HomeMy WebLinkAboutbocc.res.174.2002 A RESOLUTION OF THE BOARD OF COUNTY COMMISSIONERS OF
PITKIN COUNTY, COLORADO AUTHORIZING PITKIN COUNTY TO ENTER
INTO A TRANSPORTATION ENHANCEMENT CONTRACT WITH THE
COLORADO DEPARTMENT OF TRANSPORTATION FOR THE
THOMASVILLE LIME KILNS STABILIZATION AND HISTORIC MARKER
PROJECT
Resolution No.�-2002
1. Pitkir. County applied for and received grant money from the Colorado
Department of Transportation to be used for transportation enhancement activities within
Pitkin County.
2. The Board chose to use the funds for the enhancement of the Thomasville
Lime Kilns.
3. The purpose of the project is for the stabilization, site improvement and a
site survey of the historic lime kilns and to provide public information about the kilns and
their significance to local and statewide residents in the 1800's.
4. The property owners, Pitkin County, Aspen/Pitkin County Historic Preservation
Officer, Colorado Department of Transportation, Colorado Preservation, Colorado
Historic Fund and the Frying Pan Caucus are all in full support of this project.
NOW, THEREFORE, be it resolved by the Board of County Commissioners of
Pitkin County, Colorado that the Board does hereby authorize the Chair to sign on its
behalf, the Transportation Enhancement Contract between Pitkin County and the
Colorado Department of Transportation for the Thomasville Lime Kilns Stabilization and
Historic Marker Project.
INTRODUCED,FIRST READ,AND SET FOR PUBLIC HEARING ON_z4 2002
PUBLISHED IN THE WEEKEND EDITION OF THE ASPEN TIMES ON THE DAY
OF 2002. xt
APPR VED AND ADOPTED UPON SECOND READING ON THE_ �i DAY
OF
�j�o
PUBLISHED, AFTER ADOPTIOWN THE VEKEND EDITION OF THE ASPEN TIMES
ON THE 51 Y DAY OF 2002.
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Resolution # /)Y 0),
Page 2
ATTEST: BOARD OF COUNTY COMMISSIONERS
OF PITKIN COUNTY, COLORADO
]4 By: t42 �1 - By: -aat
Jean a Jones Date Patti Kay-Clapper, Ch it Date
Dent y Clerk K Reco r
APPROVED AS TO FORM: MANAGER APPROVAL:
John M.Ely Hilary F. h
County A ey County er
(FMLAWRKENH) CMS ID 02-267
STE C570-010, 14039 03 HA3 00034
REGION 3,/(MAA) Rev 2/00
TRANSPORTATION ENHANCEMENT CONTRACT
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THIS CONTRACT, made this day of_ C -� . , 20(=),l by and between the
State of Colorado for the use and benefit of THE COLOR-ADO DEPARTMENT OF
TRANSPORTATION, hereinafter referred to as the State or CDOT, and PITKIN COUNTY,
STATE of COLORADO, 76 Service Center Road, Aspen, CO 81611, FEIN: 846000563,
hereinafter referred to as the Local Agency, or the contractor.
FACTUAL RECITALS.
1. Authority exists in the law and funds have been budgeted, appropriated and otherwise
made available and a sufficient unencumbered balance thereof remains available for payment of
project and Local Agency costs in Fund Number 400, Appropriation Code 010, Organization
Number 9991, Program 2000, Function 3301, Object 2312 1P, Phase C, Reporting Category
3130, Contract Encumbrance Number 14039, (Contract Encumbrance Amount: $50,000.00).
2. Required approval, clearance and coordination have been accomplished from and with
appropriate agencies.
3. Pursuant to Title I, Subtitle A, Section 1108 of the Transportation Equity Act for the 21 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 § 1007(a) of TEA-21, at 23 U.S.C. § 133(d)(2), certain Surface
Transportation Project funds are made available only for eligible"Transportation Enhancement
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Activities", as defined in § 23 U.S.C. § 101(a), and this contract provides for the performance by
the Local Agency of a project for an eligible Transportation Enhancement Activity.
