or more from all funding
sources defined as federal financial assistance for Single Audit Act Amendment purposes shall comply
with the audit requirements of 2 CFR part 200, subpart F (Audit Requirements) see also, 49 CFR 18.20
through 18.26. The Single Audit Act Amendment requirements applicable to the Local Agency receiving
federal funds are as follows:
i.Expenditure less than $750,000
If the Local Agency expends less than $750,000 in Federal funds (all federal sources, not just
Highway funds) in its fiscal year then this requirement does not apply.
ii.`Expenditure of $750,000 or more-Highway Funds Only
If the Local Agency expends $750,000 or more, in Federal funds, but only received federal
Highway funds (Catalog of Federal Domestic Assistance, CFDA 20.205) then a program specific
audit shall be performed. This audit will examine the “financial” procedures and processes for
this program area.
iii.Expenditure of $750,000 or more-Multiple Funding Sources
If the Local Agency expends $750,000 or more in Federal funds, and the Federal funds are from
multiple sources (FTA, HUD, NPS, etc.) then the Single Audit Act applies, which is an audit on
the entire organization/entity.
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.
EXHIBIT A TO RESOLUTION 2023-025
EXHIBIT D
LOCAL AGENCY RESOLUTION (IF APPLICABLE)
EXHIBIT A TO RESOLUTION 2023-025
COLORADO DEPARTMENT OF TRANSPORTATION
LOCAL AGENCY CONTRACT ADMINISTRATION CHECKLIST
Project No.
STIP No.
Project Code
Region
Project Location Date
Project Description
Local Agency Local Agency Project Manager
CDOT Resident Engineer
CDOT Project Manager
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 CDOT nor
the Local Agency is responsible for a task, not applicable (NA) shall be noted. In addition, a “#” will denote that CDOT 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 CDOT Resident Engineer or the CDOT Project Manager, in cooperation with the Local
Agency Project Manager, and submitted to the Region Program Engineer. If contract administration responsibilities change, the
CDOT Resident Engineer, in cooperation with the Local Agency Project Manager, will 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
funding.
NO. DESCRIPTION OF TASK
RESPONSIBLE
PARTY
LA CDOT
TIP / STIP AND LONG-RANGE PLANS
2.1 Review Project to ensure it is consistent with STIP and amendments thereto
X
FEDERAL FUNDING OBLIGATION AND AUTHORIZATION
4.1 Authorize funding by phases (CDOT Form 418 - Federal-aid Program Data. Requires FHWA
concurrence/involvement)
X
PROJECT DEVELOPMENT
5.1 Prepare Design Data - CDOT Form 463
5.2 Prepare Local Agency/CDOT Inter-Governmental Agreement (see also Chapter 3)
X
5.3 Conduct Consultant Selection/Execute Consultant Agreement
x Project Development
x Construction Contract Administration (including Fabrication Inspection Services)
5.4 Conduct Design Scoping Review Meeting
5.5 Conduct Public Involvement
5.6 Conduct Field Inspection Review (FIR)
5.7 Conduct Environmental Processes (may require FHWA concurrence/involvement)
5.8 Acquire Right-of-Way (may require FHWA concurrence/involvement)
5.9 Obtain Utility and Railroad Agreements
5.10 Conduct Final Office Review (FOR)
CDOT Form 1243 3/16 Page 1 of 4
Previous editions are obsolete and may not be used.
SHO M455-137 SR46666.085 23896 4
Timberline Mulberry Lincoln Intersection
7/18/2022
Intersection Improvements
City of Fort Collins Mark Laken
Bryce Reeves
Jake Oneal
X
X #
X#
X
X#
X#
X#
X
X#
Exhibit E
Local Agency Contract Administration ChecklistEXHIBIT A TO RESOLUTION 2023-025
NO. DESCRIPTION OF TASK
RESPONSIBLE
PARTY
LA CDOT
5.11 Justify Force Account Work by the Local Agency
5.12 Justify Proprietary, Sole Source, or Local Agency Furnished Items
5.13 Document Design Exceptions - CDOT Form 464
5.14 Prepare Plans, Specifications, Construction Cost Estimates and Submittals
5.15 Ensure Authorization of Funds for Construction X
PROJECT DEVELOPMENT CIVIL RIGHTS AND LABOR COMPLIANCE
6.1 Set Disadvantaged Business Enterprise (DBE) Goals for Consultant and Construction
Contracts (CDOT Region EEO/Civil Rights Specialist).
6.2 Determine Applicability of Davis-Bacon Act
This project is is not exempt from Davis-Bacon requirements as determined by the
functional classification of the project location (Projects located on local roads and rural
minor collectors may be exempt.)
CDOT Resident Engineer (Signature on File)Date
X
6.3 Set On-the-Job Training Goals (CDOT Region EEO/Civil Rights Specialist) X
6.4 Title VI Assurances
Ensure the correct Federal Wage Decision, all required Disadvantaged Business
Enterprise/On-the-Job Training special provisions and FHWA Form 1273 are included in the
Contract (CDOT Resident Engineer)
ADVERTISE, BID AND AWARD of CONSTRUCTION PROJECTS
7.1 Obtain Approval for Advertisement Period of Less Than Three Weeks
7.2 Advertise for Bids
7.3 Distribute “Advertisement Set” of Plans and Specifications
7.4 Review Worksite and Plan Details with Prospective Bidders While Project Is Under
Advertisement
7.5 Open Bids
7.6 Process Bids for Compliance
Check CDOT Form 1415 – Commitment Confirmation when the low bidder meets DBE goals
X
Evaluate CDOT Form 1416 - Good Faith Effort Report and determine if the Contractor has
made a good faith effort when the low bidder does not meet DBE goals X
Submit required documentation for CDOT award concurrence
7.7 Concurrence from CDOT to Award X
7.8 Approve Rejection of Low Bidder X
7.9 Award Contract
7.10 Provide “Award” and “Record” Sets of Plans and Specifications
CONSTRUCTION MANAGEMENT
8.1 Issue Notice to Proceed to the Contractor
8.2 Project Safety
8.3 Conduct Conferences:
Pre-Construction Conference (Appendix B)
x Fabrication Inspection Notifications
Pre-survey
x Construction staking
x Monumentation
Partnering (Optional)
Structural Concrete Pre-Pour (Agenda is in CDOT Construction Manual)
Concrete Pavement Pre-Paving (Agenda is in CDOT Construction Manual)
HMA Pre-Paving (Agenda is in CDOT Construction Manual)
8.4 Develop and distribute Public Notice of Planned Construction to media and local residents
CDOT Form 1243 3/16 Page 2 of 4
Previous editions are obsolete and may not be used.
Bryce Reeves
X#
X#
X#
X#
■
3/20/20
X
X
X
X
X
X
X
X#
X
X
X
X
X
X
X
X
X
X
X
#
X
#
#
#
#
#
X
X
X
X #
EXHIBIT A TO RESOLUTION 2023-025
NO. DESCRIPTION OF TASK
RESPONSIBLE
PARTY
LA CDOT
8.5 Supervise Construction
A Professional Engineer (PE) registered in Colorado, who will be “in responsible charge of
construction supervision.”
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
8.6 Approve Shop Drawings
8.7 Perform Traffic Control Inspections
8.8 Perform Construction Surveying
8.9 Monument Right-of-Way
8.10 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.
Local Agency Representative Phone number
8.11 Prepare and Approve Interim and Final Utility and Railroad Billings
8.12 Prepare and Authorize Change Orders X
8.13 Submit Change Order Package to CDOT X
8.14 Prepare Local Agency Reimbursement Requests
X
8.15 Monitor Project Financial Status
8.16 Prepare and Submit Monthly Progress Reports
8.17 Resolve Contractor Claims and Disputes
8.18 Conduct Routine and Random Project Reviews
Provide the name and phone number of the person responsible for this task.
CDOT Resident Engineer Phone number
X
8.19 Ongoing Oversight of DBE Participation
X
MATERIALS
9.1 Discuss Materials at Pre-Construction Meeting
x Buy America documentation required prior to installation of steel
9.2 Complete CDOT Form 250 - Materials Documentation Record
x Generate form, which includes determining the minimum number of required tests and
applicable material submittals for all materials placed on the project
x Update the form as work progresses
x Complete and distribute form after work is completed
9.3 Perform Project Acceptance Samples and Tests
9.4 Perform Laboratory Verification Tests
9.5 Accept Manufactured Products
Inspection of structural components:
x Fabrication of structural steel and pre-stressed concrete structural components
x Bridge modular expansion devices (0” to 6” or greater)
x Fabrication of bearing devices
9.6 Approve Sources of Materials
9.7 Independent Assurance Testing (IAT), Local Agency Procedures CDOT Procedures
x Generate IAT schedule
x Schedule and provide notification
x Conduct IAT
CDOT Form 1243 3/16 Page 3 of 4
Previous editions are obsolete and may not be used.
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Mark Laken 970-222-3546
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Bryce Reeves
970-350-2126
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EXHIBIT A TO RESOLUTION 2023-025
NO. DESCRIPTION OF TASK
RESPONSIBLE
PARTY
LA CDOT
9.8 Approve mix designs
x Concrete
x Hot mix asphalt
9.9 Check Final Materials Documentation
9.10 Complete and Distribute Final Materials Documentation
CONSTRUCTION CIVIL RIGHTS AND LABOR COMPLIANCE
10.1 Fulfill Project Bulletin Board and Pre-Construction Packet Requirements
10.2 Process CDOT Form 205 - Sublet Permit Application
Review and sign completed CDOT Form 205 for each subcontractor, and submit to
EEO/Civil Rights Specialist
10.3 Conduct Equal Employment Opportunity and Labor Compliance Verification Employee
Interviews. Complete CDOT Form 280
10.4 Monitor Disadvantaged Business Enterprise Participation to Ensure Compliance with the
“Commercially Useful Function” Requirements
10.5 Conduct Interviews When Project Utilizes On-the-Job Trainees.
x Complete CDOT Form 1337 – Contractor Commitment to Meet OJT Requirements.
x Complete CDOT Form 838 – OJT Trainee / Apprentice Record.
x Complete CDOT Form 200 - OJT Training Questionnaire
10.6 Check Certified Payrolls (Contact the Region EEO/Civil Rights Specialists for training requirements.)
10.7 Submit FHWA Form 1391 - Highway Construction Contractor’s Annual EEO Report
FINALS
11.1 Conduct Final Project Inspection. Complete and submit CDOT Form 1212 - Final
Acceptance Report (Resident Engineer with mandatory Local Agency participation.)
X
11.2 Write Final Project Acceptance Letter
11.3 Advertise for Final Settlement
11.4 Prepare and Distribute Final As-Constructed Plans
11.5 Prepare EEO Certification and Collect EEO Forms
11.6 Check Final Quantities, Plans, and Pay Estimate; Check Project Documentation; and submit
Final Certifications
11.7 Check Material Documentation and Accept Final Material Certification (See Chapter 9)
11.8 Obtain CDOT Form 1419 from the Contractor and Submit to the CDOT Project Manager
11.9 (FHWA Form 47 discontinued)
11.10 Complete and Submit CDOT Form 1212 – Final Acceptance Report (by CDOT)
X
11.11 Process Final Payment
11.12 Complete and Submit CDOT Form 950 - Project Closure X
11.13 Retain Project Records for Six Years from Date of Project Closure
11.14 Retain Final Version of Local Agency Contract Administration Checklist
cc: CDOT Resident Engineer/Project Manager
CDOT Region Program Engineer
CDOT Region EEO/Civil Rights Specialist
CDOT Region Materials Engineer
CDOT Contracts and Market Analysis Branch
Local Agency Project Manager
CDOT Form 1243 3/16 Page 4 of 4
Previous editions are obsolete and may not be used.
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EXHIBIT A TO RESOLUTION 2023-025
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 A TO RESOLUTION 2023-025
EXHIBIT G
DISADVANTAGED BUSINESS ENTERPRISE
SECTION 1. Policy.
It is the policy of the Colorado Department of Transportation (CDOT) that disadvantaged business
enterprises shall have the maximum opportunity to participate in the performance of contracts
financed in whole or in part with Federal funds under this agreement, pursuant to 49 CFR Part 26.
Consequently, the 49 CFR Part IE DBE requirements the Colorado Department of Transportation
DBE Program (or a Local Agency DBE Program approved in advance by the State) apply to this
agreement.
SECTION 2. DBE Obligation.
The recipient or the Local Agency agrees to ensure that disadvantaged business enterprises as
determined by the Office of Certification at the Colorado Department of Regulatory Agencies have
the maximum opportunity to participate in the performance of contracts and subcontracts financed
in whole or in part with Federal funds provided under this agreement. In this regard, all participants
or contractors shall take all necessary and reasonable steps in accordance with the CDOT DBE
program (or a Local Agency DBE Program approved in advance by the State) to ensure that
disadvantaged business enterprises have the maximum opportunity to compete for and perform
contracts. Recipients and their contractors shall not discriminate on the basis of race, color,
national origin, or sex in the award and performance of CDOT assisted contracts.
SECTION 3 DBE Program.
The Local Agency (sub-recipient) shall be responsible for obtaining the Disadvantaged Business
Enterprise Program of the Colorado Department of Transportation, 1988, as amended, and shall
comply with the applicable provisions of the program. (If applicable).
A copy of the DBE Program is available from and will be mailed to the Local Agency
upon request: Business Programs Office
Colorado Department of Transportation
2829 West Howard Place Denver,
Colorado 80204
Phone: (303) 757-9007
REQUIRED BY 49 CFR
PART 26
EXHIBIT A TO RESOLUTION 2023-025
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 of the 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:
1. 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 of evaluation 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 for that 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 CFR 26.29.
