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Connecticut State FI Ferry
STATE OF CONNECTICUT DEPARTMENT OF TRANSPORTATION 2800 BERLIN TURNPIKE, P.O. BOX 317546 NEWINGTON, CONNECTICUT 06131-7546 Phone: (860) 594-3272 September 16, 2003 Mh Joshua Y. Horton Town Supervisor Town of SOuthold ToWn Hall, 53095 Route 25 P.O. Box '1179 Southold', New York 11971-0959 Dear Mr. Horton: Subject: Project No. 094-212 F.A.P. No. FBD-1094 (103) Fishers Island Ferry District Terminal Expansion - New London Enclosed is an original copy of Agreement No. 04.04-01 (01) for your information and files. Should you have any questions, please contact the Project Manager, Mr. John Waleszczyk, at (860) 594-3300. Enclosure Very truly yours, Manager of State Design Bureau of Engineering and Highway Qperations ~iowUPERVlSORS OFEICE O N OF $OL~L'~ nity Employer r Recovered Psoer ~ SUPERVISORS~ IlOWN OF SOUTHOLD Agreement No. 4.04-01(01) AGREEMENT BETWEEN THE STATE O~; CONNECTICUT, THE TOWN OF SOUTHOLD, NEW YORK THE FISHERS ISLAND FERRY DISTRICT FOR THE CONSTRUCTION, INSPEC~TION AND MAINTENANCE REQUIRED IN CONJI3NCTION WITH THE NEW LONDON FERRY TERMINAL EXPANSION FOR THE FISHERS ISLAND FERRY DISTRICT UTII JZ~G FIDDERAL FUNDS FROM THE FERRY BOAT DISCRE~ONARY PROGRAM State Project No. 94-212 Federal Aid Project No. FBD-1094(103) .THIS AGREEMENT, concluded at Newington, Cmmecficut, this Cq7v2- day of 2003, by and between the State ot5 Connecticut, Department of Transportation, James F. Byrfies, Jr., Commissioner, acting herein by Arthur W. Gruhn., P.E., Chief Engineer, Bureau of Engineering and Highway Operations, duly authorized, hereinafter ~referred to as the State;~{he Town of Southold, New York, Town Halt, 53095 Route 25, Southold, New York 11971-0959, acting herein by Joshua Y. Horton, Town Supervisor, duly authorized, hereinafter referred to as the Town; and the Fishers _/sland Ferry District. P.O. Box Drawer H, Fishers Island, New York 06390, act'mg herein by Reynolds duPont Jr., Chairman, hereunto duly authorized, hereinafter referred to as the Ferry District. WITNESSETH, THAT, WHEREAS, the reqmred contract plans, specifications and estimates have been prepared for the New London Perry Terminal expansion for the Fishers Island Ferry District, and WHEREAS, said ferry terminal expansion includes, but is not limited to, installation of steel sheet pile bulkhead, back filhng, and grading, construction of ferry slips (which include the installation of dolphins and hinged vehicle access ramps), construction of a new paved driving surface (including drainage, paving, markings, lights, entrance gates, perimeter railings, interior guard rail and utilities [including water, electrical and telephone]), and the construction of a 2-story; 5400 square foot term'mal building, herein identified as State Project No. 94-212 and Federal-Aid Project No. FBD-1094(103), hereinafter referred to as the Project, and WHEREAS, the Ferry District shall be responsible for the construction phase of the Project, which includes, but is not limited to, administration, inspection and construction engineering services m conjunction therewith, and WHEREAS, the Fishers Island Ferry District is a municipal d/strict of the Town of Southold, and WHEREAS, the Transportation Equity Act for the 21st Century of i998 provides funding FiARTl-I028565-9 08/11/03 12:19 PM authorization "for Federal Aid highways, highway safety programs, and transit programs, and for other purposes", and WHEREAS, the ProJect is eligible for funding under the Ferry Boat Discretionary Program (FBD), as defined in Title I, Section 1207 of the Act, and WHEREAS, Section 13a-165 of the General Statutes of Connecticut, as revised, provides that the Commissioner of Transportation is anthorized "(b) to apply for and to obtain moneys, grants or other benefns from the United States or any agency thereof in connection with roads, bridges or highways, and (c) to approve all programs, conclude all agreemepts, accept all deeds, make all claims for payment, certify all matters and do any and all other acts and things necossaw or desirable to meet the requirements of and obtain such moneys, grants or benefits from the United Statesor other agency thereof'., and WHEREAS, pursuant to Section 13b-4(8) of the General Statutes of Counecticut, as revised, the Commissioner possesses the power, duty and responsibility "to cooperate with federal, state, interstate and local agencies, organizations and persons perfonuing activities relating to trausportafion," and WHEREAS, the Ferry District has requested that federal funding be obligated so that Project- related construction activities can be authorized. NOW, THEREFORE, KNOW YE THAT: THE PARTIES HERETO AGREE AS FOLLOWS: THE FERRY DISTRICT SHALL: (1) Designate an individual to act as liaison with the State to provide for the proper interchange of information during the construction phase of the Project and all activities related thereto. (2) Acknowledge and agree to comply with "Agreements with Goals, Special Provisions, Disadvantaged Business Enterprises as Subcontractors and Material Suppliers or Manufacturers for Federal Funded Projects," revised October 16, 2000, insofar as inspection work/s concerned, a copy of which is attached hereto and made part of this Agreement. (3) Acknowledge and agree to comply with "Special Provisions, Disadvantaged Business Enterprises as Subcontractors and Material Suppliers or Manufacturers for Federal Funded Projects," revised October 23, 2000, insofar as construction work is concerned, a copy of wkich shall be made a part of the consu-action contract documents. (4) Upon written approvals by the State, separate from this Agreement, advertise, recmve bids, award contracts, make payments to contractors, and administer construction activities associated with the Project. (5) Obtain bids for all Project items to be supplied or constructed by the Ferry District's contractors utilizing a bidding procedure acceptable to the State for a Federal Aid project, Th~eafier, analyze all bids, submit a bid summary and request the State's approval to award the Project, (6) Assure that the following pre-award requirements are met by the apparent lowest responsible qualified bidder: (a) Disadvantaged Business Enterprises documentation is in order; (b) A schedule of progress or time chart for the Project has been developed; and (c) A complete statement of the origin and manufacturer of any manufactured materials to be used in the construction phase of the Project has been furnished. In conjunction therewith, the "Anticipated Source of Material - CON 83" Form will be provided bythe State. (7) Upon verification, by the State, that ali affirmative action and pre-award requirements (indicated in Articte (6) herein) have been comphed with, award.the contract to the lowest responsible qualified bidder. (8) Make no change to the constmction contract.or to services to be provided thereunder, Milch wilt increase the cost of the Project or alter the termini, character or scope of work without prior State approval. In addition, the Ferry District shall not grant any contract time extensions without advance State approval. (9). Notify the State as to the commencemant of the Project's construction activities via the attached CON 82 Form. Failure to properly file this form with the State shall jeopardize the Federalproporfionate share of the funding for this Project. (10) Provide administration, inspection, field density testing and construction engineering services during the construction phase of the Project. The construction engineering services may include, but not be limited to, consultation, advice, wsits to the work site and such design sermces as may be required. The Ferry District is responsible for one hundred percen~ (100%) of the cost of such construction engineering services. The Ferry District shall also submit to the State for review and approval, the name(s) and qualifications of the individual(s) responsible for the administration and inspection of the Project prior to advertising the Project. (! 1) Deposit with the State, upon demand, the sum of Twenty Thousand Dollars ($20,000), which sum represents the Ferry District's share of the estimated cost of State-provided services, as shown in Article (45) of this Agreement. (12) Perform the functions and operations described in the "Department of Transportation, Bureau of Enghueering and Highway Operations, Construction Manual, Office of Construction, 1998"; "Information Pamphlet for Consulting Engineers Performing Construction Engineering and Inspection, January 2000"; "Municipality Manual-Guidelines for Contracts Administered by the Municipality, 2003"; "Pamphlet for Monitoring Performance and Payment Requests for Consultants, June 1994"; "Schedule of Minimum Requirements for Sampling Materials for Test, September 1999"; "Public Service Facility Policy and Procedures for Highways in Connecticut, June 1, 1987"; "A Policy on the Accommodations of Utilities on Highway Rights-of-Way, April 1, 197T'; "Title 23, Code Of Federal Regulations, Part 645, Subpart A and Subpart B, April 1, 1996"; and all revisions and supplements thereto. The performance of these functions and operations shall be in accordance with the policies and procedures of the State set forth in the documents enumerated In paragraph (12)(c) herein, which may be mended by the State under the terms of this Agreement. Said functions and operations also include, but are not limited to: Review for conformance of all shop plans and construction drawings received from the construetion contractor; Co) Maintenance and protection of all construction records at the fielc[ office for review, use and approval at all times. These records shall be retained by the Ferry District for a period of seven (7) years after issuance of the Project's Certification of Acceptance or three (3) years after the final federal payment has been made, whichever is later, providing there is no pending litigation; and All other operations which become necessary to properly inspect the work of the construction contractor to obta/n compliance with the"State of Connecticut, Department of Transportation, Standard Specifications for Roads, Bridges~ and Incidental Construct/on-Form 814A", Supplemental Specifications, as revised, Special Provisions and 511 Other contract docmnents and memorandums. The documents named or descn~bed in this Article are hereby/nco~pora~ed herein by reference thereto and, in all applicable respects, shall govern the conrtuct of the parties to th/s Agreement and any parties performing work on the Project. Where any of these documents has been written to govern contractual relations between the State and a contractor, they shall be read and applied as though written to govern the relations between the State and the Ferry District. (13) Cooperate fully with the State and permit the State and/or the Federal Highway Admin/stration to review, at any time, all work performed under the terms of this Agreement (14) Agree that if at any time during the construct/on phase of the Project, the State determines that the administration of the Project by the Ferry District is in violation of the terms of this Agreement, the State may take over or supplement said administration of the Project. The additional costs associated with this action will be considered part of the Project costs and will be fimded in accordance with the terms of this Agreement. Prior to any such action, the State shall give the Ferry District notice of any such breach and give the Ferry District thirty (30) days to cure such default, unless such default poses imminent harm to persons or property. (15) Obtain for the contractor(s), the right to enter into, pass over, and utilize the right-of-way owned by the Ferry District, as may be required for the construction phase of the Project. (16) Document expenses by recording ali contractor's costs and all Ferry District costs including payroll hours on timesheets, material purchases (including bills), and equipment charges. Equipment rates will be based on a Ferry District audit, if available, acceptable to the State. In the absence of acceptable Ferry District rates, the State's rates for the year of use will be used. In the absence of acceptable State rates, the rental rate shall be established in accordance with Section 1.09.04(d) of the "State of Connecticut, Department of Transportation, Standard Specifications for Roads, Bridges, and incidental Construction- Form 814A," and Supplemental Specifications, as revised. (17) Pay one hundred percent (100%) of ali construction costs which are the result of errors and/or omissions, solely of the Ferry District or its consultant, in the contract plans, specifications and est'nnates 4 or due to a breach of this Agreement. The State shall deduct ficom the reimburscunent mount any expenses it has incurred as a result of any costs incurred under this Article. (18) Pay for all construction-related costs, without reimbursement, in the event the Project is canceled by the Feny District without "good cause." However, the Ferry District may request cancellation of the Project, and if determined by the State and the Federal Highway Adm/nistration to be justifiable and with "good cause", Federal participation in expenditures will be provided up to the pementage of acceptable work completed to the approved date of cancellation~ Shifts in Feny District priorities or lack o£Ferry D/strict funding, are considered to be with_in the control of the Ferry District and will not be considered as "good cause". (!9) PaY for advertising, construction contract itoms, administration, inspection and construction ~ecgineering .services, including assistants and/or consultants or comractors, r~der~g professional, hnical, engin~g: or other assistance and advice during the construction phase of the P~oject. Only expenditures for construction contract itcuns, which are approved by the State, will be reimbursed under the provisi:ons of Articles (28), (44) and (45) ofthis Agrec~ne~nt. (20) Assume all responsibility and liability for: (a) The proper maintenance and operation of the Ferry District-owned facihties constructed as part of this Project, upon completion of the Project, to the satisfaction of the Sune and the Federal Highway Administration. Co) The payment for electrical energy from such time as n is required for ferry ramps and ilium/nation installed on ttds Project. (c) Any and all claims by the construction contractor(s). (21 ) Notify Ensuring that all improvements described herein have been made in accordance with all applicable Connecticut General