notice of grant opportunity/request for proposals (rfp) · outreach and recruitment for on -the-job...

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Notice of Grant Opportunity Request for Proposal (RFP) CM (Revised: 3/6/2018) - 1 -

NOTICE OF GRANT OPPORTUNITY/REQUEST FOR PROPOSALS (RFP) Minnesota Department of Transportation (MnDOT)

Outreach and Recruitment for On-the-Job Training (OJT) Support Services 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. 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. Responses to this RFP will be public information under the Minnesota Data Practices Act, Minnesota Statutes Chapter 13. Project Overview MnDOT requests responses for Community Based Organizations with expertise in creating a diversity recruiting and screening strategy for minorities, women, and other disadvantaged individuals including emerging communities. The overall objective of the program is to recruit and screen highly motivated individuals who are minorities, women, and disadvantaged individuals with the goal of providing them the skills they will need to gain entry-level highway heavy construction positions with contractors working on MnDOT’s projects. Project Goal It is the goal of this project to recruit, screen, and thoroughly prepare women, minorities, and disadvantaged individuals for highway heavy construction training. In addition, this program provides wrap-around services to participants to ensure their success in the program. Funding Availability

• $267,520.00 • Intend to award two or three grants to two or three applicants

Funding will be allocated through a competitive process with review by MnDOT staff. Minimum Requirements/Eligibility Applicants must meet the minimum requirements in order to be fully considered for this grant opportunity. Applicants must:

1. Be a Community Based Organization (CBO) that resides in the community or communities it intends to recruit from.

2. Understand and be knowledgeable about the target population to be served. 3. Have basic knowledge of the OJT Program and Program participants’ needs. 4. Demonstrate a general understanding of the Highway Heavy Construction industry. 5. Understand the day-to-day realities and economic condition of working in the highway heavy

construction industry. 6. Have excellent interpersonal skills. 7. Be experienced in providing employment counseling, job retention, and employment support to

minorities, women, and disadvantaged individuals. 8. Employ key personnel that have experience working with minorities, women, and disadvantaged

individuals in an employment services setting. 9. Have experience conducting candidate screening and assessments.

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10. Be knowledgeable about evaluation and tracking methods to measure the progresses of participants.

11. Be knowledgeable in regards to available resources to remove barriers of employment and employment retention; i.e. quality and affordable childcare, transportation, housing assistance, food shelf, etc.

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

1. Develop marketing and recruitment strategies that attract women, minorities and individuals from emerging communities to the highway heavy industry.

2. Perform screening of targeted population to ensure eligible participants have the interest and necessary foundation skills and meet entrance criteria needed to be successful in the highway heavy construction training before enrollment.

3. Provide highway heavy construction orientation to prospective recruits and their support system to ensure they know the industry expectations, work conditions, and seasonal nature.

4. Provide job success skills training to help participants adapt to the workplace culture. 5. Provide ongoing case management services for program participants from the start to

finish of training and for up to two years after training. 6. Provide support services funds to program participants to alleviate barriers confronted

during training and in employment. 7. Provide employment placement to graduates once training is completed. 8. Provide progress report by completing accurately all necessary forms on a quarterly basis

and upon program completion. 9. Submit program invoice with back up documentation monthly to MnDOT.

Tasks and Deliverables: MnDOT anticipates the following major tasks and specific deliverables in connection with the scope of services described in this request for proposal.

1. Task: Develop marketing and recruitment strategies that attract women, minorities and individuals from emerging communities to the highway heavy industry.

Deliverables: 1.1 Develop an effective communication and marketing strategy to market highway

heavy construction training to the target population. 1.2 Develop a communication and marketing plan that specifically targets women,

minorities and other disadvantaged individuals including emerging communities. For example, community media, community partners, church or synagogue, social media, and collateral materials. Share communication and marketing plan with MnDOT project manager, for approval.

1.3 Conduct in-person outreach and recruitment to the target communities. Provide information on place of outreach to MnDOT project manager.

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2. Task: Perform screening and recruitment of target population to ensure eligible participants have the interest and necessary foundation skills and entrance criteria needed to be successful in the highway heavy construction training before enrollment.