5. 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 program, including the administration of federal funds for a program project performed by a
local agency under a contract with the State.
6. The Local Agency has requested that a certain local highway project be funded as part of
the program as a Transportation Enhancement Activity, and the Local Agency Represents that the
project is an eligible Transportation Enhancement Activity as defined in 23 U.S.C. § 101(a), 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.
7. Federal-aid funds have been made available for project, STE C570-010, which shall
consist of the historic preservation of the Thomasville Kilns, herein referred to as "the project" or
"the work" in Pitkin County, Colorado, as more specifically described in Exhibit A (the Form
#463 and/or a "Scope of Work"), in, Pitkin County, Colorado, hereinafter referred to as "the
project" or "the work".
8. The matching ratio for this federal-aid project is 80% federal-aid funds to 20% Local
Agency funds, it being understood that such ratio applies only to such costs as are eligible for
federal participation, it being further understood that all non-participating costs shall be borne by
the Local Agency at 100%.
9. The Local Agency desires to comply with the federal provisions and other applicable
requirements, including the State's general administration and supervision of the project through
this contract, in order to obtain federal funds for the project.
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10. 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.
11. 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.
12. The parties hereto desire to agree upon the division of responsibilities with regard to the
project.
13. The Local Agency is adequately staffed and suitably equipped to undertake and
satisfactorily complete some or all of the Work.
14. 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 (eg, 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
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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.
II. PROJECT DESCRIPTION
"The project" or "the Work" under this contract shall consist of the historic preservation of the
Thomasville Kilns, herein referred to as "the project" or "the work" 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 bem-responsible to perform all design, right-of-way, utility, construction,
and construction administration tasks required to complete the Work, and the Local Agency shall
comply with all applicable terms and conditions of this contract in performing the Work,
including those process and task responsibilities and standards as specifically indicated in the
Pre-Construction and Construction Administration Checklists attached hereto and made a part
hereof. The responsible party shall perform all such tasks in accordance with applicable
requirements and standards, including those in this contract and in applicable law.
V. PROJECT FUNDING PROVISIONS
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The funding provisions for the project are attached hereto and incorporated herein as Exhibit C.
VI. TRANSPORTATION ENHANCEMENT ADVANCE PAYMENT PROVISIONS
The advance payment provisions described herein shall apply only to a percentage of the
construction work portion of an enhancement project, as described below. Payment for all
other work portions of the Project, including for the design work, shall be on a reimbursement
basis, as described below.
A. Pursuant to FHWA's approval under 23 U.S.C. § 133(e)(3)(B), the State will provide an
advance payment up to a maximum percentage of the total amount for the construction
portion of transportation enhancement project activities, in accord with the following
procedures.
1. the State will provide advance payment to the Local Agency of 70% of the federal
funds budgeted and available for the construction of this transportation
enhancement project, in accord with 23 U.S.C. § 133(e)(3)(B and as described
herein.
2. the Local Agency shall submit the following to the State representative identified
in section VH, after execution of this Contract:
a) a financial statement for the construction of the project; and
b) an invoice for advance payment of 70% of the federal funds budgeted and
available for the construction of the project.
3. After receipt of such statement and invoice, the State will issue a warrant to the
Local Agency in the amount of the approved advance payment of construction
project funds, subject however to the prior performance of the following: A) the
satisfactory completion of the design of the project; B) the State approving the
Local Agency's construction contract; and C) the State issuing to the Local
Agency a Notice To Proceed with the construction of the project.
4. the advanced funds shall be used by the local agency only for the performance of
the construction work of the project. Upon receipt of the notice to proceed from
the State, the Local Agency shall proceed expeditiously to start the construction
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work and prosecute it diligently to completion. If for any reason the local agency
does not start the construction work within 120 days of receipt of the notice to
proceed, or if the Local Agency starts the construction work but discontinues or
abandons performance before completion, the Local Agency shall remit to the
State all federal funds reimbursed or advanced by the State for the project not later
than 30 days after the 120th day, or after the date the Local Agency
discontinues/abandons performance, as applicable.
