HomeMy WebLinkAboutbocc.res.078.2002 A RESOLUTION OF THE BOARD OF COUNTY COMMISSIONERS OF PITKIN COUNTY,
COLORADO, APPROVING THE CMAQ GRANT (Congestion mitigation and air quality
improvement program) BETWEEN CDOT AND PITKIN COUNTY
Resolution No. (�T-2002
RECITALS
I. This project includes transforming a dirt and gravel parking area within the Aspen/Pitkin
County PM 10 Non-attainment area into a hard surfaced parking lot, as well as the purchase
of a passenger van for Pitkin County employees to utilize for commuting to work within the
PM 10 Non-attainment area of Pitkin County during hours which transit services are not
available.
2. Total program Budget is $194,174.00
3. The matching ratio for this federal-aid project is 82.79% Federal-aid funds to L7 21% Local
Agency funds, with all non-participating costs to be bome by the Local Agency at 100%.
4. The Local Agency agrees to adhere to the full terms and conditions as outlined in the
Contract.
NOW THEREFORE BE IT RESOLVED by the Board of County Commissioners of Pitkin
County,Colorado approves and accepts the CMAQ grant and Contract.
APPROVED AND ADOPTED A r_:F�r n c n rnwrAND ON THE
DAY OF 2002.
PUB I,���;DO AFTER ADOPTION IN THE ASPEN TIMES ON THE
DAY OF 1r�, 2002.
ST: BOARD OF COUNTY COMMISSIONERS
f
OF PITKIN COUNTY, COLORADO
1 '1
�2' e J 2 t✓ By:
Je ette Jones Patti Kay-Clapper, C7hairpersoh'
D-1puty Clerk& Re9order
Date: C'S - C 7 -
1
APPROVED AS TO FORM: MANAGER APPROVAL:
John Ely Hilary Fcher Smith
Count orney County tanager
r a/aL
n ettet
Public Works Director
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(FMLAWRK) Rev 2/00
PROJECT: AQC C570-009(13657) 02 HA3 00049
Pitkin County/R-3/(MAA)
CONTRACT
THIS CONTRACT,made this day of rnT,20 ` by and between the
State of Colorado for the use and benefit of THE COLORADO DEPARTMENT OF
TRANSPORTATION,hereinafter referred to as the State or CDOT,and PITKIN COUNTY of the
STATE of COLORADO, 76 Service Center Road, Aspen, Colorado, 81611, FEIN: 846000794,
hereinafter referred to as the Local Agency,or the contractor.
FACTUAL RECITALS.
1. Authority exists in the law and funds have been budgeted,appropriated and otherwise made
available and a sufficient unencumbered balance thereof remains available for payment of project
and Local Agency costs in Fund Number 400,Appropriation Code 010,Organization Number 9991,
Program 2000, Function 3301, Object 2311, 1P, Phase C, Reporting Category 3130, Contract
Encumbrance Number 13657,(Contract Encumbrance Amount: $194,174.00).
2. Required approval, clearance and coordination have been accomplished from and with
appropriate agencies.
3. Pursuant to Title I, Subtitle A, Section 1108 of the Transportation Equity Act for the 21 st
Century of 1998(TEA-21) and to applicable provisions of Title 23 of the United States Code and
implementing regulations at Title 23 of the Code of Federal Regulations, as may be amended,
(collectively referred to hereinafter as"the federal provisions"),certain Federal funds have been and
will in the future be,allocated for highway projects requested by Local Agencies and eligible under
the Surface Transportation Program that has been proposed by the State and approved by the Federal
Highway Administration(FHWA),hereinafter referred to as the program.
4. Pursuant to§ 43-1-223,C.R.S.and to applicable portions of the federal provisions,the State
is responsible for the general administration and supervision of performance of projects in the
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program,including the administration of federal funds for a program project performed by a local
agency under a contract with the State.
5. The Local Agency has requested that a certain local highway project be funded as part of the
program, and by the date of execution of this contract the Local Agency (and/or the State) has
completed and submitted a preliminary version of CDOT form#463 describing the general nature of
that project work. The Local Agency understands that,before the project work is actually started,the
description of the project work in that CDOT form#463 will likely be revised as a result of design
changes made by CDOT, in conjunction and coordination with the Local Agency, in its internal
review process. The Local Agency desires to agree to perform the project work as described in the
Form#463, as it may be revised in that Process.
6. Federal-aid funds have been made available for project,AQC C570-009,which shall consist
of construction of pavement for a parking area within the Aspen/Pitkin County PM10 Non-
attainment area and purchasing a 12-15 passenger van, herein referred to as "the project" or "the
work"in Pitkin County,Colorado,specifically described in Exhibit A,attached hereto and made part
hereof(the Form 4463 and/or a"Scope of Work").
7. The matching ratio for this federal-aid project is 82.79%federal-aid funds to 17.21%Local
Agency funds,it being understood that such ratio applies only to such costs as are eligible for federal
participation,it being further understood that all non-participating costs shall be 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 ofthe project through this
contract, in order to obtain federal funds for the project.
9. The Local Agency has estimated the total cost of the Work and is prepared to provide its
match share of the cost, as evidenced by an appropriate ordinance or resolution duly passed and
adopted by the authorized representatives of the Local Agency,which expressly authorizes the Local
Agency to enter into this contract and to expend its match share of the Work. A copy of this
ordinance or resolution is attached hereto and incorporated herein as Exhibit B.
10. This contract is executed under the authority of §§ 29-1-203, 43-1-110, 43-1-116,
43-2-101(4)(c)and 43-2-144,C.R.S.,as amended, and the Local Agency ordinance/resolution.
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11. The parties hereto desire to agree upon the division of responsibilities with regard to the
project.
12. The Local Agency is adequately staffed and suitably equipped to undertake and satisfactorily
complete some or all of the Work.
13. The State certifies that such work can be more advantageously performed by the Local
Agency.
NOW,THEREFORE, it is hereby agreed that:
I. STANDARD FORM CONTRACT
This is a standard form contract that is designed to efficiently contract for and administer 2 types of
program projects: 1) program projects which include the same basic work elements (design;
construction;construction administration by local agency;right-of-way;utilities;etc.); and also, 2)
program projects with specific differences in those basic work elements(�+a specific project may
include design but no construction,or it may include design and construction but the State will do
the construction administration,etc.)
The form contract accommodates both types of projects by using qualifying language to condition
the application of particular contract requirements, based on whether specific work elements are
included in the project. For instance, where the contract provides ... "If the Work includes
engineering/design services, the Local Agency shall perform the following requirements ...", the
Local Agency need perform those requirements only if engineering/design services are expressly
included in the project,as defined in the Scope of Work. (Conversely,notwithstanding that language
is in the contract,the Local Agency can ignore those"requirements" if engineering/design services
are NOT expressly included in the Scope of Work.)
The Local Agency shall interpret such qualifying language in that manner. By using such language,
the form contract can apply to both the general and the specific types of projects, thus making it
easier to administer and saving the State and the Local Agency time and expense.
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H. PROJECT DESCRIPTION
"The project" or"the Work" under this contract shall consist of this project involves construction
of pavement for a parking area within the Aspen/Pitkin County PM10 Non-attainment area and
purchasing a 12-15 passenger van, in Pitkin County,Colorado, as more specifically described in
Exhibit A, attached hereto and made a part hereof(the Form#463 and/or a"Scope of Work")as
it may be revised by the parties in the design review process before the project work is actually
started.
III. INCORPORATION BY REFERENCE
All federal and state statutes,regulations, specifications, administration checklists, directives,
procedures, documents,and publications that are specifically identified and/or referenced in this
contract,together with all exhibits and attachments and addenda to this contract, are incorporated
herein by this reference as terms and conditions of this contract as though fully set forth.
IV. WORK RESPONSIBILITY
The Local Agency shall be responsible to perform all design and/or right-of-way and/or utility
and/or construction and/or construction administration tasks required to complete the Work, and
the Local Agency shall comply with all applicable terms and conditions of this contract in
performing the Work, including those process and task responsibilities and standards as
specifically indicated in the Pre-Construction and Construction Administration Checklists
attached hereto and made a part hereof. The responsible party shall perform all such tasks in
accordance with applicable requirements and standards, including those in this contract and in
applicable law.
V. PROJECT FUNDING PROVISIONS
The funding provisions for the project are attached hereto and incorporated herein as Exhibit C.
VI. PROJECT PAYMENT PROVISIONS
A. The State will reimburse the Local Agency for the federal-aid share of the project charges
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following the State's review and approval of such charges, subject to the terms and
conditions of this contract. Provided,however,that charges incurred by the Local
Agency prior to the date of FHWA authorization for the project and prior to the date this
contract is executed by the State Controller or his designee will not be charged by the
Local Agency to the project, and will not be reimbursed by the State, absent specific
FHWA and/or State Controller approval thereof.
B. The State will reimburse the Local Agency's reasonable,allocable, allowable costs of
performance of the Work,not exceeding the maximum total amount described in Exhibit
C. The applicable principles described in Title 49,Code of Federal Regulations, Part 18
(the"Common Rule"),Subpart C("Financial Administration"),including 49 C.F.R.
18.22, shall govern the allowability and allocability of costs under this contract. The
Local Agency shall comply with all such principles. To be eligible for reimbursement,
costs by the Local Agency shall be:
1. in accordance with the provisions of Exhibit C and with the terms and conditions
of the contract.
2. necessary for accomplishment of the Work.
3. reasonable in amount for the goods and services provided.
4. actual net cost to the Local Agency(i.e.,the price paid minus any refunds,rebates,
or other items of value received by the Local Agency that have the effect of
reducing the cost actually incurred).
5. incurred for Work performed subsequent to the effective date of this contract.
6. satisfactorily documented.
C. The Local Agency shall establish and maintain a proper accounting system in accordance
with generally accepted accounting standards (a separate set of accounts, or as a separate
and integral part of its current accounting scheme)to assure that project funds are
expended and costs accounted for in a manner consistent with this contract and project
objectives.
1. All allowable costs charged to the project, including any approved services
contributed by the Local Agency or others, shall be supported by properly
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executed payrolls,time records,invoices,contracts or vouchers evidencing in
detail the nature of the charges.
2. Any check or order drawn up by the Local Agency, including any item which is or
will be chargeable against the project account shall be drawn up only in
accordance with a properly signed voucher then on file in the office of the Local
Agency, which will detail the purpose for which said check or order is drawn. All
checks,payrolls,invoices,contracts,vouchers,orders or other accounting
documents shall be clearly identified,readily accessible, and to the extent feasible,
kept separate and apart from all other such documents.
D. Upon execution of this contract,the State is authorized, in its discretion,to perform any
necessary administrative support services pursuant to this contract. These services may
be performed prior to and in preparation for any conditions or requirements of this
contract,including prior FHWA approval of project work. The Local Agency
understands and agrees that the State may perform such services, and that payment for
such services shall be at no cost to the State but shall be as provided in Exhibit C. At the
request of the Local Agency,the State shall also provide other assistance pursuant to this
contract as may be agreed in writing. In the event that federal-aid project funds remain
available for payment,the Local Agency understands and agrees the costs of any such
services and assistance shall be paid to the State from project funds at the applicable rate.
However, in the event that such funding is not made available or is withdrawn for this
contract,or if the Local Agency terminates this contract prior to project approval or
completion for any reason, then all actual incurred costs of such services and assistance
provided by the State shall be the sole expense of the Local Agency.
E. If the Local Agency is to be billed for 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 45 days after receipt of each bill. Should the Local
Agency fail to pay moneys due the State within 45 days of demand or within such
other period as may be agreed between the parties hereto,the Local Agency agrees
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that at the request of the State,the State Treasurer may withhold an equal amount
from future apportionments due the Local Agency from the Highway Users Tax
Fund and to pay such funds directly to the State. Interim funds,until the State is
reimbursed,shall be payable from the State Highway Supplementary Fund(400).
2. If the Local Agency fails to make timely payment to the State as required by this
section(within 45 days after the date of each bill),the Local Agency shall pay
interest to the State at a rate of one percent per month on the amount of the
payment which was not made in a timely manner,until the billing is paid in full.
The interest shall accrue for the period from the required payment date to the date
on which payment is made.
F. The Local Agency will prepare and submit to the State monthly charges for costs incurred
relative to the project. The Local Agency's invoices shall include a description of the
amounts of services performed,the dates of performance and the amounts and description
of reimbursable expenses. The invoices will be prepared in accordance with the State's
standard policies,procedures, and standardized billing format attached hereto and made a
part hereof as Exhibit D.
G. To be considered for payment,billings for payment pursuant to this contract must be
received within 60 days after the period for which payment is being requested and final
billings on the contract must be received by the State within 60 days after the end of the
contract term.
1. Payments pursuant to this contract shall be made as earned, in whole or in part,
from available funds,encumbered for the purchase of the described services. The
liability of the State, at any time, for such payments shall be limited to the amount
remaining of such encumbered funds.
2. In the event this contract is terminated,final payment to the Local Agency may be
withheld at the discretion of the State until completion of final audit.
3. Incorrect payments to the Local Agency due to omission,error, fraud,or
defalcation shall be recovered from the Local Agency by deduction from
subsequent payment under this contract or other contracts between the State and
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Local Agency,or by the State as a debt due to the State.
4. Any costs incurred by the Local Agency that are not allowable under the Common
Rule shall be reimbursed by the Local Agency, or offset against current
obligations due by the State to the Local Agency, at the State's election.
VII. STATE COMMITMENTS
A. The State will provide liaison with the Local Agency through the State's Region Director,
Region 3,222 South Sixth Street,Grand Junction,Colorado 81501-2769,970)-248-7225.
Said Region Director will also be responsible for coordinating the State's activities under
this contract. Said Region Director will also issue a"Notice to Proceed" to the Local
Agency for commencement of the Work. All communication relating to the day-to-day
activities for the work shall be exchanged between representatives of the State's
Transportation Region 3 and the Local Agency. Until changed by notice in writing,all
routine correspondence shall be addressed as follows:
If to State: If to the Local Agency:
Joseph T.Elsen,Resident Engineer Brian Pettet
CDOT Region 3 Pitkin County
202 Centennial 76 Service Center Road
Glenwood Springs,Co. 81601 Aspen, Colorado,81611
[(970)945-8187 (970) 920-5390
B. The State will reimburse the Local Agency for the federal-aid share of the project
charges, as provided in Exhibit C.
C. If the Work includes construction,the State, at its discretion,will review construction
plans,special provisions and estimates and will cause the Local Agency to make those
changes therein that the State determines are necessary to assure compliance with State
and FHWA requirements.
D. The State will perform a final project inspection prior to project acceptance as a Quality
Control/Assurance activity. When all project work has been satisfactorily completed,the
State will sign the FHWA form 1212.
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VM. LOCAL AGENCY COMMITMENTS
A. DESIGN.
I. If"the Work" includes preliminary design,or final design (a.k.a. "construction plans"), or
design work sheets, or special provisions and estimates (collectively referred to as "the
Plans"),the party that is responsible under Section IV(either the Local Agency or the State)
for the Plansklesign shall comply with the following requirements, as applicable:
1. perform or provide the Plans,to the extent required by the nature of the Work.
2. prepare final design ("construction plans") in accord with the requirements of the
latest edition of the American Association of State Highway Transportation Officials
(AASHTO)manual.
3. prepare special provisions and estimates in accord with the State's Roadway and
Bridge Design Manuals and Standard Specifications for Road and Bridge
Construction.
4. include details of any required detours in the Plans, in order to prevent any
interference of the construction work and to protect the traveling public.
5. stamp the Plans produced by a Colorado Registered Professional Engineer.
6. provide final assembly of Plans and contract documents.
7. be responsible for the Plans being accurate and complete.
8. make no further changes in the Plans following the award of the construction contract
except by agreement in writing between the parties.The Plans shall be considered
final when approved and accepted by the parties hereto,and when final they shall be
deemed incorporated herein.
II. If the Local Agency is the responsible party:
1. It shall afford the State ample opportunity to review the Plans and make any changes
in the Plans as directed by the State to comply with FHWA requirements.
2. It may enter into a contract with a consultant to do all or any portion of the Plans
and/or of construction administration. Provided,however,that if federal-aid funds
are to participate in the cost of such work to be done by a consultant, the Local
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Agency shall ensure that its procurement of that consultant contract (and the
performance/provision of the Plans under that contract)complies with all applicable
requirements of Title 23,Code of Federal Regulations(CFR),Part 172,(concerning
the Administration of Engineering and Design Related Service Contracts),and with
any procedures implementing those requirements as provided by the State,including
those in Attachment#1,which is incorporated herein by this reference. if the Local
Agency does enter into a contract with a consultant for the work:
a) it shall (or its consultant shall) submit any design consultant subcontract to
CDOT for approval prior to its execution by the Local Agency/Contractor, as
required by§ 172.5 (d);
b) it shall ensure that all changes in the consultant contract shall be by written
supplemental agreement and must have prior approval of the State and FHWA. As
soon as the contract with the consultant has been awarded by the Local Agency,one
copy of the executed contract shall be submitted to the State. Any amendments to
such contract shall be similarly submitted;
c) it shall require that all consultant billings under that contract shall comply
with the State's standardized consultant billing format. Examples of the billing
formats for the various methods of contract payment are attached hereto as
Attachment 2;
d) it shall(or its consultant shall)also use the CDOT procedures as described in
Attachment#1 to administer that design consultant subcontract, to comply with §
172.5(b) and(d);
e) it may expedite any CDOT approval of its procurement process and/or
consultant contract by submitting a letter to CDOT from the certifying Local
Agency's attorney and/or authorized representative certifying compliance with those
CDOT Attachment#1 procedures and with the requirements of§ 172.5(b) and (d).
f) it shall ensure that its consultant contract complies with the requirement of 49
CFR § 18.36(i) and contains the required provisions, as well as the following
language which shall be included verbatim:
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1) "The design work under this contract shall be compatible with the
requirements of a separate contract between the Local Agency and the State
(which is incorporated herein by this reference)for the design/construction of
the project. The State is an intended third party beneficiary of this contract
for that purpose."