Statutes, as revised, and all federal regulations and guidelines. the State, in writing, of the completion of construction activities for the Project. (22) Pursue additional funding for the Project described herein as well as a future project at the New London Ferry Terminal fi'om State and Federal sources including the Department of Housing and Urban Development, the State of New York and the Ferry Boat Discretionary Program (under TEA-21). The parties hereto acknowledge and agree that the receipt of any such funds shall not affect the Federal funding granted the Ferry District under this Agreement. (23) Agree that the State, on written notice, may~ in its sole discretion, suspend, postpone, or terminate this Agreement, and such action shall in no event be deemed a breach of contract. Any such action may be taken by the State for its own convenience. Any such suspension, postponement or termination shall be effected by delivery to the Ferry District of a written notice specifying the extent to which performance of work under the Agreement is to be suspended, postponed or terminated, and the date upon which such action shall be effective. If the State terminates the Agreement, the Stat6 Shall reimburse the Ferry'District at the contract unit prices for the actual number of units or items of work completed prior to the effective date of termination, or as may be agreed upon by the parties for items of work partially completed. No claim for loss of overhead or anticipated profits shall be allowed. When the volume of work completed, as of the termination date, is not sufficient to reimburse the Ferry District under Contract unit prices for its related expenses, the State may consider reimbursing the Ferry District for such expenses. Materials obtained by the Ferry District or its contractor for the Project, that have been inspected, tested as required, and accepted by the State, and that have not been incorporated into the .physicaD?mject, shall, at the option of the Ferry District, be purchased fi:om the contractor ar at, al cost as shown by receipted b/lis, and the State shall reimburse tho Ferry District 'for same. To this cost shall be added all actual costs for .delivery at such points of delivery as may.be designated by the State, as shown by actual cost records. Termination of the Agreement shall not relieve the Ferry District or its contractor of its responsibil/ties for the completed work nor shall it relieve the contractor, its surety or the Ferry District of its obligations concerning any claims arising out of the work performed or any obligations existing under bonds or msurance required by the Connecticut Gc~neral Statutes or by this or any other agreement with the State or the Fen'y District. (24) Comply with the provisions contained 'in Exhibit A entitled "Administrative and Statutory Requirements", dated October 27, 2000, a copy of which is attached hereto and hereby made part of this Agreement. THE TOWN OF SOUTItOLD SHALL: (25) Execute reimbursement requirement requests prepared by the Ferry District and submit such requests to the State. (26) Maintain such reimbursement funds in an account maintained for the benefit of the Ferry District. (27) Comply with the provisions contained in Exhibit A entitled "Administrative and Statutory Requirements", dated October 27, 2000, a copy of which is'attached hereto and hereby made part of this Agreement. THE STATE SHALL: (28) Use apportiouments made available m the State under the provisions of the Federal Highway Administration Ferry Boat Discretionary Program m reimburse the Ferry District for participat'mg Project costs. Eighty percent (80%) of the certified amount expended by the Ferry District, not m exceed the limits set forth in this Agreement under Article (45), and approved by the State as participating Project costs under the terms of this Agreement will be reimbursed by the State (29) Provide services including, but not limited m, material testing, periodic construction inspection, and liaison with other governmental agencies to ensure satisfactory adherence to State and Federal reqfftrements. (30) Notify the Ferry District, at regular intervals, of costs the State has incurred in conjunction with this Project in order for the Ferry District te determine the approximate portion of the federal funding designated for this Project the Ferry District will ultimately receive from the State for reimbursable costs. The Ferry District is aware that the total re'nubursement that it shall receive from the State will not be known until the post-construction audit is performed (as stated in Article (34),below). (31) Reserve the right to inspect all construction activities for the Project. THE STATE AND FERRY DISTRICT MUTUALLY AGREE: (32) That if the Ferry District fails to fulfill its responsibility in regard to Article (20) of this Agreement, snch failure will disqualify the Fen:y District from Federal A/d participation on future projects for which the Fen3r District has maintenance responsibil/ty. (33) That the Fen3r District shall be responsible for one hundred percent (100%) of the total cost of all Federal Aid non-reimbursable construction contract item(s). (34) That the final payment by the Ferry District to the State or by the State to the Ferry District shall be adjusted to reflect savings or overages for "incidental" construction costs incurred by the State as determined by a post-construction audit. The anticipated amount of "incidentals" to construction costs are set forth in Items B and C of Article (45). The Ferry District is also required to perform an audit in accordance with Article (12) ofExtfibit A. (35) That before completion of the construction phase of the Project, the Ferry District, in concert with the State, shall perform semi-final and final inspections of the Project. The State will be notified of such inspections, in writing, by the Ferry District. (36) That the State is hereby authorized to provide written notice to the Federal Highway Administration of the acceptance of the Project by both the Ferry District and the State. It is further understood;that this acceptance shall not be given prior to the final inspection of the Project. (37) That with respect to the operations the Ferry District performs or engages a prime contractor to perform under the terms of this Agreement, and also those performed for the Ferry District by subcontractor(s) of the prime contractor, the Ferry District will be required to carry, and shall ensure that its prime contractor and any subcontractor(s) performing work in conjunction with the Project shall carry, for the duration of this Agreement and any supplements thereto, with the State being named as an additional insured party for paragraphs (a) and (b) below, the following mimmum 1/abil/ty insurance coverage at no direct cost to the State. In the event the Ferry District secures excess/umbrella liability insurance to meet the nfrmmum requirements specified in paragraphs (a) and/or (b) below, the State shall be named as an additional insured. Said coverage to be provided by an insurance company or companies satisfactory to the State, except that, with respect to work performed directly and exclusively by the Ferry District, the Ferry District may request the State to accept coverage provided under a Ferry District self insurance program. Each insurance policy shall state that the insurance company shall agree to investigate and defend the insured against all claims for damages, even if groundless. (a) The Ferry District shall carry Commercial General Liability Insurance, including Contractual Liability Insurance providing for a total limit of One Million Dollars ($1,000,000) for all damages arising out of bodily injuries to or death of all persons in any one accident or occurrence, and for all damages arising out of injury to or destruction of property, in any one accident or occurrence, and subject to that limit per accident, a total (or aggregate) limit of Two Million Dollars ($2,000,000) for all damages arising out of bodily injuries to or death of all persons in ali accidemts or occnrrences and out of injury to or destruction o£property during the policy period, and The operation of all motor vehicles, including those h/red or borrowed, used in connection with this Agreement shall be covered by Automobile Liability Insurance in the following amounts: Insurance providing for a total limit of One Million Dollars ($1,000,000), for all damages arising out of bodity mjmies to or death of all persons in any one accident or occurrence and for all damages arming out of injury to or destruction of property in anyone accident or occurrence. In.cases where an insurance policy shows an aggregate, limit as part of the' automobile liability coverage, the aggregate lim/t must be at least Two Mill/on Dollars ~$2,000,000). (38) That when the Agreement requires work on, over or under the right of way of any railroad company, the Ferry District shall carry, with respect to the operations that it or Rs subcontractor(s) perform(s) under'the Agreement, Railroad Protective Liability Insurance for and on behalf of the railroad company as named insured, and the State named as additional insured, providing for coverage limits of (1) not less than Two Million Dollars ($2,000,000) for all damages arising out of any one ,accident or occurrence, in connection with bodily injury or death and/or injury to or destruction of property;, and (2) subject to this limit per accident, a total (or aggregate) l/mit of Six Million Dollars ($6,000,000) for all injuries ro persons or property during the policy period. If such Insurance is required, the Ferry District shall obtain and submit the minimum coverage indicated above to the State prior to the commencement of rail-related work and/or activities and shall maintain coverage until the work and/or activities are accepted by the State. THE FERRY DISTRICT AND THE TOWN MUTUALLY AGREE: (39) To comply with the Connecticut Required Contract/Agreement Provisions entitled "Specific Equal Employment Opportunity Responsibilities," dated March 6, 1998, a copy of which is attached hereto and made a part hereof. (40) Environmental Laws (a) That "Environmental Laws" shall mean and include any federal, state or local statute, law, ordinance, code, rule, regUlation, order, or decree regUlating or relating to the protection of human health or the environment, or imposing liability or standards of conduct concerning any hazardous, toxic, or waste substance, elornent, compound, mixture or material, as now or at any time hereafter in effect, including, without [imitation, the Federal Comprehensive Environmental Response, Compensation and Liability Act, as amended, 42 U.S.C. section 9601 et seq., the Federal Oil Pollution Act .of 1990, 33 U.S.C. section 2701, et seq., the Federal Toxic Substances Control Act, 15 U.S.C. section 2601 et seq., the Federal Resource Conservation and Recovery Act, as amended, 42 U.S.C. section 6901 et seq., the Federal Hazardous Material Transportation Act, 49 U.S.C. section 1801 et seq., the Federal Clean Air Act, 42 U.S.C. section 7401 et seq,, the Federal Water Pollution Control Act, 33 U.S.C. section 1251 et seq., the River and Harbors Acl of 1899, 33 U.S.C. section 401 et seq., and all rules and regulations of the United States Environmental Protection Agency, or any other state, local or federal agency or entity having jurisdiction over environmental or health and safety matters, as such may have been amended. "Hazardous Substances" shall mean any and all materials, chemicals, or other substances that are hazardous or toxic and regulated or controlled pursuant to any of the Environmental Laws or otherwise regulated or controlled pursuant to any of the Environmental Laws. The Ferry District and the Town mutually agree to comply- strictly and in all respects with the requirements of the Environmental Laws in undertaking the safd ferry terminal expansion. (d) In addition m Item (10) of Exhibit A attached hereto, the Ferry District and the Town shall jointly and severally, protect, indemnify, defend, and hold harmless the State and any of its officers, employees and agents and their respective heirs, legal representatives, successors and assigns, fi:om and against any and all loss, damage, costs, charge, lien, debt, fine, penalty, injunctive reliefi claim, demand, expense, suit, order, judgxnent, adjudication, liability, or injury to person, property or natural resources, including attorneys' fees and consultants' fees (any of the foregoing being referred to in this Agreement as a "Claim") arising out of, attributable to, which may accrue out of, or which may result from (i) any violation or alleged violation of the Environmental Laws m connection with the said ferry terminal expansion by any person or entity or other source whether related or unrelated to the Ferry District or the Town, or (ii) the disposal or alleged disposal of Hazardous Substances in connection with the said ferry terminal expansion (whether intentional or mfintentional, direct or indirect, foreseeable or unforeseeable) by any person or entity or other source, whether related or unrelated to the Ferry District or the Town. The foregoing indemnification shall not apply to the extent Claims arise from the acts or omissions of the State or the Federal Highway Administration. (41) That all of the Ferry District's and Town's obligations undor Article 40 shall survive this Agreement or any other agreement or action, including, without limitation, any consent decree, or order, between the Ferry District, the Town and the govemmem of the United States or any department or agency thereof, the State and/or the Mun/cipality. THE STATE~ FERRY DISTRICT AND TOWN MUTUALLY AGREE: (42) This Agreement shall he governed, interpreted and construed under and m accordance with the laws of the State of Connecticut and without regard to its conflict of laws principles. This Contract shall be deemed to have been made in Hartford, Connecticut. The Ferry District and the Town irrevocably consents with respect to any claims or remedies at law or in equity, arising out of or in connection with this Agreement to the jurisdiction of the Connecticut Superior Court (except as othmwvise provided by law or herein) and with respect to any claim between the Parties, to venue in Judicial District of Hartford-New Britain at Hartford or the United States Federal Court, District of Connecticut, and irrevocably waive any objections it may have to such jurisdiction on the grounds of lack of personal jurisdiction of such court or the laying of venue of such court or on the basis