5. When the Project construction work is completed, the Local Agency shall submit
to the State all required paperwork for that construction work, together with a
final statement of costs for that construction work and a billing for the remaining
30% of the federal funds budgeted and available for the Project construction work.
The State shall not reimburse the Local Agency the remaining 30% of the
construction work costs until the State has reviewed the billings and has inspected
the completed project construction work, subject to the terms and conditions of
this contract.
B. Except as provided in A. above, the State will reimburse the Local Agency for the
federal-aid share of the project design, and other work following the State's review and
approval of such charges, subject to the terms and conditions of this contract. The Local
Agency will prepare and submit to the State monthly charges for costs incurred relative to
the design, and work portions of the project. 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.
C. 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
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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.
D. The Local Agency shall establish and maintain a proper accounting system in accordance
with generally accepted accounting standards (a separate set of accounts, or as a separate
and integral part of its current accounting scheme) to assure that project funds are
expended and costs accounted for in a manner consistent with this contract and project
objectives.
1. All allowable costs charged to the project, including any approved services
contributed by the Local Agency or others, shall be supported by properly
executed payrolls, time records, invoices, contracts or vouchers evidencing in
detail the nature of the charges.
2. Any check or order drawn up by the Local Agency, including any item which is or
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.
E. 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
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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.
F. If the Local Agency is to be billed for CDOT incurred direct 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
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.
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G. 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.
H. To be considered for payment, billings for payment pursuant to this contract must be
received within 60 days after the period for which payment is being requested and final
billings on the contract must be received by the State within 60 days after the end of the
contract term.
1. Payments pursuant to this contract shall be made as earned, in whole or in part,
from available funds, encumbered for the purchase of the described services. The
liability of the State, at any time, for such payments shall be limited to the amount
remaining of such encumbered funds.
2. In the event this contract is terminated, final payment to the Local Agency may be
withheld at the discretion of the State until completion of final audit.
3. Incorrect payments to the Local Agency due to omission, error, fraud, or
defalcation shall be recovered from the Local Agency by deduction from
subsequent payment under this contract or other contracts between the State and
Local Agency, or by the State as a debt due to the State.
4. Any costs incurred by the Local Agency that are not allowable under the Common
Rule shall be reimbursed by the Local Agency, or offset against current
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 S. Sixth Street, Grand Junction, Colorado 80501, (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
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activities for the work shall be exchanged between representatives of the State's
Transportation Region 3 and the Local Agency. Until changed by notice in writing, all
routine correspondence shall be addressed as follows:
If to State: If to the Local Agency:
Joe Elsen Brian Pettet
CDOT Region 3 Pitkin county
202 Centennial 76 Service Center Road
Glenwood Springs, CO 81601 Aspen, t ('D g 4 U 11
(970) 945-7629 (970) 920-5390
B. The State will advance/reimburse the Local Agency for the federal-aid share of the
project charges, as provided in Exhibit C.
C. If the Work includes construction, the State, at its discretion, will review construction
plans, special provisions and estimates and will cause the Local Agency to make those
changes therein that the State determines are necessary to assure compliance with State
and FHWA requirements.
D. The State will perform a final project inspection prior to project acceptance as a Quality
Control/Assurance activity. When all project work has been satisfactorily completed, the
State will sign the FHWA form 1212.
VIII. LOCAL AGENCY COMMITMENTS
A. DESIGN.
I. If "the Work" includes preliminary design, or final design (a.k.a. "construction plans"), or
design work sheets, or special provisions and estimates (collectively referred to as "the
Plans"), the party that is responsible under Section IV (either the Local Agency or the
State) for the Plans\design 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.
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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 the Plans and contract documents.