2) "Upon advertisement of the project work for construction, the
consultant shall make available services as requested by the State to assist the
State in the evaluation of construction and the resolution of construction
problems that may arise during the construction of the project."
3) "The consultant shall review the construction contractor's shop
drawings for conformance with the contract documents and compliance with
the provisions of the State's publication, "Standard Specifications for Road
and Bridge Construction",in connection with this work."
B. CONSTRUCTION.
I. If"the Work" includes construction, the party that is responsible under Section IV for the
construction/construction administration(either the Local Agency or the State)shall perform
the construction in accordance with the approved design plans and/or administer the
construction all in accord with the project's Pre-construction and Construction Contract
Administration Checklists. Such administration shall include project inspection and testing;
approving sources of materials; performing required plant and shop inspections;
documentation of contract payments, testing, and inspection activities; preparing and
approving pay estimates; preparing, approving, and securing the funding for contract
modification orders (CMOs) and minor contract revisions (MCRs); processing contractor
claims;construction supervision;and,meeting the Quality Control(QC)requirements of the
FHWA/State stewardship program, all as more fully described in the projects Pre-
construction and Contract Administration Checklists.
H. If the Local Agency is the responsible party:
1. it shall appoint a qualified professional engineer,licensed in the State of Colorado,as
the Local Agency Project Engineer (LAPS), to perform that administration. The
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LAPE shall administer the project in accordance with this agreement, the
requirements of the construction contract, and applicable State procedures. The
LAPE may be an employee of the Local Agency or may be a consultant. If the LAPE
is an employee of the Local Agency,the LAPE shall be in responsible charge of the
construction of the project (as provided in § 12-25-102 C.R.S. as amended),
notwithstanding any exception described in § 12-25-103, C.R.S., as amended.
2. if bids are to be let for the construction of the project, it shall advertise the call for
bids in conjunction with the State and upon concurrence by the State, award the
construction contract(s) to the low responsive,responsible bidder(s).
a) In advertising and awarding the bid for the construction of a federal-aid
project,the Local Agency shall comply with applicable requirements of 23 U.S.C.
§ 112 and 23 C.F.R. §§ 633 and 635 and §24-92-101 et seq. C.R.S. Those
requirements include, without limitation, that the Local Agency/Contractor shall
physically incorporate the entire "Form 1273"(which, if relevant to this contract,is
attached)verbatim into any subcontract(s)for those services as terms and conditions
thereof, as required by 23 CFR § 633.102(e).
b) The Local Agency has the option to accept or reject the proposal of the low
bidder for work on which competitive bids have been received. The Local Agency
must declare the acceptance or rejection at the award conference or within 3 working
days after said bids are publicly opened,whichever occurs later.
c) By indicating its concurrence in such award at the award conference, the
Local Agency acting by or through its duly authorized representatives, agrees to
provide additional funds, subject to their availability and appropriation for that
purpose, if required to complete the Work under this project if no additional
federal-aid funds will be made available for the project.)
3. if all or part of the construction work is to be accomplished by Local Agency
personnel i.e.,by"force account'),rather than by a contractor pursuant to a contract
with the Local Agency,the Local Agency will ensure that all such force account work
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is accomplished in accordance with the pertinent State specifications and
requirements and with 23 C.F.R.Part 635,Subpart B,"Force Account Construction".
a) Such work will normally be based upon estimated quantities and firm unit
prices agreed to between the Local Agency,the State and the FHWA in advance of
the Work,as provided for in§635.204(c). Such agreed unit prices shall constitute a
commitment as to the value of the Work to be performed.
b) An alternative to(a)is that the Local Agency may agree to participate in the
Work based on actual costs of labor, equipment rental, materials supplies and
supervision necessary to complete the Work. Where actual costs are used,eligibility
of cost items shall be evaluated for compliance with Federal Acquisition Regulations
(FAR),48 C.F.R. Part 31.
c) Rental rates for publicly owned equipment will be determined in accordance
with §109.04 of the State's "Standard Specifications for Road and Bridge
Construction".
d) All force account work shall have prior approval of the State and/or FHWA
and shall not be initiated until the State has issued a written notice to proceed.
C. ROW AOUISITION/RELOCATION.
Prior to this project being advertised for bids,the Local Agency will certify in writing to the
State that all right of way has been acquired in accordance with the applicable State and
federal regulations, or that no additional right of way is required.
D. UTn rM.
The Local Agency will be responsible for obtaining the proper clearance or approval from
any utility company which may become involved in this project, by separate agreement
between the Local Agency and the utility,if necessary. Prior to this project being advertised
for bids,the Local Agency will certify in writing to the State that all such clearances have
been obtained.
E. RAILROADS.
In the event the project involves modification of a railroad company's facilities at a railroad
grade crossing whereby the Work is to be accomplished by railroad company forces, the
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Local Agency shall make timely application to the State Public Utilities Commission
requesting its order providing for the installation of the proposed improvements and not
proceed with that part of the work without compliance. The Local Agency shall also
establish contact with the railroad company involved for the purpose of complying with
applicable provisions of 23 Code of Federal Regulations 646,Subpart B,concerning federal-
aid projects involving railroad facilities, including:
1. Executing an agreement setting out what work is to be accomplished and the
location(s)thereof,and that the costs of the improvement shall be eligible for federal
participation.
2. Obtaining the railroad's detailed estimate of the cost of the Work.
3. Establishing future maintenance responsibilities for the proposed installation.
4. Prescribing future use or dispositions of the proposed improvements in the event of
abandonment or elimination of the grade crossing.
5. Establishing future repair and/or replacement responsibilities in the event of
accidental destruction or damage to the installation.
F. ENVIRONMENTAL.
The Local Agency shall perform all work in accord with the requirements of current federal
and state environmental regulation including the National Environmental Policy Act of 1969
(NEPA) as applicable.
G. RECORD KEEPING.
L The Local Agency shall maintain all books,documents,papers,accounting records and other
evidence pertaining to costs incurred and to make such materials available for inspection at
all reasonable times during the contract period and for 3 years from the date of final payment
to the Local Agency. Copies of such records shall be furnished by the Local Agency if
requested.
H. The Local Agency shall, during all phases of the Work,permit duly authorized agents and
employees of the State and the FHWA to inspect the project and to inspect,review and audit
the project records.
H. MAINTENANCE.
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The Local Agency will maintain and operate the improvements constructed under this
contract,at its own cost and expense during their useful life,in a manner satisfactory to the
State and FHWA, and will make ample provision for such maintenance each year. Such
maintenance and operations shall be in accordance with all applicable statutes and
ordinances, and regulations promulgated thereunder, which define the Local Agency's
obligation to maintain such improvements. The State and FHWA will make periodic
inspections of the project to verify that such improvements are being adequately maintained.
I. FEDERAL REQUIREMENTS.
The Local Agency/Contractor shall at all times during the execution of this contract strictly
adhere to, and comply with, all applicable federal and state laws, and their implementing
regulations, as they currently exist and may hereafter be amended,which are incorporated
herein by this reference as terms and conditions of this contract. The contractor shall also
require compliance with these statutes and regulations in subgrant agreements permitted
under this contract. A listing of some of the federal and state laws that may be applicable,
depending on the Local Agency/Contractor work responsibilities under this contract, are
described in ADDENDUM A.
J. DBE REQUIREMENTS
The Local Agency will comply with the requirements of Appendix B and the Construction
Contract Administration Checklist regarding DBE requirements for the work,except that if
the Local Agency desires to use its own DBE Program to implement and administer the DBE
provisions of Title 49 CFR Part 23 under this contract,it must submit a copy of its program's
requirements to CDOT for review and approval before the execution of this contract. If the
Local Agency uses its program for this contract,the Local Agency shall be solely responsible
to defend that DBE Program and its use of that Program against all legal and other challenges
or complaints,at its sole cost and expense. Such responsibility includes,without limitation,
determinations concerning DBE eligibility and certification,adequate legal and factual bases
for DBE goals,and good faith efforts. CDOT approval(if any)of the Local Agency's DBE
Program does not waive or modify the sole responsibility of the Local Agency for its use as
described above.
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K. LOCAL AGENCY FUNDS
The Local Agency shall provide its match share and indirect cost funds for the work as
outlined in Exhibit C.
IX. TERM
This contract shall become "effective" only upon the date it is executed by the State
Controller,or designee. The term of this contract shall begin on the date first written above
and shall continue through the completion and final acceptance of this project by the State,
FHWA and Local Agency.
X. GENERAL PROVISIONS
A. Notwithstanding any consents or approvals given by the State for the Plans,the State will not
be liable or responsible in any manner for the structural design,details or construction of any
major structures that are designed within the Work of this contract.
B. If the Work involves construction, the State shall have the authority to suspend the Work,
wholly or in part,by giving written notice thereof to the Local Agency,due to the failure of
the Local Agency or its construction contractor to correct project conditions which are unsafe
for the Workmen or for such periods as the State may deem necessary due to unsuitable
weather,or for conditions considered unsuitable for the prosecution of the Work,or for any
other condition or reason deemed by the State to be in the public interest.
C. This contract may be terminated as follows:
1. Termination for Cause. If,through any cause,the Local Agency shall fail to fulfill,
in a timely and proper manner, its obligations under this contract, or if the Local
Agency shall violate any of the covenants, agreements, or stipulations of this
contract,the State shall thereupon have the right to terminate this contract for cause
by giving written notice to the Local Agency of its intent to terminate and at least ten
(10)days opportunity to cure the default or show cause why termination is otherwise
not appropriate. In the event of termination, all finished or unfinished documents,
data, studies, surveys, drawings, maps, models, photographs, and reports or other
-16-
t �
material prepared by the Local Agency under this contract shall,at the option of the
State,become its property,and the Local Agency shall be entitled to received just and
equitable compensation for any services and supplies delivered and accepted. The
Local Agency shall be obligated to return any payment advanced under the provisions
of this contract.
Notwithstanding above, the Local Agency shall not be relieved of liability to the
State for any damages sustained by the State by virtue of any breach of the contract
by the Local Agency.
If after such termination it is determined,for any reason,that the Local Agency was
not in default, or that the Local Agency's actiontinaction was excusable, such
termination shall be treated as a termination for convenience, and the rights and
obligations of the parties shall be the same as if the contract had been terminated for
convenience,as described herein.
2. Termination for Convenience. The State may terminate this contract at any time the
State determines that the purposes of the distribution of funds under the contract
would no longer be served by completion of the project. The State shall effect such
termination by giving written notice of termination to the Local Agency and
specifying the effective date thereof, at least twenty (20) days before the effective
date of such termination.
3. Termination Due to Loss of Funding. The parties hereto expressly recognize that the
Local Agency is to be paid, reimbursed, or otherwise compensated with federal
and/or State funds which are available to the State for the purposes of contracting for
the project provided for herein, and therefore, the Local Agency expressly
understands and agrees that all its rights, demands and claims to compensation
arising under this contract are contingent upon availability of such funds to the State.
In the event that such funds or any part thereof are not available to the State, the
State may immediately terminate or amend this contract.
D. Notwithstanding anything herein to the contrary, the parties understand and agree that all
terms and conditions of this contract and attachments hereto which may require continued
-17-
performance or compliance beyond the termination date of the contract shall survive such
termination date and shall be enforceable by the State as provided herein in the event of such
failure to perform or comply by the Local Agency.
E. This contract is subject to such modifications as may be required by changes in federal or
State law, or their implementing regulations. Any such required modification shall
automatically be incorporated into and be part of this contract on the effective date of such
change as if fully set forth herein. Except as specifically provided otherwise herein, no
modification of this contract shall be effective unless agreed to in writing by both parties in
an amendment to this contract that is properly executed and approved in accordance with
applicable law.
F. To the extent that this contract may be executed and performance of the obligations of the
parties may be accomplished within the intent of the contract,the terms of this contract are
severable,and should any term or provision hereof be declared invalid or become inoperative
for any reason, such invalidity or failure shall not affect the validity of any other term or
provision hereof. The waiver of any breach of a term hereof shall not be construed as a
waiver of any other term, or the same term upon subsequent breach.
G. This contract is intended as the complete integration of all understandings between the
parties. No prior or contemporaneous addition,deletion,or other amendment hereto shall
have any force or effect whatsoever, unless embodied herein by writing. No subsequent
novation, renewal, addition, deletion, or other amendment hereto shall have any force or
effect unless embodied in a written contract executed and approved pursuant to the State
Fiscal Rules.
H. Except as herein otherwise provided,this contract shall inure to the benefit of and be binding
upon the parties hereto and their respective successors and assigns.
I. The Local Agency represents and warrants that it currently has no interest, and shall not
acquire any interest,direct or indirect,that would conflict in any manner or degree with the
performance of the Local Agency's obligations under this contract. The Local Agency's
further covenants that,in the performance of this contract,it will not employ any person or
firm having any such known interests.
-18-
�`a
J. The Special Provisions, Attachment LO (Certification for Federal-Aid Contracts), and
Appendix B(DBE requirements)and Addendum B,Contract Modification Tools, attached
hereto are hereby made a part of this contract. The Local Agency shall comply with all
applicable terms and conditions of such attachments.
K. If a conflict occurs between the provisions of this contract proper and the attachments hereto,
the priority to be used to resolve such a conflict shall be as follows:
1. The Special Provisions and the attachments enumerated in Section IX,paragraph K,
above; and
2. This contract proper;
3. Other contract exhibits and attachments,in descending order of their attachment.
L. It is expressly understood and agreed that the enforcement of the terms and conditions of this
contract,and all rights of action relating to such enforcement,shall be strictly reserved to the
parties hereto, and nothing contained in this contract shall give or allow any such claim or
right of action by any other or third person on such contract. It is the express intention of the
parties that any person or entity other than the parties receiving services or benefits under this
contract be deemed to be an incidental beneficiary only.
M. The Local Agency assures and guarantees that it possesses the legal authority to enter into
this contract. The Local Agency warrants that it has taken all actions required by its
procedures, by-laws, and/or applicable law to exercise that authority, and to lawfully
authorize its undersigned signatory to execute this contract and to bind the Local Agency to
its terms. The person(s)executing this contract on behalf of the Local Agency warrants that
they have full authorization to execute this contract.
-19-
IN WITNESS WHEREOF,the parties hereto have executed this contract the day and
year first above written.
STATE OF COLORADO
ATTEST: BILL OWENS, GOVERNOR
Chief Clerk IExecutive Director
DEPARTMENT OF TRANSPORTATION
APPROVED:
ARTHUR L.BARNHART KEN SALAZAR
State Controller Attorney General
By 7� By
stant Attorney General
ivil Litigation Section
r
SEAL ;
A PITKIN COUNTY,COLORADO
B ' J By - a
Ti Title a00L 0gAirZyrqesoA)
Federal Employer Identification
Number: 846000794
-20-
30torado Departinent of Transportation Origin Date: 03/08/2002 Project code: 13657 STIP number:IN3659
DESIGN DATA Revise Date: Project number.AQC C570-009
PE Proloo Code PEP m r
�MeMc 0 English Revision 0:
'age 1 Region: 03
Itatus: 0 preliminary O final p revised Project description:FY 02 ASPEN CMAQ
'repared by: Revised by: Countyl: Pitkin ICounty2: ICounty8:
)avid C.Miller
)ate: 03/08/2002 Date: Municipality:
iubmilted by Proj.Mgr Approved ns ion E [near System code: Q IM p NHS p STP OTHER
b
ALLERDC Oversight: CDOT 0 FHWA Q OTHER
)ate: Planned length:
3"raphic location:
at the Pitkin County airport.
remain type: O Level p Plains Q Roiling Q Urban Mountainous
)sscrMtion of proposed consuuctlonfrnprovement(attach map showing site location)
PM-10 Mrtigaton on SH 82, Purchase of a passenger vad for Employees to commute,the asphalt surfacing of parking lots at the County airport
Traffic (Note:use columns A,B,and/or C to identify facility described below)
Current year. Future year.
Facilitylocation
Facility ADT DHV DHV%trucks ADT DHV Industrial Commercial Resklentiai I Other
A Airport Paddng Lot ❑ I U I U I U
g 1 ❑ ❑ ❑ ❑
--- . . . - - --- -- - --❑- --❑ 1 - 0- - 1 ❑
RdwyClass Route I End Functional classification Facility type Rural code
1. 999 Local Not Roadway 5,000-49,999
2.
3.
Design Standards (Identify substandard items with a checkmark in 1 at column and clarify in remarks)
A= Airport Parking Lot I B= I C-
Standard I Existing lProposedi ultimate I Standard I Existing 11'roposedl Ultimate Istandardl Existing Froposedl Ultimate
surface type soft HBP
n Typical section type
Lr�Ji fr of travel lanes
❑ Width of travel lanes
�❑ Shoulder wd.it/median
❑ Shoulder wd rtJoutside
❑ Side slope dlst.("z")
❑ Median width
❑ Posted speed
❑ Design speed
❑ ' Max superelevation
❑ Min.radius
❑ Min.horizontal asd
❑ Min.vertical ssd
❑ Max.grade
Project under 0 1R Q 3R p 4R p Other. criteria Existing guardrail meets current standards: O Yes Q No
Variance in minimum design standards required Q Yes p No ❑safely project Comments'
❑Justification attached ❑Request to be submitted Not ell standards No Guardrail involved
❑Bridge(see item 4) ❑see remarks addressed
Stage construction
Resurfacing projects
Recommendations concerning safety aspects attached
EXHIBIT A 9-3
loge2 Project Code: 13657 Project Number AQC C570-M Revise Date:
• Major Structures
IS-to stay.R=to be removed P-Proposednew structure I Standard Structure Horizontal Vertical Year
PointFeature Intersected Width Rdwy I Load I Clearance Clearance Built
Proposed treatment of bridges to remain in place(address bridge rail,capacity,and allowable surface thickness)
Project Characteristics (proposed) Median W.Q depressed Q painted Q raised 0 none
Lightin Handicap ramps Traffic control signals ✓Striping
Curb and utter Curb only Left-tum slots n continuous width-
Sidewalk width= Bikeway width RI ht-tum slots continuous width=
F�Psrldng lane width= Detours Signing: f7loonstruckkn npermanent
Landscape requirements:(description) Other:(description)
Right of Way Yes No Est.No. UUlides (list names of known utility companies)
ROW and/or perm.easement required: O 0 unknown at this time
Relocation required: O
- - - Temporary easeramt4equlred:- Q - -�-- - - - - - - - - - - - - -
Changes in access: Q
Changes to connecting roads: Q
Railroad crossings S of crossings:
Agreements
Railroad Name required Present protection Condition of kings
1
2 ❑
3 ❑
4 ❑
Recommendations:
• Enviromnental
Type:
Comments:
L Coordirwtion
Withdrawn lands(power sites,reservoirs,eta)Geared through BLM forest service office Irrigation ditch name:
New traffic ordinance required I LJ Modify schedule of existing ordinance Municipality:
Other.