Deliverables: 2.1 Conduct screening of applicants in accordance with the criteria provided by

MnDOT based on industry standards. Screening criteria will differ depending on the Training Program the applicants are being recruited for. This screening will involve performing an in-depth assessment through interviews and questionnaires to select candidates with the highest potential for completion of the program, employment and/or retention in the trade.

2.2 The following list are minimum requirements: o Applicant must be a minimum of eighteen (18) years of age. o Applicant must have a valid driver’s license, or ability to obtain one prior to

enrollment. o Applicant must meet basic minimum industry requirements for employment

such as math competency and reading for information. MnDOT uses the ACT National Career Readiness Certificate (NCRC) requirements, and MnDOT applied a passing test level of 3 for the math test and 4 in the reading for information test is required.

o Applicant must present a driving record for the last five years, and must pass the DOT physical and a drug test (this requirement is only for CDL training).

o Applicant must be able to complete all application forms and provide evidence of legal employment status in the United States.

o Applicant must possess a high school diploma or GED certification 2.3 Maintain case files for individual participants containing screening

documentation, selection criteria, case notes, and all pertinent information.

3. Task: Provide highway heavy construction orientation to prospective recruits and their support system to ensure they know the industry expectations, work conditions, and seasonal nature.

Deliverables:

3.1 After applicants are screened, conduct a highway heavy construction orientation for those who met the screening criteria and their support system.

3.2 After orientation, meet with prospective recruits to affirm their commitment to the training.

3.3 Provide a list of individuals who are being referred to training to MnDOT project manager.

4. Task: Provide job success skills training to help participant adapt to the workplace culture.

Deliverables:

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4.1 Job success skills class must include speakers who are highway heavy construction employers and individuals who are employed in the highway heavy industry.

4.2 Topics must include but are not limited to communication skills, team work, adaptability, problem solving, nutrition, highway heavy work environment and conditions, and financial literacy.

4.3 The class syllabus must be approved by MnDOT project manager.

5. Task: Provide ongoing case management services for program participants from start to finish of training and for up to two years after training.

Deliverables:

5.1 Assist 100% of the participants to resolve issues encountered during training and provide necessary assistance that ensures participants’ retention in the program through graduation.

5.2 Provide post-graduation follow-up support to all graduates including on-going counseling, advocacy, job placement, and case management for up to 2 years.

5.3 Address the factors that presents a barrier to retention of employment for all graduates.

5.4 Document all services provided during training and post-graduation follow-up for each program participants.

6. Task: Provide support services funds to program participants to alleviate barriers confronted during training and in employment.

Deliverables:

6.1 Establish a procedure for how support services funds will be dispensed in normal circumstances and in emergency circumstances. Share the policy with MnDOT project manager, for approval.

6.2 Administer the support service funds to address employment/retention issues such as, tools, safety equipment, gas cards/vouchers, and daycare.

6.3 Ensure that participants receive tools and safety equipment necessary for training and work.

6.4 Maintain complete and accurate documentation including receipts, specific use of the funds, name of participant receiving funds, and other necessary documents and must be submitted to MnDOT project manager.

7. Task: Provide employment placement to graduates once training is completed.

Deliverables:

7.1 Engage employers during recruitment and orientation of prospective recruits.

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7.2 Provide opportunities for trainees to meet with potential employers during training phases.

7.3 Provide mock interview sessions for trainees with potential employers. 7.4 Assist trainees in finding employment. 7.5 Report placement and placement hours to MnDOT project manager.

8. Task: Provide progress report by accurately completing all necessary forms on a quarterly basis and upon program completion.

Deliverables:

8.1 Provide enrollment information for selected participants to the program that includes participants’ name, address, phone number and email. (format will be provided by MnDOT)

8.2 Provide quarterly progress reports to include breakdown of number of applicants screened and turned down, ethnicity, number placed, and place of employment, wages received, hours spent on placing applicants and activities identified. (format will be provided by MnDOT)

8.3 Provide a final program report that includes an accumulation report of all quarterly reports and a summary of project activities, outcomes, and related results of the project. This report should thoroughly document the best practices and lessons learned. (format will be provided by MnDOT)

8.4 Provide a written course evaluation by each graduate once the individual completes the program.

9. Task: Submit program invoices with back up documentation monthly to MnDOT.

Deliverables:

9.1 Submit a monthly program invoice to MnDOT by the 15th of the following month. For example: January invoice due on February 15th.