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 of the 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 of CDOT 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 A TO RESOLUTION 2023-025
b. Approach to the Work,
c. Ability to furnish professional services.
d. Anticipated design concepts, and
e. Alternative methods of approach for furnishing the professional services. Evaluation factors for final
selection are the consultant's:
a. Abilities of their personnel,
b. Past performance,
c. Willingness to meet the time and budget requirement,
d. Location,
e. Current and projected work load,
f. Volume of previously awarded contracts, and
g. Involvement of minority consultants.
8. Once a consultant is selected, the Local Agency enters into negotiations with the consultant to obtain a fair
and reasonable price for the anticipated work. Pre-negotiation audits are prepared for contracts expected to be
greater than $50,000. Federal reimbursements for costs are limited to those costs allowable under the cost
principles of 48 CFR 31. Fixed fees (profit) are determined with consideration given to size, complexity, duration,
and degree of risk involved in the work. Profit is in the range of six to 15 percent of the total direct and indirect
costs.
9. A qualified Local Agency employee shall be responsible and in charge of the Work to ensure that the work
being pursued is complete, accurate, and consistent with the terms, conditions, and specifications of the contract.
At the end of Work, the Local Agency prepares a performance evaluation (a CDOT form is available) on the
consultant.
CRS §§24-30-1401 THROUGH 24-30-1408, 23 CFR PART 172, AND P.D. 400.1, PROVIDE ADDITIONAL
DETAILS FOR COMPLYING WITH THE PRECEEDING EIGHT (8) STEPS.
EXHIBIT A TO RESOLUTION 2023-025
EXHIBIT I
FEDERAL-AID CONTRACT PROVISIONS FOR CONSTRUCTION CONTRACTS
I. General
II. Nondiscrimination
III. Nonsegregated Facilities
IV. Davis-Bacon and Related Act Provisions
V. Contract Work Hours and Safety Standards Act
Provisions
VI. Subletting or Assigning the Contract
VII. Safety: Accident Prevention
VIII. False Statements Concerning Highway Projects
IX. Implementation of Clean Air Act and Federal Water
Pollution Control Act
X. Compliance with Government wide Suspension and
Debarment Requirements
XI. Certification Regarding Use of Contract 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
1. 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
subcontractor) 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).
The applicable requirements of Form FHWA-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-1273 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-1273 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 construction contract).
2. Subject to the applicability criteria noted in the following sections,
these contract provisions 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 are 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, the Rehabilitation Act of 1973, as amended (29 USC 794), 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 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.
1. 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. 12101 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 A TO RESOLUTION 2023-025
a. The contractor will work with the contracting agency and the
Federal Government to ensure that it has made every good faith
effort to provide equal opportunity with respect to all of its terms
and conditions of employment and in their review of activities
under the contract.
b. The contractor will accept as its operating policy the following
statement:
"It is the policy of this Company to assure that applicants are
employed, and that employees are treated during employment,
without regard to their race, religion, sex, color, national origin, age
or disability. Such action shall include: employment, upgrading,
demotion, or transfer; recruitment or recruitment advertising; layoff
or termination; rates of pay or other forms of compensation; and
selection for training, including apprenticeship, pre-apprenticeship,
and/or on-the- job training."
2. EEO Officer: The contractor will designate and make known to the
contracting officers an EEO Officer who will have the responsibility
for and must be capable of effectively administering and promoting an
active EEO program and who must be assigned adequate authority and
responsibility to do so.
3. Dissemination of Policy: All members of the contractor's staff
who are authorized to hire, supervise, promote, and discharge
employees, or who recommend such action, or who are substantially
involved in such action, will be made fully cognizant of, and will
implement, the contractor's EEO policy and contractual
responsibilities to provide EEO in each grade and classification of
employment. To ensure that the above agreement will be met, the
following actions will be taken as a minimum:
a. Periodic meetings of supervisory and personnel office employees
will be conducted before the start of work and then not less often than
once every six months, at which time the contractor's EEO policy and
its implementation will be reviewed and explained. The meetings will
be conducted by the EEO Officer.
b. All new supervisory or personnel office employees will be given
a thorough indoctrination by the EEO Officer, covering all major
aspects of the contractor's EEO obligations within thirty days
following their reporting for duty with the contractor.
c. All personnel who are engaged in direct recruitment for the
project will be instructed by the EEO Officer in the contractor's
procedures for locating and hiring minorities and women.
d. Notices and posters setting forth the contractor's EEO policy will
be placed in areas readily accessible to employees, applicants for
employment and potential employees.
e. The contractor's EEO policy and the procedures to implement
such policy will be brought to the attention of employees by means of
meetings, employee handbooks, or other appropriate means.
4. Recruitment: When advertising for employees, the contractor will
include in all advertisements for employees the notation: "An Equal
Opportunity Employer." All such advertisements will be placed in
publications having a large circulation among minorities and women in
the area from which the project work force would normally be derived.
a. The contractor will, unless precluded by a valid bargaining
agreement, conduct systematic and direct recruitment through public
and private employee referral sources likely to yield qualified
minorities and women. To meet this requirement, the contractor will
identify sources of potential minority group employees, and establish
with such identified sources procedures whereby minority and women
applicants may be referred to the contractor for employment
consideration.
b. In the event the contractor has a valid bargaining agreement
providing for exclusive hiring hall referrals, the contractor is expected
to observe the provisions of that agreement to the extent that the system
meets the contractor's compliance with EEO contract provisions. Where
implementation of such an agreement has the effect of discriminating
against minorities or women, or obligates the contractor to do the same,
such implementation violates Federal nondiscrimination provisions.
c. The contractor will encourage its present employees to refer
minorities and women as applicants for employment. Information and
procedures with regard to referring such applicants will be discussed
with employees.
5. Personnel Actions: Wages, working conditions, and employee
benefits shall be established and administered, and personnel actions of
every type, including hiring, upgrading, promotion, transfer, demotion,
layoff, and termination, shall be taken without regard to race, color,
religion, sex, national origin, age or disability. The following procedures
shall be followed:
a. The contractor will conduct periodic inspections of project sites to
insure that working conditions and employee facilities do not indicate
discriminatory treatment of project site personnel.
b. The contractor will periodically evaluate the spread of wages paid
within each classification to determine any evidence of discriminatory
wage practices.
c. The contractor will periodically review selected personnel actions
in depth to determine whether there is evidence of discrimination.
Where evidence is found, the contractor will promptly take corrective
action. If the review indicates that the discrimination may extend
beyond the actions reviewed, such corrective action shall include all
affected persons.
d. The contractor will promptly investigate all complaints of alleged
discrimination made to the contractor in connection with its obligations
under this contract, will attempt to resolve such complaints, and will
take appropriate corrective action within a reasonable time. If the
investigation indicates that the discrimination may affect persons other
than the complainant, such corrective action shall include such other
persons. Upon completion of each investigation, the contractor will
inform every complainant of all of their avenues of appeal.
6. Training and Promotion: The contractor will assist in locating,
qualifying, and increasing the skills of minorities and women who are
applicants for employment or current employees. Such efforts should be
aimed at developing full journey level status employees in the type of
trade or job classification involved.
a. Consistent with the contractor's work force requirements and as
permissible under Federal and State regulations, the contractor shall
make full use of training programs, i.e., apprenticeship, and on-the-job
training programs for the geographical area of contract performance. In
the event a special provision for training is provided under this contract,
this subparagraph will be superseded as indicated in the special
provision. The contracting agency may reserve training positions for
persons who receive welfare assistance in accordance with 23 U.S.C.
140(a).
b. The contractor will advise employees and applicants for
employment of available training programs and entrance requirements
foreach.
c. The contractor will periodically review the training and promotion
potential of employees who are minorities and women and will
encourage eligible employees to apply for such training and promotion.
EXHIBIT A TO RESOLUTION 2023-025
7. Unions: If the contractor relies in whole or in part upon unions as a
source 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
contractor's 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
qualify for higher paying employment.
b. The contractor will use good faith efforts to incorporate an EEO
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 or disability.
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 qualifiable
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
contracting agency.
8. Reasonable Accommodation for Applicants / Employees with
Disabilities: The contractor must be familiar with the requirements for
and comply with the Americans with Disabilities Act and 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 of this 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
subcontractor compliance with their EEO obligations.
10. Assurance Required by 49 CFR 26.13(b):
a. The requirements of 49 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.
11. 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 the FHWA.
a. The records kept by the contractor shall document the following:
(1) 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, qualifying, 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 of July. If on-the-
job training 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 payroll
period preceding the end of July.
III. NONSEGREGATEDFACILITIES
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 contractor's 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 ACT PROVISIONS
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 A TO RESOLUTION 2023-025
The following provisions are from the U.S. Department of Labor
regulations in 29 CFR 5.5 “Contract provisions and related matters”
with minor revisions to conform to the FHWA- 1273 format and
FHWA program requirements.
1. Minimum wages:
a. All laborers and mechanics employed or working upon the site
of the work, will be paid unconditionally and not less often than once
a week, and without subsequent deduction or rebate on any account
(except such payroll deductions as are permitted by regulations issued
by the Secretary of Labor under the Copeland Act (29 CFR part 3)),
the full amount of wages and bona fide fringe benefits (or cash
equivalents thereof) due at time of payment computed at rates not less
than those contained in the wage determination of the Secretary of
Labor which is attached hereto and made a part hereof, regardless of
any contractual relationship which may be alleged to exist between the
contractor and such laborers and mechanics.
Contributions made or costs reasonably anticipated for bona fide
fringe benefits under section 1(b)(2) of the Davis-Bacon Act on behalf
of laborers or mechanics are considered wages paid to such laborers
or mechanics, subject to the provisions of paragraph 1.d. of this
section; also, regular contributions made or costs incurred for more
than a weekly period (but not less often than quarterly) under plans,
funds, or programs which cover the particular weekly period, are
deemed to be constructively made or incurred during such weekly
period. Such laborers and mechanics shall be paid the appropriate
wage rate and fringe benefits on the wage determination for the
classification of work actually performed, without regard to skill,
except as provided in 29 CFR 5.5(a)(4). Laborers or mechanics
performing work in more than one classification may be compensated
at the rate specified for each classification for the time actually worked
therein: Provided, That the employer's payroll records accurately set
forth the time spent in each classification in which work is performed.
The wage determination (including any additional classification and
wage rates conformed under paragraph 1.b. of this section) and the
Davis-Bacon poster (WH–1321) shall be posted at all times by the
contractor and its subcontractors at the site of the work in a prominent
and accessible place where it can be easily seen by the workers.
b. (1) The contracting officer shall require that any class of laborers
or mechanics, including helpers, which is not listed in the wage
determination and which is to be employed under the contract shall be
classified in conformance with the wage determination. The
contracting officer shall approve an additional classification and wage
rate and fringe benefits therefore only when the following criteria have
been met:
(i) The work to be performed by the classification requested is
not performed by a classification in the wage determination; and
(ii) The classification is utilized in the area by the construction
industry; and
(iii) The proposed wage rate, including any bona fide fringe
benefits, bears a reasonable relationship to the wage rates
contained in the wage determination.
(2) If the contractor and the laborers and mechanics to be
employed in the classification (if known), or their representatives, and
the contracting officer agree on the classification and wage rate
(including the amount designated for fringe benefits where
appropriate), a report of the action taken shall be sent by the
contracting officer to the Administrator of the Wage and Hour
Division, Employment Standards Administration, U.S. Department of
Labor, Washington, DC 20210. The Administrator, or an authorized
representative, will approve, modify, or disapprove every additional
classification action within 30 days of receipt and so advise the
contracting officer or will notify the contracting officer within the 30-
day period that additional time is necessary.
(3) In the event the contractor, the laborers or mechanics to be
employed in the classification or their representatives, and the
contracting officer do not agree on the proposed classification and
wage rate (including the amount designated for fringe benefits, where
appropriate), the contracting officer shall refer the questions,
including the views of all interested parties and the recommendation
of the contracting officer, to the Wage and Hour Administrator for
determination. The Wage and Hour Administrator, or an authorized
representative, will issue a determination within 30 days of receipt and
so advise the contracting officer or will notify the contracting officer
within the 30-day period that additional time is necessary.
(4) The wage rate (including fringe benefits where appropriate)
determined pursuant to paragraphs 1.b.(2) or 1.b.(3) of this section,
shall be paid to all workers performing work in the classification under
this contract from the first day on which work is performed in the
classification.
c. Whenever the minimum wage rate prescribed in the contract for a
class of laborers or mechanics includes a fringe benefit which is not
expressed as an hourly rate, the contractor shall either pay the benefit as
stated in the wage determination or shall pay another bona fide fringe
benefit or an hourly cash equivalent thereof.
d. If the contractor does not make payments to a trustee or other third
person, the contractor may consider as part of the wages of any laborer
or mechanic the amount of any costs reasonably anticipated in providing
bona fide fringe benefits under a plan or program, Provided, That the
Secretary of Labor has found, upon the written request of the contractor,
that the applicable standards of the Davis-Bacon Act have been met. The
Secretary of Labor may require the contractor to set aside in a separate
account, assets for the meeting of obligations under the plan or program.
EXHIBIT A TO RESOLUTION 2023-025
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 accrued 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 of wages required by the contract. In the
event of failure to pay any laborer 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, the contracting
agency may, after written notice to the contractor, take 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 of the 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 1(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(a)(1)(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 1(b)(2)(B) of the Davis-Bacon Act, the contractor shall 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 applicable programs.
b. (1) 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://www.dol.gov/esa/whd/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
under the contract and shall certify the following:
(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 (a)(3)(i) of Regulations, 29 CFR
part 5, and 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 full
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 satisfy the
requirement for submission of the “Statement of Compliance” required
by paragraph 3.b.(2) of this section.