Construction method noAdReason:O Design Q Local F/A
Advertised by Q State O P.O. p RR F/A EntitylAgency contact name: Brian Pettet
Local O Study O Utility F/A Phone number. (970)920-5390
O None Q COOT FA Q Miscellaneous
Remarks (Include additional pages If needed)
This is a CMAQ project to purchase a passenger van for commuting and an asphalt surface treatment to two parking lots at the Pitkin County Airport
MAY. 9. 20022 5:37PW PITKIN COUNTY PUBLIC WORKS1iR NO. 1479 IP. 2
A RESOLUTfON OF THE BOARD OF COUNTY COMMISSIONERS OF PTTKIN COUNTY,
-COLORADO, APPROVING THE 04AQ GRANT (Congestion mitigation and air quality
improvement program)BETWEEN CDOT AND MIN COUNTY
Resolution No. Q1$--2002
1, This projeea includes transforming a dirt and gravel packing area within the Aspufflitkio
County PM 10 Non-attainment area Into a hard surfaced parking lot.ea well as the purchase
of a paalsnger van for Pitkin County cm ioyees to utilise Im commuting to work within the
PM 10 Non-attainment area of Pitkin County during hours which transit unviees are not
available,
2 Total program Budgat is$1M,174.00
3. The matching ratio for them federal-aid project is 82.79%Fadenl-aid funds to 17,21% Local
Agency&nds,with all non-partteipating emu to be borne by the Local Agency at 100%.
4. The Local Agency agrees to adhere to the full terms and conditions as outlined in the
Conrad.
NOW TIMMORE BE IT RESOLVED by the Board of County Commissioners of Piddo
County:Colorado approves and accepts the CMAQ grant and Contract.
_A"ROVED AND ADOPTED ON THE
DAY OF M Qn 21102
p�AF1ER ADOPTION IN=AM TIMES ON THE
DAY OF 2002.
BOARD OF COUNTY COMMISSIONERS
OF PITKIN COUNTY,COL ORADO
! By;
J tte Jones Patti Kay-Clapper, aitpemh,
ty Clerk 4 R rdar
Datr.05.09-ea
1
► l(HIBIT B, Page / of L
�. 5
MAY. 9. 20022 5: 37PMM PITKIN COUNTY PUBLIC WORKS-H NO. 1479 IP. 3
APPROVED AS TO FORM: MANAOSR APPROVAL'
_ / /L
John My Hilary F r Smith
Cou tney County tutagee
ettet
Public Works Director
2
EXHIBIT B, Page of Z r
PRE-CONSTRUCTION ADMINISTRATION CHECKLIST
Region: 03 Grand Junction Project Code #: 13657
Local Agency: Pitkin County Project #: AQC C570-009
Design Project Manager: David C. MIller Location: Pitkin County
Resident Engineer: Joe Elsen Description: FY02 ASPEN CMAQ
The following checklist shall be utilized to establish the PRE-CONSTRUCTION
ADMINISTRATION CHECKLIST responsibilities of the individual parties to this
agreement.
RESPONSIBLE PARTY
LOCAL
NO. DESCRIPTION OF TASK AGENCY CDOT
1 . Transportation Improvement Program(T.I.P.) . . . . . . . . . . dt jX
2. Design Data (COOT Form #463) . . . . . . . . . . . . . . . . . . . . . . . .
3. Funding Authorization . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . X*
4. LAICDOT Project Agreement . . . . . . . . . . . . . . . . . . . . . . . . . . . X X
5. Utility, Railroad, and Consultant Agreements . . . . . . . . X X
6. Consultant Selection . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . _�
7. Field Inspection Review (FIR) . . . . . . . . . . . . . . . . . . . . . . . �c
8. Public Hearings . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
9. Environmental Processes . . . . . . . . . . . . . . . . . . . . . . . . . . . . . X*
10. Design Approval . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Y_
11 . Final Office Review (FOR) . . . . . . . . . . . . . . . . . . . . . . . . . . . X
12. Force Account Justification . . . . . . . . . . . . . . . . . . . . . . . . .
13. Proprietary Item Justification . . . . . . . . . . . . . . . . . . . . . .
14. Davis-Bacon Wage Rates (_Yes �,No) . . . . . . . . . . . . . . . . X
15. Design Exceptions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . _
RESPONSIBLE PARTY
LOCAL
NO. DESCRIPTION OF TASK AGENCY COOT
16. Rights-of Way . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . x_
17. Plans, Specifications and Construction Cost Estimates
18. EEO/DBE Requirements . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
19. Advertising Less Than Three Weeks . . . . . . . . . . . . . . . . . . .
20. LA Ad and Award . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
21 . Construction Administration . . . . . . . . . . . . . . . . . . . . . . . . .
/\Preliminary Checklist Date:
Revised Checklist Date:
Final Checklist Date:
*Requires FHWA concurrence/involvement.
04/29/96
CONSTRUCTION CONTRACT ADMINISTRATION CHECK LIST
Page' 1
COOT Region: 03 Grand Junction Project Code (SA#) : 13657
Local Agency: Pitkin County Project No. : AQC C570-009
COOT Resident Engineer: Joe Elsen Location: Pitkin County
Local Agency Project Manager: Brian Pettdt Description: FY02 ASPEN CMAQ
CDOT Design or Protect Engineer:
The following check list shall be utilized to establish the CONSTRUCTION
CONTRACT ADMINISTRATION responsibilities of the individual parties this
project. THE GHEGK LIST SHALL BE INCORPORATED INTO THE ENTITY AGREEMENT AT
PROJECT INCEPTION.
THE CHECK LIST SHALL BE PREPARED BY PLACING AN X UNDER THE RESPONSIBLE
AGENCY, OPPOSITE EACH OF THE TASKS LISTED BELOW. When CDOT is selected to
be responsible or co-responsible by option, the method of the Local
Agency's reimbursement for CDOT S costs must be established.
WHEN A TASK DOES NOT APPLY TO THE PROJECT, NON-APPLICABLE (NA) SHALL BE
PLACED UNDER BOTH AGENCIES, AND AN EXPLANATION OF WHY IT IS NOT APPLICABLE
SHALL BE INCLUDED.
TASKS WHICH WILL BE PERFORMED BY HEADQUARTERS STAFF WILL BE SO INDICATED.
THE REGION IN ACCORDANCE WITH ESTABLISHED POLICIES AND PROCEDURES, WHEN
APPLICABLE, SHALL DETERMINE WHO WILL PERFORM ALL OTHER TASKS WHICH ARE THE
RESPONSIBILITY OF COOT.
THE RESIDENT ENGINEER OR COOT DESIGNER SHALL NOTIFY THE APPROPRIATE
STAKEHOLDERS, AND THOSE ON THE MINIMUM DISTRIBUTION LIST BELOW, OF FIELD
INSPECTION REVIEWS (F.I.R. ) AND FINAL OFFICE REVIEWS (F.O.R. ) FOR ALL L. A.
PROJECTS.
IF A CHECK LIST WAS NOT INCORPORATED INTO THE ORIGINAL PROJECT AGREEMENT OR
THE CONSTRUCTION CONTRACT ADMINISTRATION RESPONSIBILITIES HAVE CHANGED THE
FOLLOWING PROCEDURES SHALL BE USED:
A preliminary check list shall be prepared by the CDOT Resident Engineer
(RE) with the CDOT Design PM, in cooperation with the LAPM, prior to the
F. I .R. and submitted to the Region Program Engineer (RPE) with the F. I .R.
notice. If Contract Administration responsibilities are changed after the
F.I.R. , the CDOT RE, in cooperation with the LA PM, shall prepare a revised
check list and distribute copies. The CDOT RE shall prepare the FINAL
check list prior to the F.O.R. and submit copies to all persons receiving
the F.O.R. notice. The minimum distribution list is shown below.
COPY:
PRELIMINARY CHECK LIST - DATE 3 s o COOT RE/PM
LA PM/PE
REVISED CHECK LIST - DATE COOT RPE
COOT Region
FINAL CHECK LIST - DATE Materials Engr.
REVISED 10/30/97
CONTRACT ADMINISTRATION CHECK LIST
PAGE 2
** RESPONSIBLE PARTY
LOCAL
NO. DESCRIPTION OF TASK AGENCY COOT
1 . Set Disadvantaged Business Enterprise (DBE) . . . X
goals for the project. (COOT Region EEO
Administrative Program Specialist)
2. Set On Job Training (OJT) goals for the . . . . .
project. (COOT Region EEO Administrative
Program Specialist when COOT is responsible. )
3. Assure the correct Federal Wage Decisions, . . . X
all required DBE/OJT Special Provisions and
the FHWA Form 1273 are included in the Contract
documents. (COOT RE or Designer)
This project is exempt from Davis-Bacon
requirements as determined by the functional
classification of the project location. (Note:
Projects located on local roads and rural minor
collectors may be exempt. )
'( &-vt_ 3 s o Z—
OT RE or Designer Date
4. Advertise for bids/open bids. (COOT . . . . . . .
Construction Contracts Unit, Staff
Design Branch, when COOT is responsible. )
5. Distribute "bid set" of plans and specifications _
to the person responsible for showing the
project. (COOT Printing and Visual Communications
Center, Division of Human Resources and
Administration when COOT is responsible. )
6. Review work site and plan details with . . . . . X _
prospective bidders while project is under
advertisement. (COOT Resident Engineer when
COOT is responsible. )
**
NOTE: Only one responsible party should be selected .
If both are selected, a supplemental agreement
specifying what task details are the responsibility
of each party shall be attached to the Check List.
When COOT is responsible or co-responsible by option,
the method of the Local Agency's reimbursement for
COOT's costs must be established by an attached
Memorandum of Understanding (MOU) .
REVISED 10/30/97
3�
CONTRACT ADMINISTRATION CHECK LIST
PAGE 3
** RESPONSIBLE PARTY
LOCAL
NO. DESCRIPTION OF TASK A ENCY CDOT
7. Determine compliance with DBE requirements
before the Contract is awarded:
a. Check COOT Form #715 - Certificate of . . . . X
Proposed DBE Participation, when the low
bidder meets DBE goals. (COOT Business
Programs Office, (303)757-9234, Room 287,
Division of Human Resources and
Administration)
b. Evaluate COOT Form #718 - DBE Good Faith . . . X
Effort Documentation, and determine if
the Contractor has made a good faith effort
when the low bidder does not meet DBE goals.
(COOT Business Programs Office)
C. Approve/disapprove award of Contract by . . . X
completing COOT Form #719 - DBE Participation
Summary. THIS FORM MUST BE COMPLETED BEFORE
THE CONTRACT IS AWARDED.
(COOT Business Programs Office)
8. Approve rejection of low bidder . . . . . . . . . . X
9. Award Contract (CDOT Construction Contracts . . . . _
Unit, Staff Design Branch, when COOT is
responsible. )
10. Distribute ,�g [number: minimum of six (6) ] . . . .
"award sets of plans and specifications to
COOT Resident Engineer.
(Further distribution will then be made to the
Region Program Engineer (RPE) , COOT Staff
Construction & Materials (2 sets) , the Region
Materials Engineer (RME) , and others as required.
COOT Printing and visual Communications Center,
Division of Human Resources and Administration
when CDOT is responsible. )
**
NOTE: Only one responsible party should be selected.
Refer to page 2 for additional information.
REVISED 10/30/97
31
CONTRACT ADMINISTRATION CHECK LIST
PAGE 4
** RESPONSIBLE PARTY
LOCAL
NO. DESCRIPTION OF TASK AGENCY COOT
11 . Issue "Notice to Proceed" to the Contractor. _
(COOT Construction Contracts Unit, Staff
Design Branch, when COOT is responsible. )
12. Conferences:
a. Preconstruction (Request Preconstruction . . . _
packet of information from Region EEO
Administrative Program Specialist prior
to the conference. COOT Resident Engineer
when COOT is responsible. )
b. Partnering . . . . . . . . . . . . . . . . . . . _
c. Presurvey:
(1 ) Construction staking . . . . . . . . . . . . _
(2) Monumentation . . . . . . . . . . . . . . .
d. Structural concrete prepour . . . . . . . . . . ��-
e. Concrete pavement prepaving . . . . . . . . . .
f. HBP prepaving . . . . . . . . . . . . . . . . . _
13. Supervision of construction:
a. Professional Engineer (PE) registered . . . . .
in Colorado, who will be "in responsible
charge of construction supervision" .
Local Agency PE or CDOT RE PE Phone number
b. Develop and distribute public notice of . . . .
planned construction to the media and
local residents.
**
NOTE: Only one responsible party should be selected.
Refer to page 2 for additional information .
REVISED 10/30/97
3�
CONTRACT ADMINISTRATION CHECK LIST
PAGE 5
** RESPONSIBLE PARTY
LOCAL
NO. DESCRIPTION OF TASK AGENCY COOT
C. Competent, experienced, staff who will Alz _
ensure the Contract work is constructed
in accordance with CDOT policies, standards
and procedures.
(Refer to the COOT Procedural Directives and
the following CDOT Operating Manuals for guidance
and assistance - CDOT Local Agency Federal Aid
Construction Manual, CDOT Construction Manual, CDOT
Field Materials Manual, CDOT Survey Manual, COOT
Standard Plans, CDOT Erosion Control Manual, COOT
Davis-Bacon Manual, CDOT EEO/Labor Compliance Manual)
( 1 ) COOT Form #205 - Sublet Permit Application:
(a) Check COOT Form #713 - Contractor X
DBE Subcontract, Supply and Service
Contract Statement. Sign Form #205
if Form #713 is complete. (COOT
Region EEO Administrative Program
Specialist)
(b) Check and sign approval of Form #205 _
after Form #713 has been checked by
the Region EEO Administrative Program
Specialist.
( 2) Construction inspection including . . . .
calculations, measurements, and
documentation of interim and final
pay quantities.
( 3) Conduct Contractor/Subcontractors . . . . X
reviews to ensure conformance with
the Equal Employment Opportunity(EEO)
/Affirmative Action(AA) /DBE/OJT
requirements contained in the Contract .
(standard Special Provisions, Project
Special Provisions and FHWA Form 1273)
(CDOT Region EEO Administrative
Program Specialist)
**
NOTE: Only one responsible party should be selected.
Refer to page 2 for additional information.
REVISED 10/30/97
33
CONTRACT ADMINISTRATION CHECK LIST
PAGE 6
** RESPONSIBLE PARTY
LOCAL
NO. DESCRIPTION OF TASK AGENCY CDOT
( 4) Notify COOT Region EEO Administrative . .
Program Specialist and request
assistance for all EEO/DBE/OJT/
Davis-Bacon questions or concerns.
( 5) Complete and submit to the COOT Region . .
EEO Administrative Program Specialist,
the required number of COOT Form #280 -
Equal Employment Opportunity and Labor
Compliance Verification.
( 6) Monitor DBE participation to ensure . . . _
compliance with the "Commercially
Useful Function" requirements.
( 7) Complete and submit to the CDOT Region Al A
EEO Administrative program Specialist,
the applicable number CDOT Form #200 -
OJT Training Questionnaire, when project
utilizes OJTs .
( 8) Check certified payrolls to verify . . . . AL - J]�
Contractor/subcontractors are in
compliance with Contract requirements.
The checking shall be completed by
project personnel trained in payroll
checking. (Contact the Region EEO
Administrative Program Specialist for
training requirements. )
( 9) Coordinate submittals by Contractor . . .
and all subcontractors of FHWA Form 1391
(Highway Construction Contractor' s Annual
EEO Report) to the COOT Region EEO
Administrative Program Specialist . The
Report is due to the Region EEO
Administrative Program Specialist by
August 10 for all construction projects
Active during the last complete week of July.
**
NOTE: Only one responsible party should be selected.
Refer to page 2 for additional information .
REVISED 10/30/97
� 1
CONTRACT ADMINISTRATION CHECK LIST
PAGE 7
** RESPONSIBLE PARTY
LOCAL
NO. DESCRIPTION OF TASK A ENCY COOT
(10) Materials:
(a) CDOT Form #250 -
Materials Documentation Record:
I) Develop, fill out and distribute X
CDOT Form #250 before the
Contractor commences work.
II) Complete Form #250 after work . X
is completed distribute per
instructions in CDOT Materials
Manual.
(b) Approve changes to typical section . _
(c) Development , Checking, and Design mix
approvals:
I) Concrete . . . . . . . . . . . . . X
II) Hot Bituminous Pavement (HBP) . . . �C _
(d) Acceptance of manufactured products. .
(e) Inspecting fabrication of structural .
steel and prestressed concrete
structural components.
(f) Inspecting fabrication of bearing
—
devices.
(g) Laboratory Check testing . . . . . . . _
(h) Acceptance testing . . . . . . . . . . ZC _
(I) Independent assurance testing . . . . X
(The LA shall us AASHTO accredited
laboratories. The IAT lab shall not be
the same lab as the acceptance lab.
The LA shall develop, complete, and
distribute the CDOT Form #379 -Project
Independent Assurance Sampling Schedule. )
**
NOTE: Only one responsible party should be selected.
Refer to page 2 for additional information.
