Request for ProposalsNotice of Grant Opportunity Request for Proposal (RFP) CM (Revised: 5/11/2018) - 1 - REQUEST FOR PROPOSALS (RFP) Minnesota Department of Transportation (MnDOT)

Notice of Grant Opportunity Request for Proposal (RFP)

CM (Revised: 5/11/2018) - 1 -

REQUEST FOR PROPOSALS (RFP) Minnesota Department of Transportation (MnDOT)

Highway Heavy Carpentry Training On-the-Job Training (OJT) Support Services (SS) Program

Note: This document is available in alternative formats for persons with disabilities by calling Denise Pierre at (651) 366-3321 or for persons who are hearing or speech impaired by calling the Minnesota Relay Service at 1-800-627-3529. Overview MnDOT has received federal funds from the US Department of Transportation, Federal Highway Administration, (CFDA 20.205) for a program to provide high quality, classroom and applied/hands-on highway heavy carpentry training, to aid highway heavy contractors’ efforts to increase and maintain a diverse and qualified workforce. This program seeks to improve the contractors’ ability to meet and exceed On-the-Job Training & Workforce Participation goals. Successful responders will be awarded a grant for the purpose of establishing a highway heavy carpentry training for MnDOT OJT Support Services Program.

Eligible applicants: Organizations (Non-profit and for profit) eligible to apply include:

Training Organizations

Trade Schools

Minnesota State College and Universities

Trade Associations and

Organizations with experience in construction trades training Eligible applicants will offer highway heavy carpentry training to minorities, women, and disadvantaged individuals including new and emerging communities in Minnesota. Project Goal To provide applied/hands-on highway heavy carpenter training for women, minorities and individuals from emerging communities that will equip them with the knowledge and skills needed to secure their future in a successful career in the highway heavy construction industry. In addition, this project will:

Assist participants to start a pathway to careers with high wage-earnings, benefits, and opportunities for advancement.

Open up opportunities and allowing participants to support themselves and their families for a lifetime.

Recruitment and screening responsibility for this project will be done by MnDOT OJT SS Community Based Organizations (CBOs). Funding Availability

$96,113.00 FHWA funding is available through December 2020

MnDOT intends to make one grant award.

No matching requirement for this grant


CM (Revised: 3/6/2018) - 2 -

Funding will be allocated through a competitive process using a panel review and the scoring criteria below. Performance Measures

32 participants will be trained and will receive applied/hands-on experience

Minimum of 24 graduates will be placed in Highway Heavy Construction jobs Minimum Requirements/Eligibility Applicants must meet the minimum requirements in order to be fully considered for this grant opportunity. Applicants must demonstrate in their application:

Basic knowledge of the OJT Program and Program participants’ needs.

A general understanding of the Highway Heavy Construction industry.

Experience with Highway Heavy Occupations training.

Experience providing applied/hands-on instruction.

Understanding of the needs of highway heavy construction contractors.

Qualifications of key personnel – must have experience and expertise providing applied/hands-on highway heavy carpentry training.

Knowledge about evaluation and tracking methods to measure the progress of participants who are receiving the training.

Scope of Work and Deliverables The following will be included in the scope of work and deliverables:

1. Assist with highway heavy construction orientation to prospective recruits and their support system to ensure they know industry expectations, work conditions, and seasonal nature. Responder must work with MnDOT On-the-Job Training (OJT) Support Services (SS) contracted Community Based Organization (CBOs) to perform the orientation.

2. Develop and deliver a 5 to 7 week applied/hands-on highway heavy carpentry training that includes classroom for up to 32 participants.

3. Provide employment placement assistance to graduates once training is completed. 4. Provide progress reports, course evaluations, and all necessary forms accurately completed

upon program completion. 5. Submit invoices with back up documentation monthly to MnDOT.

Responders are encouraged to propose additional tasks and/or activities if they will substantially improve the results of the project. These items should be separated from the required items in the work plan and budget. Questions Responders who have any questions regarding this RFP must submit questions by e-mail only to: Denise Pierre [email protected]

All questions and answers will be posted on MnDOT’s Office of Civil Rights Web Page at http://www.dot.state.mn.us/civilrights/ under the News, Notice of Grant Opportunity and Requests for Proposals link. All prospective responders will be responsible for checking the web page for any addendums to this RFP and any questions that have been answered. Note that questions will be posted

mailto:[email protected]


CM (Revised: 3/6/2018) - 3 -

verbatim as submitted.

Questions regarding this RFP must be received by MnDOT no later than 2:00 p.m. Central Standard Time on November 22, 2019. MnDOT anticipates posting answers to such questions no later than 2:00 p.m. Central Standard Time on November 26, 2019. No other department personnel are allowed to discuss the RFP before the proposal submission deadline. Contact regarding this RFP with any personnel not listed above may result in disqualification. Proposal Contents The following will be considered minimum contents of the proposal and must be submitted in the order listed:

1. Cover Page Responder’s company name, business address, the contact person’s name (program and financial), telephone number, fax number and email address (as available).

2. Project Description The purpose of this section is for the responders to detail their understanding of the project. Responders must clearly state:

Their understanding of the project objectives, goals and tasks to show or demonstrate their view of the nature of the project.

Their knowledge of the On-the-Job Training (OJT) Support Services Program.

Their experience working broadly with minorities, women, and disadvantaged individuals.

Responders should demonstrate their understanding by using their own words rather than simply repeating what is listed in the RFP.

3. Responder Experience & Qualifications (Organization & Key Personnel)

The purpose of this section is for responders to provide information detailing the background and experience of the organization, and the project personnel. Responders must:

Provide an outline of their background and experience, with examples of similar work done.

List the personnel who will be working on this project, specifically detailing their training and work experience.

If sub-contractors are to be used on this project, responders must also outline their background and experience, including examples of similar work done by each sub-contractor. Responders must also provide a list of the sub contractors’ personnel who will perform work on the project, detailing their training and work experience.

Note that no change in personnel assigned to the project will be permitted without the written approval of MnDOT’s Project Manager. Responders must be sure to specifically address required and/or desired skills and qualifications listed above, if applicable.


CM (Revised: 3/6/2018) - 4 -

Qualification and experience of the organization and if applicable, sub-contractors, should be demonstrated by the experience of the personnel proposed.

4. Work Plan - Project Approach The purpose of this section is for responders to present their work plan. Responders must provide a detailed work plan, which must identify the major tasks to be accomplished. Responders must be sure to not only describe what will be done, but explain how each task will be accomplished. These tasks will be used as a scheduling and management tool, as well as the basis for invoicing. The detailed work plan must present:

The Overall Project Approach

A Breakdown of the Project Tasks, detailing the tasks, and how they will be completed in order to meet the scope of work and deliverables as well as performance measures listed above

Deliverable Due Dates and an Overall Project Schedule

5. Cost Detail Personnel /Salaries

Explain how the salary or hourly rates for each position were determined. Explain the purpose and activities and tasks of each position as it relates to this project.