of forum non convemens or otherwise. Nothing herein shall be construed to waive any of the State's immunities. The Ferry District and the Town each, individually and severally, agree to appoint agents in the State of Connecticut to receive service of process. In the event that either th6 Ferry District or the Town fails ro appoint said agent the Secretary of the State of Connecticut is hereby appointed as its agent for service of process for any action arising out or as a msuR of this Contract, such appoinuuent to be in effect throughout the life of this Contract including any supplements hereto and ail renewals thereof, if any, and six (6) years thereafter except as otherwise provided by law. (43) That any official notice from one such party to the other such party, in order for such notice to be binding thereon, shall: (a) Be in writing addressed to: 1) When the State is to receive such notice - Commissioner of Transportation Connecticut Department of Transportation 2800 Berlin Turnpike P.O. Box 317546 Newington, Connecticut 06131-7546; 2) When the Ferry District is to receive such notice - Reynolds duPont, Jr. Chairman Fishers Island Ferry District P.O Box Drawer H Fishers Island, New York 06390; 3) When the Town of Southold is to receive such notice - Joshua Y. Horton Town Supervisor Town of Southold Town Hall, 53095 Route 25 P.O. Box 1179 Southold, New York 11971-0959; Co) Be delivered in person or be mailed bythe United States Postal Service -"Certified Mail" to the address recited herein as being the address of the party to receive such notice; and 10 (c) Contain complete and accnrate information in sufticient detail to properly and adequately identify and describe the subject matter thereof. The term "official notice", as used herein, shall be construed to include, but not be limited to, any request, demand, authorization, dixection, waiver, and/or consent of the party~ies) as welt as any document(s) prov/ded, permitted, or requ/red for the ma!dug or ratification of any change, revision, addition, to, or deletion fi:om, the document, contract, or agreement in which th/s "official notice" specification is contained. Further, it is understood and agreed that nothing herein above contained shall preclude the parties hereto fi:om subsequently agreeing, in writing, to designate alternate persons (by name, title, and aff~atioff)~o which such notice[s) is (are) to be ad.dressed; alternate means of conveying such n~otice(s) it) the. particular parry (/es); and/or alta'hate locations to which the delivery of such notice(s) is (are) to be made, provided such subsequent agreement(s) is (are) concluded pursuant to. the adhereuce to.this specification. (44) That the State shall reimburse the Town, who shall then reimburse the Ferry District for approved construction contract items in accordance w/th the mounts depicted in Articles (28) and (45) of this Agreement. Reimbursement will be made in the following mauner: (a) The Ferry District. on a monthly basis, during active construction periods, shall submit to the ToWn, who shall then submit to the State on an appropriate State voucher form (CLA-3) with supporting data, the cost of services rendered and expenses incurred for the billing period. (b) Upon review and approval of the voucher by the State, payment of the reimbursement portion of said costs and expenses shall be made to the Town, who shall then submit such reimbursement to the Ferry District. (45) That the total est'nuated cost for the construction phase of the Prqiect is Six Million Three Hundred Fifty-three Thousand One Hundred Twenty-five Dollars ($6,353,125) which includes anticipated expenditures of Six Million Two Hundred Fifty-three Thousand One Hundred Twenty-five Dollars ($6,253,125) for senrices to be provided by the Ferry District and One Hundred Thousand Dollars ($100,000) for services to be provided by the State. The maximum amount of reimbursement to the Ferry District under the terms of this Agreement is Five Mill/on Two Thousand Five Hundred Dollars [5,002,500). ESTIMATED CONSTRUCTION COSTS State Project No. 94-212 Federal Aid Project No. FBD-1094(103) A. Construction (Contract Items) $6,253,125 B. Incidentals to Construction (State Oversight) $70,000 C. Incidentals to Construction (State Material Testing) $30,000 11 D. Total Construction Cost (A + B + C) $ 6,353,125 E. Federal Share of Total Construction Cost (80% of D) $5,082,500 F. Estimated Ferry District Proportionate Share of Total Construction Cost (20% olD) $1,270,625 G, Maximum Amount of Reimbursement to the Ferry District $5,002,500 H. Amount to be Deposited by the Ferry District to the State in accordance with this Agreement. $20,000 (46) That the State assumes no hability for payment under the terms of this Agreement until the Fen'y District is notified, ha writing, by the State that said' Agreement has been approved by the Attorney General of the State of Connecticut. (47) That wherever the 'words "Municipality" or "Municipality's" appear in Exhibit A attached hereto, they should be construed to mean "Ferry District," Ferry District's," "Town" and/or "Town's." 12 Agreement No. 4.04-01(01) IN WITNESS WHEREOF, the parties hereto have set their hands and seals on the day and year indicated. WITNESSES: STATE OF CONNECTICUT Department of Transportation J~., Commissioner s~~~ '~ -' ~(Sea~) Arthur W. Gruh~, P E Chief Engineer Bureau of Engineering and Highway Operations Name: FISHERS ISLAND FERRY DISTRICT By: fleynolds duPont, Chairman TOWN OF SOUTHOLD ~ Joshua Y. Horto/'n'~ .... __ ~eal) ~ To~ Supe~sor Date: 13 Agreement No. ~.04-01(01) APPROVED AS TO FORM: Attorney General State of Cannecticut Date: S:lkstdskfaeilkfishers islandka~reemore$ 14 TI]OMA~ K DOttt~ttTT TeI~rl~o~ 631. 788. 7465 631. 788.55~ Samuary 29, 2003 At a special polled meeting of the Board of Commissioners of the Fishers Island Ferry District, held on January 29, 2003 the following resolution was passed: On a motion by Commissioner. duPont, and seconded by Commissioner Esser it was; RESOLVED: that Mr. Reynolds duPont, Jr., Chairman, be and hereby is authorized to sign the Agreement eatitted, "Agreement Between the State of Connecticut, the Town of Southold, NY and the Fishers Island Fen-y District for the Construction, Inspection and Maintenance requested in conjunction with the New London Ferry Terminal Expansion for the Fishers Island Ferry District utilizing Federal Funds from the Ferry Boat Discretionary Program", State Project No. 094-0212. ADOPTED BY THE FISHERS ISLAND FERRY DISTRICT COMMISSION, TI~S 29T~ DAY OF JANUARY, 2003. Vote ofthe Board of Commissioners: Ayes: Commissioners duPont, Ahman, Esser, Burnham and Giles. Nays: None ..... " in full force and effect~ .':~ ;'" -'~ '~ 7 .%'- {,~,'" , , . · ..... · ..~ '.. 4~i,,' ,'~'\'% -, . .,~ . , ~0~'.'..',::' TOWN CLERK I~EGISTR, A~ OF VITAL STATISTICS ~GE OF~C~ ~GO~E ~A~E~ OF~ ~0~ O~ ~O~0~ O~'IC~ Tov~ Hs]l, 53095 Main Road P.O. Box 1179 Souihold, New York 11971 Fax (681) 765-6145 Telephone (681) 765-1800 sduthol~tov~Lnor~hforJ~ne~ OFFICE OF TIlE TOWN CLERK TOWN OF SOUTHOLD THIS IS TO CERTIFY THAT Tm~, FOLLOWING RESOLUTION NO~ 71 OF'2003 WAS ADopTED AT TI:IE REGULAR IVEEETI~NG OF 80~OLD TOVv~ BOARD ON,FEBRUARY 4, 2003: tLESOLVED that the Town Board of the Town of Southold authorizes and directs Supervisor Joshua Y. ttorton to sign the Agreement entitled, '~Agreement Between the State of Connecticut, the Town of Southold, NY and the Fishers Island Ferry District for the Construction, Inspection and Maintenance requested in conjunction with the New London Ferry Terminal Expansion for the Fishers Island Ferry District utilizing Federal Funds from the Ferry Boat Discretionary Program", State Project No. 094-0212. Elizabeth A. Neville Southold Town Clerk .4· NOTE: AGREEMENTS WITH GOALS SPECLiL PROVISIONS DIS.kDVANTAGED BUSINESS ENTERPRISES AS SUBCONTRACTORS AND MATERIAL SUPPLIERS OR MANUFACTUI~RS Oct.-O0 FOR FEDERAL FU1VDED PROJECTS Revised - October 16, 2000 Certain of the requirements and procedures stated in this specialprovision are applicable prior ro the execution of the Contract document. I. ABBREVIATIONS AND DEFINITIONS AS USED IN THIS SPECIAL PROVISION A. "CDOT" means the Connecticut Department of Transportation. B. "DOT" means the U.S. Department of Transportation. including the Office of the Secretary, the Federal Highway Administration ("FHWA"h the Federal Transit Administration ("FTA",, and the Federal Aviation Administration ("FAA"). C. "Broker" means a parry acting as an agent for others in negotiating contracts, agreements, purchases, sales, etc., in return for a fee or commission. ' D. "Contract," "a~eement" or "subcontract" means a legally binding relationship obligating a seller to famish supplies or services (including, but not limited to. construction and professional services) and the buyer to pay for them. For the purposes of this provision a lease for equipment or products is also considered to Be a Contract. E. "Contractor." means a consultant, second parry or any other entity doing business with CDOT or, as the context may r~quire, with another Contractor. F. "Disadvantaged Business Enterprise" ("DBE'"j means a small business concern: That is at least 51 percent owned by one or more individuals who are both socially and economically disadvantaged or, in the case of a corporanon, in which 51 percent of the stock of which is owned by one or more such individuals; and 2. Whose management and daily business operations a?e controlled by one or more of the socially and economically disadvantaged individuals who own ir. "DOT-assisted Contract" means any Contract between a recipient and a Contractor (ar any der) funded in whole or in part with DOT financial assistance, including letters of credit or loan guarantees. "Good Faith Efforts" means efforts to achieve a DBE goal or other mquiremem of this parr which, by their scope, intensity, and hppropriateness to the objective, cmn reasonmbly be expected to fulfill the program requirement Refer to Appendix'A of 49 Code of Federal Regulation ("CFR") Part 26 - "Guidance Concerning Good Faith Efforts," a copy of which is attached to this provision, for guidance as to what constitutes good faith efforts. 1 OF 12 GENERAL Oct-O0 "Small Business Concern" means, with respect to £[rms sesking to participate as DBBs in I~OT- assisted Contracts. a small business concern as defined pursuant to Section 3 of the Small Bushness Act and Small Business Adminis~afion ("SBA") regulations implementing it (13 CFR Pert 121) that aisc does nor exceed the cap on average annual gross Yeceipts specified in 49 CFR Part 26~, Secti on 26. 65 "Soctally and Economically Disadvantaged Individuals" means any individual who is a citizen (or lawfully admitted permanent resident) of the United States and who is-- 1. Any individual who CDOT finds on a case-by-case basis to be a socially and economically disadvantaged individual. 2. Ally individuals in tl~e following groups, members of which are rebuttably presumed to be socially and economidally disadvantaged: "Black Americans," ~vhich includes persons having origins in any of the Black racial groups o£Africa; ii. "Hispanic Americans," which includes persons of Mexican, Puerto Rican, Cuban, Dominican, Ccntrat or South Amcrican, or other Spanish or Portuguese culture ol- origin, regardless of race; /ii. "Native Americans," which includes persons who are American Indians, Eskimos, Aleuts, or Native Hawaiians; "Asian-Pacific Americans," which includes persons whose origins are from Japan, China~ Taiwan, Korea, Burma Myonmar), Vietnam, LaOs, Cambodia (Kampuchea), Thailand. Malaysia, Indonesia, the Philippines, Brunet, Samoa, Guam, the U.S. 2Yust Territories of the Pacific Islands (Republic of Palan), the Common{vealth of the Northern Mar/anus Islands, Macao, Fiji, Tonga, Kirbafi, Juvalu, Nauru, Federated States o£Micronesia, or l-long Kong; "Subcontinent As/an Americans,' wh'ch includes persons whose origirgs are from India, Pakistan, Bangladesh, Bhutan, the Maldives Islands, Nepal or Sri Lanka; vi. Women; A~y additional groups whose,members are desig-nated as socially and economically disadvantaged by the SBA, at such time as the SBA desi~maation becomes effective. II. GENERAL REQUIREMENTS Ao Th~ Contractor, sub-recipient or subcontractor shall not discriminate on the basis of race, color, national origin, or sex in the performance of this Contract. The Contractor shall c~rry out applicable reqffirements oi-49 CFR Part 26 in the award and adminig~-ation of DOT-assisted Contracts. Failure by the Contractor to carry out these requirements is a material breach of this Contract, which may result in the termination of this Contract or such other remedy, as the DOT deems appropriam GENEP, AL Oct.-O0 /'he Contractor shall cooperate with CDOT and DOT in impIementing the requirements concerning DBE utilization on this Contract in accordance with Title 49 of fire Code of Federal Re~m21ations, Part 26 entitled "Participafior~ by Disadvantaged 13 us/ness Enterprises in Department of Transportati6n Financial Assistance Programs" ("49 CFR, Part 26~;, as revised. The Contractor shall also cooperate w/th CDOT and DOT in reviewing the Contractor's activities relating to this Special Provision. This Special Provision is in addition to ail other equal opportunity employmentrequirenaents of this Contract. The Conwactor shall designate a liaison officer who wilt administer the Contractor's DB~E program. Upon execution of this Contract, the name of the liaison officer shall be furmshed in writing to CDOT's Division of ContraCt Compliance. For the purpose of this Special Provision, DBEs to be used to satisfy the DB£ goal must be certified by CDOT~s Division of Contract Compliance for the type(s) of work they will perform. If the Con~ractor allows work designated for DBE participation required under the terms of this Contract and required under IIi-B to be'perforated by other than the named DBE organization without concurrence from CDOT's unit adm/nister'mg the Contract, CDOT will not pay the Contractor for the value of the work performed by organizations other than th& designated DBE. At the completion of all Contract work. the Contractor shall submit a final report m CDOTs unit administering the Contract indicating the work done by, and the dollars paid to DBEs. Ii'the Contractor does not achieve the specified Contract goals for DBE participation, the Conlractor shall also submit written documentation to the CD©T milt administering the Contract detailing its good faith efforts to satisfy the goal that were made during the perfom~ance of the Contract. Documentation is to include but not be limited to the following: 1. A detailed statement of the efforts made ro select additional subconrranung opportunities to be performed by DBEs in order to increase the likelihood of achieving the stated ~-oal. A detailed statement, including documentation of the efforts made to contact and solicit b/ds/proposals w/th CDOT certified DBEs, including the names, addresses, dates and t~lephone numbers of each DBE contacted, and a description of the information provided to each DBE regarding the scope of services and anticipated time schedule of work items proposed to be subcontracted and nature 0fresponse from fimas contacted. 