REVISED 07/24/98
3 �
5
CONTRACT ADMINISTRATION CHECK LIST
PAGE 8
** RESPONSIBLE PARTY
LOCAL
NO. DESCRIPTION OF TASK AA ENCY CDOT
(11 ) Approve sources of materials . . . . . . . -4 _
(12) Approve shop drawings . . . . . . . . . . �
(13) Perform Traffic Control Inspections . . .
(14) Approve traffic signal equipment . . . . .
(15) Construction surveying . . . . . . . . . . _
(16) ROW monumentation . . . . . . . . . . . . _
(17) Prepare, approve and sign vouchers . . . . 1C _
for interim and final Contractor
pay estimates. (CDOT Resident Engineer
if COOT is responsible. )
Provide the name(s) and phone number(s) of
The person(s) authorized for this task.
LA Administrator P 9zo-
one Num er
LAPS Phone Number
(18) Prepare, approve and sign vouchers . . . .
for interim and final Utility
Company billings for utility
relocation work.
(19) Prepare and authorize COOT Form #94 . . .
- Minor Contract Revision (MCR) and
COOT Form #90 - Contract Modification
Order (CMO)
(20) Approve MCRs and CMOs . . . . . . . . . . _
(21 ) Approve Federal-Aid funding for MCRs/CMOs. _
(22) Monitor project financial status and . . . _
submit monthly in a format acceptable
to the Region, such as COOT Form #65a -
Project Financial Status Report.
**
NOTE: Only one responsible party should be selected.
Refer to page 2 for additional information.
REVISED 10/30/97
CONTRACT ADMINISTRATION CHECK LIST
PAGE 9
** RESPONSIBLE PARTY
LOCAL
DESCRIPTION OF TASK AA E—IVCY COOT
(23) Prepare and submit monthly progress . . .
reports to the Region Construction
Engineer: CDOT Form #110a - Status of
Active Construction Projects, and
CDOT Form #517a - Status of Construction
Project Finals.
(24) Contractor claims/dispute resolution . . .
Local Agency must follow CDOT
procedures unless Section 105. 17 of
the Standard Specifications is modified
by a Project Special Provision. ALL
contracts 1e f r bid b the Local A enc
S—ban conta n a pro ect spec a groy S on
removing CDOT rom t e reso ut on process.
14. Make monthly progress and final payments . . . . _
to the Contractor for completed work. (CDOT
Center for Accounting, Division of Human
Resources and Administration when CDOT is
responsible. )
15. Make monthly progress and final payments to . . . .
Utility Companies for completed utility
relocation work. (CDOT Center for Accounting,
Division of Human Resources and Administration
when CDOT is responsible. )
16. Conduct routine, random, project reviews . . . .
to ensure the project is being administered
in accordance with the terms of the construction
Contract and the approved project specific
agreement between CDOT and the local agency.
Provide the name and phone number of the person
responsible for t/hi//s task.
,,,� � f 1 e`C ?Z0 — S 31{O
Name o or T RE/PE one Number
**
NOTE: Only one responsible party should be selected.
Refer to page 2 for additional information.
REVISED 10/30/97
37
CONTRACT ADMINISTRATION CHECK LIST
PAGE 10
** RESPONSIBLE PARTY
LOCAL
NO. DESCRIPTION OF TASK AGENCY CDOT
17. Joint FHWA/CDOT Quality Assurance (QA) Review . . . X
Teams will conduct select program reviews in
accordance with CDOT' s Stewardship Plan.
(CDOT Staff Construction & Materials)
18. Conduct final project inspection, complete and X
submit CDOT Form #1212a - Final Acceptance
Report. CDOT Resident Engineer with mandatory
LA participation.
19. Final project acceptance, write final project . . . _
acceptance letter and distribute per
procedures in the CDOT Construction Manual.
20. Advertise for final settlement. SCDOT Staff . . . _
Construction when CDOT is responsible. )
21 . Prepare and distribute final "as constructed" _
plans per procedures in the Construction Manual.
22. Check final quantities, final plans and the . . . . _
final pay estimate.
23. Sign final pay estimate sheets and voucher. . . . .
24. Check material records. . . . . . . . . . . . . . . X
25. Submit final materials certification . . . . . . . . X
26. Obtain CDOT Form #17 - Contractor DBE Payment . . . _
Certification, from the Contractor and submit
to Region Program Engineer.
27. Obtain FHWA Form PR 47 (Statement of Materials AZA— /�
and Labor Used . . . ) from the Contractor, check
and submit to Region Construction Engineer.
(REQUIRED ONLY ON NHS PROJECTS WITH TOTAL
FINAL PAYMENT EXCEEDING $1 ,0009000. )
28. Complete and submit CDOT Form #950 . . . . . . . .
Project Closure.
29. Retain project records. (For six years . . . . . .
from date of project closure. )
**
NOTE: Only one responsible party should be selected.
Refer to page 2 for additional information.
REVISED 07/24/98
3�
ATTACHMENT#1
THE LOCAL AGENCY SHALL USE THESE PROCEDURES TO IMPLEMENT FEDERAL-AID
PROJECT
AGREEMENTS WITH PROFESSIONAL CONSULTANT SERVICES
Title 23 Code of Federal Regulations(CFR) 172 applies to a federally funded local agency project agreement
administered by CDOT that involves professional consultant services. 23 CFR 172 and 23 CFR 172(d)state that,
"When federal-aid highway funds participate in the contract a local shall use the same procedures as used by the
State to administer contracts..". Therefore,local agencies must comply with this CFR requirement and the
following state procedures when obtaining professional consultant services under a federally funded consultant
contract administered by CDOT.
CDOT has formulated its procedures in Procedural Directive(P.D.)400.1 and the related operations guidebook
titled"Obtaining Professional Consultant Services". This directive and guidebook incorporate requirements from
both Federal and State regulations,i.e.,23 CFR 172 and Colorado Revised Statute(C.R.S.)24-30-1401 et seq.
Copies of the directive and the guidebook may be obtained upon request from CDOT's Agreements and Consultant
Management Unit [Local agencies should have their own written procedures on file for each method of
procurement that addresses the items in 23 CFR 172.5(bx 1-6)].
Because the procedures and laws described in the Procedural Directive and the guidebook are quite lengthy,the
subsequent steps serve as a short-hand guide to CDOT procedures that a local agency must follow in obtaining
professional consultant services.This guidance follows the format of 23 CFR 172. The steps are:
1. The contracting local agency shall document the need for obtaining professional services.
2. Prior to solicitation for consultant services,the contracting local agency shall develop a detailed scope of
work and a list of evaluation factors and their relative importance. The evaluation factors are those identified
in C.R.S.24-30-1403. Also,a detailed cost estimate should be prepared for use during negotiations.
3. The contracting agency must advertise for contracts in conformity with the requirements of C.R.S.24-30-
1405. The public notice period,when such notice is required,is a minimum of 15 days prior to the selection
of the three most qualified firms and the advertising should be done in one or more daily newspapers of
general circulation.
4. The request for consultant services should include the scope of work,the evaluation factors and their relative
importance,the method of payment,and the goal of ten percent(10%)Disadvantaged Business Enterprise
(DBE)participation as a minimum for the project
5. The analysis and selection of the consultants should be done in accordance with C.R.S.24-30-1403. This
section of the regulation identifies the criteria to be used in the evaluation of CDOT pre-qualified prime
consultants and their team. It also shows which criteria are used to short-list and to make a final selection.
The short-list is based on the following evaluation factors:
a. Qualifications,
b. Approach to the project,
c. Ability to furnish professional services.
d. Anticipated design concepts,and
e. Alternative methods of approach for furnishing the professional services.
Evaluation factors for final selection are the consultants:
a. Abilities of their personnel,
b. Past performance,
—21—
.39
c. Willingness to meet the time and budget requirement,
d. Location,
e. Current and projected work load,
f. Volume of previously awarded contracts,and
g. Involvement of minority consultants.
Under 24-30-1401,cost shall not be considered as a factor in the evaluation of Professional consultant
services.
6. Once a consultant is selected,the local agency enters into negotiations with the consultant to obtain a fair and
reasonable price for the anticipated work. Pre-negotiation audits are prepared for contracts expected to be
greater than$50,000. Federal reimbursement for costs are limited to those costs allowable under the cost
principles of 48 CFR 31. Fixed fees(profit)are determined with consideration given to size,complexity,
duration,and degree of risk involved in the work. Profit is in the range of six(6)to fifteen(15)percent of the
total direct and indirect costs.
7. A qualified local agency employee shall be responsible and in charge of the project to ensure that the work
being pursued is complete,accurate,and consistent with the terms,conditions,and specifications of the
contract. At the end of project,the local agency prepares a performance.evaluation(a CDOT form is
available)on the consultant.
8. Each of the steps listed above is to be documented in accordance with the provisions of 49 CFR 18.42,which
provide for records to be kept at least three(3)years from the date that the local agency submits its final
expenditure report. Records of projects under litigation shall be kept at least three(3)years after the case has
been settled.
The C.R.S.24-30-1401 through 24-30-1408,23 CFR Part 172,and P.D.400.1,provide additional details for
complying with the eight(8)steps just discussed.
—22—
FHWA-1273 EbcdoMc wrslw—Mwch 10.IN4
FHWA Form 1273
REQUIRED CONTRACT PROVISIONS
FEDERAL-AID CONSTRUCTION CONTRACTS
I. General..................................................................... 1
if. Nondiscrimination..................................................... 1 6. Selection of Labor: During the performance of this con-
Ill. Nonsegregated Facilities......................................... 3 tract,the contractor shall not:
IV. Payment of Predetermined Minimum Wage........... 3
V. Statements and Payrolls.......................................... 6 a. discriminate against labor from arty other State,posses-
VI. Record of Materials.Supplies,and Labor............... 6 sion, or territory of the United States (except for employment
VII. Subletting or Assigning the Contract....................... 7 preference for Appalachian contracts, when applicable, as
Vill. Safety: Accident Prevention.................................... 7 specified In Attachment A),or
IX. False Statements Concerning Highway Projects.... 7
X Implementation of Clean Air Act and Federal It. employ convict labor for any purpose within the limits of
Water Pollution Control Act...................................................... 8 the project unless It Is labor performed by convicts who are on
XI. Certification Regarding Debarment,Suspension, parole,supervised release,or probation.
Ineligibility,and Voluntary Exclusion........................................ 8
XII. Certification Regarding Use of Contract Funds for 11. NONDISCRIMINATION
Lobbying..................................................................................... 8
(Applicable to all Federal-aid construction contracts and to all r
ATTACHMENTS related subcontracts of$10,000 or more)
A- Employment Preference for Appalachian Contracts 1. Equal Employment Opportunity: Equal employment
(included in Appalachian contracts only) opportunity(EEO)requirements not to discriminate and to take
affirmative action to assure equal opportunity as set forth under
1. GENERAL laws, executive orders, rules,regulations(28 CFR 35,29 CFR
1630 and 41 CFR 60)and orders of the Secretary of Labor as
1. These contract provisions shall apply to all work performed modified by the provisions prescribed herein, and Imposed
on the contract by the contractor's own organization and with the pursuant to 23 U.S.C.140 shall constitute the EEO and specific
assistance of workers under the contractor's Immediate superin- affirmative action standards for the contractors project activities
tendence and to all work performed on the contract by piecework, underthls contract.The Equal Opportunity Construction Contract
station work,or by subcontract. Specifications sel font under 41 CFR 60.4.3 and the provisions of
the American Disabilities Act of 1990(42 U.S.C.1210111 Mg.)
2. Except as otherwise provided for In each section, the set font under 28 CFR 35 and 29 CFR 1630 are Incorporated by
contractor shall insert in each subcontract all of the stipulations reference In this contract. In the execution of this contract,the
contained In these Required Contract Provisions, and further contractor agrees to comply with the following minimum specific
require their inclusion in any lower tier subcontract or purchase requirement activities of EEO:
order that may In turn be made. The Required Contract Provi-
sions shall not be incorporated by reference in any case. The a. The contractor will work with the State highway agency
prime contractor shell be responsible for compliance by any (SHA)and the Federal Government In carrying out EEO obtiga.,
subcontractor or lower Her subcontractor with these Required bons and In their review of his/her activities under the contract.
Contract Provisions.
It. The contractor will accept as his operating policy the
3. A breach of any of the stipulations contained In these following statement:
Required Contract Provisions shall be sufficient grounds for
termination of the contract. 'It is the policy of this Company lo assure that applicants are
employed,and that employees are treated dudng employ-
4. A breach of the following clauses of the Required Contract ment, without regard to their race, religion, sex, color,
Provisions may also be grounds for debarment as provided in 29 national origin,age or disability. Such action shall include:
CFR 5.12: employment,upgrading,demotion,otransfer,recruitment or
recruitment advertising;layoff or termination;rates of pay or
Section 1,paragraph 2; other forms of compensation; and selection for training,
Section IV,paragraphs 1,2,3,4,and 7; Including apprenticeship, preapprentk:eship, and/or
Section V,paragraphs 1 and 2a through 2g. on-the-job training.'
5. Disputes arising out of the labor standards provisions of 2. EEO Officer: The contractor will designate and make
Section IV(except paragraph 5)and Section V of these Required known to the SHA contracting officers an EEO Officer who will
Contract Provisions shag not be subject to the general disputes have the responsibility for and must be capable of effectively
clause of this contract Such disputes shall be resolved In actor- administering and promoting an active contractorprogram of EEO
dance with the procedures of the U.S.Department of Labor(DOW and who must be assigned adequate authority and responsibility
as set forth In 29 CFR 5,6,and 7. Disputes within the meaning of to do so.
this clause Include disputes between the contractor(or any of Its
subcontractors) and the contracting agency, the DOL, or the 3. Dissemination of Policy. All members of the contractors
contractors employees or their representatives. staff who are authorized to hire, supervise, promote, and
—23—
y�
discharge employees,or who recommend such action,or who are
substantially Involved in such action,will be made fully cognizant c.The contractor will periodically review selected personnel
of,and will Implement,the contractor's EEO policy and contractual actions in depth to determine whether there is evidence of
responsibilities to provide EEO in each grade and classification of discrimination. Where evidence is found, the contractor will
employment. To ensure that the above agreement will be met,the promptly take corrective action. If the review Indicates that the
following actions wig be taken as a minimum: discrimination may extend beyond the actions reviewed, such
corrective action shall Include all affected persons.
a. Periodic meetings of supervisory and personnel office
employees will be conducted before the start of work and then not d. The contractor will promptly investigate all complaints of
less often than once every six months,at which time the contract- alleged discrimination made to the contractor in connection with
or's EEO policy and Its Implementation will be reviewed and his obligations under this contract,will attempt to resolve such
explained. The meetings will be conducted by the EEO Officer. complaints,and will take appropriate corrective action within a.
reasonable time. If the Investigation Indicates that the
b. All new supervisory or personnel office employeeswifi be discrimination may affect persons other than the complainant,
given a thorough Indoctrination by the EEO Officer,covering all such corrective action shall Include such other persons. Upon
major aspects of the contractor's EEO obligations within thirty completion of each Investigation,the contractor will Inform every
days following their reporting for duty with the contractor. complainant of all of his avenues of appeal.
c. All personnel who are engaged In direct recruitment for 6. Training and Promotion:
the project will be Instructed by the EEO Officer In the contractor's
procedures for locating and hiring minority group employees. a. The contractor will assist In locating, qualifying, and
Increasing the skills of minority group and women employees,and
d. Notices and posters setting forth the contractor's EEO applicants for employment.
policy will be placed In areas readily accessible to employees,
applicants for employment and potentlal employees. b.Consistent with the contractor's work force requirements
and as permissible under Federal and State regulations, the
a. The contractor's EEO policy and the procedures to contractor shall make fug use of training programs, i.e.,
Implement such policy will be brought to the attention of employ. apprenticeship, and on-the-job training programs for the
sea by means of meetings, employee handbooks, or other geographical area of contract performance. Where feasible,25
appropriate means. percent of apprentices or trainees In each occupation shall be In
their first year of apprenticeship or training. In the event a special
4. Heerutment When advertising for employees,the cormac. provision for training is provided under this contract,this subpare-
tor will Include In all advertisements for employees the notation: graph will be superseded as indicated In the special provision.