7. be responsible for the Plans being accurate and complete.
8. Make no further changes in the Plans following the award of the construction
contract except by agreement in writing between the parties. The Plans shall be
considered final when approved and accepted by the parties hereto, and when final
they shall be deemed incorporated herein.
II. If the Local Agency is the responsible party:
1. It shall afford the State ample opportunity to review the Plans and make any
changes in the Plans as directed by the State to comply with FHWA requirements.
2. It may enter into a contract with a consultant to do all or any portion of the Plans
and/or of construction administration. Provided, however, that if federal-aid
funds are to participate in the cost of such work to be done by a consultant, the
Local Agency shall ensure that its procurement of that consultant contract (and the
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 described in Attachment #1, which is incorporated
herein by this reference. Those requirements and procedures include, without
limitation:
a) it shall (or its contractor shall) submit any consultant subcontract to CDOT
for approval prior to its execution by the Local Agency/Contractor, as required by
§ 172.5 (d);
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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 contractor 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 of
its consultant contract by submitting a letter to CDOT from the 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 requirements
of 49 CFR 18.36 (i) and contains the required provisions as well as the following
language which shall be included verbatim:
1) "The design work under this contract shall be compatible with the
requirements of a separate contract between the Local Agency and the
State (which is incorporated herein by this reference) for the
design/construction of the project. The State is an intended third party
beneficiary of this contract for that purpose."
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."
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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 for the
construction/construction administration IV (either the Local Agency or the State) shall
perform the construction in accordance with the approved design plans and/or administer
the construction all in accord with the project's Pre-construction and Construction
Contract Administration Checklists. Such administration shall include project inspection
and testing; approving sources of materials; performing required plant and shop
inspections; documentation of contract payments, testing, and inspection activities;
preparing and approving pay estimates; preparing, approving, and securing the funding
for contract modification orders (CMOs) and minor contract revisions (MCRs);
processing contractor claims; construction supervision; and, meeting the Quality Control
(QC) requirements of the FHWA/State stewardship program, all as more fully described
in the project's Pre-construction and Contract Administration Checklists.
H. If the Local Agency is the responsible party, it shall:
1. appoint a qualified professional engineer, licensed in the State of Colorado, as the
Local Agency Project Engineer (LAPE), to perform that administration. The
LAPE shall administer the project in accordance with this 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, the Local Agency shall in
conjunction with the State advertise the call for bids and upon concurrence by the
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State award the construction contract(s) to the low responsive, responsible
bidder(s).
a) In advertising and awarding the bid for the construction of a federal-aid
project, the Local Agency shall comply with applicable requirements of 23 U.S.C.
§ 112 and 23 C.F.R. § § 633 and 635. Those requirements include, without
limitation, that the Local Agency/Contractor shall physically incorporate the entire
"Form 1273" (which, if relevant to this contract, is attached) verbatim into any
subcontract(s) for those services as terms and conditions thereof, as required by 23
CFR 633.102(e).
b) The Local Agency has the option to accept or reject the proposal of the
low bidder for work on which competitive bids have been received. The Local
Agency must declare the acceptance or rejection at the award conference or within
3 working days after said bids are publicly opened, whichever occurs later.)
c) By indicating its concurrence in such award at the award conference, the
Local Agency acting by or through its duly authorized representatives, agrees to
provide additional funds, subject to their availability and appropriation for that
purpose, if required to complete the Work under this project if no additional
federal-aid funds will be made available for the project.)
3. if all or part of the construction work is to be accomplished by Local Agency
personnel (i.e., by "force account"), rather than by a contractor pursuant to a
contract with the Local Agency, the Local Agency will ensure that all such force
account work is accomplished in accordance with the pertinent State
specifications and requirements and with 23 C.F.R. Part 635, Subpart B, "Force
Account Construction".
a) Such work will normally be based upon estimated quantities and firm unit
prices agreed to between the Local Agency, the State and the FHWA in advance
of 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
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the Work based on actual costs of labor, equipment rental, materials supplies and
supervision necessary to complete the Work. Where actual costs are used,
eligibility of cost items shall be evaluated for compliance with Federal
Acquisition Regulations (FAR), 48 C.F.R. Part 31.
c) Rental rates for publicly owned equipment will be determined in
accordance with § 109.04 of the State's "Standard Specifications for Road and
Bridge Construction".
d) All force account work shall have prior approval of the State and/or
FHWA and shall not be initiated until the State has issued a written notice to
proceed.