Fringe Benefits

Fringe benefits are for the personnel listed in Personnel/Salaries and only for the percentage of time devoted to the project. Fringe benefits include, but are not limited to, the cost of leave, employee health insurance, pensions and unemployment benefit plans.

Equipment

List the equipment that you will need to lease to support your activities. Explain how the costs were determined and justify the need for the various line items.

Supplies and Materials

List the supplies and material that you will need to purchase to support your activities. This category may include tools, lumber woods, Personal Protective Equipment (PPE), etc. The justification must include an explanation of the type of supplies to be purchased, how the supplies relate back to achieving the project objectives, and the basis for the estimate of supplies.

Other

Explain how the costs were determined and justify the need for any other proposed expenses. Provide an explanation of the link between the item or activity and the project outcomes.

The forms and documents required under any other section of this RFP (make sure to carefully read through General Information, below). Responders must limit their proposal to 10 single-sided 8.5”x11” pages with no smaller than 11 point Calibri font. Excess pages will not be reviewed and evaluated, regardless of content. Note: a cover letter and the required forms, documents and certifications will NOT count as part of the page limit. Do not submit any other materials (binders, photos, etc.). Unrequested materials will not be reviewed.


CM (Revised: 3/6/2018) - 5 -

Proposal Submittal All proposals must be emailed to:

Denise Pierre, Contract and Grant Coordinator [email protected]

Required Documents

Cover page

Proposal (only required document that counts towards the 10 page limit)

Cost Detail

Affidavit of Noncollusion

Certification Regarding Lobbying

Conflict of Interest

Financial Statement (applicable to nongovernmental organizations) All responses must be received no later 2:00 p.m. Central Standard Time on December 13, 2019. Late responses will not be considered. Proposal Evaluation The panel review members will evaluate all responses received by the deadline. In some instances, an interview may be part of the evaluation process. A 100-point scale will be used when scoring proposals and making a selection. The factors and weighting on which proposals will be judged are broken down in the following table:

Rating Factor Rating

Project Description 10%

Responder Experience and Qualifications (Organization & Key Personnel)

25%

Work Plan – Project Approach 35%

Cost Detail 30%

Total 100%

MnDOT anticipates that the evaluation and selection will be completed by mid-January 2020.

General Information

Responders must adhere to all terms of this RFP. All costs incurred in responding to this RFP will be borne by the responder. MnDOT Not Obligated To Complete Project This RFP does not obligate MnDOT to award a grant or complete the project and MnDOT reserves the right to cancel the solicitation if it is considered to be in its best interest. Proposal Certifications By submitting a Proposal, responders warrant that the information provided is true, correct and reliable



CM (Revised: 3/6/2018) - 6 -

for purposes of evaluation for potential award. The submission of inaccurate or misleading information may be grounds for disqualification from award and may subject the responder to suspension or debarment proceedings, as well as other remedies available to MnDOT, by law.

Public Data Per Minn. Stat. § 13.599

Names and addresses of grant applicants will be public data once proposal responses are opened.

All remaining data in proposal responses (except trade secret data as defined and classified in §13.37) will be public data after the evaluation process is completed (for the purposes of this grant, when all grant agreements have been fully executed).

All data created or maintained by MnDOT as part of the evaluation process (except trade secret data as defined and classified in §13.37) will be public data after the evaluation process is completed (for the purposes of this grant, when all grant agreements have been fully executed).

Affidavit of Noncollusion Responders must complete the attached Affidavit of Noncollusion and submit it as part of the proposal. Certification Regarding Lobbying Responders must complete the attached Certification Regarding Lobbying and submit it as part of the proposal. Conflicts of Interest Responders must provide a list of all entities with which it has relationships that create, or appear to create, a conflict of interest with the work that is contemplated in this RFP. This list should indicate the name of the entity, the relationship and a discussion of the conflict. Responders must complete the attached Disclosure of Potential Conflict of Interest Form and submit it as part of the proposal. Organizational Conflicts of Interest The responder warrants that to the best of its knowledge and belief, and except as otherwise disclosed, there are no relevant facts or circumstances, which could give rise to organizational conflicts of interest. An organizational conflict of interest exists when, because of existing or planned activities or because of relationships with other persons, a vendor is unable or potentially unable to render impartial assistance or advice to MnDOT, or the successful responder’s objectivity in performing the work is or might be otherwise impaired, or the successful responder has an unfair competitive advantage. The responder agrees that, if after award, an organizational conflict of interest is discovered, an immediate and full disclosure in writing must be made to MnDOT, which must include a description of the action, which the successful responder has taken or proposes to take to avoid or mitigate such conflicts. If an organizational conflict of interest is determined to exist, MnDOT may, at its discretion, cancel the contract. In the event the responder was aware of an organizational conflict of interest prior to the award of the contract and did not disclose the conflict to MnDOT, MnDOT may terminate the contract for default. The provisions of this clause must be included in all subcontracts for work to be performed similar to the service provided by the prime contractor, and the terms “contract,” “contractor,” and “contracting officer” modified appropriately to preserve MnDOT’s rights. Financial Review Process All Non-Governmental Organizations (NGO’s) applying for grants in the state of Minnesota must undergo a financial review prior to a grant award made of $25,000 and higher. In order to comply with

https://www.revisor.mn.gov/statutes/?id=13.599

https://www.revisor.mn.gov/statutes/?id=13.37


CM (Revised: 3/6/2018) - 7 -

the MN Department of Administration, Office of Grants Management’s Policy on the Financial Review of Nongovernmental Organizations Please submit one of the following documents with your application, based on the following criteria:

Grant applicants with gross annual revenue of under $50,000, or who have not been in existence long enough to have a completed IRS Form 990 or audit, should submit their most recent board-reviewed financial statements.

Grant applicants with gross annual revenue of $50,000 or more and less than $750,000 should submit their most recent IRS Form 990.

Grant applicants with gross annual revenue of over $750,000 should submit their most recent certified financial audit.

Sample Contract You should be aware of MnDOT’s standard grant contract terms and conditions in preparing your response. A sample State of Minnesota grant contract is attached for your reference. Much of the language reflected in the contract is required by statute. If you take exception to any of the terms, conditions or language in the contract, you must indicate those exceptions in your response to this RFP; certain exceptions may result in your response being disqualified from further review and evaluation. Only those exceptions indicated in your response to this RFP will be available for discussion or negotiation.