'An Equal Opportunity Employer.'All such advertisements will be
placed in publications having a large circulation among minority c. The contractor will advise employees and applicants for
groups In the area from which the project work tome would employment of available training programs and entrance
normally be derived. requirements for each.
a. The contractor will,unless precluded by a valid bargain- d. The contractor will periodically review the training and
Ing agreement conduct systematic and direct recruitment through promotion potential of minority group and women employees and
public and private employee referral sources likely to yield will encourage eligible employees to apply for such training and
qualified minority group applicants.To meet this requirement,the promotion.
contractor will Identify 'sources of potential minority group
employees,and establish with such identified sources procedures 7. Unions: If the contractor relies In whole or in part upon
whereby minority group applicants may be referred to the unions as a source of employees,the contractor will use his/her
contractor for employment consideration. best efforts to obtain the cooperation of such unions to Increase
opportunities for minority groups and women within the unions,
b. In the event the contractor has a valid bargaining agree- and to effect referrals by such unions of minority and female
ment providing for exclusive hiring hall referrals,he Is expected to employees. Actions by the contractor either directly or through a
observe the provisions of that agreement to the extent that the contractors association acting as agent will Include the
system permits the contractors compliance with EEO contract procedures set form below:
provisions. (The DOL has held that where Implementation of such
agreements have the effect of discriminating against minorities or a. The contractor will use best efforts to develop, In
women, or obligates the contractor to do the same, such cooperation with the unions,joint training programs aimed toward
Implementation violates Executive Order 11246,as amended.) qualifying more minority group members and women for
membership In the unions and Increasing the skits of minority
c. The contractor will encourage his present employees to group employees and women so that they may qualify for higher
refer minority group applicants for employment.. Information and paying employment.
procedures with regard to referring minority group applicants will
be discussed with employees. b. The contractor wig use best efforts to Incorporate an
EEO clause Into each union agreement to the anti that such union
5. Personnel Actions: Wages, working conditions, and will be contractually bound to refer applicants without regard to
employee benefits shall be established and administered, and their race,color,religion,sex,national origin,age or disability.
personnel actions of every type, including hiring, upgrading,
promotion,transfer,demotion, layoff,and termination, shall be c. The contractor is to obtain information as to the referral
taken without regard to race,color,religion,sex,national origin, practices and policies of the labor union except that to the extent
age or disability. The following procedures shall be followed: such information is within the exclusive possession of the labor
union and such labor union refuses to furnish such Information to
a. The contractor will conduct periodic inspections of the contractor,the contractor shall so certify to the SHA and shall
project sites to Insure that working conditions and employee set forth what efforts have been made to obtain such Information.
facilities do not Indicate discriminatory treatment of project site
personnel. d. In the event the union Is unable to provide the contractor
with a reasonable flow of minority and women referrals within the
b. The contractor will periodically evaluate the spread of time limit set forth in the collective bargaining agreement, the
wages paid within each classification to determine any evidence of contractor will,through Independent recruitment efforts,fill the
discriminatory wage practices. employment vacancies without regard to race,color,religion,sex
REQUIRED BY 23 CFR 633.102 --
�/y
national origin, age or disability; making fug efforts to obtain proMe for Its employees any segregated facilities at any of Its
qualified andfor qualifiable minority group persons and women. establishments,and thatthe firm does not permit Its employees to
(The DOL has held that it shall be no excuse that the union with perform their services at any location, under its control,where
which the contractor has a collective bargaining agreement segregated facilities are maintained. The firm agrees that a
providing for exclusive referral failed to refer mkw ft employees.) breach of this certification Is a violation of the EEO provisions of
In the event the union referral practice prevents the contractor this contract The firm further certifies that no employee will be
from meeting the obligations pursuant to Executive Order 11246, denied access to adequate facilities on the basis of sex or
as amended,and these special provisions,such contractor shall disability.
Immediately notify the SHA
b. As used in this certification, the term 'segregated
S. Selection of Subcontractors,Procurement of Materiels facilMW means any waiting rooms,work areas,reshcoms and
and leasing of Equipment-The conbaclorshalf notdsaiminate washrooms,restaurants and othereating areas,tlmeclocks,locker
on the grounds of race,color,religion,sax,national origin,age or rooms,and other storage or dressing areas,parking lots,drinking
disability In the selection and retention of subcontractors,including fountains,recreation or entertainment areas,transportation,and
procurement of materiels and losses of equipment housing facilities provided for employees which are segregated by
expllotl drecOva,or are,in fad,segregated on the basis of race,
a. The contractor shelf notify all potential subcontractors color,religion,national origin,age or disability,because of habit,
and suppliers of hisRrer EEO obligations under this contract. local custom, or otherwise. The only exception will be for the
disabled when the demands for accessibility override (e.g.
b. Disadvantaged business enterprises(DBE),as defined disabled parking).
In 49 CFR 23,shall have equal opportunity to compete for and
perform subcontracts which the contractor enters into pursuant to c. The contractor agrees that it has obtained or will obtain
this contract. The contractor will use his best efforts to solicit bids Identical certification from proposed subcontractors or material
from and to utilize DBE subcontractors or subcontractors with suppliers prior to award of subcontracts or consummation of
meaningful minority group and female representation among their material supply agreements of$10,0D0 or more and that it will
employees. Contractors shag obtain lists of DBE construction retain such certifications In Its files.
firths from SHA personnel.
N. PAYMENT OF PREDETERMINED MINIMUM WAGE
c. The contractor will use his best efforts to ensure subcon-
tractor compliance with their EEO obligations. (Applicable to all Federal-aid construction contracts exceeding
$2,Qo0 and to all related subcontracts,except for projects located
9. Records and Reports: The contractor shall keep such on roadways classified as local roads or rural minor collectors,
records as necessary to document compliance with the EEO which are exempt)
requirements. Such records shall be retained for a period of three
years following completion of the contract work and shall be 1. General:
available at reasonable limes and places for Inspection by autho-
rized representatives of the SHA and the FHWA a. AN mechanics and laborers employed or working upon
the site of the work will be paid unconditionally and not less often
a. The records kept by the contractor shall document the than once a week and without subsequent deduction or rebate on
following: any account[except such payroll deductions as are permitted by
regulations(29 CFR 3)Issued by the Secretary of Labor under the
(1) The number of minority and non-minority group Copeland Act(40 U.S.C.276c))the full amounts of wages and
members and women employed in each work classification on the bona fide fringe benefits(or cash equivalents thereof)due at time
project of payment The payment shall be computed at wage rates not
less than those container! In the wage determination of the
(2) The progress and efforts being made in cooperation Secretary of Labor(hereinafter'the wage detemdnatlon j which is
with unions,when applicable,to Increase employment opporlunt- attached hereto and made a par hereof, regardless of any
ties for minorities and women; contracWel relationship which may be alleged to exist between the
contractor or its subcontractors and such laborers and mechanics.
(3) The progress and efforts being made In locating, The wage determination(including any additional classifications
hiring,training, qualifying, and upgrading minority and female and wage rates conformed under paragraph 2 of this Section IV
employees;and and the DOL poster(WH-1321)or Forth FHWA-1495)shall be
posted at all times by the contractor and its subcontractors at the
(4) The progress and efforts being made in securing site of the work in a prominent and accessible place where it can
the services of DBE subcontractors or subcontractors with be easily seen by the workers. For the purpose of this Section,
meaningful minority and female representation among their contributions made or costs reasonably anticipated for bona fide
employees. fringe benefits under Section 1(b)(2)of the Davis-Bacon Act(40
U.S.C.276a)on behalf of laborers or mechanics are considered
b. The contractors will submit an annual report to the SHA wages paid to such laborers or mechanics,subject to the provi-
each July for the duration of the project,Indicating the number of sions of Section IV,paragraph 3b,hereof. Also,forthe purpose of
minority, women, and non-minority group employees currently this Section,regular contributions made or costs incurred for more
engaged in each work classification required by Me contract work than a weekly period (but not less often than quarterly) under
This Information Is to be reported on Form FHWA-1391.If on-the plans, funds, or programs, which cover the particular weekly
job training Is being required by special provision,the contractor period,are deemed to be constructively made or incurred during
will be required to Idled and report training data. such weekly period. Such laborers and mechanics shall be paid
the appropriate wage rate and fringe benefits on the wage
IN. NONSEGREGATED FACILRIES determination for the classification of work actually performed,
without regard to skill,except as provided in paragraphs 4 and 5
(Applicable to all Fedem"Id construction contracts and to all of this Section IV.
related subcontracts of$10,000 or more.)
D. Laborers or mechanics performing work in more than
a. By submission of this bid,the execution of this contract one classification may be compensated at the rate specified for
or subcontract,orthe consummation of this material supply agree- each classification for the time actually worked therein,provided,
ment or purchase order,as appropriate,the bidder,Federal-aid that the employer's payroll records accurately set forth the time
construction contractor, subcontractor, material supplier, or spent in each classification In which work is performed.
vendor,as appropriate,certifies that the firm does not maintain or
REQUIRED BY 23 CFR 633.102 --
q3
c. All rulings and Interpretations of the Davis-Bacon Act and tary of Labor has found,upon the written request of the contractor,
related acts contained In 29 CFR 1,3,and 5 are herein incorpo- that the applicable standards of the Davis-Bacon Act have been
rated by reference In this contract met The Secrelary of Labor may require the contractor to set
aside in a separate account assets for the meeting of obligations
2. Classification: under the plan or program.
a. The SHA contracting officer shall require that any class 4. Apprerdtoes and Trainees(Programs of the U.S.DOL)
of laborers or mechanics employed under the contract,which Is and Hegxrs:
not listed In the wage determination, shall be classified in
conformance with the wage determination. a. Apprentices:
b. The contracting officer shall approve an additional (1) Apprentices will be permitted to work at less than
classification, wage rate and fringe benefits only when the the predetermined rate for the work they performed when they are
following criteria have been met employed pursuant to and Individually registered in a bona fide
apprenticeship program registered with the DOL,Employment and
(1) the work to be performed by the additional Training Administration,Bureau of Apprenticeship and Training,or
classification requested Is not performed by a classification in the with a State apprenticeship agency recognized by the Bureau,or if
wage determination; a person Is employed In hisiher first 90 days of probationary
employment as an apprentice in such an apprenticeship program,
(2) the additional classification is utilized in the area by who is not individually registered In the program, but who has
the consbuction Industry; been certified by the Bureau of Apprenticeship and Training or a
State apprenticeship agency(where appropriate)to be eligible for
(3) the proposed wage rate,Including any bona fide probationary employment as an apprentice.
fringe benefits,bears a reasonable relationship to the wage rates
contained In the wage determination;and (2) The allowable ratio of apprentices to journeyman-
level employees on the job site In any craft classification shall not
(4) with rasped to helpers,when such a classification be greater than the ratio permitted to the contractor as to the
prevails in the area In which the work is performed. entire work force under the registered program. Any employee
listed on a payroll at an apprentice wage rate,who Is not regis-
c. If the contractor or subcontractors,as appropriate,the tared or otherwise employed as stated above,shall be paid not
laborers and mechanics(if known)to be employed In the addition- less than the applicable wage rate listed In the wage determina-
alclassificationor their representatives,and the contracting officer tion for the classification of work actually performed. In addition,
agree on the classification and wage rate(Including the amount any apprentice performing work on the job site in excess of the
designated for fringe benefits where appropriate),a report of the ratio permitted under the registered program shall be pail not less
action taken shall be sent by the contracting officer to the DOL, than the applicable wage rate on the wage determination for the
Administrator of the Wage and Hour Division,Employment Stan- work actually performed. Where a contractor or subcontractor is
dards Administration,Washington,D.C.20210. The Wage and performing construction on a project in a locality other than that in
Hour Administrator,or an authorized representative,wlN approve, which Its program is registered,the ratios and wage rates(ex-
modify,or disapprove every additional classification action within pressed in percentages of the journeyman-level hourly rate)
30 days of receipt and so advise the contracting Officer or will specified in the contractor's or subcontractor's registered program
notify the contracting officer within the 30-day period that shall be observed.
additional time Is necessary.
(3) Every apprentice must be paid at not less than the
d. In the event the contractor or subcontractors,as appro- rate specified In the registered program for the apprentice's level
priate,the laborers or mechanics to be employed In the additional of progress,expressed as a percentage of the journeyman-level
classification or their representatives,and the contracting officer hourly rate specified In the applicable wage determination.
do not agree on the proposed classification and wage rate Apprentices shall be paid fringe benefits In accordance with the
(Including the amount designated for fringe benefits, where provisions of the apprenticeship program. If the apprenticeship
appropriate), the contracting officer shall refer the questions, program does not specify fringe benefits, apprentices must be
Including the views of all Interested parties and the recommends- paid the full amount of fringe benefits listed on the wage determi-
Non of the contracting officer,to the Wage and Hour Administrator nation for the applicable classification. If the Administrator for the
fordetermination. Said Administrator,or an authorized represen- Wage and Hour Division determines that a different practice
tative,will Issue a determination within 30 days of receipt and so prevails for the applicable apprentice classification,fringes shall
advise the contracting officer or will notify the contracting officer be paid In accordance with that determination.
within the 30-day period that additional time is necessary
(4) In the event the Bureau of Apprenticeship and
e.The wage rate(including fringe benefits where appropd- Training, or a State apprenticeship agency recognized by the
ate)determined pursuant to paragraph 2c or 2d of this Section IV Bureau,withdraws approval of an apprenticeship program,the
shall be paid to all workers performing work in the additional contractor or subcontractor will no longer be permitted to utilize
classification from the first day on which work is performed in the apprentices at less than the applicable predetermined rate for the
classification. comparable work performed by regular employees until an accept-
able program is approved.
3. Payment of Fringe Benef0s:
b. Trainees:
a. Whenever the minimum wage rate prescribed In the
contract for a class of laborers or mechancs Includes a fringe (1) Except as provided In 29 CFR 5.16,tralnees will not
benefit which Is rat expressed as an hourly rate,the contractor or be permitted to work at less than the predetermined rate for the
subcontractors, as appropriate, shall either pay the benefit as work performed unless they are employed pursuant to and
stated in the wage determination or shall pay another bona fide Individually registered In a program which has received prior
fringe benefit or an hourly case equivalent thereof. approval, evidenced by formal certification by the DOL,
Employment and Training Administration.
b. It the contractor or subcontractor,as appropriate,does
not make payments to a trustee or other third person,he/she may (2)The ratio of trainees tojoumeyman-level employees
consider as a part of the wages of any laborer or mechanic the on the job site shall not be greater than permitted under the plan
amount of any costs reasonably anticipated In providing bona fide approved by the Employment and Training Administration. Any
fringe benefits under a plan or program,provided,that the Secre- employee listed on the payroll at a trainee rate who is not
REQUIRED BY 23 CFR 633.102 --
registered and participating in a training plan approved by the laborers,mechanics,watchmen,or guards(including apprentices,
Employment and Training Administration shell be paid not lase trainees,and helpers described In paragraphs 4 and 5 above)
than the applicable wage rate on the wage determination for the shall require or permit any laborer,mechanic,watchman,or guard
classification of work actually performed. In addition,any trainee In any workweek In which he/she Is employed on such work,to
performing work on the Job site In excess of the ratio permitted work In excess of 40 hours In such workweek unless such laborer,
under the registered program shall be paid not less than the mechanic,watchman,or guard receives compensation at a rate
applicable wage rate on the wage determination for the work not less than one-end-one-half tines his finer bask rate of pay for
actually performed. all hours worked In excess of 40 hours in such workweek
(3) Every trainee must be pail at not less than the rate 8. Violation:
spedfied in the approved program for his/her level of progress,
expressed as a percentage of the journeyman-level hourly rate Liabgfty,for Unpaid Wages; Liquidated Damages: In the
specified in the applicable wage determination.Trainees shag be event of any violation of the clause setiorth in paragraph 7 above,
paid fringe benefits In accordance with the provisions of the the contractor and any subcontractor responsible thereof shall be
trainee program. g the trainee program does not mention fringe liable to the affected employee for his4rer unpaid wages. In
benefits,trainees shall be paid the full amount of fringe benefits addition,such contractor and subcontractor shall be liable to the
listed on the wage determination unless the Administrator of the United Slates(in the case of work done under contract for the
Wage and Hour Division determines that there Is an apprentice- District of Columbia or a territory, to such District or to such
ship program associated with the conespon dirgioumeyrnan-level territory)for liquidated damages. Such liquidated damages shall
wage rate on the wage determination which provides for less than be computed with respect to each Individual laborer,mechanic.
full fringe benefits for apprentices,In which case such trainees watchmen,or guard employed In violation of the clause set forth In
shall receive the same fringe benefits as apprentices. 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
(4) In the event the Employment and Training standard work week of 40 hours without payment of the overtime
Administration withdraws approval of a training program, the wages required by the clause set forth in paragraph 7.
contractor or subcontractor will no longer be pemdfted to utilize
trainees at less than the applicable predetermined rate for the 9. Whhhokgng for Unpaid Wages and Liquidated Damages:
work performed until an acceptable program is approved.
The BHA shag upon its own action or upon written request of
c. Helpers: any authorized representative of the DOL withhold,or cause to be
withheld,from any monies payable on account of work performed
Helpers will be permitted to work on a project g the by the contractor or subcontractor under any such contract or arty
helper dassl8cation is specified and defined on the applicable other Federal contract with the same prime contractor,or any
wage determination or is approved pursuant to the conformance other Federally-assisted contract subject to the Contract Work
procedure set forth In Section IV.2.Any worker listed on a payroll Hours and Safety Standards Act,which Is held by the same prime
at a helper wage rate, who Is not a helper under a approved contractor,such sums as may be determined to be necessary to
definition,shag be paid not less than the applicable wage rate on satisfy any Ilabilittes of such contractor or subcantractortor unpaid
the wage determination for the classification of work actually,per- wages and liquidated damages as provided In the clause set forth
formed. in paragraph 8 above.
5. Apprentices and Trainees(Programs of die U.S.DOT): V. STATEMENTS AND PAYROLLS
Apprentices and trainees worldng under apprenticeship and (Applicable to all Federadald construction contracts exceeding
sklN training programs which have been certified by the Secretary $2,000 and to all related subcontracts,except for projects located
of Transportation as promoting EEO in connection with Federal- on roadways classified as kcal roads or rural collectors,which are
aid highway construction programs are not subjectto the require- exempt.)
ments of paragraph 4 of this Section IV. The straight lime hourly
wage rates for apprentices and trainees under such programs will 1. Compliance with Copeland Regulations(29 CFR 3):
be established by the particular programs.The ratio of apprentic-
es and trainees tojoumeymen anal not be greater than permitted The contractor shall comply with the Copeland Regulations of
by the terms of the particular program. the Secretary of Labor which are herein Incorporated by reference.
8. Withholding: 2. Payrolls and Payroll Records:
The BHA shag upon Its own action or upon written request a. Payrolls and basic records relating thereto shall be
of an authorized representative of the DOL withhold,or cause to maintained by the contractor and each subcontractor during the
be withheld,from the contractor or subcontractor under this course of the work and preserved for a period of 3 years from the
contract or any other Federal contract with the same prime date of completion of the contract for all laborers, mechanics,
contractor, or any other Federally-assisted contract subject to apprentices,trainees,watchmen,helpers,and guards working at
Davis-Bacon prevailing wage requirements which Is held by the the site of the work.
same prime contractor, as much of the accrued payments or
advances as may be considered necessary to pay laborers and b. The payroll records shag contain the name, social
mechanics, inducing apprentices, trainees, and helpers, em- security number,and address of each such employee;his or her
ployed by the contractor or any subcontractor the fug amount of correct daosiflcation;hourly rates of wages paid(Including rates of
wages required by the contract. In the event of failure to pay any contributions or costs anticipated for bona fide fringe benefits or
laborer or mechanic,Including any apprentice,trainee,or helper, cash equivalent thereof the types described in Section 1(b)(2)(B)
employed or working on the site of the work,all or part of the of the Davis Bacon Act); daily and weekly number of hours
wages required by the contract,the SHA contracting officer may, worked;deductions made;and actual wages paid. In addition,for
after written notice to the contractor,take such action as may be Appalachian contracts,the payroll records shall contain a notation
necessary to cause the suspension of any further payment, Indicating whether the employee does, or does not, normally
advance,or guarantee of funds untll such violations have ceased. reside In the labor area as defined In Attachment A,paragraph 1.
