HomeMy WebLinkAboutbocc.con.328.2008 CONTRACT
A RESOLUTION OF THE BOARD OF COUNTY COMMISSIONERS
OF PITKIN COUNTY, COLORADO AUTHORIZING THE BOARD
TO ENTER INTO AN INTERGOVERNMENTAL AGREEMENT WITH
COLORADO DEPARTMENT OF TRANSPORTATION (CDOT) FOR THE
FUNDING FOR PURCHASE OF A STREET SWEEPER UTILIZING
CONGESTION MITIGATION AND AIR QUAILITY (CMAQ) GRANT MONEY
Resolution No. ~-2008
Recitals
1. The County plans on procuring a street sweeper with pick up capabilities with the
money received from CDOT
2. CDOT and Pitkin County wish to enter into an agreement regarding the funding
for the project known as street sweeper procurement.
3. Funds approved by Colorado Department of Transportation are now available for
the CMAQ Grant in the amount of $160,757. Pitkin County must match this with
$33,417. The County has received additional funding via a check from a growth
management quota system application in the amount of $35,000 for the purchase
of the street sweeper.
4. The Board of County Commissioners has determined that it is in the best interest
of the citizens of Pitkin County to enter into this Intergovernmental Agreement.
5. The terms of the agreement are set forth in the CDOT Contract identified as #09
HA3 00026, and is in the County Clerk and Recorders office for signature by the
Chairperson of the Board of County Commissioners.
6. Pitkin County is authorized to enter into this IGA pursuant to the provisions of
C.R.S. §29-1-203 and §43-2-144.
NOW THEREFORE, BE IT RESOLVED, by the Board of County
Commissioners that is does hereby approve the Intergovernmental Agreement between
CDOT and Pitkin County and the Chair (or Chair's designee) is authorized to execute the
contract identified as CDOT Contract #09 HA3 00026.
INTRODUCED, FIRST READ AND SET FOR PUBLIC HEARING ON
THE 3rd DAY OF DECEMBER 2008.
NOTICE OF PU$I.IC HEARING PUBLISHED IN THE ASPEN TIMES
WEEKLY ON THE DAY OF NOVEMBER 2008.
PUBLIC HEARING AND SECOND READING ON THE 17th DAY OF
DECEMBER 2008.
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PUBLISHED AFTER ADOPTION IN THE ASPEN TIMES WEEKLY ON
THE DAY OF ~ . X998: ~j p Q
A ST: BOARD OF COUNTY
OF PITKIN COUNTYa COLORADO
J ~ ~ /
J nette Jones c~c Hatfield, ~ hairman
puty Clerk
Date: l~ / ~
APPROVED AS TO FORM: MANAGER APPROVAL
A ~
John , ounty Attorney Hilt Fletcher, C mty Manager
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(FMLAWRK)
PROJECT AQC C570-015 (17049) Contract Routing # 09 HA3 00026
REGION 3 (DAW) CDOT ID# 271000879
CONTRACT
THIS CONTRACT made this ~
day o (3..x~,>„ 2009, by and between the State of
Colorado for the use and benefit of the Colorado Department o ransportation hereinafter referred
to as the State, and PITKIN COUNTY, 76 Service Center Road Aspen, Colorado 81611 CDOT
Vendor 2000077, hereinafter referred to as the "Contractor" or the "Local Agency."
RECITALS
1. Authority exists in the law and funds have been budgeted, appropriated and otherwise made
available and a sufficient uncommitted balance thereof remains available for payment of project and
Local Agency costs in Fund Number 400, Function 3430, GL Acct. 4231200011,
WBS Element 17049.10.50. Contract Encumbrance Amount: $225,000.00.
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 sc Centur}~'
of 1998 (TEA-21) and/or the "Safe, Accountable, Flexible, Efficient Transportation Equity Act: A
Legacy for Users" (SAFETEA-LU) of 2005 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 maybe
amended, (collectively referred to hereinafter as the "Federal Provisions"), certain federal funds have
been and will in the future be allocated for transportation projects requested by Local Agencies and
eligible under the Surface Transportation Improvement 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 ofprojects in the Program,
including the administration of federal funds for a Program prof ect performed by a Local Agency under
a contract with the State.
5. The Local Agency has requested that a certain local transportation project be funded as part ofthe
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 the Work.
The Local Agency understands that before the Work begins, the Local Agency must receive an official
written "Notice to Proceed" prior to commencing any part of the Work. The Local Agency further
understands that, before the Work begins, the form #463 may be revised as a result of design changes
made by CDOT, in coordination with the Local Agency, in its internal review process. The Local
Agency desires to perform the Work described in form #463, as it may be revised.
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6. Federal-aid funds have been made available for project AQC C570-015 (17049), which shall
consist of the Purchase of one (1) Street Sweeper, referred to as the "Project" or the "Work." Such
Work will be performed in Pitkin County, Colorado, specifically described in Exhibit A.
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.
9. The Loca] Agencyhas estimated the total cost ofthe Work and is prepared to provide its match share
of the cost, as evidenced by an appropriate ordinancelresolution or other authority letter which expressly
authorizes the Local Agency the authority to enter into this contract and to expend its match share of the
Work. A copy of such ordinance/resolution or authority letter is attached hereto 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. and Exhibit B.
11. The Local Agency is adequately staffed and suitably equipped to undertake and satisfactorily
complete some or all of the Work.
12. The Local Agency can more advantageously perform the Work.
THE PARTIES NOW AGREE THAT:
Section 1. Scope of Work
The Project or the Work under this contract shall consist of the Purchase of one (1) Street Sweeper,
for Pitkin County, Colorado, as more specifically described in Exhibit A.
Section 2. Order of Precedence
In the event of conflicts or inconsistencies between this contract and its exhibits, such conflicts or
inconsistencies shall be resolved by reference to the documents in the following order of priority:
1. Special Provisions contained in section 29 of this contract
2. This contract
3. Exhibit A (Scope of Work)
4. Exhibit C (Funding Provisions)
5. Exhibit D (Certification for Federal-Aid Contracts)
6. Exhibit E (DBE Requirements)
7. Exhibit F (Contract Modification Tools)
8. Other Exhibits in descending order of their attachment.
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Section 3. Term
This contract shall be effective upon approval of the State Controller or designee, or on the
date made, whichever is later. The term of this contract shall continue through the completion and
final acceptance of the Project by the State, FHWA and the Local Agency.
Section 4. Project Funding Provisions
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/resolution or other authority letter which
expressly authorizes the Local Agency the authority to enter into this contract and to expend its match
share of the Work. Ampy ofsuch ordinance/resolution or authority letter is attached hereto as Exhibit B.
The funding provisions for the Project are attached hereto as Exhibit C. The Local Agency
shall provide its share of the funds for the Project as outlined in Exhibit C.
Section 5. Project Payment Provisions
The maximum amount payable to the Local Agency under this contract shall be $160,757.00.
A. The State will reimburse the Local Agency for the federal-aid share of the project charges
after the State's review and approval of such charges, subject to the terms and conditions of this
contract. However, any 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 reimbursed absent specific FHWA and 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 49 C.F.R. 18 Subpart C and 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 wnditions of
this contract;
2. Necessary for the accomplishment of the Work;
3. reasonable in the 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 after 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 integal
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.
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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
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 maybe performed
prior to and in preparation for any conditions or requirements of this contract, including prior FHWA
approval of Work. The Local Agency understands and agrees that the State may perform such
services, and that payments for such services shall be at no cost to the State but shall be as provided
for 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 agees 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 prof ect 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 CDOT incurred costs, the billing procedure shall be as
follows:
1. Upon receipt of each bill from the State, the Local Agency will remit to the State the
amount billed no later than 60 days after receipt of each bill. Should the Local
Agency fail to pay moneys due the State within 60 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 apportionment 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
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 60 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.
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F. The Local Agency will prepare and submit to the State, no more than monthly, charges for
costs incurred relative to the project. The Local Agency's invoices shall include a description ofthe
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 to be supplied by the State.
G. To be eligible for payment, billings must be received within 60 days after the period for
which payment is being requested and final billings on this 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 wntract is terminated, final payment to the Local Agency maybe
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 49 C.F.R. 18
shall be reimbursed by the Local Agency, or offset against current obligations due by
the State to the Local Agency, at the State's election.
Section 6. State and Local Agency Commitments
The Local Agency Contract Administration Checklist in Exhibit G describes the Work to be
performed and assigns responsibility of that Work to either the Local Agency or the State. The
"Responsible Party" referred to in this contract means the Responsible Party as identified in the
Local Agency Contract Administration Checklist in Exhibit G.
A. Design [Not applicable)
1. If the Work includes preliminary design or final design (the "Construction Plans"), or
design work sheets, or special provisions and estimates (collectively referred to as the "Plans"), the
responsible party shall comply with the following requirements, as applicable:
a. Perform or provide the Plans, to the extent required by the nature of the
Work.
b. 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 or other standard, such as the
Uniform Building Code, as approved by CDOT.
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c. Prepare special provisions and estimates in accord with the State's Roadway
and Bridge Design Manuals and Standard Specifications for Road and Bridge
Construction or Local Agency specifications if approved by CDOT.
d. 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.
e. Stamp the Plans produced by a Colorado Registered Professional Engineer.
f. Provide final assembly of Plans and contract documents.
g. Be responsible for the Plans being accurate and complete.
h. Make no further changes in the Plans following the awazd 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.
2. If the Local Agency is the responsible party:
a. The local agency shall comply with the requirements of the Americans
With Disabilities Act (ADA), and applicable federal regulations and
standards as contained in the document "ADA Accessibility Requirements
in CDOT Transportation Projects".
b. It shall afford the State ample opportunity to review the Plans and make
any changes in the Plans that are directed by the State to comply with
FHWA requirements.
c. 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 aze involved in the cost of such work to be done by a
consultant, that consultant contract (and the performance/provision of the
Plans under the contract) must comply with all applicable requirements of
23 CFR Part ] 72 and with any procedures implementing those
requirements as provided by the State, including those in Exhibit H
attached hereto. If the Local Agency does enter into a contract with a
consultant for the Work:
(1) It shall submit a certification that procurement of any design
consultant contract complied with the requirements of 23 CFR 172.5(d) prior
to entering into contract. The State shall either approve or deny such
procurement. If denied, the Local Agency may not enter into the contract.
(2) It shall ensure that all changes in the consultant contract have prior
approval by the State and FHWA. Such changes in the contract shall be by
written supplement agreement. 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 also be submitted.
(3) It shall require that all consultant billings under that contract shall
comply with the State's standardized billing format. Examples of the billing
formats are available from the CDOT Agreements Office.
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(4) It (or its consultant) shall use the CDOT procedures described in
Exhibit H to administer that design consultant subcontract, to comply with 23
CFR 172.5(b) and (d).
(5) It may expedite any CDOT approval ofits procurement processand/or
consultant contract by submitting a letter to CDOT from the certifying Local
Agency's attorney/authorized representative certifying compliance with
Exhibit H and 23 CFR 172.5(b)and (d).
(6) It shall ensure that its consultant contract complies with the
requirements of 49 CFR 18.36(1) and contains the following language
verbatim:
(a) "The design work under this contract shall be compatible with
the requirements of the 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."
(b) "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 "
(c) "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 Bride Construction, in connection with
this work."
d. The State, in its discretion, will review construction plans, special provisions
and estimates and will cause the Local Agency to make changes therein that
the State determines are necessary to assure compliance with State and
FHWA requirements.
B. Construction [Not applicable]
1. If the Work includes construction, the responsible party shall perform the
construction in accordance with the approved design plans andlor administer the
construction all in accord with the Local Agency Contract Administration Checklist.
Such administration shall include project inspection and testing; approving sources of
materials; performing required plant and shop inspections; documentation ofcontract
payments, testing and inspection activities; preparing and approving pay estimates;
preparing, approving and securing the funding for contract modification orders and
minor contract revisions; processing contractor claims; construction supervision; and
meeting the Quality Control requirements of the FHWAlCDOT Stewardship
Agreement, as described in the Local Agency Contract Administration Checklist.
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2. 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 contractor to correct project conditions which aze unsafe for workers 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.
3. If the Local Agency is the responsible party: ~
a. 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 CAPE shall administer the project in accordance with
this contract, the requirements of the construction contract and applicable
State procedures.
b. If bids aze to be let for the construction of the project, it shall advertise the
call for bids upon approval by the State and award the construction
contract(s) to the low responsible bidder(s) upon approval by the State.
(1) In advertising and awarding the bid for the construction of afederal-
aid project, the Local Agency shall comply with applicable
requirements of 23 USC § 112 and 23 CFR Parts 633 and 635 and
C.R.S. § 24-92-101 et seq. Those requirements include, without
limitation, that the Local Agency/contractor shall incorporate Form
1273 (Exhibit I) in its entirety verbatim into any subcontract(s) for
those services as terms and conditions therefore, as required by 23
CFR 633.102(e).
(2) The Local Agency has the option to accept or reject the proposal of
the apparent low bidder for work on which competitive bids have
been received. The Local Agency must declaze the acceptance or
rejection within 3 working days after said bids are publicly opened.
(3) By indicating its concurrence in such awazd, 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 ifno
additional federal-aid funds will be made available for the project.
This paragraph also applies to projects advertised and awazded by the
State.
a 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 competitive bidding process,
the Local Agency will ensure that all such force account work is
accomplished in accordance with the pertinent State specifications and
requirements with 23 CFR 635, Subpart B, Force Account Construction.
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(1) Such work will normally be based upon estimated quantities and firm
unit prices agreed to between the Local Agency, the State and FHWA
in advance of the Work, as provided for in 23 CFR 635.204(c). Such
agreed unit prices shall constitute a commitment as to the value ofthe
Work to be performed.
(2) An alternative to the above 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 48 CFR Part 31.
(3) Rental rates for publicly owned equipment will be determined in
accordance with the State's Standard Specifications for Road and
Bridge Construction § 109.04.
(4) 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.
D. State's obligations
I. The State will perform a final project inspection prior to project acceptance as a
Quality Control/Assurance activity. When all Work has been satisfactorily
completed, the State will sign the FHWA Fonn 1212.
2. 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 aze designed by or are the responsibility of
the Local Agency as identified in the Local Agency Contract Administration
Checklist, Exhibit G, within the Work of this contract.
Section 7. ROW Acquisition and Relocation
If applicable, prior to this project being advertised for bids, the Responsible Party 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.
