HomeMy WebLinkAboutbocc.con.001.2000APPROVED BY BOCC
ON 3-sfr-poso
(FMLAWRK)
AQC C570-007, 13123
REGION 3, (DRS)
CONTRACT #4 / -2000
00 HA3 00045
CONTRACT
THIS CONTRACT, made this oZ9e, day of ie l.. , 2000by and between the
State of Colorado for the use and benefit of THE COLORADO DEPARTMENT OF
TRANSPORTATION, hereinafter referred to as the State or CDOT, and PITMEN COUNTY,
STATE of COLORADO, 76 Service Center Road, Aspen, CO 81611, FEIN: 846000794, hereinafter
referred to as the Local Agency, or the contractor.
FACTUAL RECITALS,
1. Authority exists in the law and funds have been budgeted, appropriated and otherwise made
available and a sufficient unencumbered balance thereof remains available for payment of project
and Local Agency costs in Fund Number 400, Appropriation Code 010, Organization Number 9991,
Program 2000, Function 3301 Object 2312 1 P, Phase C, Reporting Category 3200, Contract
Encumbrance Number 13123, (Contract Encumbrance Amount: $ 228,155.00).
2. Required approval, clearance and coordination have been accomplished from and with
appropriate agencies.
3. Pursuant to Title I, Subtitle A, Section 1108 of the Transportation Equity Act for the 21 st
Century of 1998 (TEA-21) and to applicable provisions of Title 23 of the United States Code and
implementing regulations at Title 23 of the Code of Federal Regulations, as may be amended,
(collectively referred to hereinafter as "the federal provisions"), certain Federal funds have been and
will in the future be, allocated for highway projects requested by I nrs,l Agencies and eligible under
the Surface Transportation Program that has been proposed by the State and approved by the Federal
Highway Administration (FHWA), hereinafter referred to as the program.
4. Pursuant to § 43-1-223, C.R.S. and to applicable portions of the federal provisions, the State
is responsible for the general administration and supervision of performance of projects in the
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program, including the administration of federal funds for a program project performed by a local
agency under a contract with the State.
5. The Local Agency has requested that a certain local highway project be funded as part of the
program, and by the date of execution of this contract the Local Agency (and/or the State) has
completed and submitted a preliminary version of CDOT form #463 describing the general nature
of that project work. The Local Agency understands that, before the project work is actually started,
the description of the project work in that CDOT form #463 will likely be revised as a result of
design changes made by CDOT, in conjunction and coordination with the Local Agency, in its
internal review process. The Local Agency desires to agree to perform the project work as described
in the Form #463, as it may be revised in that Process.
6. Federal -aid funds have been made available for project AQC C570-007, which shall consist
of bituminous surface treatment on Owl Creek Road for 1.1 miles herein referred to as "the project"
or "the work" in Pitkin County, Colorado, specifically described in Exhibit A, attached hereto and
made part hereof (the Form #463 and/or a "Scope of Work").
7. The matching ratio for this federal -aid project is 82.79% federal -aid funds to 17.21 % Local
Agency funds, it being understood that such ratio applies only to such costs as are eligible for federal
participation, it being further understood that all non -participating costs shall be borne by the Local
Agency at 100%.
8. The Local Agency desires to comply with the federal provisions and other applicable
requirements, including the State's general administration and supervision of the project through this
contract, in order to obtain federal funds for the project.
9. The Local Agency has estimated the total cost of the Work and is prepared to provide its
match share of the cost, as evidenced by an appropriate ordinance or resolution duly passed and
adopted by the authorized representatives of the Local Agency, which expressly authorizes the Local
Agency to enter into this contract and to expend its match share of the Work. A copy of this
ordinance or resolution is attached hereto and incorporated herein as Exhibit B.
10. This contract is executed under the authority of §§ 29-1-203, 43-1-110, 43-1-116,
43-2-101(4)(c) and 43-2-144, C.R.S., as amended, and the Local Agency ordinance/resolution.
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1 1. The parties hereto desire to agree upon the division of responsibilities with regard to the
project.
12. The Local Agency is adequately staffed and suitably equipped to undertake and satisfactorily
complete some or all of the Work.
13. The State certifies that such work can be more advantageously performed by the Local
Agency.
NOW, THEREFORE, it is hereby agreed that:
I. STANDARD FORM CONTRACT
This is a standard form contract that is designed to efficiently contract for and administer 2 types of
program projects: 1) program projects which include the same basic work elements (design;
construction; construction administration by local agency; right-of-way; utilities; etc.); and also,
2) program projects with specific differences in those basic work elements (e.g. a specific project
may include design but no construction, or it may include design and construction but the State will
do the construction administration, etc.)
The form contract accommodates both types of projects by using qualifying language to condition
the application of particular contract requirements, based on whether specific work elements are
included in the project. For instance, where the contract provides ... "If the Work includes
engineering/design services, the Local Agency shall perform the following requirements ...", the
Local Agency need perform those requirements only if engineering/design services are expressly
included in the project, as defined in the Scope of Work. (Conversely, notwithstanding that language
is in the contract, the Local Agency can ignore those "requirements" if engineering/design services
are NOT expressly included in the Scope of Work.)
The Local Agency shall interpret such qualifying language in that manner. By using such language,
the form contract can apply to both the general and the specific types of projects, thus making it
easier to administer and saving the State and the Local Agency time and expense.
H. PROJECT DESCRIPTION
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"The project" or "the Work" under this contract shall consist of bituminous surface treatment on
Owl Creek Road for 1.1 miles in Pitkin County, Colorado, as more specifically described in
Exhibit A, attached hereto and made a part hereof (the Form #463 and/or a "Scope of Work") as
it may be revised by the parties in the design review process before the project work is actually
started.
III. INCORPORATION BY REFERENCE
All federal and state statutes, regulations, specifications, administration checklists, directives,
procedures, documents, and publications that are specifically identified and/or referenced in this
contract, together with all exhibits and attachments and addenda to this contract, are incorporated
herein by this reference as terms and conditions of this contract as though fully set forth.
IV. WORK RESPONSIBILITY
The Local Agency shall be responsible to perform all design, utility, construction and
construction administration tasks required to complete the Work, and the Local Agency shall
comply with all applicable terms and conditions of this contract in performing the Work,
including those process and task responsibilities and standards as specifically indicated in the
Pre -Construction and Construction Administration Checklists attached hereto and made a part
hereof. The responsible party shall perform all such tasks in accordance with applicable
requirements and standards, including those in this contract and in applicable law.
V. PROJECT FUNDING PROVISIONS
The funding provisions for the project are attached hereto and incorporated herein as Exhibit C.
VI. PROJECT PAYMENT PROVISIONS
A. The State will reimburse the Local Agency for the federal -aid share of the project charges
following the State's review and approval of such charges, subject to the terms and
conditions of this contract. Provided, however, that charges incurred by the Local
Agency prior to the date of FHWA authorization for the project and prior to the date this
contract is executed by the State Controller or his designee will not be charged by the
Local Agency to the project, and will not be reimbursed by the State, absent specific
FHWA and/or State Controller approval thereof.
B. The State will reimburse the Local Agency's reasonable, allocable, allowable costs of
performance of the Work, not exceeding the maximum total amount described in Exhibit
C. The applicable principles described in Title 49, Code of Federal Regulations, Part 18
(the "Common Rule"), Subpart C ("Financial Administration"), including 49 C.F.R.
18.22, shall govern the allowability and allocability of costs under this contract. The
Local Agency shall comply with all such principles. To be eligible for reimbursement,
costs by the Local Agency shall be:
1. in accordance with the provisions of Exhibit C and with the terms and conditions
of the contract.
2. necessary for accomplishment of the Work.
3. reasonable in amount for the goods and services provided.
4. actual net cost to the Local Agency (i.e., the price paid minus any refunds, rebates,
or other items of value received by the Local Agency that have the effect of
reducing the cost actually incurred).
5. incurred for Work performed subsequent to the effective date of this contract.
6. satisfactorily documented.
C. The Local Agency shall establish and maintain a proper accounting system in accordance
with generally accepted accounting standards (a separate set of accounts, or as a separate
and integral part of its current accounting scheme) to assure that project funds are
expended and costs accounted for in a manner consistent with this contract and project
objectives.
1. All allowable costs charged to the project, including any approved services
contributed by the Local Agency or others, shall be supported by properly
executed payrolls, time records, invoices, contracts or vouchers evidencing in
detail the nature of the charges.
2. Any check or order drawn up by the Local Agency, including any item which is or
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will be chargeable against the project account shall be drawn up only in
accordance with a properly signed voucher then on file in the office of the Local
Agency, which will detail the purpose for which said check or order is drawn. All
checks, payrolls, invoices, contracts, vouchers, orders or other accounting
documents shall be clearly identified, readily accessible, and to the extent feasible,
kept separate and apart from all other such documents.
D. Upon execution of this contract, the State is authorized, in its discretion, to perform any
necessary administrative support services pursuant to this contract. These services may
be performed prior to and in preparation for any conditions or requirements of this
contract, including prior FHWA approval of project work. The Local Agency
understands and agrees that the State may perform such services, and that payment for
such services shall be at no cost to the State but shall be as provided in Exhibit C. At the
request of the Local Agency, the State shall also provide other assistance pursuant to this
contract as may be agreed in writing. In the event that federal -aid project funds remain
available for payment, the Local Agency understands and agrees the costs of any such
services and assistance shall be paid to the State from project funds at the applicable rate.
However, in the event that such funding is not made available or is withdrawn for this
contract, or if the Local Agency terminates this contract prior to project approval or
completion for any reason, then all actual incurred costs of such services and assistance
provided by the State shall be the sole expense of the Local Agency.
E. If the Local Agency is to be billed for COOT incurred costs, the billing procedure shall be
as follows:
i. Upon receipt of each bill from the State, the Local Agency will remit to the State
the amount billed no later than 45 days after receipt of each bill. Should the Local
Agency fail to pay moneys due the State within 45 days of demand or within such
other period as may be agreed between the parties hereto, the Local Agency agrees
that at the request of the State, the State Treasurer may withhold an equal amount
from future apportionments due the Local Agency from the Highway Users Tax
Fund and to pay such funds directly to the State. Interim funds, until the State is
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reimbursed, shall be payable from the State Highway Supplementary Fund (400).
2. If the Local Agency fails to make timely payment to the State as required by this
section (within 45 days after the date of each bill), the Local Agency shall pay
interest to the State at a rate of one percent per month on the amount of the
payment which was not made in a timely manner, until the billing is paid in full.
The interest shall accrue for the period from the required payment date to the date
on which payment is made.
F. The Local Agency will prepare and submit to the State monthly charges for costs incurred
relative to the project. The Local Agency's invoices shall include a description of the
amounts of services performed, the dates of performance and the amounts and description
of reimbursable expenses. The invoices will be prepared in accordance with the State's
standard policies, procedures, and standardized billing format attached hereto and made a
part hereof as Exhibit D.
G. To be considered for payment, billings for payment pursuant to this contract must be
received within 60 days after the period for which payment is being requested and final
billings on the contract must be received by the State within 60 days after the end of the
contract term.
1. Payments pursuant to this contract shall be made as earned, in whole or in part,
from available funds, encumbered for the purchase of the described services. The
liability of the State, at any time, for such payments shall be limited to the amount
remaining of such encumbered funds.
2. In the event this contract is terminated, final payment to the Local Agency may be
withheld at the discretion of the State until completion of final audit.
3. Incorrect payments to the Local Agency due to omission, error, fraud, or
defalcation shall be recovered from the Local Agency by deduction from
subsequent payment under this contract or other contracts between the State and
Local Agency, or by the State as a debt due to the State.
4. Any costs incurred by the Local Agency that are not allowable under the Common
Rule shall be reimbursed by the Local Agency, or offset against current
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obligations due by the State to the Local Agency, at the State's election.
VIE. STATE COMMITMENTS
A. The State will provide liaison with the Local Agency through the State's Region Director,
Region 3, 222 South Sixth Street, Grand Junction, Colorado 81501-2769, (970) 248-
7225. Said Region Director will also be responsible for coordinating the State's activities
under this contract. Said Region Director will also issue a "Notice to Proceed" to the
Local Agency for commencement of the Work. All communication relating to the day-
to-day activities for the work shall be exchanged between representatives of the State's
Transportation Region 3 and the Local Agency. Until changed by notice in writing, all
routine correspondence shall be addressed as follows:
If to State: If to the Local Agency:
Joe Eisen Stan Berryman
CDOT Region 3 Pitkin County
202 Centennial 76 Service Center Road
Glenwood Springs, CO 81602 Aspen, CO 81611
(970) 945-7629 (970) 920-5396
B. The State will reimburse the Local Agency for the federal -aid share of the project
charges, as provided in Exhibit C.
C. If the Work includes construction, the State, at its discretion, will review construction
plans, special provisions and estimates and will cause the Local Agency to make those
changes therein that the State determines are necessary to assure compliance with State
and FHWA requirements.
D. The State will perform a final project inspection prior to project acceptance as a Quality
Control/Assurance activity. When all project work has been satisfactorily completed, the
State will sign the FHWA form 1212.
VIII. LOCAL AGENCY COMMITMENTS
A. DESIGN.
I. If "the Work" includes preliminary design, or final design (a.k.a. "construction plans"), or
design work sheets, or special provisions and estimates (collectively referred to as "the
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Plans"), the party that is responsible under Section IV (either the Local Agency or the State)
for the PlanAdesign shall comply with the following requirements, as applicable:
1. perform or provide the Plans, to the extent required by the nature of the Work.
2. prepare final design ("construction plans") in accord with the requirements of the
latest edition of the American Association of State Highway Transportation Officials
(AASHTO) manual.
3. prepare special provisions and estimates in accord with the State's Roadway and
Bridge Design Manuals and Standard Specifications for Road and Bridge
Construction.
4. include details of any required detours in the Plans, in order to prevent any
interference of the construction work and to protect the traveling public.
5. stamp the Plans produced by a Colorado Registered Professional Engineer.
6. provide final assembly of Plans and contract documents.
7. be responsible for the Plans being accurate and complete.
8. make no further changes in the Plans following the award of the construction contract
except by agreement in writing between the parties. The Plans shall be considered
final when approved and accepted by the parties hereto, and when final they shall be
deemed incorporated herein.
II. If the Local Agency is the responsible party:
1. It shall afford the State ample opportunity to review the Plans and make any changes
in the Plans as directed by the State to comply with FHWA requirements.
2. It may enter into a contract with a consultant to do all or any portion of the Plans
and/or of construction administration. Provided, however, that if federal -aid funds
are to participate in the cost of such work to be done by a consultant, the Local
Agency shall ensure that its procurement of that consultant contract (and the
petformance/provision of the Plans under that contract) complies with all applicable
requirements of Title 23, Code of Federal Regulations (CFR), Part 172, (concerning
the Administration of Engineering and Design Related Service Contracts), and with
any procedures implementing those requirements as provided by the State, including
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those in Attachment #1, which is incorporated herein by this reference. If the Local
Agency does enter into a contract with a consultant for the work:
a) It shall (or its consultant shall) submit any design consultant subcontract to
CDOT for approval prior to its execution by the Local Agency/Contractor, as
required by § 172.5 (d);
b) It shall ensure that all changes in the consultant contract shall be by written
supplemental agreement and must have prior approval of the State and FHWA. As
soon as the contract with the consultant has been awarded by the Local Agency, one
copy of the executed contract shall be submitted to the State. Any amendments to
such contract shall be similarly submitted;
c) It shall require that all consultant billings under that contract shall comply
with the State's standardized consultant billing format. Examples of the billing
formats for the various methods of contract payment are attached hereto as
Attachment 2;
d) It shall (or its consultant shall) also use the CDOT procedures as described
in Attachment #1 to administer that design consultant subcontract, to comply with
§ 172.5(b) and (d);
e) It may expedite any CDOT approval of its procurement process and/or
consultant contract by submitting a letter to CDOT from the certifying Local
Agency's attorney and/or authorized representative certifying compliance with those
CDOT Attachment #1 procedures and with the requirements of § 172.5(b) and (d).
f) It shall ensure that its consultant contract complies with the requirement of
49 CFR § 18.36(i) and contains the required provisions, as well as the following
language which shall be included verbatim:
1) "The design work under this contract shall be compatible with the
requirements of a separate contract between the Local Agency and the State
(which is incorporated herein by this reference) for the design/construction
of the project. The State is an intended third party beneficiary of this contract
for that purpose."
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2) "Upon advertisement of the project work for construction, the
consultant shall make available services as requested by the State to assist the
State in the evaluation of construction and the resolution of construction
problems that may arise during the construction of the project."
3) "The consultant shall review the construction contractor's shop
drawings for conformance with the contract documents and compliance with
the provisions of the State's publication, "Standard Specifications for Road
and Bridge Construction", in connection with this work."
B. CONSTRUCTION.
If "the Work" includes construction, the party that is responsible under Section IV for the
construction/construction administration (either the Local Agency or the State) shall perform
the construction in accordance with the approved design plans and/or administer the
construction all in accord with the project's Pre -construction and Construction Contract
Administration Checklists. Such administration shall include project inspection and testing;
approving sources of materials; performing required plant and shop inspections;
documentation of contract payments, testing, and inspection activities; preparing and
approving pay estimates; preparing, approving, and securing the funding for contract
modification orders (CMOs) and minor contract revisions (MCRs); processing contractor
claims; construction supervision; and, meeting the Quality Control (QC) requirements of the
FHWA/State stewardship program, all as more fully described in the project's Pre -
construction and Contract Administration Checklists.
II. If the Local Agency is the responsible party:
1. it shall appoint a qualified professional engineer, licensed in the State of Colorado,
as the Local Agency Project Engineer (CAPE), to perform that administration. The
LAPE shall administer the project in accordance with this agreement, the
requirements of the construction contract, and applicable State procedures. The
LAPE may be an employee of the Local Agency or may be a consultant. If the LAPE
is an employee of the Local Agency, the LAPE shall be in responsible charge of the
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construction of the project (as provided in § 12-25-102 C.R.S. as amended),
notwithstanding any exception described in § 12-25-103, C.R.S., as amended.