9.2 For each invoice submitted, back-up documentation for each line item(s) requesting payment.

Responders are encouraged to propose additional tasks 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/rfps.html under the News section. 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 verbatim as submitted.

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Questions regarding this RFP must be received by MnDOT no later than 2:00 p.m. Central Standard/Daylight Time on April 19, 2018. MnDOT anticipates posting answers to such questions no later than 2:00 p.m. Central Standard/Daylight Time on April 20, 2018. 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. Responder’s company name, business address, the contact person’s name, telephone number, fax number and email address (as available).

2. Project Description 3. Work plan and Budget: A detailed work plan that will identify the major tasks to be accomplished

and be used as a scheduling and management tool, as well as the basis for invoicing. The work plan must present the responder’s approach, task breakdown, deliverable due dates and personnel working on the project and the hours assigned to each individual to reach the project results.

4. A statement of the objectives, goals and tasks to show or demonstrate the responder's view of the nature of the Contract.

5. A description of the deliverables to be provided by the responder. 6. An outline of the responder’s background and experience with examples of similar work done

and a list of personnel who will conduct the project, detailing their training and work experience. No change in personnel assigned to the project will be permitted without the written approval of MnDOT’s Project Manager.

7. Identification of the level of MnDOT’s participation in the Contract, as well as any other services to be provided by MnDOT and details of cost allowances for this participation.

8. 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 font. Excess pages will not be reviewed and evaluated, regardless of content. Applications that do not conform to requirements will not be reviewed. 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. Proposal Submittal All proposals must be sent to:

Denise Pierre, Contract Administrator Minnesota Department of Transportation 395 John Ireland Boulevard, Mail Stop 170 St Paul, MN 55155

All responses must be received no later 2:00 p.m. Central Standard/Daylight Time on May 4, 2018. Late responses will not be considered. Please note that MnDOT Offices have implemented new security

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measures. These new procedures do not allow non-MnDOT employees to have access to the elevators or the stairs. You should plan enough time and follow these instructions for drop-off: • Enter through the Rice Street side of the Central Office building (1st Floor). • Once you enter through the doors, you should walk straight ahead to the Information Desk. • Proposals are accepted at the Information Desk only. The receptionist will call the Contract

Administrator to come down and to time stamp the proposal. Submit 6 hard copies of the proposal, along with one copy of the entire proposal in electronic format (flash drive). Proposals are to be submitted in a sealed mailing envelope or package, clearly marked “Proposal” on the outside. An authorized member of the firm must sign at least one copy of the proposal in ink. MnDOT has estimated that the cost of this project should not exceed $267,520.00 Proposal Evaluation Representatives of MnDOT 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 to create the final evaluation recommendation. The factors and weighting on which proposals will be judged are broken down in the following table:

Rating Factor Weighting Percentage Project Understanding 10% Responder background and experience (including staff experience) 20% Work Plan and detail deliverables 35% Cost Detail 35% Total 100%

MnDOT anticipates that the evaluation and selection will be completed by May 31, 2018.

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 Contract 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 for purposes of evaluation for potential Contract award. The submission of inaccurate or misleading information may be grounds for disqualification from Contract award and may subject the responder to suspension or debarment proceedings, as well as other remedies available to MnDOT, by law. Disposition of Responses All materials submitted in response to this RFP will become property of MnDOT and will become public record, in accordance with Minnesota Statutes §13.591, after the evaluation process is completed. Pursuant to the Statute, completion of the evaluation process occurs when MnDOT has completed negotiating the Contract with the successful responder. If the responder submits information in response to this RFP that it believes to be trade secret materials, as defined by the Minnesota Government Data

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Practices Act, Minnesota Statutes §13.37, the responder must: Clearly mark all trade secret materials in its response at the time the response is submitted, Include a statement with its response justifying the trade secret designation for each item, and Defend any action seeking release of the materials it believes to be trade secret, and indemnify and

hold harmless the State, its agents and employees, from any judgments or damages awarded against the State in favor of the party requesting the materials, and any and all costs connected with that defense. This indemnification survives the State’s award of a contract. In submitting a response to this RFP, the responder agrees that this indemnification survives as long as the trade secret materials are in possession of the State. The State is required to keep all the basic documents related to its contracts, including responses to RFPs for a minimum of seven years.