THE BALANCE OF THIS PAGE HAS BEEN INTENTIONALLY LEFT BLANK

https://mn.gov/admin/assets/08%2006%20grants%20policy%20revision%20Dec%202016%20final_tcm36-265656.pdf

https://mn.gov/admin/assets/08%2006%20grants%20policy%20revision%20Dec%202016%20final_tcm36-265656.pdf


CM (Revised: 3/6/2018) - 8 -

STATE OF MINNESOTA

AFFIDAVIT OF NONCOLLUSION

I swear (or affirm) under the penalty of perjury:

1. That I am the Responder (if the Responder is an individual), a partner in the company (if the Responder

is a partnership), or an officer or employee of the responding corporation having authority to sign on

its behalf (if the Responder is a corporation);

2. That the attached proposal submitted in response to the ________________________ Request for

Proposals has been arrived at by the Responder independently and has been submitted without

collusion with and without any agreement, understanding or planned common course of action with,

any other Responder of materials, supplies, equipment or services described in the Request for

Proposal, designed to limit fair and open competition;

3. That the contents of the proposal have not been communicated by the Responder or its employees or

agents to any person not an employee or agent of the Responder and will not be communicated to any

such persons prior to the official opening of the proposals; and

4. That I am fully informed regarding the accuracy of the statements made in this affidavit.

Responders’ Firm Name:

Authorized Signature:

Print Name:

Title:

Date:

Subscribed and sworn to

me this day of

(day) (Month Year)

Notary Public

My commission expires:


CM (Revised: 3/6/2018) - 9 -

CERTIFICATION REGARDING LOBBYING

Certification for Contracts, Grants, Loans, and Cooperative Agreements

The undersigned certifies, to the best of his or her knowledge and belief, that:

(1) No Federal appropriated funds have been paid or will be paid, by or on behalf of the undersigned, to

any person for influencing or attempting to influence an officer or employee of an agency, a Member of

Congress, an officer or employee of Congress, or an employee of a Member of Congress in connection with

the awarding of any Federal contract, the making of any Federal grant, the making of any Federal loan, the

entering into of any cooperative agreement, and the extension, continuation, renewal, amendment, or

modification of any Federal contract, grant, loan, or cooperative agreement.

(2) If any funds other than Federal appropriated funds have been paid or will be paid to any person for

influencing or attempting to influence an officer or employee of any agency, a Member of Congress, an

officer or employee of Congress, or an employee of a Member of Congress in connection with this

Federal contract, grant, loan, or cooperative agreement, the undersigned shall complete and submit

Standard Form-LLL, ''Disclosure of Lobbying Activities,'' in accordance with its instructions.

(3) The undersigned shall require that the language of this certification be included in the award

documents for all subawards at all tiers (including subcontracts, subgrants, and contracts under grants,

loans, and cooperative agreements) and that all subrecipients shall certify and disclose accordingly. This

certification is a material representation of fact upon which reliance was placed when this transaction

was made or entered into. Submission of this certification is a prerequisite for making or entering into

this transaction imposed by 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.

Statement for Loan Guarantees and Loan Insurance

The undersigned states, to the best of his or her knowledge and belief, that:

If any funds have been paid or will be paid to any person for influencing or attempting to influence an

officer or employee of any agency, a Member of Congress, an officer or employee of Congress, or an

employee of a Member of Congress in connection with this commitment providing for the United States to

insure or guarantee a loan, the undersigned shall complete and submit Standard Form-LLL, ''Disclosure of

Lobbying Activities,'' in accordance with its instructions. Submission of this statement 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 statement shall be subject to a civil penalty of not less than $10,000 and not more than

$100,000 for each such failure.

* APPLICANT'S ORGANIZATION

* PRINTED NAME AND TITLE OF AUTHORIZED REPRESENTATIVE

Prefix: * First Name:

Middle Name:

* Last Name:

Suffix:

* Title:

* SIGNATURE: * DATE:


CM (Revised: 3/6/2018) - 10 -

CONFLICT OF INTEREST CHECKLIST AND DISCLOSURE FORM

Purpose of this Checklist This checklist is provided to assist responders in screening for potential

organizational conflicts of interest. The checklist is for the internal use of responders and does not need to

be submitted to MnDOT, however, the Disclosure of Potential Conflict of Interest form should be

submitted in a separate envelope along with your proposal.

Definition of “Responder” As used herein, the word “Responder” includes both the potential Grantee

and any sub grantees.

Checklist is Not Exclusive Please note that this checklist serves as a guide only, and that there may be

additional potential conflict situations not covered by this checklist. If a responder determines a potential

conflict of interest exists that is not covered by this checklist, that potential conflict must still be

disclosed.

Use of the Disclosure Form A responder must complete the attached disclosure form and submit it with

their Proposal (or separately as directed by MnDOT for projects not awarded through a competitive

solicitation). If a responder determines a potential conflict of interest exists, it must disclose the potential

conflict to MnDOT; however, such a disclosure will not necessarily disqualify a responder from being

awarded a Contract. To avoid any unfair “taint” of the selection process, the disclosure form should be

provided separate from the bound proposal, and it will not be provided to selection committee members.

MnDOT’s Contract Management personnel will review the disclosure and the appropriateness of the

proposed mitigation measures to determine if the responder may be awarded the Contract notwithstanding

the potential conflict. MnDOT’s Contract Management personnel may consult with MnDOT’s Project

Manager and Department of Administration personnel. By statute, resolution of conflict of interest issues

is ultimately at the sole discretion of the Commissioner of Administration.

Material Representation The responder is required to submit the attached disclosure form either

declaring, to the best of its knowledge and belief, either that no potential conflict exists, or identifying

potential conflicts and proposing remedial measures to ameliorate such conflict. The responder must also

update conflict information if such information changes after the submission of the proposal. Information

provided on the form will constitute a material representation as to the award of this Contract. MnDOT

reserves the right to cancel or amend the resulting Contract if the successful responder failed to disclose a

potential conflict, which it knew or should have known about, or if the responder provided information on

the disclosure form that is materially false or misleading.

Approach to Reviewing Potential Conflicts MnDOT recognizes that responder’s must maintain

business relations with other public and private sector entities in order to continue as viable businesses.

MnDOT will take this reality into account as it evaluates the appropriateness of proposed measures to

mitigate potential conflicts. It is not MnDOT’s intent to disqualify responders based merely on the

existence of a business relationship with another entity, but rather only when such relationship causes a

conflict that potentially impairs the responder’s ability to provide objective advice to MnDOT. MnDOT

would seek to disqualify responders only in those cases where a potential conflict cannot be adequately

mitigated. Nevertheless, MnDOT must follow statutory guidance on Organizational Conflicts of Interest.

Statutory Guidance Minnesota Statutes §16C.02, Subdivision 10 (a) places limits on state agencies

ability to Contract with entities having an “Organizational Conflict of Interest”. For purposes of this

checklist and disclosure requirement, the term “Vendor” includes “Responder” as defined above. Pursuant

to such statute, “Organizational Conflict of Interest” means that because of existing or planned activities


CM (Revised: 3/6/2018) - 11 -

or because of relationships with other persons: (1) the vendor is unable or potentially unable to render

impartial assistance or advice to the state; (2) the vendor’s objectivity in performing the contract work is

or might otherwise be impaired; or (3) the vendor has an unfair advantage.