2. if bids are to be let for the construction of the project, it shall advertise the call for
bids in conjunction with the State and upon concurrence by the State, award the
construction contract(s) to the low responsive, responsible bidder(s).
a) In advertising and awarding the bid for the construction of a federal -aid
project, the Local Agency shall comply with applicable requirements of 23 U.S.C.
§ 112 and 23 C.F.R. §§ 633 and 635. Those requirements include, without
limitation, that the Local Agency/Contractor shall physically incorporate the entire
"Form 1273" (which, if relevant to this contract, is attached) verbatim into any
subcontract(s) for those services as terms and conditions thereof, as required by 23
CFR § 633.102(e).
b) The Local Agency has the option to accept or reject the proposal of the low
bidder for work on which competitive bids have been received. The Local Agency
must declare the acceptance or rejection at the award conference or within 3 working
days after said bids are publicly opened, whichever occurs later.
c) By indicating its concurrence in such award at the award conference, the
Local Agency acting by or through its duly authorized representatives, agrees to
provide additional funds, subject to their availability and appropriation for that
purpose, if required to complete the Work under this project if no additional
federal -aid funds will be made available for the project.)
3. if all or part of the construction work is to be accomplished by Local Agency
personnel i.e., by "force account"), rather than by a contractor pursuant to a contract
with the Local Agency, the Local Agency will ensure that all such force account work
is accomplished in accordance with the pertinent State specifications and
requirements and with 23 C.F.R. Part 635, Subpart B, "Force Account Construction".
a) Such work will normally be based upon estimated quantities and firm unit
prices agreed to between the Local Agency, the State and the FHWA in advance of
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the Work, as provided for in § 635.204(c). Such agreed unit prices shall constitute
a commitment as to the value of the Work to be performed.
b) An alternative to (a) is that the Local Agency may agree to participate in the
Work based on actual costs of labor, equipment rental, materials supplies and
supervision necessary to complete the Work. Where actual costs are used, eligibility
of cost items shall be evaluated for compliance with Federal Acquisition Regulations
(FAR), 48 C.F.R. Part 31.
c) Rental rates for publicly owned equipment will be determined in accordance
with §109.04 of the State's "Standard Specifications for Road and Bridge
Construction''.
d)
All force account work shall have prior approval of the State and/or FHWA
and shall not be initiated until the State has issued a written notice to proceed
C. ROW ACOUISITION/RELOCATION.
Prior to this project being advertised for bids, the Local Agency will certify in writing to the
State that all right of way has been acquired in accordance with the applicable State and
federal regulations, or that no additional right of way is required.
D. UTILITIES.
The Local Agency will be responsible for obtaining the proper clearance or approval from
any utility company which may become involved in this project, by separate agreement
between the Local Agency and the utility, if necessary. Prior to this project being advertised
for bids, the Local Agency will certify in writing to the State that all such clearances have
been obtained.
E. RAILROADS.
In the event the project involves modification of a railroad company's facilities at a railroad
grade crossing whereby the Work is to be accomplished by railroad company forces, the
Local Agency shall make timely application to the State Public Utilities Commission
requesting its order providing for the installation of the proposed improvements and not
proceed with that part of the work without compliance. The Local Agency shall also
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establish contact with the railroad company involved for the purpose of complying with
applicable provisions of 23 Code of Federal Regulations 646, Subpart B, concerning federal -
aid projects involving railroad facilities, including:
1. Executing an agreement setting out what work is to be accomplished and the
location(s) thereof, and that the costs of the improvement shall be eligible for federal
participation.
2. Obtaining the railroad's detailed estimate of the cost of the Work.
3. Establishing future maintenance responsibilities for the proposed installation.
4. Prescribing future use or dispositions of the proposed improvements in the event of
abandonment or elimination of the grade crossing.
5. Establishing future repair and/or replacement responsibilities in the event of
accidental destruction or damage to the installation.
F. ENVIRONMENTAL.
The Local Agency shall perform all work in accord with the requirements of current federal
and state environmental regulation including the National Environmental Policy Act of 1969
(NEPA) as applicable.
G. RECORD KEEPING.
The Local Agency shall maintain all books, documents, papers, accounting records and other
evidence pertaining to costs incurred and to make such materials available for inspection at
all reasonable times during the contract period and for 3 years from the date of final payment
to the Local Agency. Copies of such records shall be furnished by the Local Agency if
requested.
B. The Local Agency shall, during all phases of the Work, permit duly authorized agents and
employees of the State and the FHWA to inspect the project and to inspect, review and audit
the project records.
H. MAINTENANCE.
The Local Agency will maintain and operate the improvements constructed under this
contract, at its own cost and expense during their useful life, in a manner satisfactory to the
State and FHWA, and will make ample provision for such maintenance each year. Such
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maintenance and operations shall be in accordance with all applicable statutes and
ordinances, and regulations promulgated thereunder, which define the Local Agency's
obligation to maintain such improvements. The State and FHWA will make periodic
inspections of the project to verify that such improvements are being adequately maintained.
FEDERAL REOUIREMENTS.
The Local Agency/Contractor shall at all times during the execution of this contract strictly
adhere to, and comply with, all applicable federal and state laws, and their implementing
regulations, as they currently exist and may hereafter be amended, which are incorporated
herein by this reference as terms and conditions of this contract. The contractor shall also
require compliance with these statutes and regulations in subgrant agreements permitted
under this contract. A listing of some of the federal and state laws that may be applicable,
depending on the Local Agency/Contractor work responsibilities under this contract, are
described in ADDENDUM A.
J. DBE REOUIREMENTS
The Local Agency will comply with the requirements of Appendix B and the Construction
Contract Administration Checklist regarding DBE requirements for the work, except that if
the Local Agency desires to use its own DBE Program to implement and administer the DBE
provisions of Title 49 CFR Part 23 under this contract, it must submit a copy of its program's
requirements to CDOT for review and approval before the execution of this contract. If the
Local Agency uses its program for this contract, the Local Agency shall be solely responsible
to defend that DBE Program and its use of that Program against all legal and other challenges
or complaints, at its sole cost and expense. Such responsibility includes, without limitation,
determinations concerning DBE eligibility and certification, adequate legal and factual bases
for DBE goals, and good faith efforts. CDOT approval (if any) of the Local Agency's DBE
Program does not waive or modify the sole responsibility of the Local Agency for its use as
described above.
K. LOCAL AGENCY FUNDS
The Local Agency shall provide its match share and indirect cost funds for the work as
outlined in Exhibit C.
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IX. GENERAL PROVISIONS
A. Notwithstanding any consents or approvals given by the State for the Plans, the State will not
be liable or responsible in any manner for the structural design, details or construction of any
major structures that are designed within the Work of this contract.
B. If the Work involves construction, the State shall have the authority to suspend the Work,
wholly or in part, by giving written notice thereof to the Local Agency, due to the failure of
the Local Agency or its construction contractor to correct project conditions which are unsafe
for the Workmen or for such periods as the State may deem necessary due to unsuitable
weather, or for conditions considered unsuitable for the prosecution of the Work, or for any
other condition or reason deemed by the State to be in the public interest.
C. This contract may be terminated as follows:
1. Termination for Cause. If, through any cause, the Local Agency shall fail to fulfill,
in a timely and proper manner, its obligations under this contract, or if the Local
Agency shall violate any of the covenants, agreements, or stipulations of this
contract, the State shall thereupon have the right to terminate this contract for cause
by giving written notice to the Local Agency of its intent to terminate and at least ten
(10) days opportunity to cure the default or show cause why termination is otherwise
not appropriate. In the event of termination, all finished or unfinished documents,
data, studies, surveys, drawings, maps, models, photographs, and reports or other
material prepared by the Local Agency under this contract shall, at the option of the
State, become its property, and the Local Agency shall be entitled to received just and
equitable compensation for any services and supplies delivered and accepted. The
Local Agency shall be obligated to return any payment advanced under the provisions
of this contract.
Notwithstanding above, the Local Agency shall not be relieved of liability to the
State for any damages sustained by the State by virtue of any breach of the contract
by the Local Agency.
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If after such termination it is determined, for any reason, that the Local Agency was
not in default, or that the Local Agency's action/inaction was excusable, such
termination shall be treated as a termination for convenience, and the rights and
obligations of the parties shall be the same as if the contract had been terminated for
convenience, as described herein.
2. Termination for Convenience. The State may terminate this contract at any time the
State determines that the purposes of the distribution of funds under the contract
would no longer be served by completion of the project. The State shall effect such
termination by giving written notice of termination to the Local Agency and
specifying the effective date thereof, at least twenty (20) days before the effective
date of such termination.
3. Termination Due to Loss of Funding. The parties hereto expressly recognize that the
Local Agency is to be paid, reimbursed, or otherwise compensated with federal
and/or State funds which are available to the State for the purposes of contracting for
the project provided for herein, and therefore, the Local Agency expressly
understands and agrees that all its rights, demands and claims to compensation
arising under this contract are contingent upon availability of such funds to the State.
In the event that such funds or any part thereof are not available to the State, the
State may immediately terminate or amend this contract.
D. Notwithstanding anything herein to the contrary, the parties understand and agree that all
terms and conditions of this contract and attachments hereto which may require continued
performance or compliance beyond the termination date of the contract shall survive such
termination date and shall be enforceable by the State as provided herein in the event of such
failure to perform or comply by the Local Agency.
E. This contract is subject to such modifications as may be required by changes in federal or
State law, or their implementing regulations. Any such required modification shall
automatically be incorporated into and be part of this contract on the effective date of such
change as if fully set forth herein. Except as specifically provided otherwise herein, no
modification of this contract shall be effective unless agreed to in writing by both parties in
-17-
i1
an amendment to this contract that is properly executed and approved in accordance with
applicable law.
F. To the extent that this contract may be executed and performance of the obligations of the
parties may be accomplished within the intent of the contract, the terms of this contract are
severable, and should any term or provision hereof be declared invalid or become inoperative
for any reason, such invalidity or failure shall not affect the validity of any other term or
provision hereof. The waiver of any breach of a term hereof shall not be construed as a
waiver of any other term, or the same term upon subsequent breach.
G. This contract is intended as the complete integration of all understandings between the
parties. No prior or contemporaneous addition, deletion, or other amendment hereto shall
have any force or effect whatsoever, unless embodied herein by writing. No subsequent
novation, renewal, addition, deletion, or other amendment hereto shall have any force or
effect unless embodied in a written contract executed and approved pursuant to the State
Fiscal Rules.
H. Except as herein otherwise provided, this contract shall inure to the benefit of and be binding
upon the parties hereto and their respective successors and assigns.
The Local Agency represents and warrants that it currently has no interest, and shall not
acquire any interest, direct or indirect, that would conflict in any manner or degree with the
performance of the Local Agency's obligations under this contract. The Local Agency's
further covenants that, in the performance of this contract, it will not employ any person or
firm having any such known interests.
J. This contract shall become "effective" only upon the date it is executed by the State
Controller, or designee. The term of this contract shall begin on the date first written above
and shall continue through the completion and final acceptance of this project by the State,
FHWA and Local Agency.
K. The Special Provisions, Attachment LO (Certification for Federal -Aid Contracts), and
Appendix B (DBE requirements) and Addendum B, Contract Modification Tools, attached
hereto are hereby made a part of this contract. The Local Agency shall comply with all
applicable terms and conditions of such attachments.
-18-
L. If a conflict occurs between the provisions of this contract proper and the attachments hereto,
the priority to be used to resolve such a conflict shall be as follows:
1. The Special Provisions and the attachments enumerated in Section IX, paragraph K,
above; and
2. This contract proper;
3. Other contract exhibits and attachments, in descending order of their attachment.
M. It is expressly understood and agreed that the enforcement of the terms and conditions of this
contract, and all rights of action relating to such enforcement, shall be strictly reserved to the
parties hereto, and nothing contained in this contract shall give or allow any such claim or
right of action by any other or third person on such contract. It is the express intention of the
parties that any person or entity other than the parties receiving services or benefits under this
N. The Local Agency assures and guarantees that it possesses the legal authority to enter into
this contract. The Local Agency warrants that it has taken all actions required by its
procedures, by-laws, and/or applicable law to exercise that authority, and to lawfully
authorize its undersigned signatory to execute this contract and to bind the Local Agency to
its terms. The person(s) executing this contract on behalf of the Local Agency warrants that
they have full authorization to execute this contract.
-19-
/f
IN WITNESS WHEREOF, the parties hereto have executed this contract the day and
year first above written.
ATTEST:
By
STATE OF COLORADO
BILL OWENS, GOVERNOR
Ay5f. Chief Clerk YFrxecutive rector
ARTHUR L. BARNHART
State Controller
DEPARTMENT OF T ANSPORTATION
APPROVED:
KEN SALAZAR
Attorney General
By
Assistant Attomq Gene
Civil Litigation Section
PITKIN COUNTY, COLORADO
Byaaoj i k`r
Title,�b��
Federal Employer Identification
Number: 846000794
-20-
�d
12:24
9702487254
CDOT
PAGE 03
ColoradotDapartment of Transportation
origin Date: 01/202000
Project code: 13123
STIP number: 1N3659
DESIGN DATA
Revise Data:
Project number: AQCCS70.007
PE Protect Code PE Project Number
Metric
Q
English
Revision s:
Region: 03
I
Pape I
Status: 0 preliminary 0 Final 0 revised
Project CMAQ
dsaaiption. PTTCO
Prepared by;
David C. Miller
Revised by:
Countyl: Pitkin
ICounty2:
ICounty3:
Date: 01/20/2000
Date.
Municipality;
Submitted by Proj.Mgr
A by reconstruction
Epgineer
System coda! Q IM Q MIS STP Q OTHER
-t'l^"Te0.4i_ �yr
Oversight: • CDOT Q FHWA Q OTHER
aDate: %�. ,.+a,p a %/Llama•
Planned length: 1
Geographic location:
TNTHE PM-10 NON ATATNMENT AREA OF PITICIN COUNTY. OWL CREEK ROAD FOR 1.1 MILES. C Y H 1614I
GJ`
`p'
Terrain type; 0 Level Q Plains 0 Rolling Q Urban • Mountainous
Description of proposed canstructioNimprovemenl (*Bach map showing sits location)
CONGESTION MITIGATION AIR QUALITY FUNDS FOR PITKIN COUNTY TO UTILIZE TO MITIGATE PM-1 0 NON-ATAINMENT
CONSIDERATIONS, OWL CREEK ROAD
1 Traffic (Note- use columns A. B. and/or C to identify facility described below)
• Current year: Future year
Facili location
Facility
ADT
DHV
DHY%trucks I ADT
OHV I Industrial commercial Residential
Other
A
I] I L L,
2
B
I I I I ❑ u
c I I I I I 1_ I _I
2
RdwyClass
Route
Refpt
Endrefpt
Functional classification
Facility type
Rural code
1.
999
Local
Not Roadway
a 5.000
2.
3.
3 Design Standards (Identify
substandard items with a checkmark
in 1st column and clarify in remarksl
Standard
Existing
Proposed
Ultimate
Standard
Existing
Proposed
Ultimate
Standard
Existing
Proposed
Ultimate
f.
Surface type
' ' Typical section type
HI e of travel lanes
_I
7
Width'of travel lanes
0
Shoulder wd. It./median
wd rt./outside
rShoulder
Side slope dist. rz")
0
Median width
—i Posted speed
Design speed
flMax. superelevatlon
nt MM. radius
1 Min. horizontal asd
riI Min. vertical sad
il Max. grade
Project under Q IR Q 3R Q 4R • Other: CMAQ trite la
Existing guardrail meets current standards• 0 Yea Q Na
Variance in minimum design atendards required Q Yes Q NC
Justification attached f Request to be submitted
,' Ile (see item * See remarks
L Srid ) I�
1----Safety project
Not all standards
addressed
Comments:
n Stage construction
Resurfacing projects .
1--, concerning safety aspects attached
CDOT Form ee63
8797
9702487254
CDOT
PAGE 04
000 12:24
Page 2 !Project Code. 13123
Project Number: AQC C570-007 _
Revise Date:
® Major Structures
S=ta toy, Raw be nmpved, P=pnrpossd newevucwre i Standard Structure Horizontal Vertical Year
Structure ID* 1 !
Length !Ref. Point
Feature IMersacted !
Width
! Rdwy
Load
Clearance
Clearance
Built
I
Proposed treatment of bridges to remain in place (address bridge rail, capacity, and allowable surface thickness)
5 Project Characteristics (proposed)
Median type'. 0 depressed 0 painted v raised 0 none
El lightin
Handicap ramps
r, Traffic control signals ?Striping
'Curb and gudor
Curb only
Left -turn slots
continuous width =
rlSidewalk widen= [ IBlkevny witltht
—RigMdum slots ncontinuous width =
in,Parking lane wkIth = n Detours
Signing: nconslruction npermanent
Landscape requirements: (description) -
Other. (description) E) j j Bt
6
Right of Way Yes No Est No.
ROW and/or perm. easement required: 0 •
7
Utilities (list names of known utility companies)
UNKNOWN AT T1i1S TIME
Relocation required 0 •
Temporary easement required: 0 •
Changes in access. 0 •
Changes to connecting roads. 0 •
['Railroad
eroasings a of crossings:
Railroad Name
Agreements
required
Present protection
Condition of Zings
1
•
2
•
3
0
4
Li
Recommendations:
9
Environmental envProleode: approved under project O.
0MaJOr (refer to approved ROD)
0 Minor (refer to CDOT Form rf128)
Dated:
CI It
O Intermediate (refer to approved FONSI)
Minor programmatic exclusion
Comments.
10
Coordination _
service
lands (power sites, reservoirs, etc.) cleared enough BLM forest service office
Irrigation ditch name;
LWithdrawn
New traffic ordinance required
U Modify schedule of existing ordinance
Municipality.