(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, or the Department of Labor, and shall permit such
representatives to interview employees 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, or guarantee 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 of the USDOL).
Apprentices will be permitted to work at less than the predetermined rate
for the work they performed when they are employed pursuant to and
individually 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 or a
State Apprenticeship Agency (where appropriate) to be eligible for
probationary employment as an apprentice.
EXHIBIT A TO RESOLUTION 2023-025
The allowable ratio of apprentices to journeymen on the job site in any
craft classification shall not be greater than the ratio permitted to the
contractor as to the entire work force under the registered program. Any
worker listed on a payroll at an apprentice wage rate, who is not
registered or otherwise employed as stated above, shall be paid not less
than the applicable wage rate on the wage determination for the
classification of work actually performed. In addition, any apprentice
performing work on the job site in excess of the ratio permitted under
the registered program shall be paid not less than the applicable wage
rate on the wage determination for the work actually performed. Where
a contractor is performing construction on a project in a locality other
than that in which its program is registered, the ratios and wage rates
(expressed in percentages of the journeyman's hourly rate) specified in
the contractor's or subcontractor's registered program shall be
observed.
Every apprentice must be paid at not less than the rate specified in the
registered program for the apprentice's level of progress, expressed as
a percentage of the journeymen hourly rate specified in the applicable
wage determination. Apprentices shall be paid fringe benefits in
accordance with the provisions of the apprenticeship program. If the
apprenticeship program does not specify fringe benefits, apprentices
must be paid the full amount of fringe benefits listed on the wage
determination for the applicable classification. If the Administrator
determines that a different practice prevails for the applicable
apprentice classification, fringes shall be paid in accordance with that
determination.
In the event the Office of Apprenticeship Training, Employer and
Labor Services, or a State Apprenticeship Agency recognized by the
Office, withdraws approval of an apprenticeship program, the
contractor will no longer be permitted to utilize apprentices at less than
the applicable predetermined rate for the work performed until an
acceptable program is approved.
b. Trainees (programs of the USDOL).
Except as provided in 29 CFR 5.16, trainees will not be permitted to
work at less than the predetermined rate for the work performed unless
they are employed pursuant to and individually registered in a program
which has received prior approval, evidenced by formal certification
by the U.S. Department of Labor, Employment and Training
Administration.
The ratio of trainees to journeymen on the job site shall not be greater
than permitted under the plan approved by the Employment and
Training Administration.
Every trainee must be paid at not less than the rate specified in the
approved program for the trainee's level of progress, expressed as a
percentage of the journeyman hourly rate specified in the applicable
wage determination. Trainees shall be paid fringe benefits in
accordance with the provisions of the trainee program. If the trainee
program does not mention fringe benefits, trainees shall be paid the
full amount of fringe benefits listed on the wage determination unless
the Administrator of the Wage and Hour Division determines that there
is an apprenticeship program associated with the corresponding
journeyman wage rate on the wage determination which provides for
less than full fringe benefits for apprentices.
Any employee listed on the payroll at a trainee rate who is not registered
and participating in a training plan approved by the Employment and
Training Administration shall be paid not less than the applicable wage
rate on the wage determination for the classification of work actually
performed. In addition, any trainee performing work on the job site in
excess of the ratio permitted under the registered program shall be paid
not less than the applicable wage rate on the wage determination for the
work actually performed.
In the event the Employment and Training Administration withdraws
approval of a training program, the contractor will no longer be
permitted to utilize trainees at less than the applicable predetermined rate
for the work performed until an acceptable program is approved.
c. Equal employment opportunity.
The utilization of apprentices, trainees and journeymen under this part
shall be in conformity with the equal employment opportunity
requirements of Executive Order 11246, as amended, and 29 CFR part
30.
d. Apprentices and Trainees (programs of the U.S.DOT).
Apprentices and trainees working under apprenticeship and skill training
programs which have been certified by the Secretary of Transportation as
promoting EEO in connection with Federal- aid highway construction
programs are not subject to the requirements of paragraph 4 of this
Section IV. The straight time hourly wage rates for apprentices and
trainees under such programs will be established by the particular
programs. The ratio of apprentices and trainees to journeymen shall not
be greater than permitted by the terms of the particular program.
5. Compliance with Copeland Act requirements. The contractor shall
comply with the requirements of 29 CFR part 3, which are incorporated
by reference in this contract.
6. Subcontracts. The contractor or subcontractor shall insert Form
FHWA-1273 in any subcontracts and also require the subcontractors to
include Form FHWA-1273 in any lower tier subcontracts. The prime
contractor shall be responsible for the compliance by any subcontractor
or lower tier subcontractor with all the contract clauses in 29 CFR 5.5.
7. Contract termination: debarment. A breach of the contract clauses
in 29 CFR 5.5 may be grounds for termination of the contract, and for
debarment as a contractor and a subcontractor as provided in 29 CFR
5.12.
8. Compliance with Davis-Bacon and Related Act requirements. All
rulings and interpretations of the Davis-Bacon and Related Acts
contained in 29 CFR parts 1, 3, and 5 are herein incorporated by
reference in this contract.
9. Disputes concerning labor standards. Disputes arising out of the
labor standards provisions of this contract shall not be subject to the
general disputes clause of this contract. Such disputes shall be resolved
in accordance with the procedures of the Department of Labor set forth
in 29 CFR parts 5, 6, and
7. Disputes within the meaning of this clause include disputes between
the contractor (or any of its subcontractors) and the contracting agency,
the U.S. Department of Labor, or the employees or their representatives.
EXHIBIT A TO RESOLUTION 2023-025
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
contractor's 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 CFR 5.12(a)(1).
b. No part of this contract shall be subcontracted to any person or firm
ineligible for award of a Government contract by virtue of section 3(a)
of the Davis-Bacon Act or 29 CFR5.12(a)(1).
c. The penalty for making false statements is prescribed in the U.S.
Criminal Code, 18 U.S.C. 1001.
V. CONTRACT WORK HOURS AND
SAFETY 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.
1. 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 less than one and one-half times the basic rate of pay for all
hours worked in excess of forty hours in such workweek.
2. Violation; liability for unpaid wages; liquidated damages. In the
event of any violation of the clause set forth in paragraph (1.) 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 of Columbia or a 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 (1.) of this section, in the sum of $10
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 (1.) 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 provided in the clause set
forth in paragraph (2.) of this section.
4. Subcontracts. The contractor or subcontractor shall insert in any
subcontracts the clauses set forth in paragraph (1.) 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 (1.) through (4.)
of this section.
VI. SUBLETTING OR ASSIGNING THE CONTRACT
This provision is applicable to all Federal-aid construction contracts on
the National Highway System.
1. 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 of any
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, or any 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:
(1) 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 leased employees;
(3) the prime contractor retains all power to accept or exclude
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
to be limited to minor components of the overall contract.
2. The contract amount upon which the requirements set forth in
paragraph (1) 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 contract provisions.
3. The contractor shall furnish (a) a competent superintendent or
supervisor who is employed by the firm, 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 of the contract.
EXHIBIT A TO RESOLUTION 2023-025
4. No portion of the contract shall be sublet, assigned or otherwise
disposed of except with the written consent of the contracting officer,
or authorized representative, and such consent when given shall not be
construed to relieve the contractor of any responsibility for the
fulfillment of the contract. Written consent will be given only after the
contracting agency has assured that each subcontract is evidenced in
writing and that it contains all pertinent provisions and requirements of
the prime contract
5. The 30% self-performance requirement of paragraph (1) is not
applicable to design-build contracts; however, contracting agencies
may establish their own self-performance requirements.
VII. SAFETY: ACCIDENT PREVENTION
This provision is applicable to all Federal-aid construction contracts
and to all related subcontracts.
1. In the performance of this contract the contractor shall comply with
all applicable Federal, State, and local laws governing safety, health,
and sanitation (23 CFR 635). The contractor shall provide all
safeguards, safety devices and protective equipment and take any other
needed actions as it determines, or as the contracting officer may
determine, to be reasonably necessary to protect the life and health of
employees on the job and the safety of the public and to protect
property in connection with the performance of the work covered by
the contract.
2. It is a condition of this contract, and shall be made a condition of
each subcontract, which the contractor enters into pursuant to this
contract, that the contractor and any subcontractor shall not permit any
employee, in performance of the contract, to work in surroundings or
under conditions which are unsanitary, hazardous or dangerous to
his/her health or safety, as determined under construction safety and
health standards (29 CFR 1926) promulgated by the Secretary of
Labor, in accordance with Section 107 of the Contract Work Hours
and Safety Standards Act (40 U.S.C. 3704).
3. Pursuant to 29 CFR 1926.3, it is a condition of this contract that the
Secretary of Labor or authorized representative thereof, shall have right
of entry to any site of contract performance to inspect or investigate the
matter of compliance with the construction safety and health standards and
to carry out the duties of the Secretary under Section 107 of the
Contract Work Hours and Safety Standards Act (40U.S.C.3704).
VIII. FALSE STATEMENTS CONCERNING HIGHWAY
PROJECTS
This provision is applicable to all Federal-aid construction contracts
and to all related subcontracts.
In order to assure high quality and durable construction in conformity
with approved plans and specifications and a high degree of reliability
on statements and representations made by engineers, contractors,
suppliers, and workers on Federal- aid highway projects, it is essential
that all persons concerned with the project perform their functions as
carefully, thoroughly, and honestly as possible. Willful falsification,
distortion, or misrepresentation with respect to any facts related to the
project is a violation of Federal law. To prevent any misunderstanding
regarding the seriousness of these and similar acts, Form FHWA-1022
shall be posted on each Federal-aid highway project (23 CFR 635) in
one or more places where it is readily available to all persons
concerned with the project:
18 U.S.C. 1020 reads as follows:
"Whoever, being an officer, agent, or employee of the United States, or
of any State or Territory, or whoever, whether a person, association,
firm, or corporation, knowingly makes any false statement, false
representation, or false report as to the character, quality, quantity, or cost
of the material used or to be used, or the quantity or quality of the work
performed or to be performed, or the cost thereof in connection with the
submission of plans, maps, specifications, contracts, or costs of
construction on any highway or related project submitted for approval to
the Secretary of Transportation; or
Whoever knowingly makes any false statement, false representation,
false report or false claim with respect to the character, quality, quantity,
or cost of any work performed or to be performed, or materials furnished
or to be furnished, in connection with the construction of any highway
or related project approved by the Secretary of Transportation; or
Whoever knowingly makes any false statement or false representation
as to material fact in any statement, certificate, or report submitted
pursuant to provisions of the Federal-aid Roads Act approved July 1,
1916, (39 Stat. 355), as amended and supplemented;
Shall be fined under this title or imprisoned not more than 5 years or
both."
IX. IMPLEMENTATION OF CLEAN AIR ACT AND
FEDERAL WATER POLLUTION CONTROLACT
This provision is applicable to all Federal-aid construction
contracts and to all related subcontracts.
By submission of this bid/proposal or the execution of this contract, or
subcontract, as appropriate, the bidder, proposer, Federal-aid
construction contractor, or subcontractor, as appropriate, will be deemed
to have stipulated as follows:
1. That any person who is or will be utilized in the performance of this
contract is not prohibited from receiving an award due to a violation of
Section 508 of the Clean Water Act or Section 306 of the Clean Air Act.
2. That the contractor agrees to include or cause to be included the
requirements of paragraph (1) of this Section X in every subcontract,
and further agrees to take such action as the contracting agency may
direct as a means of enforcing such requirements.
X. CERTIFICATION REGARDING DEBARMENT,
SUSPENSION, INELIGIBILITY AND VOLUNTARY
EXCLUSION
This provision is applicable to all Federal-aid construction contracts,
design-build contracts, subcontracts, lower-tier subcontracts, purchase
orders, lease agreements, consultant contracts or any other covered
transaction requiring FHWA approval or that is estimated to cost
$25,000 or more – as defined in 2 CFR Parts 180 and 1200.
1. Instructions for Certification– First Tier Participants:
a. By signing and submitting this proposal, the prospective first tier
participant is providing the certification set out below.
b. The inability of a person to provide the certification set out below
will not necessarily result in denial of participation in this covered
transaction. The prospective first tier participant shall submit an
explanation of why it cannot provide the certification set out below.
EXHIBIT A TO RESOLUTION 2023-025
The certification or explanation will be considered in connection
with the department or agency's determination 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 determined
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).
f. 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 further agrees 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 exceeding the $25,000 threshold.
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 (https://www.epls.gov/), which is
compiled by the General Services Administration.
i. Nothing contained in the foregoing shall be construed to require the
establishment of a 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 of business dealings.
j. Except for transactions authorized under paragraph (f) 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 or default.
* * * * *
2. Certification Regarding Debarment, Suspension, Ineligibility
and Voluntary Exclusion – First Tier Participants:
a. The prospective first tier participant certifies to the best of its
knowledge and belief, that it and its principals:
(1) 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, or receiving stolen property;
(3) Are not presently indicted for or otherwise criminally or civilly
charged by a governmental entity (Federal, State or local) with
commission of any of the offenses enumerated in paragraph(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
or local) terminated for cause or default.
b. Where the prospective participant is unable to certify to any of the
statements in this certification, such prospective participant shall attach
an explanation to this proposal.
2. Instructions for Certification - Lower Tier Participants:
(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. By signing and submitting this proposal, the prospective lower tier
is providing the certification set out 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 Government, the department, or
agency with which this transaction originated may pursue available
remedies, including suspension and/or debarment.