Any acquisition/relocation activities must comply with all federal and state statutes,
regulations, CDOT policies and procedures, 49 CFR Part 24, the government wide Uniform Act
regulation, the FHWA Project Development Guide and CDOT's Right of Way Operations Manual.
Allocation of Responsibilities can be as follows:
• Federal participation in right of way acquisition (3111 chazges), relocation (3104
charges) activities, if any, and right of way incidentals (expenses incidental to
acquisitiorilrelocation of right of way - 3114 charges);
• Federal participation in right of way acquisition (3111 charges), relocation (3109
charges) but no participation in incidental expenses (3114 charges); or
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• No federal participation in right ofway acquisition (3111 charges) and relocation
activities (3109 expenses).
Regazdless of the option selected above, the State retains oversight responsibilities. The Local
Agency's and the State's responsibilities for each option is specifically set forth in CDOT's Right of
Way Operation Manual. The manual is located at http://www.dot.state.co.us/ROW Manual/.
Section 8. Utilities
If necessary, the Responsible Party will be responsible for obtaining the proper cleazance or
approval from any utility company which may become involved in this Project. Prior to this Project
being advertised for bids, the Responsible Party will certify in writing to the State that all such
clearances have been obtained.
Section 9. Railroads
In the event the Project involves modification of a railroad company's facilities whereby the
Work is to be accomplished by railroad company forces, the Responsible Party shall make timely
application to the 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
Responsible Party shall also establish contact with the railroad company involved for the purpose of
complying with applicable provisions of 23 CFR 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. Proscribing future use or dispositions of the proposed improvements in the event of
abandonment or elimination of a grade crossing.
5. Establishing future repair and/or replacement responsibilities in the event of
accidental destruction or damage to the installation.
Section 10. Environmental Obligations
The Local Agency shall perform all Work in accordance with the requirements ofthe current
federal and state envirorunental regulations including the National Environmental Policy Act of 1969
(NEPA) as applicable.
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Section 11. Maintenance Obligations
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. The Local Agency will make proper provisions for such maintenance obligations each year.
Such maintenance and operations shall be conducted in accordance with all applicable statutes,
ordinances and regulations which define the Local Agency's obligations to maintain such
improvements. The State and FHWA will make periodic inspections of the project to verify that
such improvements are being adequately maintained.
Section 12. Federal Requirements
The Local Agency and/or their 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 cun•ently exist and may hereafter be amended. The contractor
shall also require compliance with these statutes and regulations in subgrant agreements permitted
under this contract. A listing of certain federal and state laws that may be applicable are described in
Exhibit J.
Section 13. Record Keeping
The Local Agency shall maintain a complete file of all records, documents, communicafions,
and other written materials which pertain to the costs incurred under this contract. The Local
Agency shall maintain such records for a period of three (3) years after the date of termination of this
contract or final payment hereunder, whichever is later, or for such further period as may be
necessary to resolve any matters which may be pending. The Local Agency shall make such
materials available for inspection at all reasonable times and shall permit duly authorized agents and
employees of the State and FHW A to inspect the project and to inspect, review and audit the project
records.
Section 14. Termination Provisions
This contract maybe terminated as follows:
A. Termination for Convenience. The State may terminate this contract at any time the State
determines that the purposes of the distribution of moneys under the contract would no longer be
served by completion ofthe 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.
B. 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.
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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 receive just and equitable compensation for any services and supplies delivered and accepted. The
Local Agency shall be obligated to return any payments advanced under the provisions of this
contract.
Notwithstanding the above, the Local Agency shall not be relieved ofliability to the State for any
damages sustained by the State by virtue of any breach of the contract by the Local Agency, and the
State may withhold payment to the Local Agency for the purposes of mitigating its damages until
such time as the exact amount of damages due to the State from the Local Agency is determined.
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.
C. Termination Due to Loss of Fundin¢. 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 aze not available to the State, the State may
immediately terminate or amend this contract.
Section 15. Legal Authority
The Local Agency warrants that it possesses the legal authorityto enter into this contract and 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 such person(s) has full authorization to execute this contract.
Section 16. Representatives and Notice
The State will provide liaison with the Local Agency through the State's Region Director, Region 3,
222 South Sixth Street, Room 317, Grand Junction, Colorado, 81501-2769. Said Region Director
will also be responsible for coordinating the State's activities under this contract and will also issue a
"Notice to Proceed" to the Local Agency for commencement of the Work. All communications
relating to the day-to-day activities for the work shall be exchanged between representatives ofthe
State's Transportation Region 3 and the Local Agency. All communication, notices, and
correspondence shall be addressed to the individuals identified below. Either party may from time to
time designate in writing new or substitute representatives.
12 of 19 /
If to State: If to the Local Agency:
Joe Elsen G.R. Fielding
CDOT Region 3 Pitkin County Engineer
Program Engineer 76 Service Center Road
202 Centennial, Aspen, CO 81611
Glenwood Springs, CO 81601 (970)920-5206
(970) 3~4- ~ 332
Section 17. Successors
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.
Section 18. Third Party Beneficiaries
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 State
and the Local Agency. Nothing contained in this contract shall give or allow any claim or right of
action whatsoever by any other third person. It is the express intention of the State and the Local
Agency that any such person or entity, other than the State or the Local Agency receiving services or
benefits under this contract shall be deemed an incidental beneficiary only.
Section 19. Governmental Immunity
Notwithstanding any other provision of this contract to the contrary, no term or condition of
this contract shall be construed or interpreted as a waiver, express or implied, of any of the
immunities, rights, benefits, protection, or otherprovisions ofthe Colorado Governmental Immunity
Act, § 24-10-101, et seq., C.R.S., as now or hereafter amended. The parties understand and agree
that liability for claims for injuries to persons or property arising out of negligence of the State of
Colorado, its departments, institutions, agencies, boazds, officials and employees is controlled and
limited by the provisions of § 24-10-101, et seq., C.R.S., as now or hereafter amended and the risk
management statutes, 24-30-1501, et seq., C.R.S., as now or hereafter amended.
Section 20. Severability
To the extent that this contract maybe executed and performance of the obligations of the
parties may be accomplished within the intent of the contract, the terms ofthis contract aze 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.
Section 21. Waiver
The waiver of any breach of a term, provision, or requirement of this contract shall not be
construed or deemed as a waiver of any subsequent breach of such term, provision, or requirement,
or of any other term, provision or requirement.
13 of 19
~5
Section 22. Entire Understanding
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
writing executed and approved pursuant to the State Fiscal Rules.
Section 23. Survival of Contract Terms
Notwithstanding anything herein to the contrary, the parties understand and agree that all
terms and conditions of this contract and the exhibits and attachments hereto which may require
continued perfonnance, compliance or effect beyond the termination date of the contract shall
survive such tennination 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.
Section 24. ModiFcation and Amendment
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 provided above, no modification of this contract shall be effective unless agreed to
in writing by both parties in an amendment to this contract that is properly executed and approved in
accordance with applicable law.
Section 25. Option Letters
Option Letters may be used to extend Agreement term, change the level of service within the current
term due to unexpected overmatch, add a phase without increasing contract dollars, or increase or
decrease the amount of funding. These options are limited to the specific scenarios listed below.
The Option Letter shall not be deemed valid until signed by the State Controller or an authorized
delegate.
Following are the applications for the individual options under the Option Letter form:
Option 1 - Option to extend or renew (this option applies to Highway and Signal maintenance
contracts only). In the event the State desires to continue the Services and a replacement contract
has not been fully approved by the termination date of this contract, the State, upon written notice
to Contractor, may unilaterally extend this contract for a period of up to one (1) year. The
contract shall be extended under the same terms and conditions as the original contract,
including, but not limited to prices, rates and service delivery requirements. This extension shall
tenninate at the end of the one (1) year period or when the replacement contract is signed by the
Colorado State Controller or an authorized delegate.
14 of 19 ~ /
The State may exercise this option by providing a fully executed option to the contractor,
within thirty (30) days prior to the end ofthe current contract term, in a form substantially equivalent
to Exhibit F. If the State exercises this option, the extended contract will be considered to include
this option provision. The total duration of this contract, including the exercise ofany opfions under
this clause, shall not exceed five (5) yeazs.
Option 2 -Level of service change within current term due to unexpected overmatch in an
overbid situation only. In the event the State has contracted all project funding and the Local
Agency's construction bid is higher than expected, this option allows for additional Local
Overmatch dollars to be provided by the Local Agency to be added to the contract. This option is
only applicable for Local Overmatch on an overbid situation and shall not be intended for any
other Local Overmatch funding.
The State may unilaterally increase the total dollazs of this contract as stipulated by the executed
Option Letter (Exhibit F), which will bring the maximum amount payable under this contract
to the amount indicated in Exhibit C-1 attached to the executed Option Letter (future changes to
Exhibit C shall be labeled as C-2, C-3, etc, as applicable). Performance of the services shall
continue under the same terms as established in the contract. The State will use the Financial
Statement submitted by the Local AQencv for "Concurrence to Advertise " as evidence o the
Local Apency's intent to award and it will also provide the additional amount required to
exercise this option. If the State exercises this option, the contract will be considered to include
this option provision.
Option 3 -Option to add overlapping phase without increasine contract dollazs. The State may
require the contractor to begin a phase that may include Design, Construction, Environmental,
Utilities, ROW Incidentals or Miscellaneous (this does not apply to Acquisition/Relocation or
Railroads) as detailed in Exhibit A and at the same terms and conditions stated in the original
contract with the contract dollazs remaining the same. The State may exercise this option by
providing a fully executed option to the contractor within thirty (30) days before the initial tazgeted
start date of the phase, in a form substantially equivalent to Exhibit F. If the State exercises this
option, the contract will be considered to include this option provision.
Option 4 - To update funding (increases and/or decreases) with a new Exhibit C. This option
can be used to increase and/or decrease the overall contract dollars (state, federal, local match,
local agency overmatch) to date, by replacing the original funding exhibit (Exhibit C) in the
Original Contract with an updated Exhibit C-1 (subsequent exhibits to Exhibit C-1 shall be
labeled C-2, C-3, etc).
The State may have a need to update changes to state, federal, local match and local agency
overmatch funds as outlined in Exhibit C- 1, which will be attached to the option form. The State
may exercise this option by providing a fully executed option to the contractor within thirty (30) days
after the State has received notice of funding changes, in a form substantially equivalent to Exhibit
F. If the State exercises this option, the contract will be considered to include this option provision.
15 of 19 /~f
.
Section 26. Disadvantaged Business Enterprise (DBE)
The Local Agency will comply with all requirements of Exhibit E and the Local Agency
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 49 CFR Part 26 under this contract, it must submit a copy of its program's requirements to the
State 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
requirements and certification, adequate legal and factual bases for DBE goals and good faith efforts.
State approval (ifprovided) 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.
Section 27. Disputes
Except as otherwise provided in this contract, any dispute concerning a question of fact
arising under this contract which is not disposed of by agreement, will be decided by the Chief
Engineer of the Department of Transportation. The decision of the Chief Engineer will be final and
conclusive unless, within 30 calendar days after the date ofreceipt of a copy of such written decision,
the Local Agency mails or otherwise furnishes to the State a written appeal addressed to the
Executive Director of the Deparhnent of Transportation. In connection with any appeal proceeding
under this clause, the Local Agency shall be afforded an opportunity to be heard and to offer
evidence in support of its appeal. Pending final decision of a dispute hereunder, the Local Agency
shall proceed diligently with the performance of the contract in accordance with the Chief Engineer's
decision. The decision of the Executive Director or his duly authorized representative for the
determination of such appeals will be final and conclusive and serve as final agency action. This
dispute clause does not preclude consideration of questions of law in connection with decisions
provided for herein. Nothing in this contract, however, shall be construed as making final the
decision of any administrative official, representative, or board on a question of law.
Ibof19 /Q~
Section 28. Single Audit Act Amendment
All state and local government and non-profit organization Sub-Grantees receiving more than
$500,000 from all funding sources, that are defined as federal financial assistance for Single Audit Act
Amendment purposes, shall comply with the audit requirements of OMB Circular A-133 (Audits of
States, Local Governments and Non-Profit Organizations) see also, 49 CFR 18.20 through 18.26. The
Single Audit Act Amendment requirements that apply to Sub-Grantees receiving federal funds are as
follows:
a) If the Sub-Grantee expends less than $500,000 in Federal funds (all federal sources, not just Highway
funds) in its Fiscal year then this requirement does not apply.
b) Ifthe Sub-Grantee expends more than $500,000 in Federal funds, but only received federal Highway
funds (Catalog of Federal Domestic Assistance, CFDA 20.205) then a program specific audit shall be
perfonned. 'T'his audit will examine the "financial" procedures and processes for this program area.
b) If the Sub-Grantee expends more than $500,000 in Federal funds, and the Federal funds are from
multiple sources (FTA, HUD, NPS, etc.) then the Single Audit Act applies, which is an audit on the entire
organizationlentity.
c) Single Audit can only be conducted by an independent CPA, not by an auditor on staff.
d) An audit is an allowable direct or indirect cost.
17 of 19
r
Section 29. SPECIAL PROVISIONS
The Special Provisions apply to all conUacts except where noted in italirs.
1. CONTROLLER'S APPROVAL. CRS §2430.202 (1). This wntrect shall not be tleemed valid until it has been approved Dy the Colorado State Controller or tlesignee.
2. FUND AVAILABILITY. CRS §2d-30.202(5.5). Financial obligations of the State payable after the current fscal year are wnOngent upon furMS for that purpose being
appropriated, budgeted, aril otherv4sa made available.
3. INDEMNIFICATION. Contactr shall indemniy, save, ant told harmless the State, its emptyees and agents, against any and all claims, tlamages. liability antl wart
awards including vests, expenses, and atlomey fees and reWted vests, incurred as a result of any actor omission by GOntreMOf, or its employees, agents, subwntractors, or
assignees pursuant to the terms of this wnlrect.
[Appltcabk Only to /ntsrgovarnmenk/ ContracoJ No term or wntli0on of Mis contract shall be consbuetl or interpreted as a waiver, express or implied, of any of Me
immunities, righta, benefits, protec0on, or other provisions. of Me Coloretlo Governmental Immunity Act. CRS §24-10-101 et seq., or the Fetleral Tort Claims Act. 28 U.S.C.