Other:
11
Construction method noAdReason: Q Design O Local FIA
- 0 P.O. 0 RR F/A Entity/Agency contact name: STAN BERRYMAN
Advertised by; p State
• Local • 0 Study 0 Utility PM Phone number 970 920-5396
O None Q COOT RA Q Miscellaneous
12
THIS
Remarks (Include additional pages if needed)
WILL BE A SURFACE TREATMENT PROJECT FOR LOWER OWL CREEK ROAD FOR 1.1 MILES USING CMAQ FUNDING.
Original to: Central' files
Copies to; Region Files, Region Env. Manager, Staff Design Branch (QA). PMO. ROW, Stan Bridge or where appropriate
EXHIBIT 6
A RESOLUTION OF THE BOARD OF COUNTY COMMISONERS OF PITKIN
COUNTY, COLORADO
DECLARING ITS INTENTION TO UTILIZE A
FEDERAL CONGESTION MITIGATION AIR QUALITY GRANT
TO CHIP AND SEAL LOWER OWL CREEK ROAD
RESOLUTION ° 0 3 - a.000
RECITALS
1. Whereas, the lower portion of Owl Creek Road is responsible for PM10 and PM2.5 in
Aspen's non -attainment area and in the Owl Creek Valley.
2. Whereas, rough characteristics of the road and dust created from vehicles can cause
dangerous driving conditions.
3. Whereas, during spring run off surface materials are displaced into lower existing
wetland areas
4. Whereas, County Staff spends large amounts of time and money maintaining Owl
Creek Road.
5. Whereas, Owl Creek Road is closed frequently for routine maintenance work.
6. Whereas, Owl Creek Road receives multiple applications of magnesium chloride in
order to mitigate PM10 and PM 2.5 production.
NOW THEREFORE LET IT BE RESOLVED the Commissioners of Pitkin County,
Colorado that:
1. Pitkin County shall utilize their portion of the City of Aspen/Pitkin County CMAQ
Grant ($188, 890) to improve the surface of Lower Owl Creek Road from gravel to a
chip and sealed surface not any further up than Lower East Owl Creek entrance in the
Summer of 2000.
2. Pitkin County shall match the grant with, at least, as many local funds as outlined in
the grant documents and will comply with any and all specifications as outlined in
the grant documents.
APPROVED AND ADOPTED ON FIRST READING AT THE SPECIAL MEETING
ON THE l R "4- DAY OF 2-A-M • , 2000.
ATTEST:
-ica.tpfh..1.•n..s,Deputy County Clerk
JYA ee R,eiA#)
Date: / ^ /.Q- .plODr
BOARD OF COUNTY COMMISSIONERS
OF PITKIN COUNTY, COLORADO
By.
kir
Sheltie Harper, Cif ttperson /
Date: // 9/2
APPROVED AS TO FORM: RECOMMENDED FOR APPROVAL:
93
John Ely
County Attorney
.-Sn&!ytar, Co ngineer
Deputy Director of Public Works
MANAGER APPROVAL:
, County Manager
02/09/2000 12:24 9702487254
•
CDOT
PAGE 05
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COLORADO
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STATE OEPANTMENY OF HIGHWAYS
DIVISION OF HIGHWAYS -STATE OP COLORADO
aLMNINO Ano *DUMP O,valok
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FEDERAL HIGHWAY ADMINISTRATION
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T.IOS
PRE -CONSTRUCTION ADMINISTRATION CHECKLIST
Region 03 Project Code #: 11123
Local Agency: PITKTN COUNTY Project #: AOC C570-007
Design Project Manager:J)AVID MILLER Location' PJTCO CMAO
Resident Engineer. JOE ELSEN Description: AIR OUALTTY
The following checklist shall be utilized to establish the pRE-CONSTRUCTION
ADMINISTRATION CHECKLIST responsibilities of the individual parties to this
agreement.
N4... DESCRIPTION OF TASK
RESPONSIBLE PARTY
LOCAL
AGENCY COOT
1. Transportation Improvement Program(T.I.P.) X
2. Design Data (CDOT Form #463) __K__
3. Funding Authorization --K*
4. LA/CDOT Project Agreement _�__ X
5. Utility, Railroad, and Consultant Agreements X X
6. Consultant Selection 7C
7. Field Inspection Review (FIR) �_
8. Public Hearings __X__
9. Environmental Processes X X*
10. Design Approval X
11. Final Office Review (FOR) X
12. Force Account Justification X
13. Proprietary Item Justification _K— x
14. Davis -Bacon Wage Rates (At Yes ,KNo) __X__
15. Design Exceptions
RESPONSIBLE PARTY
LOCATE
NO. DESCRTPTION OF TASK AGENCY CDOT
16. Rights -of Way
17. Plans, Specifications and Construction Cost Estimates
18. EEO/DBE Requirements
19. Advertising Less Than Three Weeks
20. LA Ad and Award
21. Construction Administration
Y Preliminary Checklist Date: !i4/ /oc)
Revised Checklist Date:
Final Checklist Date:
*Requires FHWA concurrence/involvement.
04/29/96
X
91
CONSTRUCTION CONTRACT ADMINISTRATION CHECK LIST
Page 1
CDOT Region: 03
Local Agency: PITKIN COUNTY
CDOT Resident Engineer: JOE ELSEN
Local Agency Project Manager:
Project Code (SA$): 13123
Project No.: AQC C570-007
Location: PITCO CMAQ
Description: AIR QUALITY
CDOT Design or Project Engineer: DAVID MILLER
The following check list shall be utilized to establish the CONSTRUCTION
CONTRACT ADMINISTRATION responsibilities of the individual parties for this
project. TEE CHECK LIST SHALL BE INCORPORATED INTO THE ENTITY AGREEMENT AT
PROJECT INCEPTION.
THE CHECK LIST SHALL BE PREPARED BY PLACING AN X UNDER THE RESPONSIBLE
AGENCY, OPPOSITE EACH OF THE TASKS LISTED BELOW. When CDOT is selected to
be responsible or co -responsible by option, the method of the Local
Agency's reimbursement for CDOT'S costs must be established.
WHEN A TASK DOES NOT APPLY TO THE PROJECT, NON -APPLICABLE (NA) SHALL BE
PLACED UNDER BOTH AGENCIES, AND AN EXPLANATION OF WHY IT IS NOT APPLICABLE
SHALL BE INCLUDED.
TASKS WHICH. WILL BE PERFORMED BY HEADQUARTERS STAFF WILL BE SO INDICATED.
THE REGION IN ACCORDANCE WITH ESTABLISHED POLICIES AND PROCEDURES, WHEN
APPLICABLE, SHALL DETERMINE WHO WILL PERFORM ALL OTHER TASKS WHICH ARE THE
RESPONSIBILITY OF CDOT.
THE RESIDENT ENGINEER OR CDOT DESIGNER SHALL NOTIFY THE APPROPRIATE
STAKEHOLDERS, AND THOSE ON THE MINIMUM DISTRIBUTION LIST BELOW, OF FIELD
INSPECTION REVIEWS (F.I.R.) AND FINAL OFFICE REVIEWS (F.O.R.) FOR ALL L. A.
PROJECTS.
IF A CHECK LIST WAS NOT INCORPORATED INTO THE ORIGINAL PROJECT AGREEMENT OR
THE CONSTRUCTION CONTRACT ADMINISTRATION RESPONSIBILITIES HAVE CHANGED THE
FOLLOWING PROCEDURES SHALL BE USED:
A preliminary check list shall be prepared by the CDOT Resident Engineer
(RE), or CDOT Designer, in cooperation with the LAPM, prior to the F.I.R.
and submitted to the Region Program Engineer (RPE) with the F.I.R. notice.
If Contract Administration responsibilities are changed after the F.I.R.,
the CDOT RE, in cooperation with the LA PM, shall prepare a revised check
list and distribute copies. The CDOT RE shall prepare the FINAL check list
prior to the F.O.R. and submit copies to all persons receiving the F.O.R.
notice. The minimum distribution list is shown below.
COPY:
PRELIMINARY CHECK LIST - DATE Olio p CDOT RE/PE
LA PM/PE
REVISED CHECK LIST - DATE CDOT RPE
CDOT RME
FINAL CHECK LIST - DATE .
REVISED 10/30/97
CONTRACT ADMINISTRATION CHECK LIST
PAGE 2
NO, DESCRIPTION OF TASK
1. Set Disadvantaged Business Enterprise (DBE)
goals for the project. (CDOT Region EEO
Administrative Program Specialist)
2. Set On Job Training (OJT) goals for the
** RESPONSIBLE PARTY
LOCAL
AGENCY CDOT
project. (CDOT Region EEO Administrative
Program Specialist when CDOT is responsible.)
3. Assure the correct Federal Wage Decisions,
all required DBE/OJT Special Provisions and
the FHWA Form 1273 are included in the Contract
documents. (CDOT RE or Designer)
This project is exempt from Davis -Bacon
requirements as determined by the functional
classification of the project location. (Note:
Projects located on local roads and rural minor
collectors---�-�may be exempt.)
roe G9eN
CDOT RE or Designer Date
4. Advertise for bids/open bids. (CDOT
Construction Contracts Unit, Staff
Design Branch, when CDOT is responsible.)
5. Distribute "bid set" of plans and specifications
to the person responsible for showing the
project. (CDOT Printing and Visual Communications
Center, Division of Human Resources and
Administration when CDOT is responsible.)
6. Review work site and plan details with
prospective bidders while project is under
advertisement. (CDOT Resident Engineer when
CDOT is responsible.)
-4
4-
**
NOTE: Only one responsible party should be selected.
If both are selected, a supplemental agreement
specifying what task details are the responsibility
of each party shall be attached to the Check List.
When CDOT is responsible or co -responsible by option,
the method of the Local Agency's reimbursement for
CDOT's costs must be established by an attached
Memorandum of Understanding (MOU).
X
t
REVISED 10/30/97
CONTRACT ADMINISTRATION CHECK LIST
PAGE 3
**
j DESCRIPTION OF TASK
7. Determine compliance with DBE requirements
before the Contract is awarded:
a. Check CDOT Form #715 - Certificate of . . .
Proposed DBE Participation, when the low
bidder meets DBE goals. (CDOT Business
Programs Office, (303)757-9234, Room 287,
Division of Human Resources and
Administration)
b. Evaluate CDOT Form #718 - DBE Good Faith
Effort Documentation, and determine if
the Contractor has made a good faith effort
when the low bidder does not meet DBE goals.
(CDOT Business Programs Office)
RESPONSIBLE PARTY
LOCAL
AGENCY CDOT
c. Approve/disapprove award of Contract by . .
completing CDOT Form #719 - DBE Participation
Summary. THIS FORM MUST BE COMPLETED BEFORE
THE CONTRACT IS AWARDED.
(CDOT Business Programs Office)
X
X
8. Approve rejection of low bidder Y_
9. Award Contract (CDOT Construction Contracts .
Unit, Staff Design Branch, when CDOT is
responsible.)
10. Distribute /, [number: minimum of six (6)] .
"award sets" of plans and specifications to
CDOT Resident Engineer.
(Further distribution will then be made to the
Region Program Engineer (RPE), CDOT Staff
Construction & Materials (2 sets), the Region
Materials Engineer (RME), and others as required.
CDOT Printing and Visual Communications Center,
Division of Human Resources and Administration
when CDOT is responsible.)
**
NOTE: Only one responsible party should be selected.
Refer to page 2 for additional information.
A
REVISED 10/30/97
'30
CONTRACT ADMINISTRATION CHECK LIST
PAGE 4
NO. DESCRIPTION OF TASI
11. Issue "Notice to Proceed" to the Contractor.
(COOT Construction Contracts Unit, Staff
Design Branch, when COOT is responsible.)
12. Conferences:
a. Preconstruction (Request Preconstruction
packet of information from Region EEO
Administrative Program Specialist prior
to the conference. CDOT Resident Engineer
when CDOT is responsible.)
b. Partnering
•*
RESPONSIBLE PARTY
LOCAL
AGENCY COOT
c. Presurvey:
(1) Construction staking
(2) Monumentation
d. Structural concrete prepour
e. Concrete pavement prepaying
f. HBP prepaying
13. Supervision of construction:
a. Professional Engineer (PE) registered
in Colorado, who will be "in responsible
charge of construction supervision".
13w d
Local Agency P• or CDOT RE/PE
TJe- 4zo —S3To
Phone number
b. Develop and distribute public notice of
planned construction to the media and
local residents.
**
NOTE: Only one responsible party should be selected.
Refer to page 2 for additional information.
REVISED 10/30/97
SONTRACT ADMTNTSTRATTON CHECK LIST
PAGE 5
NO. DESCRIPTION OF TASK
**
RESPONSIBLE PARTY
LOCAL
AGENCY CDOT
c. Competent, experienced, staff who will . •
ensure the Contract work is constructed
in accordance with CDOT policies, standards
and procedures.
(Refer to the CDOT Procedural Directives and
the following CDOT Operating Manuals for guidance
and assistance - CDOT Local Agency Federal Aid
Construction Manual, CDOT Construction Manual, CDOT
Field Materials Manual, CDOT Survey Manual, CDOT
Standard Plans, CDOT Erosion Control Manual, CDOT
Davis -Bacon Manual, CDOT EEO/Labor Compliance Manual)
( 1) CDOT Form #205 - Sublet Permit Application:
(a) Check CDOT Form #713 - Contractor .
DBE Subcontract, Supply and Service
Contract Statement. Sign Form #205
if Form #713 is complete. (CDOT
Region EEO Administrative Program
Specialist)
(b) Check and sign approval of Form #205 .
after Form #713 has been checked by
the Region EEO Administrative Program
Specialist.
2) Construction inspection including . . .
calculations, measurements, and
documentation of interim and final
pay quantities.
3) Conduct Contractor/Subcontractors .
reviews to ensure conformance with
the Equal Employment Opportunity(EEO)
/Affirmative Action(AA)/DBE/OJT
requirements contained in the Contract.
(Standard Special Provisions, Project
Special Provisions and FHWA Form 1273)
(CDOT Region EEO Administrative
Program Specialist)
**
NOTE: Only one responsible party should be selected.
Refer to page 2 for additional information.
REVISED 10/30/97
CONTRACT ADMTNISTRATION CHECK LIST
PAGE 6
**
NO. DESCRIPTION OF TASK
( 4) Notify CDOT Region EEO Administrative
Program Specialist and request
assistance for all EEO/DBE/OJT/
Davis -Bacon questions or concerns.
5) Complete and submit to the CDOT Region .
EEO Administrative Program Specialist,
the required number of CDOT Form #280 -
Equal Employment Opportunity and Labor
Compliance Verification.
6) Monitor DBE participation to ensure
compliance with the "Commercially
Useful Function" requirements.
( 7) Complete and submit to the CDOT Region
EEO Administrative program Specialist,
the applicable number CDOT Form #200 -
OJT Training Questionnaire, when project
utilizes OJTs.
RESPONSIBLE PARTY
LOCAL
AGENCY CD T
( 8) Check certified payrolls to verify . . .
Contractor/subcontractors are in
compliance with Contract requirements.
The checking shall be completed by
project personnel trained in payroll
checking. (Contact the Region EEO
Administrative Program Specialist for
training requirements.)
9) Coordinate submittals by Contractor . . .
and all subcontractors of FHWA Form 1391
(Highway Construction Contractor's Annual
EEO Report) to the CDOT Region EEO
Administrative Program Specialist. The
Report is due to the Region EEO
Administrative Program Specialist by
August 10 for all construction projects
Active during the last complete week of July.
**
NOTE: Only one responsible party should be selected.
Refer to page 2 for additional information.
REVISED 10/30/97
33
CONTRACT ADMINISTRATION CHECK LIST
PAGE 7
Nay DESCRIPTION OF TASK
(10) Materials:
(a) CDOT Form #250 -
Materials Documentation Record:
** RESPONSIBLE PARTY
LOCAL
' AGENCY CDOT
I) Fill out and distribute CDOT
Form #250 before the Contractor
commences work. (CDOT Region
Materials Engineer when CDOT
is responsible.)
II) Complete Form #250 after work
is completed distribute per
instructions in CDOT Materials
Manual.
(b) Approve changes to typical section
(c) Development, Checking, and Design mix
approvals:
I) Concrete
II) Hot Bituminous Pavement (HBP).
(d) Acceptance of manufactured products.
(e) Inspecting fabrication of structural
steel and prestressed concrete
structural components.
(f) Inspecting fabrication of bearing
devices.
(g) Laboratory Check testing
(h) Acceptance testing
(i) Independent assurance testing . .
(Region Materials Laboratory will
develop, complete, and distribute
CDOT Form #379 - Project Independent
Assurance Sampling Schedule.)
**
NOTE: Only one responsible party should be selected.
Refer to page 2 for additional information.
REVISED 10/30/97
CONTRACT ADMINISTRATION CHECK LIST
PAGE 8
**
NO. DESCRIPTION OF TASIS
RESPONSIBLE PARTY
LOCAL
AGENCY CDOT
(11) Approve sources of materials
(12) Approve shop drawings
(13) Perform Traffic Control Inspections
(14) Approve traffic signal equipment
(15) Construction surveying
(16) ROW monumentation
(17) Prepare, approve and sign vouchers
for interim and final Contractor
pay estimates. (CDOT Resident Engineer
if CDOT is responsible.)
Provide the name(s) and phone number(s) of
The person(s) authorized for this task.
�w. r w.a.� 920 -SY'?
LA Administratoj Phone Number
`l2a—S340
LAPE Phone Number
(18) Prepare, approve and sign vouchers .
for interim and final Utility
Company billings for utility
relocation work.
(19) Prepare and authorize CDOT Form #94 .