EXHIBIT A TO RESOLUTION 2023-025
c. The prospective lower tier participant shall provide immediate
written notice to the person to which this proposal is submitted if at
any time the prospective lower tier participant learns that its
certification was erroneous by reason of changed circumstances.
d. 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. You may contact the person to which this proposal is submitted
for assistance in obtaining a copy of those regulations. “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).
e. The prospective lower 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 with which this
transaction originated.
f. The prospective lower tier participant further agrees by
submitting this proposal that it will include this clause titled
"Certification Regarding Debarment, Suspension, Ineligibility and
Voluntary Exclusion-Lower Tier Covered Transaction," without
modification, in all lower tier covered transactions and in all
solicitations for lower tier covered transactionsexceedingthe$25,000
threshold.
g. 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
(https://www.epls.gov/), which is compiled by the General Services
Administration.
h. Nothing contained in the foregoing shall be construed to require
establishment of a system of records in order to render in good faith
the certification required by this clause. The knowledge and
information of participant is not required to exceed that which is
normally possessed by a prudent person in the ordinary course of
business dealings.
Except for transactions authorized under paragraph e 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 with which this transaction
originated may pursue available remedies, including suspension
and/or debarment.
* * * * *
Certification Regarding Debarment, Suspension, Ineligibility and
Voluntary Exclusion--Lower Tier Participants:
1. The prospective lower tier participant certifies, by submission of
this proposal, that neither it nor its principals is presently debarred,
suspended, proposed for debarment, declared ineligible, or voluntarily
excluded from participating in covered transactions by any Federal
department or agency.
2. Where the prospective lower tier participant is unable to certify to
any of the statements in this certification, such prospective participant
shall attach an explanation to this proposal.
* * * * *
XI. CERTIFICATION REGARDING USE OF CONTRACT FUNDS
FOR LOBBYING
This provision is applicable to all Federal-aid construction contracts
and to all related subcontracts which exceed $100,000 (49 CFR 20).
1. The prospective participant certifies, by signing and submitting this
bid or proposal, to the best of his or her knowledge and belief, that:
a. 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 contract, the making of any Federal grant, the making of any
Federal loan, the entering into of any cooperative agreement, and the
extension, continuation, renewal, amendment, or modification of any
Federal contract, grant, loan, or cooperative agreement.
b. If any funds other than Federal appropriated funds have been paid
or will be paid to any person for influencing or attempting to influence
an officer or employee of any Federal agency, a Member of Congress, an
officer or employee of Congress, or an employee of a Member of
Congress in connection with this Federal contract, grant, loan, or
cooperative agreement, the undersigned shall complete and submit
Standard Form-LLL, "Disclosure Form to Report Lobbying," in
accordance with its instructions.
2. This certification is a material representation of fact upon which
reliance was placed when this transaction was made or entered into.
Submission of this certification is a prerequisite for making or entering
into this transaction imposed by 31 U.S.C. 1352. Any person who fails
to file the required certification shall be subject to a civil penalty of not
less than $10,000 and not more than $100,000 for each such failure.
3. The prospective participant also agrees by submitting its bid or
proposal that the participant shall require that the language of this
certification be included in all lower tier subcontracts, which exceed
$100,000 and that all such recipients shall certify and disclose
accordingly.
EXHIBIT A TO RESOLUTION 2023-025
ATTACHMENT A - EMPLOYMENT AND MATERIALS
PREFERENCE FOR APPALACHIAN DEVELOPMENT
HIGHWAY SYSTEM OR APPALACHIAN LOCAL
ACCESS ROAD CONTRACTS This provision is applicable to all Federal-aid projects funded
under the Appalachian Regional Development Actof1965.
1. During the performance of this contract, the contractor
undertaking to do work which is, or reasonably 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 the
Appalachian counties of the State wherein the contract work is
situated, except:
a. To the extent that qualified persons regularly residing in
the area are not available.
b. For the reasonable needs of the contractor to employ
supervisory or specially experienced personnel necessary to
assure an efficient execution of the contract work.
c. For the obligation of the contractor to offer employment to
present or former employees as the result of a lawful collective
bargaining contract, provided that the number of nonresident
persons employed under this subparagraph (1c) 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 a job order with the State
Employment Service indicating (a) the classifications of the
laborers, mechanics and other employees required to perform the
contract work, (b) the number of employees required in each
classification, (c) the date on which the participant estimates
such employees will be required, and (d) any other pertinent
information required by the State Employment Service to
complete the job order form. The job order may be placed with the
State Employment Service in writing or by telephone. If during
the course of the contract work, the information submitted by the
contractor in the original job order is substantially modified, the
participant shall promptly notify the State Employment Service.
3. The contractor shall give full consideration to all qualified
job applicants 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 not qualified to
perform the classification of work required.
4. If, within one week following the placing of a job order by
the contractor with the State Employment Service, the State
Employment Service is unable to refer any qualified job
applicants to the contractor, or less than the number requested,
the State Employment Service will forward a certificate to the
contractor indicating the unavailability of applicants. Such
certificate shall be made a part of the contractor's permanent
project records. Upon receipt of this certificate, the contractor
may employ persons who do not normally reside in the labor area
to fill positions covered by the certificate, notwithstanding the
provisions of subparagraph(1c) above.
5. The provisions of 23 CFR 633.207(e) allow the contracting
agency 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 1
through 4 of this Attachment A in every subcontract for work
which is, or reasonably may be, done as on-site work.
EXHIBIT A TO RESOLUTION 2023-025
EXHIBIT J
ADDITIONAL FEDERAL REQUIREMENTS
Federal laws and regulations that may be applicable to the Work include:
Executive Order 11246
Executive Order 11246 of September 24, 1965 entitled "Equal Employment Opportunity," as amended by
Executive Order 11375 of October 13, 1967 and as supplemented in Department of Labor regulations (41 CFR
Chapter 60) (All construction contracts awarded in excess of $10,000 by the Local Agencies and their
contractors or the Local Agencies).
Copeland "Anti-Kickback" Act
The Copeland "Anti-Kickback" Act (18 U.S.C. 874) as supplemented in Department of Labor regulations (29
CFR Part 3) (All contracts and sub-Agreements for construction or repair).
Davis-Bacon Act
The Davis-Bacon Act (40 U.S.C. 276a to a-7) as supplemented by Department of Labor regulations (29 CFR
Part 5) (Construction contracts in excess of $2,000 awarded by the Local Agencies and the Local Agencies
when required by Federal Agreement program legislation. This act requires that all laborers and mechanics
employed by contractors or sub-contractors to work on construction projects financed by federal assistance
must be paid wages not less than those established for the locality of the project by the Secretary of Labor).
Contract Work Hours and Safety Standards Act
Sections 103 and 107 of the Contract Work Hours and Safety Standards Act (40 U.S.C. 327-330) as
supplemented by Department of Labor regulations (29 CFR Part 5). (Construction contracts awarded by the
Local Agency’s in excess of $2,000, and in excess of $2,500 for other contracts which involve the employment
of mechanics or laborers).
Clean Air Act
Standards, orders, or requirements issued under section 306 of the Clean Air Act (42 U.S.C. 1857(h), section
508 of the Clean Water Act (33 U.S.C. 1368). Executive Order 11738, and Environmental Protection Agency
regulations (40 CFR Part 15) (contracts, subcontracts, and sub-Agreements of amounts more than $100,000).
Energy Policy and Conservation Act
Mandatory standards and policies relating to energy efficiency which are contained in the state energy
conservation plan issued in compliance with the Energy Policy and Conservation Act (Pub. L. 94-163).
OMB Circulars
Office of Management and Budget Circulars A-87, A-21 or A-122, and A-102 or A-110, whichever is
applicable.
Hatch Act
The Hatch Act (5 USC 1501-1508) and Public Law 95-454 Section 4728. These statutes state that federal funds
cannot be used for partisan political purposes of any kind by any person or organization involved in the
administration of federally assisted programs.
Nondiscrimination
The Local Agency shall not exclude from participation in, deny the benefits of, or subject to discrimination
any person in the United States on the ground of race, color national origin, sex, age or disability. Prior to the
receipt of any Federal financial assistance from CDOT, the Local Agency shall execute the attached Standard
DOT Title VI assurance. As appropriate, the Local Agency shall include Appendix A, B, or C to the Standard
DOT Title VI assurance in any contract utilizing federal funds, land, or other aid. The Local Agency shall also
include the following in all contract advertisements:
The [Local Agency], in accordance with the provisions of Title VI of the Civil Rights Act
of 1964 (79 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, DBEs will be afforded full and fair opportunity to submit bids in response
to this invitation and will not be discriminated against on the grounds of race, color, or
national origin in consideration for any award.
EXHIBIT A TO RESOLUTION 2023-025
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 of the Civil Rights Act of 1964 and 162(a) of the 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 Regulations, 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 of Subcontractors, including procurement of materials 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.
EXHIBIT A TO RESOLUTION 2023-025
v. Sanctions for Noncompliance
In the event of the Contractor's noncompliance with the nondiscrimination provisions of this
Agreement, the State shall impose such contract sanctions as it or the FHWA may determine to be
appropriate, including, but not limited to: a. Withholding of payments to the Contractor under the
contract until the Contractor complies, and/or b. Cancellation, termination or suspension of the
contract, in whole or in part.
Incorporation of Provisions §22
The Contractor will include the provisions of this Exhibit J in every subcontract, including procurement of
materials and leases of equipment, unless exempt by the Regulations, orders, or instructions issued pursuant
thereto. The Contractor will take such action with respect to any subcontract or procurement as the State or the
FHWA may direct 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 supplier as a result of such direction, the Contractor may request the State to enter into such
litigation to protect the interest of the State and in addition, the Contractor may request the FHWA to enter into
such litigation to protect the interests of the United States.
THE REMAINDER OF THIS PAGE INTENTIONALLY LEFT BLANK
EXHIBIT A TO RESOLUTION 2023-025
SAMPLE
The United States Department of Transportation (USDOT) Standard Title VI/Non-Discrimination
Assurances for Local Agencies
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, "for which the Recipient receives Federal financial assistance 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:
1. The Recipient agrees that each "activity," "facility," or "program," as defined in §§ 21.23(b) and 21.23(e) of
49 C.F.R. § 21 will be (with regard to an "activity") facilitated or will be (with regard to a "facility") operated or
will be (with regard to a "program") conducted in compliance with all requirements imposed by, or pursuant to
the Acts and the Regulations.
2. The Recipient will insert the following notification in all solicitations for bids, Requests for Proposals for work,
or material subject to the Acts and the Regulations made in connection with all FHWA, FTA and FAA programs
and, in adapted form, in all proposals for negotiated agreements regardless of funding source:
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 fair opportunity
EXHIBIT A TO RESOLUTION 2023-025
4. to submit bids in response to this invitation and will not be discriminated against on the grounds of
race, color, or national origin in consideration for an award."
5. The Recipient will insert the clauses of Appendix A and E of this Assurance in every contract or agreement
subject to the Acts and the Regulations.
6. The Recipient will insert the clauses of Appendix B of this Assurance, as a covenant running with the land,
in any deed from the United States effecting or recording a transfer of real property, structures, use, or
improvements thereon or interest therein to a Recipient.
7. That where the Recipient receives Federal financial assistance to construct a facility, or part of a facility,
the Assurance will extend to the entire facility and facilities operated in connection therewith.
8. That where the Recipient receives Federal financial assistance in the form, or for the acquisition of real
property or an interest in real property, the Assurance will extend to rights to space on, over, or under such
property.
9. That the Recipient will include the clauses set forth in Appendix C and Appendix D of this Assurance, as a
covenant running with the land, in any future deeds, leases, licenses, permits, or similar instruments entered
into by the Recipient with other parties:
a. for the subsequent transfer of real property acquired or improved under the applicable activity, project,
or program; and
b. for the construction or use of, or access to, space on, over, or under real property acquired or improved
under the applicable activity, project, or program.
10. That this Assurance obligates the Recipient for the period during which Federal financial assistance is
extended to the program, except where the Federal financial assistance is to provide, or is in the form of,
personal property, or real property, or interest therein, or structures or improvements thereon, in which case
the Assurance obligates the Recipient, or any transferee for the longer of the following periods:
a. the period during which the property is used for a purpose for which the Federal financial assistance is
extended, or for another purpose involving the provision of similar services or benefits; or
b. the period during which the Recipient retains ownership or possession of the property.
11. The Recipient will provide for such methods of administration for the program as are found by the Secretary
of Transportation or the official to whom he/she delegates specific authority to give reasonable guarantee
that it, other recipients, sub-recipients, sub-grantees, contractors, subcontractors, consultants, transferees,
successors in interest, and other participants of Federal financial assistance under such program will comply
with all requirements imposed or pursuant to the Acts, the Regulations, and this Assurance.
12. The Recipient agrees that the United States has a right to seek judicial enforcement with regard to any
matter arising under the Acts, the Regulations, and this Assurance.
By signing this ASSURANCE, the [Local Agency] also agrees to comply (and require any sub-recipients, sub-
grantees, contractors, successors, transferees, and/or assignees to comply) with all applicable provisions governing
the FHWA, FTA, and FAA’s access to records, accounts, documents, information, facilities, and staff. You also
recognize that you must comply with any program or compliance reviews, and/or complaint investigations conducted
by CDOT, FHWA, FTA, or FAA. You must keep records, reports, and submit the material for review
EXHIBIT A TO RESOLUTION 2023-025
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 of Transportation 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 FHWA, 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 of Authorized Official)
DATED
EXHIBIT A TO RESOLUTION 2023-025
APPENDIX A
During the performance of this contract, the contractor, for itself, its assignees, and successors in interest (hereinafter
referred to as the "contractor") agrees as follows:
1. Compliance with Regulations: The contractor (hereinafter includes consultants) will comply with the Acts
and the Regulations relative to Non-discrimination in Federally-assisted programs of the U.S. Department of
Transportation, FHWA, as they may be amended from time to time, which are herein incorporated by reference
and made a part of this contract.