2671 et seq., as applicable, as now or hereafter amerded.
4. INDEPENDENT CONTRACTOR. 4 CCR 807.2. Contacor shall Ix•.rtortn Ns du0es hereunder as an independent contractor and not as an employee. NeiMer wnaactor
nor any agent or employee of wntrecar shall be or shall be deemed to be an agent or emplcyce of the state. Contractor shall pay when due all required employment lazes and
inwme taxes and local head taxes on any monies Daid by Me state pursuant to Nis wntraU. Contractor acknowledges that coMrailor antl its employees are no[ en80ed to
unemployment insurance benefits unless wntrector or a M(rd party provides such coverege antl that the stale does not pay for or otherwise provitle such wverege. Contactor
shall have ra authorization, express or implied, to bits the state [o any agreement. liability or understanding, except as expressly set forts herein. Contractor shall provide and
keep in force workers' wmpensation (and provide proof of such insurance when requestetl by the state) and unemployment wmpensation insurance in Me amounts required by
law and shall be solely responsible for its acts and Oase of its employees and agents.
5. NON-DISCRIMINATION. Contractor agrees t wmply wits the letter and the spirit of all applicable State antl federal laws respectlng tliscnmination arts unfair employment
practices.
6. CHOICE OF LAW. The laws of the State of Colorado, and rules antl regulations issued pursuant thereto, shall be applied in Me interpretation, execution, antl eMOroement
of Mis contract Any provision of Mis conbac4 whether or rat inwrporeted herein by reference, which provides for arbiVation byany wire-judicial hotly or person or which is
oherwise in wnflid wits saitl laws, rules, antl regulations shall be wnsidered null and voitl. Nothing wntainetl in any provision inwrporatetl herein by refererrcz which Durportt
t negate Mis 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 wmplaint, deknse, or oherwise.
Any provision renderetl null and void by the opeaton of Mis provision will rat irnalidate the remainder of tMs contrail, to the extent Mat Mis wrnrec[ is capable of execution. At
all times tlunng the performance of this wntroil, Contacor shall stnc0y adhere to all applicable federal and State laws. rules, arts regulations that have been or may hereafter
be established.
7. SOFTWARE PIRACY PROHIBITION. Govemw's ExecWtve Order D 002 00. No State or other public funtls payable under this wnVact shall be used for the
acquisition, operation, or maintanarae of wmpWer software in violation of fetlerel wpynght laws or applicable licensing restncdons. Contractor hereby certifies that, for the term
of Mis wntract antl any eMensions, Conbacar has in place apOropriata systems antl wntrols to prevent such improper use of public funtls. 8 the State determines that
Contractor is in violation of Mis paragraph, the State may exeroise any remedy available at law or equity or antler Mis wMracL including, without IimitaOOn, immediate
termina8on of Mis contract and any remetly wnsistent with federal wDYrigM laws or applicable licensing restnc8ons.
8. EMPLOYEE FINANCIAL INTEREST. CRS §241&201 and §2450.507. The signatories aver Mat a their knowledge, rp employee of Me Sfak has arty personal or
beneficial interest whatsoever in Me service or property tlescnbetl in this contract.
9. PUBLIC CONTRACTS FOR SERVICES. CRS §8.17.5101. [NotApp/kab/e to agreements rekfing to the offer, issuance, or sale of securltles, investment
adWsory serNces or land management services, sponsored pro/ects, intergovernmental agreements, a inlormadon techndogy servces or products arts serdces]
Conactor cerefies, wartants, antl agrees Mat it tlces rat krxnwngly employ w wn0act wits an illegal alien who will perform work under Mis vented antl will wnfirm Me
employment eligibility of all employees veto are newly hired tr employment in the United Stales t cerfortn work under this comVact. Mrough participation in Me E-Verify
Program or tta Department program established pursuant t CRS §&17.5-102(5J(c), Contractor shall not knowingly employ or cenaact wits an illegal alien t cerfortn work
under Mis wntred or enter into a wn0act with a subcontractor that kill to certify to ConVacar Mat the subcontractor shall not krawingly employ or centrail with an illegal alien
to certorm work under Mis contract Contractor (a) shah not use E-Verify Program or Department program proce0ures t urderkke preremploymem 5creenirg of job applicants
while this wntred is being performed, (b) shall notlfy the subconbactor and the contracting Skte agency wlMin Mree days N Contractor has ailual knowledge Mat a
subcontractor is employing or wnNading with an illegal alien for work under this wntrail, (c) shall terminate the 5ubwnfr4d 8 a subwnbactor does rat sap emptying or
wnbailing wits Me illegal alien wiMin three days of receiving the no0ca, antl (tl) shall wmply wits reasonable requests made in the wurse d an irrvestigation, undertaken
pursuant to CRS §8-17.5702(5), by Me Colorado Department of Labor and Employment. 8 Contractor participates in Me Department Drogmm, Contractor shall deliver to the
wnbactirg Skte agency, institution of higher educatlon ar poNUCaI subtlivisan a written, nokrizetl afflrtnation, afOrmirg Mat Contactor has examined the legal work status of
such employee. and wmply wits all of Me other requirements of the Department prcgrem. N Conbacor kits to wmply with any requirement of this provision or CRS §8-17.5
101 et seq., the coMrecBng Skte agency, institution of higher education or political subtlivision may terminate Mis wnVact for breach antl, if so krminatad, Contacor shall be
liable for damages.
10. PUBLIC CONTRACTS WITH NATURAL PERSONS. CRS §2476.5.101. ConVactor, fi a natu2l person eighteen (18) years d age or older, hereby swears
and affirms under penalty of perjury Mat he or she (a) is a citizen or otherwise lawfully present in Me United States pursuant to fetlerel law, (b) shall wmply with the
provisions of CRS §2476.5701 et seq., and (c) has Drotluced one form of identfication required by CRS §24-76.5-103 poor to the effective date of this Conrail.
ReWSed May 13, 2008
18 of 19
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o '.rf ~ ~f~yr`Wyn+.v a P3 .~SE~$k l~'w'"~~~ °A~" 1k f aT>~~~ + t~ 2„c
G:. ri,,. n.. _ ~en`5~ , t ~s::. 3h?:~ >r^ v;>•a~. Z..a
s4v; 3~ ,'fiyv .KV~+~..,°"e'&.~`fm. M..~S' x ri ~t,
THE PARTIES HERETO HAVE EXECUTED THIS CONTRACT
LOCAL AGENCY /CONTRACTOR: STATE OF COLORADO:
BILL BITTER, JR. GOVERNOR
PITKIN COUNTY By ~~L~r~
Legal Name of Contracting Entity Executive Director
Department of Transportation
2000077 U
CDOT Vendor Number
_ LEGAL REVIEW:
i ature of Aut rizetl Officer ~ ~UL
~Tl. JOHN W. SU'THERS
' j ~ ~E~.~ ATTORNEY GENERAL
~ I
~L UT AS?
A-t By ~ti
Print Name & Title f Authorized Officer
CORPORATIONS: ``,~N cAOT~~~
(A corporate attes do is required.) = r~ ;
i JL'tiL
Attest (seal) By
(Corporate Secrete or Equivalent, or wn/City/County Cterk) (Place corporate seal here, if available)
ALL CONTRACTS MUST BE APPROVED BY THE STATE CONTROLLER
CRS 2430-202 requires that the State Controller approve all state contracts. This contract is not valid until the State Controller,
or such assistant as he may delegate, has signed it. The contractor is not authorized to begin performance until the contract is
signed and dated below. If performance begins prior to the date below, the State of Colorado may not be obligated to pay for the
goods and/or services provided.
STATE CONTROLLER:
DA I~C DERMOTT, CPA
By
Date ~(]7
i9 of 19
~l
Exhibit A
FORM 463
or
SCOPE OF WORK
1 of 19
. ~ EXHIBIT A
COLORADO DEPARTMENT OF TRANSPORTATION Ong.Dale: 10/08/2008 Project Code # (SA#): 17049 STIP#: SIN7007
DESIGN DATA Rev.Date: Project AOC C570-015
Revision 0 PE Pro ed Code:
Page 1 l0 3 Region 03 Project Description: CMAO FY OS Pi[kin County-Street
Status: ® Preliminary ? Final ? Revised Sweeper
County:
Submittetl By PM: ROGERSM Approved by Program Engineer
Dale: Municipali : As en
S stem Code: Z-Not on an Federal-Aid Hi hwa
Revised by: Oversi ht By; A-Exem t
Date: Planned Len the 0.000
Geogrephic Location: PITKIN COUNTY CMAO PM -10 SWEEPING
T e of Terrain: Mountainous
Description of Proposed Construction/Improvement(Attach map showing site location)
PURCHASE OF A STREET SWEEPER
Project Characteristics (Proposed) Median (Type): ? Depressed ? Painted ? Raised ? Nona
Li hti ? Hantlirap Ramps Traffic Control Si oats ? Stripin
? Curb antl Gutter ? Curb Only ? Left-TUm Slots ? Continuous Width=
Sidwalk Width= Bik WiMh~ Ri hl-Turn Slots Continuous Width=
Parkin Lane Width= Detours Si nin ? Construction ? Permanent
? Landscaping requirements (tlescdption)'. ? Other (description):
Right of Way Yes/NO ESL # lltllltles (list names of krwwn utility companies)
ROW 8/or Penn. Easement Required NO
Relocation Required No
Temporary Easement Required: No
Changes in Access: NO
Changes to Connecting Roads: No
Railroad Crossings # of Crossings:
Recommendations
Environmental Type: Approved On: Project Code # Cleared Under. Project # Cleared Under:
None / I
Comments:
Coordination
? Withdrewn Lands (Power Sites, Reservoirs, Etc.) Cleared Nrough BLM or Forest Service Once Irrigation Ditch Name:
? New Traffic Ordinance Required ? Moddy Schedule of Existing Ordinance Muncipaliry: Aspen
Other:
ConslruMion Method Advenised By: NoAtl Reason: Entity /Agency Contact Name: Phone
Local
Safety Considerations Project Under Guardrail meets cunent standards: No
? Variance in Minimum Design Standards Requiretl ? Safety project not all standards Comments:
? Justification Attached ? Request to be Submine addressed
8rid see item 12) See Remarks
? SIa a Construction explain in remarks
3R projects
Safe Evaluation Com lets date :
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E7CHIBIT A
Page 3 of 3 Project Cotle #(SA#): Project Revise Date:
17049 AQC C570-015
MaJOr Structures S= to stay, R= to be removed, P= proposed new structure
Reference Standard Structure Structural Hodzontal Vertical Vear
Structure ID# ~ Len ih Point Feature Intersected Width Roatlwa Capaci Clearance Clearance Built
Proposed Treamenl of Badges W Remain in Place(atldress bddge 2i1, capacity, and allowable surtacing thickness):
Remarks
~5
Exhibit B
LOCAL AGENCY
ORDINANCE
or
RESOLUTION
A RESOLUTION OF THE BOARD OF COUNTY COMMISSIONERS
OF PITKIN COUNTY, COLORADO- AUTHORIZING THE BOARD
TO ENTER INTO AN INTERGOVERNMENTAL AGREEMENT WITH
COLORADO DEPARTMENT OF TRANSPORTATION (CDOT) FOR THE
FUNDING FOR PURCHASE OF A STREET SWEEPER UTILIZING
CONGESTION MITIGATION AND AIR QUAILITY (CMAQ) GRANT MONEY
Resolution No. ~~-2008
Recitals
1. The County plans on procuring a street sweeper with pick up capabilities with the
money received from CDOT
2. CDOT and Pitkin County wish to enter into an agreement regarding the funding
for the project known as street sweeper procurement.
3. Funds approved by Colorado Department of Transportation are now available for
the CMAQ Grant in the amount of $160,757. Pitkin County must match this with
$33,417. The County has received additional funding via a cheek from a growth
management quota system application in the amount of $35,000 for the purchase
of the street sweeper.
4. The Board of County Commissioners has determined that it is in the best interest
of the citizens of Pitkin County to enter into this Intergovernmental Agreement.
5. The terms of the agreement aze set forth in the CDOT Contract identified as #09
HA3 00026, and is in the County Clerk and Recorders office for signature by the
Chairperson of the Board of County Commissioners.
6. Pitkin County is authorized to enter into this IGA pursuant to the provisions of
C.R.5.§29-1-203 and §43-2-144.
NOW THEREFORE, BE IT RESOLVED, by the Board of County
Cbmmissioners that is does hereby approve the Intergovernmental Agreement between
CDOT and Pitkin County and the Chair (or Chair's designee) is authorized to execute the
contract identified as CDOT Contract #09 HA3 00026.
INTRODUCED, FIRST READ AND SET FOR PUBLIC HEARING ON
THE 3rd DAY OF DECEMBER 2008.
NOTICE OF P~LIC HEARING PUBLISHED IN THE ASPEN TIMES
WEEKLY ON THE ~3`DAY OF NOVEMBER 2008.
PUBLIC HEARING AND SECOND READING ON THE 17th DAY OF
DECEMBER 2008.
3
c ~o : /30 - aao ~
PUBLISHED AFTER ADOPTION IN THE ASPEN TIMES WEEKLY ON
THE DAY OF f-- ~ , x@98: ~J0 c~
A ST: BOARD OF COUNTY
OF PITKIN COUNTY COLORADO
J nette Jones ~ Hatfield, hairman
puty Clerk
Date: / lJ
APPROVED AS TO FORM: MANAGER APPROVAL
~ l~
John ounty Attorney Hil ~ Fletcher, C my Manager
4
A. The Local Agency has estimated the total cost the Work to be $225,000.00 which is to be
funded as follows:
1 BUDGETED FUNDS
a. Federal Funds $160,757.00
(82.79% of Participating Costs)
b. Local Agency Matching Funds $33,417.00
(17.21 % of Participating Costs)
c. Sub Total a + b CMAO Budget $194,174.00
d. Local Agency Over Matching Funds $30,826.00
OTAL BUDGETED FUNDS $225,000.00
2 ESTIMATED CDOT-INCURRED COSTS
a. Federal Share $0.00
(82.79% of Participating Costs)
b. Local Share
Local Agency Share of Participating Costs $0.00
Non-Participating Costs (Including Non-
participating Indirects) $0.00
Estimated to be Billed to Local Agency $0.00
TOTAL ESTIMATED CDOT-INCURRED COSTS $0.00
3 ESTIMATED PAYMENT TO LOCAL AGENCY
a. Federal Funds Budgeted (1a) $160,757.00
b. Less Estimated Federal Share of CDOT-Incurred Costs (2a) $0.00
TOTAL ESTIMATED PAYMENT TO LOCAL AGENCY $760,757.00
FOR CDOT ENCUMBRANCE PURPOSES
Total Encumbrance Amount
($160,757 divided by 82.79%) $19a,17a.oo
Local Overmatch $30,826.00
Net to be encumbered as follows:
CMAO Bud et 1c $194,174.00
Local Agency Overmatch $ 30,826.00
WBS Element 16815.10.50 Misc. 3430 $225,000.00
Exhibit C -Page 1 of 2
~ I
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 $194,174.00 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 $194,174.00, 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 $194,174.00,
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 $160,757.00
(For CDOT acwunting purposes, the federal funds of $160,757.00, Local Agency matching
funds of $33,417.00, and Local Agency Overmatch of $30,826.00 will be encumbered for a
total encumbrance of $225,000.00), unless such amount is increased by an appropriate
written modification to this contract executed before any increased cost is incur•ed. 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 maybe 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.