Whenever the Secretary of Labor, pursuant to Section IV,
7. Overtime Requirements: paragraph 3b, has found that the wages of any laborer or
mechanic include the amount of any costs reasonably anticipated
No contractor or subcontractor contracting for any part of In providing benefits under a plan or program described In Section
the contract work which may require or Involve the employment of 1(b)(2)(8) of the Davis Bacon Act, the contactor and each
REQUIRED BY 23 CFR 633.102 --
y�
subcontractor shall maintain records which slow that the commit- protective devices at railroad grade crossings,those which are
ment to provide such benefits Is enforceable, that the plan or constructed on a force account or direct labor basis, highway
program is financially responsible,that Me plan or program has beautification contracts, and contracts for which the total final
been communicated in writing to the laborers or mechanics construction cost for roadway and bridge is less than$1,000,000
affected,and show the cost anticipated or the actual cost Incurred (23 CFR 635)the contractor shall:
In providing benefits. Contractors or subcontractors employing
apprentices or trainees tattler approved programs shall maintain a. Become familiar with the list of specific materials and
written evidence of the registration of apprentices and trainees, supplies contained in Form FHWA-47, 'Statement of Materials
and rallos and wage rates prescribed In the applicable programs. and Labor Used by Contractor of Highway Construction Involving
Federal Funds;prior to the commencement of work under this
c. Each contractor and subcontractor shall furnish,each contract.
week In which any contract work Is performed,to the BHA resident
engineers payroll of wages pail each of its employees(Inducing b. Maintain a record of the total cost of all materials and
apprentices,trainees,and helpers,described in Section IV,pans- supplies purchased for and Incorporated In the work,and also of
graphs 4 and 5,and watchmen and guards engaged on work the quantities of those specific materials and supplies listed on
during the preceding weekly payroll period).The payroll submitted Forth FHWA47,and In the units shown on Form FHWA-47.
shall set out accurately and completely all of the Information
required to be maintained under paragraph 2b of this Section V. c. Fumish,upon the completion of the contract,to the BHA
This information may be submitted In any form desired. Optional resident engineer on Form FHWA-47 together with the data
Form WH-347 is available for this purpose and maybe purchased required In paragraph 1 b relative to materials and supplies,a Mal
from the Superintendent of Documents(Federal stock number labor summary of all contract work indicating the total hours
029-006-0014.1).U.S.Government Printing Office,Washington, worked and the total amount earned.
D.C.20402. The prime contractor is responsible for the submis-
sion of copies of payrolls by all subcontractors, 2. At the prime contractors option, either a single report
covering all contract work or separate reports for the contractor
d. Each payroll submitted shall be accompanied by a and for each subcontract shall be submitted.
'Statement of Compliance,'signed by the contractor or subcon. '
tractoror his/her agent who pays orsupervises the paymentof tine VII. SUBLETTING OR ASSIGNING THE CONTRACT
persons employed under the contract and shall certify the follow- _
Ing: 1. The contractor shall perform with Its own organization
contract work amounting to not less than 30 percent(or a greater
(1)that the payroll for the payroll period contains the percentage i specified elsewhere In the contract) of the total
Information required to be maintained under paragraph 2b of this original contract price,excluding any specialty Rom designated by
Section V and that such Information is correct and complete; the State. Specialty Items may be performed by subcontract and
the amount of any such specialty Items-performed may be
(2) that such laborer or mechanic (Including each deducted from the total original contract price before computing
helper,apprentice,and trainee)employed on the contract during the amount of work required to be performed by the contractor's
the payroll period has been paid the full weekly wages earned, own organization(23 CFR 635).
without rebate,either directly or Indirectly,and that no deductions
have been made either directly or indirectly from the full wages a. 'Its own organization'shall be construed to include only
earned, other than permissible deductions as set forth In the workers employed and paid directly by the prime contractor and
Regulations,29 CFR 3; equipment owned or rented by the prime contractor, with or
without operators. Such term does not include employees or
(3)that each laborer or mechanic has been pad not equipment of a subcontractor,assignee,or agent of the prime
less that the applicable wage rate and fringe benefits or cash contractor.
equivalentfor the classification of worked performed,as specified
In the applicable wage determination incorporated into the b. 'Specialty Items'shall be construed to be limited to
contract. work that requires highly specialized knowledge, abilities, or
equipment not ordinarily available in the type of contracting
e. The weekly submission of a properly executed cer6fica- organizations qualified and expected to bid on the contract as a
tion set forth on the reverse side of Optional Form W H347 shall whole and In general are to be limited to minor components of the
satisfy the requirement for submission of the 'Statement of overall contract.
Compliance'required by paragraph 2d of this Section V.
2. The contract amount upon which the requirements set forth
I. The falsification of any of the above cerfificallons may in paragraph 1 of Section VII Is computed Includes the cost of
subject the contractor to civil or criminal prosecution under 18 material and manufactured products which are to be purchased or
U.S.C.1001 and 31 U.S.C.231. produced by the contractor under the contract provisions.
g. The contractor or subcontractor shall make the records. 3. The contractor shall furnish(a)a competent superintendent
required under paragraph 2b of this Section V available for or supervisor who is employed by the firm,has fug authority to
Inspection,copying,or transcription by authorized representatives direct performance of the work in accordance with the contract
of the BHA,the FHWA,or the DOL,and shall permit such repre- requirements, and Is In charge of all construction operations
sentatives to Interview employees during working hours on the job. (regardless of who performs the work)and(b)such other of Its
If the contractor or subcontractor falls to submit the required own organizational resources (supervision, management, and
records or to make them available,the BHA,the FHWA,the DOL, engineering services)as the BHA contracting officer determines is
or all may,after written notice to the contractor,sponsor,applicant, necessary to assure the performance of the contract.
or owner,take such actions as may be necessary to cause the
suspension of any further payment, advance, or guarantee of 4. No portion of the contract shall be sublet, assigned or
funds. Furthermore,failure to submit the required records upon otherwise disposed of except with the written consent of the BHA
request or to make such records available may be grounds for contracting officer,or authorized representative,and such consent
debarment action pursuant to 29 CFR 5.12. when given shall not be construed to relieve the contractor of any
responsibility for the fulfillment of the contract Written consent
VI. RECORD OF MATERIALS,SUPPLIES,AND LABOR will be given only after the BHA has assured that each subcontract
is evidenced In writing and that It contains all pertinent provisions
1. On all Federal-aid contracts on the National Highway and requirements of the prime contract
System,except those which provide solely for the Installation of
REQUIRED BY 23 CFR 633.102 -- �r
VIII. SAFETY:ACCIDENT PREVENTION
Shell be fined not more Met$10,000 or Imprisoned not more
1. In the performance of this contract the contractor shad Man 5 years or both.'
comply with all applicable Federal.State,and local laws governing
safety,health,and sanitation(23 CFR 635). The contractor shall X. IMPLEMENTATION OF CLEAN AIR ACT AND FEDERAL
provide all safeguards,safety devices and protective equipment WATER POLLUTION CONTROL ACT
and take any other needed actions as it determines,ores the SHA _
contracting officer may determine,to be reasonably necessaryto (Applicable to all Federal-aid construction contracts and to all
protect the life and health of employees on the job end the safety related subcontracts of$100,OD0 or more.)
of the public and to protect property in connection with the
performance of the work covered by the contract. By submission of this bid or the execution of this contract, or
subcontract,as appropriate,the bidder,Federal-aid construction
2. It Is a condition of this contract, end shall be made a contractor,or subcontractor,as appropriate,will be deemed to
condition of each subcontract.which the contractor enters Into have stipulated as follows:
pursuant to this contract,that the contractorand anysubcontraco
shag not permit any employee,In performance of the contract,to 1. That any facility that Is or will be utilized In the performance of
work in surroundings or under conditions which are unsanitary, this contract,unless such contract Is exempt under the Clean Air
hazardous or dangerous to his/her health orsafey,as detemmned Act,as amended(42 U.S.C.1857 ffi£Q&,as amended by Pub.L.
under construction safety and health standards(29 CFR 1926) 91.604),and under the Federal Water Pollution Control Act,as
promulgated by the Secretary of Labor, In accordance with amended(33 U.S.C.125121M.,as emended by Pub.L 92-500),
Section 107 of the Contract Work Hours and Saw Standards Act Executive Order 11738,and regulations In Implementation thereof
(40 U.S.C.333). (40 CFR 15)Is not listed,on the date of contract award,on the
U.S. Envlronmental Protection Agency (EPA) List of Violating
3. Pursuant to 29 CFR 1926.3,it is a condition of this contract Facilities pursuant to 40 CFR 15.20.
that the Secretary of Labor or authorized representative thereof,
shag have right of entry to any site of contract performance to 2. That the firm agrees to comply and remain In compliance with
Inspect or Investigate the matter of compliance with the construo- all the requirements of Section 114 of the Clean Air Act and
Von safety and health standards and to carry out the duties of the Section 308 of the Federal Water Pollution Control Act and all
Secretary under Section 107 of the Contract Work Hours and regulations and guidelines listed thereunder.
Safety Standards Act(40 U.S.C.333).
3. That the firm shall promptly notify the SHA of the receipt of any
DL FALSE STATEMENTS CONCERNING HIGHWAY communication from the Director, Office of Federal Activities,
PROJECTS EPA, indicating that a facility that is or will be utilized for the
contract Is under consideration to be listed on the EPA List of
In order to assure high quality and durable construction In Vlolating Facilities.
conformity with approved plans and specifications and a high
degree of reliability on statements and representations made by 4. That the firm agrees to include or cause to be included the
engineers, contractors, suppliers, and workers on Federal-aid requirements of paragraph 1 through 4 of Uds Section X In every
highway projects.R is essential that an persons ooncemedwgh the nonexempt subcontract,and furtheragrees to take such action as
project perform their functions as carefully, thoroughly, and the government may direct as a means of enforcing such
honesty as possible. Willful falsification,distortion,or misrepre- requirements.
sentation with respect to any facts related to the project is a
violation of Federal law. To prevent any misunderstanding XL CERTIFICATION REGARDING DEBARMENT,
regarding the seriousness of these and similar acts,the following SUSPENSION,
notice shall be posted on each Federal-ail highway project(23 INELIGIBILITY AND VOLUNTARY EXCLUSION
CFR 635)in one or more places where R Is readily available to all
persons concerned with the project: 1. Instructions for Certification - Primary Covered
Transactions:
NOTICE TO ALL PERSONNEL ENGAGED ON FEDERAL-AID
HIGHWAY PROJECTS (Applicable to all Federal-aid contracts-49 CFR 29)
18 U.S.C.1020 reads as follows: a. By signing and submitting this proposal,the prospective
'Whoever,being an officer,agent or employee of Me United primary participant is providing the certification set out below.
States,orofanyState or Territory,or whoever,whefhera person, b. The Inability of a person to provide the certification set
association, firm, or corporation, knowingly makes any false out below will not necessarily result In denial of participation In this
statement false representation,"false report as to Me character, covered transaction. The prospective participant shall submit an
quaiy,quanfity,or cost of the material usedor to be used,or Me explanation of why it cannot provide the certification set out below.
quanfilyorquafilyof the workperonnedofobeperormed,ofMe The certification or explanation will be considered In connection
cost thereof In connection with the submission of piano,maps, with the department or agency's determination whether to enter
specifics dons,contracts,or costs of construction on any highway into this transaction. However,failure of the prospective primary
or related project submitted or approval to Me Secretary of participant to furnish a certification or an explanation shall
Transportation;or disqualify such a person from participation In this transaction.
Whoever knowingly makes any false statement false C. The certification in this cause Is a material
representation, false report or false Balm with respect to Me representation of fact upon which reliance was placed when the
character,quality,quanta,orcostofany workpedormad"obe department or agency determined to enterinto this transaction. If
performed ormatedalsfumishedorobefrmished,hcmmecgon it is later determined that the prospective.primary participant
with.Me construction of any highway or related project approved knowingly rendered an erroneous certification,in addition to other
by Me Secretary of Transportation,or remedies available to the Federal Government,the department or
agency may terminate this transaction for cause of default.
Whoever knowingly makes any false statement or false
representation as to material fad In any statement certificate,or d.The prospective primary participant shell provide Immedi-
report submitted pursuant to provisions of the Federal aid Roads ate written notice to the department or agency to whom this
Act approved July 1, 1916, (39 Stat, 355), as amended and proposal is submitted it any time the prospective primary partici-
supplemented; pant leams that Its certification was erroneous when submitted or
REQUIRED BY 23 CFR 633.102
has become erroneous by reason of changed circumstances.
c. Are not presently Indicted for or otherwise criminally or
e. The terms 'covered transaction; 'debarred,' civilly charged by a governmental entity(Federal,Slate or local)
'suspended; 'Ineligible,' lower Her covered transaction; with commission of any of the offenses enumerated in paragraph
'participant"Person;'primary covered transaction;'principal; 1 b of this certification;and
'proposal;and'voluntarily excluded;as used in this clause,have
the meanings set out In the Definitions and Coverage sections of d. Have not within a 3-year period preceding this
rules Implementing Executive Order 12549. You may contact the applicabontproposal had one or more publictrensactions(Federal,
department or agency to which this proposal Is submitted for State or local)terminated for cause or default
assistance In obtaining a copy of those regulations.
2.Where the prospective primary participant is unable to tartly
I. The prospective primary participant agrees by submitting to any of the statements In this certification, such prospective
this proposal that,should the proposed covered transaction be participant shell attach an explanation to this proposal.
entered Into,It shall not knowingly enter Into anylowertiercovered
transaction with a person who Is debarred,suspended,declared .....
Ineligible,orvoluntady excluded from participation In this covered
transaction, unless authorized by the department or agency
entering Into this transaction. - 2. Instructions for Certification - Lower Tier Covered
Transactions:
g. The prospective primary participant further agrees by
submitting this proposal that it will Include the clause titled (Applicable to all subcontracts,purchase orders and other lower
'Certification Regarding Debarment,Suspension,Ineligibility and tier transactions of$25,000 or more-49 CFR 29)
Voluntary Exclusion-LowerTlet Covered Transaction;provided by .
the department or agency entering Into this covered transaction, a. By signing and submitting this proposal,the prospective
without modification,In all lower tier covered transactions and in lower tier Is providing the certification set out below.
all solicitations for lower Her covered transactions.
b. The certification in this clause Is a materiel
h. A participant in a covered transaction may rely upon a representation of fact upon which reliance was placed when this
certification of a prospective participant in a lower tier covered transaction was entered Into. If It Is later determined that the
transaction that is not debarred,suspended,ineligible,or volun- prospective lower tier participant knowingly rendered an
tadly excluded from the covered transaction,unless it knows that erroneous certification,in addition to other remedies available to
the certification Is erroneous. A participant may decide the the Federal Government,the department,or agency with which
method and frequency by which it determines the eligibility of Its this transaction originated may pursue available remedies,
principals. Each participant may,but Is not required to,check the Including suspension andror debarment.
nonprocurement portion of the'Lists of Parties Excluded From
Federal Procurement or Nonprocuremant Programs'(Nonprocure- a The prospective lower tier participant shall provide
ment List) which is compiled by the General Services immediate written notice to the person to which this proposal is
Administration. submitted If at any time the prospective lower tier participant
Teams that Its certification was erroneous by reason of changed
I. Nothing contained in the foregoing shall be construed to circumstances.
require establishment of a system of records In order to render in
good faith the certification required by this clause.The knowledge d. The terns 'covered transaction; 'debarred
and Information of participant Is not required to exceed that which 'suspended,' mangible; 'primary covered transaction,'
Is normally possessed by a prudent person in the ordinary course 'particpant"person; 'principal; 'proposal,' and 'voluntarily
of business dealings• excluded.as used in this clause,have the meanings set out In
the Definitions and Coverage sections of rules implementing
J. Except for transactions authorized under paragraph f of Executive Order 12549.You may contact the person to which this
these Instructions, If a participant in a covered transaction proposal is submitted for assistance In obtaining a copy of those
knowingly enters Into a lower Her covered transaction with a regulations.
person who is suspended, debarred, Ineligible, or voluntarily
excluded from participation in this transaction,in addition to other e. The prospective lower tier participant agrees by
remedies available to the Federal Government,the department or submitting this proposal that, should the proposed covered
agency may terminate this transaction for cause or default transaction be entered Into,It shall not knowingly enter into any
lower tier covered transaction with a person who Is debarred,
suspended, declared ineligible, or voluntarily excluded from
"' participation In this covered transaction,unless authorized by the
Certification Regarding Debarment,Suspension, department or agency with which this transaction originated.