2. Non-discrimination: The contractor, with regard to the work performed by it during the contract, will not
discriminate on the grounds of race, color, or national origin in the selection and retention of subcontractors,
including procurements of materials and leases of equipment. The contractor will not participate directly or
indirectly in the discrimination prohibited by the Acts and the Regulations, including employment practices
when the contract covers any activity, project, or program set forth in Appendix B of 49 CFR Part 21.
3. Solicitations for Subcontracts, Including Procurements of Materials and Equipment: In all solicitations,
either by competitive bidding, or negotiation made by the contractor for work to be performed under a
subcontract, including procurements of materials, or leases of equipment, each potential subcontractor or
supplier will be notified by the contractor of the contractor's obligations under this contract and the Acts and
the Regulations relative to Non-discrimination on the grounds of race, color, or national origin.
4. Information and Reports: The contractor will provide all information and reports required by the Acts, the
Regulations, and directives issued pursuant thereto and will permit access to its books, records, accounts, other
sources of information, and its facilities as may be determined by the [Local Agency], CDOT or FHWA to be
pertinent to ascertain compliance with such Acts, Regulations, and instructions. Where any information
required of a contractor is in the exclusive possession of another who fails or refuses to furnish the
information, the contractor will so certify to the [Local Agency], CDOT or FHWA, as appropriate, and will
set forth what efforts it has made to obtain the information.
5. Sanctions for Noncompliance: In the event of a contractor's noncompliance with the non-discrimination
provisions of this contract, the [Local Agency] will impose such contract sanctions as it, CDOT or FHWA
may determine to be appropriate, including, but not limited to:
a. withholding payments to the contractor under the contract until the contractor complies; and/or
b. cancelling, terminating, or suspending a contract, in whole or in part.
6. Incorporation of Provisions: The contractor will include the provisions of paragraphs one through six in
every subcontract, including procurements of materials and leases of equipment, unless exempt by the Acts,
the Regulations and directives issued pursuant thereto. The contractor will take action with respect to any
subcontract or procurement as the Recipient or the [Local Agency], CDOT or FHWA may direct as a means
of enforcing such provisions including sanctions for noncompliance. Provided, that if the contractor becomes
involved in, or is threatened with litigation by a subcontractor, or supplier because of such direction, the
contractor may request the Recipient to enter into any litigation to protect the interests of the Recipient. In
addition, the contractor may request the United States to enter into the litigation to protect the interests of the
United States.
EXHIBIT A TO RESOLUTION 2023-025
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 (1) 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 of Transportation, Effectuation of Title VI of the Civil Rights Act of 1964, and as said Regulations and
Acts may be amended [, and (3) that in the event of breach of any of the 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 become the absolute property of the U.S. Department of Transportation
and its assigns as such interest existed prior to this instruction].*
(*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 J - Page 8 of 11
EXHIBIT A TO RESOLUTION 2023-025
APPENDIX C
CLAUSES FOR TRANSFER OF REAL PROPERTY ACQUIRED OR IMPROVED UNDER THE
ACTIVITY, FACILITY, OR PROGRAM
The following clauses will be included in deeds, licenses, leases, permits, or similar instruments entered into by the
[Local Agency] pursuant to the provisions of Assurance 7(a):
A. The (grantee, lessee, 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:
1. In the event facilities are constructed, maintained, or otherwise operated on the property described in this (deed,
license, lease, permit, etc.) for a purpose for which a U.S. Department of Transportation activity, facility, or
program is extended or for another purpose involving the provision of similar services or benefits, the (grantee,
licensee, lessee, permittee, etc.) will maintain and operate such facilities and services in compliance with all
requirements imposed by the Acts and Regulations (as may be amended) such that no person on the grounds
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.
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 (lease, license, permit, etc.) and to enter, re-enter,
and repossess said lands and facilities thereon, and hold the same as if the (lease, license, permit, etc.) had never
been made or issued. *
C. With respect to a deed, in the event of breach of any of the above Non-discrimination covenants, the [Local Agency]
will have the right to enter or re-enter the lands and facilities thereon, and the above described lands and facilities
will there upon revert to and vest in and become the absolute property of the [Local Agency] 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 A TO RESOLUTION 2023-025
APPENDIX D
CLAUSES FOR CONSTRUCTION/USE/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 (1) 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 this Assurance.
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 A TO RESOLUTION 2023-025
APPENDIX E
During the performance of this contract, the contractor, for itself, its assignees, and successors
in interest (hereinafter referred to as the "contractor") agrees to comply with the following non-
discrimination statutes and authorities; including but not limited to:
Pertinent Non-Discrimination Authorities:
• Title VI of the Civil Rights Act of 1964 (42 U.S.C. § 2000d et seq., 78 stat. 252),
(prohibits discrimination on the basis of race, color, national origin); and 49 CFR Part
21.
• The Uniform Relocation Assistance and Real Property Acquisition Policies Act of
1970, (42 U.S.C. § 4601), (prohibits unfair treatment of persons displaced or whose
property has been acquired because of Federal or Federal-aid programs and projects);
• Federal-Aid Highway Act of 1973, (23 U.S.C. § 324 et seq.), (prohibits discrimination
on the basis of sex);
• Section 504 of the Rehabilitation Act of 1973, (29 U.S.C. § 794 et seq.), as amended,
(prohibits discrimination on the basis of disability); and 49 CFR Part 27;
• The Age Discrimination Act of 1975, as amended, (42 U.S.C. § 6101 et seq.), (prohibits
discrimination on the basis of age);
• Airport and Airway Improvement Act of 1982, (49 USC § 471, Section 47123), as
amended, (prohibits discrimination based on race, creed, color, national origin, or sex);
• The Civil Rights Restoration Act of 1987, (PL 100-209), (Broadened the scope,
coverage and applicability of Title VI of the Civil Rights Act of 1964, The Age
Discrimination Act of 1975 and Section 504 of the Rehabilitation Act of 1973, by
expanding the definition of the terms "programs or activities" to include all of the
programs or activities of the Federal-aid recipients, sub-recipients and contractors,
whether such programs or activities are Federally funded or not);
• Titles II and III of the Americans with Disabilities Act, which prohibit discrimination
on the basis of disability in the operation of public entities, public and private
transportation systems, places of public accommodation, and certain testing entities (42
U.S.C. §§ 12131-12189) as implemented by Department of Transportation regulations
at 49 C.F.R. parts 37 and 38;
• The Federal Aviation Administration's Non-discrimination statute (49 U.S.C. § 47123)
(prohibits discrimination on the basis of race, color, national origin, and sex);
• Executive Order 12898, Federal Actions to Address Environmental Justice in Minority
Populations and Low- Income Populations, which ensures non-discrimination against
minority populations by discouraging programs, policies, and activities with
disproportionately high and adverse human health or environmental effects on
minority and low-income populations;
• Executive Order 13166, Improving Access to Services for Persons with Limited
English Proficiency, and resulting agency guidance, national origin discrimination
includes discrimination because of Limited English proficiency (LEP). To ensure
compliance with Title VI, you must take reasonable steps to ensure that LEP persons
have meaningful access to your programs (70 Fed. Reg. at 74087 to 74100);
• Title IX of the Education Amendments of 1972, as amended, which prohibits you from
discriminating because of sex in education programs or activities (20 U.S.C. 1681 et
seq).
EXHIBIT A TO RESOLUTION 2023-025
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.
1. 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;
1.1.3. 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 of money;
1.1.13. A transfer of title 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 funded in whole or in part with Recovery funds, 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, other than 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: http://fedgov.dnb.com/webform.
1.5. “Entity” means all of the following as defined at 2 CFR part 25, subpart C;
1.5.1. A governmental organization, which is a State, local government, or Indian Tribe;
1.5.2. A foreign public entity;
1.5.3. A domestic or foreign non-profit organization;
EXHIBIT A TO RESOLUTION 2023-025
1.5.4. A domestic or foreign for-profit organization; and
1.5.5. A Federal agency, but only a Subrecipient under an Award or Subaward to a non-Federal entity.
1.6. “Executive” means an officer, managing partner or any other employee in a management position.
1.7. “Federal Award Identification Number (FAIN)” means an Award number assigned by a Federal agency
to a Prime Recipient.
1.8. “FFATA” means the Federal Funding Accountability and Transparency Act of 2006 (Public Law 109- 282),
as amended by §6202 of Public Law 110-252. FFATA, as amended, also is referred to as the “Transparency
Act.”
1.9. “Prime Recipient” means a Colorado State agency or institution of higher education that receives an Award.
1.10. “Subaward” means a legal instrument pursuant to which a Prime Recipient of Award funds awards all or a
portion of such funds to a Subrecipient, in exchange for the Subrecipient’s support in the performance of all
or any portion of the substantive project or program for which the Award was granted.
1.11. “Subrecipient” means a non-Federal Entity (or a Federal agency under 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 “Subrecipient” includes and may be referred to as Subgrantee.
1.12. “Subrecipient Parent DUNS Number” means the subrecipient parent organization’s 9-digit Data
Universal Numbering System (DUNS) number that appears in the subrecipient’s System for Award
Management (SAM) profile, if applicable.
1.13. “Supplemental Provisions” means these Supplemental Provisions for Federally Funded Contracts, Grants,
and Purchase Orders subject to the Federal Funding Accountability and Transparency Act of 2006, As
Amended, as may be revised pursuant to ongoing guidance from the relevant Federal or State of Colorado
agency or institution of higher education.
1.14. “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.
1.15. “Total Compensation” means the cash and noncash dollar value earned by an Executive during the Prime
Recipient’s or Subrecipient’s preceding fiscal year and includes the following:
1.15.1. Salary and bonus;
1.15.2. 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 123R), Shared Based Payments;
1.15.3. 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;
1.15.4. Change in present value of defined benefit and actuarial pension plans;
1.15.5. Above-market earnings on deferred compensation which is not tax-qualified;
1.15.6. 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.
1.16. “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. The Transparency Act also is referred to as FFATA.
1.17 “Vendor” means a dealer, distributor, merchant or other seller providing property or services required for a
project or program funded by an Award. A Vendor is not a Prime Recipient or a Subrecipient and is not
subject to the terms and conditions of the Federal award. Program compliance requirements do not pass
through to a Vendor.
EXHIBIT A TO RESOLUTION 2023-025
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 or regulations shall automatically 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
Contractor of such 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 or receives 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.
3.2. 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 year if:
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, Contractor received:
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
4.2.2. $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 of such 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 (OMB), and as such are subject to change at any time by OMB. 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
of revised OMB reporting requirements at http://www.colorado.gov/dpa/dfp/sco/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 1,
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
reporting requirements.
7. Subrecipient Reporting Requirements. If Contractor is a Subrecipient, Contractor shall report as set forth below.
EXHIBIT A TO RESOLUTION 2023-025
7.1 To SAM. A Subrecipient shall register in SAM and report the following data elements in SAM for each
Federal Award Identification Number no later than the end of the month following the month in which the
Subaward was made:
7.1.1 Subrecipient DUNS Number;
7.1.2 Subrecipient DUNS Number + 4 if more than one electronic funds transfer (EFT) account;
7.1.3 Subrecipient Parent DUNS Number;
7.1.4 Subrecipient’s address, including: Street Address, City, State, Country, Zip + 4, and
Congressional District;
7.1.5 Subrecipient’s top 5 most highly compensated Executives if the criteria in §4 above are met;
and
7.1.6 Subrecipient’s Total Compensation of top 5 most highly compensated Executives if criteria in
§4 above met.
7.2 To Prime Recipient. A Subrecipient shall report to its Prime Recipient, upon the effective date of the
Contract, the following dataelements:
7.2.1 Subrecipient’s DUNS Number as registered in SAM.
7.2.2 Primary Place of Performance Information, including: Street Address, City, State, Country, Zip
code + 4, and Congressional District.
8. Exemptions.
8.1. These Supplemental 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.
8.2 A Contractor 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.
8.3 Effective October 1, 2010, “Award” currently means a grant, cooperative agreement, or other arrangement
as defined in Section 1.1 of these Special Provisions. On future dates “Award” may include other items to
be specified by OMB in policy memoranda available at the OMB Web site; Award also will include other
types of Awards subject to the Transparency Act.
8.4 There are no Transparency Act reporting requirements for Vendors.
Event of Default. Failure to comply with these Supplemental Provisions shall constitute an event of default under the
Contract and the State of Colorado may terminate the Contract 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 Contract, at law or in equity.
EXHIBIT A TO RESOLUTION 2023-025
EXHIBIT L
SAMPLE SUBRECIPIENT MONITORING AND RISK ASSESSMENT
EXHIBIT A TO RESOLUTION 2023-025
EXHIBIT A TO RESOLUTION 2023-025
EXHIBIT A TO RESOLUTION 2023-025
EXHIBIT M
OMB UNIFORM GUIDANCE FOR FEDERAL AWARDS
Subject to
The Office of Management and Budget Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal Awards (“Uniform Guidance”),
Federal Register, Vol. 78, No. 248, 78590
The agreement to which these Uniform Guidance 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 agreement or any attachments or exhibits incorporated
into and made a part of the agreement, the provisions of these Uniform Guidance Supplemental Provisions
shall control. In the event of a conflict between the provisions of these Supplemental Provisions and the
FFATA Supplemental Provisions, the FFATA Supplemental Provisions shall control.