- Minor Contract Revision (MCR) and
CDOT Form #90 - Contract Modification
Order (CMO)
(20) Approve MCRs and CMOs
(21) Approve Federal -Aid funding for MCRs/CMOs
(22) Monitor project financial status and .
submit monthly in a format acceptable
to the Region, such as CDOT Form #65a -
Project Financial Status Report.
**
NOTE: Only one responsible party should be selected.
Refer to page 2 for additional information.
_A
x
L
X-
REVISED 10/30/97
CONTRACT ADMINISTRATION CHECK LIST
PAGE 9
NO. DESCRIPTION OF TASK
** RESPONSIBLE PARTY
LOCAL
AGENCY CDOT
(23) Prepare and submit monthly progress
reports to the Region Construction
Engineer: CDOT Form #110a - Status of
Active Construction Projects, and
CDOT Form #517a - Status of Construction
Project Finals.
(24) Contractor claims/dispute resolution
Local Agency must follow CDOT
procedures unless Section 105.17 of
the Standard Specifications is modified
by a Project Special Provision. ALL
contracts let for bid by the Local Aaencv
shall contain a project special provision
removing CDOT from the resolution_Process.
14. Make monthly progress and final payments
to the Contractor for completed work. (CDOT
Center for Accounting, Division of Human
Resources and Administration when CDOT is
responsible.)
15. Make monthly progress and final payments to . .
Utility Companies for completed utility
relocation work. (CDOT Center for Accounting,
Division of Human Resources and Administration
when CDOT is responsible.)
16. Conduct routine, random, project reviews
to ensure the project is being administered
in accordance with the terms of the construction
Contract and the approved project specific
agreement between CDOT and the local agency.
Provide the name and phone number of the person
responsible for this task.
_5' +eat 13erry n.s
Name of LA or CDOT RE PE Phone Number
**
NOTE: Only one responsible party should be selected.
Refer to page 2 for additional information.
1L
REVISED 10/30/97
CONIEACT ADMTNISTRATLON CHECK LIST
PAGE 10
**
NQ. DESCRIPTION OF TASIS
17. Joint FHWA/CDOT Quality Assurance (QA) Review
Teams will conduct select program reviews in
accordance with CDOT's Stewardship Plan.
(CDOT Staff Construction & Materials)
18. Conduct final project inspection, complete and
submit CDOT Form #1212a - Final Acceptance
Report. CDOT Resident Engineer with mandatory
LA participation.
19. Final project acceptance, write final project
acceptance letter and distribute per
procedures in the CDOT Construction Manual.
20. Advertise for final settlement. (CDOT Staff
Construction when CDOT is responsible.)
21. Prepare and distribute final "as constructed" . .
plans per procedures in the Construction Manual.
22. Check final quantities, final plans and the . • X
final pay estimate.
23. Sign final pay estimate sheets and voucher
24. Check material records
25. Submit final materials certification 4
4.26. Obtain CDOT Form #17 - Contractor DBE Payment
Certification, from the Contractor and submit
to Region Program Engineer.
RESPONSIBLE PARTY
LOCAL
I►GENCX CDOT
27. Obtain FHWA Form PR 47 (Statement of Materials
and Labor Used ...) from the Contractor, check
and submit to Region Construction Engineer.
(REQUIRED ONLY ON NHS PROJECTS WITH TOTAL
FINAL PAYMENT EXCEEDING $1,000,000.)
28. Complete and submit CDOT Form #950 -
Project Closure.
29. Retain project records. (For Aix years
from date of project closure.)
**
NOTE: Only one responsible party should be selected.
Refer to page 2 for additional information.
REVISED 10/30/97
3�
ATTACHMENT #1
THE LOCAL AGENCY SHALL USE THESE PROCEDURES TO IMPLEMENT FEDERAL -AID
PROJECT
AGREEMENTS WITH PROFESSIONAL CONSULTANT SERVICES
Title 23 Code of Federal Regulations (CFR) 172 applies to a federally funded local agency project agreement
administered by CDOT that involves professional consultant services. 23 CFR 172 and 23 CFR I72(d) state that,
"When federal -aid highway funds participate in the contract a local shall use the same procedures as used by the
State to administer contracts ...". Therefore, local agencies must comply with this CFR requirement and the
following state procedures when obtaining professional consultant services under a federally funded consultant
contract administered by CDOT.
CDOT has formulated its procedures in Procedural Directive (P.D.) 400.1 and the related operations guidebook
titled "Obtaining Professional Consultant Services". This directive and guidebook incorporate requirements from
both Federal and State regulations, i.e., 23 CFR 172 and Colorado Revised Statute (C.R.S.) 24-30-1401 et seq.
Copies of the directive and the guidebook may be obtained upon request from CDOT's Agreements and Consultant
Management Unit. [Local agencies should have their own written procedures on file for each method of
procurement that addresses the items in 23 CFR 172.5(b)(1-6)].
Because the procedures and laws described in the Procedural Directive and the guidebook are quite lengthy, the
subsequent steps serve as a short -hand guide to CDOT procedures that a local agency must follow in obtaining
professional consultant services. This guidance follows the forrnat of 23 CFR 172. The steps are:
1. The contracting local agency shall document the need for obtaining professional services.
2. Prior to solicitation for consultant services, the contracting local agency shall develop a detailed scope of
work and a list of evaluation factors and their relative importance. The evaluation factors are those identified
in C.R.S. 24-30-1403. Also, a detailed cost estimate should be prepared for use during negotiations.
3. The contracting agency must advertise for contracts in conformity with the requirements of C.R.S. 24-30-
1405. The public notice period, when such notice is required, is a minimum of 15 days prior to the selection
of the three most qualified firms and the advertising should be done in one or more daily newspapers of
general circulation.
4. The request for consultant services should include the scope of work, the evaluation factors and their relative
importance, the method of payment, and the goal of ten percent (10%) Disadvantaged Business Enterprise
(DBE) participation as a minimum for the project.
5. The analysis and selection of the consultants should be done in accordance with C.R.S. 24-30-1403. This
section of the regulation identifies the criteria to be used in the evaluation of CDOT pre -qualified prime
consultants and their team. It also shows which criteria are used to short-list and to make a final selection.
The short-list is based on the following evaluation factors:
a. Qualifications,
b. Approach to the project,
c. Ability to furnish professional services.
d. Anticipated design concepts, and
e. Alternative methods of approach for furnishing the professional services.
Evaluation factors for final selection are the consultant's:
a. Abilities of their personnel,
b. Past performance,
33/
c. Willingness to meet the time and budget requirement,
d. Location,
e. Current and projected work load,
f. Volume of previously awarded contracts, and
g. Involvement of minority consultants.
Under 24.30-1401, cost shall not be considered as a factor in the evaluation of professional consultant
services.
6. Once a consultant is selected, the local agency enters into negotiations with the consultant to obtain a fair and
reasonable price for the anticipated work. Pre -negotiation audits are prepared for contracts expected to be
greater than $50,000. Federal reimbursement for costs are limited to those costs allowable under the cost
principles of 48 CFR 31. Fixed fees (profit) are determined with consideration given to size, complexity,
duration, and degree of risk involved in the work. Profit is in the range of six (6) to fifteen (15) percent of the
total direct and indirect costs.
7. A qualified local agency employee shall be responsible and in charge of [he project to ensure that the work
being pursued is complete, accurate, and consistent with the terms, conditions, and specifications of the
contract. At the end of project, the local agency prepares a performance evaluation (a CDOT form is
available) on the consultant.
8. Each of the steps listed above is to be documented in accordance with the provisions of 49 CFR 18.42, which
provide for records to be kept at least three (3) years from the date that the local agency submits its final
expenditure report. Records of projects under litigation shall be kept at least three (3) years after the case has
been settled.
The C.R.S. 24-30-1401 through 24-30-1408, 23 CFR Part 172, and P.D. 400.1, provide additional details for
complying with the eight (8) steps just discussed.
39
FHWA Form 1273
FHWA-1273 Eleclronk version.. March 10.1994
REQUIRED CONTRACT PROVISIONS
FEDERAL -AID CONSTRUCTION CONTRACTS
Page
I. General 1
II. Nondiscrimination 1
III. Nonsegregated Facilities 3
IV. Payment of Predetermined Minimum Wage 3
V. Statements and Payrolls 6
VI. Record of Materials, Supplies, and Labor 6
VII. Subletting or Assigning the Contract 7
VIII. Safety: Accident Prevention 7
IX. False Statements Concerning Highway Projects 7
X. Implementation of Clean Air Act and Federal
Water Pollution Control Act 8
Xl. Certification Regarding Debarment, Suspension,
Ineligibility, and Voluntary Exclusion 8
XII. Certification Regarding Use of Contract Funds for
Lobbying 9
ATTACHMENTS
A. Employment Preference for Appalachian Contracts
(included In Appalachian contracts only)
I. GENERAL
1. These contract provisions shall apply to all work performed
on the contract by the contractors own organization and with the
assistance of workers under the contractors Immediate superin-
tendence and to all work performed an the contract by piecework,
station work, or by subcontract.
2. Except as otherwise provided for In each section, the
contractor shall Insert In each subcontract all of the stipulations
contained in these Required Contract Provisions, and further
require their inclusion In any lower tier subcontract or purchase
order that may in tum be made. The Required Contract Provi-
sions shall not be incorporated by reference In any case. The
prime contractor shall be responsible for compliance by any
subcontractor or lower tler subcontractor with these Required
Contract Provisions.
3. A breach of any of the stipulations contained In these
Required Contract Provisions shall be sufficient grounds for
termination of the contract.
4. A breach of the following clauses of the Required Contract
Provisions may also be grounds for debarment as provided In 29
CFR 5.12:
Section I, paragraph 2;
Section IV, paragraphs 1, 2, 3, 4, and 7;
Section V, paragraphs 1 and 2a through 2g.
5. Disputes arising out of the labor standards provisions of
Section IV (except paragraph 5) and Section V of these Required
Contract Provisions shall not be subject to the general deputes
clause of this contract. Such disputes shall be resolved In accor-
dance with the procedures of the U.S. Department of Labor (DOL)
as set forth in 29 CFR 5, 6, and 7. Disputes within the meaning of
this clause include disputes between the contractor (or any of its
subcontractors) and the contracting agency, the DOL, or the
contractor's employees or their representatives.
6. Selection o1 Labor: During the performance of this con-
tract, the contractor shall not:
a. discriminate against labor from any other State, posses-
sion, or territory of the United States (except tor employment
preference for Appalachian contracts, when applicable, as
specified In Attachment A), or
c. All personnel who are engaged in direct recruitment for
the project will be Instructed by the EEO Officer In the contractors
procedures for locating and hiring minority group employees.
b. employ convict labor for any purpose within the limits of
the project unless it Is labor periormed by convicts who are on
parole, supervised release, or probation.
11. NONDISCRIMINATION
(Applicable to all Federal -aid construction contracts and to all
related subcontracts of S10,000 or more.)
1. Equal Employment Opportunity. Equal employment
opportunity (EEO) requirements not to discdminate and to take
affirmative action to assure equal opportunity as set forth under
laws, executive orders, rules, regulations (28 CFR 35, 29 CFR
1630 and 41 CFR 60) and orders of the Secretary of Labor as
modified by the provisions prescribed herein, and Imposed
pursuant to 23 U.S.C. 140 shall constitute the EEO and specific
affirmative action standards for the contractor's protect activities
under this contract. The Equal Opportunity Construction Contract
Specifications set forth under 41 CFR 60-4.3 and the provisions
of the American Disabilities Act of 1990 (42 U.S.C. 12101 Ong.)
set forth under 28 CFR 35 and 29 CFR 1630 are Incorporated by
reference in this contract. In the execution of this contract, the
contractor agrees to comply with the following minimum specific
requirement actMttes of EEO:
a. The contractor will work with the State highway agency
(SHA) and the Federal Government In carrying out EEO obliga-
tions and In their review of his/her activities under the contract.
b. The contractor will accept as his operating policy the
following statement:
'his the policy of thls Company to assure that applicants are
employed, and that employees are treated during employ-
ment, without regard to their race, religion, sex, color,
national origin, age or disability. Such action shall Include:
employment, upgrading, demotion, or transfer, rewuitment or
recruitment advertising; layoff or termination; rates of pay or
other forms of compensation; and selection for training,
Including apprenticeship, preapprenticeship, and/or on-the--
job training.'
2. EEO Officer: The contractor will designate and make
known to the SHA contracting officers an EEO Officer who will
have the responsibility for and must be capable of effectively
administering and promoting an active contractor program of EEO
and who must be assigned adequate authority and responsibility
to do so.
3. Dissemination of Policy. All members of the contractors
sia9 who are authorized to hire, supervise, promote, and dis-
charge employees, or who recommend such action, or who are
substantially involved In such action, will be made fully cognizant
of, and will implement, the contractor's EEO policy and contractual
responsibilities to provide EEO In each grade and classification of
employment. To ensure that me above agreement will be met, the
following actions will be taken as a minimum:
a. Periodic meetings of supervisory end personnel office
employees will be conducted before the start of work and then not
less often than once every six months, at which time the contract-
ors EEO policy and Its Implementation will be reviewed and
explained. The meetings will be conducted by the EEO Officer.
b. All new supervisory or personnel office employees will
be given a thorough Indoctrination by the EEO Officer, covering all
major aspects of the contractors EEO obligations within thirty
days following their reporting for duty with the contractor.
d. Notices and posters setting forth the contractors EEO
policy will be placed In areas readily accessible 10 employees,
applicants for employment and potential employees.
REQUIRED BY 23 CFR 633.102 -
e. The ,contmdor's EEO policy and the procedures to
Irhplementsuch polity will be brought to the attention of employ-
ees by means of meetings, employee handbooks, or other
appropriate means.
4. Recruitment: When advertising for employees, the contrac-
tor will include in all advertisements for employees the notation:
'An Equal Opportunity Employer.' All such advertisements will be
placed In publications having a large circulation among minority
groups In the area from which the project work force would
normally be derived.
a. The contractor will, unless precluded by a valid bargain-
ing agreement, conduct systematic and direct recrultmeM through
public and private employee referral sources likely to yield
qualified minority group applicants. To meet this requirement, the
contractor will Identify sources of potential minority group
employees, and establish with such Identified sources procedures
whereby minority group applicants may be referred to the
contractor for employment consideration.
b. In the event the contractor has a valid bargaining agree-
ment providing tor exclusive hiring hall referrals, he Is expected to
observe the provisions of that agreement to the extent that the
system permits the contractor's compliance with EEO contract
provisions. (The DOL has held that where Implementation of such
agreements have the effect of discriminating against minorities or
women, or obligates the contractor to do the same, such Imple-
mentation violates Executive Order 11246, as amended.)
c. The contractor will encourage his present employees to
refer minority group applicants for employment. Information and
procedures with regard to referring minority group applicants will
be discussed with employees.
5. Personnel Actions: Wages, working conditions, and
employee benefits shalt be established and administered, and
personnel actions of every type, Including hiring, upgrading,
promotion, transfer, demotion, layoff, and termination, shall be
taken without regard to race, color, religion, sex, national origin,
age or disability. The following procedures shall be followed:
a. The contractor will conduct periodic Inspections of
project sites to Insure that working conditions and employee
facilities do not indicate discriminatory treatment of project site
personnel.
b. The contractor will periodically evaluate the spread of
wages pald within each classification to determine any evidence
Of discriminatory wage practices.
c. The contractor wet periodically review selected personnel
actions In depth to determine whether there is evidence of
discrimination. Where evidence Is found, the contractor will
promptly take corrective action. 11 the review Indicates that the
discrimination may extend beyond the actions reviewed, such
corrective action shall include all affected persons.
d. The contractor will promptly Investigate all complaints of
alleged discrimination made to the contractor In connection with
his obligations under this contract, will attempt to resolve such
d. In the event the union Is unable to provide the contractor
with a reasonable flow of minority and women referrals within the
time limit set forth In the collective bargaining agreement, the
contractor will, through Independent recruitment eftorta, till the
employment vacancies without regard to race, color, religion, sex,
national origin, age or disability; making fuN efforts to obtain
qualified and/or qualifiable minority group persons and women.
(The DOL has held that it shall be no excuse that the union with
which the contractor has a collective bargaining agreement provid-
ing for exclusive referral failed to refer minority employees.) In the
event the union referral practice prevents the contractor from
meeting the obligations pursuant to Executive Order 11248, as
amended, and these spedal provisions, such contractor shall
Immediately notify the SHA.
complalnts, and will take appropriate corrective action within a
reasonable time. If the Investigation indicates that the discrimina-
tion may affect persons other than the complainant, such correc-
tive action shell include such other persons. Upon completion of
each Investigation, the contractor will inform every complainant of
all of his avenues of appeal.
6. Training and Promotion:
a. The contractor will assist in locating, qualifying, and
increasing the skills of minority group and women employees, and
applicants for employment.
b. Consistent with the contractor's work force requirements
and as pernissibie under Federal and State regulations, the
contractor shall make full use of training programs, i.e., appren-
ticeship, and on-the-job training programs for the geographical
area of contract performance. Where feasible, 25 percent of
apprentices or trainees In each occupation shall be in their first
year of apprenticeship or training. In the event a special provision
for training is provided under this contract, this subparagraph will
be superseded as Indicated In the special provision.
c. The contractor will advise employees and applicants for
employment of available training programs and entrance require-
ments for each.
d. The contractor will periodically review the training and
promotion potential of minority group and women employees and
will encourage eligible employees to apply for such training and
promotion.
7. Unions: If the contractor relies in whole or in part upon
unions es a source of employees, the contractor will use hlsmer
best efforts to obtain the cooperation of such unions to increase
opportunities for minority groups and women within the unions,
and to effect referrals by such unions 0f minority and female
employees. Actions by the contractor either directly or through a
contractor's association acting as agent will Include the proce-
dures set forth below:
a. The contractor will use best efforts to develop, in
cooperation with the unions, joint training programs aimed toward
qualifying more minority group members and women for member-
ship in the unions and Increasing the skills of minority group
employees and women so that they may quality for higher paying
employment.
b. The contractor will use best efforts to Incorporate an
EEO clause Into each union agreement to the end that such union
will be contractually bound to refer applicants without regard to
their race, color, religion, sex, national origin, age or disability.
c. The contractor Is to obtain information as to the referral
practices and polides of the labor union except that to the extent
such Information is within the exclusive possession of the labor
union and such labor union refuses to furnish such Information to
the contractor, the contractor shall so certify to the SHA and shall
set forth what efforts have been made to obtain such Information.