Exhibit C -Page 2 of 2 ~ v
' Exhibit D
EXHIBIT D
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 ofany
Federal contract, grant, loan, or woperative 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 sub-recipients shall certify and disclose accordingly.
Required by 23 CFR 635.112
Exhibit D -Page 1 of 1 ?
Exhibit E
DISADVANTAGED BUSINESS ENTERPRISE (DBE)
SECTION 1. 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 Progam (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 (sub-recipient) shall be responsible for obtaining the Disadvantaged Business
Enterprise Program of the Colorado Depamnent 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
Exhibit E -Page 1 of 1
Exhibit F
SAMPLE IGA OPTION LETTER
(This option has been created by the Office of the State Controller for CDOT use only)
NOTE: is option is limited to the spec conVact scenanos listed below AND cannot be used in place of exercising a formal
amendment.
Date: State Fiscal Year: Option Letter No. CLIN Routing #
Contractor /Local Agency
A. SUBJECT: (Choose applicable options listed below AND in section 8 and delete the rest)
1. Option to renew (for an additional term) applies to Highway and Signal maintenance
contracts ONLY; this renewal
cannot be used to make any change to the original scope of work;
2. Level of service change within current term due to an unexpected Local overmatch on an overbid
situation ONLY;
3. Option to add phasing to include Design, Construction, Environmental, Utilities, ROW incidentals or
Miscellaneous ONLY (does not apply to Acquisition/Relocation or Railroads);
4. Option to update funding (a new Exhibit C must be attached with the option letter and shall be labeled
C-1 (future changes for this option shall be labeled as follows: C-2, C-3, C-4, etc.)
B. REQUIRED PROVISIONS. All Option Letters shall contain the appropriate provisions set forth
below:
(Insert the following language for use with Options #1):
In accordance with Paragraph(s) of contract routing number (insert FY. Agencv code. &CLIN
routin # ,between the State of Colorado, Department of Transportation, and (insert contractor's name) the
state hereby exercises the option for an additional term of (insert performance period here) at a cost/price
specified in Paragraph/Section/Provision of the original contract, AND/OR an increase in
the amount of goods/services at the same rate(s) as specfed in Paragraph of the
original contract.
flnsert the following language for use with Option #2):
In accordance with the terms of the original contract (insert FY. Agencv code &CLIN routing between the
State of Colorado, Department of Transportation and (insert contractor's name here), the State hereby
exercises the option to record a level of service change due to unexpected overmatch dollars due to an
overbid situation. The contract is now increased by (indicate additional dollars here) specified in
Paragraph/Section/Provision of the original contract.
(Insert the following language for use with Oatlon #3):
In accordance with the terms of the original contract (insert 1=Y. Agencv code & CL/N routing between the
State of Colorado, Department of Transportation and (insert contractor's name here), the State hereby
exercises the option to add an overlapping phase in (indicate Fiscal Year here) that will include (describe
which phase will be added and include all that app/v -Design Construction. Environmental. Utilities. ROW
incidentals or Miscellaneous). Total funds for this contract remain the same (indicate total dollars here) as
referenced in Paragraph/Section/ProvisionlExhibit of the original contract.
(Insert the following language for use with Option #4):
In accordance with the terms of the original contract (insert FY. Agencv code &CLIN routing
between the State of Colorado, Department of Transportation and (insert contractor's
name here), the State hereby exercises the option to update funding based on changes
from state, federal, local match and/or local agency overmatch funds. The contract is
now (select one: increased and/or decreased) by (insert dollar here) specfed in
Paragraph/-Section/-Provision/Exhibit of the original contract. Anew
Exhibit C-1 is made part of the original contract and replaces Exhibit C. (The following is
a NOTE only so please delete when using this option: future changes for this option for
Exhibit C shall be labeled as follows: C-2, C-3, C-4, etc.) 2
Exhibit F -Page 1 of 2 3 2
Exhibit F
(The following language must be included on all notions):
The amount of the current Fiscal Year contract value is (increased/decreased) by amount of chanve) to a
new contract value of ) to satisfy services/goods ordered under the contract for the current
fiscal year (indicate Fiscal Year). The first sentence in Paragraph/Section/Provision is hereby
mod~ed accordingly.
The total contract value to include all previous amendments, option letters, etc. is
The effective date of this Option Letter is upon approval of the State Controller or delegate, whichever is
later.
APPROVALS:
For the Contractor I Local Agency
Legal Name of Contractor / Local Agency
gy:
Print Name of Authorized Individual
Signature:
Date:
Title: Official Title of Authorized Individual
State of Colorado:
Bill Ritter, Jr., Governor
gy; Date:
Executive Director, Colorado Department of Transportation
ALL CONTRACTS MUST BE APPROVED BY THE STATE CONTROLLER
CRS §2430.202 requires the State Controller to approve all State Contracts. This Contract is not
valid until signed and dated below by the State Controller or delegate. Contractor is not authorized
to begin performance until such time. If Contractor begins performing prior thereto, the State of
Colorado is not obligated to pay Contractor for such performance or for any goods and/or
services provided hereunder.
State Controller
David J. McDermott, CPA
gy:
Date:
Issuance date: July 1, 2008
Exhibit F -Page 2 of 2
Exhibit G
LOCAL AGENCY
CONTRACT ADMINISTRATION
CHECKLIST
35
Exhibit G -Page 1 of 1
~ EXHIBIT G
COLORADO DEPARTMENT OF TRANSPORTATfON
LOCAL AGENCY CONTRACT ADMINISTRATION CHECKLIST
Project No. STIP No. Project Code Region
AQC C570.015
SIN7007 17049 i 3
Project Location Date
Pitkin County _ 10-0$-2008
Project Description
Pitkin County CMAQ Streot Sweeper
Local Agency Local Agency Project Manager
Pitkin County Gerald Fieldin
CDOT Resident Engineer CDOT Prpject Manager
Pete Mertes Mark Rogers/Barry Andersen
iNSTRttCTfONS:
This checklist shall be utilized to establish the contract administration responsibilities of the individual parties to this agreement.
The checklist becomes an attachmeni to the Local Agency agreement. Section numbers correspond to the applicable chapters
of the CD07 Local Agency Manual.
The checklist shall be prepared by placing an "X" under the responsible party, opposite each of the tasks. The "X" denotes the
party responsible for initiating and executing the task. Only one responsible party should be selected. When neither CDOT nor
the Local Agency is responsible for a task, not applicable (NA) shall be noted. In addition, a will denote that CDOT must
concur or approve.
Tasks that will be performed by Headquarters staff will be indicated. The Regions, in accordance with established policies and
procedures.. will determine who will perform all other tasks that are the responsibility of CDOT.
The checklist shall be prepared by the CDOT Resident Engineer or the CDOT Project Manager, in cooperation with the Local
Agency Project Manager, and submitted to the Region Program Engineer- If contract administration responsibilities change, the
CD07 Resident En ineer in coo eration with the Local A n Pro eG Mana er wilt re re and distribute a revised checklist.
_ RESPONSIBLE
NO. DESCRIPTION OF TASK PARTY ?
_ LA CD07
TIP / STIP_AND_LONG-RANGE PLANS
2.1 Review Pro"ect to ensure it is consist with STIP and amendments thereto X
FEDERAL FUNDING OBLIGATION AND AUTHOR{ZATiON
4, t Authorize funding by phases (CDOT Form 418 -Federal-aid Program Data. Requires FNWA X
concurrencerinvolvement
PROJECT DEVELOPMENT -
5.1 Pre are Design Data=, C_DOT Fo_nn 463 X
5.2 Prepare Local Agency/CDOT Enter-Governmental Agreement (see also Cha~te~ X
5.3 Conduct Consultant Selection/Execute Consultant A reement N/A
5.4 Conduct Desi n Sco in Review Meetin N1A
5.5 Conduct Public Involvement NIA _
5.6 Conduct Field Inspection Review (FIR) _ N/A
5.7 Conduct Environmental Processes ma require FHWA concurrence/involvement) X X
5.8 _ Acguire_Right-of-Way (may require FHWA concurrencetinvoivement) NIA
5.9 Obtain Utilil and Railroad A reements _ _ _ N/A
5.10 Conduct Ftnal Office Review (FOR) _ X
5.11 Justi Force Account Work b the Local A enc ~ N/A
5.12 Jusf Pro rieta ,Sole Source, or Local A en Furnished Items X
5.13 Document Desi n Exce tions - CDOT Form 464 N/A
5.14 Pre are Plans, S ecificalions and Construction Cost Estimates X _
5.15 F_nsure Authorization of Funds for Construction X
CDOT Form 7243 09(06 Pagel of 4
Previous editions are obsolete and may not be used
3 ~/D
~ ~XHI~IT ~
RESPONSIBLE
NO. DESCRIPTION OF TASK PARTY
LA COOT
PROJECT DEVELOPMENT CIVIL RIGHTS AND LABOR COMPLIANCE
6.1 Set Underutilized Disadvantaged Business Enterprise (UBDE) Goals for Consultant and N/A
_ Construction Comracts (COOT Region EEOICivil Rights Specialist)
6.2 Determine Applicability of Davis-Bacon Act X
This project ®is ? is not exempt from Davis-Bacon requirements as determined by the
functional classification of the project location (Projects Located on local roads and rural
minor collectors may be exempt.)
COOT Resident. En ineer Si nature on File Date
8.3 Set On-the-Job Training Goals. Goal is zero if total construction is less than $1 million (COOT ~j
Re ion EEOlCivil Ri hts S ecialist
6.4 Title VI Assurances NIA
~ Ensure the cortect Federal Wage Decision, all required Disadvantaged Business
,f ' Enterprise/On-the-Job Training special provisions and FHWA Form 1273 are included in the
Contract COOT Resident E ineer X
ADVERTISE BID AND AWARD
7.1 Obtain A royal for Advertisement Period of Less Than Three Wesks X
7.2 Advertise for Bids _ _ X
7.3 Distribute "Advertisement Set" of Plans and S ecitications _ _ X
7.4 Review Worksite and Pian Details with ProspeGive Bidders While Project is Under NIA
Advertisement
7.5 O en Bids X
7.6 Process Bids for Com !lance _ s,,.
.
Check COOT Farm 715 -Certificate of Proposed Underutilized DBE Participation when the
h` low bidder meets UDBE goals X sr~ ~X'`
Evaluate COOT Form 718 -Underutilized pBE Good Faith Effort Documentation and
determine if the Contractor has made a good faith effort when the low bidder does not meet ~ dC"~
~ DBE goats
t i e.
Submit re wired documentation for COOT award concurrence X
7.7 Concurrence from COOT to Award _ X
7.8 A rove Re ection of Low Bidder X
7.9 Award Contract X ~
7.10 Provide "Award" and "Record" Sets of Plans and 5 ecifications X
CONSTRUCTION MANAGEMENT
8.1 Issue Noiice to Proceed to the Contractor X
8.2 Pro ect Safet X
8.3 Conduct Conferences:
;xvr:. Pre-Construction Conference A endix 6 N/A
r; Pre-survey
Construction staking N/A
`~~ry'" - Monumentation N/A
Partnerin O Lionel _ NIA
z~ Structural Conaele Pre-Pourw soda is in COOT ConsUuUion Manuat) N/A _
_ Concrete Pavement Pre-Pavinti (Agenda is in COOT Constn~ctlon Manuat NIA
. , s r~' HMA Pre-Pavin A soda is in COOT Construction Menua/ NIA
8.4 Develo and distribute Public Notice of Planned Construction to media and local residents N/A
8.5 Su ervise Construction
4 A Professional Engineer (PE) registered in Colorado, who will be "in responsible charge of
~7 construction supervision."
Local Agency Professional Engineer or Phone number N!A
f' r COOT Resident En ineer
COOT Form 1243 08!06 Paget of 4
Previous editions are obsolete and may not be used
. ~ ~ EXHIBI
RESPONSIBLE
NO. DESCRIPTION OF TASK PARTY
LA CDOT
y Provide competent, experienced staff who will unsure the Corrtract work is constructed in
# accordance with the tans ands cifirations NJA _
=Construction ins ection and documentation _ N/A
~8.6 _ A rove Sho Drawin s NJA _
8.7 Perform Traffic Control Ins ections N/A
8.8 Pertorm ConsVuction Surve i NlA
8.9 Monument R~ ht-of-Wa NtA
8.10 Prepare and Approve Interim and Final Contractor Pay Estimates X
Provide the name and phone number of the person authorized for this task.
G R Fielding x]¢920-5206
Local A en~Representative _ _ _ _ Phone number
8.11 Pre re and A rove Interim and Final Utilit and Railroad Billin s N!A
8.12 Pre are Local A enc Reimbursement R uests x
8.13 Pre are and Authorize Chan a Orders x
8.14 A rove All Chan a Orders X
8.15 Monitor Project Financial Status x
8.16 Pre are and Submit Month Pro ress Re rts NJA
8.17 Resolve Contractor Claims and Dis utes X.__
8.18 Conduct Routine and Random Project Reviews
Provide the name and phane number of the person responsible for this task. x
PP1P MP.rtP.6 970-683-3330
CDOT Resident En ineer Phone number
MATERIALS
9.1 Conduct Materials Pre-Construction Meeting____,____ NIA
9.2 Complete CDOT Form 250 -Materials Documentation Record
• Generate form, which includes determining the minimum number of required tests and N/A
applicable material submittals for all materials placed on the project
• Update the form as work progresses NIA
• Com lete and distribute form after work is cum leted NJA
9.3 Perform Pro ect Acce lance Sam les and Tests _ NJA
9.4 _ Perform Laborato Verification Tests _ ~ N/A
9.5 Accept Manufactured Products N/A
Inspection of structural components:
• Fabrication of structural steel and pre-stressed concrete structural components NIA
• Bridgo modular expansion devices (0" to 6" or greater) NIA
• Fabrication of bearin devices NIA
9.6 rove Sources of Materials _ _ N!A
9.7 Independent Assurance Tasting (IAT), Loral Agency Procedures ~ CDOT Procedures
• Generate IAT schedule NIA
• Schedule and provide notifirafion NJA
• Conduct IAT NIA
9.8 Approve mix designs
• Concrete NIA
• Hot mix as hall NJA
9.9 Check Final Materials Documentation NJA
9.10 Com lete and Distribute Final Materials Documentation NIA
CDOT Form 1243 09106 Page3 of 4
Previous editions are obsolete and may not ha used _ /
3 ((~j
EXHIBIT C~
CONSTRUCTION CIVIL RIGHTS AND LABOR COMPLIANCE
10.1 Fulfill Pro'ect Bulletin Board and Pre-ConsWCtion Packet Re uirements N/A
10.2 Process CDOT Form 205 -Sublet Permit Application
Review and sign completed CDOT Form 205 for each subcontractor, and submit to NIA (
EEO/Civil Rights Specialist '
i 1 U.3 Conduct Equal Employment Opportunity and Labor Compliance Venficatton Employee NIA
~ Interviews. Complete CDOT Form 280
----._....1
10.4 Monitor Disadvantaged Business Enterprise Participation to Ensure Compliance with the NIA
"Commercially Useful Function" Requirements _ _
10.5 Conduct Interviews When Project Utilizes On-the-Job Trainees. Complete CDOT Farm 200 - NIA
OJT Training Questionnaire
10.6 Check Certified Pa rolls Contact the Re ion EEO/Civil Ri hts S ecialisls for trainin re uirements. NIA
_ _
.10.7 Submit FHWA Form 1391 -Highway Construction Contractor's Annual EEO Report N/A
i
'FINALS
11.1 Conduct Final Project Inspection. Complete and submit CDOT Form 1212 -Final ! X
Acceptance Report (Resident Engineer with mandatory Local Agency participation. _ _
- _
11 2 Write Final Pro ect Acce lance Letter X
11.3_ Advertise for Final Settlement X
1 t4 Pre are and Distribute Final As-Constructed Plans
11.5 Pre are EEO Certification _ _ N/A
11.6 Check Final OuantiGes, Plans, and Pay Estimate; Check Project Documentation; and submit X
Final Certifications
11.7 Check Material Documentation and Acre t Final Material Certification {See Chapter 9) N/A
_ _
11.8 Obtain CDOT Form 17 from the Contractor and Submit to the Resident Engineer_,___,__„__._._____ N/A
11.9 Obtain FHWA Form 47 • Statement of Materials and Labor Used from the Contractor N/A
11.10 Co>~lete and Submit CDOT Form 1212 -Final Acceptance Report (by CDOT) _ _ X
11.11 Process Final pa ment X
11.12 Com lete and Submit CDOT Form 950 - Pro ecf Closure X
11.13 Retain Pro'ect Records for Six Years from Date of Project Closure X
-
11.14 Retain Final Version of Local Ager~ Contract Administration Checklist X X_
cc: CDOT Resident Engineer/Project Manager
CDOT Region Program Engineer
CDOT Region EEO/Civil Rights Specialist
CDOT Region Materials Engineer
CDOT Contracts and Market Analysis Branch
Local Agency Project Manager
Cl)OT Fomr 1243 09/06 Page4 of 4
Previous edldons are obsolete and may not be used
Exhibit H
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 172.1 states "The policies and procedures
involve federally funded contracts for engineering and design related services for projects subject to the provisions of 23
U.S.C. 112(a) and aze issued to ensure that a qualified consultant is obtained through an equitable selection process, that
prescribed work is properly accomplished in a timely manner, and at fair and reasonable cost" and according to 23 CFR
172.5 "Price shall not be used as a factor in the analysis and selection phase." Therefore, local agencies must comply with
these CFR requirements 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. ] 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 maybe 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 172J.
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 format 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 thew relative importance. The evaluation factors aze those identified in C.R.S.
24-30-1403. Also, a detailed cost estimate should be prepazed for use during negotiations.
3. The contracting agency must advertise for contracts inconformity 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 [he goal often percent (10%) for Disadvantaged Business Enterprise
(DBE) participation as a minimum for [he 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 CDOTpre-qualified prime consultants and
their team. It also shows which criteria aze 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 famish professional services.
d. Anticipated design concepts, and
e. Alternative methods of approach for firmishing the professional services.
Evaluation factors for fmal selection are the consultant's:
a. Abilities of their personnel,
b. Past performance,
Exhibit H -Page 1 of 2
Exhibit H
c. Willingness to meet the time and budget requirement,
d. Location,
e. Current and projected work load,
f. Volume of previously awazded contracts, and
g. Involvement of minority consultants.
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 of48
CFR 31. Raced fees (profit) aze 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 the project to ensure that the work being
pursued is complete, accurate, and consistent with the terms, conditions, and specifications ofthe contract. At the
end of project, the local agency prepazes 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.
Exhibit H -Page 2 of 2
Exhibit I
FNWA-1213 EleNOnic version -March 10, 1994
FHWA Form 1273
REQUIRED CONTRACT PROVISIONS
FEDERAL-AID CONSTRUCTION CONTRACTS
I. General 1 6. Selection of Labor: During the performance of this con-
II. Nondiscrimination 1 tract, the contractor shall not:
III. Non-segregated Fadlitles 3
IV. PaymentofPredeterminedMinimumWage............ 3 a. discriminate againstlaborfromanyotherState,posses-
V. Statements and Payrolls 6 sion, or territory of the United Stales (except for employment
VI. Record of Materials, Supplies, and Labor 6 preference for Appalachian contracts, when applicable, as
VII. Subletting or Assigning the Contract 7 spedfied in Attachment A), or
VIII. Safety: Accident Prevention 7
IX. False Statements Concerning Highway Projects 7 b. employ convict labor for any purpose within the limits of
X. Implementation of Clean Air Act and Federal the project unless it is labor performed by convicts who are on
Water Pollution Control Ad 8 parole, supervised release, or probation.
XI. Cerdficetion Regarding Debarment, Suspension,
Ineligibility, and Voluntary Exclusion 8 II. NONDISCRIMINATION
XII. Certification Regarding Use of Contract Funds for
Lobbying 9 (Applicable to all Federal-aid mnsWCtion contracts and to all
related subcontracts of $10,000 or more.)
ATTACHMENTS
1. Equal Employment Opportunity: Equal employment
A. Employment Preference for Appalachian Contracts opportunity (EEO) requirements not to discdminate and to take
(Included in Appalachian contracts only) affirmative action to assure equal opportunity as set forth under
Taws, executive orders, rules, regulations (28 CFR 35, 29 CFR
I. GENERAL 1630 and 41 CFR 60) and orders of the Secretary of Labor as
modified by the provisions prescribed herein, and imposed
1. These contract provisions shall apply to all work performed pursuant to 23 U.S.C. 140 shall constitute the EEO and specific
on the contract by the contractors own organization and with the affirmative action standards for the contractors project activities
assistance of workers under the contractors immediate supedn- under this contract. The Equal Opportunity Construction Contract
tendence and to all work performed on the contractby piecework, Specifications set forth under4l CFR 60-4.3 and the provisionsof
station work, or by subcontract. the American Disabilities Act of 1990 (42 U.S.C. 12101 et sec
set forth under 28 CFR 35 and 29 CFR 1630 are inwrporated by
2. Except as otherwise provided for in each section, the reference in this centract. In the execution of this contract, the
wntractor shall insert in each subcontract all of the stipulations contractor agrees to comply with the following minimum specific
wntained in these Required Contract Provisions, and further requirement activities of EEO:
require their inclusion in any lower der subcontract or purchase
order that may in rum be made. The Required Contract Provi- a. The contractor will work with the State highway agency
sions shall not be incorporated by reference in any case. The (SHA) and the Federal Government in carrying out EEO obliga-
pdme contractor shall be responsible for compliance by any Uons and in their review of hisRrer activities under the contract.
subcontractor or lower der subcontractor with these Required
Contract Provisions. b. The contractor will accept as his operating policy the
following statement:
3. A breach of any of the stipulations contained in these
Required Contract Provisions shall be suffident grounds for "It is the policy of this Company to assure thatapplicents are
termination of the contract. employed, and that employees are treated dudng employ-
ment, without regard to their race, religion, sex, color,
4. A breach of the following clauses of the Required Contract national origin, age or disability. Such action shall include:
Provisions may also be grounds for debarment as provided in 29 employment, upgrading, demotion, or transfer; recruitmentor
CFR 5.12: recruitment advertising; layoff or termination: rates of pay or
other forms of compensation; and selection for Vaining,
Section I, paragraph 2; including apprenticeship, pre-apprenticeship, and/or
Section IV, paragraphs 1, 2, 3, 4, and 7; on-the-job training."
Section V, paragraphs 1 and 2a through 2g.
2. EEO Officer: The centractor will designate and make
5. Disputes arising out of the labor standards provisions of known to the SHA contracting officers an EEO Officer who will
Section IV (except paregreph 5) and Section V of these Required have the responsibility for and must be capable of effectively
Contract Provisions shall not be subject to the general disputes administedng and promoting an active conductor program of EEO
clause of this contract Such disputes shall be resolved in actor- and who must be assigned adequate authority and responsibility
dance with the procedures of the U.S. Departmentof Labor(DOL) to do so.
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 ifs 3. Dissemination of Policy: All members of the contractors
subcontractors) and the contracting agency, the DOL, or the staff who are authorized to hire, supervise, promote, and
contractors employees or their representatives. discharge employees, or who recommend such action, or who are
substantially involved in such action, will be made fully cognizant
Exhibit I -Pagel of 9
Exhibit I
of, and will implement, the contractor's EEO policyand contractual
responsibilities to provide EEO in each grade and classification of c. The contractor will pedodicellyreview selected personnel
employment. To ensure thatthe above agreement will be met,the actions in depth to determine whether there is evidence of
following actions will be taken as a minimum: discrimination. Where evidence is found, the contractor will
promptly take corcective action. It the review indicates that the
a. Periodic meetings of supervisory and personnel office discrimination may extend beyond the actions reviewed, such
employees will be conducted before the start ofwork and then not corrective action shalt include all affected persons.
less often than once every six months, at which time the contract-
ors EEO policy and its implementation will be reviewed and d. The contractorwillprompUyinvestigate all complaints of alleged
explained. The meetings will be conducted by the EEO Officer. discrimination made to the contractor in connection with his
obligations under this contract. will attempt to resolve such
b. All new supervisoryor personnel office employees will be complaints, and will take appropriate corrective action within a.
given a thorough indoctrination by the EEO Officer, covering all reasonable time. If the investigation indicates that the
major aspects of the conVactors EEO obligations within thirty discrimination may affect persons other than the complainant,
days following their reporting for duty with the contractor. such corrective action shall incude such other persons. Upon
completion of each investigation, the contractor will inform every
c. All personnel who are engaged in direct recruitment for complainant of ail of his avenues of appeal.
the project will be insVUcted by the EEO Officer in the contractor's
procedures for locating and hirng minodty group employees. 6. Training and Promotion:
d. Notices and posters setting forth the contractors EEO a. The conVactor will assist in locating, qualifying, and
policy will be placed in areas readily accessible to employees, increasing the skills of minodtygroup and women employees, and
applicants for employment and potential employees. applicants for employment.
e. The contractor's EEO policy and the procedures to b. Consistent with the contractors work force requirements
implement such policy will be brought to the attention of employ- and as permissible under Federal and State regulations, the
ees by means of meetings, employee handbooks, or other contractor shall make full use of Veining programs, i.e.,
appropriate means. apprenticeship, and on-the-job training programs for the
geographical area of contract performance. Where feasible, 25
4. Recruitment: When advertising foremployees, the contrac- percent of apprentices or trainees in each occupation shall be in
for will include in ail advertisements for employees the notation: theirfirst year of apprenticeship or training. in the events special
"An Equal Opportunity Employer." All such advertisements will be provision for training is provided under this contract, this subpara-
placed in publications having a large crculation among minority graph will be superseded as indicated in the special provision.
groups in the area from which the project work force would
normally be derived. c. The contractor will advise employees and applicants for
employment of available Veining programs and entrance
a. The contractor will, unless precluded by a valid bargain- requirements for each.
ing agreement, conduct systematicand direct recruitment through
public and pdvate employee referral sources likely to yield d. The contractor will periodically review the training and
qualified minority group applicants. To meetthis requirement, the promotion potential of minorttygroup and women employees and
contractor will identity sources of potential minodty group will encourage eligible employees to apply for such Veining and
employees, and establish with such identified sources procedures promotion.
whereby minority group applicants may be referred to the
contractor for employment consideration. 7. Unions: If the contractor relies in whole or in part upon
unions as a source of employees, the contractor will use hisRter
b. In the event the contractor has a valid bargaining agree- best efforts to obtain the cooperation of such unions to increase
ment providing for exGusive hiring hall refercals, he is expected to opportunities for minority groups and women within the unions,
observe the provisions of that agreement to the extent that the and to effect refercals by such unions of minority and female
system permits the contractors compliance with EEO contract employees. Actions by the contractor either directly or through a
provisions. (The DOL has held that where implementation of such contractor's association acting as agent will include the
agreements have the effect of discriminating against minorities or procedures set forth below:
women, or obligates the contractor to do the same, such
implementation violates Executive Order 11246, as amended.) a. The contractor will use best efforts to develop, in
cooperation with the unions, joint training programs aimed toward
c. The contractor will encourage his present employees to qualifying more minority group members and women for
refer minority group applicants for employment. Information and membership in the unions and increasing the skills of minority
procedures with regard th referring minority group applicants will group employees and women so that they may qualify for higher
be discussed with employees. paying employment.
5. Personnel Actions: Wages, working conditions, and b. The contractorwill use best efforts to incorporate an EEO
employee benefits shall be established and administered, and cause into each union agreement to the end that such union will
personnel actions of every type, inGuding hiring, upgrading, be contractually bound to refer applicants vrithout regard to their
promotion, transfer, demotion, layoff, and termination, shall be race, color, religion, sex, national origin, age or disability.
taken without regard to race, color, religion, sex, national origin,
age or disability. The following procedures shall be followed: c. The contractor is to obtain information as to the referral
practices and polices of the labor union except that th the extent
a. The contractor will conduct periodic inspections of project such information is within the exGusive possession of the labor
sites ro insure that working conditions and employee fatalities do union and such labor union refuses to furnish such information to
not indicate discriminatory Vestment of project site personnel. the contractor, the contractor shall so certify to the SHA and shall
set forth what efforts have been made to obtain such information.
b. The conVactor will periodically evaluate the spread of
wages paid within each Gassification ro determine any evidence of d. In the event the union is unable to provide the contractor
discriminatory wage practices. with a reasonable flow of minority and women refercals within the
Exhibit I -Page 2 of 9 REQUIRED Er z3 CPR 633.102
- , ~ 1 1
Exhibit I
time limit set forth in the collective bargaining agreement. the
centrador will, through independent recruitment efforts, fill the a. By submission of this bid, the execution of this wntract
employmentvacencies without regard to race, color, religion, sex, or subcontract, or the consummation of this material supplyagree-
national origin, age or disability, making full efforts to obtain ment or purchase order, as appropdate, the bidder. Federal-aid
qualified and/or qualifiable minority group persons and women. osnstructon contractor, subcontractor, material supplier, or
(The DOL has held that it shall be no excuse that the union with vendor, as appropdate, certifies that the firm does not maintain or
which the centrador has a collective bargaining agreement provide for its employees any segregated fadlides at any of ifs
providing for exclusive referral failed to refer minodtyemployees.) establishments, and thatthe firm does not permit its employees to
In the event the union referral practice prevents the centrador perform their services at any location, under ifs control, where
from meeting the obligations pursuant to Executive Order 11246, segregated faclli6es are maintained. The firm agrees that a
as amended, and these special provisions, such contractor shall breach of this certificetion is a violation of the EEO provisions of
immediately notify the SHA. this contract. The firm turther certifies that no employee will be
denied access to adequate factlities on the basis of sex or
8. Selection of Subcontractors, Procurement of Materials disability.
and Leasing of Equipment: The contractor shall notdiscriminale
on the grounds of race, color, religion, sex, national odgin, age or b. As used in this certificelion, the term "segregated
disability in the selection and retention ofsubcontractors, including fadlifies" means any waiting rooms, work areas, restrooms and
procurement of matedals and leases of equipment. washrooms, restaurants and othereating areas, timeclodcs, loclcer
rooms, and other storage ordressing areas, parking lots, drinking
a. The centrector shall notityall potential subcontractors and fountains, recreation or entertainment areas, transportation, and
suppliers of hisRrer EEO obligations under this centract. housing fadlities provided for employees which are segregated by
explicit directive, or are, in fad, segregated on the basis of race,
b. Disadvantaged business enterprises (DBE), asdefined in color, religion, national odgin, age or disability, because of habit,
49 CFR 23, shall have equal opportunity to compete for and local custom, or otherwise. The only exception will be for the
perform subcontracts which the contractor enters into pursuant to disabled when the demands for accessibility override (e.g.
this contract. The centredor will use his best efforts to solicit bids disabled parking).
from and to utllize DBE subcentractors or subcontractors with
meaningful minorttygroup and female representation among their c. The contractor agrees that it has obtained or will obtain
employees. Contractors shall obtain lists of DBE censWCtion identical certification from proposed subcentradors or material
firms from SHA personnel. suppliers pdor to award of subcentracts or consummation of
material supply agreements of $10,000 or more and that it will
c. The centredor will use his best efforts to ensure suborn- retain such certifications in its files.
tractor compliance with their EEO obligations.
IV. PAYMENT OF PREDETERMINED MINIMUM WAGE
9. Records and Reports: The contractor shall keep such
records as necessary to document compliance with the EEO (Applicable to all Federel-aid construction contracts exceeding
requirements. Such records shall be retained fora period of three $2,000 and to all related subcontracts, except for projects located
years following completion of the contract work and shall be on roadways classified as local roads or rural minor collectors,
available at reasonable times and places for inspection byautho- which are exempt.)
dzed representatives of the SHA and the FHWA.
1. General:
a. The records kept by the contractor shall document the
following: a. All mechanics and laborers employed or working upon
the site of the work will be paid uncenditionally and not less often
(1) The number of minority and non-minority group than onceaweek and without subsequentdeduction orrebate on
members and woman employed in each work classification on the any account [except such payroll deductions as are permitted by
project; 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
(2)The progressand efforts being madein cooperation bona fide fringe benefits(or cash equivalents thereof)dueatfime
with unions, when applicable, to increase employment opporluni- of payment. The payment shall be computed at wage rates not
ties for minorities and women; less than those contained in the wage determination of the
Secretary of Labor (hereinafter "the wage determination") which is
(3) The progress and efforts being made in locating, attached hereto and made a part hereof, regardless of any
hirtng, training, qualifying, and upgrading minority and female centrectual relationship which may be alleged to exist between the
employees; and contractor or its subcentradors and such laborers and mechanics.
The wage determination (including any additional Gassificefions
(4) The progress and efforts being made in securing and wage rates conformed under paragreph 2 of this Section IV
the services of DBE subcentractors or subcontractors with and the DOL poster (WH-1321) or Form FHWA-1495) shall be
meaningful minority and female representation among their posted at all times by the centrador and its subcontractors at the
employees. 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,
b. The centradors will submit an annual report to the SHA centributlons made or costs reasonably antidpated for bona fide
each July for the duration of the project, indicating the number of fringe benefits under Section 1(bx2) of the Davis-Bacon Act (40
minority, women, and non-minority group employees curtently U.S.C. 276a) on behalf of laborers or mechanics are considered
engaged in each work classification required by the centract work. wages paid to such laborers or mechanics, subject to the provi-
ThisinformationistobereportedonFormFHWA-1391. If on-the sions of Section lV, paragraph 3b, hereof. Also,forthe purpose of
job treining is being required by spedal provision, the centractor this Section, regular contributions made orcosts insured for more
will be required to collect and report training data. than a weekly period (but not less often than quarterly) under
plans, funds, or programs, which cover the particular weekly
III. NONSEGREGATED FACILITIES period, are deemed to be consWdively made or insured during
such weekly period. Such laborers and mechanics shall be paid
(Applicable to all Federal-aid censWCtion contracts and to all the appropriate wage rate and fdnge benefits on the wage
related subcentracts of $10,000 or more.) determination for the classification of work actually performed, 1 /lI/
Exhibit I -Page 3 of 9 xsgoiaEn ex 23 cFx 633.102 07 7
„ .
Exhibit I
without regent to skill, except as provided in paragraphs 4 and 5 a. Whenever the minimum wage rate prescribed in the
of this Section IV. contract fora Gass of laborers or mechanics indudes a fringe
benefit which is not expressed as an houdy rate, the contractor or
b. Laborers or mechanics performing work in more than subcontractors, as appropriate, shall either pay the benefit as
one dassificetion may be compensated at the rate spedfied for stated in the wage determination or shall pay another bona fide
each Gassificatlon for the time actually worked therein, provided, fringe benefit or an hourly case equivalent thereof.
that the employer's payroll records accurately set forth the time
spent in each Gasification in which work is performed. b. If the contractor or subcontractor, as appropdate, does
not make payments to a trustee or other thin) person, he/she may
c. All rulings and interpretations ofthe Davis-Bacon Actand consider as a part of the wages of any laborer or mechanic the
related acts contained in 29 CFR 1, 3, and 5 are herein incorpo- amount of anycosts reasonably antidpated in providing bona fide
rated by reference in this centract. fringe benefits under a plan or program, provided, thatthe Secre-
tary of Labor has found, upon the wrttten request of the contractor,
2. Classifleation: that the applicable standards of the Davis-Bacon Act have been
met. The Secretary of Labor may require the contractor to set
a. The SHA contracting officer shall require thatanydas of aside in a separate account assets for the meeting of obligations
laborers or mechanics employed under the contract, which is not under the plan or program.
listed in the wage determination, shall be Gasified in
conformance with the wage determination. 4. Apprentices and Trainees (Programs of the U.S. DOL)
and Helpers:
b. The contacting officer shall approve an additional
Gasification, wage rate and fringe benefits only when the a. Apprentices:
following criteria have been met:
(1) Apprentices will be permitted to work at les than
(1) the work to be performed by the additional the predetermined ratefortheworktheyperformedwhentheyare
Gasification requested is not performed bye dassification in the employed pursuant to and individually registered in a bona fide
wage determination; apprenticeship program registered with the DOL, Employment and
Training Administration, Bureau of Apprenticeship and Training, or
(2) the additional Gasificaton is utilized in the area by with a State apprenticeship agency recognized by the Bureau, orif
the construction industry; a person is employed in hisAter first 90 days of probationary
employmentas an apprentice in such an apprenticeship program,
(3) the proposed wage rete, inGuding any bona fide who is not individually registered in the program, but who has
fringe benefits, bears a reasonable relationship to the wage rates been certified by the Bureau of Apprenticeship and Training or a
contained in the wage determination; and State apprenticeship agency (where appropriate) to be eligible for
probationary employment as an apprentice.
(4) with respect to helpers, when such a dassificetion
prevails in the area in which the work is performed. (2) The allowable ratio of apprentices to journeyman-
level employees on thejob site in any waft dassificetion shall not
c. If the contractor or subcontractors, as appropriate, the be greater than the ratio permitted to the contractor as to the
laborers and mechanics (if known) to be employed in the addition- entire work force under the registered program. Any employee
al clasifiption or their representatives, and the contracting officer listed on a payroll at an apprentice wage rate, who is not regis-
agree on the Gasificetion and wage rate (including the amount tered or otherwise employed as stated above, shall be paid not
designated for fringe benefits where appropriate), a report of the less than the applicable wage rate listed in the wage determina-
action taken shall be sent by the contracting officer to the DOL, Uon for the Gassthcation of work actually performed. In addition,
Administrator of the Wage and Hour Division, Employment Stan- any apprentice performing work on the job site in excess of the
dabs Administration, Washington, D.C. 20210. The Wage and ratio permitted under the registered program shall be paid nodes
Hour Administrator, Oran authorized representative, will approve, than the applicable wage rate on the wage determination for the
modify, or dispprove every additional dassificetron action within work actually performed. Where a contractor or subcontractor is
30 days of receipt and so advise the cenlraGing officer or will performing construction on a project In a locality other than that in
notify the contracting officer within the 30-day period that which its program is registered, the ratios and wage rates (ex-
additional time is necessry. pressed in percentages of the journeyman-level hourly rate)
specified in the contractor's or subcontractor's registered program
d. In the event the contractor or subcontractors, as appro- shall be observed.
pdate, the laborers or mechanics to be employed in the additional
Gasification or their representatives, and the contracting officer (3) Every apprentice must be paid at not less than the
do not agree on the proposed Gasification and wage rate rate spedfied in the registered program for the apprentice's level
(inGuding the amount designated for fdnge benefits, where of progress, expresed as a percentage of thejoumeyman-level
appropdate), the contacting officer shall refer the questions, houdy rate spedfied in the applicable wage determination.
inGuding the views of all interested parties and the recemmenda- Apprentices shall be paid fringe benefits in accordance with the
lion of the contracting officer, to the Wage and Hour Administrator provisions of the apprenticeship program. If the apprenticeship
for determination. Said Administrator, or an authorized represen- program does not specify fringe benefits, apprentices must be
tative, will issue a determination within 30 days of receipt and so paid the full amount of fringe benefits listed on the wage determi-
advise the contracting officer or will notify the contracting officer nation torthe applicable dassifiration. If the Administratorfor the
within the 30Eay period that additional time is necessary Wage and Hour Division determines that a different practice
prevails for the applicable apprentice Gasification, fringes shall
e. Thewage rate (including fringe benefits where appropd- be paid in accordance with that determination.
ate) determined pursuant to paragraph 2e or2d of this Section IV
shall be paid to all workers performing work in the additional (4) In the event the Bureau of Apprenticeship and
Gasification from the first day on which work is performed in the Training, or a State apprenticeship agency recognized by the
Gasification. Bureau, withdraws approval of an apprenticeship program, the
contractor or subcontractor will no longer be permitted to utilize
3. Payment of Fringe Benefits: apprentices at less than the applicable predetermined rate forthe
comparable work performed by regularemployees untilan accept- )y/
Exhibit I -Page 4 of 9 REQUIRED BY 23 CFR 633.102
( /
Exhibit I
able program is approved. contractor, or any other Federally-assisted contract subject to
Davis-Bacon prevailing wage requirements which is held by the
b. Trainees: same prime contractor, as much of the accrued payments or
advances as may be considered necessary to pay laborers and
(1) Exceptas provided in 29 CFR 5.16, trainees will not mechanics, including apprentices, trainees, and helpers, em-
be permitted to work at less than the predetermined rate for the ployed by the centractor or any subcontractor the full amount of
work performed unless they are employed pursuant to and wages required by the contract. In the event of failure to pay any
individually registered in a program which has received prior laborer or mechanic, inducting any apprentice, trainee, or helper,
approval, evidenced by formal certification by the DOL, employed or working on the site of the work, all or part of the
Employment and Training Administration. wages required by the contract, the SHA contracting officer may,
after written notice to the contractor, fake such action as may be
(2) The ratio of trainees tojoumeyman-levelemployees necessary to cause Me suspension of any further payment,
on the job site shall not be greater than permitted under the plan advance, orguarantee of funds until such violations have ceased.
approved by the Employment and Training Administration. Any
employee listed on the payroll at a Uainee rate who is not 7. Overtime Requirements:
registered and participating in a training plan approved by the
Employment and Training Administration shall be paid not less No contractor or subcontractor contracting for any partof
than the applicable wage rate on the wage determination for the the centract work which may require or involve the employmentof
dassificetion of work actually performed. In addition, anytrainee laborers, mechanics, watchmen, orguards(indudingopprentices,
performing work on the job site in excess of the ratio permitted trainees, and helpers described in paragraphs 4 and 5 above)
under the registered program shall be paid not less than the shall require or permit anylaborer, mechanic, watMman, or guard
applicable wage rate on the wage determination for the work in any workweek in which he/she is employed on such work, to
actually performed. work in excess of 40 hours in such workweek unless such laborer,
mechanic, watchman, or guard receives compensation at a rate
(3) Every trainee must be paid at not less than the rate not less than one-andone-half 9mes his/her basic rate of payfor
spedfied in the approved program for his/her level of progress, all hours worked in excess of 40 hours in such workweek.
expressed as a percentage of the joumeyman-level hourly rate
spedfied in the applicable wage determination. Trainees shall be 8. Violation:
paid fringe benefits in accordance with the provisions of the
trainee program. If the trainee program does not mention fringe Liability for Unpaid Wages; Liquidated Damages: In the
benefits, trainees shall be paid the full amount of fdnge benefits event of any violation of the douse setforth in paragraph 7 above,
listed on the wage determination unless the Administrator of the the centracor and any subcontractorcesponsible thereof shall be
Wage and Hour Division determines that there is an apprentice- liable to the affected employee for his/her unpaid wages. In
ship program assodafed with Me corresponding joumeymaMevel addition, such contractor and subcentractor shall be liable to the
wage rate on thewage determination which provides for less than United States (in the case of work done under contract for the
full fringe benefits for apprentces, in which case such trainees District of Columbia or a territory, to such District or to such
shall receive the same fringe benefits as apprentices. territory) for liquidated damages. Such liquidated damages shall
be computed with respell to each individual laborer, mechanic,
(4) In the event the Employment and Training watchman, orguard employed in violation of the douse setforth in
Administration withdraws approval of a training program, the paragraph 7, in the sum of $10 for each calendar day on which
contractor or subcontractor will no longer be permitted to utilize such employee was required or permitted to work in excess of the
Vainees at less than the applicable predetermined rate for the standard work week of 40 hours without payment of the overtime
work performed until an acceptable program is approved. wages required by the douse set forth in paragraph 7.
c. Helpers: 9. Withholding for Unpaid Wages and Liquidated Damages:
Helpers will be permitted to work on a project if the The SHA shall upon its own action or upon written request of
helper classification is spedfied and defined on the applicable any authodzed representative of the DOL withhold, or cause to be
wage determination or is approved pursuant to the cenformance withheld, from any monies payable on account of work performed
procedure set forth in Section lV.2. Anyworker listed onapayroll by the centrector or subcontractor under any such contract or any
at a helper wage rate, who is not a helper under a approved other Federal contract with the same prime contractor, or any
definition, shall be paid not less than the applicable wage rete on other Federally-assisted contract subject to the Contrect Work
the wage determination for the dassificetion of work actually per- Hours and Safety Standards Act, which is held by the same pdme
formed. centractor, such sums as maybe determined to be necessary to
satisfy any liabilities of such contractor or subcontractor for unpaid
5. Apprentices and Trainees (Programs of the U.S. DOT): wages and liquidated damages as provided in the douse settorth
in paragraph 8 above.
Apprentices and trainees working under apprenticeship and
skill Graining programs which have been certified by the Secretary V. STATEMENTS AND PAYROLLS
of Transportation as promoting EEO in connection with Federal-
aid highwayconsWCtion progremsare not subject to the require- (Applicable to all Federal-aid construction contracts exceeding
menu of paragreph 4 of this Section IV. The straight time hourly $2,000 and to all related subcontracts, except for projects located
wage rates for apprentices and trainees under such programs will on roadways dassified as local roads or rural ceflectors, which are
be established by the particularprogrems. The retio of apprentic- exempt.)
es and trainees to journeymen shall not be greater than permitted
by the terms of the particular program. 1. Compliance wtth Copeland Regulations (29 CFR 3):
6. Withholding: The centractor shall comply with the Copeland Regulations of
the Secretary of Labor which are herein incorporated by reference.
The SHA shall upon Ifs own action or upon written request
of an authorized representative of the DOL withhold, or cause to 2. Payrolls and Payroll Reeords:
be withheld, from the contractor or subcontractor under Mis
contract or any other Federal contract with the same prime a. Payrolls and basic records relating thereto shall be J /
Exhibit I -Page 5 of 9 REQUIRED BY 23 CFA 633.102
, ,
Exhibit I
maintained by the wntrador and each subcontractor during the Compliance" required by paragraph 2d of this Section V.
course of the work and preserved for a period of 3 years from the
date of completion of Me centrail for all laborers, mechanics, f. The falsification of any of the above certifications may
apprentices, trainees, watchmen, helpers, and guards working at subject the contractor to dull or criminal prosecution under 18
the site of the work. U.S.C. 1001 and 31 U.S.C. 231.
b. The payroll records shall cenfain the name, sodal g. The contractor or subcontractor shall make the records
security number, and address of each such employee; his or her required under paragraph 2b of this Section V available for
coned classificetion: hourfy rates of wages paid (induding rates of inspection,copying, or transcription byauthodzed representatives
contributions or costs antidpated for bona fide fringe benefits or of the SHA, the FHWA, or the DOL, and shall permit such repre-
cashequivalentthereofthe types described in Section l(bx2)(B) sentatives to interview employees dudng working hours on thejob.
of the Davis Bacon Ail); daily and weekly number of hours If the contractor or subcontractor fails to submit the required
worked; deductions made; and actual wages paid. In addition, for records orto make them available, the SHA, the FHWA, the DOL,
Appalachian contracts, the payroll records shall contain a notation or all may, after wdtten notice to thecentractor, sponsor, applicant,
indicating whether the employee does, or does not, normally or owner, take such actions as may be necessary to cause the
reside in the labor area as defined in Attachment A, paragraph 1. suspension of any Turther payment, advance, or guarantee of
Whenever the Secretary of Labor, pursuant to Section IV, funds. Furthermore, failure to submit the required records upon
paragraph 3b, has found that the wages of any laborer or request or to make such records available may be grounds for
mechanic indude the amount of any costs reasonablyanticipated debarment action pursuant to 29 CFR 5.12.
in providing benefits undera plan or program described in Section
1(bx2x8) of the Davis Bacon Ad, the contractor and each VI. RECORD OF MATERIALS, SUPPLIES, AND LABOR
subcentrador shall maintain records which show thatthe commit-
ment to provide such benefits is enforceable, that the plan or 1. On all Federal-aid contracts on the National Highway
program is finandally responsible, that the plan or program has System, except those which provide solely for the installation of
been communicated in writing to the laborers or mechanics protective devices at reilroad grade crossings, those which are
affected, and show the cestantidpated or the actual cost insured constructed on a force account or direct labor basis, highway
in providing benefits. Contractors or subcontractors employing beautification contracts, and contrails for which the total final
apprentices or trainees under approved programs shall maintain construction cost for roadway and bridge is less than $1,000,000
written evidence of the registration of apprentices and trainees, (23 CFR 635) the contractor shall:
and ratios and wage rates presdibed in the applicable programs.
a. Became familiar with the list of spedfic materials and
c. Each contractor and subcontractor shall furnish, each supplies contained in Form FHWA-47, "Statement of Materials
week in which any centrailwork is performed. to the SHAresident and Labor Used by Contractor of Highway Construction Involving
engineers payroll of wages paid each of its employees (induding Federel Funds' prior to the commencement of work under this
apprentices, trainees, and helpers, described in Section IV, pars- contrail.
graphs 4 and 5, and watchmen and guards engaged on work
dudng the preceding weekly payroll period). The payroll submitted b. Maintain a record of the total cost of all materials and
shall set out accurately and completely all of the information supplies purchased for and incorporated in the work, and also of
required to be maintained under paragraph 2b of this Section V. the quantities of those spedfic materials and supplies listed on
This information may be submitted in any forth desired. Optional Fore FHWA-47, and in the units shown on Form FHWA-47.
Form W H-347 is available for this purpose and maybe purchased
from the Superintendent of Documents (Federal stock number c. Furnish, upon the completion of the contrail, to the SHA
029-005-0014-1 U.S. Government Printing Office, Washington, resident engineer on Form FHWA-47 together with the data
D.C. 20402. The prime cenfrador is responsible for the submis- required in paragraph 1b relative to materials and supplies, a final
Sion of copies of payrolls by all subcontractors. labor summary of all contrail work indicating the total hours
worked and the total amount earned.
d. Each payroll submitted shall be accompanied by a
"Statement of Compliance," signed by the contractor or subcen- 2. At the pdme centrailofs option, either a single report
traclororhisMer agenlwho pays or supervises the payment of the covering all contract work or separate reports for Me contractor
persons employed under the contract and shall certify the follow- and for each subcontract shall be submitted.
ing:
VII. SUBLETTING OR ASSIGNING THE CONTRACT
(1) that the payroll for Me payroll period contains the
information required to be maintained under paragraph 2b of this 1. The contractor shall perform with its own organization
Section V and that such information is coned and wmplete; contrail work amounting to not less than 30 percent (or a greater
percentage if spedfied elsewhere in the contract) of the total
(2) that such laborer or mechanic (induding each original contrail pdce.exduding any spedalty itemsdesignatact by
helper, apprentice, and trainee) employed on the contract during the State. Spedalty items may be performed by subcontract and
the payroll pedod has been paid the full weekly wages earned, the amount of any such spedally items performed may be
without rebate, either directly or indirectly, and that no deductions deducted from the total original contrail price before computing
have been made either directly or indirectly from the full wages the amount of work required to be performed by the contractor's
earned, other than permissible deductions as set forth in the own organization (23 CFR 635).
Regulations, 29 CFR 3;
a. "Its own organization" shall be construed to indude only
(3) that each laborer or mechanic has been paid not workers employed and paid directly by the prime contractor and
less that the applicable wage rate and fringe benefits or cash equipment owned or rented by the prime contractor, with or
equivalent for the Gassificetion of worked performed, as specified without operators. Such term does not indude employees or
in the applicable wage determination incorporated into the equipment of a subcontractor, assignee, or agent of the prime
contract contractor.
e. The weekly submission of a propedy exewted cerlifica- b. "Spedalty Items" shall be construed to be limited to
lion set forth on the reverse side of Optional Form W H-347 shall work that requires highly spedalized knowledge, abilities, or
satisfy the requirement for submission of the "Statement of equipment not ordinadly available in the type of contracting ~ n
Exhibit I -Page 6 of 9 REQDIRED BY 23 CFR 633.102 l/
- ,
Exhibit I
organizations qualified and expected to bid on the contract as a persons concerned with the project:
whole and in general are to be limited to minor components of the
overall contract. NOTICE TO ALL PERSONNEL ENGAGED ON FEDERAL-AID
HIGHWAY PROJECTS
2. The contract amount upon which the requirements set forth
in paragraph 1 of Section VII is computed indudes the cost of 18 U.S.C. 1020 reads as follows:
matedal and manufactured products which are to be purchased or
produced by the contractor under the contract provisions. "Whoever, being an officer, agent, or employee of the United
States, orofany State aTerritory, or whoever, whethera person,
3. The contractor shall furnish (a) a competent superintendent association, firm, or corporation, knowingly makes any false
or supervisor who is employed by the firm, has full authority to statement, /else representation, orfa/se report as ro the character,
direct performance of the work in accordance with the confrail quality, quantity, or cost oftlre material used or to be used, or the
requirements, and Is in charge of all construction operations quantity orqualityofthe work performed orto be performed, orthe
(regardless of who performs the work) and (b) such other of its cost theroo/ in connection with the submission of plans, maps,
own organizational resources (supervision, management, and specificeb'ons,contracts, or costs ofconsWCtion on anyhighway
engineering services)as the SHA contracting officerdeterninesis or related project submitted for approval to the Secretary of
necessary to assure the performance of the contract Transportation; or
4. No portion of the contract shall be sublet, assigned or Whoever knowingly makes any false statement, /else
otherwise disposed of except with the wdtten consent of the SHA representation, false report or false Gaim with respect to the
contracting officer, or authorized representative, and such consent character, quality, quantity, or costofany work per/ormed or to be
when given shall not be consWed to relieve the contractor of any per/ormed, ormatedalstumished or to be tarnished, in connection
responsibility for the fulfillment of the contract. Written consent with the construction of any highway ar related project approved
will be given only after the SHA has assured that each subcontract by the Secretary of Transportation; or
is evidenced in wridng and that it contains all pertinent provisions
and requirements of the prime contrail. Whoever knowingly makes any false statement or (else
VIII. SAFETY: ACCIDENT PREVENTION representation as to material )act in any statement, certificate, or
report submitted pursuant to provisions ofthe Federal-aid Roads
1. In the performance of this conVact the contractor shall Act approved July 1, 1916, (39 Stat 355), as amended and
complywith all applicable Federal, State, and local laws governing supplemented;
safety, health, and sanitation (23 CFR 835). The contractor shall
provide all safeguards, safety devices and protective equipment Shall be fined not more that $10,000 or imprisoned not more
and take any other needed actions as itdetermines, or as the SHA than5yearswboth."
contracting officer may determine, to be reasonably necessary to
proteil the life and health of employees on the job and the safety X. IMPLEMENTATION OF CLEAN AIR ACT AND FEDERAL
of the public and to protect property in connection with the WATER POLLUTION CONTROL ACT
performance of the work covered by the contract.
(Applicable to all Federel-aid consVUCtion conVacts and to all
2. It is a condifion of this contract, and shall be made a related subcontracts of $100,000 or more.)
condition of each subcontract, which the contractor enters into
pursuant to this contract, that the contractorand any subcontractor By submission of this bid or the execution of this contract, or
shall not permit any employee, in performance of the contract. to subcontract, as appropriate, the bidder, Federal-aid consWCtion
work in surroundings or under conditions which are unsanitary, contractor, or subcontractor, as appropriate, will be deemed to
hazardous or dangerous to his/her health or safety, asdetertnined have s8pulated as follows:
under consWCtion safety and health standards (29 CFR 1926)
promulgated by the Secretary of Labor, in accordance with 1. That any facility that is or will be utilized in the performance of
Section 107 of the Contrail Work Hours and Safety Standards Act this contract, unless such contract is exempt under the Clean Air
(40 U.S.C. 333). Act, as amended (42 U.S.C. 1857 et sew., as amended by Pub.L.