C. ROW ACOUISITION/RELOCATION.
Prior to this project being advertised for bids, the Local Agency will certify in writing to
the State that all right of way has been acquired in accordance with the applicable State
and federal regulations, or that no additional right of way is required.
D. UTILITIES.
The Local Agency will be responsible for obtaining the proper clearance or approval from
any utility company which may become involved in this project, by separate agreement
between the Local Agency and the utility, if necessary. Prior to this project being
advertised for bids, the Local Agency will certify in writing to the State that all such
clearances have been obtained.
E. RAILROADS.
In the event the project involves modification of a railroad company's facilities at a
railroad grade crossing whereby the Work is to be accomplished by railroad company
forces, the Local Agency shall make timely application to the State Public Utilities
Commission requesting its order providing for the installation of the proposed
improvements and not proceed with that part of the work without compliance. The Local
Agency shall also 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:
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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.
I. 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.
11. The Local Agency shall, during all phases of the Work, permit duly authorized agents and
employees of the-State and the FHWA to inspect the project and to inspect, review and
audit the project records.
H. MAINTENANCE.
The Local Agency will maintain and operate the improvements constructed under this
contract, at its own cost and expense during their useful life, in a manner satisfactory to
the State and FHWA, and will make ample provision for such maintenance each year.
Such 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
-16-
1
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 if the Local Agency desires to use its own DBE Program to implement and
administer the DBE provisions of Title 49 CFR Part 23 under this contract, it must submit
a copy of its program's requirements to CDOT for review and approval before the
execution of this contract. If the Local Agency uses its program for this contract, the
Local Agency shall be solely responsible to defend that DBE Program and its use of that
Program against all legal and other challenges or complaints, at its sole cost and expense.
Such responsibility includes, without limitation, determinations concerning DBE
eligibility and certification, adequate legal and factual bases for DBE goals, and good
faith efforts. CDOT approval (if any) of the Local Agency's DBE Program does not
waive or modify the sole responsibility of the Local Agency for its use as described
above.
K. LOCAL AGENCY FUNDS
The Local Agency shall provide its match share and indirect cost funds for the work as
outlined in Exhibit C.
-17-
IX. GENERAL PROVISIONS
A. Notwithstanding any consents or approvals given by the State for the Plans, the State will
not be liable or responsible in any manner for the structural design, details or construction
of any major structures that are designed within the Work of this contract.
B. If the Work involves construction, the State shall have the authority to suspend the Work,
wholly or in part, by giving written notice thereof to the Local Agency, due to the failure
of the Local Agency or its construction contractor to correct project conditions which are
unsafe for the Workmen or for such periods as the State may deem necessary due to
unsuitable weather, or for conditions considered unsuitable for the prosecution of the
Work, or for any other condition or reason deemed by the State to be in the public
interest.
C. This contract may be terminated as follows:
1. Termination for Cause. If, through any cause, the Local Agency shall fail to
fulfill, in a timely and proper manner, its obligations under this contract, or if the
Local Agency shall violate any of the covenants, agreements, or stipulations of
this contract, the State shall thereupon have the right to terminate this contract for
cause by giving written notice to the Local Agency of its intent to terminate and at
least ten (10) days opportunity to cure the default or show cause why termination
is otherwise not appropriate. In the event of termination, all finished or
unfinished documents, data, studies, surveys, drawings, maps, models,
photograph.&;-and reports or other material prepared by the Local Agency under
this contract shall, at the option of the State, become its property, and the Local
Agency shall be entitled to received just and equitable compensation for any
services and supplies delivered and accepted. The Local Agency shall be
obligated to return any payment advanced under the provisions of this contract.