8. Selection of Subcontractors, Procurement of Materiels
and Leasing of Equipment: The contractor shall riot discriminate
on the grounds of race, color, religion, sex, national origin, age or
disability In the selection and retention of subcontractors, Including
procurement of materials and leases of equipment.
a. The contractor shall notify all potential subcontractors
and suppliers of his/her EEO obligations under this contract.
b. Disadvantaged business enterprises (DBE), as defined
In 49 CFR 23, shall have equal opportunity to compete for and
perform subcontracts which the contractor enters Into pursuant to
this contract. The contractor will use his best efforts to solicit bids
from and to utilize DBE subcontractors or subcontractors with
meaningful minority group and female representation among their
REQUIRED BY 23 CFR 633.102
y�
employees. Contractors shall obtain lists of DBE construction
Arms from'SHA personnel.
c. The contractor will use his best efforts to ensure subcon-
tractor compliance with their EEO obligations.
9. Records end Reports: The contractor shall keep such
records as necessary to document compliance with the EEO
requirements. Such records shall be retained for a period of three
years following completion of the contract work and shall be
available at reasonable times and places for Inspection by autho-
rized representatives of the SHA and the FHWA.
a. The records kept by the contractor shall document the
following:
(1) The number of minority and non -minority group
members and women employed In each work classification on the
project;
(2) The progress and efforts being made in
cooperation with unions, when applicable, to increase employment
opportunities for minorities and women;
(3) The progress and efforts being made In locating,
hiring, training, qualifying, and upgrading minority and female
employees; and
(4) The progress and efforts being made in securing
the services of DBE subcontractors or subcontractors with
meaningful minority and female representation among their
employees.
b. The contractors will submit an annual report to the SHA
each July for the duration of the project, Indicating the number of
minority, women, and non -minority group employees currently
engaged in each work classification required by the contract work.
This Information Is to be reported on Form FHWA-1391. ton -the
job training Is being required by special provision, the contractor
will be required to collect and report training data.
III. NONSEGREGATED FACILITIES
(Applicable to all Federal -aid construction contracts and to all
related subcontracts of $10,000 or more.)
a. By submission of this bid, the execution of thls contract or
subcontract, or the consummation of this materiel supply agree-
ment or purchase order, as appropriate. the bidder, Federal -aid
construction contractor, subcontractor, material supplier, or
vendor, as appropriate, certifies that the firm does not maintain or
provide for Its employees any segregated facilities et any of its
establishments, and that the flrm does not pehnit Its employees to
perform their services at any location, under Its control, where
segregated facilities are maintained. The firm agrees that a
breach of this certification Is a violation of the EEO provisions of
this contract. The firm further certifies that no employee will be
denied access to adequate fadlities on the basis of sex or
disability.
b. Laborers or mechanics performing work in more than one
classification may be compensated at the rate specified for each
classification for the time actually worked therein, provided, that
the employer's payroll records accurately set forth the time spent
In each classification In which work Is performed.
e. All rulings and interpretations of the Davis -Bacon Act
and related acts contained In 29 CFR 1, 3, and 5 are herein
Incorporated by reference In mis contract.
2. Classification:
a. The SHA contracting officer shall require that any Bass
of laborers or mechanics employed under the contract, which Is
b. As used in this certification, the term "segregated
facilities' means any waiting rooms, work areas, restrooms and
washrooms, restaurants and other eating areas, timeclocks, locker
rooms, and other storage or dressing areas. parking lots, drinking
fountains, recreation or entertainment areas, transportation, and
housing facilities provided for employees which are segregated by
expilclt directive, or are, In fad, segregated on the basis of race,
color, religion, national origin, age or disability, because of habit,
local custom, or otherwise. The only exception will be for the
disabled when the demands for accessibility override (e.g.
disabled parking).
c. The contractor agrees that it has obtained or will obtain
identical certification from proposed subcontractors or material
suppliers prior to award of subcontracts or consummation of
material supply agreements of $10,000 or more and that it will
retain such certifications In its flies.
IV. PAYMENT OF PREDETERMINED MINIMUM WAGE
(Applicable to all Federal -aid construction contracts exceeding
$2,000 and to all related subcontracts, except for projects located
on roadways classified as local roads or rural minor collectors,
which are exempt.)
1. Genent:
a. All mechanics and laborers employed or working upon
the site of the work will be pald unconditionally and not less often
than once a week and without subsequent deduction or rebate on
any account [except such payroll deductions as are permitted by
regulations (29 CFR 3) issued by the Secretary of Labor under the
Copeland Act (40 U.S.C. 276c)] the full amounts of wages and
bona fide fringe benefits (or cash equivalents thereof) due at time
of payment. The payment shall be computed at wage rates not
less than those contained in the wage determination of the
Secretary of Labor (hereinafter 'the wage determination') which
is attached hereto and made a part hereof, regardless of any
contractual relationship which may be alleged to exist between the
contractor or Its subcontractors and such laborers and mechanics.
The wage determination (including any additional classifications
and wage rates conformed under paragraph 2 of this Section IV
and the DOL poster (WH-1321) or Form FHWA-1495) shall be
posted at all times by the contractor and its subcontractors at the
site of the work in a prominent and accessible place where it can
be easily seen by the workers. For the purpose of this Section,
contributions made or costs reasonably anticipated for bona fide
fringe benefits under Section 1(b)(2) of the Davis -Bacon Act (40
U.S.C. 276a) on behalf of laborers or mechanics are considered
wages paid to such laborers or mechanics, subject to the provi-
sions of Section IV, paragraph 3b, hereof. Also, for the purpose
of This Section, regular contributions made or costs incurred for
more than a weekly period (but not less often than quarterly)
under plans, funds, or programs, %filch cover the particular weeldy
period, are deemed to be constructively made or Incurred during
such weekly period. Such laborers and mechanics shall be paid
the appropriate wage rate and fringe benefits on the wage
determination for the classification of work actually performed,
without regard to skill, except as provided in paragraphs 4 and 5
of this Section IV.
not listed in the wage determination, shall be classified In
conformance with the wage determination.
b. The contracting officer shall approve an additional
classification, wage rate and fringe benefits only when the
following criteria have been met
(1) the work to be performed by the additional classifi-
cation requested is not performed by a classification in the wage
determination;
(2) the additional classification Is utilized in the area by
the construction Industry;
REQUIRED BY 23 CFR 633.102
(3) the proposed wage rate, including any bona fide
fringe benefits, bears a reasonable relationship to the wage rates
contained in the wage determination; end
(4) with respect to helpers, when such a classification
prevails in the area In which the work is performed.
c. I1 the contractor or subcontractors, as appropriate. the
laborers and mechanics (11 known) to be employed in the addtlon-
al classification or their representatives. and the contracting officer
agree on the classification and wage rate (including the amount
designated for fringe benefits where appropriate), a report of the
action taken shall be sent by the contracting officer to the DOL,
Administrator of the Wage and Hour Division, Employment Stan-
dards Administration, Washington, D.C. 20210. The Wage and
Hour Administrator, or an authorized representative, will approve,
modify, or disapprove every additional classification action within
30 days of receipt and so advise the contracting officer or will
notify the contracting officer within the 30-day period that
additional time Is necessary.
d. In the event the contractor or subcontractors, as appro-
priate, the laborers or mechanics to be employed in the additional
classification or their representatives, and the contracting officer
do not agree on the proposed classification and wage rate
(Including the amount designated for fringe benefits, where
appropriate), the contracting officer shall refer the questions,
including the views of all interested parties and the recommenda-
tion of the contracting officer, to the Wage and Hour Administrator
for determination. Said Administrator, or an authorized represen-
tative, will issue a determination within 30 days of receipt and so
advise the contracting officer or will notify the contracting officer
within the 30-day period that additional time is necessary
e. The wage rate (including hinge benefits where appropri-
ate) determined pursuant to paragraph 2e or 2d of this Seetlon IV
shall be paid to all workers performing work in the additional
classification from the first day on which work is performed In the
classification.
3. Payment of Fringe Benefits:
a. Whenever the minimum wage rate prescribed In the
contract for a class of laborers or mechanics includes a fringe
benefit which Is not expressed as an hourly rate, the contractor or
subcontractors, as appropriate, shall either pay Me benefit as
stated in the wage determination or shall pay another bona fide
fringe benefit or an hourly case equivalent thereof.
b. If the contractor or subcontractor, as appropriate, does
not make payments to a trustee or other third person, he/she may
consider as a part of the wages of any laborer or mechanic the
amount of any oosts reasonably anticipated in providing bona fide
fringe benefits under a plan or program, provided, that the Secre-
tary of Labor has found, upon the written request of the contractor,
that the applicable standards of the Davis -Bacon Act have been
met. The Secretary of Labor may require the contractor to set
aside in a separate account assets for the meeting of obligations
under the plan or program.
b. Trainees:
(1) Except as provided in 29 CFR 5.18, trainees will not
be permitted to work at less than the predetermined rate for the
work performed unless they are employed pursuant to and
individually registered in a program which has received prior
approval, evidenced by formal certification by the DOL, Employ-
ment and Training Administration.
(2) The ratio of trainees to journeyman -level
employees on the job site shall not be greater than permitted
under tie plan approved by the Employment and Training
Administration. Any employee listed on the payroll at a trainee
rate who Is not registered and participating in a training plan
approved by the Employment and Training Administration shall be
4. Apprentices and Trainees (Programs of the U.S. DOL)
and Helpers:
a. Apprentices:
(1) Apprentices will be permitted to work at less than
the predetermined rate for the work they performed when they are
employed pursuant to and IndMdualy registered in a bona fide
apprenticeship program registered with the DOL, Employment and
Training Administration, Bureau of Apprenticeship and Training,
or with a State apprenticeship agency recognized by the Bureau,
or If a person is employed In his/her first 90 days of probationary
employment as an apprentice in such an apprenticeship program,
who Is not individually registered In the program, but who has
been certified by the Bureau of Apprenticeship and Training or a
State apprenticeship agency (where appropriate) to be eligible for
probationary employment as an apprentice.
(2) The allowable ratio of apprentices to journeyman -
level employees on the Job site in any craft classification shalt not
be greater than the ratio permitted to the contractor as to the
entire work force under the registered program. Any employee
listed on a payroll at an apprentice wage rate, who Is not regis-
tered or otherwise employed as stated above. shall be paid not
less than the applicable wage rate listed in the wage determina-
tion for the classification of work actually performed. In addition,
any apprentice performing work on the job site in excess of the
ratio permitted under the registered program shall be paid not less
than the applicable wage rate on the wage determination for the
work actually performed. Where a contractor or subcontractor is
performing construction on a project in a locally other than that in
which Its program Is registered, the ratios and wage rates (ex-
pressed In percentages of the journeymen -level hourly rate)
specified in the contractors or subcontractor's registered program
shag be observed.
(3) Every apprentice must be paid at not less than the
rate specified In the registered program for the apprentice's level
of progress, expressed as a percentage of the journeyman -level
hourly rate specified in the applicable wage determination.
Apprentices shag be paid hinge benefits In accordance with the
provisions of the apprenticeship program. If the apprenticeship
program does not specify fringe benefits, apprentices must be
paid the lull amount of fringe benefits listed on the wage determi-
nation for the applicable classification. If the Administrator for the
Wage and Hour Division determines that a different practice
prevails for the applicable apprentice classification, fringes shall
be paid In accordance with that determination.
(4) in the event the Bureau of Apprenticeship and
Training, or a State apprenticeship agency recogMzed by the
Bureau, withdraws approval of an apprenticeship program, the
contractor or subcontractor will no longer be permitted to utilize
apprentices at less than the applicable predetermined rate for the
comparable work performed by regular employees until an accept-
able program Is approved.
pall not less than the applicable wage rate on the wage determi-
nation for the dasslficatlon of work actually performed. In
addition, any trainee performing work on the Job site in excess of
the ratio permitted under the registered program shall be paid not
less Man the applicable wage rate on the wage determination for
the work actually performed.
(3) Every trainee must be paid at not less than the rate
specified In the approved program tor his0 er level of progress,
expressed as a percentage of the joumeyman-level hourly rate
specified in the applicable wage determination. Trainees shall be
paid fringe benefits in accordance with the provisions of the
trainee program. If the trainee program does not mention fringe
benefits, trainees shall be paid the full amount of fringe benefits
listed on the wage determination unless the Administrator of the
REQUIRED BY 23 CFR 633.102
43
Wage and Hour Division determines that there is an apprentice-
ship program associated with he corresponding journeyman -level
wage rate on the wage determination which provides for less than
full fringe benefits for apprentices, in which case such trainees
shall receive the same fringe benefits as apprentices.
(4) In the event the Employment and Training Adminis-
tration withdraws approval of a training program, the contractor or
subcontractor will no longer be permltled to utilize trainees at less
than the applicable predetermined rate for the work performed
until an acceptable program Is approved.
c. Helpers:
Helpers will be permitted t0 work on a project if the
helper classficatlon is specified and defined on the applicable
wage detemnination or Is approved pursuant to the conformance
procedure set forth in Section IV.2. My worker listed on a payroll
at a helper wage rate, who Is not a helper under a approved
definition, shah be pall not leas than the applicable wage rate on
the wage delerminat on for the classification of work actually per.
formed.
5. Apprentices and Trainees (Programs o1 the U.S. DOT):
Apprentices and trainees working under apprenticeship and
skill training programs which have been certified by the Secretary
of Transportation as promoting EEO in connection with Federal -
ad highway construction programs are not subject to Me require-
ments of paragraph 4 of this Section IV. The straight time hourly
wage rates for apprentices and trainees under such programs will
be established by the particular programs. The ratio of apprentic-
es and trainees to journeymen shall not be greater than permitted
by the terms o1 the particular program.
6. Withholding:
The SHA shall upon Its own action or upon written request
of an authorized representative of the DOL withhold, or cause to
be withheld, from he contractor or subcontractor under thls
contract or any other Federal contract with the same prime
contractor, or any other Federally -assisted contract subject to
Davis -Bacon prevailing wage requirements which Is held by the
same prime contractor, ea much of the accrued payments or
advances as may be considered necessary to pay laborers and
mechanics, Including apprentices, trainees, and helpers, em-
ployed by the contractor or any subcontractor he full amount of
wages required by the contract In the event of failure to pay any
laborer or mechanic, including any apprentice, trainee, or helper,
employed or working on the site of he work, all or part of the
wages required by the contract, the SHA contracting officer may,
after written notice to the contractor, take such action as may be
necessary to cause the suspension of any further payment,
advance, or guarantee of funds until such violations have ceased.
7. Overtime Requirements:
a. Payrolls and basic records relating thereto shall be
maintained by the contractor and each subcontractor during the
course of the work and preserved for a period of 3 years from he
date of completion of the contract for all laborers. mechanics,
apprentices, trainees, watchmen, helpers, and guards working at
the site of the work
b. The payroll records shall contain he name, social
security number, and address of each such employee; hls or her
correct classification; hourly rates of wages paid (Including rates
of contributions or costs anticipated for bona fide fringe benefits
or cash equivalent thereof the types described in Section
1(b)(2)(B) of the Davis Bacon Act); daily and weekly number of
hours worked; deductions made; and actual wages paid. In
addition, for Appalachian contracts, the payroll records shall
contain a notation Indicating whether the employee does, or does
not, normally reside In the labor area as defined In Attachment A,
paragraph 1. Whenever he Secretary of Labor. pursuant to
No contractor or subcontractor contracting for any part of
the contract work which may require or involve the employment of
laborers, mechanics, watchmen, or guards (including apprentices,
trainees, and helpers described In paragraphs 4 and 5 above)
shall require or permit any laborer, mechanic, watchman, or guard
in any workweek In which he/she Is employed on such work, to
work In excess of 40 hours In such workweek unless such laborer,
mechanic, watchman, or guard receives compensation at a rate
not Tess than one -and -one-half times Ns/her basic rate of pay for
all hours worked In excess of 40 hours In such workweek.
8. Violation:
Liability for Unpaid Wages; Liquidated Damages: In the
event of any violation of fire clause set forth in paragraph 7 above,
the contractor and any subcontractor responsible thereof shall be
liable to the affected employee for hisrher unpaid wages. In
addition, such contractor and subcontractor shall be liable to the
United States (In the case of work done under contract for the
District of Columbia or a territory, to such District or to such
teMtory) for liquidated damages. Such liquidated damages shall
be computed with respect to each Individual laborer, mechanic,
watchman, or guard employed In violation of the clause set forth
In paragraph 7, in the sum of $10 for each calendar day on which
such employee was required or pe„ ud to work In excess of the
standard work week of 40 hours without payment of the overtime
wages required by the clause set forth In paragraph 7.
9. Withholding for Unpaid Wages and Liquidated Damages:
The SHA shall upon Its own action or upon written request of
any authorized representative of the DOL withhold, or cause to be
withheld, from any monies payable on account of work performed
by the contractor or subcontractor under any such contract or any
other Federal contract with he same prime contractor, or any
other Federally -assisted contract subject to the Contract Work
Hours and Safety Standards Act, which Is held by he same prime
contractor, such sums as may be determined to be necessary to
satisfy any liabilities of such contractor or subcontractor for unpaid
wages and liquidated damages as provided In the clause set forth
In paragraph 8 above.