Additional Guidance for Professionals Licensed by the Minnesota Board of Engineering The

Minnesota Board of Engineering has established conflict of interest rules applicable to those professionals

licensed by the Board (see Minnesota Rules Part 1805.0300) Subpart 1 of the rule provides “A licensee

shall avoid accepting a commission where duty to the client or the public would conflict with the personal

interest of the licensee or the interest of another client. Prior to accepting such employment the licensee

shall disclose to a prospective client such facts as may give rise to a conflict of interest”.

An organizational conflict of interest may exist in any of the following cases:

The responder, or its principals, own real property in a location where there may be a positive or

adverse impact on the value of such property based on the recommendations, designs, appraisals, or

other deliverables required by this Contract.

The responder is providing services to another governmental or private entity and the responder

knows or has reason to believe, that entity’s interests are, or may be, adverse to the state’s interests

with respect to the specific project covered by this contract. Comment: the mere existence of a

business relationship with another entity would not ordinarily need to be disclosed. Rather, this

focuses on the nature of services commissioned by the other entity. For example, it would not be

appropriate to propose on a MnDOT project if a local government has also retained the responder for

the purpose of persuading MnDOT to stop or alter the project plans.

The Contract is for right-of-way acquisition services or related services (e.g. geotechnical

exploration) and the responder has an existing business relationship with a governmental or private

entity that owns property to be acquired pursuant to the Contract.

The responder is providing real estate or design services to a private entity, including but not limited

to developers, whom the responder knows or has good reason to believe, own or are planning to

purchase property affected by the project covered by this Contract, when the value or potential uses of

such property may be affected by the responder’s performance of work pursuant to this Contract.

“Property affected by the project” includes property that is in, adjacent to, or in reasonable proximity

to current or potential right-of-way for the project. The value or potential uses of the private entity’s

property may be affected by the responder’s work pursuant to the Contract when such work involves

providing recommendations for right-of-way acquisition, access control, and the design or location of

frontage roads and interchanges. Comment: this provision does not presume responders know or

have a duty to inquire as to all of the business objectives of their clients. Rather, it seeks the

disclosure of information regarding cases where the responder has reason to believe that its

performance of work under this Contract may materially affect the value or viability of a project it is

performing for the other entity.

The responder has a business arrangement with a current MnDOT employee or immediate family

member of such employee, including promised future employment of such person, or a

subcontracting arrangement with such person, when such arrangement is contingent on the responder

being awarded this Contract. This item does not apply to pre-existing employment of current or

former MnDOT employees, or their immediate family members. Comment: this provision is not

intended to supercede any MnDOT policies applicable to its own employees accepting outside


CM (Revised: 3/6/2018) - 12 -

employment. This provision is intended to focus on identifying situations where promises of

employment have been made contingent on the outcome of this particular procurement. It is intended

to avoid a situation where a responder may have unfair access to “inside” information.

The responder has, in previous work for the state, been given access to “data” relevant to this

procurement or this project that is classified as “private” or “nonpublic” under the Minnesota

Government Data Practices Act, and such data potentially provides the responder with an unfair

advantage in preparing a proposal for this project. Comment: this provision will not, for example,

necessarily disqualify a responder who performed some preliminary work from obtaining a final

design Contract, especially when the results of such previous work are public data available to all

other responders. Rather, it attempts to avoid an “unfair advantage” when such information cannot be

provided to other potential responders. Definitions of “government data”, “public data”, “non-public

data” and “private data” can be found in Minnesota Statutes Chapter 13.

The responder has, in previous work for the state, helped create the “ground rules” for this solicitation

by performing work such as: writing this solicitation, or preparing evaluation criteria or evaluation

guides for this solicitation.

The responder, or any of its principals, because of any current or planned business arrangement,

investment interest, or ownership interest in any other business, may be unable to provide objective

advice to the state.



CM (Revised: 3/6/2018) - 13 -

DISCLOSURE OF POTENTIAL CONFLICT OF INTEREST

Having had the opportunity to review the Organizational Conflict of Interest Checklist, the responder

hereby indicates that it has, to the best of its knowledge and belief:

Determined that no potential organizational conflict of interest exists

Determined a potential organizational conflict of interest as follows:

Describe nature of potential conflict:

Describe measures proposed to mitigate the potential conflict:

Signature

Date

If a potential conflict has been identified, please

provide name and phone number for a contact

person authorized to discuss this disclosure form

with MnDOT Contract personnel.

Name

Phone


CM (Revised: 3/6/2018) - 14 -

THIS PAGE HAS BEEN INTENTIONALLY LEFT BLANK

Exhibit F.A.I.


CM (Revised: 3/6/2018) - 15 -

Federal Award Information

NOTICE TO SUBRRECIPIENT: This is a subaward of federal financial assistance from Organization A (hereinafter referred to as “recipient/pass-through entity”) to Organization B (hereinafter referred to as “subrecipient”).

Subrecipient Name:

Subrecipient DUNS Number:

CFDA Name: CFDA Number:

Federal Award Identification Number: Federal Award Date:

Is the Award for Research and Development? Yes No Project Description: Period of Performance Start and End Date:

Indirect Cost rate: Total Amount of Federal Funds Obligated:

Amount of Federal Funds Obligated by this action: Total of Federal Award:

Contact for Federal Agency:

Name:

Address:

Phone:

Email:

Contact for Recipient:

Name:

Address:

Phone:

Email:

STATE OF MINNESOTA GRANT AGREEMENT

MnDOT Contract No. [insert number]

16 CM Federal Funds Grant Agreement (Rev. 10/23/17)

This agreement is between the State of Minnesota, acting through its Commissioner of Transportation ("State"), and [full legal name of the grantee including its address – can also include a dba] ("Grantee"). RECITALS

1. Minnesota Statutes § 161.36 authorizes the State to enter into this agreement. 2. The State is in need of [add brief narrative of the purpose of the grant]. 3. Grantee represents that it is duly qualified and agrees to perform all services described in this agreement to the

satisfaction of the State. Pursuant to Minn.Stat.§16B.98, Subd.1, Grantee agrees to minimize administrative costs as a condition of this agreement.

AGREEMENT TERMS

1 Term of Agreement, Survival of Terms, and Incorporation of Exhibits 1.1 Effective Date. This agreement will be effective on [Spell out full date (e.g., August 1, 2016)], or the date the

State obtains all required signatures under Minn. Stat.§16B.98, Subd. 5, whichever is later. As required by Minn.Stat.§16B.98 Subd. 7, no payments will be made to Grantee until this agreement is fully executed. Grantee must not begin work under this agreement until this agreement is fully executed and Grantee has been notified by the State’s Authorized Representative to begin the work.