Notwithstanding above, the Local Agency shall not be relieved of liability to the
State for any damages sustained by the State by virtue of any breach of the
contract by the Local Agency. It shall be grounds for the State to terminate this
-18-
contract for cause, if after a period of two (2) years from the date of this contract,
the Local Agency fails to substantially prosecute the work outlined in the contract.
If after such termination it is determined, for any reason, that the Local Agency
was not in default, or that the Local Agency's action/inaction was excusable, such
termination shall be treated as a termination for convenience, and the rights and
obligations of the parties shall be the same as if the contract had been terminated
for convenience, as described herein.
2. Termination for Convenience. The State may terminate this contract at any time
the State determines that the purposes of the distribution of funds under the
contract would no longer be served by completion of the project. The State shall
effect such termination by giving written notice of termination to the Local
Agency and specifying the effective date thereof, at least twenty (20) days before
the effective date of such termination.
3. Termination Due to Loss of Funding. The parties hereto expressly recognize that
the Local Agency is to be paid, reimbursed, or otherwise compensated with
federal and/or State funds which are available to the State for the purposes of
contracting for the project provided for herein, and therefore, the Local Agency
expressly understands and agrees that all its rights, demands and claims to
compensation arising under this contract are contingent upon availability of such
funds to the State. In the event that such funds or any part thereof are not
available to the State, the State may immediately terminate or amend this contract.
D. Notwithstanding anything herein to the contrary, the parties understand and agree that all
terms and conditions of this contract and attachments hereto which may require continued
performance or compliance beyond the termination date of the contract shall survive such
termination date and shall be enforceable by the State as provided herein in the event of
such failure to perform or comply by the Local Agency.
E. This contract is subject to such modifications as may be required by changes in federal or
State law, or their implementing regulations. Any such required modification shall
automatically be incorporated into and be part of this contract on the effective date of
-19-
�l
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.
J. This contract shall become "effective" only upon the date it is executed by the State
Controller, or designee. The term of this contract shall begin on the date first written
above and shall continue through the completion and final acceptance of this project by
the State, FHWA and Local Agency.
K. The Special Provisions, Attachment LO (Certification for Federal-Aid Contracts), and
Appendix B (DBE requirements) and Addendum B, Contract Modification Tools
-20-
attached hereto are hereby made a part of this contract. The Local Agency shall comply
with all applicable terms and conditions of such attachments.
L. If a conflict occurs between the provisions of this contract proper and the attachments
hereto, the priority to be used to resolve such a conflict shall be as follows:
1. The attachments enumerated in Section IX,paragraph K, above; and
2. This contract proper;
3. Other contract exhibits and attachments, in descending order of their attachment.
M. It is expressly understood and agreed that the enforcement of the terms and conditions of
this contract, and all rights of action relating to such enforcement, shall be strictly
reserved to the parties hereto, and nothing contained in this contract shall give or allow
any such claim or right of action by any other or third person on such contract. It is the
express intention of the parties that any person or entity other than the parties receiving
services or benefits under this contract be deemed to be an incidental beneficiary only.
N. The Local Agency assures and guarantees that it possesses the legal authority to enter into
this contract. The Local Agency warrants that it has taken all actions required by its
procedures, by-laws, and/or applicable law to exercise that authority, and to lawfully
authorize its undersigned signatory to execute this contract and to bind the Local Agency
to its terms. The person(s) executing this contract on behalf of the Local Agency
warrants that they have full authorization to execute this contract.
-21-
SPECIAL PROVISIONS
(For Use Only with Inter-Governmental Contracts)
1. CONTROLLER'S APPROVAL. CRS 24-30-202(1)
This contract shall not be deemed valid until it has been approved by the Controller of the State of
Colorado or such assistant as he may designate.