91-604), and under the Federel Water Pollution Control Act, as
3. Pursuant to 29 CFR 1926.3, it is a condition of this contract amended (33 U.S.C. t251 et as amended by Pub.l. 92-500),
that the Secretary of Labor or authorized representative thereof, Executive Order 11738, and regulations in implementation thereof
shall have right of entry to any site of contract performance to (40 CFR 15) is not listed, on the date of contract award, on the
inspect orinves8gate the matter of compliance with the consWC- U.S. Environmental Protection Agency (EPA) List of Violating
lion safety and health standards and to carry out the duties of the Faclilies pursuant to 40 CFR 15.20.
Secretary under Section 107 of the Contract Work Hours and
Safety Standards Act (40 U.S.C. 333). 2. That the firm agrees to comply and remain in compliance with
all the requirements of Section 114 of the Clean Air Act and
IX. FALSE STATEMENTS CONCERNING HIGHWAY Section 308 of the Federal Water Pollution Conbol Act and all
PROJECTS regulations and guidelines listed thereunder.
In order to assure high quality and durable consWction in 3. That the firm shallpromptly notitythe SHA of thereceipt of any
conformity with approved plans and specificetions and a high communication from the Director, Office of Federal Activities,
degree of reliability on statements and representations made by EPA, indiceting that a facility that is or will be utilized for the
engineers, conVactors, suppliers, and workers on Federelaid conVct is under consideration to be listed on the EPA List of
highway projects, it is essential that all persons concerned with the Violating Facilities.
project perform their functions as carefully, thoroughly, and
honestly as possible. Willful falsification, distortion, or misrepre- 4. That the firm agrees to inGude or cause to be iniluded the
senfation with respect to any facts related to the project is a requirements of paragraph 1 through 4 of this Section X in every
violation of Federal law. To prevent any misunderstanding nonexempt subcontract, and further agrees to take such action as
regarding the seriousness of these and similaracts, the following the government may direct as a means of enforcing such
notice shall be posted on each Federal-aid highway project (23 requirements.
CFR 635) in one or more places where it is readily available to all 1 ~ (7~/~y
Exhibit I -Page 7 of 9 REQUIRED BY 23 CFR 633.102 v/ V
Exhibit I
XI. CERTIFICATION REGARDING DEBARMENT, SUSPENSION, require establishment of a system of records in order to render in
INELIGIBILITY AND VOLUNTARY EXCLUSION good faith the certificetion required by this dause. The knowledge
and information of partidpant is not required to exceed thatwhich
1. Instructions for Certification - Primary Covered is normally possessed by a prudent person in the ordinaryceurse
Transactions: of business dealings.
(Applicable to all Federalaid contracts - 49 CFR 29) j. Except for transactions authorized under paragraph f of
these insWctions, if a partdpant in a covered transaction
a. By signing and submittlng this proposal, the prospective knowingly enters into a lower tier covered transaction with a
primary participant is providing the certification set out below. person who is suspended, debarred, ineligible, or voluntarily
excluded from partictpation in this transaction, in addition to other
b. The inability of a person to provide the certification set out remedies available to the Federal Govemment, the deparfinentor
below will not necessarily result in denial of partictpation in this agency may terminate this transaction for cause or default.
covered transaction. The prospective partctpant shall submit an
explanation of why it cannot provide the certificefbn set out below.
The certification or explanation will be considered in connection ` ` ` ` `
with the department or agencys determination whether to enter
into this transaction. However, failure of the prospective primary Cert~eation Regarding Debarment, Suspension,
partidpant to furnish a certificetion or an explanation shall Ineligibility and Voluntary Exclusion-Primary Covered
disqualify such a person from partidpation in this transaction. Transactions
c. The certification in this ctause isamatedal representation 1. The prospective primary partidpantcertifies to the best of iLs
of fact upon which reliance was placed when the department or knowledge and belief, that it and its pdnctpals:
agency determined to enter into this transaction. If it is later
determined that the prospective primary partidpant knowingly a. Are not presently debared, suspended, proposed for
rendered an erroneous certification, in addition to other remedies debarment, dedared ineligible, or voluntarily exduded from
available to the Federal Govemment, the department or agency covered transactions by any Federal department or agency;
may terminate this transaction for cause of default.
b. Have not within a 3-year pedod preceding this proposal
d. The prospective primary partidpant shall provide immedi- been convicted of or had a dvil judgment rendered against them
ate written notice to the department or agency to whom this for commission of fraud or a criminal offense in connection with
proposal is submitted if any time the prospective primary partld- obtaining, attempting to obtain, or performing a public (Federal,
pant learns that its certification was erconeous when submitted or State or local) transaction or centract under a public transaction;
has become erroneous by reason of changed dreumstances. violation of Federal or State antitrust statutes or commission of
embezzlement, theft, forgery, bribery, falsification or destruction of
e. The terms "covered transaction ; "debarced," records, making false statements, or receiving stolen property;
"suspended ; "ineligible," "lower tier covered transaction,"
"partictpant," "person,' "primary covered transaction ; "prindpal ; c. Are not presently indicted for or otherwise criminally or
'proposal ;and "voluntarily exctuded; as used in this ctause, have civilly charged by a governmental entity (Federal, State or local)
the meanings set out in the Definitions and Coverage sections of with commission of anyof the offenses enumerated in paragraph
rules implementing Executive Order 12549. You may contact the 1 b of this certficetion; and
deparment or agency to which this proposal is submitted for
assistance in obtaining a copy of those regulations. d. Have not within a 3-year period preceding this
application/proposal had one or more public transactions (Federel,
f. The prospective pdmarypartidpantagrees by submitting State or local) terminated for cause or default.
this proposal that, should the proposed covered transaction be
entered into, it shall not knowingly enter into any lower tier covered 2. Where the prospective primarypartidpantis unable to certify
transaction with a person who is debared, suspended, dedared to any of the statements in this certlficetion, such prospective
ineligible, or voluntarily exduded from partidpation in this covered participant shall attach an explanation to this proposal.
transaction, unless authorized by the department or agency
entering into this Uansaction. ` `
g. The prospective primary partidpant further agrees by
submitting this proposal that it will indude the dause titled 2. Instructions for Certification -Lower Tier Covered
"Certification Regarding Debarment, Suspension, Ineligibilityand Transactions:
Voluntary Exctusion-Lower Tier Covered Transaction,"provided by
the department or agency entering into this covered transaction, (Applicable to all subcontracts, purchase orders and other lower
without modification, in all lower tier covered transactions and in tier transactions of $25,000 ormore - 49 CFR 29)
all solicttations for lower tier covered transactions.
a. By signing and submitting this proposal, the prospective
h. A partictpant in a covered transaction may rely upon a lower tier is providing the certification set out below.
certification of a prospective partictpant in a lower tier covered
Vansaction that is not debarced, suspended, ineligible, or volun- b. The certification in this clause isa material representation
tartly exduded from the covered transaction, unless it knows that of fact upon which reliance was placed when this transaction was
the certification is eroneous. A partdpant may decide the entered into. If it is later determined that the prospective bwer tier
method and frequency by which it determines the eligibility of its partictpant knowingly rendered an erroneous certification, in
pdndpals. Each partictpant may, but is not required to, check the addition to other remedies available to the Federal Govemment,
non-procurement portion of the 'Lists of Partles Exduded From the department, or agency with which this transaction originated
Federal Procurement or Non-procurement Programs' (Non- may pursue available remedies, including suspension and/or
procurement List) which is compiled by the General Services debarment.
Administration.
c. The prospective lower tier partidpant shall provide
I. Nothing centained in the foregoing shall be construed to immediate wdtten notice to the person to which this proposal is '
Exhibit I -Page 8 of 9 REQUIRED BY 23 CFR 633.102
Exhibit I
submitted if at any time the prospective lower tier pariclpant OR LOBBYING
teams that its certificetion was erroneous by reason of changed
dreumstances. (Applicable to all Federal-aid construction contracts and to all
related subcontracts which exceed $100,000 - 49 CFR 20)
d. The terms "covered transaction," "debarred ;
'suspended," "ineligible,' "primary covered transaction," 1. The prospective particlpant certifies, by signing and submit-
"participant," 'person ; 'prindpal," 'proposal ; and "voluntarily ling this bid or proposal, to the best of his or her knowledge and
excluded," as used in this Gause, have the meanings set out in belief, that:
the Definitions and Coverage sections of rules implementing
Executive Order 12549. You maycentad the person to which this a. No Federal appropriated funds have been paid orwill be
proposal is submitted for assistance in obtaining a copy of those paid,. by or on behalf of the undersigned, to any person for
regulations. infiuendng or attempting to influence an officer or employee of
any Federal agency, a Member of Congress, an officeroremploy-
e. The prospective lower tier paridpant agrees by ee of Congress, or an employee of a Member of Congress in
submitting this proposal that, should the proposed covered connection with the awarding of any Federal contract, the making
transaction be entered into, it shall not knowingly enter into any of any Federal grant, the making of any Federal loan, the entering
lower tier covered transaction with a person who is debarred, into of any cooperative agreement, and the eMension, centinua-
suspended, declared ineligible, or voluntarily excluded from lion, renewal,amendment, or modification of any Federalcontrad,
partictpation in this covered transaction, unless authorized by the grant, loan, or cooperative agreement.
departinent or agency with which this transaction originated.
b. If any funds other than Federal appropriated funds have
f. The prospective lower tier participant further agrees by been paid orwill be paid to any person for infiuendng orattempt-
submittlng this proposal that it will include this Gause titled ing to influence an officer or employee of any Federal agency, a
'Certification Regarding Debarment, Suspension. Ineligibilityand Member of Congress, an officer or employee of Congress, or an
Voluntary Exclusion-Lower Tier Covered Trensadion; without employee of a Member of Congress in connection with this
modification, in all lower tier covered transactions and in all Federal contred, grant, loan, or cooperative agreement, the
solicitations for lower tier covered transactions. undersigned shall complete and submit Standard Form-LLL.
"Disclosure Forth to Report Lobbying; in accordance with its
g. A partidpant in a covered transaction may rely upon a instructions.
certification of a prospective pariclpant in a lower tier covered
transaction that is not debased, suspended, ineligible, or volun- 2. This certification is a material representation of fad upon
tartly excluded from the covered transaction, unless it knows that which reliance was placed when this transaction was made or
the certification is erconeous. A particpant may deride the entered into. Submission of this certification is a prerequisite for
method and frequency by which it determines the eligibility of its making or entering into this transaction imposed by 31 U.S.C.
prindpals. Each partclpant may, but is not required to, check the 1352. Any person who fails to file the required certification shall
Non-procurement List. be subject to a clvil penalty of not less than $10,000 and not more
than $100,000 for each such failure.
h. Nothing contained in the foregoing shall be censured to
require establishment of a system of records in order to render in 3. The prospective pariclpant also agrees by submitting his or
good faith the certification required by this Gause. The knowledge her bid or proposal that he or she shall require that the language
and information of partclpant is not required to exceed that which of this certification be included in alt lower tier subcentads, which
is normally possessed bye prudent person in the ordinaryceurse exceed $100.000 and that all such recipients shall certify and
of business dealings. disclose accordingly.
I. Except for transactions authorized under paragraph a of
these instructions, if a partdpant in a covered transaction
knowingly enters into a lower tler covered transaction with a
person who is suspended, debased, ineligible, or voluntarily
excluded from partidpation in this transaction, in addition to other
remedies available to the Federal Government, the departinenlor
agency with which this Vansaction originated may pursue
available remedies, including suspension and/or debarment.
Certification Regarding Debarment, Suspension,
Ineligibility and Voluntary Exclusion-Lower Tier Covered
Transactions:
1. Theprospective lower tier particlpantcertifies, by submission
of this proposal, Mat neither it nor its princlpals is presently
debarced, suspended, proposed for debarment, declared
ineligible, or voluntarily excluded from particlpation in Mis
transaction by any Federal department or agency.
2. Where Me prospective lower Ger partclpant is unable to
certify to any of the statements in Mis certificatlon, such prospeo-
five partclpant shall attach an explanation to Mis proposal.
XII. CERTIFICATION REGARDING USE OF CONTRACT FUNDS
EXblblt i - PBgC 9 Of 9 REQUIRED BY 23 CFR 633.102
- ' ' ~ Exhibit J
FEDERAL REQUIREMENTS
Federal laws and regulations that may be applicable to the Work include:
A. The "Uniform Administrative Requirements for Grants and Cooperative Ageements 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:
1. the Loca] 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 sub-gants;
4. to expedite any CDOT approval, the Local Agency/Contractor's attorney, 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 sub-grant procedures, as applicable;
5. the Local Agency/Contractor shall incorporate the specific contract provisions described in 18.36(1) (which aze 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 gantees and their contractors or sub-grantees).
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 sub-grants 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 awazded by gantees and subgantees when required by Federal
gant progam legislation. This act requires that all laborers and mechanics employed by contractors or subcontractors
to work on construction projects fmanced 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 awazded by gantees and
sub-grantees 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 Cleaz 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 sub-gants of amounts in excess of $100,000).
G. Mandatory standazds 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-1 ]0, whichever is
applicable.
I. The Hatch Act (5 USC 1501-1508) and Public Law 95-454 Section 4728. These statutes state that federal
5
Exhibit J -Page 1 of 3
.
- Exhibit J
funds cannot be used for partisan political purposes of any kind by any person or organization involved in the
administration offederally-assisted programs.
J. 42 USC 6101 et sea• 42 USC 2000d, 29 USC 794, and implementing regulation, 45 C.F.R. Part 80 et. sea•.
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 progam 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 s . .
N. The Age Discrimination Act of 1975, 42 U.S.C. Sections 6101 et. s .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. Pazt 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 aze shown in the Nondiscrimination Provisions, which aze attached hereto and made a part
hereof.
S. Nondiscrimination Provisions:
Incompliance 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:
1. 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 pazt of this contract.
2. Nondiscrimination. The Contractor, with regazd to the work performed by it after awazd 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.
5
Exhibit J -Page 2 of 3
l Exhibit J
3. Solicitations for Subcontracts. Including Procurement ofMaterials and Eauioment 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.
4. 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 famish 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.
5. 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:
a. W ithholding of payments to the Contractor under the contract until the Contractor complies, and/or;
b. Cancellation, termination or suspension of the contract, in whole or in part.
6. Incorporation of Provisions The Contractor will include the provisions of pazagraphs 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 duect 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.
53
Exhibit J -Page 3 of 3