Exhibit 10-U.docx

EXHIBIT 10-V Local Assistance Procedures Manual Non-Discrimination Clause

Local Assistance Procedures Manual EXHIBIT 10-U Consultant Management Conflict of Interest Statement

Exhibit 10-U Consultant in Management Support Role Conflict of Interest and Confidentiality Statement[footnoteRef:1] [1: Each consultant staff working in a management support role shall complete a separate form.]

RFP/RFQ PROCUREMENT NUMBERS (if applicable):

PROJECT NAME (and FPN, if applicable)[footnoteRef:2]: [2: For on-call contracts or contracts for multiple projects, indicate accordingly.]

APPLICABILITY: To be filled out by local agency consultants in management support role.

□ I am an employee of a consultant under contract to the local agency that is responsible for the procuring and administering of one or more consultant contracts containing either Federal or State funds.

□ I am in a management position with the local agency, my title is listed below and I have attached my duty statement and scope of work.

□ I hereby certify as follows:

1. I recuse myself from all potential conflicts of interest.

2. I will not directly or indirectly participate in, manage, or oversee any consultant selection procurement process in which the consulting firm of which I am employed is competing as a consultant or subconsultant.

3. I will not directly or indirectly influence any employee, staff member, or other individual participating in any consultant selection procurement process in which the consulting firm of which I am employed is as a consultant or subconsultant.

4. I will not directly or indirectly participate in, manage, or oversee any local agency contract that is with the consulting firm of which I am employed, regardless of whether the involvement of my employer in the contract is as a consultant or subconsultant. Among other things, this includes my not being involved in approving changes in the schedule, scope, deliverables or invoices.

5. I understand that if I am involved in any local agency contract that is with the consulting firm of which I am employed, in violation of 1. or 2. above, that local agency contract will no longer be eligible for Federal or State reimbursement because of my involvement.

□ I certify that I have read and understand my responsibilities per 23 CFR 172.7(b)(5)

□ I fully understand that it is unlawful for a person to utilize any organization name (i.e. local agency) or auxiliary organization information, which is not a matter of public record, for personal gain.

□ I have read and fully understand all of the above.

Date: __________________ Signed: ________________________________________

Name: ________________________________________

Title: ________________________________________

Consultant Firm/Sole Proprietor: _____________________________

REVIEWED BY PUBLIC WORKS DIRECTOR OR AUTHORIZED LOCAL AGENCY REPRESENTATIVE

I have reviewed the foregoing “Conflict of Interest and Confidentiality Statement” and will ensure:

□ That the foregoing named local agency consultant who is under contract and in a management support role with our local agency, abides by the foregoing terms and conditions;

□ That should the foregoing named local agency consultant, who is under contract and in a management support role with our local agency, violate any of the foregoing terms and conditions, the Caltrans DLAE will be notified and such violation will be considered a breach of ethics and could be a basis for ineligibility of State or Federal project funds.

□ The procedures followed to procure and execute the contract, between the consulting firm and the local agency of which I am employed, comply with all federal and state requirements. Also this contract has a specific date from to .

Date: __________________ Signed: ________________________________________

Name: ________________________________________

Title: _________________________________________

Department/Local Agency: _____________________________

REVIEWED/CONCURRENCE BY FEDERAL HIGHWAYS

I have reviewed the foregoing “Conflict of Interest and Confidentiality Statement” and supervisor’s statement.

□ I concur that the consultant, who is under contract and in a management support role with the local agency, does not appear to present a conflict of interest. The local agency and the consultant should be considered eligible for federal reimbursement.

□ I do not concur as I believe that the consultant, who is under contract and in a management support role with the local agency, does appear to present a conflict of interest.

Date: __________________ Signed: _________________________________

Name: __________________________________

Position: __________________________________

May 8, 2013 LPP 13-01