1.2 Expiration Date. This agreement will expire on [Spell out full date (e.g., August 1, 2016), may not exceed 5 years], or when all obligations have been satisfactorily fulfilled, whichever occurs first.

1.3 Period of Performance. The period of performance is from [date] through [date]. 1.4 Survival of Terms. All clauses which impose obligations continuing in their nature and which must survive in

order to give effect to their meaning will survive the expiration or termination of this agreement, including, without limitation, the following clauses: 8. Liability; 9. State Audits; 10. Government Data Practices and Intellectual Property; 11. Workers Compensation; 12. Publicity and Endorsement; 13. Governing Law, Jurisdiction, and Venue; and 15 Data Disclosure.

1.5 Exhibits. Exhibit A: Detailed Scope of Work and Deliverables; Exhibit B: Budget; and Exhibit C: Invoice are attached and incorporated into this agreement.

2 Grantee’s Duties 2.1 Grantee, who is not a state employee, will perform the duties specified in Exhibit A, which is attached and incorporated into this grant agreement. 2.2 The Grantee agrees to obtain the prior approval of State for any significant change related to the scope of work

as required by 2 CFR 200 and 2 CFR 1201. This includes, but is not limited to: 2.2.1 changes in overall project budget which result in a shift of $25,000 or more of the original budget between

tasks; 2.2.2 any significant revision of the scope, schedule, goals, objectives or tasks of the proposal Scope of Work, or

related activities (regardless of whether there is an associated budget revision requiring prior approval); and

2.2.3 changes in key personnel, program manager, or prime contractor. 2.3 Grantee will comply with all required grants management policies and procedures set forth through

Minn.Stat.§16B.97, Subd. 4 (a) (1). 2.4 Grantee will submit written progress reports detailing services provided to program participants on a quarterly

basis and upon program completion. State will provide Grantee with reporting template. Payments will not be made under section 4.2 if a progress report is past due unless Grantee has been given a written extension by the State.

2.5 Asset Monitoring. If Grantee uses funds obtained by this agreement to acquire a capital asset, the Grantee is required to use that asset for a public purpose for the normal useful life of the asset. Any capital assets acquired with grant funds under this agreement are subject to the follow reporting requirements: Grantee may not sell or change the purpose of use for the capital asset(s) obtained with grant funds under this agreement without the prior written consent of the State and an agreement executed and approved by the same parties who executed and approved this agreement, or their successors in office.

2.6 Real Property. In accordance with 2 CFR 200.329, the Grantee must submit annual reports on the status of any real property, as defined in 2 CFR 200.85, in which the Federal Government retains an interest.

https://www.revisor.mn.gov/statutes/?id=16B.98




MnDOT Contract #: [insert number]


3 Time 3.1 Grantee must comply with all the time requirements described in this agreement. In the performance of this

grant agreement, time is of the essence.

4 Consideration and Payment 4.1 Consideration. The State will pay for all services performed by Grantee during the period of performance under

this agreement as follows: 4.1.1 Compensation. Grantee will be paid up to a maximum of $___________ according to the breakdown of

costs contained in Exhibit B, which is attached and incorporated into this grant agreement. 4.1.2 Matching Funds. Any cost sharing or matching funds required of Grantee in this agreement must comply

with 2 CFR 200.306. 4.1.3 Travel Expenses. Reimbursement for travel and subsistence expenses actually and necessarily incurred by

Grantee as a result of this agreement will not exceed $ [insert total travel budget here. If none, insert $0.00] provided that Grantee will be reimbursed for travel and subsistence expenses in the same manner and in no greater amount than provided in the current "Commissioner’s Plan” promulgated by the Commissioner of Minnesota Management and Budget (MMB). Grantee will not be reimbursed for travel and subsistence expenses incurred outside Minnesota unless it has received the State’s prior written approval for out of state travel. Minnesota will be considered the home state for determining whether travel is out of state. Exhibit X or N/A, which is attached and incorporated into this grant agreement, lists the current Minnesota Department of Transportation Reimbursement Rates for Travel Expenses.

4.1.4 Total Obligation. The total obligation of the State for all compensation and reimbursements to Grantee under this agreement will not exceed $[this must be the total of 4.1.1 and 4.1.2 above].

4.1.5 Federal Funds. Payments under this Agreement will be made from federal funds. The Grantee is responsible for compliance with all federal requirements imposed on these funds and accepts full financial responsibility for any requirements imposed by the Grantee’s failure to comply with federal requirements. If, for any reason, the federal government fails to pay part of the cost or expense incurred by the Grantee, or in the event the total amount of federal funds is not available, the Grantee will be responsible for any and all costs or expenses incurred under this Agreement. The Grantee further agrees to pay any and all lawful claims arising out of or incidental to the performance of the work covered by this Agreement in the event the federal government does not pay the same.

4.2 Payment 4.2.1 Invoices. Grantee will submit invoices for payment by email to State’s Office of Civil Rights, at

[email protected] Exhibit C, which is attached and incorporated into this agreement, is the form Grantee will use to submit invoices. The State’s Authorized Representative, as named in this agreement, will review each invoice against the approved grant budget, grant expenditures to-date, and the latest written progress report before approving payment. The State will promptly pay Grantee after Grantee presents an itemized invoice for the services actually performed and the State's Authorized Representative accepts the invoiced services. Invoices will be submitted timely and according to the following schedule: Invoices must be submitted for the eligible deliverable specified in Exhibit A.

4.2.2 All Invoices Subject to Audit. All invoices are subject to audit, at State’s discretion. The cost principles outlined in 2 CFR 200.400-.475 will be used to determine whether costs are eligible for reimbursement under this agreement.

4.2.3 State’s Payment Requirements. State will promptly pay all valid obligations under this agreement as required by Minnesota Statutes §16A.124. State will make undisputed payments no later than 30 days after receiving Grantee’s invoices and progress reports for services performed. If an invoice is incorrect, defective or otherwise improper, State will notify Grantee within ten days of discovering the error. After State receives the corrected invoice, State will pay Grantee within 30 days of receipt of such invoice.

4.2.4 Grant Monitoring Visit and Financial Reconciliation. [CHOOSE ONE and delete other option. Or if grant is

for less than $50,000 delete all options. If grantee was identified as moderate or high risk, also fill in section 16 per the instructions received from the grant unit. If payment is lump sum, a reconciliation must




be completed at closeout] [If the total obligation in section 4.1.3 exceeds $50,000 but is equal to or less than $250,000] During the period of performance, the State will make at least one monitoring visit and conduct annual financial reconciliations of Grantee’s expenditures. [If the total obligation in section 4.1.3 exceeds $250,000] During the period of performance, the State will make at least annual monitoring visits and conduct annual financial reconciliations of Grantee’s expenditures.