V. STATEMENTS AND PAYROLLS
(Applicable to as Federal -aid construction contracts exceeding
$2,000 and to all related subcontracts, except for projects located
on roadways classified as local roads or rural collectors, which are
exempt)
1. Compliance with Copeland Regulations (29 CFR 3):
The contractor shall comply with he Copeland Regulations of
the Secretary of Labor which are herein incorporated by reference.
2. Payrolls and Payroll Records:
Section IV, paragraph 3b, has found that the wages of any laborer
or mechanic include the amount of any costs reasonably anticipat-
ed In providing benefits under a plan or program described In
Section 1(b)(2)(B) of the Davis Bacon Act, he contractor and each
subcontractor shall maintain records which show that the commit-
ment to provide such benefits Is enforceable, that the plan or
program le finandaiy responsible, that the plan or program has
been communicated in writing to he laborers or mechanics
affected, and show the cost antidpated or the actual cost Incurred
in providing benefits. Contractors or subcontractors employing
apprentices or trainees under approved programs shall maintain
written evidence of the registration of apprentices and trainees,
and ratios and wage rates prescribed In the applicable programs.
c. Each contractor and subcontractor shall furnish, each
week In which any contract work Is performed, to he SHA resident
engineer a payroll of wages paid each of Its employees (Including
apprentices, trainees, and helpers, descrlbed in Section IV, para-
REQUIRED BY 23 CFR 633.102
graphs 4 and 5, and watchmen and guards engaged on work
during the.preceding weekly payroll period). The payroll submitted
shall set out accurately and completely all of the information
required to be maintained under paragraph 2b of this Section V.
This information may be submitted In any fomi desired. Optional
Form WH-347 Is available for this purpose and may be purchased
from the Superintendent of Documents (Federal stock number
029-005-0014-1), U.S. Govemment Printing Office, Washington,
D.C. 20402. The prime contractor Is responsible for the submis-
sion of copies of payrolls by all subcontractors.
d. Each payroll submitted shall be accompanied by a
'Statement of Compliance,' signed by the contractor or subcon-
tractor or his/her agent who pays or supervises the payment o1 the
persons employed under the contract and shall canny the follow-
ing:
(1) that the payroll for the payroll period contains the
information required to be maintained under paragraph 2b of this
Section V and that such information Is correct and complete;
(2) that such laborer or mechanic (Including each
helper, apprentice, and trainee) employed on the contract during
the payroll pedod has been pald the hill weekly wages earned,
without rebate, either directly or Indirectly, end that no deductions
have been made either directly or Indirectly from the full wages
earned, other than permissible deductions as set forth in the
Regulations, 29 CFR 3;
(3) that atoll laborer or mechanic has been paid not
less that the applicable wage rate and Mnge benefits or cash
equivalent for the classification of worked performed, as specified
in the applicable wage determination incorporated Into the
contract
e. The weekly submission of a properly executed certifica-
tion set forth on the reverse side of Optional Form WH-347 shall
satisfy the requirement for submiselon of the 'Statement of
Compliance' required by paragraph 2d of this Section V.
f. The falsification of any of the above certifications may
subject the contractor to civil or criminal prosecution under 18
U.S.C. 1001 and 31 U.S.C. 231.
g. The contractor or subcontractor shall make the records
required under paragraph 2b of this Section V available for
inspection, copying, or transcription by authorized representatives
of the SHA, the FHWA, or the DOL, and shall penult such repre-
sentatives to Interview employees during worldng hours on the job.
11 the contractor or subcontractor tails to submit the required
records orb make them available, the SHA, the FHWA, the DOL,
or all may, after written notice to the contractor, sponsor, applicant,
a. 'Its ow, organization' shall be construed to Include only
workers employed and paid directly by the prime contractor and
equipment owned or rented by the prime contractor, with or
without operators. Such term does not Include employees or
equipment of a subcontractor, assignee, or agent of the prime
contractor.
b. 'Specialty Items' shall be construed to be limited to
work that requires highly specialized knowledge, abilities, or
equipment not ordinarily available in the type of contracting
organizations qualified and expected to bid on the contract as a
whole and In general are to be limited to minor components of the
overall contract.
2. The contract amount upon which the requirements set forth
in paragraph 1 of Section VII Is computed Includes the cost of
material and manufactured products which are to be purchased or
produced by the contractor under the contract provisions.
3. The contractor shall furnish (a) a competent superintendent
or supervisor who is employed by the firm, has full authority to
direct performance of the work In accordance with the contract
requirements, and is In charge of all construction operations
(regardless of who performs the work) and (b) such other of Its
own organizational resources (supervision, management, and
or owner, take such actions as may be necessary to cause the
suspension of any further payment, advance, or guarantee of
funds. Furthermore, failure to submit the required records upon
request or to make such records available may be grounds for
debarment action pursuant to 29 CFR 5.12.
VI. RECORD OF MATERIALS, SUPPLIES, AND LABOR
1. On all Federal -aid contracts on the National Highway
System, except those which provide solely for the Installation of
protective devices at railroad grade crossings, those which are
constructed on a force account or direct labor basis, highway
beautification contracts, and contracts for which the total final
construction cost for roadway and bridge Is less than $1,000,000
(23 CFR 635) the contractor shall:
a. Become familiar with the list of specific materials and
supplies contained In Form FHWA-47, 'Statement of Materials
and Labor Used by Contractor of Highway Construction Involving
Federal Funds,' prior to the commencement of work under this
contract.
b. Maintain a record of the total cost of all materials and
supplies purchased for and Incorporated In the work, and also of
the quantities of those specific materials and supplies listed on
Form FHWA-47, and In the units shown on Form FHWA-47.
c. Furnish, upon the completion of the contract, to the
SHA resident engineer on Form FHWA-47 together with the data
required In paragraph 1 b relative to materials and supplies, a final
labor summary of all contract work Indicating the total hours
worked and the total amount earned.
2. At the prime contractor's option, either a single report
coveting all contract work or separate reports for the contractor
and for each subcontract shall be submitted.
VII. SUBLETTING OR ASSIGNING THE CONTRACT
1. The contractor shell perform with Its own organization
contract work amounting to not less than 30 percent (or a greater
percentage if specified elsewhere In the contract) of the total
original contract price, excluding any specially Items designated
by the State. Specialty Items may be performed by subcontract
and the amount of any such specialty Items performed may be
deducted from the total original contract price before computing
the amount of work required to be performed by the contractors
own organization (23 CFR 635).
engineering services) as the SHA contracting officer determines
Is necessary to assure Ma performance of the contract.
4. No portion of the contract shall be sublet, assigned or
otherwise disposed of except with the written consent of the SHA
contracting officer, or authorized representative, and such consent
when given shall not be construed to relieve the contractor of any
responsibility for the fulfillment of the contract. Written consent
wNl be given only after the SHA has assured that each subcontract
is evidenced in writing and that It contains all pertinent provisions
and requirements of the prime contract.
VSI. SAFETY: ACCIDENT PREVENTION
1. In the performance of this contract the contractor shall
comply with all applicable Federal, State, and local laws governing
safety, health, and sanitation (23 CFR 635). The contractor shall
provide all safeguards, safety devices and protective equipment
and take any other needed actions as It determines, or as the SHA
contracting officer may determine, to be reasonably necessary to
protect the life and health of employees on the job and the safety
of the public and to protect properly In connection with the
pedornance of the work covered by the contract.
REQUIRED BY 23 CFR 633.102
2. It is a.condmion of this contract, and shall be made a
'condition of each subcontract, which the contractor enters Into
pursuant to this contract, that Me contractor and any subcontractor
shall not permit any employee, in performance of the contract, to
work In surroundings or under conditions which are unsanitary,
hazardous or dangerous to hlslher health or safety, as determined
under construction safety and health standards (29 CFR 1926)
promulgated by the Secretary of Labor, in accordance with
Section 107 of the Contract Work Hours and Safety Standards Act
(40 U.S.C. 333).
3. Pursuant to 29 CFR 1928.3, it is a condition of this contract
that the Secretary of Labor or authorized representative thereof,
shall have right of entry to any site of contract performance to
inspect or investigate the matter of compliance with the construc-
tion safety and health standards and to carry out the duties of the
Secretary under Section 107 of the Contract Work Hours and
Safety Standards Act (40 U.S.C. 333).
IX. FALSE STATEMENTS CONCERNING HIGHWAY
PROJECTS
In order to assure high quality and durable construction in
conformity with approved plans and specifications 9nd a high
degree of reliability on statements and representation made by
engineers. contractors, suppliers, and workers on Federal•ald
highway projects, it is essential that as persons concerned with the
project perform their functions as carefully, thoroughly, and
honestly as possible. Willful falsification, distortion, or misrepre-
sentation with respect to any facts related to the project is a
violation of Federal law. To prevent any misunderstanding
regarding the seriousness of these and similar acts, the following
notice shall be posted on each Federalaki highway project (23
CFR 635) in one or more places where it Is readily available to all
persons concerned with the project:
NOTICE TO ALL PERSONNEL ENGAGED ON FEDERAL -AID
HIGHWAY PROJECTS
18 U.S.C. 1020 reads as follows:
'Whoever, being an officer, agent or employee of the United
States, or of any State or Territory, or whoever, whether person,
association, firm, or corporation, knowingy makes any false
statement, false representation, or false repartee to the chamfer,
quality, quantity, or cost of the matelot used or to be used, or the
quantity or quality of the workpedonned orb ba perkxmed, or the
cost thereof in connection with the submission of plans, maps,
3. That the fine shall promptly notify the SHA of the receipt of any
communication from the Director, Office of Federal Activities,
EPA, Indicating that a facility that Is or will be utilized for the
contract Is under consideration to be fisted on the EPA Ust of
Violating Facilities.
4. That the firm agrees to include or cause to be Included the
requirements of paragraph 1 through 4 of this Section X in every
nonexempt subcontract, and further agrees to take such action as
the govemment may direct as a means of enforcing such require-
ments.
XI. CERTIFICATION REGARDING DEBARMENT,
SUSPENSION,
INEUGIBILITY AND VOLUNTARY EXCLUSION
1. Instructions for Certification - Primary Covered Transac-
tions:
(Applicable to all Federal -aid contracts - 49 CFR 29)
a. By signing and submitting this proposal, the prospective
primary participant is provcing the certification set out below.
b. The inability of a person to provide the certification set
out below will not necesseriy result In denial of participation in this
covered transaction. The prospective participant shall submit an
explanation of any tl cannot provide the certification set out below.
specifications, contracts, or costs of construction on any highway
or related project submitted for approval to the Secretary of
Transportation; or
Whoeverknowingly makes any false statement false represen-
tation, false report or false claim with respect to the character,
quality, quantity, or cost of any work performed or to be per-
formed, or materials furnished or to be furnished, In connection
with the construction of any highway or related project approved
by the Secretary of Transportation; or
Whoever knowingly makes any false statement or false repre-
sentation as to material fact in any statement, certificate, or report
submitted pursuant to provisions of the Federal -aid Roads Act
approved July 1, 1916, (39 Stat. 355), as amended and supple-
mented;
Shall be fined not more that $10,000 or Imprisoned not more
than 5 years or both.'
X. IMPLEMENTATION OF CLEAN AIR ACT AND FEDERAL
WATER POLLUTION CONTROL ACT
(Applicable to all Federal -aid construction contracts and to all
related subcontracts of $100,000 or more.)
By submission of this bid or the execution of this contract, or
subcontract, as appropriate, the bidder, Federal-ald construction
contractor, or subcontractor, as appropriate, wig be deemed to
have stipulated as follows:
1. That any facility that is o will be utilized in the performance of
this contract, unless such contract is exempt under the Clean Air
Act, as amended (42 U.S.C. 1857 gag., as amended by Pub.L.
91.604), and under the Federal Water Pollution Control Act, as
amended (33 U.S.C. 1251 Mug., as amended by Pub.L 92.500),
Executive Order 11738, and regulations In implementation thereof
(40 CFR 15) is not listed, on the date of contract award, on the
U.S. Environmental Protection Agency (EPA) Ust of Violating
Facilities pursuant to 40 CFR 15.20.
2. That the firm agrees to comply and remain In compliance with
all the requirements of Section 114 of the Clean Alr Act and
Section 308 of the Federal Water Pollution Control Act and all
regulations and guidelines listed thereunder.
The certification or explanation will be conskdered in connection
with the department or agency's determination whether to enter
Into this transaction. However, failure of the prospective primary
participant to furnish a certification or an explanation shall
disqualify such a person from participation in this transaction.
c. The certification In this dause Is a material representa-
tion of fad upon which reliance was placed when the department
or agency determined to enter into this transaction. 11 It is later
determined that the prospective primary participant knowingly
rendered an erroneous certification, In addition to other remedies
available to the Federal Government, the department or agency
may terminate this transaction or cause of default.
d. The prospective primary participant shall provide
immediate written notice to the department or agency to whom this
proposal Is submitted If any time the prospective primary partici-
pant teams that Its certification was erroneous when submitted or
has become erroneous by reason of changed circumstances.
e. The terms 'covered transaction; 'debarred,''suspend-
ed, 'Ineligible; 'lower tier covered transaction; 'pariidpant,
'person, 'primary covered transaction,' 'principal,' 'proposal;
and 'voluntarily excluded; as used in this clause, have the
meanings set out in the Definitions and Coverage sections of rules
implementing Executive Order 12549. You may contact the
department or agency to which this proposal is submitted for
assistance In obtaining a copy of those regulations.
REQUIRED BY 23 CFR 633.102
' f. The prospective primary participant agrees by submitting
thls proposal that, should the proposed covered transaction be
entered Into, It shall not knowingly enter Into any lower tier covered
transaction with a person who Is debarred, suspended, declared
Ineligible, or voluntarily excluded from participation In this covered
transaction, unless authorized by the department or agency
entering Into this transaction.
g. The prospective primary participant further agrees by
submitting this proposal that it MN Include the clause titled'Certifi-
cation Regarding Debarment, Suspension, Ineligibility and Volun-
tary Exclusion -Lower Tier Covered Transaction,' provided by the
department or agency entering Into this covered transaction,
without modification, in at lower der covered transactions and In
all solicitations for lower tier covered Transactions.
h. A participant In a covered transaction may rely upon a
certification of a prospective participant In a lower tier covered
transaction that is not debarred, suspended, Ineligible, or volun-
tarily excluded from the covered transaction, unless it knows that
the ceNgcation is erroneous. A participant may decide the
method and frequency by which it determines the eligibility of Its
pdndpals. Each participant may, but is not required to, check the
nonprocurement portion of the 'Lists of Parties Excluded From
Federal Procurement or Nonprocurement Programs' (Nonprocure-
ment Llst) which Is compiled by the General Services Administra-
tion.
I. Nothing contained In the foregoing shall be construed to
require establishment of a system of records in order to render In
good faith the certification required by this clause. The knowledge
and IMonnation of participant Is not required to exceed that which
Is normally possessed by a prudent person In the ordinary course
of business dealings.
j. Except for transactions authorized under paragraph 1 of
these instructions, if a participant In a covered transaction
knowingly enters Into a lower tier covered transaction with a
person who Is suspended, debarred, Ineligible, or voluntarily
excluded from participation In this transaction, In addition to other
remedies available to the Federal Government, the department or
agency may terminate this transaction for cause or default.
a. By signing and submitting this proposal, the prospective
lower tier Is providing the certification set out below.
b. The certification In this dauee Is a material representa-
tion of fad upon which reliance was placed when this transaction
was entered Into. If It Is later determined that the prospective
lower tier participant knowingly rendered an erroneous
certification, In addition to other remedies available to the Federal
Government, the department, or agency with which this transac-
tion originated may pursue available remedies, Including suspen-
sion and/or debarment.
c. The prospective lower tier participant shall provide
Immediate written notice to the person to which this proposal Is
submitted if at any time the prospective lower tier participant
learns that Its certification was erroneous by reason of changed
circumstances.
d. The terms 'covered transaction; 'debaned,"suspend-
ed; 'Ineligible, 'pdmary covered transaction,' 'partidpant,'
'person; 'principal; "proposal,' and 'voluntarily excluded,' as
used In this clause, have the meanings set out in the Definitions
and Coverage sections of rules Implementing Executive Order
12549. You may contact the person to which this proposal Is
submitted for assistance In obtaining a copy of those regulations.
e. The prospective lower tier participant agrees by submit-
ting this proposal that, should the proposed covered transaction
be entered into, It shall not knowingly enter Into any lower tier
covered transaction with a person who Is debarred, suspended,
declared beligibie, or voluntarily excluded from participation In this
Certification Regarding Debarment, Suspension,
Ineligibility and Voluntary Exclusion —Primary Covered
Transactions
1. The prospective primary participant certifies to the best of Its
knowledge and belief, that it and Its principals:
a. Are not presently debarred, suspended, proposed for
debarment, declared ineligible, or voluntarily excluded from
covered transactions by any Federal department or agency;
b. Have not within a 3-year period preceding this proposal
been convicted of or had a civil judgement rendered against them
for commission of fraud or a criminal offense in connection with
obtaining, attempting to obtain, or performing a public (Federal,
State or local) transaction or contract under a public transaction;
violation of Federal or State antitrust statutes or commission of
embezzlement. theft, forgery, bribery, faismcatlon or destruction of
records, making false statements, or receiving stolen property;
c. Are not presently indicted for or otherwise criminally or
civilly charged by a governmental entity (Federal, State or local)
with commisson of any of the offenses enumerated In paragraph
lb of this certification; and
d. Have not within a 3-year period preceding this applica-
tion/proposal had one or more public transactions (Federal, State
or local) terminated for cause or default.
2. Where the prospective primary participant is unable to certify
to any of the statements in this certification, such prospective
participant shall attach en explanation to this proposal.
2. InstructIns for Certification - Lower Tier Cowered
Transactions:
(Applicable to all subcontracts, purchase orders and other lower
tier transactions of $25,000 or more - 49 CFR 29)
covered transaction, unless authorized by the department or
agency with winch this transaction originated.