Ineligibility and Voluntary Exclusion—Primary Covered I. The prospective lower Her participant further agrees by
Transactions submitting this proposal that It will Include this clause titled
'Certification Regarding Debarment,Suspension,Ineligibility and
1.The prospective primary participant certifies to the best of Its Voluntary Exclusion-Lower Tier Covered Transaction; without
knowledge and belief,that It and Its principals: modification, In all lower tier covered transactions and in all
solicitations for lower ter covered transactions.
a. Are not presently debarred,suspended,proposed for
debarment, declared ineligible, or voluntarily excluded from g. A participant in a covered transaction may rely upon a
covered transactions by any Federal department or agency, certification of a prospective participant in a lower tier covered
transaction that Is not debarred,suspended,Ineligible,or vofun-
b. Have not within a 3-year period preceding this proposal fatly excluded from the covered transaction,unless It knows that
been convicted of or had a civli judgement rendered against them the certification Is erroneous. A participant may decide the
for commission of fraud or a criminal offense in connection with method and frequency by which It determines the eligibility of Its
obtaining,attempting to obtain,or performing a public(Federal, principals. Each participant may,but is not required to,check the
State or local)transaction or contract under a public transaction; Nonprocurement List
violation of Federal or State antitrust statutes or commission of
embezzlement,theft,forgery,bribery,falsification ordestnuction of h. Nothing contained In the foregoing shall be construed to
records,making false statements,or receiving stolen property, require establishment of a system of records In order to render in
REQUIRED BY 23 CFR 633.102 -- ��
good faith the certification requred by this clause.The knowledge 1. The prospective participant cer9fles,by signing and submit.
and Information of participant Is not required to exceed that which Ong this bid or proposal,to the best of his or her knowledge and
Is normally possessed by a prudent person In the ordinarycourse belief,that
of business dealings.
a. No Federal appropriated funds have been paid or will be
I. Except for transactions authorized under paragraph a of paid, by or on behalf of the undersigned, to any person for
time Instructions, If a participant In a covered transaction Influencing or attempting to Influence an officer or employee of
knowingly enters Into a tower tier covered transaction with a any Federal agency,a Member of Congress,an officer or employ,
person who Is suspended, debarred, ineligible, or voluntarily se of Congress,or an employee of a Member of Congress in
excluded from participation In this transaction,In addition to other connection with the awarding of any Federal contract,the making
remedies available to the Federal Government the deparlmemor of any Federal grant,the making of any Federal ben,the entering
agency with which this transaction originated may pursue Into of any cooperative agreement,and the extension,continua.
available remedies,including suspension andlor debarment ton,renewal,amendment,or modification of any Federal contract,
grant ban,or cooperative agreement.
••••• b. If any funds other than Federal appropriated funds have
been pail or will be paid to any pawn for Influencing or attempt-
Certification Regarding Debarment,Suspension, Ing to Influence an officer or employee of any Federal agency,a
Ineligibility and Voluntary Exclusion-Lower Tier Covered Member of Congress,an officer or employee of Congress,or an
Trer aodons: employee of a Member of Congress In connection with this
Federal contract, grant ban, or cooperative agreement, the
1.The prospective lower tier partldpantoer1111es,bysubmtasion undersigned shall complete and submit Standard Form-LLL,
of this proposal, that neither it nor its principals Is presently -Disclosure Form to Report Lobbying: In accordance with Its
debarred, suspended, proposed for debarment declared instructions.
Ineligible, or voluntarily excluded from participation In this
transaction by any Federal department or agency. 2. This cerdfloation is a material representation of fact upon
which reliance was placed when this transaction was made or
2. Where the pmepedNe lower tier participant Is unable to entered Into. Submission of this certification is a prerequishe for
certify to any of the statements In this certification,such prospec. making or entering into this transaction Imposed by 31 U.S.C.
Ove.participant shag attach an explanation to this proposal. 1352. Any person who falls to file the required certification shall
be subject to a civil penalty of not less than$10,1300 and not more
..... than$100,000 for each such failure.
XIL CERTIFICATION REGARDING USE OF CONTRACT 3. The prospective participant also agrees by submitting his or
FUNDS OR LOBBYING her bid or proposal that he or she shall require that the language
of this certification be Included In all lower tier subcontracts,which
(Applicable to all Federal-ald construction contracts and to all exceed$100,000 and that all such recipients shag certify and
related subcontracts which exceed$100,000-49 CFR 20) disclose accordingly.
REQUIRED BY 23 CFR 633.102 -- �
EXHIBIT C FUNDING PROVISIONS
A. The Local Agency has estimated the total cost the Work to be$200,000.00 which is to be funded
as follows:
BUDGETED FUNDS
a. Federal Funds $160 757.00
$ 82.79%of Participating Costs
b. Local Aqencv Matching Funds $33 417.00
17.21% of Participating Costs
c. Local Agency Matching for CDOT-Incurred Non-Participating $5,826.00
Costs
(including Non-Participating Indirects
TOTAL BUDGETED FUNDS $200,000.00
ESTIMATED CDOT-INCURRED COSTS
a. Federal Share $0.00
0%of Participating Costs
b. Local Share
Local Agency Share of Participating Costs $0.00
Non-Participating Costs (including Non-Participating $0.00
In directs 1 c
Estimated to be Billed to Local Agency $0.00
TOTAL ESTIMATED CDOT-INCURRED COSTS $0.00
ESTIMATED PAYMENT TO LOCAL AGENCY
a. Federal Funds Budgeted 1a $160 757.00
b. Less Estimated Federal Share of CDOT-Incurred $
Costs 2a
TOTAL ESTIMATED PAYMENT TO LOCAL AGENCY $160,757.06
FOR CDOT ENCUMBRANCE PURPOSES
Total Encumbrance Amount ($160,757.00 divided $194,174.00
bv 82.79%
Less ROW Acquisition 3111 $0.00
Net to be encumbered as follows: $
Design 2312 1 P 1 3020 $
-32-
Const 12311 1 P 1 3301 $194,174.00
B. The matching ratio for the federal participating funds for this project is 82.79% federal-aid
funds(CFDA#20 2050) to 17.21%Local Agency funds, it being understood that such ratio
applies only to the$194,174.00 that is eligible for federal participation, it being further
understood that all non-participating costs are borne by the Local Agency at 100%. If the
total participating cost of performance of the Work exceeds$194,174.00, and additional
federal funds are made available for the project,the Local Agency shall pay 100%of all such
costs eligible for federal participation and 100% of all non-participating costs; if additional
federal funds are not made available,the local agency shall pay all such excess costs. If the
total participating cost of performance of the Work is less than $194,174.00,then the
amounts of Local Agency and federal-aid funds will be decreased in accordance with the
funding ratio described herein. The performance of the Work shall be at no cost to the State.
C. The maximum amount payable to the Local Agency under this contract shall be$160,757.00,
(For CDOT accounting purposes,the federal funds of$160,757.00 and local matching funds
of$33,417.00 will be encumbered for a total encumbrance of$194,174.00),unless such
amount is increased by an appropriate written modification to this contract executed before
any increased cost is incurred. It is understood and agreed by the parties hereto that the total
cost of the Work stated hereinbefore is the best estimate available,based on the design data
as approved at the time of execution of this contract, and that such cost is subject to revisions
(in accord with the procedure in the previous sentence) agreeable to the parties prior to bid
and award.
D. The parties hereto agree that this contract is contingent upon all funds designated for the
project herein being made available from federal and/or state and/or Local Agency sources,as
applicable. Should these sources,either federal or Local Agency,fail to provide necessary
funds as agreed upon herein,the contract may be terminated by either party,provided that any
party terminating its interest and obligations herein shall not be relieved of any obligations
which existed prior to the effective date of such termination or which may occur as a result of
such termination.
-33- /
f
ADDENDUM A: FEDERAL REOUIREMENTS
Federal laws and regulations that may be applicable to the Work include:
A. The "Uniform Administrative Requirements for Grants and Cooperative Agreements to State and
Local Governments (Common Rule), at 49 Code of Federal Regulations, Part 18, except to the
extent that other applicable federal requirements(including the provisions of 23 CFR Parts
172 or 633 or 635)are more specific than provisions of Part 18 and therefore supersede such
Part 18 provisions. The requirements of 49 CFR 18 include, without limitation:
1. the Local Agency/Contractor shall follow applicable procurement procedures, as required by
section 18.36(d);
2. the Local Agency/Contractor shall request and obtain prior CDOT approval of changes to any
subcontracts in the manner, and to the extent required by, applicable provisions of section
18.30;
3. the Local Agency/Contractor shall comply with section 18.37 concerning any subgrants;
4. to expedite any CDOT approval,the Local Agency/Contractor's attorney,or other authorized
representative, shall also submit a letter to CDOT certifying Local Agency/Contractor
compliance with section 18.30 change order procedures, and with 18.36(d) procurement
procedures, and with 18.37 subgrant procedures, as applicable;
S. the Local Agency/Contractor shall incorporate the specific contract provisions described in
18.36(i)(which are also deemed incorporated herein)into any subcontract(s)for such services
as terms and conditions of those subcontracts.
B. Executive Order 11246 of September 24, 1965 entitled "Equal Employment Opportunity," as
amended by Executive Order 11375 of October 13, 1967 and as supplemented in Department of
Labor regulations(41 CFR Chapter 60)(All construction contracts awarded in excess of$10,000 by
grantees and their contractors or subgrantees).
C. The Copeland "Anti-Kickback" Act (18 U.S.C. 874) as supplemented in Department of Labor
regulations(29 CFR Part 3) (All contracts and subgrants for construction or repair).
D. The Davis-Bacon Act(40 U.S.C.276a to a-7)as supplemented by Department of Labor regulations
(29 CFR Part 5)(Construction contracts in excess of$2,000 awarded by grantees and subgrantees
when required by Federal grant program legislation. This act requires that all laborers and
mechanics employed by contractors or sub-contractors to work on construction projects financed by
federal assistance must be paid wages not less than those established for the locality of the project
by the Secretary of Labor).
E. Sections 103 and 107 of the Contract Work Hours and Safety Standards Act(40 U.S.C.327-330)as
supplemented by Department of Labor regulations (29 CFR Part 5). (Construction contracts
awarded by grantees and subgrantees in excess of $2,000, and in excess of $2,500 for other
contracts which involve the employment of mechanics or laborers).
-34- ��
F. Standards, orders, or requirements issued under section 306 of the Clear Air Act (42 U.S.C.
1857(h), section 508 of the Clean Water Act (33 U.S.C. 1368). Executive Order 11738, and
Environmental Protection Agency regulations (40 CFR Part 15) (contracts, subcontracts, and
subgrants of amounts in excess of$100,000).
G. Mandatory standards and policies relating to energy efficiency which are contained in the state
energy conservation plan issued in compliance with the Energy Policy and Conservation Act(Pub.
L. 94-163).
H. Office of Management and Budget Circulars A-87,A-21 or A-122,and A-102 or A-110,whichever
is applicable.
I. The Hatch Act(5 USC 1501-1508)and Public Law 95-454 Section 4728. These statutes state that
federal funds cannot be used for partisan political purposes of any kind by any person or
organization involved in the administration of federally-assisted programs.
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 Law 101-336;42 USC 12101, 12102, 12111-12117,
12131-12134, 12141-12150, 12161-12165, 12181-12189, 12201-12213 47 USC 225 and 47 USC
611.
L. The Uniform Relocation Assistance and Real Property Acquisition Policies Act,as amended(Public
Law 91-646,as amended and Public Law 100-17, 101 Stat.246-256). (If the contractor is acquiring
real property and displacing households or businesses in the performance of this contract.)
M. The Drug-Free Workplace Act(Public Law 100-690 Title V, subtitle D,41 USC 701 et seg. .
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".
P. 23 C.F.R Part 633, concerning "Required Contract Provisions for Federal-Aid Construction
Contracts".
Q. 23 C.F.R. Part 635,concerning"Construction and Maintenance Provisions".
R. Title VI of the Civil Rights Act of 1964 and 162(a) of the Federal Aid Highway Act of 1973.
The requirements for which are shown in the Nondiscrimination Provisions,which are attached
hereto and made a part hereof.
-35-
APRIL 1980
Nondiscrimination Provisions:
In compliance with Title VI of the Civil Rights Act of 1964 and with Section 162(a)of the Federal Aid
Highway Act of 1973,the Contractor,for itself,its assignees and successors in interest,agree as follows:
A. Compliance with Regulations. The Contractor will comply with the Regulations of the Department
of Transportation relative to nondiscrimination in Federally assisted programs of the Department of
Transportation (Title 49, Code of Federal Regulations, Part 21, hereinafter referred to as the
"Regulations"),which are herein incorporated by reference and made a part of this contract.
B. Nondiscrimination. The Contractor,with regard to the work performed by it after award and prior
to completion of the contract work,will not discriminate on the ground of race,color,sex,mental or
physical handicap or national origin in the selection and retention of Subcontractors, including
procurement of materials and leases of equipment. The Contractor will not participate either
directly or indirectly in the discrimination prohibited by Section 21.5 of the Regulations,including
employment practices when the contract covers a program set forth in Appendix C of the
Regulations.
C. Solicitations for Subcontracts. Including Procurement of Materials and Equipment. In all
solicitations either by competitive bidding or negotiation made by the Contractor for work to be
performed under a subcontract, including procurement of materials or equipment, each potential
Subcontractor or supplier shall be notified by the Contractor of the Contractor's obligations under
this contract and the Regulations relative to nondiscrimination on the ground of race, color, sex,
mental or physical handicap or national origin.
D. Information and Reports. The Contractor will provide all information and reports required by the
Regulations,or orders and instructions issued pursuant thereto and will permit access to its books,
records,accounts,other sources of information and its facilities as may be determined by the State
or the FHWA to be pertinent to ascertain compliance with such Regulations,orders and instructions.
Where any information required of the Contractor is in the exclusive possession of another who
fails or refuses to furnish this information,the Contractor shall so certify to the State,or the FHWA
as appropriate and shall set forth what efforts have been made to obtain the information.
E. Sanctions for Noncompliance. In the event of the Contractor's noncompliance with the
nondiscrimination provisions of this contract,the State shall impose such contract sanctions as it or
the FHWA may determine to be appropriate,including,but not limited to:
1. Withholding of payments to the Contractor under the contract until the Contractor complies,
and/or;
2. Cancellation, termination or suspension of the contract, in whole or in part.
F. Incorporation of provisions. The Contractor will include the provisions of paragraphs A through F
in every subcontract,including procurement of materials and leases of equipment,unless exempt by
the Regulations, orders, or instructions issued pursuant thereto. The Contractor will take such
action with respect to any subcontract or procurement as the State or the FHWA may direct as a
means of enforcing such provisions including sanctions for noncompliance;provided,however,that,
in the event the Contractor becomes involved in, or is threatened with, litigation with a
Subcontractor or supplier as a result of such direction,the Contractor may request the State to enter
into such litigation to protect the interest of the State and in addition,the Contractor may request the
FHWA to enter into such litigation to protect the interests of the United States.
_37
�5
SPECIAL PROVISIONS
CONTROLLER'S APPROVAL
1.This eonbactshall not be deemadvalid until it shall have been approved bythe Contmllarof the State of Colorado orsuch assistant as he maydesignale.This
provision is applicable to any contract InvolWg the payment of money by the State.
FUND AVAILABILITY
2.Flnandal obligations of the State of Colorado paysble after the current fiscal year are contingent upon funds forthat purpose being appropriated,budgeted,and
otherwise made available.
BOND REQUIREMENT
3.lf this contract involves the payment of mons than fifty thousand dollars for the construction,erection,repair,maintenance,orknprwementof arybuhdutg,road,
bridge,vleduct,tunnel,excavation or other public work for this State,the Contractor shelf,before entering upon the performance of any such work Included in this
contract,duly execute and deliver to the State official who will sign the contras,a good and sufficient bond or other acceptable surely,to be approved by said official
In a penal sum not less than one-half of the total amount payable by the terms of this contract. Such bond shag be duly executed by a qualified corporate surety
conditioned upon the faithful performance of the contract and In addition,shall provide that it the Contractor or We subcontractors fail to duty pay for any labor,
materials,team hire,sustenance,provisions,provender or other supplies used orconsumed by such Contractor or his subcontractor in performance of the work
contracted to be done orfalls to pay any person who supplies rental machinery,tools,or equipment In the prosecutlon of the work the surety will pay the same in an
amount not exceeding the sum specified In the bond,logetherwith interest at the rate of eight per cent perannum. Unless such bond Is executed,delivered and
filed,no claim in favor of the Contracrorarlsing undersuch contract shall be audited,showed orpaid.Acerdfiedorcashieescheckaabankmoneyorderpayableo
the Treasurer of the State of Colorado may be accepted In lieu of a bad. This provision is In compliance with CRS 38-26.106.
INDEMNIFICATION
4.To the When authorized by law,the contractor shall Indemnity,awe,and hold ham less the State,its employees and agents,against any and all claims,
Damages,debility and court awards Including costs,expenses,and attorney fees incurred as a result of any act or omission by the contractor,or its employees.
Agents,subcontractors,or assignees pursuant to the terms of this contract.
DISCRIMINATION AND AFFIRMATIVE ACTION
S.The Contractor agrees to coney with the letter and spirit of the Colorado Antidiscrimination Act of 1957,as amended,and other applicable law respecting
discrimination and unfair employment practices(CRS 24-34-402),and as required by Executive Order,Equal Opportunity and Affirmative Action,dated April 16.
1975. Pursuant thereto,the fol/o"rif provisions shall be contained in all State contracts orsubcontracts.
During the performance of this contract,the Contractor agrees as follows:
(a)The Contractor will not discriminate against amy employee or applicant for employment because of race,creed,color,nadonal origin,sex,marital sous,
religion,ancestry,mental or physical handicap,or age.The Contractorwlli take affirnative action to insure that applicants are amployed,and diet employees are
treated during employment,without regard to the above mentioned charactedstics. Such action shall Include,but not be limited to the hollowing employment
upgrading,demotion,or transfer,recruitment or recruitment advedlsings;lay-offs orternlnadons;rates of pay or other forms of compensation;and selection for
training.Including apprenticeship. The Contractor agrees to post In conspicuous places,available to employees and applicants for employment,notices to be
provided by the contracting officar setting font provisions of this non-discrimination clause. -.
(b)The CoMmetor will,In all solicitations or advertisements or employees placed by or on behalf of the Contractor,State that all qualified applicants will receive
consideration for employment whhoul regard to race,creed,color,national origin,sex,marital status,religion,ancestry,mental or physical handicap,or age.
(c)The Contractor will send to each labor union or representable of workers with which he has a collective bargaining agreement or other contract or
understanding,notice to be provided by the contracting officer,advising the labor union or workers'representative of the Contractors commitment under the
Executive Order,Equal Opportunity and Affirmative Action,dated April 16,1975,and rules,regulations,and relevant Orders of the Governor.