4.2.4.1 The State’s Authorized Representative will notify Grantee’s Authorized Representative where and when any monitoring visit and financial reconciliation will take place, which State employees and/or contractors will participate, and which Grantee staff members should be present. Grantee will be provided with at least seven calendar days of notice prior to any monitoring visit or financial reconciliation.

4.2.4.2 Following a monitoring visit or financial reconciliation, Grantee will take timely and appropriate action on all deficiencies identified by State.

4.2.4.3 At least one monitoring visit and one financial reconciliation must be completed prior to final payment being made to Grantee.

4.2.5 Unexpended Funds. The Grantee must promptly return to the State at grant closeout any unexpended funds that have not been accounted for in a financial report submitted to the State.

4.2.6 Closeout. Grantee must liquidate all obligations incurred under this Agreement and submit all financial, performance, and other reports as required by the terms of this Agreement and the Federal award within 90 calendar days of the end date of the period of performance. The State will determine, at its sole discretion, whether a closeout audit is required prior to final payment approval. If a closeout audit is required, final payment will be held until the audit has been completed. Monitoring of any capital assets acquired with grant funds will continue following grant closeout.

4.3 Contracting and Bidding Requirements. Prior to publication, Grantee will submit to State all solicitations for work to be funded by this Agreement. Prior to execution, Grantee will submit to State all contracts and subcontracts funded by this agreement between Grantee and third parties. State’s Authorized Representative has the sole right to approve, disapprove, or modify any solicitation, contract, or subcontract submitted by Grantee. All contracts and subcontracts between Grantee and third parties must contain all applicable provisions of this Agreement. State’s Authorized Representative will respond to a solicitation, contract, or subcontract submitted by Grantee within ten business days. All contracts between Grantee and third parties or subcontractors must contain all applicable provisions of this Agreement, including the applicable federal contract clauses, which are identified in Appendix II of 2 CFR 200, Uniform Administrative Requirements, Cost Principles and Audit Requirements for Federal Awards. 4.3.1 Procurement Requirements. For all procurements of goods and services supported in whole or in part with

federal funds, Grantee agrees to comply with the current requirements and standards of the Uniform Administrative Requirements, 2 CFR part 200, which is incorporated by reference into this Agreement.

4.3.2 Excluded Parties Listing System. Before entering into a third party contract or subcontract, Grantee agrees to check the System for Awards Management at https://www.sam.gov/portal/public/SAM/ to ensure the selected vendor or contractor has not been excluded from doing business with the federal government or its grantees. Grantee will provide State with evidence that the System for Awards Management website has been checked.

4.3.3 Procurement Policy. Grantee will provide State with a copy of its current local procurement policy. 4.3.4 Lobbying Certification. For all bids or proposals of third party contracts that exceed $100,000, the Grantee

will obtain from all bidders a signed Standard Form LLL Certification Regarding Lobbying, as required according to 31 U.S.C. 1352 and 49 CFR 20. The signed certification becomes part of the third party contract and must be provided to the State for its official contract file.

4.3.5 Debarment and Suspension Certification. For all bids or proposals of third party contracts that exceed $25,000, the Grantee will obtain from all bidders a signed Certification of Primary Participant Regarding Debarment, Suspension, and Other Responsibility Matters, as provided in 2 CFR 180 and 2 CFR 1200. The signed certification becomes part of the third party contract and must be provided to the State for its official contract file.

5 Conditions of Payment

All services provided by Grantee under this agreement must be performed to the State’s satisfaction, as determined



at the sole discretion of the State’s Authorized Representative and in accordance with all applicable federal, state, and local laws, ordinances, rules, and regulations. The Grantee will not receive payment for work found by the State to be unsatisfactory or performed in violation of federal, state, or local law.

6 Authorized Representatives 6.1 The State's Authorized Representative is:

Name/Title: Denise Pierre, Contract and Grant Administrator Address: Minnesota Department of Transportation

Office of Civil Rights, Mail Stop 170 395 John Ireland Boulevard, St. Paul, MN 55155-1800

Telephone: (651) 366-3321 Email: [email protected] State’s Authorized Representative, or his/her successor, has the responsibility to monitor Grantee’s performance and the authority to accept the services provided under this agreement. If the services are satisfactory, the State's Authorized Representative will certify acceptance on each invoice submitted for payment.

6.2 The State’s Project Manager is:

Name/Title: Address: Minnesota Department of Transportation Office of Civil Rights, Mail Stop 170 395 John Ireland Boulevard, St Paul, MN 55155 Telephone: Email: State’s Project Manager, or his/her successor, has the responsibility to monitor Grantee’s performance and progress. State’s Project Manager will sign progress reports, review billing statements, make recommendations to State’s Authorized Representative for acceptance of Grantee’s good or services and make recommendations to State’s Authorized Representative for certification for payment of each invoice submitted for payment.

6.3 Grantee’s Authorized Representative is:

Name/Title: Address: Telephone Email: If Grantee’s Authorized Representative changes at any time during this agreement, Grantee will immediately notify the State.

7 Assignment Amendments, Waiver, and Grant Agreement Complete 7.1 Assignment. The Grantee may neither assign nor transfer any rights or obligations under this agreement

without the prior written consent of the State and a fully executed Assignment Agreement, executed and approved by the same parties who executed and approved this agreement, or their successors in office.

7.2 Amendments. Any amendments to this agreement must be in writing and will not be effective until it has been executed and approved by the same parties who executed and approved the original agreement, or their successors in office.

7.3 Waiver. If the State fails to enforce any provision of this agreement, that failure does not waive the provision or the State’s right to subsequently enforce it.

7.4 Grant Agreement Complete. This grant agreement contains all negotiations and agreements between the State




and Grantee. No other understanding regarding this agreement, whether written or oral, may be used to bind either party.

8 Liability

Grantee must indemnify, save, and hold the State, its agents, and employees harmless from any claims or causes of action, including attorney’s fees incurred by the State, arising from the performance of this agreement by Grantee or Grantee’s agents or employees. This clause will not be construed to bar any legal remedies Grantee may have for the State's failure to fulfill its obligations under this agreement.

9 State Audits Under Minn. Stat. § 16B.98, Subd.8, the Grantee’s books, records, documents, and accounting procedures and practices of Grantee, or other party relevant to this grant agreement or transaction, are subject to examination by the State and/or the State Auditor or Legislative Auditor, as appropriate, for a minimum of six years from the end of this agreement, receipt and approval of all final reports, or the required period of time to satisfy all state and program retention requirements, whichever is later. Grantee will take timely and appropriate action on all deficiencies identified by an audit.