I. The prospective lower tier partldpant further agrees by
submitting this proposal that It will include this clause titled
"Certification Regarding Debarment, Suspension, Ineligibility and
Voluntary Exclusion -Lower Tier Covered Transaction; without
modification, In all lower tier covered transactions and In all
solicitations for lower tier covered transactions.
g. A participant in a covered transaction may rely upon a
certification of a prospective participant in a lower tier covered
transaction that Is not debarred, suspended, Ineligible, or volun-
tarily excluded from the covered transaction, unless it knows that
the certification Is erroneous. A participant may decide the
method and frequency by which It determines the eligibility of Its
prindpals. Each participant may, but is not required to, check the
Nonprocurement Llst.
h. Nothing contained In the foregoing shall be construed to
require establishment of a system of records in order to render In
good faith the certification required by this clause. The knowledge
and Information of partldpant Is not required to exceed that which
Is nomnally possessed by a prudent person In the ordinary course
of business dealings.
1. Except for transactions authorized under paragraph e of
these Instructions, II a participant In a covered transaction
knowingly enters Into a lower tier covered transaction with a
person who Is suspended, debarred, Ineligible, or voluntarily
excluded from participation In this transaction, In addition to other
remedies avaNable to the Federal Government the department or
REQUIRED BY 23 CFR 633.102
agency with. which this transaction paginated may pursue
available remedies, including suspension and/or debarment.
Certification Regarding Debarment, Suspension,
Ineligibility and Voluntary Exclusion —Lower Tier Covered
Transactions:
1. The prospective lower tier participant certifies, by submission
of this proposal, that neither it nor Its principals Is presently
debarred, suspended, proposed for debarment, declared ineligi-
ble, or voluntarily excluded from participation In this transaction by
any Federal department or agency.
2. Where the prospective lower tier participant is unable to
certify to any of the statements In this certification, such prospec-
tive participant shall attach an explanation to this proposal.
XII. CERTIFICATION REGARDING USE OF CONTRACT
FUNDS
FOR LOBBYING
(Applicable to all Federal -aid construction contracts and to all
related subcontracts which exceed $100,000. 49 CFR 20)
1. The prospective participant certifies, by signing and submit-
ting this bid or proposal, to the best of Ms or her knowledge and
belief. that:
a. No Federal appropriated funds have been paid or NI be
paid, by or on behalf o1 the undersigned, to any person for
Influencing or attempting to influence an officer or employee of
any Federal agency, a Member of Congress, an officer or employ-
ee of Congress, or an employee of a Member of Congress In
connection with the awarding of any Federal contract, the maldng
of any Federal grant, the mating of any Federal loan, the entering
Into of any cooperative agreement, and the extension, continua-
tion, renewal, amendment, or modification of any Federal contract,
grant, loan, or cooperative agreement.
b. If any funds other than Federal appropriated funds have
been paid or will be paid to any person for Intluendng or attempt-
ing to Influence an officer or employee of any Federal agency, a
Member of Congress, an officer or employee of Congress, or an
employee of a Member of Congress In connection with this
Federal contract, grant, loan, or cooperative agreement, the
undersigned shall complete and submit Standard Form-LLL,
'Disclosure Form to Report Lobbying; In accordance with Its
Instructions.
2. This certification is a material representation of fact upon
which reliance was placed when ads transaction was made or
entered into. Submission of this certification Is a prerequisite for
making or entering Into this transaction imposed by 31 U.S.C.
1352. Any person who fails to file the required certification shall
be subject to a civil penally of not less than $10,000 and not more
than $100,000 for each such failure.
3. The prospective participant also agrees by submitting his or
her bid or proposal that he or she shall require that the language
of this certification be included In ail lower tier subcontracts, which
exceed $100,000 and that all such recipients shall certify and
disclose accordingly.
REQUIRED BY 23 CFR 633.102
EXHIBIT C FUNDING PROVISIONS
A. The Local Agency has estimated the total cost the Work to be $ 228,155.00 which is to be
funded as follows:
BUDGETED FUNDS
a.
Federal Funds
188,889.00
82.79
ok
Of Participating Costs
b.
Local Agency Matching Funds
39,266.00
17.21
of Participating Costs
c.
Local Agency Matching for CDOT-Incurred Non -Participating
Costs
NA
(Including Non -Participating Indirects)
TOTAL BUDGETED FUNDS
228,155.00
ESTIMATED CDOT-INCURRED COSTS
NA
a.
Federal Share
%
of Participating Costs
b.
Local Share
Local Agency Share of Participating Costs
$
Non -Participating Costs (Including Non-
Participating Indirects)(1c)
$
Estimated to be Billed to Local Agency
$
TOTAL ESTIMATED CDOT-INCURRED COSTS
NA
ESTIMATED PAYMENT TO LOCAL AGENCY
188,889.00
a.
Federal Funds Budgeted (1a)
188,889.00
b.
Less Estimated Federal Share of CDOT-Incurred
Costs (2a)
NA
TOTAL ESTIMATED PAYMENT TO LOCAL AGENCI
188,889.00
FOR CDOT ENCUMBRANCE PURPOSES
Total Encumbrance Amount ($188,889.0odivided
by 82.79%)
228,155.00
Less ROW Acquisition 3111
NA
Net to be encumbered as follows:
228,155.00
y9
Design
2312 1P
3020
NA
Const
2312 1P
3301
228,155.00
B. The matching ratio for the federal participating funds for this project is 82.79% federal -aid
funds (CFDA #20 2050) to 17.21% Local Agency funds, it being understood that such ratio
applies only to the $ 228,155.00 that is eligible for federal participation, it being further
understood that all non -participating costs are borne by the Local Agency at 100%. If the
total participating cost of performance of the Work exceeds $228,155.00, and additional
federal funds are made available for the project, the Local Agency shall pay 17.21% of all
such costs eligible for federal participation and 100% of all non -participating costs; if
additional federal funds are not made available, the local agency shall pay all such excess
costs. If the total participating cost of performance of the Work is less than $228,155.00,
then the amounts of Local Agency and federal -aid funds will be decreased in accordance with
the funding ratio described herein. The performance of the Work shall be at no cost to the
State.
C. The maximum amount payable to the Local Agency under this contract shall be $188,889.00
(For CDOT accounting purposes, the federal funds of $ 188,889.00 and local matching funds
of $ 39,266.00 will be encumbered for a total encumbrance of $ 228,155.00), unless such
amount is increased by an appropriate written modification to this contract executed before
any increased cost is incurred. It is understood and agreed by the parties hereto that the total
cost of the Work stated hereinbefore is the best estimate available, based on the design data
as approved at the time of execution of this contract, and that such cost is subject to revisions
(in accord with the procedure in the previous sentence) agreeable to the parties prior to bid
and award.
D. The parties hereto agree that this contract is contingent upon all funds designated for the
project herein being made available from federal and/or state and/or Local Agency sources, as
applicable. Should these sources, either federal or Local Agency, fail to provide necessary
funds as agreed upon herein, the contract may be terminated by either party, provided that any
party terminating its interest and obligations herein shall not be relieved of any obligations
which existed prior to the effective date of such termination or which may occur as a result of
such termination.
ADDENDUM A: FEDERAL REOUIREMENTS
Federal laws and regulations that may be applicable to the Work include:
A. The "Uniform Administrative Requirements for Grants and Cooperative Agreements to State and
Local Governments (Common Rule), at 49 Code of Federal Regulations, Part 18, except to the
extent that other applicable federal requirements (including the provisions of 23 CFR Parts
172 or 633 or 635) are more specific than provisions of Part 18 and therefore supersede such
Part 18 provisions. The requirements of 49 CFR 18 include, without limitation:
I. the Local Agency/Contractor shall follow applicable procurement procedures, as required by
section 18.36(d);
2. the Local Agency/Contractor shall request and obtain prior CDOT approval of changes to any
subcontracts in the manner, and to the extent required by, applicable provisions of section
18.30;
3. the Local Agency/Contractor shall comply with section 18.37 concerning any subgrants;
4. to expedite any CDOT approval, the Local Agency/Contractor's attomey, or other authorized
representative, shall also submit a letter to CDOT certifying Local Agency/Contractor
compliance with section 18.30 change order procedures, and with 18.36(d) procurement
procedures, and with 18.37 subgrant procedures, as applicable;
5. the Local Agency/Contractor shall incorporate the specific contract provisions described in
18.36(i) (which are also deemed incorporated herein) into any subcontract(s) for such services
as terms and conditions of those subcontracts.
B. Executive Order 11246 of September 24, 1965 entitled "Equal Employment Opportunity," as
amended by Executive Order 11375 of October 13, 1967 and as supplemented in Department of
Labor regulations (41 CFR Chapter 60) (All construction contracts awarded in excess of $10,000
by grantees and their contractors or subgrantees).
C. The Copeland "Anti -Kickback" Act (18 U.S.C. 874) as supplemented in Department of Labor
regulations (29 CFR Part 3) (All contracts and subgrants for construction or repair).
D. The Davis -Bacon Act (40 U.S.C. 276a to a-7) as supplemented by Department of Labor regulations
(29 CFR Part 5) (Construction contracts in excess of $2,000 awarded by grantees and subgrantees
when required by Federal grant program legislation. This act requires that all laborers and
mechanics employed by contractors or sub -contractors to work on construction projects financed
by federal assistance must be paid wages not less than those established for the locality of the
project by the Secretary of Labor).
E. Sections 103 and 107 of the Contract Work Hours and Safety Standards Act (40 U.S.C. 327-330)
as supplemented by Department of Labor regulations (29 CFR Part 5). (Construction contracts
awarded by grantees and subgrantees in excess of $2,000, and in excess of $2,500 for other
contracts which involve the employment of mechanics or laborers).
F. Standards, orders, or requirements issued under section 306 of the Clear Air Act (42 U.S.C. 1857(h),
section 508 of the Clean Water Act (33 U.S.C. 1368). Executive Order 11738, and Environmental
Protection Agency regulations (40 CFR Part 15) (contracts, subcontracts, and subgrants of amounts
in excess of $100,000).
G. Mandatory standards and policies relating to energy efficiency which are contained in the state
energy conservation plan issued in compliance with the Energy Policy and Conservation Act (Pub.
L. 94-163).
H. Office of Management and Budget Circulars A-87, A-21 or A-122, and A-102 or A-110, whichever
is applicable.
I. The Hatch Act (5 USC 1501-1508) and Public Law 95-454 Section 4728. These statutes state that
federal funds cannot be used for partisan political purposes of any kind by any person or
organization involved in the administration of federally -assisted programs.
I. 42 USC 6101 et seq. 42 USC 2000d, 29 USC 794, and implementing regulation, 45 C.F.R. Part 80
et. seq.. These acts require that no person shall, on the grounds of race, color, national origin, age,
or handicap, be excluded from participation in or be subjected to discrimination in any program or
activity funded, in whole or part, by federal funds;
K. The Americans with Disabilities Act (Public Law 101-336; 42 USC 12101, 12102, 12111-12117,
12131-12134, 12141-12150,12161-12165, 12181-12189, 12201-12213 47 USC 225 and 47 USC
611.
L. The Uniform Relocation Assistance and Real Property Acquisition Policies Act, as amended (Public
Law 91-646, as amended and Public Law 100-17, 101 Stat. 246-256). (If the contractor is acquiring
real property and displacing households or businesses in the performance of this contract.)
M. The Drug -Free Workplace Act (Public Law 100-690 Title V, subtitle D, 41 USC 701 et seq.).
N. The Age Discrimination Act of 1975, 42 U.S.C. Sections 6101 et. seq. and its implementing
regulation, 45 C.F.R. Part 91;
Section 504 of the Rehabilitation Act of 1973, 29 U.S.C. 794, as amended, and implementing
regulation 45 C.F.R. Part 84.
O. 23 C.F.R. Part 172, concerning "Administration of Engineering and Design Related Contracts".
P. 23 C.F.R Part 633, concerning "Required Contract Provisions for Federal -Aid Construction
Contracts".
Q. 23 C.F.R. Part 635, concerning "Construction and Maintenance Provisions".
R. Title VI of the Civil Rights Act of 1964 and 162(a) of the Federal Aid Highway Act of 1973.
The requirements for which are shown in the Nondiscrimination Provisions, which are attached
hereto and made a part hereof.
APRIL 1980
Nondiscrimination Provisions:
In compliance with Title VI of the Civil Rights Act of 1964 and with Section 162(a) of the Federal Aid
Highway Act of 1973, the Contractor, for itself, its assignees and successors in interest, agree as follows:
A. Compliance with Regulations. The Contractor will comply with the Regulations of the Department
of Transportation relative to nondiscrimination in Federally assisted programs of the Department
of Transportation (Title 49, Code of Federal Regulations, Part 21, hereinafter referred to as the
"Regulations"), which are herein incorporated by reference and made a part of this contract.
B. Nondiscrimination. The Contractor, with regard to the work performed by it after award and prior
to completion of the contract work, will not discriminate on the ground of race, color, sex, mental
or physical handicap or national origin in the selection and retention of Subcontractors, including
procurement of materials and leases of equipment. The Contractor will not participate either
directly or indirectly in the discrimination prohibited by Section 21.5 of the Regulations, including
employment practices when the contract covers a program set forth in Appendix C of the
Regulations.
C. Solicitations for Subcontracts, Including Procurement of Materials and Equipment. In all
solicitations either by competitive bidding or negotiation made by the Contractor for work to be
performed under a subcontract, including procurement of materials or equipment, each potential
Subcontractor or supplier shall be notified by the Contractor of the Contractor's obligations under
this contract and the Regulations relative to nondiscrimination on the ground of race, color, sex,
mental or physical handicap or national origin.
D. Information and Reports. The Contractor will provide all information and reports required by the
Regulations, or orders and instructions issued pursuant thereto and will permit access to its books,
records, accounts, other sources of information and its facilities as may be determined by the State
or the FHWA to be pertinent to ascertain compliance with such Regulations, orders and instructions.
Where any information required of the Contractor is in the exclusive possession of another who
fails or refuses to furnish this information, the Contractor shall so certify to the State, or the FHWA
as appropriate and shall set forth what efforts have been made to obtain the information.
E. Sanctions for Noncompliance. In the event of the Contractor's noncompliance with the
nondiscrimination provisions of this contract, the State shall impose such contract sanctions as it
or the FHWA may determine to be appropriate, including, but not limited to:
1. Withholding of payments to the Contractor under the contract until the Contractor complies,
and/or;
2. Cancellation, termination or suspension of the contract, in whole or in part.
F. Incorporation of Provisions. The Contractor will include the provisions of paragraphs A through
F in every subcontract, including procurement of materials and leases of equipment, unless exempt
by the Regulations, orders, or instructions issued pursuant thereto. The Contractor will take such
action with respect to any subcontract or procurement as the State or the FHWA may direct as a
means of enforcing such provisions including sanctions for noncompliance; provided, however, that,
in the event the Contractor becomes involved in, or is threatened with, litigation with a
Subcontractor or supplier as a result of such direction, the Contractor may request the State to enter
into such litigation to protect the interest of the State and in addition, the Contractor may request
the FHWA to enter into such litigation to protect the interests of the United States.
•
•
SPECIAL PROVISIONS
CONTROLLER'S APPROVAL
1. This contract shell not be deemed valid until if shall have been approved by the Controller of the State of Colorado or such assistant as he may designate.
This provision 15 applicable to any contract Involving the payment of money by the State.
FUND AVAILABILITY
2. Financial obligations of the State of Colorado payable after the current fiscal year are contingent upon funds for that purpose being appropriated. budgeted,
and otherwise made available.
BOND REQUIREMENT
3. t this contract involves the payment of more then fifty thousand dollars for the construction, erection, repair, maintenance, or improvement of any building,
road bridge, viaduct, tunnel, excavation or other public work tor this State, the Contractor stall, before entering upon the performance of any such work included
in this contact, duly execute and delkar to the Sate offlcis who will sign the contract, a good and suffident bond or other acceptable suety to be approved by said
official in a penal sum not less then one-half of the total amount payable by the tamp ol this contract- Such bond shall be duly executed by a qualified corporate
surety contained upon the faithful performance of the contact and in addlion. shell provide that if the Contractor or his subcontractors fell lo duly pay for any labor,
materials, ream hire, sustenance, provisions, pavendor or other supplies used or consumed by such Contractor or hie eubcontrector in performance of the work
contracted to be done or ails to pay any person who supplies rental machinery, tools, or equipment in the prosecution of the work the surety will pay the same In
an amount not exceeding the sum specified In the bond. together with interest at the rate of eight per cent per annum. Unless au& bond is executed, delivered
and filed, no claim in lava of the Contractor arising under such contract shall be audited allowed or paid. A certified or cashier's check or a bank money order
payable to the Treasurer of the Sate of Colorado may be accepted In lieu of a bond. This provision is in compliance with CRS 38-26-108.
INDEMNIFICATION
4. To the extent authorized by law, the contractor .hell Indemntly, save, and hold harmless the Stale. Its employees and agents, against any and all claims,
Damages, liability and court awards including costs, etpense5, and attomey fees incurred as a result of any at or omleebn by the contractor, or Its employees,
Agents, subcontractors, or assignees pursuent to the terms of this contract.
DISCRIMINATION AND AFFIRMATIVE ACTION
5. The Contractor agree to comply with the leer and spill of the Colorado Antidiscrimination Act of 1957, as amended, and other applicable law respecting
discrimination and unfair employment practices (CRS 24-34-402), and as required by Executive Order. Equal Opportunity end Affirmative Action, dated Apri118,
1975. Pursuant thereto, the followirgpmwsons shall be contained An as State contacts or subcontracts.
During the perlonnst,ce of this contract. the Contractor agrees as ldbws:
(a) The Contractor will not dsaiminate against any employee or applicant for employment because of ace, creed, color, national origin, sex, marital status,
religion. ancestry, mental or physical handicap, or age. The Contractor will take affirmative action to insure that applicants are employed, and that empbyees
are Treated during amploymeM, without regard to the above mentioned cherectenstics. Such action shal include. but not be limited to the IolloyA g: employment
upgrading, demotion, or transfer, reaulment or recruitment edventisings; ay -offs or terminations; rates of pay or other Coma of compensation; and selection
tor training, Including apprenticeship. The Contractor agrees to post In conspicuous places, available to employees and applicants tor employment, notices to
be provided by the contacting officer setting loth provisions of this non-discrimination clause.