1. 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 by a Recipient to a Subrecipient funded in whole or in part by a Federal
Award. The terms and conditions of the Federal Award flow down to the Award unless the
terms and conditions of the Federal Award specifically indicate otherwise. 2 CFR §200.38
1.2. “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.
1.3.“Federal Awarding Agency” means a Federal agency providing a Federal Award to a Recipient.
2CFR §200.37
1.4. “FFATA” means the Federal Funding Accountability and Transparency Act of 2006 (Public Law
109- 282), as amended by §6202 of Public Law 110-252.
1.5. “Grant” or “Grant Agreement” means an agreement setting forth the terms and conditions of an
Award. The term does not include an agreement that provides only direct Federal cash assistance
to an individual, a subsidy, a loan, a loan guarantee, insurance, or acquires property or services
for the direct benefit of use of the Federal Awarding Agency or Recipient. 2 CFR§200.51.
1.6. “OMB” means the Executive Office of the President, Office of Management and Budget.
1.7. “Recipient” means a Colorado State department, agency or institution of higher education that
receives a Federal Award from a Federal Awarding Agency to carry out an activity under a
Federal program. The term does not include Subrecipients. 2 CFR §200.86
1.8. “State” means the State of Colorado, acting by and through its departments, agencies and
institutions of higher education.
1.9. “Subrecipient” means a non-Federal entity receiving an Award from a Recipient to carry out part
of a Federal program. The term does not include an individual who is a beneficiary of such
program.
1.10. “Uniform Guidance” means the Office of Management and Budget Uniform Administrative
Requirements, Cost Principles, and Audit Requirements for Federal Awards, which supersedes
requirements from OMB Circulars A-21, A-87, A-110, and A-122, OMB Circulars A-89, A-102,
and A- 133, and the guidance in Circular A-50 on Single Audit Act follow-up. 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.
EXHIBIT A TO RESOLUTION 2023-025
1.11. “Uniform Guidance Supplemental Provisions” means these Supplemental Provisions for
Federal Awards subject to the OMB Uniform Guidance, as may be revised pursuant to ongoing
guidance from relevant Federal agencies or the Colorado State Controller.
2. Compliance. Subrecipient shall comply with all applicable provisions of the Uniform Guidance,
including but not limited 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 such revisions, 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 reflect applicable 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,
§§200.318 through 200.326 thereof.
3.2 Procurement of Recovered Materials. If Subrecipient is a State Agency or an agency of
a political subdivision 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 the EPA
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 §200.331
(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 to the 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
§200.514 (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 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.
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 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
EXHIBIT A TO RESOLUTION 2023-025
Accountability Office.
5.3 Subrecipient Compliance Responsibility. Subrecipient shall procure or otherwise arrange for
the audit required by Part 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 Uniform Guidance §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
Part F-Audit Requirements.
6. Contract Provisions for Subrecipient Contracts. Subrecipient shall comply with and shall include
all of the following applicable provisions in all subcontracts entered into by it pursuant to this Grant
Agreement.
6.1 Equal Employment Opportunity. Except as otherwise provided under 41 CFR Part 60, all
contracts that meet the definition of “federally assisted construction contract” 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 Contract Compliance Programs, Equal Employment
Opportunity, Department of Labor.”
“During the performance of this contract, the contractor agrees as follows:
(1) The contractor will not discriminate against any employee or applicant for employment
because of race, color, religion, sex, or national origin. The contractor will take affirmative action
to ensure that applicants are employed, and that employees are treated during employment,
without regard to their race, color, religion, sex, or national origin. Such action shall include, but
not be limited to the following: Employment, upgrading, demotion, or transfer, recruitment or
recruitment advertising; layoff or termination; rates of pay or other forms of compensation; and
selection for training, including apprenticeship. The contractor agrees to post in conspicuous
places, available to employees and applicants for employment, notices to be provided by the
contracting officer setting forth the provisions of this nondiscrimination clause.
(2) The contractor will, in all solicitations or advertisements for employees placed by or on
behalf of the contractor, state that all qualified applicants will receive consideration for
employment without regard to race, color, religion, sex, or national origin.
(3) The contractor will send to each labor union or representative of workers with which he
has a collective bargaining agreement or other contract or understanding, a notice to be provided
by the agency contracting officer, advising the labor union or workers' representative of the
contractor's commitments
under section 202 of Executive Order 11246 of September 24, 1965, and shall post copies of
the notice in conspicuous places available to employees and applicants for employment.
(4) The contractor will comply with all provisions of Executive Order 11246 of September
24, 1965, and of the rules, regulations, and relevant orders of the Secretary of Labor.
(5) The contractor will furnish all information and reports required by Executive Order
11246 of September 24, 1965, and by the rules, regulations, and orders of the Secretary of
Labor, or pursuant thereto, and will permit access to his books, records, and accounts by the
contracting agency and the Secretary of Labor for purposes of investigation to ascertain
compliance with such rules, regulations, and orders.
(6) In the event of the contractor's non-compliance with the nondiscrimination clauses of
this contract or with any of such rules, regulations, or orders, this contract may be canceled,
EXHIBIT A TO RESOLUTION 2023-025
terminated or suspended in 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 (1) through (7) in every
subcontract or purchase order unless exempted by rules, regulations, or orders of the Secretary
of Labor issued pursuant to 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 subcontract or 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,
contractors must 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 upon 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 any implementing
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 Act as amended (33 U.S.C. 1251-1387). Violations must be
reported to the Federal awarding agency and the Regional Office of the Environmental Protection
EXHIBIT A TO RESOLUTION 2023-025
Agency (EPA).
6.5 Debarment and Suspension (Executive Orders 12549 and 12689). A contract award (see 2 CFR
180.220) must not be made to parties listed on the government wide exclusions in the System for
Award Management (SAM), in accordance with the OMB guidelines at 2 CFR 180 that
implement Executive Orders 12549 (3 CFR part 1986 Comp., p. 189) and 12689 (3 CFR part
1989 Comp., p. 235), “Debarment and Suspension.” SAM Exclusions contains the names
of parties debarred, suspended, or otherwise excluded by agencies, as well as parties
declared ineligible under statutory or regulatory authority other than Executive Order
12549.
6.6 Byrd Anti-Lobbying Amendment (31 U.S.C. 1352). Contractors that apply or bid for an award
exceeding $100,000 must file the required certification. Each tier certifies to the tier
above that it will not and has not used Federal appropriated funds to pay any person or
organization for influencing or attempting to influence an officer or employee of any
agency, a member of Congress, officer or employee of Congress, or an employee of a
member of Congress in connection with obtaining any Federal contract, grant or any
other award covered by 31 U.S.C. 1352. Each tier must also disclose any lobbying with
non- Federal funds that takes place in connection with obtaining any Federal award.
Such disclosures are forwarded from tier to tier up to the non-Federal award.
7. Certifications. Unless prohibited by Federal statutes or regulations, Recipient may require Subrecipient
to submit certifications and representations required by Federal statutes or regulations on an annual
basis. 2CFR §200.208. Submission may be required more frequently if Subrecipient fails to meet
a requirement of the Federal award. Subrecipient shall certify 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 §200.201(3). If the required level of activity or effort was not carried out, the amount of
the Award must be adjusted.
7.1 Event of Default. Failure to comply with these Uniform Guidance Supplemental Provisions shall
constitute an event of default under the Grant Agreement (2 CFR §200.339) and the State 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.
8. Effective Date. The effective date of the Uniform Guidance is December 26, 2013. 2 CFR §200.110. The
procurement standards set forth in Uniform Guidance §§200.317-200.326 are applicable to new Awards
made by Recipient as of December 26, 2015. The standards set forth in Uniform Guidance Subpart F-
Audit Requirements are applicable to audits of fiscal years beginning on or after December 26, 2014.
9. Performance Measurement. The Uniform Guidance requires completion of OMB-approved standard
information collection forms (the PPR). The form focuses on outcomes, as related to the Federal Award
Performance Goals that awarding Federal agencies are required to detail in the Awards.
Section 200.301 provides guidance to Federal agencies to measure performance in a way that will help
the Federal awarding agency and other non-Federal entities to improve program outcomes.
The Federal awarding agency is required to provide recipients with clear performance goals, indicators,
and milestones (200.210). Also, must require the recipient to relate financial data to performance
accomplishments of the Federal award.
EXHIBIT A TO RESOLUTION 2023-025
Exhibit N
Federal Treasury 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 Final Rule, and reporting requirements, as applicable.
1.3. Additionally, any subrecipient that issues a subaward to another entity (2nd tier
subrecipient), must hold the 2nd 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.
2.1.1. “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 identify
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);
EXHIBIT A TO RESOLUTION 2023-025
2.1.3.7. a Federal agency, but only as a Subrecipient under an Award or Subaward
to a non-Federal entity (or 2 CFR 200.1); or
2.1.3.8. a foreign for-profit organization (for 2 CFR part 170 only).
2.1.4. “Executive” means an officer, managing partner or any other employee in a
management position.
2.1.5. “Expenditure Category (EC)” means the category of eligible uses as defined by the
US Department of Treasury in “Appendix 1 of the Compliance and Reporting
Guidance, State and Local Fiscal Recovery Funds” report available at
www.treasury.gov.
2.1.6. “Federal Awarding Agency” means a Federal agency providing a Federal Award
to a Recipient as described in 2 CFR 200.1
2.1.7. “Grant” means the Grant to which these Federal Provisions are attached.
2.1.8. “Grantee” means the party or parties identified as such in the Grant to which these
Federal Provisions are attached.
2.1.9. “Non-Federal Entity means a State, local government, Indian tribe, institution of
higher education, or nonprofit organization that carries out a Federal Award as a
Recipient or a Subrecipient.
2.1.10. “Nonprofit Organization” means any corporation, trust, association, cooperative, or
other organization, not including IHEs, that:
2.1.10.1. Is operated primarily for scientific, educational, service, charitable, or
similar purposes in the public interest;
2.1.10.2. Is not organized primarily for profit; and
2.1.10.3. Uses net proceeds to maintain, improve, or expand the operations of the
organization.
2.1.11. “OMB” means the Executive Office of the President, Office of Management and
Budget.
2.1.12. “Pass-through Entity” means a non-Federal Entity that provides a Subaward to a
Subrecipient to carry out part of a Federal program.
2.1.13. “Prime Recipient” means the Colorado State agency or institution of higher
education identified as the Grantor in the Grant to which these Federal Provisions
are attached.
2.1.14. “Subaward” means an award by a Prime Recipient to a Subrecipient funded in
whole or in part by a Federal Award. The terms and conditions of the Federal
Award flow down to the Subaward unless the terms and conditions of the Federal
Award specifically indicate otherwise in accordance with 2 CFR 200.101. The term
does not include payments to a Contractor or payments to an individual that is a
beneficiary of a Federal program.
EXHIBIT A TO RESOLUTION 2023-025
2.1.15. “Subrecipient” or “Subgrantee” means a non-Federal Entity (or a Federal agency
under 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 123R), 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.
2.1.17. “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.
EXHIBIT A TO RESOLUTION 2023-025
3. COMPLIANCE.
3.1. Grantee shall comply with all applicable provisions of the Transparency Act and the
regulations issued pursuant thereto, all applicable provisions of the Uniform Guidance,
and all applicable Federal Laws and regulations required by this Federal Award Any
revisions to such provisions or regulations shall automatically become a part of these
Federal Provisions, without the necessity of either party executing any further
instrument. The State of Colorado, at its discretion, may provide written notification to
Grantee of such revisions, but such notice shall not be a condition precedent to the
effectiveness of such revisions.
3.2. Per US Treasury Final Award requirements, grantee programs or services must not
include a term or conditions that undermines efforts to stop COVID-19 or discourages
compliance with recommendations and CDC guidelines.
4. SYSTEM FOR AWARD MANAGEMENT (SAM) AND DATA UNIVERSAL NUMBERING SYSTEM
(DUNS) REQUIREMENTS.
4.1. SAM. Grantee shall maintain the currency of its information in SAM until the Grantee
submits the final financial report required under the Award or receives final payment,
whichever is later. Grantee shall review and update SAM information at least annually
after the initial registration, and more frequently if required by changes in its
information.
4.2. DUNS. Grantee shall provide its DUNS number to its Prime Recipient, and shall update
Grantee’s information in Dun & Bradstreet, Inc. at least annually after the initial
registration, and more frequently if required by changes in Grantee’s information.
5. TOTAL COMPENSATION.
5.1. Grantee shall include Total Compensation in SAM for each of its five most highly
compensated Executives for the preceding fiscal year if:
5.1.1. The total Federal funding authorized to date under the Award is $30,000 or more;
and
5.1.2. In the preceding fiscal year, Grantee received:
5.1.2.1. 80% or more of its annual gross revenues from Federal procurement
Agreements and Subcontractors and/or Federal financial assistance Awards
or Subawards subject to the Transparency Act; and
5.1.2.2. $30,000,000 or more in annual gross revenues from Federal procurement
Agreements and Subcontractors and/or Federal financial assistance Awards
or Subawards subject to the Transparency Act; and
5.1.2.3. 5.1.2.3 The public does not have access to information about the
compensation of such 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.
EXHIBIT A TO RESOLUTION 2023-025
6. REPORTING.
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
OMB, and as such are subject to change at any time by OMB. 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.