MnDOT will not consider the prices submitted by the responder to be proprietary or trade secret materials. Affidavit of Noncollusion Responders must complete the attached “Affidavit of Noncollusion” 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 mane of the entity, the relationship and a discussion of the conflict. Responders must complete the attached “Conflict of Interest Checklist and Disclosure 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 Contract 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 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 annual income 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 total annual revenue of $50,000 or more and less than $750,000 should submit their most recent IRS Form 990.

• Grant applicants with total annual revenue of over $750,000 should submit their most recent

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

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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.

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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:

MnDOT Contract No. [insert number]

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

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 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 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.

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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:

[Please Note: with the Logo requirement, the Header in this document is split. You will have to enter your Contract No. on the first AND second page of your document. Please enter carefully, and do not change the header settings.]



STATE OF MINNESOTA GRANT AGREEMENT

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 § [insert the statutory authority to enter into this grant. You must have specific statutory

authority] 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

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.

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.

Period of Performance. The period of performance is from [date] through [date]. 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.

Exhibits. [e.g., Exhibit(s) __ is/are attached and incorporated into this agreement. If none, delete section 1.5]

2 Grantee’s Duties

Grantee, who is not a state employee, will: [Provide sufficient detail in the duties so the state and grantee are clear on expectations, results and outcomes. This can be done by: 1) listing the grantee’s duties, deliverables, and completion dates with precise detail here; or 2) use an exhibit/attachment that contains the precise duties and deliverables. You must indicate that the exhibit is incorporated into the agreement, such as “perform the duties specified in Exhibit A, which is attached and incorporated into this grant agreement.”]

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. Grantee will comply with all required grants management policies and procedures set forth through Minn.Stat.§16B.97, Subd. 4 (a) (1).

Grantee will submit written progress reports [at least annually, describe due dates, format, and content requirements of report(s)]. 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.

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: [insert

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




MnDOT Contract #: [insert number]


asset reporting requirements. This should assure compliance with any applicable statutory provisions, ensure assets are used for a public purpose and not sold or converted to a private purpose, and recapture funds when a grantee disposes of an asset before the end of its normal useful life]. 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.

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.

3 Time

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

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 [Explain how the grantee will be paid. Examples: “an hourly

rate of $_____ up to a maximum of _______ hours, not to exceed $___________;” or “a lump sum of $_________.” If you are using a breakdown of costs as an attachment use the following, “according to the breakdown of costs contained in Exhibit X, which is attached and incorporated into this grant agreement. Be sure to add any grantee matching requirements. Any advance payment requires OFM approval of a written justification prior to encumbrance. All advance payments on grants over $50,000 must be reconciled within 12 months of issuance or within 60 days of the end of the grand period.]

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 [insert exhibit letter], 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.

Payment 4.2.1 Invoices. Grantee will submit invoices for payment by [describe method]. Exhibit [insert exhibit

letter], 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: [EXAMPLE: “Upon completion of the services,” or if there are specific deliverables, list how much will be



paid for each deliverable. The state does not pay merely for the passage of time.] 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. [OR PROVIDE SCHEDULE]

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.

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 The State's Authorized Representative is: [name, title, address, telephone number, email], or his/her successor. State’s Authorized Representative 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.

Grantee’s Authorized Representative is: [name, title, address, telephone number, 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

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.

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.

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.

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 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

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



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.

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 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 Publicity. Any publicity regarding the subject matter of this agreement must identify the State as the

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

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



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.

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 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.

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.

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 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.

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

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



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 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, 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. 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.

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.

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.

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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: DEPARTMENT OF TRANSPORTATION OFFICE OF FINANCIAL MANAGEMENT – GRANT UNIT By: Date: DEPARTMENT OF TRANSPORTATION CONTRACT MANAGEMENT By: Date: