HomeMy WebLinkAboutbocc.res.130.2008CONTRACT #~~a~~~~
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A RESOLUTION OF THE BOARD OF COUNTY COMMISSIONERS
OF PITHIN 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 regazding the funding
for the project known as street sweeper procurement.
Funds approved by Colorado Department of Transportation aze 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 $35,000 for the purchase
of the street sweeper.
4. The Board of County Commissioners has determined that it is in the best interest
of the citizens of Pitkin County to enter into this Intergovernmental Agreement.
5. The terms of the agreement are set forth in the CDOT Contract identified as #09
HA3 00026, and is in the County Clerk and Recorders office for signature by the
Chairperson of the Board of County Commissioners.
6. Pitkin County is authorized to enter into this IGA pursuant to the provisions of
C.R.S. §29-1-203 and §43-2-144.
NOW THEREFORE, BE IT RESOLVED, by the Board of County
Commissioners that is does hereby approve the Intergovernmental Agreement between
CDOT and Pitkin County and the Chair (or Chair's designee) is authorized to execute the
contract identified as CDOT Contract #09 HA3 00026.
INTRODUCED, FIRST READ AND SET FOR PUBLIC HEARING ON
THE 3rd DAY OF DECEMBER 2008.
NOTICE OF PU$LIC HEARING PUBLISHED IN THE ASPEN TIMES
WEEKLY ON THE ~DAY OF NOVEMBER 2008.
PUBLIC HEARING AND SECOND READING ON THE 17th DAY OF
DECEi~(IBER 2008.
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PUBLISHED AFTER ADOPTION IN THE ASPEN TIMES WEEKLY ON
THE DAY OF ~- ~ ,~968: ~jp c~
BOARD OF COUNTY
OF PITHIN COUNTYa COLORADO
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APPROVED AS TO FORM: MANAGER APPROVAL
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John , ounty Attorney il r Fletcher, C mty Manager
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(FMLAWRK)
PROJECT AQC C570-O15 (17049)
REGION 3 (DAW)
Contract Routing # 09 HA3 00026
CDOT ID# 271000879
CONTRACT
THIS CONTRACT made this ~ day o Q.,~ti 2009, by and between the State of
Colorado for the use and benefit ofthe Colorado Department o ransportation hereinafter referred
to as the State, and PITKIN COLTNTY, 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 othenvise made
available and a sufficient uncommitted balance thereof remains available for payment of project and
Local Agency costs in Fund Number 400, Function 343Q 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 ll 08 of the "Transportation Equity Act far the 21 s~ Centur}~'
of 1998 (TEA-21) and/or the "Safe, Accountable, Flexible, Efficient Transportation Equity Act: A
Legacy for Users" (SAFETEA-Li~ of 2005 and to applicable provisions of TiUe 23 of the United
States Code and implementing regulations at Title 23 of the Code of Federal Regulations, as may be
amended, (collectively referred to hereinafter as the "Federal Provisions"), certain federal funds have
been and will in the future be allocated for 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 por[ions of the Federal Provisions, the State is
responsible for the general administration and supervision ofperformance ofprojects in the Program,
including the administration of federal funds for a Program proj ect performed by a I.ocal Agency under
a contract with the State.
5. The I,ocal Agency has requested that a certain local transportation project be funded as part of the
Program, and by the date of execution of this contract, the I,ocal 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 L,ocal Agency further
understands that, befare the Work begins, the form #463 may be revised as a result of design changes
made by CDOT, in coordination with the L,ocal Agency, in its intemal 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-O15 (17049), which shall
consist of the Purchase of one (1) Street Sweeper, referred to as the "ProjecY' 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 % I.ocal 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 bome 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 Local Agency has estimated the total cost ofthe Work and is prepared to provide its match shaze
ofthe cost, as evidenced by an appropriate ordinance/resolurion or other authority letter which expressly
authorizes the Local Agency the authority to enter into this contract and to expend its match shaze ofthe
Work. A copy of such ordinance/resolution or authority letter is attached hereto as E~ibit B.
10. This contract is executed under the authorityof §§ 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 Wotk.
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 secrion 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 Modificarion Tools)
8. Other Exhibits in descending order of their attachment.
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Section 3. Term
This conuact 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 I.ocal 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
shaze ofthe Work. A copy of such ordinancelresolution or authority letter is attached hereto as E~chibit B.
The funding provisions for the Project are attached hereto as Exhibit C. The Local Agency
shall provide its shaze of the funds for the Project as outlined in Exhibit C.
Section 5. Project Payment Provisions
The maximum amount payable to the Loca] Agency under this contract shall be $160,757.00.
A. The State will reimburse the L.ocal Agency for the federal-aid share of the project charges
after the State's review and approval of such chazges, 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 ihe 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 conditions of
this wntract;
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 I.ocal Agency that have the effect ofreducing 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 accnunts, or as a separate and integal
part of its cuirent accounting scheme) to assure that proj ect 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 chazged 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 detai] 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 sepazate and apart from
all other such documents.
D. Upon execution of this contract, the State is authorized, in its discretion, to perform any
necessary administrative support services pursuant to this contract. These services may be performed
prior to and in preparation for any conditions or requirements of this coniract, 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 agrees the costs of any such
services and assistance shall be paid to the State from project funds at the applicable rate. However,
in the event that such funding is not made available or is withdrawn for this contract, or if the L.ocal
Agency terminates this contract prior to project approval or completion for any reason, then all actual
incurred costs of such services and assistance pmvided by the State shall be the sole expense of the
I.ocal Agency.
E. lf 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 I.ocal Agency agrees
that, at the request of the State, the State Treasurer may withhold an equal amount
from future apportionment due the L.ocal 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 I.ocal 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, chazges for
costs incuned 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 standazdized 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.
Payments pursuant to this contract shall be made as earned, in whole or in part, from
available funds, encumbered for the purchase ofthe described services. The liability
of the State, at any time, for such payments shall be limited to the amount remaining
of such encumbered funds.
2. In the event this contract is terminated, final payment to the Local Agency may be
withheld at the discretion of the State until completion of final audit.
3. Incorrect payments to the Local Agency due to omission, error, fraud or defalcation
shall be recovered from the I.ocal 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 incurted 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 applicableJ
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 award of the construction
contract except by agreement in writing between the parties. The Plans shall
be considered final when approved and accepted by the parties hereto, and
when final they shall be deemed incorporated herein.
2. ff 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 administrarion. 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 172 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 of23 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 ageement. As soon as the contract with the consultant
has been awarded by the l,ocal Agency, one copy of the executed contract shall be
submitted to the State. My 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 witt~ 23
CFR 172.5(b) and (d).
(5) It may expedite any CDOT approva] ofits procurement process and/or
consultant contract by submitting a]etter 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 1836(i) and contains the following language
verbatim:
(a) "The design work under this contract shall be comparible with
the requirements of the contract between the Local Agency and the
State (which is incorporated herein by this reference) for the
desigilconstruction 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 conshuction contractor's
shop drawings for conformance with the contract documents and
compliance with the provisions of the State's publication, Standard
Snecifications for Road and BridQe Construction, in wnnection 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 and/or 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 of contract
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 Stewazdship
Agreement, as described in the Local Agency Contract Administration Checklist.
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2. The State sha11 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 conect project conditions which are 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 (LAPE), to perform that
administration. The LAPE shall administer the project in accordance with
this contract, the requirements of the construcrion contract and applicable
State procedures.
b. If bids aze to be let for the construction of the project, it shall advertise the
ca11 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 consriuction of a federal-
aid project, the I,ocal 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 subconh~act(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 comperitive bids have
been received. The Local Agency must declare the acceptance or
rejection within 3 working days after said bids are publicly opened.
(3) By indicating its concurrence in such awazd, the I.ocal 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 W ork under this proj ect if no
additional federal-aid funds will be made available for the project.
This paragraph also applies to projects advertised and awarded by the
State.
c. If all or part of the construction work is to be accomplished by I.ocal Agency
personnel (i.e. by force account), rather than by a competirive 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 norrnally 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 provideti for in 23 CFR 635.204(c). Such
agreed unit prices shall constitute a commihnent 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 aze 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 Standazd Specifications for Road and
Brid~e 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
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 Form 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 are 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 govenunent 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 (3109
charges) activities, if any, and right of way incidentals (expenses incidental to
acquisition/relocation of right of way - 3114 chazges);
Federa3 participation in right of way acquisition (3111 chazges), relocation (3109
charges) but no participation in incidental expenses (3114 charges); or
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• No federal participation in right ofway acquisition (3111 chazges) and relocation
activities (3109 expenses).
Regardless of the option selected above, the State retains oversight responsibilities. The I.ocal
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:i/www.dot.state.co.us/ROW Manual/.
Section 8. Utilities
If necessary, the Responsible Party will be responsible for obtaining the proper clearance 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 gade 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 I.ocal Agency shall perform all Work in accordance with the requirements of the current
federal and state environmental regularions 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 L.ocal Agency's obligations to maintain such
improvements. The 5tate and FHWA will make periodic inspections of the project to verify that
such improvements aze 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 currently 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, communications,
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 oftermination ofthis
contract or final payment hereunder, whichever is later, or for such further period as nnay 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 FH W A to inspect the project and to inspect, review and audit the project
records.
Section 14. Terminarion Provisions
This contract may be terminated as follows:
A. Tern~ination for Convenience. The State may terminate this contract at any time the State
detetmines that the purposes of the distribution of moneys under the contract would no longer be
served by completion ofthe project. 'fhe State shall effect such termination by giving written norice
of termination to the Local Agency and specifying the effecrive 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 tennination is
otherwise not appropriate.
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In the eve~t 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 retum any payments advanced under the pmvisions 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 I.ocal 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 Agencywas 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 Fundine. The parties hereto expressly recognize that the Local
Agency is to be paid, reimbursed, or otherwise compensated with federal and/or State funds which
are available to the State for the purposes of contracting for the Project provided for herein, and
therefore, the Local Agency expressly understands and agrees that all its rights, demands and claims
to compensation arising under this contract are contingent upon availability of such funds to the
State. In the event that such funds or any part thereof are not available to the State, the State may
immediately terminate or amend this contract.
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 L.ocal Agency for commencement of the Work. All communications
relating to the day-to-day activities for the work shall be exchanged between representatives of the
State's Transportation Region 3 and the Local Agency. All communication, notices, and
correspondence shall be addressed to the individuals idenrified below. Either party may from time to
time designate in writing new or substitute representatives.
12 of 19 /(~
(l
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) 3~4-333Z
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 ofthis
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 other provisions 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, boards, 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 may be 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
1s
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 performance, compliance or effect beyond the termination date of the contract shall
survive such tem~ination 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. Modification 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 automaticallybe
incorporated into and be part ofthis contract on the effective date of such change as if fully set forth
herein. Except as provided above, no modification of this wntract 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
terrn due to unexpected overmatch, add a phase without increasing contract dollazs, or increase or
decrease the amount of funding. These options are limited to the speci£c scenarios listed below.
The Option Letter shall not be deemed valid until signed by the State Controller or an authorized
delegate.
Following are the applicarions 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 tertttination date of this contract, the State, upon written notice
to Contractor, may unilaterally extend this conVact for a period of up to one (1) yeaz. 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
terminate at the end ofthe one (1) year period or when the replacement contract is signed by the
Colorado State Controller or an authorized delegate.
14 of 19 ~ /
lQ
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 forrn substantially equivalent
to E~thibit 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 of any options under
this clause, shall not exceed five (5) years.
Option 2- I.evel of service chanQe within current term due to unexnected overmatch in an
overbid situation onlv. In the event the State has contracted all project funding and the Local
Agency's conshvction bid is higher than expected, this option allows for additional Local
Overmatch dollars to be provided by the L.ocal 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 I.ocal Overmatch funding.
The State may unilaterally increase the total dollars of this contract as stipulated by the executed
Option Letter (Exhibit F~, which will bring the maximuxn amount payable under this contract
to the amount indicated in Exhibit Gl 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 bv the Gocal Agencv for "Concurrence to Advertise " as evidence of the
Local Aeencv'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- O~tion to add overlanvin¢ phase without increasing 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 dollars 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 targeted
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 fundine (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 G2, 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 attache3 to the option form. The State
may exercise this option by providing a fully executed oprion to the contractor witliln thirty (30) days
after the State has received notice of funding changes, in a form substan6ally equivalent to Exhibit
F. If the State exercises this option, the contract will be considered to include this option provision.
15of19 /~f
l
Section 26. Disadvantaged Business Enterprise (DBE)
The Local Agency will comply with all requirements of Exhibit E and the Local Agency
Contract Administration Checklist regazding DBE requirements for the Work, except that if the
Local Agency desires to use its own DBE pmgam to implement and administer the DBE provisions
of 49 C~'R Part 26 under this contract, it must submit a copy of its progam's requirements to the
State for review and appmval 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 progam
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, detecminations conceming DBE eligibility
requirements and certification, adequate legal and factual bases for DBE goals and good faith efforts.
State approval (if provided) 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.
SecNon 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 ofsuch written decision,
the Local Agency mails or otherwise furnishes to the State a written appeal addressed to the
Executive Director of the Department 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 conhact in accordance with the Chief Engneer'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.
16 of 19
Section 28. Single Audit Act Amendment
All state and local govemment and non-profit organization Sub-Grantees receiving more than
$500,000 from all funding sources, that aze defined as federal financial assistance for Single Audit Act
Amendment purposes, shall comply with the audit requirements of OMB Circulu A-133 (Audits of
States, Local Govemments 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) Ifthe Sub-Grantee expends less than $500,000 in Federal funds (all federal sources, not just Highway
funds) in its fiscal yeaz then this requirement does not apply.
b) If the 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
performed. This 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 ate from
multiple sources (FTA, HUD, NPS, etc.) then the Single Audit Act applies, which is an audit on the entire
organization/entity.
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
Section 29. ~__ SPECIAL PROVISIONS
The Special Provisions apply to all conVacts except where noted in italics.
t. CONTROLLER'S APPROVAL. CRS §2430.202 (1). This wniract shall rrol be deeme0 valid until it has been approved by ihe Coloredo State ConUOller or designee.
2. FUND AVAILABILITV. CRS §21-30-202(5.5). Fnaaial obligalians of the State payable after the curtent fscal year are wntingent upon furMs for that purpose being
appropriated, budgeted, a~d otheiwlse made available.
3. INDEMNIFICAT1001. ConVaciw shall ifWemnify, save, a~ holtl hartMess 1he State, its employees and agents, agai~s[ any antl ail Uaims, damages, liabiliry antl court
awards inclutling wsis, ezpenses, antl attomey fees and relatetl cosGS, incurred as a result of any act or omission by Contractor, or its employees, agents, subcon~roctors, or
assignces pursuant b t~e lertns of ihis contrect.
(Applicable Onty to IMeigovemmental Con6acts) No term or condition of ihis contrect shall be cons[ruetl or inlerpreted as a waiver, eacpress or imDlied, of a~y of Ne
immunities, nghts, berrefits, prolectlon, or other provisions, of the Golorado Govemmental Immuniry Act, CRS §2410-701 et seq.. or itre Federal Tort Claims Acl, 28 U.S.C.
2671 et seq., as ap0liwble, as trow w hereafter ameMetl.
4. INDEPENDENT CON7RACTOR. ~ CCR 801-2. Contractor shall perform its tluties hereuntler as an indepentlent contractor arM rat as an employee. Neither cwrtractw
nor any age~l o~ employee of wnVacWr shall be or shall be deem¢d to be an agent or employee of ihe state. Contractor shall pay when due all requiretl employment taces and
income taxes antl lucel t~ead taxes on any monies paitl by the state pursuani to this coMracl. CoMractor acknowled9es [ha[ conirector anOlts employxes are rwt enUtled [o
unemployment insurance benefi~s unle5s wniractor or a ihird party provides such coverage antl ~hat ihe stale dces not pay for o~ otherwiu provide such coverage. ConVaclor
shall have rro auUarva~b4 eacp2ss or implied, ro bind the sfate to any agreement. liability or untlerslanding, except as expressly set forih hereia CoMrector shall provide and
keep in force workers' compensation (and provitle proof o( such insurerice when reque5[ed by the stete) and unemD~ent wmpensation insurance in the amou~is required 6y
law a~tl shall be sdely responsible for its acts and Uwse of its employees antl agents.
5. NON-0ISCRIMINATION. CoM2Gtor agrees w comply with the letter and the spint of all applicable Stale and fetleral laws respectlng discnminatlon arM uMair employment
pracllces.
6. CHOICE OF LAW. The lax5 0( the SWte of Colo2tlo, end N~es arM regulaGOns i55ued pursuant Ihereto, shall be apD~ied in Me interpretation, execWiOn, and eMorcement
M ihis wntracl Any provision of this coMract, whether or rrot incorporoted herein by reference, which Orovides for arbiVatlon by any e~Ara-j Wicial body oi person or which is
otherwise in coMlict with saitl laws. rules, antl regulatlons shall be consitlered null and voitl. Nothing containetl in any provision incorporated herein by refarence which puryorts
to negate this or any other special D~sion in whole or in part shall be valid or en/orceable or availaEle in any ac[ion at law, whether by way of complaint, defense. or othervnse.
Any provision rendered md~ a~ void by tlie operatio~ of ihis provision wili not invalida~e the remalMer of this wnVact to the ezlent that ihis wntract is wpable of execu6on. Al
all Umes tlunng the perfortnance of ihis contrect, Contractor shall sMCtly atlhere to all appliwble federal aM State laws, rules, and regulations iha~ have been or may hereafter
be eSfabliSM1etl.
7. SOFTW ARE PIRACY PROHIBITION. Govemor's F~cecuBve Ortler D 002 00. No SWte or other public fmMs payable untler this wntract shall be used for the
acquisi6on, operatlon, w maintenance of compu~er software in violation of federel copyn9ht laws oi applicable licensing restrictlons. CoMractor hereby cerfifies that, for ~he [erm
of this wntract and arry e~Rensions, CanVacro~ has in place appropriate systems aM controls to prevent such improper uu of public funtls. H ihe State deteimices that
Contrector is in viola6on of ihis parograph, the SWte may exercise any remetly a~ailable at law or equtty or uMer this contract, i~cluding, vritlwut limitation, immediate
termination of ihis wntreGt and any remedy wnsistent with tederel copyright laws or applicable licensing restricUOns.
8. EMPLOYEE FINANCIAL INTEREST. CRS §2418-207 and §2450-507. The signarories aver ihat ro their knaNeOge, no employee of ihe State has any personal or
beneficial interest whatscever in Ne service or Oroperty tlescribed i~ tMs contraGf.
9. PUBLIC CONTRACTS FOR SERVICES. CRS §8-17.5101. INOtApplks6M ro agieements relatlng fo tlie oRer, lssuance, asaM ofsecu(itles, investment
advisay services or7uiW management serv7ces, sponsored pro,lecK, /n(MBoremmenh/ agreemenfs, orin/wmation techndagy seMces w poducK aiM services]
Contrector ceNfies. wartants, arM agrees that it dces not knavirgly employ or coMrac[ with an illegal alien who will peAOrm work under ihis conirad aM vnll wnfirm the
employment eligihility M all emplayees who are nevAy hired tor emPbYme^t in ihe Uirted States M oeAorm work urMer M's co tracl, Mrough participa[lon in the E-VerHy
Picgram or fhe Departmen[ prop2m established pursuanl to CRS §8-17.6102(SXc), CoMractor shd~l rqt krwwingly empby or cont2cl with an illepal alien lo cerform work
untler Ihis conirad or enter inlo a wnVact vnM a subconiredor ihat tails lo certify lo CoMrector that fhe subconiraclor shall rqt knowingly employ or coniract wl~h an illegal alien
to cerform xrork under this conirect Conireclor (a) shall rwt use E•Verify Program or Depariment program procetlures W undertake pre-empbyment screenirg of job applicanis
while ihis cont2ct is being per(o~ed. (b) shall rw6(y the subconUSCror and the coniractlig Stete agency vnihin Nree days if CoMrecto~ has acWal knovAedge that a
subcontractor is employirg or wMracGrg with an illegal alie~ for work under this wntract. (c) shall terminate the wbcontract if s subconVaciw dces ~ot stop emplqring or
coMracting with ihe illega~ alien wiNin ihree days of receiving ihe notice, antl (tl) shall tomply wiM reawnable requesis made in the wurse of an investigation, unAertaken
pursuant to CRS §8-17.5-102(5), by ihe Coloredo Depariment of Labor and EmploymeM. H Cont2Gtor participates in ihe Department progrem, ConVactor shall deliver lo ~he
contacting State agency, inslitWion of higher etlucation or politlcal subdiNSion a writteR ~otarized aifmmaUon, afflrmirg Ihal ConVacto~ has ezamined the ~egal work status oi
such emDloyee, and wmply wi~h all of the oUer requiremenis of ihe DepeNnent program. H Contractor fails to wmply vnih arry requirement of this provisi0n or CRS §8-77.ri
101 et seq., the coniractlrg State agency, institution of higher education or poli0cal subdivisio~ may tertninale Nis wnVact Mr breach aM, tt so temdoated. Conttac~or shail be
liable for damages.
10. PUBUC CONTRACTS WITH NATURAL PERSONS. CRS §2476.5101. Coniractor, if a natural person eighteen (18) years o( age or older, hereby sxears
and affirms under penalry of perjury ihat he or she (a) is a dtiun or oNerMSe lawfully Dresent in ihe Untted Sta[es pursuant to fede2l law, (b) shall wmply with the
pmvisions o( CRS §2476.5701 et seq., and (c} has produced one (orm of identficatlon requi~ed 6y CRS §24-7fi.5-103 O~or to Ne atfecGve date of ihis conVxt.
ReNSed May 1J, 2008
18of19 ~/~
V
THE PARTIES HERETO HAVE EXECUTED THIS CONTRACT
LOCAL AGENCY / CONTRACTOR:
PITHIN COUNTY
Legal Name of ContractIng Entity
Zoooo~~
CDOT Vendor Number
Print Name & Title
CORPORATIONS:
(A corporate attes~
Attest (Seal)
(Corporate;
%ed Officer ^~p~
~f: , % `
~u+~r
~ 1`JL:I~~IL
Y ~ C ;t A
f Authorized Offecer
o is required.)
~
or Equivalent, or w
STATE OF COLORADO:
BIT.,L RITTER, JR. GOVERNOI2
By
Executivc Director
e~,~ Department of Transportation
U
LEGAL REVIEW:
.~OHN W. SU'THERS
ATTOTtNEY G~NERAL
%
~ (~l,G ~
BY L
Y ~7
SEAL ~
~
Clerk) (Place corporate seal here, if available)
ALL CONTRACTS MUST 13E APPROVCD $Y THE STATE CONTROLLLR
CRS 24-30-202 requires that the State Controller approve all state contracts. This conu•act is not valid un[il the StateController,
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 w the date below, die State of Colorado may not be obligated to pay Por the
goods and/or services provided.
STATE CONTROLLER:
DAY1D J. MC AERMOTT, CPA
Date l- ~ -v~
19 of 19
~l
FORM 463
or
SCOPE OF WORK
Exhibit A
1 of 19 ~ ~
EXHIBIT A
COLORADO DEPARTMENT OF TRANSPORTATION Ong.Da~e: 10/OB/2008 Project Code #(SA#): 77049 STi~#: SIN7007
DESIGN DATA Rev.Date: Project#:AQCC570-015
Revision #: 0 PE Proecl Code:
Page 1 to 3 Regian q: 03
Projed Deunplion: CMAQ FY 08 Pi&in COUnty-S~feet
Status: ~ Preliminary ^ Final ^ Revised Sweeper
Counry:
SubmitteG By PM: ROGERSM Apprwed by Program Engineer
Date: Munid ali : A5 en
System Coae: Z-Not on an Federal-Aid Hi hwa
Revisetl Dy: Oversi ht B: A-Exem t
Date: PlanneA Le [h: 0.000
Geographic location: PITKIN COUNN CMAQ PM -10 SWEEPING
T e of 7errain: Mounlainous
Description of Proposetl Construction/Improvement(Attach map showing site location)
PU RCHASE OF A STREET SW EEPER
Project CharecteNstlcS (ProOOSed) Metlian (Type): ^ Depressed ^ Pain~eG ^ Raisetl ^ None
Li htin Handicap Ramps Treffc Contml S i nals ^ SUipin
^ Curb and Gutter ^ CuN Onl ^ LeibTUm Sbts ^ Continuous Witlih=
SidwalkWiGth= eikewa WiGth= Ri h4TumSlots Continuous Widih=
^ Parki Lane Witlth= ^ Detours Si nin ^ Construction ^ Permanent
^ Landscapirg requirements (tlescnption): ^ Other (description):
R(ght of Way Yes/NO Est. # Utilitles (list names of known utility wmpanies)
ROW 8/or Pertn. Easemenl Required No
Relocation Required No
Temporary Easemanl Requiretl: No
Changes in Access: No
Changes to ConnecUng RoaGS: No
RallrOad Cmssings u of Crossings:
Recommendations
EnvlronmenWl Type: Appmved On: Project CoCe N Cleared Under: Project # Cleared UnAer
None / /
Commenls:
Coordination
^ WRhtlrawn Lantls (POwar Sites, Reservoiro, Etc.) qearetl ihrough BLM or Forest Service OKce Irrigation Dihh Name:
^ New Treffic OrOinance Requiretl ^ Motllfy Schetlule ot Ezisting OrUinance Muncipaliry: Aspen
O~her:
Conslfuttlon Melhod AdveNiseA By: NoAtl Reason: Entiry / Agen~y Contac~ Name: P~one #:
Local
Safety Consltlarations Projed Undec Guardreil mee4s wrtent stantlards: No
^ Vanance in Minimum Design Slandartls Required ^ Safety projeM not all s~antlards Commenis:
^ Jus~cation AtlacheC ^ Requesl lo be Submitte adOfessed
Bntl e see Item 12 See Remarks
^ Sta e ConsWCtion explain in remarks)
3R projecls
Safe Evaiualion Com lete dale :
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E~CHIBIT A
Page 3 of 3 Project Coda #($A#):
17049 Project N:
AQC C570-015 Revise Dale:
MeJor StruCtureS S= to stay, R= to be removed, P= proposed new slruaure
SlrucWrelD#
Len Ih Reference
Point
FeaNrelntersecletl Stantlard
Widih SlrucWre
Roatlwa Strudural
Capacity Honzontal
Clearance Vertical
Clearance Year
Bwlt
Proposed Treament of Bntlges to Remain in Place(adtlress brid9e rail, capaciry, antl allowable suRacing l~ickness):
Remarks
~ ~
LOCAL AGENCY
ORDINANCE
or
RESOLUTION
Exhibit B
~~
A RESOLUTION OF THE BOARD OF COUNTY COMNIISSIONERS
OF PITHIN COUNTY, COLORADO AUTHORIZING THE BOAIiD
TO ENTER INTO AN INTERGOVERNMENTAL AGREEMENT WITH
COLORADO DEPARTMENT OF TRANSPORTATION (CDOT) FOR THE
FUNDING FOR PURCAASE OF A STREET SWEEPER UTILIZING
CONGESTION MITIGATION AND AITi QUAILITY (CMAQ) GRANT MONEY
Resolution No. [~O -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 entex into an agreement regazding the funding
for the project known as street sweeper procurement.
3. Funds approved by Colorado Department of Transportation aze now auailable 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 che~k from a growth
management quota system application in the amount of $35,000 for the purchase
of the street sweeper.
4. The Boazd of County Commissioners has determined that it is in the best interest
of the citizens of Pitkin County to enter into this Intergovernmental Agreement.
5. The terms of the agreement aze set forth in the CDOT Contract identified as#09
HA3 00026, and is in the County Clerk and Recorders office For signature by the
Chairperson of the Board of County Commissioners.
6. Pitkin County is authorized to enter into this IGA pursuant to the provisions of
C.R.5. §29-1-203 and §43-2-144.
NOW THEREFORE, BE IT RESOLVED, by the Board of County
Cbmmissioners that is dces hereby approve the Intergovernmental Agreement between
CDOT and Pitkin County and the Chair (or Chair's designee) is authorized to execute the
contract identified as CDOT Contract #09 HA3 00026.
INTRODUCED, FIRST READ AND SET FOR PUBLIC HEARING ON
THE 3rd DAY OF DECEM$ER 2008.
NOTICE OF PU~LIC HEARING PUBLISHED IN THE ASPEN TIMES
WEEKLY ON THE ~~`~'r DAY OF NOVEMBER 2008.
PUBLIC HEARING AND SECOND READING ON THE 17th DAY OF
DECE1~iIBER 2008.
~~
~~c ~: /3o-aao~
PUBLISHED AFTER ADOPTION IN THE ASPEN TIMES WEEKLY ON
THE DAY OF ~- ~ .~@9B: ~ p p Q
BOARD OF COUNTY
OF PITHIN COUNTY COLORADO
~ `
Hat£eld,~ hairman
Date: l~ / ~J
APPROVED AS TO FORM:
MANAGER APPROVAL
~ ~ ~
John unty Attorney Hil~fi Fletcher, C inty Manager
~ V
A. The I.ocal 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 CMAQ 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. Federat 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 a160,757.00
FOR CDOT ENCUMBRANCE PURPOSES
Total Encumbrance Amount
($160,757 divlded by 82.79%) $194,174.00
Local Overmatch $30,826.00
Net to be encumbered as follows:
CMAQ Bud et 1c $194,174.00
Local Agency Overmatch $ 30,826.00
WBS Element 16815.10.50 Misc. 3430 ;Z25,oo0.00
Exhibit C- Page 1 of 2
~~
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 aze bome by the Local Agency at ] 00%. If the
total participating cost of performance of the Work exceeds $194,174.00, and additional
federal funds aze 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 ttte 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 I.ocal Agency under this conuact shall be $160,757,00
(For CDOT accounting purposes, the federal funds of $160,757.00, L.ocal 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 incurred. It is
undetstood 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 awazd.
D. The parties hereto agree that this contract is contingent upon all funds designated for the
project herein being made available from federal and/or state and/or Local Agency sources,
as applicable. Should these sources, either federal or Local Agency, fail to provide necessary
funds as agreed upon herein, the contract may be terminated by either party, provided that
any party terminating its interest and obligations herein shall not be relieved of any
obligations which existed prior to the effective date of such termination or which may occur
as a result of such termination.
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 ageement, and the extension, continuation, renewal, amendment, or modification of any
Federa] contract, gant, loan, or cooperative agreement.
2. If any funds other than Federal appropriated funds have been paid or will be paid to any
person for influencing or attempting to influence an officer or of Congress, or an employee of a
Member of Congress in connection with this Federal contract, grant, loan, or cooperative agreement,
the undersigned shall complete and submit Standard Form-LLL, "Disclosure Form to Report
I,obbying," 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 ofthis certification be included in all lower tier subcontracts, which excced
$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. Policv
It is the policy of the Colorado Department of Transportation (CDOT) that disadvantaged business
enterprises shall have the ma~cimum 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 Depar[ment of Transportation
DBE Program (or a I.ocal Agency DBE Program approved in advance by the State) apply to this
agreement.
SECTION 2. DBE Obligation.
1'he 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 maacimum
opportunity to participate in the performance of contracts and subwntracts financed in whole or in
part with Federal funds provided under this ageement. 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 awazd
and performance of CDOT assisted contracts.
SECTION 3 DBE Proaram.
The contractor (sub-recipient) shall be responsible for obtaining the Disadvantaged Business
Enterprise Program of the Colorado Deparhnent 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 TranspoRarion
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: This option is limited to Me speGfic contract scenarios listed below AND rannot be used in place of exercising a/wmal
amendment.
f Date: State Fiscal Year: Option Letter No. CLIN Routing #
~
Contractor / Local Agency :
A. SUBJECT: (Choose applicable options listed belowAND 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, Environmentai, 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:
flnsert the followinsa lanaua~e for use with Options #1):
In accordance with Paragraph(s) of contract routing number (insert FY. Aaencv 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 nerformance period here) at a cost/price
spec~ed in Paragraph/Section/Provision of the original contract, AND/OR an increase in
the amount of goods/services at the same rate(s) as specified in Paragraph of the
original contract.
(Insert the followinst lanpuage for use with Option #21:
In accordance with the terms of the original contract (insert FY. Aaency code & CLIN routina #) between the
State of Colorado, Department of Transportation and (insert cont~actor'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 followinsa lanauaae for use with Option #31:
In accorda~ce with the terms of the original contract (insert FY. Apencv code & CLIN routinp #) 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 (descri6e
incidentals or Miscellaneous). Total funds for this contract remain the same (indicate tota/ dollars here) as
referenced in Paragraph/Section/Provision/Exhibit of the original contract.
(Insert the followins~ lanauaae for use with Option #41:
In accordance with the terms of the original contract (insert FY. Aaencv code & CLIN routinp #)
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 dollars here) spec~ed in
Paragraph/-Section/-Provision/Exhibit of the original contract. A new
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.)
Exhibit F- Page 1 of 2 ~~
Exhibit F
~he followina lanauaae must be included on all ootionsl:
The amount of the current Fiscal Year contract value is (increased/decrease~ by ($ amount of chanqei 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
modified accordingly.
The total contract value to include all previous amendments, option letters, etc. is ($ 1.
The effective date of this Option Letter is upon approval of the State Controller or delegate, whichever is
later.
APPROVALS:
For the Contractor / Local Aaencv :
Legal Name of Contractor / Local Agency
By:
Print Name of Authorized Individuai
Signature:
Date:
Title: Official Title of Authorized Individual
State of Colorado:
Bili Ritter, Jr., Governor
gy: Date:
Executive Director, Colorado Department of Transportation
ALL CONTRACTS MUST BE APPROVED BY THE STATE CONTROLLER
CRS §24-30-202 requires the State Controller to approve all State Contracts. This Contreet is not
valid until signed and dated below by the State Controller or delegate. Contrector is not authorized
to begin performance until such time. If Contractor begins performing prior thereto, the State of
Colorado is not obligated to pay Contrector for such performance or for any goods and/or
services provided hereunder.
State Controller
David J. McDermott, CPA
By:
Date:
Issuance date: July 1, 2006
Exhibit F- Page 2 of 2
3 `~
LOCAL AGENCY
CONTRACT ADMINISTRATION
CHECKLIST
Exhibit G- Page 1 of 1
Exhibit G
35
~XH i BIT C
COLORADO DEPARTMENT OF TRANSPORTATION
LOCAL AGENCY CONTRACT ADMINlSTRATION CHECKLIST
Projed No. STIP No. Project Code Region
AQC C574015
SIN7007 17049 , 3
Project Location Date
--
Pftkin Caunty __ _._
10-0$-2008
- --._..._
_
Projed Description -
Pitkin County CMAQ Street Sweeper
-----------,-...__
Local Agency ~~- _
Locai Agency Projec[ Manager
Pitkin County __ Geraid Fieldinq
COOT Residenl Engineer __ _ _ __
CDOT Project Manager
Pete Mertes
-- Mark Rogers/8arry Anderse~
_`__......_ _....__
iPIS7RUCT10NS:
This checklist shali be utiiized to estabiish the contract administration responsibi4ities of Ehe individuai parties to this agreement.
The checklist becomes an atlachment to the Local Agency agreement. Section numbers correspond to the applicable chapters
of the CDOT Loca/ Agency Manuaf.
The checklist shall be prepared by placing an "X" under the responsible party, opposite each of the fasks. The "X° denotes [he
i
party responsible for initiating and executing the task. ONy one responsible pariy should be sel~cted. When neither CDOT ~or
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 responsibifiry 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 contrac( adminislrafion responsibilities change, the
CDOT Resident En ineer, in coo eraGon with the Locai Agency Project Manager will prepare and distribute a revised checklist.
NO. _._-..... __---- ..... _._....
DE5CRIPTION OF TASK
-- ---
RESPONSIBL ~E
PARTY I
LA CDOT I
- -........--- ----.. ._.. _ _ .. . .__ ...
TIP / STlP AND ~ONG-F2ANGE PLANS
2.1 Review Pro"ect to ensure it is consist with STIP and amendmenis thereto x
---..____... ----
F ERAL FUNDING OBLlGATION AND AU7HORIZATION
4.1 AuthOt'iZC fUnding by phases (CDOT Fortn 418 - Federel-aid Progtam~Data. Requues FHWA ~
wncurre nce/invoivement X
- _.__..._.
PROJECT dEVELOPMENT
_____
5.1 _. ....___ _ . ____
Pre re Design Data - CDOT Form 463 --
X
5.2 Prepare Local AgencylCDOT tnter-Governme~tal Agreement (see also Cha ter 3_ ~ X
5.3 Conduct Consultant SelectiorilExecute Consultant A reement N/A
5.4 Co~duct Desi n Sco in Review Meetin NlA
5.5 Conduct Public Invoivement N/A
5.6
- Conduct Field Inspection Review (FIR)
- N/A
5J _........_
Conduct Environmental Processes (may require FFiWA concurrence/involvement
.~
X
R
5.8
------
AcqUire_Ri~hi-of-Way (may require FHWA concurrencelinvolvemeny
----- ~
NlA ._._.. - --....._.
5.9 __...___._......--- -....__----.._.
Obtain Utilit and Railroad A reements __
N/A
5.10 Condud Final Office Review (FOR) T X
5-11 Jusli Force Account Work b the Local A enc ~ N/A
5.12 Justi Pro rieta , Sole Source, or Local A e~c Fumished Items X
5.13 Document Desi n Exce tions - CDOT Farm 464 MJp
5.14 Pre are Plans, S ecfications and Consiruction Cost Estimates X
5.15 Ensure Authorization ot Funds for Construction ~ X
CDOT Form 1243 09/OB Paget of 4
Previous editions are obsoleta and may not ba used `
3°
~XHIBIT C~
RESPONSIBLE
NO. dESCRIPTIQN OF TASK PAR1Y
LA CDOT
PROJECT DEVELOPMENT CIVIL RIGHTS AND LABOR COMPLIANCE '
fi.i Set Underutilized Oisadvantaged Business Entetprise (UBDE) Goals for Consultant and N/A
Construction Contracts CDOT R ion EEOlCivil R- hts S ecfalist
6.2 Determine Applicability of Davis-Bacon Act X
This pro}ect ~ is ^ is not exempt from Davis-Bacon requirements as determined by the
functional classi~cation of the project location (Projects located on locat roads and rural ~
minorcollectors may be exempt.) !i
CDOT Resident En ineer Si nature on File (]ate ~
6.3 ^ Sef On-the-Job Training Goals. Goal is zero if total construction is less than $1 million (COOT ~j ~"'~-
Re ion EEOICivil Ri Ms S ecialist
6.4 Title VI Assurances ~~A
Ensure the corred Federal Wage Decision, all required Disadvantaged Business
'' "` EnterpriselOn-tbe-Job Training special provisions and FHWA Form 1273 are included in the
'~ COnirBCt (CDOT Resident E ineer ___ __ ____ X
ADVERTISE BI~ AND AWARD
7.1 Obtain A roval for Advertisement Period of Less Than Three Weeks X
72 Advertise for Bids X
7.3 DisVibute "AdveAisement SeP' of Plans and S ecifications X
7.4 Review Worksite and Pian Details with ProspeGive Bidders While Project Is Under N!A
Advertisement
-
-
--
--- _... .........
7.5 -- ---
-
O en 8ids
- -- ._.....--- _ ___- X
7.6 Process 6ids (or Com liance
- ----
- -
--
- --
-
Check GDOT Form ~15 - Certificate of Praposed Underutilized DBE ParticipaGon when the
! low bidder meets UDBE ~oals ___ _._____ iY /~ iif'
Evaluate CDOT Form 718 - Underutilized DBE Good Faith Effort Documentation and
determine if the Contractor has made a good faith effort when the low bidder does not meet ~~ '~X`
' DBE oals
' Submit re uired documentation for CDOT award concurrence X
7J Concurrence from CDOT to Award X
7.8 A rove Re'ection of Low Bidder
22 ~
~ X
~
7.9 ~ _.._
__
Award Contract X
' 7.10 Provide "Award" and "Record" Sets of Plans and S ecifications X__ _ __
CONSTRUCTION MANAGEMENT
8.t Issue Noiice to Proceed to the Contractor X
8.2 Pro ect Safet X
8.3 Conduct Conferences:
-- - - --
Pre-Construction Conference A endiz B
~ N!A
~ ~-~* Pre-survey
~ ~: . Construction staking N!A
~*`,p~~ • Monumentation N/A
.„;tis~,P~~, '~ Partnerin O tional
^ N/A
~: ~~ = SWctural Concrete Pre-Pour enda is in CDOT ConstruUion Mam~a!) N/A
- '~~' Concrete Pavement Pre-Pavin~_~Ayenda is 1~ CDOi'Consm~ctiw~ Manuei) _ N/A I
,ks,.~~ °~; HMA Pre-Pavin A enda is in CDOT Conslrucfion Manuel NIA
8.4 Develo and distribute Public Notice of Planned Construction to media and local residents N!A
8.5 Su ervise Construction ~
A Professionai Engineer (PE) registered in Colorado, who vnil be 'in responsible charge of
` construction supervision.'
Local Agency Protessional Engineer or Phone number NJA i
` CDOT Resident Engineer
CDOT Form 1243 ~9I0fi Page2 of 4
Previous editions are obsolete and may not 6e used ~~
EXHIB~T G
RESPONSIBLE 'i
NO. DESCRIPTION OF TASK PARTY I
LA COOT
. Provide competent, experienced staff who will ensure lhe Contract work is constructed in
acwrdaoce with Ihe lans and s ecifications N/A
Construction ins ection and documentation N/A
8.6 A rove Sho Orawin s N/A '
8.7 Per(onn TraNic Control Ins ections N(A
8.8 Per(orm Construction Surve ' N/A
8.9 Monumenl Ri ht-of-Wa NiA '
8.10 Prepare and Approve Interim and Finai Contractor Pay Estimates X
Provide the name and phone number of the person authorized for this lask.
G.R. Fieldinq 970.920-52Q§_,
Local A en~Representative Pho~e number
8.11 Prepare and Approve interim and Final Utility and Railroad Billings N/A
8.12 Pre are local A enc Reimbursement R uests ~T X
8.13 Pre are and Authonze Chan e Orders X
8.14 A rove All Chan e Orders X
8.15 Monftor Pro'ect Financial Status X
8.16 Pre are and Submit Monthl Pro ress Re orts N/A
8.17 Resolve ConVactor Claims and Qis utes X
8.18 Condud Routine a~d Random Projeci Reviews ~
Provide the name and phone number of fhe person responsible for this task. X i
Pete prtes $70-683-3330 i
CDOT Resident En ineer Phone numbet
MATERIAL.S
9.1 Conduct Maierials Pre-Construction Meetinq. ___ _ NIA
92 Complete CDOT Form 250 - Materials Documentatio~ Record
• Generate form, which includes determining the minimum number of required tests and N/A
applicable matenal submittais for all materiais placed on the project
• Update the form as work progresses NtA
• Com lete and distribute form aRer work is com leted
N/A ~
9.3 Perform Pro ect Acce lance Sam les and Tests N/A
9.4 Perform Laborato Verifrcation Tests
~ N/A
8.5 Accept Manufactured Producls N/A
Inspection of structurai components:
•~abrication of structural steel and pre-stressed wncrete sUuctural components N/A
• Bridge modular expansion devices (0" to 6" or greater) N/A
__ ... . • Fabrication of bearin devices
- N/A
9 6
rove Sources of Materials
NIA ~ __.. __...
97 --------- --- - ---
Independent Assurance Testing (IAT), Lacal Agency Procedures ~ CDOT Procedures [J ---
• Generate IAT s~hedule NlA
• Schedule and provide notification N!A
+ ConduG IAT N/A
9.8 Approve mix designs
• Concrete N/A
• Hot mix as halt N/A
9.9 Check Final Materials Documentation N)q ~^
9.10 Com lele and Distribute Final Materiais Oocumentatio~ N/A
CDOT Form 1243 09l06 Page3 of 4
PrevEous etlitlons are obsolete and may not be used ~
3
EXHIBIT C~
CONSTRUCTIdN CIVlL RIGHTS AND LABOR GOMPLIANCE __
10.1 Fultil Pro ect Bulletin Board and Pre-Construc[ion Packet Requirements _ N/A __ _
10.2 Process CDOT Form 205 - Sublet Permit Appliption
Review and sign completed CDOT Form 205 for each subcontractor, and submit to
EEO/Civil Righis Speciaiist
N/A
~
I 10.3
i Conduct Equal Empioyment Opportunity and Labor Compliance Verification Employee
Interviews. Complete CDOT Form 280 N/A ,
__ _J
10.4
' Monitor Disadvantaged Business Enterprise Participation to Ensure Compliance with the
"Commerciaily Useful Function" Requirements N/A '
~
t0.5 Conduct Interviews When Project Utilizes On-the-Job Trainees. Complste CDOT Form 200-
OJT l'raining Questionnaire N/A
10 6 Check Ceflifi0d Pa folls Contact the Re ion EEOlCivil Rights Speaalists for training requirements.j
~--._~__._ W/A
---._..
~10_7 __. Submit FHWA Form 1391 - Highway Construciion Contractor's Mnual EEO R~ort N/A
i -- _ - --
~ FINALS
. _ ~ _ _....__----- -__.
11 1 Conduct Final Project Inspection. Complete and submil CDOT Form 1212 - Final ~ X
ACCeptanCe R2pOIt (Reside~t Engineer with mandatory Local Agency padicipation.) _.___.._. ..~.
~- ---____
-----
11.2 Write Final Pro'ect Acce tance ~etter _-_--- --___ __._._____. X
11.3 Rdvertise for Final Settlement
_ ~ ......... ........------.._.__.. x
_°-....
11 d Pre are and Distribute Final As-Constructed Plans
---___ NIA
_..__
11.5 Pre are EEO Cerdfication
---- -------- N1A
---....__.~._.._
~ 1.6 __.
Check Finai Quantifies, Plans, and Pay Estimate; Check Project Documentation; and submit
Final Certifications
^ X
11.7 Check Material Documentation and Acce t Final Material CertitiraGon See Cha ter 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 Contracror
- N/A
11.10 ---
Com ete and Submit CDOT Form 1212 - Final Acce tance Re ort b CDOT) ........................................ ......__ X
t 1.11 Process Final Pa ment X
~_._...
11.12 - --__
Complete and Submil CDOT Form 950 - Projecf Closure _ X
11.13 __ __
Retain Pro ect Records for Six Years from Date of Pr~ect Closure X
11.14 i Retain Final Version of Local Agency Contract Administration Checklist ___ __ X X
cc CDOT Resident E~gineerlProject Manager
CDOT Region Program Engineer
CDOT Region EEO/Civii Rights Specialist
CDOT Region Materials Engineer
CDOT Contracts and Market Analysis Branch
Local Agency Project Manager
CDOT For[n 1243 09/06 Page4 of 4
Previous editlons are obsolete and may not 6e used
3q
Ezhibit H
THE LOCAL AGENCY SHALL USE THESE PROCED[JRES TO IMPLEMENT FEDERAL-AID
PROJECT AGREEMENTS WITH PROFESSIONAL CONSULTANT SERVICES
TiNe 23 Code of Federal Regulations (CFR) 172 applies to a federally funded local agency project agreement
administered by CDOT tha[ involves professional consultant services. 23 CFR 172.1 states "The policies and procedures
involve federally funded contracts for engineering and design related services for projecu subject to the provisions of 23
U.S.C. 112(a) and are 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 cosP' and according to 23 CFR
172.5 "Price shall not be used as a factor in the analysis and selection phase " Therefore, locai agencies must comply wi[h
these CFR requirements when obtaiciing professional consultant services under a federally funded consultant contract
administered by CDOT.
CDOT has fomwlated its procedures in Procedural Directive (P.D.) 400.1 and the related operations guidebook titled
"Obtaining Professional Consultarit Services". This duective and guidebook incorporate requirements from both Federal
and State regulations, i.e., 23 CFR 172 and Colondo Revised Statute (C.R.S J 24-30-1401 et seq. Copies ofthe d'uective
and the guidebook may be obtained upon request from CDOT's Agreemenu and Consultant Management Unit. [Local
agencies should have theu own written procedwes on file for each method ofprocurement that addresses the items in 23
CFR 172].
Because the procedures and laws described in the Procedwal Direcdve and the guidebook aze 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 ] 72. 1'he steps aze:
1. The contracting local agency shall document the need for obtaining professional services.
2. Prior ro solicitation for consultant services, the contracting local agency shall develop a detailed scope of work
and a list of evaluation factors and their relative importance. The evaluation factors are those idendfied in C.R.S.
24-30-1403. Also, a detailed cost estimate should be prepared for use during negotiations.
3. The contracting agency must advertise for contracts in confomuty with the requirements of C.R.S. 24-30-1405.
The public notice period, when such notice is required, is a uunimum of 15 days prior to the selection of the tluee
most qualified firms and the advertising should be done in one or more daily newspapers of general circula[ion.
4. The request for consultant services should include the scope of work, the evaluation factors and their relative
importance, the method of payment, and the goal of ten percent (10%) for Disadvantaged Business Enterprise
(DBE) participation as a minimum for the project.
5. The analysis and seleclion of the consultan[s should be done in accordance with C.R.S. 24-30-1403. This section
of the regulation identifies Ihe criteria to be used in the evaluation of CDOT pre-qualified prime consultants and
their team. It also shows which criteria aze used to shoR-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 fiunish professional services.
d. Anticipated design concepts, and
e. Alternative methods of approach for furnishing the professional services.
Evaluation factors for fmal selection aze the consullanPs:
a. Abilipes of their personnel,
b. Past performance,
E~chibit H- Page 1 of 2 y~
Exhibit H
c. Willingness io meei the time and budget requirement,
d. Location,
e. Current and projected work load,
f. Volume of previously awarded contracts, and
g. Involvement of minority consu(tants,
6. Once a consultant is selected, the ]ocal agency enters into negotiations with the consultant to obtain a fair and
reasonable price for the anticipated work. Pre-negotiation audiu are prepazed for contracts eacpected to be greater
than $50,000. Federal reimbursement for cosu are limited to those costs allowable under the cost principles of48
CFR 3]. Fixed fees (profit) aze deteanined with consideration given to size, complexity, duration, and degree of
risk involved in [he work. Profit is in the rattge of six (6) to fifteen (15) percent of the total direct and induect
costs.
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 ihe terms, conditions, and specifications of the contract At the
end of project, the local agency prapazes a perfoanance 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 fluee (3) years from the date that the local agency submits its final
expenditure report. Records of projects under li[igation shall be kept a[ leas[ three (3) years after the case has
been settled.
The C.R.S. 24-30-1401 Hvough 24-30-1408, 23 CFA Part 172, and P.D. 400.1, provide additional details for complying
with the eigttt (8) steps just discussed.
Exhibit H- Page 2 of 2 ' 1`
FHWA Form 1273
REQUIRED CONTRACT PROVISIONS
FEDERAL-AID CONSTRUCTION CONTRACTS
I. General .....................................................................
11. Nondiscrimination .....................................................
IIi. Non-segregatedFacilities ........................................
IV. PaymentofPredetertninedMinimumWage............
V. Statements and Payrotis ..........................................
VI. Record of Materials, Supplies, and Labor ...............
VII. Sublelting or Assigning the Contract .......................
VIII. Safety: AccidentPrevention ....................................
IX. Falu SNatements Concerning Highway Projects ....
X. Implementation of Clean Air Act and Federal
Water Po llutlon Control Act ......................................................
XI. Certifiwtion Regarding Debarment, Suspension,
Ineligibilily, and Voluntary ExGusion .........................................
XII. Certificadon Regarding Use of Contract Funds for
Lobbying . ....................................................................................
ATTACHMENTS
A. Employment Preference for Appalachian Contracts
(InGuded in Appalachian contracts only)
I. GENERAL
1. These contract provisions shall apply to all work performed
on the contract by the contractor's own organization and with the
assistance of workers under ~he contractors immediate supenn-
tendence and to all work performed on the contrad by piecework,
stadon work, or by subcontrad.
2. Except as otherwise provided for in each seclion, the
contractor shall insert in each subconVad all of the stlpuladons
confained in ihese Required Contract Provisions, and furiher
require iheir inclusion in any lower Ger subcontract or purchase
order that may in tum be made. The Required ConVact Provi-
sions shall not be incorporated by reference in any case. The
prime contractor shall be responsible for compliance by any
subcontractor or lower tier subcontractor with ihese Required
ConVact Provisions.
3. A breach of any of the stipulations confained in ihese
Required ConVact Provisions shall be sufficient grounds for
tertnination of Me conVact.
4. A breach of the following clauses of ihe Required Contract
Provisions may also be grounds for debartnent as provided in 29
CFR 5.12:
Section I, paragraph 2;
Sec6on IV, paregrephs 1, 2, 3, 4, and 7;
SecUon V, paragrephs 1 and 2a through 2g.
5. Disputes arising out of the labor standards provisions of
Section IV (except paragreph 5) and Sectlon V of fhese Required
ConVact Provisions shall not be subject to the generai disputes
Gause of this contract. Such disputes shall be resolved in accor-
da~ce with fhe procedures of the U.S. Department of Labor (DOL)
as set forth in 29 CFR 5, 6, and 7. Disputes within ihe meaning of
ihis Gause indude disputes belween the conVactor (or any of its
subconVactors) and the contracUng agency, fhe DOL, or the
contractofs employees or their representatives.
Exhibit I
FNWA-12]3 ElecVmic version - Memh 10. 1990
1 6. Selection of Labor: During the performance of this con-
~ tract, the contracror shall not:
3
3 a. discriminate against labor 6om any other State, posses-
6 sion, or teiritory of the United States (except for employment
6 preference for Appalachian contracts, when applicable, as
7 specified in Attachment A), or
7
7 b. employ convict labor for any purpose within ihe limits of
the project unless it is labor performed by convicts who are on
8 parole, supervised release, or probaUon.
8 II. NONDISCRIMINATION
(Applicable to all Federal-aid consWCtion conVacts and to all
related subconVacGs of $10,000 or more.)
1. Equal Employment Opportunity: Equal employment
opportunity (EEO) requirements nol to discriminate and to take
affirmative acdon to assure equal opportunity as set forth under
laws, executive orders, rules, regulations (28 CFR 35, 29 CFR
1630 and 41 CFR 60) and orders of the Secretary of Labor as
modified by the provisions prescnbed herein, and imposed
pursuant M 23 U.S.C. 140 shall constilute the EEO and specific
affirmative actlon shandards for the contractor's project ac6vities
underfhiscontract. TheEqualOpportuniryConsWCtlonContract
Specifications set forth under 41 CFR 60-4.3 and ihe provisions of
the American Disabilities Act of 1990 (42 U.S.C. 12101 et seg.)
set forth under 28 CFR 35 and 29 CFR 1630 are incorporated by
reference in this contract. In the execution of Mis contract, the
contractor agrees to comply with the following minimum specific
requirement activides of EEO:
a. The contractor will work with the State highway agency
(SHA) and ihe Federal Govemment in wrtying out EEO obliga-
tions and in Meir review of his/her activities under the contract.
b. The contractor will accept as his operatlng policy fhe
following statement
"It is the policy of this Company to assure that applicants are
employed, and that empioyees are treated during employ-
ment, withoul regard to their race, religion, sex, color,
national origin, age or diubility. Such acUon shall inGude:
employment, upgrading, demotion, or transfer; revui6nent or
recruiVnent advertising; layoff or termination; rates of pay or
other forms of compensation; and selection for Vaining,
inGuding apprenGceship, pre-apprenticeship, and/or
on-the-job Uaining'
2. EEO Officer: The contractor will designate and make
known to the SHA contracting officere an EEO OFficer who will
have the responsibiliry for and must be capable of effectively
administering and promoting an active conUactorprogram of EEO
and who must be assigned adequate authonty and responsibility
to do so.
3. Dissemination of Policy: All members of the contractor's
shaff who are authorized to hire, supervise, promote, and
discha~ge employees, orwho recommend such action, orwho are
substantially involved in such acfion, will be made fully cognizant
Exhibit I- Pagel of 9
y~
of, and will implement, ihe contracrors EEOpolicyand contractual
responsibilides to provide EEO in each grade and da55ifiqtionof
employment. Toensurethatiheaboveagreementwillbemel,the
following actions will be haken as a minimum:
a. Periodic meedngs of supervisory and personnel office
employees witl be conduded before the s1aA of work and Men not
less oken than once every six months, at which time the contracb
or's EEO policy and its implementation will be reviewed and
erzplained. The meetings will be conducted by the EEO Officer.
b. Aii new supervisory or personnel office employees will be
given a thorough indoctrination by fhe EEO Officer, covering all
majm aspects of tlie contractors EEO obllgaGons within thirty
days following their reporting for dury with the wntractor.
c. All personnel who are engaged in direct recruiMent for
Me projectwill be insWded bythe EEO Officer in the contractor's
procedures for locadng and hiring minority group employees.
d. Notices and posters setting forth the conVactors EEO
policy will be placed in areas readily accessible to employees.
applicants fw empbyment arW potential employees.
e_ The contracto(s EEO policy and the procedures W
implement such policy will be brought to the aHention of employ-
ees by means of ineetings, employee handbooks, or other
appropriate means.
4. RecruitmeM: WhenadverGsingforemployees,riiecontrac-
tor will inGude in all advertisements for employees the notadon:
"An Equal Opportuniry Employer." All such advertisements will be
placed in publications having a large circuladon among minoriry
groups in the area from which the project work force would
nortnally be derived.
a. The contractor will, unless precluded by a valid bargain-
ing agreement, conductsystematic and direct recruitrnenttlirough
public and privafe employee referral sources likely to ~eld
qualifiedminorirygroupapplicants. Tomeetthisrequirement,the
contrador will idenfify sources of potential minoriry group
employees, and establish with such identlfied sources procedures
whereby minority group appiiwnts may be referred to the
contractor for employment consideration.
b. In the evenithe contractor has a valid bargaining agree-
ment providing forexGusive hiring hall refertals, he is expected to
observe the provisions of that agreemant W Me extent that fhe
system pertnits the conVaclor's compliance with EEO conVac[
provisions. (The DOL has held thatwhere implementaUOn of such
agreements have the effect of discriminating against minoriGes or
xromen, or obligates llie contraclor M do the same, such
implementation violates Executive Order 11246, as amended.)
c. The contrador will encourage his present employees to
refer minoriry group applicants for employment. InformaGOn and
procedures wifh regard to referring minority group applicanis will
be discussed with employees.
5. Personnel Aetions: Wages, working conditions, and
employee benefils shall be established and administered, and
personnel aetions of every iype, induding hiring, upgrading,
promotion, transfer, demotion, laynff, and termination, shall bs
qken without regard to race, cobr, religion, sex, national origln.
age or disabiliry. The following procedures shall be followed:
a. The contractor will conduct periodic inspections of project
sites M insure that working conditions and employee facilities do
not indicate discriminalory treatment o( project site personnel.
b. The co~tractor will periodically evaluate Me spread of
wages paid within each Gassification to detertnine any evidence of
discriminatory wage practices.
Exhibit I
a The contractor wil{ periodically review selected personnel
actions in deptli to determine whether there is evidence of
discrimination. Where evidence is found, the coniractor will
promptly take corrective acfion. It tlie review indirates that Me
discrimina6on may extend beyond ihe acGons reviewed, such
corrective action shall include all affected persons.
d. The contractor will promptly invesligate alf complaints of aileged
discriminatlon made to the contractor in connection with his
obligations under this contrad, will attempt to resolve such
complaints, and will take appropriate corcecfive action within a.
reasonable 6me. If the investigadon indiwtes fhat the
discrimination may affect persons other ihan llie complainant,
such correcUve actlon shall include such other persons. Upon
completion of each irnestigation, the conVactorwill inform every
complainant of all of his avenues of appeal.
6. Training and Promotion:
a. The contractor will assist in locadng, qualitying, and
inaeasing ihe skills of minorirygroup and women employees, and
applicanis for employment.
b. ConsistentwiMNecontractofsworkforcerequiremenis
and as pertnissible under Federal and Sfate regulations, the
contractor shali make full use of training programs, i.e.,
apprenticeship, and on-the-job training programs for ihe
geographical area of contract performance. Where feasible, 25
percent of apprentices or trainees in each occupation shall be in
their first year of apprenticeship or training. In the event a special
provision for training is provided under this contract, Mis subpara-
greph will be superseded as indiwted in fhe special provision.
c. The contractor will advise employees and applicants for
employment of available Vaining progrems and enVance
requiremenLS for each.
d. The contracMr will periodically review ihe training and
promotlon potentlal of minority group and women employees and
will enoourage eligible employees to apply for such training and
promo8on.
7. Unions: If the contractor relies in whole or in part upon
unions as a source of employees, the conVador will use his/her
best efforts to obfain the cooperotion of such unions to inaease
opportuniUes for minoriry groups and women within the unions,
and to effect refertals by such unions o5 minority and female
employees. AcdonsbyNecontractoreitherdirectlyorthrougha
contradofs associalio~ acting as agent will include the
procedures set forih below:
a. The contracWr will use best efforts to develop, in
cooperedon with ihe unions.joint training programs aimed Nward
qualifying more minority group members and women for
membership in the unions and inaeasing the skills of minority
group employees and women so that they may qualiry tor higher
paying employment.
b. The conVactor wil~ use best efforts to incorporate an EEO
clause into each union agreement to the end that such union will
be contractually bound to refer applicants without regard lo their
race, color, religion, sex, national origin, age or disabiliry.
c. The contraclor is to obtain information as to the refenal
prectices and policies of the labor union except that to the extent
such infortnation is within the exGusive possession of the labor
union and such labor union refuses to fumish such information to
the wnVactor, the contrador shall w certity to the SHA and shall
set forth what etforts have been made to obtain such informaUon.
d. In the event Me union is unable to provide the contractor
with a teasonabla flow of minority and women refercals within the
Exhibit I- Page 2 of 9
REQUIRED BY 23 CFR 633.102 --
~(3
Gme limit set forth in the collective bargaining agreemen4 the
contracMr wiil, through independent recruitment efforts, fill the
employment vacancies without regard to race, color, religion, sex,
national origin, age or disability; making tull efforts to obtain
qualified and/or qualifiable minority group persons and women.
(The DOL has held that it shall be no excuse that ihe union with
which the contracWr has a collective bargaining agreement
providing for exclusive refenal failed to refer minorilyemployees.)
In tlie event the union referral prectice prevenis the contractor
from meeting the obligations pursuant to Executive Order 11246.
as amended, and these special provisions, such conVactor shall
immediately notify the SHA.
8. Selection of Subcontrectors, Procurement of Materials
andLeasingofEquipment: Thecontractorshallnotdiscriminate
on fhe grounds of race, color, religion, sex, national origin, age or
diubiliry in the selection and retendon of subcontractors, induding
procurement of materials and leases of equipment.
a. The contrador shall notifyall potential subcontractors and
suppliers of hisRier EEO obligadons under this contract.
b. Disadvanfaged business enterprises (DBE), as defined in
49 CFR 23, shall have equal opporWnity W compete for and
perform subcontracts which the mntractor enters into pursuant M
Miscontract. Thecontractorwillusehisbesteffortstosolicitbids
hom and to utilize DBE subcontractors or subcontractors with
meaningtul minoritygroup and female representation among their
employees. Contradors shall obtain lists of DBE mns7ucdon
firms from SHA personnel.
c. The conhactorwill use his best efforts M ensure subcon-
tractor compliance with iheir EEO obligations.
9. Records and Reports: The contractor shall keep such
records as necessary to document compliance witti the EEO
requiremenls. Suchrecordsshaliberetainedforaperiodofthree
years follovnng completion of the contract work and shall be
available at reasonable times and places for inspecfion byautho-
rized represenfaGves of ihe SHA and ~he FHWA.
a. The records kept by fhe contractor shall document llie
following:
(1) The number of minorily and non-minoriry group
members and women employed in each work classification on the
project;
(2) The progress and efforts being made in cooperation
with unions, when applicable, to increase employment oppoRUni-
ties for minorities and women;
(3) The progress and efforts being made in lorating,
hiring, training, qualifying, and upgrading minorily and temale
employees; and
(4) The progress and efforts being made in secunng
ihe services of DBE subconVactors or subcontractors with
meaningiul minority and temale representation among their
employees.
b. The conVadors will submit an annual report M the SHA
each July for the duration of the project, indicating the number of
minonly, women, and non-minority group employees currently
engaged in each work dassification required bythe contractwork.
This informatlon is M be reported on Form FHWA-1391. If on-the
job Vaining is being required by special provision, the conVactor
will be required to collect and report training data.
111. NONSEGREGATED FACILITIES
(Applicable to all Federal-aid consWCtion contracts and to all
related subconiracts of $10,000 or more.)
Exhibit I
a. By submission of this bid, the execution of this contract
or subcontract, or the consummadon of lliis material supply agree-
ment or purchase order, as appropriate, the bidder, Federal-aid
consWCGon contractor, subcontractor, material supplier, or
vendor, as appropriate, certifies that the firm does not mainfain or
provide for i4s employees any segregated facilities at any of its
esqblishments, and that the firm does not permit its employees to
perform ~heir services at any lacation, under its control, where
segregated tadlitles are maintained. The firm agrees that a
breach of this certificaGon is a violaUon of the EEO provisions of
this conVact. The firm further certifies that no employee wiil be
denied access to adequate fadlitles on the basis of sex or
disabilily.
b. As used in this certification, the term "segregated
facilities' means any waiting rooms, work areas, restrooms and
washrooms, restaurents and ottier eadng areas, timeGodcs, lodcer
rooms, and otherstorage ardressing areas, parking lots, drinking
fountains, recreation or entertainment areas, transportadon, and
housing facilides provided for employees which are segregated by
explicit directive, or are, in fact, segregated on the basis of race,
color, religion, national origin, age or disability, because of habit,
loral custom, or otherwise. The only exception will be for the
disabled when the demands for accessibility override (e.g.
disabled parking).
c. The contractor agrees that it has obfained or will obtain
identlcal certification from proposed subcontradors or material
suppliers prior to award of subcontracts or consummadon of
material supply agreemenls of $10,000 or mo~e and that it will
retain such certificatlons in its fifes.
IV. PAYMENT OF PREDETERMINED MINIMUM WAGE
(Applicable to all Federalaid consWCtion wntracts exceeding
$2,000 and W all related subcontracts, exceptfor prqecLs located
on roadways classified as locai roads or rural minor collectors,
which a~e exempt.)
1. General:
a. All mechanics and laborers employed or working upon
the site of Me work will be paid unconditionally and not less often
llian once a week and without subsequent deducdon or rebate on
any account [except such payroll deductions as are permitted by
regulations (29 CFR 3) issued by the Secrefary of Labor under the
Copeland Act (40 U.S.C. 276c)] ihe full amounts of wages and
bona fide fringe benefits (or cash equivalents thereo~ due at Ume
of payment. The payment shall be computed at wage rates not
Iess than those conhained in Me wage determination of the
Secretary of Labor (hereinafter'the wage detertnination") which is
attached hereto and made a part hereof, regardless of any
contractual relationship which may be alfeged to ebst belween the
conVactor or its subconVactors and such laborers and mechanics.
The wage determination (inGuding any additional Gassificadons
and wage rates conformed under paragraph 2 of this Section IV
and the DOL poster (WH-1321) or Form FHWA-1495) shali be
posted at all dmes by the contractor and its subwnfractors at the
site of the work in a prominent and accessibie place where it wn
be easily seen by the workere. For the purpose of this SecGon,
contributions made or costs reasonably antidpated for bona fide
fringe benefits under Section 1(bx2) of the DavisBacon Act (40
U.S.C. 276a) on behalf of laborers or mechanics are considered
wages paid M such laborers or mechanics, subject to ihe provi-
sions of Section IV, paragraph 3b, hereof. Also, forthe purposeof
fhis Section, regular contributlons made or cosls incurted for mme
than a weekly period (but not less often ihan quarterly) under
plans, funds, or progrems, which cover tt~e paNCUlar weekly
period, aie deemed to be constructively made or inwrred during
such weekly period. Such laborers and mechanics shall be paid
Me appropriate wage rate and fringe benefits on the wage
determination for ihe classiflcatlon of work actually performed,
Exhibit I- Page 3 of 9 REQUIRED BY 23 CFR 633.102 -- 07 7
without regard to skill, except as provided in paragraphs 4 and 5
of this Section IV.
b. Leborers or mechanics performing work in more than
one tlassiflcation may be compensated at the rete specified for
each Gassification for the time actuailyworked therein, provided,
that the employefs payro0 recorcls accurately set fortli ttie time
spent in each Gassification in which work is performed.
c. All rulings and interprefadons of the DavisBacon Act and
related acts contained in 29 CFR 1, 3, and 5 are herein incorpo-
rated by reference in this conVact
2. Classification:
a. The SHA wnVacti~g officer shall require thaf any dass of
laborers or mechanics employed under Uie contract, which is not
listed in the wage determination, shall be dassified in
conformance with the wage detertnination.
b. The contracting officer shall approve an additional
classifiratlon, wage rate and fringe benefits only when the
following criteria have been met:
(1) Ne work to be perfortned by the additional
GassificaGon requested is not perfortned bya dassification in tlie
wage determinatlon;
(2) the additional classification is utilized in ihe area by
the consWction industry:
(3) the proposed wage rate, inGuding any 6ona fWe
fringe benefits, bears a reasonable relationship to the wage rates
conpined in the wage determination; and
(4) with respect to helpers, when such a dassificatlon
prevails in the area in which the work is pertormed.
c. lf the contraator or subcontractors, as appropriate, the
laborers and mechanics (if known) to be employed in the addition-
al classification or their represenfaHves, and the contracting otficer
agree on the classification and wage rate (including the amount
designated for fringe benefits where appropriate), a report of the
action taken shall be sent by fhe wntracdng officer to the DOL,
Administrator oi the Wage and Hour Division, Employment Stan-
dards Administration, Washington, D.C. 20210. The Wage and
HourAdministrator, oran authorized represenfatlve, will approve.
modily, or disapprove every additional Gassification action within
30 days of receipl and so advise ihe contracting officer or will
notify the contracdng o~cer wiihin the 30-0ay period that
additlonal Gme is necessary.
d. In ihe event ihe coniractor or subcontractors, as appro-
priate, the laborers or mechanics to be employed in the additional
Gassification or their repressntatlvas, and the contraedng officer
do not agree on the proposed Gassification and wage rete
(induding the amount designated for fringe benefits, where
appropriate), the conVacting officer shall refer the questions,
inGuding the views of all interested parties and the recommenda-
tion of tlie conVacting oificer, M the Wage and HourAdministrator
for determination. Said AdminisVaWr, or an authorized represen-
tative, will issue a determination within 30 days of receipt and so
advise the contracting officer or will notify the contractlng officer
wifhin the 30-day period that additlonal time is necessary
e. The wage rate (inGuding fringe benefifs where appropri-
ate) determined pursuant to paragraph 2c or 2d of Mis Section IV
shall be paid to all wo~icers performing work in the additional
dassification from the first day on which work is performed in fhe
Gassification.
3. Payment of Fringe Benefita:
Exhibit I
a. Whenever ihe minimum wage rate prescribed in the
contract for a class of laborere or mechanics inGudes a fringe
benefit which is not expressed as an houdy rate, the contractor or
subconVactors. as appropriate, shall eiMer pay Me benefit as
stated in the wage determination or shall pay another bona fide
fringe ben~t or an hourly case equivalent thereof.
b. If the contractor or subconVactor, as appropriate, does
not make payments ~ a hustee or otlier third person, helshe may
consider as a part of the wages of any laborer or mechanic the
amount of any costs reasonably anticipated in providing bona fide
finge benefi4s under a plan or program, provided, that the Seae-
Wry of Labor has found, upon the wririen request of the contractor,
that the applirable standards ot the Davis-Bacon Act have been
met. The Secretary of Labor may require the contractor to set
aside in a separale account assets for the meeting of obligations
under the plan or program.
4. Apprentices and Trainees (Programs of the U.S. DOL)
and Helpers:
a. Apprendces:
(1) Apprentices will be permitted to work at less than
the predetermfned rate for the work they perfomied when they are
employed pursuant to and individually registered in a bona fide
appren6ceship progrem registered with tlie DOL, Employmentartd
Training AdminisValion, Bureau of Apprenticeship and Training, or
wiM a Sfate appren6ceship agency recognized by the Bureau, or if
a person is employed in his/her firet 90 days of probationary
employmentas an apprentice in such an apprenticeship program,
who is ~wt individually registered in the progrem, but who has
been certified by the Bureau of Apprendceship and Training or a
Stale appren6ceship agency (where appropriate) to be eligible for
probationary employment as an apprendce.
(2) The allowable retio of apprentices to joumeyman-
level employees on the job site in any craft dassifica6on shall not
be greater N~an tlie ratio permitted to the contractor as to the
entire work force under the registered program. My employee
listed o~ a payrolt at an apprentice wage rote, who is not regis-
tered or otherwise employed as stated above, shall be paid not
less tlian the applicable wage rate tisted in the wage determi~a-
tion for the Gassificadon of work actually performed. In addi6on,
any apprentice performing xrork on the job site in excess af the
ratio permitted underthe registered program shall be paid notless
than the applicable wage rete on the wage detertninadon for the
work actoally performed. W here a contractor or subconVacWr is
perfortning consWction on a project in a localityother than that in
which ils progmm is regGstered, tl~e ratias and wage refes (ex-
pressed in percenfages of ihe joumeyman-level houriy rate)
specified in ihe conVactofs or subcontractoYS registered program
shall be observed.
(3) Every apprenUce must be paid at not less than the
rate specified in the registered program for M~e apprentice's level
of progress, erzpressed as a percentage of Ne joumeymandevel
hourly rate specified in the applicable wage determinaGon.
Apprentlces shall be paid finge benefits in accordance with the
provisions of the apprenticeship progrem. If ihe apprenticeship
program does not specify fringe benefits, apprentices must be
paid the full amount o( fringe benefits lisled on the wage determi-
nation for the applicable dassification. If ttie Administrator for the
Wage a~ Hour Division determines tliat a differeM practice
prevails for the applicable apprendce classifiration, fringes shall
be paid in accordance with that determinaGon.
(4) In tha event the Bureau of Apprenticeship and
Treining, or a State appren6ceship agency recognized by the
Bureau, withdraws approval of an apprenticeship program, the
contractm or subcontrector witl no longer be permiited ro uGlize
apprentices at less than U~e appliwble predetermined rate for the
comparable wark performed by regular employces until an accept-
Exhibit I- Page 4 of 9
REQUIRED BY 23 CFR 633.102 --
( ~
able program is approved.
b. Trainees:
(1) Exceptas provided in 29 CFR 5.16, iraineeswill not
be permitted to vrork at less than tlie predetermined rate for ihe
work performed unless they are employed pursuant to and
individually registered in a progrem which has received prior
approval, evidenced by formal certification by the DOL,
Employment and Training Administration.
(2) TheradoofVaineestojoumeyman-levelemployees
on the job site shall not be greater than permitted under the plan
approved by the Employment and Training Administration. My
employee listed on the payroll at a trainee rate who is not
registered and participaUng in a training pian approved by the
Employment and Training Administration shall be paid not less
than the applicable wage rate on the wage determination for the
Gassification of work acWally perfortned. In additlon, any trainee
perfortning work on the job site in excess of the ratio permitted
under the registered program shall be paid not less than the
applirable wage rate on the wage determinatlon for the work
actually performed.
(3) Every trainee must be paid at not less than the rate
specifled in the approved program for his/her level of progress,
expressed as a percentage of the joumeyman-level hourly rate
specified in the applicable wage determination. Trainees shall be
paid fi'inge benefits in accordance with Me provisions ot ihe
trainee progrem. If the 6ainee program does not mention finge
benefits, trainees shall be paid the full amount of fringe benefits
listed on the wage detertnination unless the Administrator of the
Wage and Hour Division delermines that there is an apprentice-
ship program associated with the cortesponding joumeymaMevel
wage rete on the wage determination which provides for less than
full fringe benefits for apprentices, in which case such Vainees
shall receive the same fringe benefits as apprentices.
(4) In the event the Employment and Training
Administration withdraws approval of a training progrem, ihe
conUactor or subcontractor will no longer be permitted to udlize
trainees at less than the applicable predetermined rate for the
work performed until an acceptable program is approved.
c. Helpers:
Helpers will be permitted to work on a project if the
helper classification is specified and defined on the applicabte
wage determination or is approved pursuant to ihe conformance
procedure set forth in Section IV.2. Myxrorker listed on a payroll
at a helper wage rate, who is not a helper under a approved
definition, shall be paid not less than the applicable wage rate on
ihe wage determinaUon for the dassifica6on of work aclually per-
formed.
5. Apprentices and Troinees (Programs of the U.S. DOn:
Apprendces and trainees working under apprendceship and
skill training programs which have bean certified bythe Secretary
of Transporfation as promoting EEO in connection with Federal-
aid highway construcdon programs are not subject to the require-
ments of paregreph 4 of this Section IV. The straight time hourly
wage rates for apprentices and trainees under such programs will
beestablishedbytheparticularprograms. Theratioofapprendc-
es and trainees tojourneymen shall not be greater than permitted
by the terms of the particular program.
6. Withhotding:
The SHA shall upon its own action or upon written request
of an authorized represanfalive of the DOL withhold, or cause to
be withheld, from the contracMr or subcontractor under this
contract or any other Federal contract with the same prime
Exhibit I
wntracror, or any other Federelly-assisted contract subject to
Davis-Bacon prevailing wage requirements which is held by ttie
same prime conhacMr, as much of the accrued payments or
advances as may be considered necessary to pay laborers and
mechanics, inGuding apprentices, trainees, and helpers, em-
ployed by the contractor or any subconhactor the full amount of
wages required by ihe contract. In the event of failure to pay any
taborer or mechanic, including anyapprentice, trainee, or heiper,
employed or working on Me site of the work, all or part of the
wages required by the contract, the SHA contracling officer may,
aker written notice to fhe contracMr, take such acGOn as may be
necessary to cause ihe suspension of any further payment,
advance, or guarantee of Tunds undl such violadons have ceased.
7. Overtime Requirements:
No contractor or subcontractor conVacting for any part of
the conVact vrork which may require or involve the employment of
laborers, mechanics, watchmen, or guards (indudirg apprentices,
hainees, and helpers described in paragraphs 4 and 5 above)
shall require or pertnit any laborer, mechanic, watchman, orguard
in any workweek in which he/she is employed on such work, to
work in excess of 40 hours in such workweek unless such laborer,
mechanic, watchman, or guard receives compensadon at a rete
not less than one-and-ane-half times hislher basic iate of payfoi
all hours worked in excess of 40 hours in such vrorkweek.
8. Violation:
liability for Unpaid Wages; Liquidated Damages: In the
event of any violation of the Gause set forth in paragreph 7 above,
the contractor and any subcontractor responsible thereof shall be
liable to ttie affected employee for his/her unpaid wages. in
addi6on, such contractor and subcontracMr shall be liable M Me
United States (in the wse of work done under contract for the
District of Columbia or a territory, to such DisVict or W such
territory) for liquidated damages. Such liquidated damages shall
be computed with respect M each individual laborer, mechanic,
watchman, or guard empioyed in violation of the Gause setforth in
paragraph 7, in the sum of $10 for each calendar day on which
such employee was required or permitted to work in excess of the
standard work week of 40 hours without payment of the overtime
wages required by the Gause set forih in paragraph 7.
9. WkhholdingforUnpaidWagesandLiquidatedDamages:
The SHA shall upon its own action or upon written requesl of
any authorized representatlve of the DOL withhold, or cause to be
withheld, from any monies payable on account of work performed
by the conVactor or subconVactor under any such contract or any
other Federal contract with the same prime contractor, or any
other Federellyassisted conVact subject to the Contract Work
Hours and Safety Standards Act, which is held bythe same prime
contrador, such sums as may be determined to be necessary to
satlsfy any liabilities of such conVactor or subcontractor for unpaid
wages and liquidated damages as provided in ihe clause selforUi
in paragraph 8 above.
V. STATEMENTS AND PAYROLLS
(Appliwble to all Federalaid consWCtion contracis exceeding
$2,000 and to all related subcontracGs, except for p~ojects located
on roadways Gassified as local roads or rural collectors, which are
exempt.)
1. Complianee with Copeland Regulations (29 CFR 3~:
The conVactor shall comply with the Copeland Reguladons of
ttie Secretary of Labor which are herein incorporated by reference.
2. Payrolls and Payroll Records:
a. Payrolls and basic records relating thereto shall be
Exhibit I- Page 5 of 9 REQUIRED BY 23 CFR 633.102 - ~./ /..
- / \Y
maintained by ihe contrador and each subconVactor during Ne
course of fhe work and preserved tor a period of 3 years from the
date of completion of the coniract for all laborers, mechanics,
apprentices, trainees, watchmen, halpers, and guards working at
the site of the work.
b. The payroll records shall contain the name, social
security number, and address of each such empioyee; his or her
cortect classification; hourly ratas of wages paid (induding rates of
contributions or costs anticipated tor bona fide finge benefts or
cash equivalent thereof the rypes described in Section ~(b)(2)(B)
of the Davis Bacon Acl); daiiy and weekly number of hours
worked; deductions made; and aclual wages paid. In addition, for
Appalachian contracGs, the payroll records shall contain a nohation
indicadng whether the employee does, or does not, normally
reside in the labor area as defined in AttachmentA, paragreph 1.
Whenevar the Secretary of Labor, pursuant to Section IV,
paregraph 3b, has found that the wages of any laborer or
mechanic inGude llie amount of any cosGs reasonably anticipated
in providing benefits undera plan or program desaibed in Section
1(bX2x8) of the Davis Bawn Act, the contractor and each
subcontractor shall maintain records which show that the commit-
ment to provide such benefits is enforceable, that the plan or
program is financially responsible, that the plan or program has
been communicated in writing to the laborers or mechanics
affected, and show the cost antlcipated or the actual cost incurred
in providing benefiLs. Contractors or subcontractors employing
apprentices or trainees under approved programs shall maintain
written evidence of the registratlon ot apprentices and trainees,
and rados and wage rates prescribed in the appliwble programs.
a Each contractor and subconhactor shall Tumish, each
week in which any contract work is performed, to the SHA resident
engineera payroll ofwages paid each of its employees (induding
apprentices, trainees, and helpers, described in Section IV, para-
graphs 4 and 5, and watchmen and guards engaged on work
during the preceding weekly payroll period). The payroll submitted
shall set out accurately and completely ail of the information
required to be maintained under paragreph 2b of this Section V.
This information may be submitted in any form desired. Opdonal
Form W H-347 is available for this purpose and may be purchased
from the Superintendent of Documents (Federal stock number
029-005-0014-1), U.S. Govemment Printing Office, Washington,
D.C. 20402. The prime conUactor is responsible for the submis-
sion of copies of payro~is by all subcontractors.
d. Each payroll submitted shall be accompanied by a
"Statement of Compliance,' signed by fhe conVactor or subcon-
tractor or his/her agent who pays or supervises Me payment of the
persons employed under the conVact and shall certify ttie follow-
ing:
(1) that the payroll for fhe payroll period contains the
information required to be maintained under paragraph 2b of this
Section V and Nat such infortnation is correct and complete;
(2) thal such laborer or mechanic (inGuding each
helper, apprentlce, and trainee) employed on Me contract dunng
the payroll period has been paid the tull weekly wages earned,
without rebate, either direclly or indirectly, and that no deductions
have been made either directly or indirectly from the full wages
eamed, other than permissible deducdons as set forth in the
Regulations, 29 CFR 3;
(3) ihat each laborer or mechanic has been paid not
less that the appiicable wage rate and fringe benefits or cash
equivalent for the Gassificadon of worked performed, as spedfied
in tha applicable wage determinatlon incorporated into the
contract.
e. The weekly submission of a properly executed ceRifica-
lion set forlh on Me reverse side of Optional Form W H347 shall
sa6sfy Ne requirement tor submission of the 'Sfatement of
Exhibit I
Compliance" required by paragraph 2d of ihis Section V.
f. The falsification of any of ihe above certiflcadons may
subject fhe coniractor M civil or criminal prosecution under 18
U.S.C. 1001 and 31 U.S.C. 231.
g. The conVactor or subcontractor shall make the records
required under paragraph 2b of this Section V availabie for
inspecdon, copying, or transcription byauthor¢ed rapresentatives
of the SHA, tlie FH WA, or llie DOL, and shall permit such repre-
senfaUves to interview employees during working Fwurs on ttie job.
If the contractor or subconVactor fails to submit the required
records orto make them available, the SHA, the FHWA, the DOL,
or all may, aker written nodce to ihe contractor, sponsor, applicant,
or owner, fake such actions as may be necessary to cause Me
suspension of any turther payment, advance, or guarentee of
funds. Furthertnore, failure to submit the required records upon
request or to make such records available may be grounds for
debarment action pursuant to 29 CFR 5.12.
VI. RECORD OF MATERIALS, SUPPLIES, AND IABOR
1. On all Federal-aid contracts on the Nadonal Highway
System, except ihose which provide solely for the installation of
protective devices at reilroad grade crossings, those which are
consWCted on a force account or direct labor basis, highway
beautification contracts, and contracts for which the totaf fnal
consWCtion cost for roadwayand bridge is less than $1,000,000
(23 CFR 635) the contrector shall:
a. Become familiar with ttie list of specific materials and
supplies conNained in Form FHWA-07, "Statement of Materials
and Labor Used by Contractor of HighwayConsVuction Involving
Federal Funds," prior to ihe commencement of work under ihis
contract.
b. Maintain a record of the Whal cost ot all matenals and
supplies purchased for and incorporated in the work, and also of
the quantides of those specific materials and supplies listed on
Form FHWA-47, and in Me units shown on Fortn FHWA-07.
c. Fumish,uponihecompletionofthecontract,lotheSHA
resident engineer on Form FHWA-47 together with ihe dafa
required in paregraph 1b relaUve to materials and supplies, a final
labor summary of all conhact work indicating the total hours
worked and the lofal amount earned.
2. At the pnme conVactofs option, either a single report
covering all contract work or separate reports for the contractor
and for each subconVact shall be submitted.
VII. SUBLETTING OR ASSIGNING THE CONTRACT
1. The conhactor shall perform with its own organization
contractwork amounting to not less than 30 percent (or a greater
percentage if specified elsewhere in the contract) of the tofal
original contract price, exduding any specialry items designated by
the State. Specialry items may be performed by subcontractand
the amount of any such specialty items performed may be
deducted from the total original contract price before compudng
fhe amount of wo'k required to be performed by the contractor's
own organizaGon (23 CFR 835).
a. "Itsownorganization"shallbeconstruedtoindudeonly
workers employed and paid directly by the prime conVactor and
equipment owned or rented by the prime conVactor, with or
without operators. Such term does not inGude employees or
equipment of a subcontractor, assignee, or agent of the prime
contractor.
b. "Specialty Items" shall be consWed to be limited to
work ihat requires highly specialized knowledge, abilities, or
equipment not ordinarily available in the type of contractlng
Exhibit I- Page 6 of 9 REQUIRED HY 23 CFR 633. 102 --
~~
organizadons qualified and e~ected to bid on the conVacl as a
whoie and in general are to be limited to minor components ofihe
overall contract.
2. The contract amount upon which the requirements set forih
in paragraph 1 of Section VII is computed inGUdes the cost of
material and manufaclured products which are to be purchased or
produced by the conVactor under the contract provisions.
3. Thecontractorshalifumish(a)acompetentsuperintendent
or supervisor who is employed by the firm, has full authorily to
direct perfortnance of the work in accordance with ihe contract
requiremenLs, and is in charge of all consWction operetions
(regardless of who performs the work) and (b) such other of ics
own organizational resources (supervision, management, and
engineering services) as ihe SHA contracting officerdetermines is
necessary to assure Me performance ot the contract.
4. No portion of Me contract shall be sublet, assigned or
otherwise disposed of exceptwith ihe written consent of ihe SHA
contracting officer, orauthorized represenFative, and such consent
when given shall not be construed to relieve the contractorof any
responsibility for the fulfillment of the contrad. Written consent
will be given only after the SHA has assured that each subcontrad
is evidenced in writing and that it contains all pertinent provisions
and requirements of ihe prime contract.
VIII. SAFETY: ACCIDENT PREVENTION
1. In the performance of ihis conVact the wntractor shall
complywith all applicable Federel, Shate, and local lawsgoveming
safely, health, and sanitation (23 CFR 635). The con6actor shall
provide all safeguards, safety devices and protecUve equipment
and take anyoMer needed actions as it detertnines, w as the SHA
contracting officer may determine, to be reasonably necessary to
protect the life and health of employees on fhejob and the safely
of the public and to protect property in conneclion with the
performance ot the work covered by the contract.
2. It is a condition of this conVact, and shall be made a
condition of each subcontract, which Me conVactor enters into
pursuant M this contract, that fhe contractor and anysub~ntractor
shall not pertnit any employee, in peRormance of the contract, to
work in surroundings or under conditions which are unsanifary,
hazardous or dangerous to his/her health or safety, as detertnined
under consWCtion safery and health siandards (29 CFR 1926)
promulgated by ihe Secretary of Labor, in accordance with
Section 107 of the ConVact W ork Hours and Safely Standards Acl
(40 U.S.C. 333).
3. Pursuant to 29 CFR 1926.3, it is a conditlon of this wntract
Nat the Secretary of Labor or authorized represenptlve Nereof,
shall have right of enfry to any site of contrad performance to
inspect or invesligate the matter of compliance with ihe construc-
don ufety and heaflh standards and to carry out the duties ot the
Sedetary under Secfion 107 of the Contract Work Hours and
Safery Standards Act (40 U.S.C. 333).
IX. FALSE STATEMENTS CONCERNING HIGHWAY
PROJECTS
In order to assure high qualily and durable consWctlon in
conformity wifh approved plans and specifications and a high
degree of reliability on sfatements and representations made by
engineers, contractors, suppliers, and workers on Federal-aid
highway projects, it is essential that all persons concemed with the
project perform Meir functions as carefully, thoroughly, and
honestly as possible. Willful falsificatlon, distortion, or misrepre-
senfatlon with respect to any Nacts related to the project is a
violadon of Federal ~aw. To prevent any misunderstanding
regarding the seriousness ot these and similaracts, the following
notice shall be posted on each Federol-aid highway project (23
CfR 635) in one or more places where it is readily available to all
persons concemed with the project:
Exhibit I
NOTICE TO ALL PERSONNEL ENGAGED ON FEDERAL-AID
HIGHWAY PROJECTS
18 U.S.C. 1020 reads as follows:
"Whoever, being an o(ficer, agent, or employee of the United
States, w ofany Shate or Territory, or whcever, whether a person,
association, firm, w caporafion, knowirgly makes any talse
statement, false iepresentation, or halse repat as ro tlre character,
quality, quantity, or cost of the maferial used or to be used, or the
quantity or quality of dre wwk per/wmed wto be parfanred, w the
cost thereof in connection wifh the submission o/ plans, maps,
specifiraNons, contracts, a costs o/construction on any highway
or related project su6mitted far approval to the Secretary of
hansportation; w
Whcever knowingly makes any false statement, /alse
representation, false report w false claim with respect to the
characfer, quality, quantity, orcost o/any wwk performed w to be
performed, armateNals fumished wto be fumished, in connection
with the conshucNon o(any highway or related project approved
by the Seaetary olTrans,oata6on; ar
Whoever knowingly makes any halse statemenf or /alse
lepresentation as to mafeNal /act in any statement, certifirate, or
report submitted pursuant to provisions of Me Federal-aid Roads
Act approved July 1, 1916, (39 Stat. 355), as amended and
supplemented;
Shall be fined not more that $f0,000 or impnsoned not mwe
than 5 years or both."
X. IMPLEMENTATION OF CLEAN AIR ACT AND FEDERAL
WATER POLLUTION CONTROL ACT
(Applicable to all Federal-aid consWCtion contracts and to all
related subcontracts of $100.000 or more.)
By submission of this bid or the execution of this contract, or
subconVact, as appropriate, the bidder, Fede2laid consWctlon
contractor, or subconhactor, as appropriate, will be deemed to
have stipulated as follows:
~. That any facility that is or will be utilized in the performance of
this contract, unless such contract is exempt under the Ciean Air
Act, as amended (42 U.S.C. 1857 et se~C ., as amended by Pub.L.
91-604), and under the Federal Waler Pollution ConVOI Act, as
amended (33 U.S.C. 1257 et se~., as amended by Pub.L. 92-500),
Ezecutive Order 11738, and regulaGons in implemenhation thereof
(40 CfR 15) is not listed, on ihe date of contract award, on ihe
U.S. Environmental Protection P~qency (EPA) List of Violating
Facilities pursuant to 40 CFR 1520.
2. That ihe firm agrees to comply and remain in compliance with
all ihe requiremen4s of Section 114 of the Clean Air Act and
Section 308 oi the Federal Water Polludon Control Act and all
regulations and guidelines listed thereunder.
3. ThatihefirmshallpromptlynotlfytheSHAotthereceiptofany
communication from the Director, Office of Federal Actlvities,
EPA, indicating ihat a facility that is or wi~~ be uUlized for ihe
contract is under consideretion to be listed on the EPA List of
Yolating Facilities.
4. That the firm agrees to inGude or cause to be included fhe
requirements of paregraph 1 ihrough 4 of this Section X in every
nonexempt subcontrac6 and further agrees to fake such action as
the govemment may direct as a means of enforcing such
requirements.
Exhibit I- Page 7 of 9 REQUIRED BY 23 CFR 633. 102 -
~~
XI. CERTIFICATION REGARDING DEBARMENT, SUSPENSION,
INELIGIBILITY AND VOLUNTARY EXCLUSION
1. Instructions for Cert~wtion - Primary Covered
Trensactfons:
(Applicable to all Federaiaid contracts - 49 CFR 29)
a. By signing and submitting this proposal, the prospec6ve
primary par~icipant is providing ihe certification set out below.
b. The inability of a person to provide the certifiwdon set out
below will not necessarily result in denial of participation in this
covered Vansaction. The prospective participant shall submit an
explanation of why it cannot provide the certifipdon setout below.
The certification or e~cplanation wiil be considered in connection
with the department or agencys detertnination whether to enter
into this transaction. However, failure of the prospecfive primary
participant to tumish a carlifiwtion or an explanation shall
disqualily such a person from participation in ihis transaction.
c. The certfcaUon in ihis Gause is a material representation
of fad upon which reliance was placed when the departrnent or
agency determined to enter into Mis transaction. If it is later
detertnined that the prospective primary partidpant knowingly
rendered an erroneous certification, in addition to other remedies
available M the Federal Govemment, the departrnent or agency
may tertninate this Vansaction for cause of default.
d. The prospective primary partiapant shall provide immedi-
ate written notice to the depaAment or agency to whom this
proposal is submitted if any time ihe prospective primary partici-
pant leams that its certification was erroneous when submitted or
has become erroneous by reason of changed cirwmstances.
e. The terms "covered transacdon," "debarred'
"suspended' "ineligible; "lower tier covered transactlon'
"paAicipant " "person ' "primary covered transaction," "principal "
"proposal; and "voluntarily excluded,"as used in thisdause, have
the meanings set out in the Definitions and Coverege sections of
rules implementing Executive Order 12549. You may contactthe
department or agency to which this propoul is submitted for
assisqnce in obtaining a copy of those regulations.
f. TheprospectiveprimaryparticipantagreesbysubmitUng
this proposal that, should the proposed covered transaction be
entered into, it shall not knowingly enter into any lower tier covered
Vansaction with a person who is debarred, suspended, deGared
ineligible, or voluntarily excluded from participation in this covered
transaction, unless authorized by the departrnent or agency
entering into this transactlon.
g. The prospective primary parUcipant further agrees by
submitting fhis proposal that it will indude the Gause titled
"Certification Regarding Debartnent, Suspension, Ineligibilityand
Volunfary ExGusion-Lower Tier Covered Transac6on," provided by
the departrnent or agency entering into this covered transaction,
without modification, in all lower tier covered transactlons and in
all solicitatlons for lower tier covered transactions.
h. A participant in a covered transaction may rely upon a
certification of a prospective participant in a lower tier covered
Vansacdon that is not debarted, suspended, ineligible, or volun-
tarily exGuded from the covered lransacUon, unless it knows that
the cerGficadon is erroneous. A participant may decide the
method and frequency by which it detercnines ihe eligibility of its
prindpals. Each participant may, but is not required to, check ihe
non-procurement por6on of the "Lisfs of ParM1es ExGuded From
Federal Procurement or Non-procurement Programs" (Non-
procurement List) which is compiled by the General Services
Administration.
I. Nothing contained in ttie foregoing shall be conswed to
Exhibit I
require establishment of a system of records in order to render in
good faith the certification required by ihis Gause. The knowledge
and information of participant is not required to exceed thatwhich
is nortnally possessed bya prudent person in the ordinarycourse
of business dealings.
j. Except for transactions authorized under paragraph f of
these insWCtions, if a participant in a covered transaction
knowingly enters into a lower 6er covered transaclion with a
person who is suspended, debarted, ineligible, or voluntarily
exGuded from participation in this transaction, in addition to other
remedies available to the Federal Govemment, the departrnentor
agency may terminate this Vansacfion for cause or default.
Certification Regarding Debarment, Suspension,
Ineligibility and Volunfary Exclusion-Primary Covered
Trensaetions
1. Theprospectiveprimarypartidpantcertifiestothebestofifs
knowledge and belief, ihat it and its prindpals:
a. Are not presently debarted, suspended, proposed for
debartnent, dec~ared ineligible, or voluntarily exduded from
covered transactions by any Federal departrnent or agency:
b. Have not within a 3year period preceding this proposal
been convicted of or had a avil judgment rendered against them
for commission of fraud or a aiminal offense in connection with
obtaining, attempting to obfain, or perfortning a public (Federal,
Sfate or local) Uansaction or contrad under a pubiic transaction;
violation of Federal or Sfate antlWSt sfatutes or commission of
embezzlement, theft, forgery, bribery, halsifipdon ordesW cUon of
records, making false sfatements, or receiving stolen property;
c. Are not presently indicted for or otherwise criminally or
civilly charged by a govemmental entity (Federal, Sfate or local)
with commission of anyof ihe offenses enumerated in paragraph
tb of ihis certifica6on; and
d. Have not within a 3-year period preceding this
appiication/proposal had one or more public transactions (Federal,
State or lowl) terminated for cause or default.
2. WheretheprospectiveprimaryparM1dpantisunabletocertify
to any of the statemenls in this certification, such prospectlve
participant shall attach an e~lanation to Mis proposal.
2. Instructions for Cert~eation - Lower Tier Covered
Transactions:
(Applicable to all subcontracls, purchase orders and other lower
tler Uansactions of $25,000 or more - 49 CFR 29)
a. By signing and submilting tl~is proposal, the prospective
lower Uer is providing the certificadon set out below.
b. The cartification in this clause is a material representation
of Nact upon which reliance was placed when this transacdon was
entered into. If it is later determined that the prospective lower tier
paAicipant knowingly rendered an erconeous certifiration, in
addition to oNer remedies available to the Federal Govemment,
the department, or agency with which this transacdon originated
may pursue available remedies, including suspension and/or
debartnent.
c. The prospective lower tier participant shall provide
immediate written noGce lo the person to which this proposal is
Exhibit I- Page 8 of 9
REQUIRED BY 23 CFR 633.102 --
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submitted if at any time the prospective lower tier parficipant
leams that its certification was erroneous by reason of changed
circumstances.
d. The terms 'covered transaction," "debaRed'
"suspended," "ineligible," 'primary covered transacdon "
"participan4" "person' "principal; "proposal.' and tirolunfarily
exGuded' as used in this Gause, have the meanings sel out in
the Definidons and Coverage sections of rules impfementing
Executlve Order 12549. You maycontactthe person to which this
proposal is submitted for assistance in obhaining a copy of those
regulations.
e. The prospectlve lower tier participant agrees by
submitling this proposal that, should the proposed covered
Vansacdon be entered into, it shall not knowingly enter into any
lower tier covered Vansaction with a person who is debaned,
suspended, deGared ineiigible, or voluntarily exduded from
partidpaUon in this covered aanuction, unless authorized by the
depariment or agency with which this transacdon originated.
t. The prospectlve lower tier parGcipant further agrees by
submitting this proposal that it will inGude this Gause titled
'Certification Regarding Debarment. Suspension, Ineligibilityand
Voluntary Exclusion-Lower Tier Covered Transaction' without
modification, in all lower tier covered transactions and in all
soiicitatlons for lower tier covered transactions.
g. A participant in a covered Vanuction may rely upon a
certification of a prospective participant in a lower tier covered
Vansaction that is not debarred, suspended, ineligible, or volun-
tarily exGuded from the covered transaction, unless it knows that
the certificatlon is erroneous. A participant may decide the
method and frequency by which il determines the e~igibiiity of its
principals. Each participant may, but is not required to, check the
Non-procurement List.
h. Nothing contained in the foregoing shall be consWed to
require establishment of a system of records in order to render in
good faiM Me certification required byMis Gause. The knowledge
and infortnation of participant is not required to exceed ~hatwhich
is nortnally possessed by a prudent person in the ordinary course
of business dealings.
I. Except for trensactlons authorized under paragraph e of
these insWCGons, if a participant in a covered transaction
knowingly enters into a lower tier covered transaction with a
person who is suspended, debaned, ineligible, or voluntarily
exGuded from participatlon in this transaction, in addition to other
remedies available to the Federal Govemment, the departrnent or
agency with which tliis Iransacdon originated may pursue
available remedies, including suspension and/or debarment.
OR LOBBYING
Exhibit I
Cert~cation Regarding Debarment Suspension,
Ineligibilky and Voluntary Exclusion-Lower Tier Covered
Transactions:
1. TheprospectlvelowerUerpaNCipantcertifies,bysubmission
of this proposal, that neither it nor ifs principals is presently
debarred, suspended, proposed for debarment, declared
ineligible, or voluntarily excluded from parUcipation in this
Vansaction by any Federal department or agency.
2. Where ihe prospective lower tler participant is unable W
certify to any of the statements in this certification, such prospec-
Gve participant shall attach an explanaUon to this proposal.
XII. CERTIFICATION REGARDING USE OF CONTRACT FUNDS
(Applicable M all Federalaid consWction contracts and to all
related subcontracts which exceed $100,000 - 49 CFR 20)
1. The prospective paAicipant certiFles, by signing and submit-
Ung this bid or proposal, to the best of his or her knowledge and
belief, that:
a. No Federal appropnated funds have been paid orwill be
paid, by or on behalf of the undersigned, to any person for
influencing or ariempdng to influence an officer or employee of
any Federal agency, a Memberof Congress, an o~ceroremploy-
ee of Congress, or an employee of a Member ot Congress in
connection with ihe awarding of any Federal conVact the making
of any Federel grent, the making of any Federai loan, the entering
into of any cooperative agreement, and the extension, continua-
tion, renewal, amendment, or modificaUOn of any Federal contract,
grant, loan, or cooperetive agreement.
b. If anyfunds other than Federal appropriated funds have
been paid orwill be paid to any person for influencing or attempt-
ing to inFluence an officer or employee of any Federal agency, a
Member of Congress, an officer or employee of Congress, or an
employee of a Member of Congress in connection with this
Federel contracl, grant, loan, or cooperadve agreement, ttie
undersigned shall complete and submit Standard Form-LLL,
"Disclosure Form to Report Lobbying' in acxordance with its
instrucdons.
2. This certification is a material representation of fact upon
which reliance was placed when ihis transacdon was made or
entered into. Submission of this certification is a prerequisite for
making or entering into ihis transaction imposed by 31 U.S.C.
1352. My person who fails to file the required certificatlon shall
be subject ro a civii penalry of not less than $10.000 and not more
than $100,000 for each such failure.
3. The prospective parlicipant also agrees bysubmitting his or
her bid or proposal that he or she shall require that the language
of this certifiption be included in all lowertier subcontracts, which
exceed $100,000 and that all such recipients shall certiTy and
disclose accordingly.
REQUIRED BY 23 CFR 633.102 -- ~~
Exhibit I- Page 9 of 9
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Exhibit J
FEDERAL REOUIREMENTS
Federal laws and regulations that may be applicable to the Work include:
A. The "Uniform Administrative Requirements for Grants and Cooperative Agreements to State and Local
Goveraments (Common Rule), at 49 Code of Federal Regulations, Part 18, except to the extent that other applicable
federal requirements (induding the provisions of 23 CFR Psrts 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 Local Agency/Contractor shall follow applicable procurement procedures, as required by section 1836(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 1830;
3. the I.ocal Agency/Contractor shall comply with section 1837 concerning any sub-grants;
4. to expedite any CDOT approval, the I,ocal Agency/Contractor's attorney, or other authotized representative, shall
also submit a letter to CDOT certifying Local Agency/Contractor compliance with section 1830 change order
procedures, and with 1836(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 1836(i) (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 enti[led "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 awazded in excess of $1Q000 by grantees and their contractors or sub-grantees).
C. The Copeland "Anti-Kickback" Act (18 U.S.C. 874) as supplemented in Department of I,abor 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 grantees and subgrantees when required by Federal
grant program 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 Standazds 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. Standazds, orders, or requirements issued under section 306 of the Clear Air Act (42 U.S.C. 1857(h), section
508 of the Clean Water Act (33 U.S.C. 1368). Executive Order 11738, and Environmental Protection Agency
regulations (40 CFR Part 15) (contracts, subcontracts, and sub-grants of amounts in excess of $100,000).
G. Mandatory standards and policies relating to energy e~ciency which ue 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 Circulus A-87, A-21 or A-122, and A-102 or A-110, whichever is
applicable.
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
~' l, ~ Exhibit J
funds cacmot be used for paz[isan political purposes of any kind by any person or organization involved in the
administration of federally-assisted progams.
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 program or activity funded, in whole or part, by federal
funds;
K. The Americans with Disabilities Act (Public Iaw 101-336; 42 USC 12101, 12102, 121ll-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 PropeRy Acquisition Policies Act, as amended (Public I,aw 91-
646, as amended and Public Law 100-17, 101 Stat. 246-256). (If the contractor is acquiring real property and
displacing househo(ds 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. sea' and its implementing regulation, 45
C.F.R. Part 91; Section 504 of the Rehabilitation Act of 1973, 29 U.S.C. 794, as amended, and implementing
regulation 45 C.F.R. Part 84.
O. 23 C.F.R. Part 172, concerning "Administration of Engineering and Design Related Contracts".
23 C.F.R Part 633, conceming "Required ConVact 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. Nondiscrimiuation Provisions:
In compliance with Title VI of the Civil Rights Act of 1964 and with Section 162(a) of the Federal Aid Highway Act of
1973, the Contractor, for itself, its assignees and successors in interest, agree as follows:
1. Compliance with Regulations. The Contractor will comply with the Regulations oFthe Department of
Transportation relative to nondiscrimination in Federally assisted programs of the Depaztment of Transportation (Title
49, Code of Federal Regulations, Part 21, hereinafter referred to as the "Regulations"), which aze herein incorporated
by reference and made a part 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 d'uectly or indirectly in the discrimination prohibited by Section
21.5 of the Regulations, including employment practices when the contract covers a progam set forth in Appendix C of
the Regulations.
Exhibit J- Page 2 of 3
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,a.•
Exhibit J
3. Solicitations for Subcontracts, Includine Procurement of Materials and Equipment. In all solicitations
either by competitive bidding or negotiation made by the Contractor for work to be performed under a subcontract,
including procurement of materials or equipment, each potential Subcontractor or supplier shall be notified by the
Contractor of the Contractor's obligations under this conVact 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 requ'ved 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 fiunish this information, the Contractor shall so certify
to the State, or the FHWA as appropriate and shall set forfh what efforts have been made to obtain the information.
5. Sanctions for Noncomnliance. In the event of the Contractor's noncompliance with the
nondiscrimination provisions of this contract, the State shall unpose 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. Incorooration of Provisions. The Contractor will include the provisions ofpazagraphs A through F in
every subcontract, including procurement oF inaterials and leases of equipment, unless exempt by the Regulations,
orders, or instructions issued pursuant thereto. The Conuactor will take such action with respect to any subcontract or
procurement as the State or the FHWA may d'uect 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 Conuactor may request the FHWA to enter into
such litigation to protect the interests of the United States.
Exhibit J- Page 3 of 3
53