3. Provide a detailed statement for each DBE that submitted a subcontract proposal, which the Contractor considered not to be acceptable stating the reasons for this conclusion. 4. Provide documents to support contacts made with CDOT requesting assistance in satis£ying the Confraet specified goal. 5. Prov/de documentation of ali other efforts undertaken by the C0ntractor ~o meet the defined goat. GENE1LAL 3 OF 12 Oct.-O0 Paiture of the Contractor at the completion of ail Contract work to have at least the specLfied percentage of tiffs Contract performed by DBEs as required in 2rlI-B wiII result iL the/"eduction in Con..................tmct payments to the Contractor by an amount determined by multiplying the total Contract value by the.speeL~ed percea~tage required in IIt-B and subtracting fi-om that result, the doltar pas~:nenrs for the work actualty performed by DBEs. kr-lowever, in instances where the Contractor can adequately document or substantiate its good fa/th enforts made to meet the speciSed percentage to the satisfaction of CDOT, no reduction in payments will be imposed. All records must be r~t~ned for a period of three (3) years £ollowir¢g acceptance by CDOT of the Contract and sba/1 be available at reasonable times and places for inspection by authorized representatives of CDOT and Federal agencies. If a~ny litigation, cla/m, or audit is started before the expiration ofth~ three (3) year period, the records slxaI.1 be refined until ail litigation, cia/ms, or audits findir~s involving the teton-ds are resolved. Nothing contained herein, is intended to reheve any Contractor or subcontractor or material supplier or mmxufacturer from compliance w~th all.applickble FederaI and State lecstation or provisions concerning equal employment oppormdlty, affirmative action, nondiscrimination and related subjects daring the term of this Contract. III. SPECIFIC REQUIREMENTS: In order to increase the participation ofDBEs, CDOT requires the following: The Contractor shall assure that certified DBEs will have an opporturfity to compete for subcontract work on this Conlract, particularly by arranging sdlicitations and dine for the preparation of proposals for serdces m be pro,Aded so as to facilitate the participation of DBEs regardless if a Contract goal is specified or not. Contrac~ goa~ for DBE participation equaling - 0- percent of the total Contract value has been established for th/s Contract. CompI~ance with this provision may be £ulfilled-when a DBE or any combination of DBEs perform work under Contract in accordance with 49 CFR Part 26, Subpart C, Section 26.55, as revised. Only Work actually performed by and/or services provided by DBEs which are certified for such woi'k and/or services can be counted tgward the DBE goal. Supplies and equipment a DBE purchases or le~ses from the prime Contractor Or its affiliate can not be counted toward the goal If the Contractor does not document Commitments, by subcontracting and/or procurement of matmdaI and/or services that at least equal the goal stipulated in IIDB, or document a plan which indicates how the Contractor intends to meet the goal in the future phase(s) of the work the Contractor must document the good faith efforts that outline the steps it took to meet the goal in accordance with YTL Prior to execution of the Contract the Contractor shall indicate, ha writing on the forms provided by . CDoT to the Di~ectof of Contract Administration or CDOT's unit administering the Con,act, the DBB(s) it will use to achieve the goal indicated in ]Z[-B. The subntis~ion shall include the name and ad&ess of each DBE that will participate in ti'ns Contract, a descriptio~ of the work each will · perform and the dollar mount o/participation. Th/s information shall be signed by the named DBE and the Contradtor. The named DBE shall be fi-om a list of certifiedDBEs available 5'om CDOT. In addition, the named DBE(s) shall be certified to perform the type of work they will be coutracted to do. 4 OF 12 GENEtLAL OGL-O0 The prime Con/factor shall provide a fully executed copy of each agreement with each :DBE named to achieve the goal indicated in 1It-t3 to CDOT's unit administering the Contract. The Contractor is required, should there be a change in a DBE they submitted in IILC, m submit documemafien to CDOT's unit administering the Contrac[ which will substantiate and justSfy the change, (i.e., documemarion to provide a basis for the change for review and approval by CDOT's unit administering the Contract) prior to the intplementation of the change. The Contractor must demonstrate that the orig/nalts~ named DBE is unab]e ro perform in conformi~' to the scope rrf service or is unwilling to perform, or is in defaudt of its Con~ract, or is overextended on other jobs. The Contractor's ability to n~gotiate a more advantageous a~eemenr with an, other subcontractor is no~ a y~atid basis for cI!ange. Documentation shall inc]ud'e a Iet~er of release ~x>m the ori~nally n~med DBE indScafir~g the mason(s: for the release. Contractors subcontracting with DBEs to perform work or services as required by ~th/s Spec/al Provision shall not terminate such fro'ns without advising CDOT's unit administering the Contract in writing, and providing adequate documentation m substantiate the reasons £or term/nail_on if the DBE has not started or completed the work or the services for wh/ch it has been contracted to perform. When a DBE is unable or unwilling ro perform or is temxinated for ~ust cause the Contractor shall make good faith efforts m £~nd other DBE opportunities m increase DBE participation the extent necessary to at least satisfy the goal required by III-B. In instances where an alternate DBE is proposed, a revised submission to CDOT's unit administering the Contract together with the documentation required in III-C, IH-D, and III-E, must be made for its review and approval. Each quarter after execution of the Contract, the Contractor shall submit a report to CDOT's unit administering the Contract indicating the work done by, and the dollars paid to the DBE for the current quarter and to date. IV. MATERIAL SUPPLIERS OR MANUFACTURERS A. If the Contractor elects m utilize a DBE supplier or manuPacturer to satisfy a portion or all of the specified DBE goal, the Contractor must provide the CDOT with: 1. An executed "Connecticut Department of Transportation DBE Supplier/Manufacturer Affidavit" (sample attached), and 2. Substantiation of pa~vments made to the supplier or manufacturer fns materials used on the prqi eot. Credit for DBE suppliers is limited to 60% of the value of the material to be supplied, prov/ded such material is obtained from a regular DBE dealer. A regular dealer is a fn-m that owns, operates, or makntains a store, warehouse or other esrablishment m which the materials or supplies required for the performance of the Contract are bough% kept in stock and regularly sold or leased to the public in the usual course of business. To be a regulm: dealer, the firm must engage in, as irs princ/pal business, and in/ts own name, the purchase and sale of the products in question. A regutar dealer in such bulk items as steel, cemem, gravel, stone and petroleum products, need not keep such products in stock if it owns or operates distribution equipment. Brokers and packagers shall not be regarded as material suppliers or manufacturers. 5 OF I2 GENEIL4.L Oct.-O0 C. Credit for DBE manufacturers is 100% of the value of the manufactured product. A manufacturer is a firm that operates or maintains a factory or establishment that produces on the premises the mater/als or supplies obtained by the Depmment of Transportation or Contractor. V. NON-M_KNTJTFACTUTd2NG ORNON-SUPPLIERDBE CREDIT: A. Con~-acrors may count towards their DBE goals the following expenditures with DBEs that are not manufacturers or suppliers: Reasonable fees or commissions charged for providJ2g a bona f~de service such as professional, tectmical, consultant or nmnagerial services and assistance.in the procurement of essenfiaI persormel; facilities, equipment materials or supplies necessary for the performance of the Contract provided that lhe fee or commission is. determined by the CDOT to be reasonable and consisrJmt~with fees customarily allowed for similar services. The fees charged for del/very c f matetials and supplies required on a job site (but not the cost of the materials and supplies themselves) when thehaul~r, trucker, or delivery service is a DBE but is not also the manufacturer of or a regular dealer in tI~e mate. rials and supplies, provided that the fees are determined by the CDOT to he reasonablcand not excessive as compared with Fees customarily allowed for similar services. The fees or commissions charged for providing bonds or insurance specifically required for the performance o£the Contract, provided that the fees or commissions are determined by the CDOT to be reasonable and nor excessive as compared with fees customarily allowed for similar services. BROKERING A: Brokering of work by DBEs who have been approved to perform subcontract work with their own workforce and equipment is not allowed, and is a Con=act violation. B. DBEs involved ~n the brokenng of subcontract work that they were approved to perform may be decertified. Firms involved in the brokering of work, whether they are DBEs and/or majority firms who engage in willful falsification, distortion or misrepresentation with respect '[o ..any facts related to the project shall be referred to the U.S. Department of Transportation's Office of the Inspector General for prosecution under Title 18, U.S· Code, SeCtion 10.20. 6 OF 12 GENEKAL VII. REVIEW OF PRE-AWARD GOOD FAITH EFFORTS Oct.-O0 tf the Contractor does not document commitments by subcontracting and/or procurement of material and/er services that at least equal the goat stipulated in III-B before execution of the Contract, or document a plan which indicates how the Contractor intends to meet the goal in future phase(s) of the work, the Contractor must document the good faith'efforts that outline the specific steps it took to mee~ the goal. Execution of tlSe Contract will proceed if the Contractor's good faith efforts are deemed satisfactory and approved by CDOT. To obtain such an exception, the Contr~ictor must submit an application to CDOT's Director of Contract Administration or CDOT's unit administering the Contract, whicln documents tim specific gDod faith efforts that were made to meet the DBti; goal Application forms for Re¥i6w of Pre-Award Good Faith EffortS are avafiable~from ODOT's Division of Contract Administration. The application must include the following documentation: 1. a statement setting forth in detail which parts, if any, of the Commct were reserved by the Contractor and not available for subcontracting; 2. a statement setting forth all parts of the Contract that are likely to be sublet: 3. a statement setting forth in detail the efforts made to select subcontracting work in order to likely achieve the stated goal; copies of all letters sent to DBEs: 5. a statement listing the dates and DBEs that were contacted by telephone and the result of each contact; 6. a statement listing the dates and DBEs that were contacted by means other than telephone and the result of each contact: 7. copies of letters received from DBEs in which they declined to bid or submit proposals; 8. a statement setting forth_the facts with respect to each DBE bid/proposal received and the reason(s) any such bid/proposal was declined; a statement setting forth the dates that calls were made to CDOT's Division of Contract ComPliance seeking 15BE referrals and the result of each such call; and any information of a similar nature relevant to the application. All applications shall be submitted to the Director of Contract Administration orCDOT's unit administering the Contract. Upon receipt of the submission of an applicatio0 for review of pre- award good faith effOns, CDOT's Diremor of Contract Administration or CDOT's unit administering the Contract shall submit the documentation to the Division of Contract Compliance who witl revie~v the documents hnd determine if the package is complete and accurate and adequately documents the Contractor's good faith efforts. Within fourteen (t4) days of recaipt of the documentation the Division of Contract Compliance shall notify the Contractor by certified mail of the approval or denial of its good faith efforts. 7 OF i2 GENERAL Oct.-O0 D= If the Contractor's application is denied, the Conh-actor shall have seven (7) days upon recJipt of written notification of denial ro reque~ admin~arivc r~o~Jemdon. ~e Con~a~f's req~t for ~i~s~afiv~ reconsideration ~o~d be smut ~n writing to: Director o~ Cun~ci Adminis~afion or CDOT's unit a~sterh~g fl~e Con~a~h P.O. Box 317546; Newington, CT 0613~-754~. The Director ofConeact A~m~ation or CDOT's ~it admiuistefing ~e Cdn~act will fo~ard ~e ConWact~'s remnsidemfion request to ~e DBE S~ce~g ~mmi~ee. ~ DBE Screening Co~¢tec w/Il sched~e a ~e~g wifl*in fourteen (14) days ~om receipt of thc Cont~cto~s request for a~niseafive reconsideration and advise the Con, actor of~ d~, fi~e ~d location of the mee~g. At ~ meeficg ~ C~¢actor ~1 be provi~ with ~ ppp~ m pr~ent ~en do~enmd~ ~or ~g~r conc~g ~e i~ue~f w~[ i~ ~de ~a~ good f~th ~fo~s ro ~ ~e goal. Wi~ sev~ foHp~g ~e r~onside~on m~ng~ t~ ¢hM~son of~e DBE Scree~g Co~iAee Mil ~nd ~e con, cDr ~ia ~ified ~1 a. ~i~n decision ~' ~s re~i~mfion request, explain~g ~¢ ba¢is Of fin~g eider for or a~af~ ~e r~uest. ~ DBA Scree~g Co--lAce's decision ............................. f2mt2~?,.u_.[.~} {i:~} ~ m' receil~: (,f ~ t'in cn ao~ficai:.m~ .i' (leni~d. I.e I)BI:,~ il ~ iff ~stj.