(b) The Contractor will, In al solicitations or advertisements for employees placed by a on behalf of to Contactor, Sale that al qualified applicants coil receive
consideration for employment without regard 10 race, creed, color, national origin. sex marital status, religion, ancestry, mental or physical handicap. or age.
(c) The Contractor will and to each labor union or represenative of workers with which he has a collective bargaining agreement or other contract or
understanding, notice to be provided by the contacting officer, advising the labor union or workers' representable of the Contractors commitment under the
Executive Order, Equal Opportunity and Affirmative Acton, dated Apt 16. 1975, and rules, regulations, and relevant Orders of the Governor.
(d) The Contractor and labor unions WA Amish all information and reports required by Executive Order, Equal Opportunity and Affirmative Action of April 18,
1975, and by the sae, regulatkxa end Orders of the Governor, or pursuant thereto, and will permit access 1.3 his books. records, and accounts by the contacting
agency and the office of the Governor or hls designee to purposes of Investigation to ascertain compliance with such rules regulations and orders.
(e) A labor canonization will not exclude any Individual otherwise qualified lion, full membership rights in such labor organization, or expel any such indMdual
Iron membership In such labor organization or discriminate against any of Its members in the lull enjoyment wort oppatuniy because of race, creed, color,
sex national origin, or ancestry.
(1) A labor organization, or the employees or members thereof wit not ald, abet, incite, compel or coerce the doing of any ad defined in this contract to be
discriminatory or obstruct or prevent any person from complying with the provision ol this connect or any order issued thereunder, or attempt, either directly or
indirectly, to commit any act defined In 9xs contract to be discriminatory.
(g) In the event of the Contractor's noncompliance with the non4ecriminatlon clauses of this contract or with any of such rules, regulations, or orders, this
contact may be canceled. terminated or suspended in whole or In part end the Contractor may be declared Ineligible for further State contracts In accordance
with procedures, authorized In Executive Order, Equal Opportunity and Affirmative Action of Apt 16, 1975 and the ales, regulation, or orders promulgated
in accordance therewith, and such otter sanctions as may be imposed end remedies as may be invoked as prodded In Executive Orders, Equal Opponadty
and Aflirmatve Action of April 16, 1975, or by miss, regulations, or orders promulgated in accordance therewith. ores otherwise provided by law.
(h) The Contractor will Include the provisions d paragraphs (a) through (h) in every subcontract and subcontractor purchase order unless exempted by rules,
regulations, or orders Issued pursuant to Executive Order, Equal Opportunity and Affirmative Action of April 18, 1975, a that such provisions will be binding
upon ach subcontractor or vendor. The Contractor will take such action with respect to any subcontracting or purchase order es the contracting agency may
direct, as a means of enforcing such provisions, including sanctions for non-compliance; provided, however, that In the event the Contractor becomes Involved
in, or is threatened with litigation, with the subcontractor or vendor as a result of such direction by the contracting agency, the Contractor may request the State
of Colorado to enter into such litigation to protect the Interest of the State ol Colorado.
COLORADO LABOR PREFERENCE
b. When a construction contract for a public project Is 10 be awarded to a bidder, a resident bidder shall be allowed a preference against a non-resident bidder
from a State or foreign country equal to the preference given or required by the State or foreign country in which the non-resident bidder is a resident. If it is
determined by the officer responsible for awarding the bid that compliance with this subsection .08 may cause denial of federal funds which would otherelse be
available or would otherwise be Inconsistent with requirements of Federal law, this subsection shal be suspended. but only to the extent necessary to prevent denial
of the moneys or to eliminate be Inconsistency with Federal requirements (CRS 8-19.101 and 102).
GENERAL
7. The laws of the State of Colorado and rules and regulations Issued pursuant thereto shell be applied th the Inbrpretatbn, execution. and enforcement of this
contract Any provision of this contract whether or not incomorated hereby by reference which provides for arbitration by any extra -judicial body or person or which
is otherwise In conflict with said laws, nubs, and regulations shall be considered null and void Noting contained In any provision incorporated herein by relerence
which purports to negate this or any other special provision in whole or in part shall be valid or enforceable or available in any action at law whether by way of
complaint, defense, or otherwise. Any provision rendered nul and void by the operation of Es provision will not Invaidate the remainder of this contract to the extent
that the contract Is capable of execution.
8. At al times during the performance of This contract, the Contractor shall shinty adhere to all appicable federal and State laws, rules, and regulations that have
been or may hereafter be established.
9. Pursuant to CRS 24-30-202.4 (as amen0ed). the slate controller may wihhold debt owed b state agencies under tie vendor offset Intercept system for la) unpaid
child support debt or child swoon erteerages; (b) unpaid balance of lax, accrued interest, or other charges spsdlled h Arede 21, Tile 39. CRS: (c) unpaid bans due
b the studs& ban division of the department of higher education: (tt) owed amounts required b be paid to the unemployment compensation fund; and (e) other unpaid
debts owing to be slate or aryyagencythereof. the amount of which is found to be owing as a result of anal agency determination or reduced to judgment as certified by
the controller.
10. The signatories aver that tray are feniaarwith CRS 18.8301. el. seq., (Bribery and Corrupt Influences) and CRS 18-8-401, et seq., (Abuse of Public Office),
and that no violation of such provisions is present.
11. The signatories ever that to their knowledge, no State employee has any personal or beneficial interest whatsoever In the service or property described
herein
ATTACHMENT LO
Certification for Federal -Aid Contracts
The contractor certifies, by signing this contract, to the best of its knowledge and belief, that:
1. No Federal appropriated funds have been paid or will be paid, by or on behalf or the
undersigned, to any person for influencing or attempting to influence an officer or employee of
any Federal agency, a Member of Congress, an officer or employee of Congress, or an employee
of a Member of Congress in connection with the awarding of any Federal loan, the entering into
of any cooperative agreement, and the extension, continuation, renewal, amendment, or
modification of any Federal contract, grant, loan, or cooperative agreement.
2. If any funds other than Federal appropriated funds have been paid or will be paid to any person
for influencing or attempting to influence an officer or of Congress, or an employee of a
Member of Congress in connection with this Federal contract, grant, loan, or cooperative
agreement, the undersigned shall complete and submit Standard Form-LLL, "Disclosure Form to
Report Lobbying," in accordance with its instructions.
This certification is a material representation of fact upon which reliance was placed when this
transaction was made or entered into. Submission of this certification is a prerequisite for making or
entering into this transaction imposed by Section 1352, Title 31, U.S. Code. Any person who fails to
file the required certification shall be subject to a civil penalty of not less than $10,000 and not more
than $100,000 for each such failure.
The prospective participant also agree by submitting his or her bid or proposal that he or she shall
require that the language of this certification be included in all lower tier subcontracts, which exceed
$100,000 and that all such subrecipients shall certify and disclose accordingly.
Required by 23 CFR 635.112
APPENDIX B
•
•
DISADVANTAGED BUSINESS ENTERPRISE (DBE)
SECTION I. Policy.
It is the policy of the Colorado Department of Transportation (CDOT) that disadvantaged business enterprises shall
have the maximum opportunity to participate in the performance of contracts financed in whole or in part with Federal
funds under this agreement, pursuant to 49 CFR Part 23. Consequently, the 49 CFR Part IE DBE requirements the
Colorado Department of Transportation DBE Program (or a Local Agency DBE Program approved in advance by the
State) apply to this agreement.
SECTION 2. DBE Obligation.
The recipient or its contractor agrees to ensure that disadvantaged business enterprises as determined by the Office of
Certification at the Colorado Department of Regulatory Agencies have the maximum opportunity to participate in the
performance of contracts and subcontracts financed in whole or in part with Federal funds provided under this
agreement. In this regard, all participants or contractors shall take all necessary and reasonable steps in accordance with
the CDOT DBE program (or a Local Agency DBE Program approved in advance by the State) to ensure that
disadvantaged business enterprises•have the maximum opportunity to compete for and perform contracts. Recipients
and their contractors shall not discriminate on the basis of race, color, national origin, or sex in the award and
performance of CDOT assisted contracts.
SECTION 3 DBE Program.
The contractor (subrecipient) shall be responsible for obtaining the Disadvantaged Business Enterprise Program of the
Colorado Department of Transportation, 1988, as amended, and shall comply with the applicable provisions of the
program. (If applicable).
A copy of the DBE Program is available from and will be mailed to the contractor upon request:
Business Programs Office
Colorado Department of Transportation
4201 East Arkansas Avenue, Room 287
Denver, Colorado 80222-3400
Phone: (303)757-9234
revised 1/22/98 Required by 49 CFR Part 23.41
5�
ADDENDUM B: CONTRACT MODIFICATION TOOLS
The Local Agency and the State may use a Funding Letter in order to more expeditiously change and amend the terms
of this contract, if such use is warranted by the circumstances as described and authorized therein.
FUNDING LETTER.
Under this Contract, the Local Agency has agreed to provide funding based on the terms as described herein as needed
to satisfactorily perform and complete the work, subject to the availability of funding.
Funds are currently available and encumbered for the work in the amount specified above. However, the total cost to
complete the work, and the resulting total funding amount(s) to be provided by the State and Local Agency in exchange
therefor, as described in this Contract or otherwise made known to the Local Agency, are only estimated.
If the parties determine that they have underestimated/overestimated the total cost of the work, they have the right to
take the following action:
A. to increase/decrease the amount of available funds under this Contract.
In the event of this action, the State will notify the Local Agency thereof by Funding Letter. The Funding Letter will be
in a form substantially equivalent to the form attached hereto, and it shall not be deemed valid until it shall have been
signed by the Local Agency and approved by the State Controller or such assistant as he may designate.
f
•
COLORADO DEPARTMENT OF TRANSPORTATION AUTHORITY:
CONTRACT FUNDING INCREASE/DECREASE AND APPROVAL LETTER State Controller Policy letter on June 12, 1996
Region: Complete section 1 and submit to CDOT Controller's office. CDOT Controller letter on May 23, 1996
(1)This form to be used for the following contracts/situations only (check the appropriate situation):
_indefinite quantity, order more/add more _utility/railroad, underestimated total cost
CDOT construction, sum of CMO's LA construction, underestimated cost
F CDOT construction, underestimated total cost CDOT consultant, underestimated cost
SECTION 1 (Region use)
Date: (2)
Project code (3)
To: CDOT Controller (FAX #(303) 757-9573 or e-mail CONTROLLER)
Project # (4)
From:
Region # (5)
Office: (5)
Phone # (5)
FAX # (5)
CDOT has executed a contract with: (6)
Address: (6)
FEIN # (6)
Contract routing # (7)
GOERS encumbrance # (indicate PO, SC or PC #) (8)
Fund
(9)
Orgn.
(9)
Appro.
(9)
Prgrm.
(9)
Func.
(9)
ObJect/Sub-obJ N/P
(9)
GBL
(9)
Reporting Catg.
(9)
Proj/Sub/Phase
(9)
Original contract amount
$ (10)
Has a Budget Request been processed to cover the contract amount increase?
yes no (14)
Previous Funding Letter(s) total
$ (11)
(Funding Perm II tyru a_)
Preparer's name (15)
PHONE NO:
This Funding Letter total
5 (12)
(#—)
Contract Administrator's/Business Manager's Approval
(16)
PHONE NO:
Adjusted contract amount
$ (13)
CDOT Designee Approval
(17)
Local Agency approval
(18)
SECTION 2 (Controller's Office use) (19
Total allotment amount
$ (19)
Commission budget
$ (19)
If construction:
_CE pool elig. (19)
CE charges
$ (19)
Indirect chgs
S (19)
Adjusted contract amount plus total CE & indirect
charges calculation $ (19)
I have reviewed the financial status of the proJec , organization, grant and have determined that suffcient funds are available
to cover this increase, effective as of (19)
State Controller or Delegee
(20)
Date
(20)
•
EXAMPLE A (Lump Sum Contracts)
tQamppny Name:
Project Np.
Address:
Proleot Location
Employer (FEIN) ID Number:
Suba000unt No.
Invoice Number and Date:
Progress Report Dated:
%Completed: (1)
Current Billing Period: From: To:
BASIC AND / OR SUPPLEMENTAL CONTRACT TOTAL: (2) $
Total Billed to Date: $
Less: Retalnage (i O% of blfung not to exceed 5% of contract) $
Less: Prior Payments: $
{
Prior Billing : $ Less Retalnage: $ $
TOTAL CURRENT PAYMENT REQUEST: * $
(% To Date of DBE Work )
1 certify that the billed amounts are in agreement with the contract terms:
Signature Tltle
*
% Completed x Contraot Total a Total Curent Payment Request
CO x (2) c (* )
Date
•
•
EXAMPLE B (Cost Plus P(xed Poe Contracts)
COMManyNantes •
WOO .No.
•
Address:
Employer (REIN) ID Number.
Profeot Location
Involoo Number and Date: , .
Progress Report Dated:
Suba000unt No.
74 Completed:
BASIC AND /OR SUPPLEMENTAL CONTRACT TOTAL $
Pdor Period BUlIng Amount: • $
Current Baling Period: From: To:
DIRECT LABOR: (Ust Individually)
Employee Name
Ciasslfbation
Regular
Hours
Direct Hourly
Rate $
Overtime
Hours *
Cost
$
Current
This Period
Total Amount to
Date (Optional)
SUBTOTAL - DIRECT LABOR
$
$
INDIRECT •(%) (As specified in contract)
$
$
OTHER DIRECT COSTS (In - House)
Ust individually - at aotual cost as In final cost proposal; mileage (miles x $),
OADD (his. x $), equip. rental (hrs. x $), etc.
$
$
SUBTOTAL (DIRECT LABOR, INDIRECT & OTHER DIRECT COSTS)
$
$
FEE (1) (As specified in the oontraot)
$
$
OUTSIDE SERVICES (Suboonsuttanis & Vendors) (Ust Individually)
(To be In this same (omrat - attach copies) -
$
$
l4 To Date on DBE Work
$
$
Outside Services Managemeht Expense (when applicable)
$
$
TOTAL CURRENT PERIOD:
$ •.
•
$
TOTAL TO DATE:
$
$ -
LESS:' Retalnage (10% of biding not to exceed 5 ‘of contraot)
$
$
LESS: Prior Paynients
$
gam_
$
Prior Billing $ Less Retalnage $
$
TOTAL CURRENT PAYMENT REQUEST
$
$ _
1 certify that the titled amounts are aotual and In agreement with Ihe.00ntraot terms:
Signature Title Date
* Etlgbte dassitloelbns only; in a000rdanoe wtt(I oontraot
•
•
•
•
LE C (8paolHo Raley Of Pay Contracts
•OaapanstNamet
Proleot tic. .
Address:
4itplolrer (FEIN) ID Number:
Protect Location
Invoice Number and Date:
Progress Report Dated:
Suba000unt No.
% Completed:
BASIC AND/OR SUPPLEMENTAL. CONTRACT TOTAL $
•
Prior Period Billing Amount: $
Current Billing Period: _ From: To:
PAY RATES: (Ust Individually)
Employee Name
Classification
Regular
Hours
Overtime
Hours *
Rate of Pay
$/ Hours **
Cost
$
•
SUBTOTAL• PAY RATES:
$
O114ER DIRECT COSTS (In - House)
Ust Individually - at actual rates as in final cost proposal; mileage (miles x $),
OADD (hrs. x $), equip. rental (hrs. x $), etc.
$
SUBTOTAL. (Pay Rates•and Other Direct Rates)
$
OUTSIDE SERVICES (Subdonsudtants & Vendors) (Ust Individually)
(TO be In this same format - affect oopies)
$
%To Date on DBE work '
Outside Servtoes Management Expense (when applicable)
$
TOTAL CURRENT PERIbD:
$
TOTAL TO DATE:
$
LESS: Retalnage (10% of Wing not to exceed 6 Y of contract)
$
LESS; Prior Pavmehts
$
Pdor Wino $ less Retainage $
TOTAL CURRENT PAYMENT REQUEST:
$ -
1 certify that the billed amounts are actual and In agreement with the contract terms:
Signature Title Date
• Sable classifications only; in accordance with contract
•• In acoordanotwith contract
E3
•
B7df °IZ D (Waal ageney Billing)
Date
'WOE I. Opp DAM
Address:
Employer (FEW ID Number: Project Location
inaoioe Number and Date:
*Completed: Subaccount No.
FrOjeot 06.
BASIC AND/OR SUPPLEMENTAL CONTRACT TOTAL: S
Federal Share $
Local Agency Share $
State Share $
Prior Period Billing Amount: $
Current B .Period: From: To: -
SECTION II. «'•• ' COSTS
DIRECT.LABOR: (List individually)
Employee Classifi- Regular Direct Hourly Overtime Cost
Name cation Hours Rate $ Hours* $
Current Total to
This Period Date
SUBTOTAL - DIRECT LABOR $ $
BENEFITS • t OF DIRECT LABOR $ $.
OTHER DIRECT -COSTS (In -House)
List individually -at actual cost;
mileage (miles x $), CADD (hrs. t Of S. $
equip rental (hrs. x $), etc.
OUTSIDE SERVICES (Consultants & Vendors)
(List- individually) (To be in this same format- S- $
attach copies of invoices)
TOTAL COSTS CURRENT PERIOD: $
TOTAL COSTS TO DATE:
SECTION' III. BILLI&G
TOTAL BILLING CURRENT PERIOD
(. t OF TOTAL COSTS): . $
'Prior Billing: S
I certify that the billed amounts are actual and in agreement with the
contract terms:
Signature
Title
Date
* Eligible classifications only.