10 Government Date Practices and Intellectual Property Rights 10.1 Government Data Practices. Grantee and State must comply with the Minnesota Government Data Practices

Act, Minn. Stat. Ch. 13, as it applies to all data provided by the State under this grant agreement, and as it applies to all data created, collected, received, stored, used, maintained, or disseminated by the Grantee under this agreement. The civil remedies of Minn. Stat. §13.08 apply to the release of the data referred to in this clause by either Grantee or the State. [delete following if grantee is a local govt] If Grantee receives a request to release the data referred to in this section 10.1, Grantee must immediately notify the State. The State will give Grantee instructions concerning the release of the data to the requesting party before the data is released. Grantee’s response to the request shall comply with applicable law.

10.2 Intellectual Property Rights. 10.2.1 Intellectual Property Rights. State owns all rights, title and interest in all of the intellectual property

rights, including copyrights, patents, trade secrets, trademarks and service marks in the Works and Documents created and paid for under this agreement. “Works” means all inventions, improvements, discoveries (whether or not patentable), databases, computer programs, reports, notes, studies, photographs, negatives, designs, drawings, specifications, materials, tapes and disks conceived, reduced to practice, created or originated by Grantee, its employees, agents and subcontractors, either individually or jointly with others in the performance of this agreement. Works includes Documents. “Documents” are the originals of any databases, computer programs, reports, notes, studies, photographs, negatives, designs, drawings, specifications, materials, tapes, disks or other materials, whether in tangible or electronic forms, prepared by Grantee, its employees, agents or subcontractors, in the performance of this agreement. The Documents will be the exclusive property of State, and Grantee upon completion or cancellation of this agreement must immediately return all such Documents to State. To the extent possible, those Works eligible for copyright protection under the United States Copyright Act will be deemed to be “works made for hire.” Grantee assigns all right, title and interest it may have in the Works and the Documents to State. Grantee must, at the request of State, execute all papers and perform all other acts necessary to transfer or record the State’s ownership interest in the Works and Documents.

10.2.2 Obligations 10.2.2.1 Notification. Whenever any invention, improvement or discovery (whether or not patentable)

is made or conceived for the first time or actually or constructively reduced to practice by Grantee, including its employees and subcontractors, in the performance of this agreement, Grantee will immediately give State’s Authorized Representative written notice thereof and must promptly furnish State’s Authorized Representative with complete information and/or disclosure thereon.

10.2.2.2 Representation. Grantee must perform all acts, and take all steps necessary to ensure that all intellectual property rights in the Works and Documents are the sole property of State

https://www.revisor.leg.state.mn.us/statutes/?id=13

https://www.revisor.leg.state.mn.us/statutes/?id=13.08



and that neither Grantee nor its employees, agents or subcontractors retain any interest in and to the Works and Documents. Grantee represents and warrants that the Works and Documents do not and will not infringe upon any intellectual property rights of other persons or entities. Notwithstanding Clause 8, Grantee will indemnify; defend, to the extent permitted by the Attorney General; and hold harmless State, at Grantee’s expense, from any action or claim brought against State to the extent that it is based on a claim that all or part of the Works or Documents infringe upon the intellectual property rights of others. Grantee will be responsible for payment of any and all such claims, demands, obligations, liabilities, costs and damages, including but not limited to, attorney fees. If such a claim or action arises, or in Grantee’s or State’s opinion is likely to arise, Grantee must, at State’s discretion, either procure for State the right or license to use the intellectual property rights at issue or replace or modify the allegedly infringing Works or Documents as necessary and appropriate to obviate the infringement claim. This remedy of State will be in addition to and not exclusive of other remedies provided by law.

11 Workers Compensation The Grantee certifies that it is in compliance with Minn. Stat. §176.181, Subd. 2, pertaining to workers’ compensation insurance coverage. The Grantee’s employees and agents will not be considered State employees. Any claims that may arise under the Minnesota Workers’ Compensation Act on behalf of these employees and any claims made by any third party as a consequence of any act or omission on the part of these employees are in no way the State’s obligation or responsibility.

12 Publicity and Endorsement 12.1 Publicity. Any publicity regarding the subject matter of this agreement must identify the State as the

sponsoring agency and must not be released without prior written approval from the State’s Authorized Representative. For purposes of this provision, publicity includes notices, informational pamphlets, press releases, research, reports, signs, and similar public notices prepared by or for the Grantee individually or jointly with others, or any subcontractors, with respect to the program, publications, or services provided resulting from this grant agreement. All projects primarily funded by state grant appropriation must publicly credit the State of Minnesota, including on the Grantee’s website when practicable.

12.2 Endorsement. The Grantee must not claim that the State endorses its products or services. 13 Governing Law, Jurisdiction, and Venue

Minnesota law, without regard to its choice-of-law provisions, governs this agreement. Venue for all legal proceedings out of this agreement, or its breach, must be in the appropriate state or federal court with competent jurisdiction in Ramsey County, Minnesota.

14 Termination; Suspension 14.1 Termination by the State. The State may terminate this agreement with or without cause, upon 30 days

written notice to the Grantee. Upon termination, the Grantee will be entitled to payment, determined on a pro rata basis, for services satisfactorily performed.

14.2 Termination for Cause. The State may immediately terminate this grant agreement if the State finds that there has been a failure to comply with the provisions of this agreement, that reasonable progress has not been made, that fraudulent or wasteful activity has occurred, that Grantee has been convicted of a criminal offense relating to a state grant agreement, or that the purposes for which the funds were granted have not been or will not be fulfilled. The State may take action to protect the interests of the State of Minnesota, including the refusal to disburse additional funds and requiring the return of all or part of the funds already disbursed.

14.3 Termination for Insufficient Funding. The State may immediately terminate this agreement if: 14.3.1 It does not obtain funding from the Minnesota Legislature; or 14.3.2 If funding cannot be continued at a level sufficient to allow for the payment of the services covered

here. Termination must be by written or fax notice to the Grantee. The State is not obligated to pay for any services that are provided after notice and effective date of termination. However, the Grantee will be entitled to payment, determined on a pro rata basis, for services satisfactorily

https://www.revisor.leg.state.mn.us/statutes/?id=176.181



performed to the extent that funds are available. The State will not be assessed any penalty if the agreement is terminated because of the decision of the Minnesota Legislature, or other funding source, not to appropriate funds. The State will provide the Grantee notice of the lack of funding within a reasonable time of the State’s receiving that notice.

14.4 Suspension. The State may immediately suspend this agreement in the event of a total or partial government shutdown due to the failure to have an approved budget by the legal deadline. Work performed by the Grantee during a period of suspension will be deemed unauthorized and undertaken at risk of non-payment.

15 Data Disclosure

Under Minn. Stat. § 270C.65, Subd. 3, and other applicable law, Grantee consents to disclosure of its social security number, federal employer tax identification number, and/or Minnesota tax identification number, already provided to the State, to federal and state tax agencies and state personnel involved in the payment of state obligations. These identification numbers may be used in the enforcement of federal and state tax laws which could result in action requiring the Grantee to file state tax returns and pay delinquent state tax liabilities, if any.