~5~ aclii~.v~ Approval 0fpre-execution good faith efforts does not relieve.the Contractor from its obligation to m~ acIdit£onalig0od fMth efforts to achieve the DBE goal should contr-acting opportunities aris~ dt~ng aCtdaI performance of the Contract work. 8 OF 12 GENEi~kL Ocu-O0 APPENDI~ A TO 4P CFR_ PART 26 -~ GT. YiDANCE CONCBP-~L~G GOOD FAITH EFFORTS When, as a recipient, you establish a Conlz-act goal on a DOT-assisted Contract, a Bidder/Con,ratter must, in order to be resp6nsible and/or responsive, make good faith efforts to meet the goal The'Bidder/Contractor can meet this requirerz~nt in either of two ways. First, the Bidder/Contractor cm~ meet the goal, docm2entng comnutments for participation by DBE firms sufficient for this purpose. Second, even if it doesn't meet the goal, the Bidder/Contractor can .document adequgr~ good faith efforts. This means that the Bidder/Contractor must show that it took al2 necessary and reasonable steps to acl'ffeve, a DBE goaI or other requn~ement of this parr which, by their scope, intensi~, aud appropriateness to the objective, could reasonably be expected to obtain sufficient DBE participation, even if they were not fally successful In any situation in which you have established a Contract goal, Part 26 requires you to use the good.faith efforts mechanism of this part. As a recipient, it is up to yon re make a fair and reasonablejudgment whether a Bidder/Contractor that did not meet the goal made adequate good faith efforts. It is Important for you re consider the quality, quantity, and intensity of the different kinds of efforts ttmt the Bidder/Contractor has made. The efforts employed by the ' Bidder/Contractor should be those that one could reasonably expect a Bidder/Contrackor tu take if the Bidder/Contractor w~re actively and ag~essively trying to obtain DBE participation suff/cient to meet the DBE Coniract goal. Mere.pro forma efforts are nor good faith efforts to meet the DBE Contract requirements. We emphasize, however, that your determinauon concerning the sufficiency of the firm's good faith efforts is a judgment call: meeting quanntauve formulas is not required. HI. The Department also strongly cautions you agmnst requiring that a Bidder/Contractor meet a Contract goat (i.e.. obtain a specified amount of DBE participation) in order to be awarded a Contract, even though the Bidder/Contractor makes an adequate good faith efforts showing. This rule specifically prohibits you from ignoring bona fidegood faith efforts. IV. The following is a list of types of actions which you should consider as part of the Bidder/Contractor's good faith efforts to obtain DBE participation. It is not intended to be a mandatory checklist, nor is it intended to be exclusive or exhaustive. Other factors or types of efforts may be relevant in appropriate cases. A. Soliciting through all reasonable and available means (e.g. attendance at pre-bid meetings, advertising and/or written notices) th? interest of all certified DBEs who have the capability to perform the work of the Contract. The Bidder/Contractor must solicit this interest within sufficient time to allow the DBEs to respond.to the solicitation. The Bidder/Contractor must determine with certainty if the DBEs are interested by taking appropriate steps to follow up initial soIicitations. B. Selecting portions' of the work to be perforated by DBEs in order to increase the likelihood that the DBE goals will be achieved. This includes, where appropriate, breaking out Contract xvork items into economically feasible units to facilitate DBE participation, even when the prime Contractor might otherwise prefer to perform these work items with its own forces. 9 OF I2 GENEIL~kL Oct.-00 Providing httemsted DBEs witlr adequate information about the plans, specifications: and requiremems of the Contract in a timely manner to assist tltem in responding to a solicitation. D. (i) Negotiating in good faith with interested DBEs. It is the BiddeffComractor's responsibility to make a portion of the work available to DEE subcontractors and suppliers and to selec1 those portions of the work pr material needs consistent with the available DEE subcontractors and suppI~ers, so as to facilitate DBE participation. Evidence of anch negotiation includes the pames, addresses, and telephone numbers of DBEs that were ¢cnsidereck a description of the information provided .regarding tke plans and specifications for the work*~elected for subcontracting; and evidence as to why additionaI agreemems could not be reached for DBEs to perform the work. (2) A Bidder/Contractor using good business judgment wouId consider a number of factors in negotiating with subcontractors, including DEE subcontractors, and would take a gum's price and capabilities as well as Contract goals into consideration. However, the fact that there may be some additional costs involYed in finding and using DBEs is not in itself sufficient reason for a Bidder/Contractor's failure to meet'the Contract DEE gee1, as long ag such cosVa are reasonable. Also, the ability or desire ufa prime Contractor m perform the work cfa Contract with its own organization does not relieve the Bidder/Contractor nfthe responsibility to make good faith efforts. Prime Contractors are not, however, required to accept higher quotes from DBEs if the price difference is excessive or unreasonable. Not rejecting DBEs as being unqualified without sound masons based on a thorough in~/estigation of their capabilities. The Contractor's standing within its industry, membership in specific groups, organizations~ or assoeiati'ons and political or social affiliations (for example union vs. non-union employee status) are not legitimate'causes for the rejection or non-solicitation of bids/proposals in the Contractor's efforts to meet the project goal. Making efforts to assist interested DBEs in obtaining bonding, lines of credit, or insurance as required by the recipient or Contractor. G. Making efforts to assist interested DBEs in obtaining necessary equipment, supplies, materials, or related assistance or services. Effectively usLng the services of available minority/women community organizations; minority/women Contractors' groups; local, state, and Federal m/nority/women business assistance offices~ and other organizations as allowed on a case-by-case basis to provide assistance in the recruitment and placement of DBEs. 10 OF 12 GENEKAL Oct.-O0 tn determiffmg whether a Bidder/Contractor has made good faith efforts, you may rake into account thc Rc~o~cc of o~r Bidder/Con,actors in meeting ~c Con~ct. For ¢~plc, wh~ ~¢ app~t ~ccessf~ Bidder'Con~ctor fai~ ~ meet ~e Con~t goal, but oth~ m~t it, you may rmsombly ~e ~e question of wheths[ wi~ additional reaso~ble effo~, the ap~rent suc¢ss~nt Bidder/ConW~tor co~d have met the goal ~ ~e app~ent suc¢essfaI Bidder/Conmctor f~s ~o m~t ~e go~, but mee~ or exceeds ~e average DBE p~cipation obtained by oflxer Bid~r/Con~ctors, you may ~ew t~ m ~njuncfi~ M~ o~her factors, ~ e~dence of the app~enr sucfi~s~ Bidder/Conmctor ~g made good ~th efforts. 1I OF 12 GENE~&L OcL-O0 CONNECTICUT DEPARTMEhmi'' OF TI~ANSPORTATION DBE SUPPLIER/MANUFACTURER. AFFIDAVIT This -dfidavit must be completed by the State Comractor's DI3E notarized and attached to the Contractor's request to utilize a DBE supplier or manufacturer as a credit towards its DBE Contract requirements; failure to do so will result m not receivi~g credit towards the Commm DBE requirement. State Project No. Federal Aid ProJect No. Description of t>rojem , acting in behalf of (Name of person signing Affidavit} of which I am the (Title of Persom (DBE person, firm, association or organization) certify and affirm that (DBE person firm. association or organizatioh) is a certified Connecticut Department of Transportation DBE. f further certify and affirm that I have read and understand 49 CFR. See. 26.55 e) (2), as the same may be revised. further certif~ and affirm that will assume tile actua.l a (DBE person, firm, association or organization) contractual responsibility, for the provision of the materials and/or supplies sought by (State Contractor) If a manufacturer. I produce goods from raw materials or substantially alter them before resale, or if a supplier, t perform a commercially usefu function in th~ supply process. I understand that false statements made herein are punishable by Law (Sec. 53a-157). CGS. as mvised~. (Name of Organization or Firm~ (Signature & Title of Official making the AffidavitJ Subscribed and sworn to before me, this day of 20 Notary PuNic (Commissioner of the Superior Court} My Commission Expires CERTIFICATE OF CORPORATION I. . certify that I am the (Official) of thc Organization named in the foregoing instrument: t!tat I have been duly authorized to affix the seal of the Organization to such papers as require the seai: mat . who signed said instrument on behalf of the Organization. was then of said Organization; that said instrument was duly signed for and in behalf of said Organization by authority of its governing body and is within the scope of its organizational powers. (Signature o~ Person Certif) lng) (Date~ t2 OF 1 2 GENERAL CO1FNECTICUT REQUIRED CQ~TRACT~G~ PROVISIONS Metell 6, !998 Specific E_~ual Employment Opportunity Resp~ns~biiities 1. General Equal Employment Opportunity Requirements .not un discriminate and un take affirmative action no assure equal employment opportunity as required by Executive Order 11246, Executive Order 11375, the Railroad iLevitalization and ~egutatory ~eform Act of 1976 and other ~.S~ Department of Tr~sporta~ion nondiscrimination legislstion are se= forth in this Reqnired Contract/Agreemene Pro~sion. Th~ requirements set forth in these sl~ecial provisions~shalI constitute the specific affirmative action requirements ~Or project activities- under this conEract (o~ agreement) and suppteme-~= the equal emp'Ioyment opportunity requirements set forth in other related contrace provisions. "Company" reft-rs co any ~tity doing business with the Connecticut Department of Transportation and includes but is not limited =o the following: Consultants Subconsu!tants Vendors (where applicable) Suppliers of Ma~rials (where applicable) Municipalities (where applicable) Utilities (where applicsfole) The Company will work with the Connecticut Department of Transportstion and the federal governmene in carrying out equal employment opportunity ob!i~ations and in their review of his/her activities under ~ne contract or agreement. The Company and all their s~bcontracuors or subconsultanes hotdin9 subcontracts or subagreemenus of $10,000 or more on federally-assisted projects and $5,000 or more on shana funded pro2 eccs, will comply with the following minimum specific requiremen= activities of equal employment opportu_ni~y. Tine Company will physically include these requirements in every subcontract or subagreement meeting the moneuary criteria above with such modification of language as-is necessary to make them binding on the subcontracLor or subconsult~_nt. -E. These Re~uired Contract Provisions apply no all state funded and/or federally- assisted projecus, activities and programs in all facees of the Co~_necticut Depsrtm=_nt of Tram~portation operations resulting mn conEracts or a~reemen~s. Ecrual Emo!o~mant 0Doortum, itv Po!icy The Company will develop, accept and adopt as its operating policy an Affirmative Action Plan utiliz~n~ as a guide th~ Connecticut DepartmenE of Tr~nsporEation Affirmative Action Plan Guideline. Ecusl Emo!ovment Oonortunitv Officer The Company will designate and make know~ to the State Deparnment of Tr~nsnortatlon coneracting officers an equal en%ploymant opportunity officer (hereinafter referred to as the EEO Officer) who will have the responsibility for e~d must be capable of effectively administering and promotin~ an active program of equal employmeno opportllnity and who must be assigned adequate authority and responsibility ~o do so. Dissemination of Policy A. All members of the Company's staff who are authorized eo hire, supervise, promoue, and discharge employees, or who recommend such action, or who are substantially involved in such action, will be made fully cognizant of, and will implement, the Company's equal employment opportunity policy and consractust responsibilities on provide equal employmenn opportunity in each grade and classification of employment. To ensure that the ~Dove agreement will be met, the following actions will be taken ms a minimum: (1) Periodic meetings of super~!sory and personnel office employees will be conducted before the s~ert of work and than not less than once eve~f six {6) months ~hereafter, an which time the Company's equal em_D!oymene opportu/lity policy and its implementatlon will be revlswed and explained. The meetings will be conducted by the EEO officer or other knowledgeable Company official PAGE 10~ 4 _All ~.sw supervisory o~, persor=.~.et, ofalce employees will be given a thorough indoctrination by the EEO Officer or otlner knowledgeable Company official cover!ng all major aspecus of theCompany's e.c/ual amploymenu opportunity obligations within thirty (30) days following their reporuing for duty with the Co~oany. (3) All personnel who are engaged in direct recruitment for the pro]ecu will be instructed by the EEO Officer or appropriaee Comp_~y official in the Comp_a~y's pmoceduree for locaL%ag and hiring proeected class group em_oloyee. In order to make the Company, s equal emplo!zmant opportunity policy k~own ac all employees, prospective em.nloyees and potential sources of e~rptoyees, !.e., schools, employmenu agencies, labor unions (w~nere appropriate)'; college placem~--nt officers, eec., the Company will ts-ks the following act!oas: (~) Notices and posuers settinN forth the Company's equa~ employmenu opportunity policy will be placed in areas readily accessible employees, applicants for employraent and potential employees. (2) The Company's equal em_nloyme~e opportunity policy and Eke procedures un implemena such policy will be brought un the a=n~ntion of en?loyees by means of meetings, employee handbooks, or other appropriate When advertising for employees, the Company will include in all a~ertisem~nes for employees the notation: "An Equal Opportunity Employer". All such advertisemenns will be published in newspapers or other plfolicatione havin~ a large circulation among minority gro~Ds in the area from which the projec~ work force would normally be derived. The Company will, unless precluded by a valid bargaining agreement, conduct systematic and direct recru/tment t>~oughpufolic and private employee referral sources likely =o yield quslified minority~roup appticents, including, but not limited un, State employment agencies, schools, colleges and minority group organiza5ions. To mesa this requirement, the Com_oany will, through its EEO Officer, identify sources of potential minority group em_nloyees, ~nd establish with su~m identified sources procedures whereby minority group applicants may be referred co the Com_Dany for em_o!oymenu considerauion. In the even= the Company has a valid bargaining agreemenm providing for exclusive hiring hall referrals, the Company is expected eo observe the provismons of that agreemen= ~o the extent that the sysuem permits the Company's compliance with equal employmen~ opportunity contract provlsions. {The U.S. Deparumen~ of L~Dor has held that ~nere implementation of such agreemenes have the effect of discriminating against minorities or ~men, or obligates the Co,atp_any ac do the same_, sudn implementation violates Executive Order %!246, as amended.) The Company will encourage its present employees to refer minority group applicants f~r amploymen= by postin~ appropriate notices or bulletins in the areas accessible un all such employees. In addition, information procedures with regard to referring minoriuy group applicants will be discussed with employees. 