(d)The Contractor and labor unions will furnish all Information and reports required by Executive Order,Equal Opportunity and Affirmative Action of April 16.
1975,and by the rules,regulations and Orders of the Governor,orpursuantthereto,and will permit access to his books,records,and accounts by the contracting
agency and the office of the Governor or his designee or purposes of Investigation to ascertain compliance with such miss regulation;and orders.
(a)A labor organization will not exclude any individual otherwise qualified from full membership rights in such labororgankedon,or expel arysuch indwklual from
membership in such labor organization or discriminate against any of its members In the full enjoyment work opportunity because of race,creed,color,sax,
national origin,or ancestry.
(f)A labor organization,or the employees or members thereof will not aid,abet,incite,compel a coerce the doing of any act defined In this contract to be
discriminatory or obstruct or prevent any person from complying with the provision of this contract or anyorder issued thereunder,or attempt either directly or
Indirectly,to commit any act defined in this contract to be discriminatory.
(g)In the went of the Contractors non-compliance with the non-discrimination clauses of this contract or with any of such rules,regulations.or orders,this
contract maybe canceled,terminated orsuspended In whole or in part and the Contrectormaybe declared InehgbleforfuMerState ccntradskn aaddancewilh
procedures,authorized in Executive Order,Equal Opportunity and Afdrmadve Action of April 16.1975 and the rules,regulations,or orders promulgated in
accordance therewith,and such other sanctions as maybe imposed and remedies as maybe Invoked as provided in Executive Orders,Equal Opportunity and
Affirmative Action of April 16,1975,or by miss,regulations,or orders promulgated in accordance therewith,or as otherwise provided by law.
(h)The Contractor will Include the provisions of paragraphs(a)through(h)In every subwntmct and subcontractor purchase order unless exempted by miss,
regulations,or orders Issued pursuant to Executive Order,Equal Opportunity and Afffmnable Action of April 16,1975,so that such prwisonswill be binding upon
eachsubcontractororvendor.The Contrectorwdl take such action with respect to arrysubcontracting orpurchase orderas thecabacting agency maydirect as
a means of enforcing such provisions,including sanctions for non-compliance;provided,however,that In the went the Contractor becomes involved in,or is
threatened with,litigation,with the subcontractor or vendor as a result of such direction by the contracting agency,the Contractor may request the Stale of
Colorado to enter Into such fidgallon to protect the Interest of the State of Colorado.
COLORADO LABOR PREFERENCE
b.When a construction contract for a public project is to be awarded to a bidder,a resident bidder shall be allowed a preference against a non-resident bidder
—38—
from a State a foreign country equal to the preference given or required by the State or foreign country In which the non-resident binder is a resident,0 it Is
datewined by the officer responsible for awaMng the bid that compliance with thla subsection.OS may cause denlal of federal hands which would otherwise be
available orwouldotherwise be with regWramemsof Federal law,this subsection shell be suspended,but only to the extent neowsaryto prevent dental
of the moneys or to e8minate the Inconsistency with Federal requirements(CRS 8-18-101 and 102).
GENERAL
7.The taws of the State of Colorado and rubs and regulations hared pursuantdiereb shall be applied in the interpretation,execution,and enforcement of this
contract.Any provision old"contractwhethorornot incorporated herainby reference which provides forarbMation byany emm+udicW bodyorpwaanorwhlch Is
otherwise In conflict with sold laws,ride and regulations shall be considered null and void. Nothing contained In any provision Incorporated herein by reference
which purports to negate this or any other special provision In whole or in pad shall be vakd or enforce"or availebb In any action at law whether byway of
cornplain6 defense,orotherwise.Anypmvisim rendered null and voldbythe operation of this provision will not invalidate the renraYndxolthbcaNaelbdieexlaa
that the contract Is cap"of execution.
S.At all times during the performance of this contract,the Contractor shall atdcty adhere to all applicable federal and State laws,rules,and regulations that have,
been or may hereafter be established.
S.Pursuant bcRS 24-30-202.4(m amended),the Mae conbolermaywlWxtiddebbowed b state agencies under the vendor ogaet Intercept syaianfor.(■)unpaid
chid support debt orchid supportanearagee:(b)unpaid belarice of tax,aocnrredkxeresi."other charges specified in ANcie21,TI1e39.CRS;(c)uipsidioans clue tothe
student low Misbn or the deparonentof higher education;(d)owed ariaimm required to be paid tithe unesnplothrend cor permilon Ind and(a)other unpaid dabb
owkp to the state or any agency thereof,the amount of which is found b be ovArp as a resuk of ffrel agency detenhinatico or reduced to Wgnem ore certified by to
conlroker.
10.The signatories aver that they are familier with CRS 1848301,el.seq.,(Bribery and Comet Influences)and CRS 18-8401,eL seq..(Abuse of Public Office),
and that no violation of such prwlslons Is present.
11. The signatories aver that to Mdrknowledge,no State employee has any personal or bweNdal Interest whatsoever in the service or prop"described
herein.
—39— ��
ATTACHMENT LO
Certi ccation for Federal-Aid Contracts
The contractor certifies,by signing this contract,to the best of its knowledge and belief,that:
1. No Federal appropriated funds have been paid or will be paid,by or on behalf or the
undersigned, to any person for influencing or attempting to influence an officer or employee of
any Federal agency,a Member of Congress,an officer or employee of Congress,or an employee
of a Member of Congress in connection with the awarding of any Federal loan, the entering into
of any cooperative agreement, and the extension,continuation,renewal, amendment,or
modification of any Federal contract,grant, loan, or cooperative agreement.
2. If any funds other than Federal appropriated funds have been paid or will be paid to any person
for influencing or attempting to influence an officer or of Congress,or an employee of a
Member of Congress in connection with this Federal contract,grant, loan, or cooperative
agreement, the undersigned shall complete and submit Standard Form-LLL, 'Disclosure Form to
Report Lobbying," in accordance with its instructions.
This certification is a material representation of fact upon which reliance was placed when this
transaction was made or entered into. Submission of this certification is a prerequisite for making or
entering into this transaction imposed by Section 1352,Title 31,U.S. Code. Any person who fails to
file the required certification shall be subject to a civil penalty of not less than$10,000 and not more
than $100,000 for each such failure.
The prospective participant also agree by submitting his or her bid or proposal that he or she shall
require that the language of this certification be included in all lower tier subcontracts,which exceed
$100,000 and that all such subrecipients shall certify and disclose accordingly.
Required by 23 CFR 635.112
�g-40-
4 '
APPENDIX B
DISADVANTAGED BUSINESS ENTERPRISE(DBE)
SECTION 1. Policy.
It is the policy of the Colorado Department of Transportation(CDOT)that disadvantaged business enterprises shall
have the maximum opportunity to participate in the performance of contracts financed in whole or in part with Federal
funds under this agreement,pursuant to 49 CFR Part 23. Consequently,the 49 CFR Part IE DBE requirements the
Colorado Department of Transportation DBE Program(or a Local Agency DBE Program approved in advance by the
State) apply to this agreement.
SECTION 2. DBE Obligation.
The recipient or its contractor agrees to ensure that disadvantaged business enterprises as determined by the Office of
Certification at the Colorado Department of Regulatory Agencies have the maximum opportunity to participate in the
performance of contracts and subcontracts financed in whole or in part with Federal funds provided under this
agreement. In this regard,all participants or contractors shall take all necessary and reasonable steps in accordance with
the CDOT DBE program(or a Local Agency DBE Program approved in advance by the State)to ensure that
disadvantaged business enterprises have the maximum opportunity to compete for and perform contracts. Recipients
and their contractors shall not discriminate on the basis of race,color,national origin,or sex in the award and
performance of CDOT assisted contracts.
SECTION 3 DBE Program.
The contractor(subrecipient)shall be responsible for obtaining the Disadvantaged Business Enterprise Program of the
Colorado Department of Transportation, 1988,as amended, and shall comply with the applicable provisions of the
program. (If applicable).
A copy of the DBE Program is available from and will be mailed to the contractor upon request:
Business Programs Office
Colorado Department of Transportation
4201 East Arkansas Avenue,Room 287
Denver, Colorado 80222-3400
Phone: (303)757-9234
revised 1/22198 Required by 49 CFR Part 23.41
-41- ��
ADDENDUM B: CONTRACT MODIFICATION TOOLS
The Local Agency and the State may use a Funding Letter in order to more expeditiously change and amend the terms
of this contract, if such use is warranted by the circumstances as described and authorized therein.
FUNDING LETTER.
Under this Contract,the Local Agency has agreed to provide funding based on the terms as described herein as needed
to satisfactorily perform and complete the work, subject to the availability of funding.
Funds are currently available and encumbered for the work in the amount specified above. However,the total cost to
complete the work, and the resulting total funding amount(s)to be provided by the State and Local Agency in exchange
therefor,as described in this Contract or otherwise made known to the Local Agency,are only estimated.
If the parties determine that they have underestimated/overestimated the total cost of the work,they have the right to
take the following action:
A. to increase/decrease the amount of available funds under this Contract.
In the event of this action,the State will notify the Local Agency thereof by Funding Letter. The Funding Letter will be
in a form substantially equivalent to the form attached hereto, and it shall not be deemed valid until it shall have been
signed by the Local Agency and approved by the State Controller or such assistant as he may designate.
_42_ I �1
4
COLORADO DEPARTMENT OF TRANSPORTATION AUTHORITY:
CONTRACT FUNDING INCREASE/DECREASE AND APPROVAL LETTER State Controller Policy letter on June 12, 1996
Region: Complete section 1 and submit to CDOT Controller's office. CDOT Controller letter on May 23 1996
(1)This form to be used for the following contracts/situations only(check the appropriate situation):
_indefinite quantity, order more/add more —utility/railroad, underestimated total cost
_CDOT construction, sum of CMO's _LA construction, underestimated cost
CDOT construction underestimated total cost CDOT consultant underestimated cost
SECTION 1 (Region use
Date: 2 Project code 3
To: CDOT Controller(FAX#(303) 757-9573 or e-mail CONTROLLER) Project# (4)
From: Office: (5) Phone# (5) FAX# (5)
Re ion# S
CDOT has executed a contract with: (6)
Address: 6
FEIN# (6) Contract routing# (7) COFRS encumbrance#(Indicate PO,SC or PG i) (a)
Fund Orgn. Appro. Prgrm. Func. Object/Sub-obj N/P GBL Reporting Catg. Proj/Sub/Phase
(9) (9) (9) (9) 1 (9) (9) (9) (9)
Original contract amount Has a Budget Request been processed to cover the contract amount Increase?
$ 10 es no 14
Previous Funding Letter(s)total Preparer's name (15)
$ (11)
(Funding letter#1 thru#J PHONE NO:
This Funding Letter total Contract Administrator's/Business Manager's Approval
$ (12) (16)
(#� PHONE NO:
Adjusted contract amount CDOT Designee Approval
$ (13) (17)
Local Agency approval
(18)
SECTION 2 Controller's Office use 19)
Total allotment amount Commission budget
$ (19) $ (19)
If construction: CE charges Indirect chgs Adjusted contract amount plus total CE&indirect
CE pool elig. (19) S (19) $ 0 9) charges calculation $(19)
1 have reviewed the financial status of the project, organization, grant and have determined that sufficient funds are available
to cover this Increase effective as of 19
State Controller or Delegee Date
(20) (20)
-43- � '
EXAMPLE A(Lump Sum Contracts) Exhibit D,Page 1 of 5
Company Name: Project No.
Address: Project Location
Employer(FEIN)ID Number: Subaccount No.
Invoice Number and Date:
Progress Report Dated:
%Completed: (1)
Current Billing Period: From: To:
BASIC AND/OR SUPPLEMENTAL CONTRACT TOTAL:(2) $
Total Billed to Date: $
Less:Retainage(10%of billing not to exceed 5%of contract) $
Less:Prior Payments: $
Prior Billing:$ Less Retainage:$ $
TOTAL CURRENT PAYMENT REQUEST:* $
(%To date of DBE work: )
I certify that the billed amounts are in agreement with the contract terms:
SiR,ngure Title IIatr
*%Completed x Contract Total=Total Current Payment Request
1 x 2 — *
EXAMPLE B Cost Plus Fixed Fee Contracts Exhibit D.Pa e 2 of 5
Company Name: Project No.
Address:
Employer ID Number: Project Location
Invoice Number and Date:
Progress Report Dated: Subaccount No.
%Completed:
BASIC AND/OR SUPPLEMENTAL CONTRACT TOTAL $
Prior veriod Billing Amount: $
Current Billing Period: From: To:
DIRECT LABOR:(List Individual)
Regular Direct Hourly Rate Overtime Cost
Employee Name Classification Hours $ Hours $
Current This Period Total Amount to
Date(Optional)
Subtotal—Direct Labor $ $
Indirect_(%)(as specified in contract) $ $
OTHER DIRECT COSTS(In-House)
List individually—at actual cost as in final cost proposal;mileage(miles X$), $ $
CADD firs.x$),equip.rental .x$),etc.
SUBTOTAL(DIRECT LABOR,INDIRECT&OTHER DIRECT COSTS) $ $
FEE(%)(As specified in the contract) $ $
OUTSIDE SERVICES(Subconsultants&Vendors)(List individually) $ $
o be in the same format—attach copies)
%To Date on DBE Work $ $
Outside Services Management Expense(when applicable) $ $
TOTAL CURRENT PERIOD: $ $
TOTAL TO DATE: $ $
LESS:Retainage(10%of billing not to exceed 5%of contract) $ $
LESS:Prior Payments $ $
Prior Billing$ Less Retainage$ $ $
TOTAL CURRENT PAYMENT REQUEST $ $
I certify that the billed amounts are actual and in agreement with the contract terms:
Signature hue vate
*Eligible classifications only:in accordance with contract
EXAMPLE C(Specific Rates of Pay Contracts) Exhibit D,Page 3 of 5
_45_
� 3
Company Name: Project No.
Address:
Employer ID Number: Project Location
Invoice Number and Date:
Progress Report Dated: Subaccount No.
%Completed:
BASIC AND/OR SUPPLEMENTAL CONTRACT TOTAL $
Prior Period Billing Amount: $
Current Billing Period: From: To:
PAY RATES: (List Individuall
Regular Overtime Rates of Pay Cost
Em to ee Name Classification Hours Hours* $/Hours** $
SUBTOTAL-PAY RATES: $
OTHER DIRECT COSTS(In-House) $
List individually-at actual rates as in final cost proposal;mileage(miles X$),
CADD .x$),equip.rental hrs.x$),etc. $
SUBTOTAL(Pay Rates and Other Direct Rates)
OUTSIDE SERVICES(Subconsultants&Vendors)(List individually)
o be in the same format-attach copies) $
%To Date on DBE Work $
Outside Services Management Expense(when applicable) $
TOTAL CURRENT PERIOD: $
TOTAL TO DATE: $
LESS:Retainage(10%of billing not to exceed 5%of contract) $
LESS:Prior Payments $
Prior Billing$ Less Retainage$
TOTAL CURRENT PAYMENT REQUEST $
I certify that the billed amounts are actual and in agreement with the contract terms:
Signature Title Date
*Eligible classifications only:in accordance with contract
**In accordance with contract
-46- ' n
EXAMPLED Local Agency Billing) Date Exhibit D Page 4 of 5
SECTION I. CONTRACT DATA
Local Agency: Project No.
Address:
Employer(FEIN)ID Number: Project Location
Invoice Number and Date:
%Completed: Subaccount No.
BASIC AND/OR SUPPLEMENTAL CONTRACT TOTAL: $
Federal Share $
Local Agency Share $
State Share$
Prior Period Billing Amount: $
Current Billing Period: From: To:
SECTION II. INCURRED COSTS
DIRECT LABOR: (List individually)
Employee Classification Regular Direct Hourly Overtime Cost
Name Hours Rate $ Hours* $
Current Total to
SUBTOTAL—DIRECT LABOR This Period Date
BENEFITS %OF DIRECT LABOR $ $
OTHER DIRECT COSTS (In-House) $ $
List individually-at actual cost;
Mileage(miles x $), CADD (hrs. x$), $ $
Equip rental(hrs.x$),etc.
OUTSIDE SERVICES(Consultants&Vendors)
(List individually) (To be in this same format- $ $
attach copies of invoices)
TOTAL COSTS CURRENT PERIOD: $
TOTAL COSTS TO DATE: $
SECTION III. BILLING
TOTAL BILLING CURRENT PERIOD
(_%OF TOTAL COSTS): $
Prior Billing: $
I certify that the billed amounts are actual and in agreement with the contract terms.
Signature Title Date
'Eligible classifications only
EXAMPLE E(Fixed Multiplier Contracts Exhibit D.Page 5 of 5
Company Name: Project No.
Address:
Employer ID Number: Project Location
Invoice Number and Date:
Progress Report Dated: Subaccount No.
%Completed:
BASIC AND/OR SUPPLEMENTAL CONTRACT TOTAL $
Prior Period BillingAmount: $
Current Billing Period: From: To:
PAY RATES: (List Individuall
Regular Certified Fixed Cost
Employee Name Classification Hours Hourly Rates Multiplier $
SUBTOTAL-PAY RATES: $
OTHER DIRECT COSTS(In-House) $
List individually-at actual rates as in final cost proposal;mileage(miles X$),
CADD(hrs.x$),equip.rental firs.x$),etc. $
SUBTOTAL(Pay Rates and Other Direct Rates)
OUTSIDE SERVICES(Subconsultants&Vendors)(List individually)
o be in the same format-attach copies) $
%To Date on DBE Work $
Outside Services Management Expense(when applicable) $
TOTAL CURRENT PERIOD: $
TOTAL TO DATE: $
LESS:Retainage(10%of billing not to exceed 5%of contract) $
LESS:Prior Payments $
Prior Billing$ Less Retainage$
TOTAL CURRENT PAYMENT REQUEST $
I certify that the billed amounts are actual and in agreement with the contract terms:
Signature Title Date
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