16 Fund Use Prohibited. The Grantee will not utilize any funds received pursuant to this Agreement to compensate, either directly or indirectly, any contractor, corporation, partnership, or business, however organized, which is disqualified or debarred from entering into or receiving a State contract. This restriction applies regardless of whether the disqualified or debarred party acts in the capacity of a general contractor, a subcontractor, or as an equipment or material supplier. This restriction does not prevent the Grantee from utilizing these funds to pay any party who might be disqualified or debarred after the Grantee’s contract award on this Project.

17 Discrimination Prohibited by Minnesota Statutes §181.59. Grantee will comply with the provisions of Minnesota

Statutes §181.59 which requires that every contract for or on behalf of the State of Minnesota, or any county, city, town, township, school, school district or any other district in the state, for materials, supplies or construction will contain provisions by which Contractor agrees: 1) That, in the hiring of common or skilled labor for the performance of any work under any contract, or any subcontract, no Contractor, material supplier or vendor, will, by reason of race, creed or color, discriminate against the person or persons who are citizens of the United States or resident aliens who are qualified and available to perform the work to which the employment relates; 2) That no Contractor, material supplier, or vendor, will, in any manner, discriminate against, or intimidate, or prevent the employment of any person or persons identified in clause 1 of this section, or on being hired, prevent or conspire to prevent, the person or persons from the performance of work under any contract on account of race, creed or color; 3) That a violation of this section is a misdemeanor; and 4) That this contract may be canceled or terminated by the state of Minnesota, or any county, city, town, township, school, school district or any other person authorized to grant contracts for employment, and all money due, or to become due under the contract, may be forfeited for a second or any subsequent violation of the terms or conditions of this Agreement.

18 Limitation. Under this Agreement, the State is only responsible for receiving and disbursing funds. Nothing in this

Agreement will be construed to make the State a principal, co-principal, partner, or joint venturer with respect to the Project(s) covered herein. The State may provide technical advice and assistance as requested by the Grantee, however, the Grantee will remain responsible for providing direction to its contractors and consultants and for administering its contracts with such entities. The Grantee’s consultants and contractors are not intended to be third party beneficiaries of this Agreement.

19 Additional Provisions 19.1 Appendix II 2 CFR Part 200 Federal Contract Clauses The Grantee agrees to comply with the following federal

requirements as identified in 2 CFR 200, Uniform Administrative Requirements, Cost Principles and Audit Requirements for Federal Awards, and agrees to pass through these requirements to its subcontractors and third party contractors, as applicable. In addition, the Grantee shall have the same meaning as “Contractor” in the federal requirements listed below.

19.1.1 Remedies. Contracts for more than the simplified acquisition threshold currently set at $150,000, which is the inflation adjusted amount determined by the Civilian Agency Acquisition Council and Defense Acquisition Regulations Council (Councils) as authorized by 41 U.S.C. 1908, must address administrative,

https://www.revisor.leg.state.mn.us/statutes/?id=270C.65



contractual, or legal remedies in instances where contractors violate or breach contract terms, and provide for such sanctions and penalties as appropriate.

19.1.2 Termination. All contracts in excess of $10,000 must address termination for cause and for convenience by the non-Federal entity including the manner by which it will be effected and the basis for settlement.

19.1.3 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 must 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.”

19.1.4 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 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 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 otherwise entitled. The non-Federal entity must report all suspected or reported violations to the Federal awarding agency.

19.1.5 Contract Work Hours and Safety Standards Act. (40 U.S.C. 3701-3708) Contract Work Hours and Safety Standards Act (40 U.S.C. 3701-3708). Where applicable, all contracts awarded by the non-Federal entity in excess of $100,000 that involve the employment of mechanics or laborers must include a provision for compliance with 40 U.S.C. 3702 and 3704, as supplemented by Department of Labor regulations (29 CFR Part 5). Under 40 U.S.C. 3702 of the Act, each contractor must be required to compute the wages of every mechanic and laborer on the basis of a standard work week of 40 hours. Work in excess of the standard work week is permissible provided that the worker is compensated at a rate of not less than one and a half times the basic rate of pay for all hours worked in excess of 40 hours in the work week. The requirements of 40 U.S.C. 3704 are applicable to construction work and provide that no laborer or mechanic must be required to work in surroundings or under working conditions which are unsanitary, hazardous or dangerous. These requirements do not apply to the purchases of supplies or materials or articles ordinarily available on the open market, or contracts for transportation or transmission of intelligence.

19.1.6 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 the recipient or 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,” the 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, Contracts and Cooperative Agreements,” and any implementing regulations issued by the awarding agency.

19.1.7 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 under 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).

19.1.8 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 governmentwide 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.

19.1.9 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.

19.1.10 Procurement of Recovered Materials. See 2 CFR 200.322 Procurement of Recovered Materials. 19.2 Drug-Free Workplace. In accordance with 2 C.F.R. § 32.400, The Grantee will comply with the Drug-Free

Workplace requirements under subpart B of 49 C.F.R. Part 32. 19.3 Nondiscrimination. The Grantee hereby agrees that, as a condition of receiving any Federal financial assistance

under this agreement, it will comply with Title VI of the Civil Rights Act of 1964 (78 Stat. 252, 42 U.S.C. § 2000d), related nondiscrimination statutes (i.e., 23 U.S.C. § 324, Section 504 of the Rehabilitation Act of 1973 as amended, and the Age Discrimination Act of 1975), and applicable regulatory requirements to the end that no person in the United States shall, on the grounds of race, color, national origin, sex, handicap, or age be excluded from participation in, be denied the benefits of, or otherwise be subjected to discrimination under any program or activity for which The Grantee receives Federal financial assistance. The specific requirements of the Department of Transportation Civil Rights assurances (required by 49 C.F.R. §§ 21.7 and 27.9) are incorporated in the agreement.

19.4 Federal Funding Accountability and Transparency Act (FFATA). In accordance with 2 C.F.R. 170.220(a), the terms in Appendix A to 2 C.F.R. Part 170 are incorporated by reference into this agreement.




STATE ENCUMBRANCE VERIFICATION Individual certifies that funds have been encumbered as required by

Minn. Stat. § 16A.15 and § 16C.05.

Signed:

Date:

SWIFT Contract/PO No(s).

GRANTEE The Grantee certifies that the appropriate person(s) have executed the grant

agreement on behalf of the Grantee as required by applicable articles, bylaws, resolutions, or ordinances.

By:

Title:

Date:

DEPARTMENT OF TRANSPORTATION

By: (with delegated authority)

Title:

Date:


OFFICE OF FINANCIAL MANAGEMENT – GRANT UNIT

By:

Date:


CONTRACT MANAGEMENT

By:

Date:



CM (Revised: 3/6/2018) - 26 -