6. Personnel Actions Wages, working conditions, and employee benefits shall be established s_nd administered, a/id_ Derso~el actions of every uype, including hiring, upgrading, promotion, transfer, demotion, layoffs, and uerminetion, shall be taken without regard to race, color, religion, sex, or national origin, eec. The following procedures shall be followed: The Co,Deny will conduct periodic inspections of projec= sites no insure that working conditions and employee facilities do no= indicate discriminatory treatment of projecu site personnel. The Co~oany will periodically evaluate the spread of wages paid within each classification un determine any evidence of discriminatory wage practipes. PAGE 2 OF 4 ~.~Compa~y will p~rmoamoallyrev~ew s~e~tedperso~-~el actions mn depth no determine whether there ms e~snce of discrmmm~at~on. Where evidence is found, the Compmny will promptly take corrective action. If the review m~dicaEes that the discrimination ~y extend beyond the actions reviewed, such corrective action shall include all affected persons. The Company will promptly investigate all com_mlaints of alleged discrimination made to the Company in connection with his obligations under this contract, will attem_mu ~o resolve such complaints, and will take appropriate corrective in~esti~ati0n, ~the company Will ~-fo~m every complainant of all of his avenues of appeal. The ~eneral contract provision entitled A(76) Affirmative Action Requirements is made part of this document by reference. In conjunction with this contract provision, only the job categories will chan~e in order to be comparable with the job =ategories utilized by the company proposin~ uo do business with the Cor~e'~icut D~partmentof~Transport~t~on. The~oal~ ~d time tables will remai~ the same throughoU~ the co~tract provision. Trainin~and Promotion The Cdmpany will assist in locating, qualifying, and mncreasin~ the skills of minority group ~-nd women employees, and applicants for em_mloymenu. Consistent with the Company's work force requirements ~nd as permissible under Federal and State regulations, the Company shall make full use of training programs,'i.e., apprenticeship, and on-the-job urainin~ programs for the ~eographical area of contract performance. Wiaere feasible, 25 percent of ~oprentioes or urainees mn each Occupation shall be in their first year of apprenticeskip or trainmng, in the event the Training Special Provision is provided under this contract, this subparagraph will be superseded. The Company will advise employees and applicants for employmsn~ of available uraining programs and entrance re~nirements for each~ The Company will periodically review the tramnin~ and promotion potential of minority ~roup and women employees ~d will encourage eligible employees mo apply for such uraining and promotion. Unions if the Company relies in whole or in pare upon unions as a source of employees, it will use its bast efforts to obtain the cooperation of such unions to increase oppcr5unities for minority groups and women within the unions, and uo effect referrals by such unions of minority and female employees. Actions by the Company either directly or through an association acting as agent will include the procedures set forth below: The Com.many will use its bes~ efforts to develop, in cooperation with the unions, joint tralnmn9 programs aimed toward qualifying more minority group members ~nd women for membership zn the unmons and increasing the skills of minority group employees and women so that they may qualify for hi~her paying employment. The Company will use its best efforts ~o mncorporace ~ ecfual.em_mloyment opportunity clause mnto each unmon agreement uo the~nd that such umion will be con~ractually bo~-nd to refer applicants without regard uo ~heir race, color, religion, sex, or national ormgin, eec. The Company ms to obtain information as ~o the referral pracuices and policies of the labor un,on except that uo the extent such information is within the exclusive possessmon of the labor unmon ~nd such labor mm. ion refuses ~o furmish such information uo the Company, the Company shall so certify so the Connecticu: Deparumen: of Transportation and shall set forth ~nat efforts have peen made to obtain such information. in the evenu the union is nnab!e mo provide the Company with a reasonable flow of minority and women referrals with. in the time limit set forth in the collective bar~amnin~ agreement, the Company will, through independent recruitment efforts, fill the employment vacancies without regard ~o race PAGE 3 OF 4 Oc£ober 27, 2000 ADMtN1STRATNE AND STATUTORY REQUIREMENTS THE MUNICIPALITY AGREES: (1)(a) For the purposes of this Section,. "minority businese enterprise" .means any smelt contractor of suppfier of materials fiffly-one percent or more of the caphal stock, ~ any;-or assets of which is owned by a person ct persons: (1) w~o are active in the daffy affairs of the enterprise; '(2) who have th=3 power t6 drect managSment and policies of'the enterprise 'and (3) who are members of a minority, as such tare is d~fined in subsection (a)'of ConnecticUt General Sta1~tes Section 32-9n; and 'good fait_h~ means that degree of ditigerfce which a reasonabIe person woCd exercise in the performance.-of Jega] duties fed Obligations. "G6od faith efforts' shall include but.not be ;lmited tc, nose reasonable initiai effbrt~ necessary to comply W~th statutory or [eguIe{ery ~q~fre~nents and addl[iosai or'substituted' efforts when ft is determined that such initial ~orts wfI/hot be surf]dent to compiy with such reeuirem~nts. For purposes of this section, "Com'missidn" means the Commission on Human Rights and Opportunities. (b) (I) The Municipality agrees and warrants that in the performance o{ the ~ontract such Municipaihy will ~ot discriminate or permit discrimination against any perso~ or group of ber~ons on the grounds o~ race, color, reiigious creed: age, marital status, national origin, ancestry, Sex, mental retardation or phys]caI dsabiIfty, incIudfng, but not Iirnited to, bIindness, untess ft is shown by such MunicipaIity that such disabfIi~ prevents performance of the work involved, ~n any manner prohibited by the laws df the un,ed 'States 'or of the State of Connecticut. The MunicipaI~ further agrees to take affirmative, act[on to insure that applicants with job related qualifications are empIoyed and that employees are ~-eated when .employed without regard to. their race, color, rsIfgious ~Teed, age, martial s~atus, national origin, ancestry, sex, mental retardation, or physicat disab~Ihy, including, but .not Iimited to, bIindness, unIess it is shown by such Munic~paIity that such disabi~ty prevents performance of the work invoked; (2) the Municipaiity agrees, 'in ail soIMtations or.-~dvertiser~er~ts for employees pieced by or on behaIf of the Municip~I~,, to state that it is an 'affirmative action- e~ual oppbrtuniby employer" in ~ccordance w~tn r~gu~a~ons aoopt_ed by the Come!psion, (3) the MunicipaIity ag~es to provide each labor unbn or representative of workers, with .which such MunicipafftF has a coIiecfive bargaining agreement.or other contra~t or understano~ng and each vendor w~tn tghich such M_unMpaIity has a contract or understanding, a notice to be provided October 27, 2000 by the Commission advising the labor union or workers' represen~ve of the Municipality's commitments under this section and to post copies of the notice in conspicuous places ava~]able to employees and applicants for empIeyment, (4) the 'Municipa!ity agrees to cor0pIy with each provision of this section and Connecticut-Gene~! Statutes Sections-46a-68e and 46a-68f and with each regulation, or relevant order issued by said Commission pQrsuant to Connecticut Genera] Statutes Sections 48a-58, 46a~68e and 46a-68~ (5) the MunicipaIity agrees tO provide, the Commission on Humap Rights and Opportunities with such in~orrn~n, ~c}ues~d b~y the Commission. and perrn~ access to pertinent books, re'~ord~ ~nd accounts~ co. corning :the emp!~m,~t pre.ices and procedures of the, M~,~b~ ~'.J~/'as.-ret~te,,i~e the p~:r~ons Cf,this seodon a~d Section zSa-56.: . f toe coN¢4¢~, is;for a public works c0n~agt~ thO"MuniciPality agrees and warrants that it ~, ~nA~e ~ood fg~, efforts to ernpidy minod~y busbess enterprises as subcoh~Ctors ~d supplies of: meteffa]s ~n"sugn pu~Iic wo~ks proiect - (C) Determination of the Mur~icipaIity's good faith efforts shall in~:lude but shall not,be limited to the following factors: The Municipality's employment and subcor¢~acting policies, patterns and .practices, a~rmative advertising, recruitment and training, technical assistance activities and such other reasonable activ~es or efforts as the Commission may prescribe that are designed' to en~ure the participation of minority business enterprises in public works projects. (d) The Municipality shall develop and maintain adequate documentation, manner prescribed by the Commission, of its good faith efforts. (e) The Municipality shall include th~ provisions of subsection (b)'of this section in every subcontract or purchase Order entered into in order tc fulfill any obligation of a contract with the State and such. provisions shall be binding on ~: subcontractor, vendor or manufacturer unless exempted by regulations or orders of the Commission. The Municio~Iity shall take such action with respect to any such subcontra~ct or purchase orde{ as the Commission may direct as a means of enforcing such provisions including sanctions for noncomp!iance in accordance With ConnecticUt General Statutes Sectior 46a-56 provided if such Municipality becomes involved in, or is threatened with, litigation with a-subcontractor or vendor as a result of such direction by the Commission, the Municipality may request the State. of Connecticut to enter into any such litigation-or negotiation prior thereto to protect the interests of the State and the State may so enter. (0 The Municipality agrees to comply with the regulations referred to in this section as they exist on the date of this contract and as they'may be adooted October 27, 2000 ' or amended from time to time durin'g the term of this contract and any amendments thereto. (2) That this Agreement is subject to the provisions of Executive Order No. Three of Governor 'Fnomas J. MeskiI1 promulgated June 16, 1971 and, as such, this Agreement may be cancelled; terminated or 'suspended by the State Labor Commissioner for violation of or noncompliance, w'~th said Executive C~rder Ne. Three, or any State or Federal taw concern~ng nondiscrimination, notwithstanding that the Labor Comrhiss~oner is not ~ party to this Agreement. The par~es to this Agreement, as par~ af t~,e cons~deratf0n herecrf~ agree that said ExecLEive Order [4o. Thre~ is incorporated h.erein by reference and mede a part hereof. The portia§ agree to' abide ~ said .E~ ~ecudYa Order and agree that the State trebor Comm'¢ssioner shelf have continuing jurisdiction in respect to Agreement perforrr.~ance in reg,.rd to nondiscrim.'~F, ation~ u~ft the Agreerrfent is completed or terminated prior to ¢ampIetien. The..Municipaiity agrees, as part consideration hereof, that this Agreement is subjedt to the GuideIines and Rules issued by the State Labor Commissioner to impIement E>(ecutive Order No. Three, and that the Municipality will not discriminate in its employment practices or policies wiI[ fiIe all reports as required, and wilt fuIIy cooperate with the State of Connecticut and the State Labor Commissioner. A copy of said Guideiinas is attached and hereby made a part of this Agreement. (3) That this Agreement is subiect to the provisions of Executive Order No. 18 of Governor John-G. 'Rowland promulgated August 4, 1999 and, as such, this Agreement may be cance!ed, terminated or suspended by the State for violation of or noncompIiance wP¢ said Executive Order No. 16. The pa~ies to this AgreemenT, as part of the consideration hereof, agree that said Executive Order No. 16 is incorporated herein by reference and made a part hereof. The parties a~ree to abide by such Executive Order. (4) That this Agreement is subiect to the prowsions of Executive Order No. Seventeen. of Governor Thomas J. MeskilI promulgated February I5, 1973, and, as such: this Agreement may be cancelled, terminated or suspended by the contracting agency or the State Labor Commissioner for vioIation of or noncompliance )vfth said Executive Order No. Seventeen, notwithstanding that the Labor Commissioner mav not be a party, to this Agreement. The parties to this Agreement, as part of the consideration hereof, agree that Execut'rve Order No. Seventeer~ is incorporated herein by reference and made a part hereof. The parties agree to abide by said Executive Order and ag(aa that the contracting October 27, 2000 agency and the State Labor Corbmissioner shalt have joint and sev~raI continuing jurisdi~on in ~spect to Agreement performance in regard to employment epenings'w~ the Connecticut State Employment Se~ice; (5) The MunicipaFrb/ agrees that the attached "Policy Statement, PoIicy No. Administrative 1.9, dated September 1, I999, Subject: PoIicy-on D.B.E.'s, is hereby attached and made a part of this Agreement The State advises the MunicipaJ~ty that failure to carry out the requirements set forth in this policy statemeB~: sha~f constitute a breach of contract and rr~y resutt in termination of this Agreement by the State or such remedy as the State deems appropriate. (6) To acknowlCge a.nd agree to comply with the policies enumerated in 'Connecticut Department of Transportation Policy Statement Policy No. ADMIN-10 Subject: Code cf Ethics Poticy", March 25, 1999, a copy of which is attached hereto arid made e part hereof. (7) To acknowledge and agree to comply with Chapter 219 of the Connecticut General Statutes Dertainin_c to tangible personal p('operty or services rendered that is/are subject to sales ~t.