EC 1 – Public Health
All Public Health Projects
a) Description of structure and objectives
b) Description of relation to COVID-19
c) Identification of impacted and/or disproportionately impacted communities
d) Capital Expenditures
i. Presence of capital expenditure in project
ii. Total projected capital expenditure
iii. Type of capital expenditure
iv. Written justification
EXHIBIT A TO RESOLUTION 2023-025
v. Labor reporting
COVID-19 Interventions and Mental Health (1.4, 1.11, 1.12, 1.13)
a) Amount of total project used for evidence-based programs
b) Evaluation plan description
COVID-19 Small Business Economic Assistance (1.8)
a) Number of small businesses served
COVID-19 Assistance to Non-Profits (1.9)
a) Number of non-profits served
COVID-19 Aid to Travel, Tourism, and Hospitality or Other Impacted Industries (1.10)
a) Sector of employer
b) Purpose of funds
EC 2 – Negative Economic Impacts
All Negative Economic Impacts Projects
a) Description of project structure and objectives
b) Description of project’s response to COVID-19
c) Identification of impacted and/or disproportionately impacted communities
d) Amount of total project used for evidence-based programs and description of
evaluation plan (not required for 2.5, 2.8, 2.21-2.24, 2.27-2.29, 2.31, 2.34-2.36)
e) Number of workers enrolled in sectoral job training programs
f) Number of workers completing sectoral job training programs
g) Number of people participating in summer youth employment programs
h) Capital Expenditures
i. Presence of capital expenditure in project
ii. Total projected capital expenditure
iii. Type of capital expenditure
iv. Written justification
v. Labor reporting
Household Assistance (2.1-2.8)
a) Number of households served
b) Number of people or households receiving eviction prevention services (2.2 & 2.5
only) (Federal guidance may change this requirement in July 2022)
c) Number of affordable housing units preserved or developed (2.2 & 2.5 only)
(Federal guidance may change this requirement in July 2022)
Healthy Childhood Environments (2.11-2.13)
a) Number of children served by childcare and early learning (Federal guidance may
change this requirement in July 2022)
b) Number of families served by home visiting (Federal guidance may change this
requirement in July 2022)
Education Assistance (2.14, 2.24-2.27)
EXHIBIT A TO RESOLUTION 2023-025
a) National Center for Education Statistics (“NCES”) School ID or NCES District ID
b) Number of students participating in evidence-based programs (Federal guidance
may change this requirement in July 2022)
Housing Support (2.15, 2.16, 2.18)
a) Number of people or households receiving eviction prevention services (Federal
guidance may change this requirement in July 2022)
b) Number of affordable housing units preserved or developed (Federal guidance may
change this requirement in July 2022)
Small Business Economic Assistance (2.29-2.33)
a) Number of small businesses served
Assistance to Non-Profits (2.34)
a) Number of non-profits served
Aid to Travel, Tourism, and Hospitality or Other Impacted Industries (2.35-2.36)
a) Sector of employer
b) Purpose of funds
c) If other than travel, tourism and hospitality (2.36) – description of hardship
EC 3 – Public Health – Negative Economic Impact: Public Sector Capacity
Payroll for Public Health and Safety Employees (EC 3.1)
a) Number of government FTEs responding to COVID-19
Rehiring Public Sector Staff (EC 3.2)
a) Number of FTEs rehired by governments
EC 4 – Premium Pay
All Premium Pay Projects
a) List of sectors designated as critical by the chief executive of the jurisdiction, if
beyond those listed in the final rule
b) Numbers of workers served
c) Employer sector for all subawards to third-party employers
d) Written narrative justification of how premium pay is responsive to essential work
during the public health emergency for non-exempt workers or those making over
150 percent of the state/county’s average annual wage
e) Number of workers to be served with premium pay in K-12 schools
EC 5 – Infrastructure Projects
All Infrastructure Projects
a) Projected/actual construction start date (month/year)
b) Projected/actual initiation of operations date (month/year)
c) Location (for broadband, geospatial data of locations to be served)
d) Projects over $10 million
i. Prevailing wage certification or detailed project employment and local
impact report
EXHIBIT A TO RESOLUTION 2023-025
ii. Project labor agreement certification or project workforce continuity
plan
iii. Prioritization of local hires
iv. Community benefit agreement description, if applicable
Water and sewer projects (EC 5.1-5.18)
a) National Pollutant Discharge Elimination System (NPDES) Permit Number (if
applicable; for projects aligned with the Clean Water State Revolving Fund)
b) Public Water System (PWS) ID number (if applicable; for projects aligned with
the Drinking Water State Revolving Fund)
c) Median Household Income of service area
d) Lowest Quintile Income of the service area
Broadband projects (EC 5.19-5.21)
a) Confirm that the project is designed to, upon completion, reliably meet or exceed
symmetrical 100 Mbps download and upload speeds.
i. If the project is not designed to reliably meet or exceed symmetrical 100
Mbps download and upload speeds, explain why not, and
ii. Confirm that the project is designed to, upon completion, meet or exceed
100 Mbps download speed and between at least 20 Mbps and 100 Mbps
upload speed, and be scalable to a minimum of 100 Mbps download
speed and 100 Mbps upload speed.
b) Additional programmatic data will be required for broadband projects and will be
defined in a subsequent version of the US Treasury Reporting Guidance,
including, but not limited to (Federal guidance may change this requirement in
July 2022):
i. Number of households (broken out by households on Tribal lands and
those not on Tribal lands) that have gained 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, with the number of households with access to minimum
speed standard of reliable 100 Mbps symmetrical upload and download
and number of households with access to minimum speed standard of
reliable 100 Mbps download and 20 Mbps upload
ii. Number of institutions and businesses (broken out by institutions on
Tribal lands and those not on Tribal lands) that have projected 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,
with the number of each type of institution with access to the minimum
EXHIBIT A TO RESOLUTION 2023-025
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 20 Mbps upload.
iii. Narrative identifying 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.
Specify 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.
All Expenditure Categories
a) Program income earned and expended to cover eligible project costs
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.
8.1.2.1. 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;
8.1.2.5. Subrecipient’s top 5 most highly compensated Executives if the criteria in
§4 above are met; and
EXHIBIT A TO RESOLUTION 2023-025
8.1.2.6. Subrecipient’s Total Compensation of top 5 most highly compensated
Executives if the criteria in §4 above met.
8.1.3. To Prime Recipient. A Subrecipient shall report to its Prime Recipient, the
following data elements:
8.1.3.1. Subrecipient’s DUNS Number as registered in SAM.
8.1.3.2. Primary Place of Performance Information, including: Street Address, City,
State, Country, Zip code + 4, and Congressional District.
8.1.3.3. Narrative identifying methodology for serving disadvantaged communities.
See the "Project Demographic Distribution" section in the "Compliance and
Reporting Guidance, State and Local Fiscal Recovery Funds" report
available at www.treasury.gov. This requirement is applicable to all
projects in Expenditure Categories 1 and 2.
8.1.3.4. Narrative identifying funds allocated towards evidenced-based
interventions and the evidence base. See the “Use of Evidence” section in
the “Compliance and Reporting Guidance, State and Local Fiscal Recovery
Funds” report available at www.treasury.gov. See section 8.1.1 for relevant
Expenditure Categories.
8.1.3.5. Narrative describing the structure and objectives of the assistance program
and in what manner the aid responds to the public health and negative
economic impacts of COVID-19. This requirement is applicable to
Expenditure Categories 1 and 2. For aid to travel, tourism, and hospitality
or other impacted industries (EC 2.11-2.12), also provide the sector of
employer, purpose of funds, and if not travel, tourism and hospitality a
description of the pandemic impact on the industry.
8.1.3.6. Narrative identifying the sector served and designated as critical to the
health and well-being of residents by the chief executive of the jurisdiction
and the number of workers expected to be served. For groups of workers
(e.g., an operating unit, a classification of worker, etc.) or, to the extent
applicable, individual workers, other than those where the eligible worker
receiving premium pay is earning (with the premium pay included) below
150 percent of their residing state or county’s average annual wage for all
occupations, as defined by the Bureau of Labor Statistics Occupational
Employment and Wage Statistics, whichever is higher, OR the eligible
worker receiving premium pay is not exempt from the Fair Labor Standards
Act overtime provisions, include justification of how the premium pay or
grant is responsive to workers performing essential work during the public
health emergency. This could include a description of the essential workers'
duties, health or financial risks faced due to COVID-19 but should not
include personally identifiable information. This requirement applies to EC
4.1, and 4.2.
8.1.3.7. For infrastructure projects (EC 5), or capital expenditures in any
expenditure category, narrative identifying the projected construction start
date (month/year), projected initiation of operations date (month/year), and
EXHIBIT A TO RESOLUTION 2023-025
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 (1) 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: (1) 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 A TO RESOLUTION 2023-025
9. PROCUREMENT STANDARDS.
9.1. Procurement Procedures. A Subrecipient shall use its own documented procurement
procedures which reflect applicable State, local, and Tribal laws and applicable
regulations, provided that the procurements conform to applicable Federal law and the
standards identified in the Uniform Guidance, including without limitation, 2 CFR
200.318 through 200.327 thereof.
9.2. Domestic preference for procurements (2 CFR 200.322). As appropriate and to the
extent consistent with law, the non-Federal entity should, to the greatest extent
practicable under a Federal award, provide a preference for the purchase, acquisition,
or use of goods, products, or materials produced in the United States (including but not
limited to iron, aluminum, steel, cement, and other manufactured products). The
requirements of this section must be included in all subawards including all
Agreements and purchase orders for work or products under this award.
9.3. Procurement of Recovered Materials. If a Subrecipient is a State Agency or an agency
of a political subdivision of the 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 the EPA guidelines.
10. ACCESS TO RECORDS.
10.1. A Subrecipient shall permit Prime Recipient and its auditors to have access to
Subrecipient’s records and financial statements as necessary for Recipient to meet the
requirements of 2 CFR 200.332 (Requirements for pass-through entities), 2 CFR
200.300 (Statutory and national policy requirements) through 2 CFR 200.309 (Period
of performance), and Subpart F-Audit Requirements of the Uniform Guidance.
11. SINGLE AUDIT REQUIREMENTS.
11.1. If a Subrecipient expends $750,000 or more in Federal Awards during the
Subrecipient’s fiscal year, the 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 to the Single
Audit Act Amendments of 1996, (31 U.S.C. 7501-7507). 2 CFR 200.501.
EXHIBIT A TO RESOLUTION 2023-025
11.1.1. Election. A Subrecipient shall have a single audit conducted in accordance with
Uniform Guidance 2 CFR 200.514 (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. 3141-3148).
EXHIBIT A TO RESOLUTION 2023-025
12.1.3. Rights to Inventions Made Under a grant or agreement. If the Federal Award meets
the definition of “funding agreement” under 37 CFR 401.2 (a) and the Prime
Recipient or Subrecipient wishes to enter into an Agreement 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,” the Prime Recipient or 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, Agreements
and Cooperative Agreements,” and any implementing regulations issued by the
Federal Awarding Agency.
12.1.4. Clean Air Act (42 U.S.C. 7401-7671q.) and the Federal Water Pollution Control
Act (33 U.S.C. 1251-1387), as amended. Agreements and subgrants of amounts in
excess of $150,000 must contain a provision that requires the non-Federal awardees
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 Act as 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).
12.1.5. Debarment and Suspension (Executive Orders 12549 and 12689). A Agreement
award (see 2 CFR 180.220) must not be made to parties listed on the government
wide exclusions in SAM, in accordance with the OMB guidelines at 2 CFR 180
that implement Executive Orders 12549 (3 CFR part 1986 Comp., p. 189) and
12689 (3 CFR part 1989 Comp., p. 235), “Debarment and Suspension.” SAM
Exclusions contains the names of parties debarred, suspended, or otherwise
excluded by agencies, as well as parties declared ineligible under statutory or
regulatory authority other than Executive Order 12549.
12.1.6. Byrd Anti-Lobbying Amendment (31 U.S.C. 1352). Contractors that apply or bid
for an award exceeding $100,000 must file the required certification. Each tier
certifies to the tier above that it will not and has not used Federal appropriated funds
to pay any person or organization for influencing or attempting to influence an
officer or employee of any agency, a member of Congress, officer or employee of
Congress, or an employee of a member of Congress in connection with obtaining
any Federal Agreement, grant or any other award covered by 31 U.S.C. 1352. Each
tier must also disclose any lobbying with non-Federal funds that takes place in
connection with obtaining any Federal award. Such disclosures are forwarded from
tier to tier up to the non-Federal award.
12.1.7. Never Agreement with the enemy (2 CFR 200.215). Federal awarding agencies and
recipients are subject to the regulations implementing “Never Agreement with the
enemy” in 2 CFR part 183. The regulations in 2 CFR part 183 affect covered
Agreements, grants and cooperative agreements that are expected to exceed
$50,000 within the period of performance, are performed outside the United States
and its territories, and are in support of a contingency operation in which members
of the Armed Forces are actively engaged in hostilities.
EXHIBIT A TO RESOLUTION 2023-025
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 O 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 certify 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 200.201(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.
EXHIBIT A TO RESOLUTION 2023-025
15.2. Termination (2 CFR 200.340). The Federal Award may be terminated in whole or in
part as follows:
15.2.1. By the Federal Awarding Agency or Pass-through Entity, if a Non-Federal Entity
fails to comply with the terms and conditions of a Federal Award;
15.2.2. By the Federal awarding agency or Pass-through Entity, to the greatest extent
authorized by law, if an award no longer effectuates the program goals or agency
priorities;
15.2.3. By the Federal awarding agency or Pass-through Entity with the consent of the
Non-Federal Entity, in which case the two parties must agree upon the termination
conditions, including the effective date and, in the case of partial termination, the
portion to be terminated;
15.2.4. By the Non-Federal Entity upon sending to the Federal Awarding Agency or Pass-
through Entity written notification setting forth the reasons for such termination,
the effective date, and, in the case of partial termination, the portion to be
terminated. However, if the Federal Awarding Agency or Pass-through Entity
determines in the case of partial termination that the reduced or modified portion
of the Federal Award or Subaward will not accomplish the purposes for which the
Federal Award was made, the Federal Awarding Agency or Pass-through Entity
may terminate the Federal Award in its entirety; or
By the Federal Awarding Agency or Pass-through Entity pursuant to termination provisions
included in the Federal Award.