~x. The attached copy of the "Governmental Agency Exemption Certificate" is hereby made a par~ hereof. (8) That susoended or debarred consulting engineers, suppliers, materialman, lessors or other Vendors may not submit proposals for a. State contract or subcontract during the period of suspension or debarment regardless of their anticipated status of the time of contract award or commencement of work. 1. The signature on the Agreement by the Municipality shall constitute cer~itication that to the best of its knowledge and belief the Municipalbj or any person associated-there,Mth in the capacity of owner, partner, director, officer, principal investigator, project director, manager auditor or any position involving the administration of FederaJ or State funds: Is not presently debarred, suspended, aroposed for debarment~ declared ineligible, or voluntarily excluded from covered transactions by any Federal department or agency; Has not within a three-year period preceding this Agreement been convicted of or had a civil judgement rendered against hi~'ner for commission of fraud or a cdminat offense in :onnection with obtaining, attempting to obtain, or perforrding a pubiic (Federal, State or local) transaction or contract under a pubIic transaction, violation of Federal or State antitrust statutes or' commission of embezzlement, the~% forgery, .bno~ry, fa]si~'ication or destruction of rocor, raging g!S~ ~¢ements, or receiving stolen property; Is not presently indicted for or otherwise-crimir'~ly or d~/!Ily charged by a governmental entity (Federal, State or local) with commission of any of the offenses enumerated in paragraph Ih. of this certification; and Has not within a three-year period preceding this Agreem.ent had one or rno;e pubtiC transactions (Federal, State or iOcal) terminated, for oause or default, 2. Who, ~ m: Municipality is unable to certify to any of the statements in ~his certification, such Municipality shall at~ach so expiration to this Agreement. The Municipality. agrees to insure that the following cert~'ication be included in each subcontract Agreement to which it is a party, and further, to require said cer'~'bation to be included in any lower tier subcontracts and purchase orders: The prospective lower tier participant certifies; by submission of the proposal, that neither it nor itsprincipaIs are presently debarred, suspended, p[oposed for debarment, declared ineIigible, or voluntarily 'exclude~i from participation in this tYansaction by any Federal department or agency. b. Where the prospective 'lower tier.participant is unable to certify · to any of the statements in this certification, such prospective participant shaIl attach an explanation to this proposal (9) To comply with the ReguIations' of the United States Depara-nent of Transportation 0-rde 49, Coide of FederaI Regulations, Part 21), issued in implementation of T'rde Vl of the Civil Rights Act of 1964,-78 Stat· 252, 42 U.S;C. 2000d -2000d-4., and Appendix "CB" attac~ed hereto, both of which are hereby made 'a pa~t of this Agreement. (10) That during _the terms of this Agreement, including any extension thereof, the Municipality shall indemnify and save harmIess the State, its officers, agents, and employees.from ail claims, suits, action, damages, and costs of every name and description resultiag from or arisiRg out of operations conducted by the Municipality under this Agreement, including any supplements thereto, or projectq'elated work ' ~, Octobe~ 27, 2000 conducted prior to the execution of this Agreement, and that such indemr~]cation shall not be limited by reason of any insurance coverage. (11) That in the event of an adjustment of cIaims or in the defense of any suit between the State and the Municipality, the Municipality shaIl not use the defense of Governmental lmmUn~. The Municipality retains the right to use its Governmental immun.ity against ar~y party other than the State. (12) To comply w?A the fdtowing audit req,uiremeras in conjunctior~ with the Project herein described: (a) FED~=~,L SINGLE AUDIT:. Each Municipality that expends a total amount'of Federal awards: 1) equal to or in excess of $30C: 300 h any fiscal year shall have. either a single audit made in aocordance with OMB Circular A-133, "Audits of States, Local Govemments, and Non-Profit. Organi2ations" or a program- specific'audit (i.e..eh audit of one federal program); 2) less than $300,000 shall be exempt for such fisc~ yeaL (b) SIATE S[NGLE AUDIT: Each Municipality that expends a tot~J amount of State ~inafiojal assistance: 1) equal to or in excess of ,$100,000 in any fiscaJ year shall have an audit made in accordance with the State Single Audit Act, Connecticut Genem~ Statutes (C.G.S.) Sections 4-230 to 4-236, hereinafter referred to as the State Singte Audit Act or e Program audit; 2) Iess than $100,000 in any fiscal year shall be exempt for such fiscal year. The contents of the audit report must be in accordance with government aJditing standards (1994 Revision) issued by the Comptroller General of the United. States. The audit report shall include the reauirements as outIined in OMB Circular A-133, "Audits of States, Local Governments, and Non-Profit Organizations" and the State Single Audit Act, when applicable. The audited Municipality shall, provide supplementar~ schedules with the following program/grant information: the program/grant number, ConnDOT project number, Federal project number, pnase and expenditures by phase. The sum of project expenditures should agree, in total, to the program/grant exoenditures ~n the audit report. Fedora: and State programs/grants should be listed separately. (See attached schedule entitled "Supplementary Program Information" for format) October 27, 2000 Some. prcgrams/projects may' have a "Matching" requirement, the matching portion of w~.ich must be met from local funds. Where matching requirements exist, the ~dit must cover the complete program/proje~, i~cluding expendfLures ids,niXed v,fd~ or aiiocated to the pa~cuIar prograph;project at the locaJ level, whether the exper, ditures are from Federal, State or LocaJ'Funds. Any di'fferences between the project expenditures identiz~ed by the auditor and those amoL, rC, s approved and/or pa. id by the Connecticut Department of Transportation must be r~or~ciled and resolved immediately Except fcr those projects advertised by the State, the audited Municipality shall retain -all records for seven (7) years after issuance of the ~rojecfs certification of acceptance or three (3) years, after receipt of the final Federal paymenT, whichever.is I-_-:~r, provided there is no per/ding litigation. These records shall thdude the contra2, contractor's monthly and final estimates and invoices, construction orders, c:rrespondence, field books, qomput~tions, contractor's paYrolIs~ EEO/AA reccU..s/reports, and any 6'~her project reIated records. The audited Munidpal~ m,--~ obtain Written ~pprovaJ from the appropriate division within the Conne~icut Department of Transportation prior to destruction of any records and/or dccumem, s pertinent to this Agreement. The Munid. pality shall reqL~ire that the workpapers and repo¢~s of the independent CPA be m~ntsined for a minimum of three (3) years from the date of the Audit Report. The Stat~ requires the righl to audit or review any records/workpapers of De entity or municipaIity and the CPA_pertaining to the Agreement. (13) Codification for Federal-Aid Contracts-.(F'or contracts exceeding $100.000) The Municipality certifies, by signing and submi~ing this~Bi.d, Agreement, Contract, Proposal, to the best of ~s/her knowledge and beIief, that: No Feds,?2 appropriated funds have been paid or will be paid, by or on behalf of the Munidpaiity, to any person for influencing or attempting to influence an officer or empl.oyee of any Feder~=J agency, a _Member 3f Congress, an officer or employee of Congress, or an employee :f a Member of Congress in connection with the awardir~g of any FerZsra] contract, the making of.any Federal grant, the making of any Federal ]can, the entering into of any cooperative agreement, October27,2000 and the extension, continuation, renewal, amendment, or mod$cation of a Fede?d contract, grant, loan, or cooperative agreement If any funds other than Federal appropriated funds have ben paid or will be paid to any person for influencing or attempting to influence an of~cer or employee of any Federal agency, a Member of Congress, an officer or employee of Congress, or an employee of a Member of Congress in connection with this Federal .contract, grant, loan, or co(}p~tive agreement, the Municipai~ shall' complete arid submit Standard Form-LLL, "Disclosure of Lobbying Activities", in accordance with its instruofion~. This Ce~'icatien is a material ,representation of fact upon which reliance ;"~s placed when this transaction was made or entered into. Subrhissfon of. this CertificatiOn is a prerequisite for making or entering into. this transaction impos_ed by Section 1352, T~le 31, U.S. Code. A~y person who fails ta file the reauired Certificatio~ shall be subject to a civil penalty ef not. less than $I0,000 and not more than $100,000 for each such failure. The Municipeiity also agrees by submitting his/her£r~s Bid, Agreement, Contract, P~oposai that he/she/it shall reouire that the language of this Cer~cation be included in ail lower tier subcontractors which exceed Si00,000 and that ail such subrecipients shall certify and disclbse accordingly. (14)(a) That pursuant to Section 4a-60a of the Connecticut General Statutes, (1) The Municipality-agrees and warrants that in the performance of the contract such Municipality will not discdmin~.te or permit discrimination aga!nst any person or group of persons on the grounds of sexual orientation, in any manner p'ohibited by the laws of the United S~.tas.or of the State of Connecticut, and that employees are treated when employed without regard to their sexual orientation; (2) the Municipality agrees to provide each labor union or representative of workers with which such Municipality hesa 8ollective bargaining agreement or other contract or ugderstanding and eech vendor with which such Municipality has a contract or understanding, a notice to be provided by lhe Commission on Human' Rights end Opportunities advising thc labor union or workers' representative of the Municipality's commitments under this section, and to 'post copies of the notice in conspicuous places available to employees and applicants .for employment; (3) the Municipality egr~s to comply with each provision of this section and with each regulation or releyant crdCr issued by said Commission pursuant to section 46a-56 of the general statutes; (4) the ML!nicipaIity agrees to provide the Commission on 8 October 27, 2000 Human Rights and. Opportunities with such information reqLrest~-~J by the Commission, and permit access to pertinent books, records and aocounts, conCerning the. empbym~t practices and procedures of the Munfcipa~ which relate to the provisions of this section and section 46a-56 of the general ¢~tutes. (b) The Municipality shall include the provisidns of subsection (a) of this section tr every subcon~act or purchase order entered into in order to fulfill any obligation of a contract with the State and ~uch provisions shall ~ binding on a subcontractor, vendor or manufacturer unions exempted by regulations or orde~ of the Commission. [--he Munic',rpatity shall t~ke such .action with respect to any such subcontract or purchase order as the Commissio~ may direct as a means of erfforcing such provisions including sa~c~ions~for nonoompF~ance i~ accordance with section 46a-56 of. the general s~tute~ provided, if such Municipality becomes involved in, or is threatened With, litiga~or~ with a subcontractor or vendor as a result of Such directbn by, the Commission, the'MunfcipalYty may request the S~te of'Connecticut to enter ir, fo any such litigation or negotiation prior thereto to protect the interests of the State and the State may so enter. (15) That this ciause applies to those municipalities who are or will be responsible for compliance with the terms of the Americans Disabilities Act of 1990 ("Act"), Pubiic ~w 101-336, during the term of the Agreement. The Municipality reoresents that it is familiar with the terms of this A :t and that it is in ' compliance with the Act Failure of the Municipality to sa:[isfy this standard as the same applies to performance 'under this Agreement, either now or during the term ot the Agreemedt as it may..be amended, . will render the Agreement voidable at the oDtion Of the State upon notice to the Municipality. The Mqnicipality warrants that it will hold the State harmless and indemnify the State from any liability which may be imposed upon the State as a result of any failure of the Municipality-to be in compliance with this Act, as the same applies to performance under this Agreement. (16) That with Fesoect to all ooerations the Municipality performs and ail th~se performed for the Municipality by subcontractors, the Municipality and subcontractors shall carry Workers' Compensation Insurance and, as apoticab?e, insurance required in.accordance with the U. S. Longshore and Harbor Workers' Compensation Act, in a~ordance with the requii'emenzs of the laws of the State of Connecticut, and of the laws of the United States respectively. s~c. ~ ~ Tax a~ a ~:er o~l~(wh~:h~r .~n f%c: or no: ~y ac:~l wi:hboldzn~ o~r~ in a given case), i~ ~ e~loyee-e~loyer SEC. 5. p~ ~x~ve Or,er ~o.~ ~ree. an~ ~Ha~ ~ W~ no~ c~m~na~e ~n h~s ~ ~ ~ -~ ~e~a~a~ ~ re~zir~em~ ~i~ion~ ,~o ~h~ ~ ~ ~ J~Y 16. 