EXHIBIT A TO RESOLUTION 2023-025
EXHIBIT O
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 A TO RESOLUTION 2023-025
AGREEMENT WITH SUBRECIPIENT OF FEDERAL RECOVERY FUNDS
TERMS AND CONDITIONS
Use of Funds.
a. Subrecipient understands and agrees that the funds disbursed under this award may only
be used in compliance with section 602(c) of the Social Security Act (the Act) and
Treasury’s regulations implementing that section and guidance.
b. Subrecipient will determine prior to engaging in any project using this assistance that
it has the institutional, managerial, and financial capability to ensure proper planning,
management, and completion of such project.
Period of Performance. The period of performance for this award begins on the date hereof
and ends on December 31, 2026. As set forth in Treasury’s implementing regulations,
Subrecipient may use award funds to cover eligible costs incurred during the period that
begins on March 3, 2021, and ends on December 31, 2024.
Reporting. Subrecipient agrees to comply with any reporting obligations established by
Treasury as they relate to this award. Subrecipient also agrees to comply with any reporting
requirements established by the Governor’s Office and Office of the State Controller.
Maintenance of and Access to Records
a. Subrecipient shall maintain records and financial documents sufficient to evidence
compliance with section 602(c), Treasury’s regulations implementing that section, and
guidance issued by Treasury regarding the foregoing.
b. The Treasury Office of Inspector General and the Government Accountability Office,
or their authorized representatives, shall have the right of access to records (electronic
and otherwise) of Subrecipient in order to conduct audits or other investigations.
c. Records shall be maintained by Subrecipient for a period of five (5) years after all funds
have been expended or returned to Treasury, whichever is later.
Pre-award Costs. Pre-award costs, as defined in 2 C.F.R. § 200.458, may not be paid with
funding from this award.
Administrative Costs. Subrecipient may use funds provided under this award to cover both
direct and indirect costs. Subrecipient shall follow guidance on administrative costs issued
by the Governor’s Office and Office of the State Controller.
Cost Sharing. Cost sharing or matching funds are not required to be provided by Subrecipient.
Conflicts of Interest. The State of Colorado understands and agrees it must maintain a conflict
of interest policy consistent with 2 C.F.R. § 200.318(c) and that such conflict of interest policy
EXHIBIT A TO RESOLUTION 2023-025
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.
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. OMB 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.
i. 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.
ii. Government wide Requirements for Drug-Free Workplace, 31 C.F.R. Part 20.
iii. New Restrictions on Lobbying, 31 C.F.R. Part 21.
iv. Uniform Relocation Assistance and Real Property Acquisitions Act of 1970 (42
U.S.C. §§ 4601-4655) and implementing regulations.
EXHIBIT A TO RESOLUTION 2023-025
v. Generally applicable federal environmental laws and regulations.
c. Statutes and regulations prohibiting discrimination applicable to this award include,
without limitation, the following:
i. Title VI of the Civil Rights Act of 1964 (42 U.S.C. §§ 2000d et seq.) and
Treasury’s implementing regulations at 31 C.F.R. Part 22, which prohibit
discrimination on the basis of race, color, or national origin under programs or
activities receiving federal financial assistance;
ii. The Fair Housing Act, Title VIII of the Civil Rights Act of 1968 (42 U.S.C.
§§ 3601 et seq.), which prohibits discrimination in housing on the basis of
race, color, religion, national origin, sex, familial status, or disability;
iii. Section 504 of the Rehabilitation Act of 1973, as amended (29 U.S.C. § 794),
which prohibits discrimination on the basis of disability under any program or
activity receiving federal financial assistance;
iv. The Age Discrimination Act of 1975, as amended (42 U.S.C. §§ 6101 et seq.),
and Treasury’s implementing regulations at 31 C.F.R. Part 23, which prohibit
discrimination on the basis of age in programs or activities receiving federal
financial assistance; and
v. Title II of the Americans with Disabilities Act of 1990, as amended (42 U.S.C.
§§ 12101 et seq.), which prohibits discrimination on the basis of disability
under programs, activities, and services provided or made available by state
and local governments or instrumentalities or agencies thereto.
Remedial Actions. In the event of Subrecipient’s noncompliance with section 602 of the
Act, other applicable laws, Treasury’s implementing regulations, guidance, or any
reporting or other program requirements, Treasury may impose additional conditions on
the receipt of a subsequent tranche of future award funds, if any, or take other available
remedies as set forth in 2 C.F.R. § 200.339. In the case of a violation of section 602(c) of
the Act regarding the use of funds, previous payments shall be subject to recoupment as
provided in section 602(e) of the Act and any additional payments may be subject to
withholding as provided in sections 602(b)(6)(A)(ii)(III) of the Act, as applicable.
Hatch Act. Subrecipient agrees to comply, as applicable, with requirements of the Hatch Act
(5 U.S.C.§§ 1501-1508 and 7324-7328), which limit certain political activities of State or local
government employees whose principal employment is in connection with an activity financed
in whole or in part by this federal assistance.
False Statements. Subrecipient understands that making false statements or claims in
connection with this award is a violation of federal law and may result in criminal, civil, or
administrative sanctions, including fines, imprisonment, civil damages and penalties,
debarment from participating in federal awards or Agreements, and/or any other remedy
available by law.
EXHIBIT A TO RESOLUTION 2023-025
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 SLFRF0126 awarded to the State of Colorado by the U.S.
Department of the Treasury.”
Debts Owed the Federal Government.
a. Any funds paid to the Subrecipient (1) 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.
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.
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 A TO RESOLUTION 2023-025
iii. The Government Accountability Office;
iv. A Treasury employee responsible for Agreement or grant oversight or
management;
v. An authorized official of the Department of Justice or other law enforcement
agency;
vi. A court or grand jury; or
vii. A management official or other employee of Subrecipient, Contractor, or
Subcontractor who has the responsibility to investigate, discover, or
address misconduct.
c. Subrecipient shall inform its employees in writing of the rights and remedies provided
under this section, in the predominant native language of the workforce.
Increasing Seat Belt Use in the United States. Pursuant to Executive Order 13043, 62 FR
19217 (Apr. 18, 1997), Subrecipient should encourage its Contractors to adopt and enforce
on-the-job seat belt policies and programs for their employees when operating company-
owned, rented or personally owned vehicles.
1. Reducing Text Messaging While Driving. Pursuant to Executive Order 13513, 74 FR 51225 (Oct.
6, 2009), Subrecipient should encourage its employees, Subrecipients, and Contractors to
adopt and enforce policies that ban text messaging while driving, and Subrecipient should
establish workplace safety policies to decrease accidents caused by distracted drivers.
EXHIBIT A TO RESOLUTION 2023-025
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 et 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://www.lep.gov.
EXHIBIT A TO RESOLUTION 2023-025
4. Subrecipient acknowledges and agrees that compliance with the assurances constitutes a condition
of continued receipt of federal financial assistance and is binding upon Subrecipient and
Subrecipient’s successors, transferees, and assignees for the period in which such assistance is
provided.
5. Subrecipient acknowledges and agrees that it must require any sub-grantees, contractors,
subcontractors, successors, transferees, and assignees to comply with assurances 1-4 above,
and agrees to incorporate the following language in every Agreement or agreement subject to
Title VI and its regulations between the Subrecipient and the Subrecipient’s sub-grantees,
Contractors, Subcontractors, successors, transferees, and assignees:
The sub-grantee, Contractor, Subcontractor, successor, transferee, and assignee shall comply
with Title VI of the Civil Rights Act of 1964, which prohibits Subrecipients 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 the 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 CFR Part 22, and herein incorporated by reference and made a part of this
Agreement or agreement.
6. Subrecipient understands and agrees that if any real property or structure is provided or improved
with the aid of federal financial assistance by the Department of the Treasury, this assurance
obligates the Subrecipient, or in the case of a subsequent transfer, the transferee, for the period
during which the real property or structure is used for a purpose for which the federal financial
assistance is extended or for another purpose involving the provision of similar services or benefits.
If any personal property is provided, this assurance obligates the Subrecipient for the period during
which it retains ownership or possession of the property.
7. Subrecipient shall cooperate in any enforcement or compliance review activities by the
Department of the Treasury of the aforementioned obligations. Enforcement may include
investigation, arbitration, mediation, litigation, and monitoring of any settlement agreements that
may result from these actions. The Subrecipient shall comply with information requests, on-site
compliance reviews and reporting requirements.
8. Subrecipient shall maintain a complaint log and inform the Department of the Treasury of any
complaints of discrimination on the grounds of race, color, or national origin, and limited English
proficiency covered by Title VI of the Civil Rights Act of 1964 and implementing regulations and
provide, upon request, a list of all such reviews or proceedings based on the complaint, pending or
completed, including outcome. Subrecipient also must inform the Department of the Treasury if
Subrecipient has received no complaints under Title VI.
9. Subrecipient must provide documentation of an administrative agency’s or court’s findings
of non-compliance of Title VI and efforts to address the non-compliance, including any
voluntary compliance or other agreements between the Subrecipient and the administrative
agency that made the finding. If the Subrecipient settles a case or matter alleging such
discrimination, the Subrecipient must provide documentation of the settlement. If
Subrecipient has not been the subject of any court or administrative agency finding of
EXHIBIT A TO RESOLUTION 2023-025
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 A TO RESOLUTION 2023-025
EXHIBIT P
SLFRF SUBRECIPIENT QUARTERLY REPORT
1. SLFRF SUBRECIPIENT QUARTERLY REPORT WORKBOOK
1.1 The SLFRF Subrecipient Quarterly Report Workbook must be submitted to the State
Agency within ten (10) days following each quarter ended September, December,
March and June. The SLFRF Subrecipient Quarterly Report Workbook can be found
at:
https://osc.colorado.gov/american-rescue-plan-act (see SLFRF Grant Agreement
Templates tab)
Exhibit P - Page 1 of 1
EXHIBIT A TO RESOLUTION 2023-025
EXHIBIT Q
SAMPLE SLFRF REPORTING MODIFICATION FORM
Local Agency: Agreement No:
Project Title: Project No:
Project Duration: To: From:
State Agency: CDOT
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
Requirement
(Add/Delete/Modify)
Project Number Reporting Requirement
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 Date
CDOT Program Manager Date
Exhibit Q - Page 1 of 1
EXHIBIT A TO RESOLUTION 2023-025
EXHIBIT R
APPLICABLE FEDERAL AWARDS
FEDERAL AWARD(S) APPLICABLE TO THIS GRANT AWARD
Federal Awarding Office US Department of the Treasury
Grant Program Coronavirus State and Local Fiscal Recovery Funds
Assistance Listing Number 21.027
Federal Award Number SLFRP0126
Federal Award Date * May 18, 2021
Federal Award End Date December 31, 2024
Federal Statutory Authority Title VI of the Social Security Act, Section 602
Total Amount of Federal Award (this is not the
amount of this grant agreement)
$3,828,761,790
* Funds may not be available through the Federal Award End Date subject to the provisions in §2 and §5 below.
Exhibit R - Page 1 of 1
EXHIBIT A TO RESOLUTION 2023-025
EXHIBIT S
PII Certification
STATE OF COLORADO
LOCAL AGENCY CERTIFICATION FOR ACCESS TO PII THROUGH A
DATABASE OR AUTOMATED NETWORK
Pursuant to § 24-74-105, C.R.S., I, _________________, on behalf of
__________________________ (legal name of Local Agency) (the “Local Agency”),
hereby certify under the penalty of perjury that the Local Agency has not and will not
use or disclose any Personal Identifying Information, as defined by § 24-74-102(1),
C.R.S., for the purpose of investigating for, participating in, cooperating with, or
assisting Federal Immigration Enforcement, including the enforcement of civil
immigration laws, and the Illegal Immigration and Immigrant Responsibility Act,
which is codified at 8 U.S.C. §§ 1325 and 1326, unless required to do so to comply
with Federal or State law, or to comply with a court-issued subpoena, warrant or
order.
I hereby represent and certify that I have full legal authority to execute this
certification on behalf of the Local Agency.
Signature: __________________________
Printed Name: __________________________
Title: __________________________
Date: ___________
EXHIBIT A TO RESOLUTION 2023-025
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
FHWA
Funding only from
ARPA
FHWA and ARPA Funding
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 H,
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,
OMB UNIFORM GUIDANCE
FOR FEDERAL AWARDS
EXHIBIT A TO RESOLUTION 2023-025
EXHIBIT N,
FEDERAL TREASURY
PROVISIONS
EXHIBIT O,
AGREEMENT WITH
SUBRECIPIENT OF
FEDERAL RECOVERY
FUNDS
EXHIBIT P,
SLFRF SUBRECIPIENT
QUARTERLY REPORT
EXHIBIT Q,
SLFRF REPORTING
MODIFICATION FORM
EXHIBIT R,
APPLICABLE FEDERAL
AWARDS
EXHIBIT S,
PII CERTIFICATAION
EXHIBIT T,
CHECKLIST OF REQUIRED
EXHIBITS DEPENDENT ON
FUNDING SOURCE
EXHIBIT A TO RESOLUTION 2023-025