1971 State of Connecticut by His Excellency John O. Rowland Executive Order No. 16 WX-tEREAS, the State of Connecticut recognizes that workplace violence is a growing prgblem that must be addressed; and WHEREAS, the State is committed to providing irs employees a reasonably safe and healthy work4n£ environment, free fi-om intimidation, harassment,, threats, and/or violent acrs; and WI-IEREAS, violence or the threat of xSotence by or against any cmp!oyee of the State. of ComnecticUt or member of the public in the.workplace is unacceptable and will subje~ the perpetrator ro serious disciplinary action up to and including discharge ahd c~ penalties. NOW, TI~ERBFORE, I, John G. RowLaud, Governor of the State of Connecticut, acting by vLrme of the authority vested in me by the Constiration and by the statutes of this state, do hereby ORDER and DIRECT: That all stare agency perSOnnel, contractors, subcontractors, and vendors comply with the following ¥iolence in the Workplace Prevention Policy: The State of Connecticut adopts a statewide zero tolerance policy for workplace violence. Therefore, except as may be required as a condition of employmenr-- O No employee shall bring into an5" state worksite any weapon or dangerous instrument as defined herein. O No employee shall use, attempt ro use, or threaten to use any such weapon or dangerous instrument in a state worksite. O No employee shall cause or threaten to cause death or physical injury m any individual in a state worksite. Weapon means any fzrearm, including a BB gun, whether loaded or unloaded, any knife (excluding a small pen or pocket knife), including a switchblade or other knife hawing an automatic spring release device, a stiletto, any police baton or nightstick or any martial arts weapon or electronic defense weapon. Dangerous instrument means any insu'umem, article, or substance dmt, under the circumstances, is capable of causing death or serious physical Violation of the above reasonable work rules shall subject the employee to disciplflm~ acnon up to and including discharge. That each agency mm prominently post this policy and that all managers and supervisors must clearly communicate this policy to ali stare employees. 3. That all managersand sui~erviso~ are expected to enforce this policy fairly and uniformly. 4. That any' employee who feels subjected to or witnesses violent, threaten/rig, harassing, or intimidating behavior inthe workplace immediately report the hacictent or statement to their supervisor, manager. or human resources ~ffice. 5. That any employee who believes that there is a serious threat to their safeD~ or the safety of others that requkes immediate attenti6n-nofi~ proper law enforcement authorities and his or her manager oi superv'isor. 6. That any' manager or supervisor receiving such a report shall mediately contact their human resources office to evaluate, inYesfigate and take appropriate action That all parties must cooperate fully when questioned regarding violations of:this policy. 8. That ail parties be advised that any weapon or dangerous instrument at the works/re will be confiscated and that there is no reasonable expectation of privacy- with respect to such items in the workplace. 9. That th/s order applies m all state employees in the executive branch. i0. That each agency will monitor the effective implementation of this pol/cy. 11 That this order shall take effect immediately. Dated in Hat, ford,- Conneclicm this ,~"w_ 'da~Aucu~ ! 999, - s] ySS re ' of CO N N ECTiCUi DEPARTi IENT oF TRANS ?ORTATION Policy No. ~DMTN.- September 1, 1999 SUBJECT: Policy on D.B.E.s The Department of Transportation !s committed to an effective implementation of a D.B.E. Program as defined mn Title Ag, Code of Federal Regulations, Part 26, and includes the following objeetives: (a) To ensure nondiscrimination in the award and administratlon of DOT-assisted contracts in the Department's highway, transit, and airport financial assistance programs; (b) To create a level playing field in which D.B.E.s can compete fairly for DOT-assisted contracts; (c) To ensure that the Department's D.B.E. Program is narrowly tailored in accordance with ~eplicable law; (d) To ensure only fzrms tha: fully mee: this part's eligibility standards are permitted to particzpace as D.B.E.s; (e)- To help remove barriers to the participation of D.B.E.s in DOT-assisted contracts; and (f) To assist the development of firms that can compete successfully ~n the marketplace outside the D.B.E. Program. The Director of Contract Compliance has been designated as the D.B.E. Liaison Officer. In that capacity, the Director of Contract Compliance i-s responsible "for implementing all aspects of the D.B.E. Program. Implementation of the D.B.E. Program is accorded the same priority as compliance with all other legal obligations incurred by the Connecticut Department of Transportation in its fine,cia! assistance agreements with the U.S. Department of Transportation. As part of the requirements for Title 49, Code of Federal Regulations, Part 26, effective immediately, I am directing the following be included in all federal-aid contracts, all financial assistance agreements, and in all subcontracts. For all agreements with contractors, subcontractors, consultants, cities, 5owns, and all recipients of state or federal-assistance funds: !) The contractor, subrecipient or subcontractor shall not discriminate on the basis of race, color, national origin, or sex in the performance of this contract. The contractor shall c~rry out applicable requmremenms of 49 CFR Pert 26 in the award and administration of DOT-assisted contracts. Failure by the contractor to carry out these requirements ms a manerial breach of this contract, which may result in the termination df this con~ract or such other remedy as the recipient deems appropriate. in addition to the -~bove, all financial agreements shall also contain the following statement: 2) The recipient shall not discriminate on the basis of race, color, national origin, or sex in the award and performance of any DOT-assisted contract or in the administration of its D.B.E. Program or the re.quirements of 49 CFR Part 26. The recipient shall take all necessary and reasonable steps under 49 CFR Part 26 to ensure nondiscrimina5ion mn the award and administration of DOT-assisted co~tracts. The recipient's D.B.E. Program, as required by ~9 C_~R_ Part 26 and as approved by DOT, is incorporated by reference in this agreemenE. Implementation of this program is. a legal obligation and failure to carry out its terms shall be treated as a violation of this agreement. Upon notification to the recipient of its failure to carry out its approved program, the Department may impose sanctions as provided for under Part 26 and may, mn appropriate cases, refer the matter for enforcement under 18 U.S.C. 1001 and/or the Program Fraud Civil Remedies Act of 1986 (31 U.S.C. 3801 et seq). (This statement supersedes the Commissioner's Policy Statement No. ADMIN. 19, dated F~bruary 9, 199~). James F. Sullivan Commissioner CONNECTICUT DEPARTMENT OF TRANSPORTATION Policy No. ADMIN.-10 March 25, 1999 SUBJECT: Code of Ethics Policy It is the policy of the Department that all employees are to comply with Sections 1-79 through 1-89 of the Connecticut General Statutes, as amended, entitled Code of Ethics for Public Officials. Any questions concerning the application of the Code of Ethics for specific situations should be directed to the State Ethics Commission. The Personnel Administrator shall be responsible for issuing periodic updates and/or clarifications of previously released Personnel Memorandums concerning this Code of Ethics Policy as is deemed appropriate. (This statement supersedes the Commissioner's Policy Statement No, ADMtN.-10, dated November 28, -1994.) Agreement No. &.04-01 (03) STATE OF CONNECTI DEPAR~T OF RE¥-ENU~ SERVICES @2 FARMINGTON AVENUE HARTFORD, OOKrNECTICUT 06106 GOVERArMENTAL AGENCY EXEMPTION CERXq~CATB "I I:ft~_P~EBY CERTIFY: that thhs agencyis exemprpursuanr ro § 12-412 (1) of the Connecticut General Statates, that the tan~'ble personal property- descr/bed herein which I shall purchase or lease or the service(s) wt~ch I shall pfirchase from: Fishers Island Ferry District P.O. Box Drawer A Fishers:Island. New. York 06.390 willbensed exclusively by th/s go~]ernmenta] age¢%v for the purposes for w~ch it is organ/zed and will not be resold. Ifa sale of~aeals to this agency is involved, I certify that this agency neither has been nor will be reimbursed in any manner, by dorm~ions, sales of tickets or other~se, by the consumers of the meals for the pr/ce of such meals. Description of property or service(s): Expansion of the-~:New London Ferry Terminal for the Fishers:~tsland Ferry District. Said expansion inCludes, but is not limited to, inStallahion of. sheel bulkhead sheet pilina, backfillinq, qrading * Purchaser SmteofCormecficu% ~epartrnentofT~anspo~a~on . /,~.// // Name of Agency By -Title Engineering & Highway Operations · Address 2800 ]Berlin Ttrrnp~k~, PiO. Box 317546 D ted eand construc'tion of a primary slip, 'including installation of dolphins. '~ ~_E/~ C~2~/2-~1~z that t%is agemcyis exeraptpursuant to § 12412 (1) of the t;orm~ghcmt General Stai~t es. th? the tma=~te personal property descr~e~ hersm y~hS~kI shalI purchase or lease or the s~wice(s) w55ch t'sha~l'purchase frown: Town Hall -~B.O~ 5} R6Rte 25 Southold." New York 11971-0959 . v~l]%eused exclusively byZhis goYerrmaental agency for ~e p~oses for w~ch ii is org~ed ~d ~ not be resoI& ~ a s~e of me~ ~o ~s ~en~ is ~volve~'I ce~ ~t ~s agency mei~er ~ been nor ~ be re~b~sed ~ ~y man~ er, by donation, s~es of rickets or o~e~se, by ~ co~e~ of ~e me~ for ~e p~ce of ~ch meJs. Dbscripfion of property or service(s): Exoansion of.the?New London Ferry Terminal for the ~isher~rIslahd Ferry District. Said expansion includes, but is n6t limited't~, installation of s~ee~ b¢lkhead sheet'eilin~ backfillin~ erading'*- ?Llroh~ser Stymie of Co~ Dep~e~ By. ~ Engineerin~ ~ ~ighwa7 Operations Ad.ess 28o0 BerI~ W~p~e_ P.O. Box 317546 2'.Yew~,~ton~ ConneclSC~t 0G131-I$4G at _~Yewlmg-cor4 Co~mectic~rt *and constrn~ion of a primary s!ip~ i6_cinding imstallation of do, lphins. ~-~-~DIX-CR (ED. 06]077) During the performance of this Agreement, the Second petty, for itself, its assignees and successors in .interest a~rees ~s fo/32ows: (1% C~liance with Regulations: The Second Party sh~]3 co~p_!y m~th the Regulations r~la%ive to nondiscr~=~tion in Feder~-l~y-assisted Drogr~ of the 'United States Departmaut of Trmn _sportation', Title $9, Code of Federal Regu/~tions, Pert 21, a~ they maybe amended from ti~e to t~e, (hereiuafter referred to as the Regulation), which are herein incorporated by rafe-~ce ~nd ma~e a part of this (2) Nondiscr*~aticn: The Second Party, m~th regard to the work performed by it during the Agreement, sb~-]l not discriminate on the grounds of race, color, or origiu~u the selection ~ud retention of subcontractors, including procurem~uts .leames of equipment. The Second Pa~tj ~'o~ not' partici_oate either ~rohibited By section 2!.5 of the Regu~m- ~tions, whe~ th~' Agreement covers a pro~a~ Set forth in the Reg~J~tiO~s. (3) So~!i'citations for Subcontractors~ Inc!udin~ Procurements of Mater~a],~ F~ui~ent: In ~ ] solicztatmons em~her by c~-,y,e~it~ve bidding or negot~atmon made by the Second P~rty for work to be performed under a subcontract, incluM~ng procure.- merits of mat~ials or. lee~es of equi~ent, each potential subcontractor or supp_ lien shall be notified by %he~ Second ~ of the Second Pa~-by's ob!iggtions under this Agreement and the Regulations r~ative to nond~scr~w~nmtion on the gro~uds of race, color, or national origiu. (4~ Information ~d Reoorts: The Second Pa_~ s5~.13 provide ~.]7 ~n~o~tion r~o~s re~ 'by the Re~at~ons, or ~ve~ives isled ~ thereto, ~ access %o its boo~ record, acco~ts, ~her so~ces ~ ~o~%i~, ~d its f~ties ~ ~ be det~ued by the Co~ecti~ ~t of ~o~ation ~ the is ~ the ~cl~ive ~ssession of ~h~ ~o f~] s ~ re.es to ~sh ~o~ti~, the Second ~ sh~ ~ so c~ti~ to the C~ti~t ~p~t of ~r- ration, o~ the ~o~te~ Feder~ ~ 8{~ect~ ~l~d th~e~th,~ ~p~ate~ Set fo~h w~t ~fo~ it h~ ~e to ~ot~ the (5) Sanctions .~or Noncompliance: in the event of the Second P~rty's noncom~_!i- an~e with the nondiscr~s~tion provisions of this Agreement, the Connecticut Department of Tr~sp_art~tion sh~ im!~_ se such sanctions am it or the app~op_rimte Federal Agenc~ directly involved therewith~may determine.to be appropriate, iuc!ud3_ug, but not t~ted to: ~lthhotding of payments to the' Second p~-by ~uder the Agreement until the Second Party ~,,%,1~e$, ~d/or (b) cancellation, ter~-tion or suspension of the Agreement, in whole or (6) Into .r?or~tion of Provisions: The Second Party sh~]~ include the provisions o? !mmra~j~a~_hs (!) t~ (6) ~ e~ ~cont~, ~clu~g ~ts of ~t~i~ thereto. ~e Second P~y sh~l~ ~e ~ acti~ ~th re~ect to ~t ~ the C~ectic~ ~t of ~ation or the ~ate F~ d~e~ i~tv~ th~th,~ ~rect ~ a me~s of ~c~ ~ s~io~ for n~~: ~o~d~, h~e~, t~t, ~ the e~nt ~ a r~t of ~ ~i~, the Second P~ ~y request th~ C~acti~ of ~o~ion to ~t~ ~nto ~ ~tigati~ to ~e~ ~the ~erests of ~e State of Co~e~!~, ~,~ ~ ~ti~, the Second P~ ~ re~e~ th~ U~ted ~at~ ~to ~ ~ion to ~ the ~t~emts of the ~te~ AD~/ERTI S iN~ PROC~iDITRES FOR CONSTRUCTION CONTRACTS ADF/iNiSTERED BY i~INT'CiPALITIES !) Municipality forwards to DOT: a) 5 cosmos of completed plans including utility reiocanion plan sheets, if appropriate. b} 5 coezes of contract documents. c) 5 copies'of Engineer's Construction Cost EstLm. ate separating Federal mhd State participation items from non-participating contract i~ems. 2) 3) 4~ 5) DOT reviews submmLta_s and requests Federal H~ghway Administration's aDDro~-at 5o advertise. Municipality nouified to advertise mn wrising bv DOT. Municipality publishes legal notices notifies DOT of bid openmng (date, nime mmnimum aivers!szng period is required. (sample antached and and rlace A 2i-day Municipality publicly ope bid~. Municipality auc and forwards to DOT: a) Stateme~. ds. _~=ms of the ~owest three bids with b) Detai!e, by ~ - names~of rs. c) List of =fi bidders '~'~ n=--mes ~ ___ ~!~h of bidders an~ to~a! bid A~ounts d) JustifiCation if lowest responsible bid is lass th~n 20 percent er more than 10 percent of the Engineer's Construction Estimate e) Statement that the affirmative action a~d minority/women. '~ ' mn~ contract have been come!ied pus!ness enterprise aspects of ='= with. f) Recomr. endation of award of contract. =6 Federal Highway 7) DOT r=v~=~=' i~ ~ ~ _~ __w~a i~ems above and obtains . Administration's approval to award. DOT alss obtains final funding approval. 8) · Municipality advised to award by letter from DOT. AD~F'LRTi SiNG pRO C '~_~LrAE S PAGE 2 Municipality awards bid, execunes connrac~, and establishes ~mme, place, and date of construction meeting. !0) Municipa!z~y submits no the DOT:' a) Two csmies of the letter awarding the bid. b} Two conformed cooies of contract. c) Notice cf preconstruction meeting. 1!}=__cons=__~__onD~= ~-,~ meeting held and conssrucTion comr. ences. !2) Municipa!iuy pays contractor's invoices and reuuesus reimbursement from DOT, Office of ConstrucTion. NOTE: Field changes, con,fac5 5ime change in~ liquidated damages or s~{her.acnions which will increase the suase and Federal projecc cost muse receive advance approval in };riEing from Lhe DOT. ~ £ADDRES S TO: Mr. Bradley J.Smith Manager of'State Design Co~mecticut Department of /ranspurtation P.O.Box 317546' Newington, CT 06~3~-7546