2. FUND AVAILABILITY. CRS 24-30-202(5.5)
Financial obligations of the State of Colorado payable after the current fiscal year are contingent upon
funds for that purpose being appropriated,budgeted,and otherwise made available.
3. INDEMNIFICATION.
Indemnity: The contractor shall indemnify, save, and hold harmless the State against any and all claims,
damages, liability 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.
No term or condition of this contract shall be construed or interpreted as a waiver,express or implied, of
any of the immunities, rights, benefits, protection, or other provisions for the parties, of the Colorado
Governmental Immunity Act, CRS 24-10-101 et seq. or the Federal Tort Claims Act, 28 U.S.C. 2671 et
seq. as applicable,as now or hereafter amended.
4. INDEPENDENT CONTRACTOR. 4 CCR 801-2
THE CONTRACTOR SHALL PERFORM ITS DUTIES HEREUNDER AS AN INDEPENDENT CONTRACTOR AND NOT
AS AN EMPLOYEE. NEITHER THE CONTRACTOR NOR ANY AGENT OR EMPLOYEE OF THE CONTRACTOR
SHALL BE OR SHALL BE DEEMED TO BE AN AGENT OR EMPLOYEE OF THE STATE. CONTRACTOR SHALL PAY
WHEN DUE ALL REQUIRED EMPLOYMENT TAXES AND INCOME TAX AND LOCAL HEAD TAX ON ANY MONIES
PAID BY THE STATE PURSUANT TO THIS CONTRACT. CONTRACTOR ACKNOWLEDGES THAT THE
CONTRACTOR AND ITS EMPLOYEES ARE NOT ENTITLED TO UNEMPLOYMENT INSURANCE BENEFITS UNLESS
THE CONTRACTOR OR THIRD PARTY PROVIDES SUCH COVERAGE AND THAT THE STATE DOES NOT PAY FOR
OR OTHERWISE PROVIDE SUCH COVERAGE. CONTRACTOR SHALL HAVE NO AUTHORIZATION, EXPRESS OR
IMPLIED, TO BIND THE STATE TO ANY AGREEMENTS, LIABILITY, OR UNDERSTANDING EXCEPT AS
EXPRESSLY SET FORTH HEREIN. CONTRACTOR SHALL PROVIDE AND KEEP IN FORCE WORKERS'
COMPENSATION (AND PROVIDE PROOF OF SUCH INSURANCE WHEN REQUESTED BY THE STATE) AND
UNEMPLOYMENT COMPENSATION INSURANCE IN THE AMOUNTS REQUIRED BY LAW, AND SHALL BE SOLELY
RESPONSIBLE FOR THE ACTS OF THE CONTRACTOR, ITS EMPLOYEES AND AGENTS.
5. NON-DISCRIMINATION.
The contractor agrees to comply with the letter and the spirit of all applicable state and federal laws
respecting discrimination and unfair employment practices.
6. CHOICE OF LAW.
The laws of the State of Colorado and rules and regulations issued pursuant thereto shall be applied in
the interpretation, execution, and enforcement of this contract. Any provision of this contract, whether
or not incorporated herein by reference, which provides for arbitration by any extra-judicial body or
person or which is otherwise in conflict with said laws, rules, 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 to whole or in part shall be valid or enforceable or available in any
action at law whether by way of complaint, defense, or otherwise. Any provision rendered null and void
by the operation of this provision will not invalidate the remainder of this contract to the extent that the
contract is capable of execution.
At all times during the performance of this contract, the Contractor shall strictly adhere to all applicable
federal and state laws,rules,and regulations that have been or may hereafter be established.
7. EMPLOYEE FINANCIAL INTEREST. CRS 24-I8-201 & CRS 24-50-507
The signatories aver that to their knowledge, no employee of the State of Colorado has any personal or
beneficial interest whatsoever in the service or property described herein.
22
IN WITNESS WHEREOF, the parties hereto have executed this contract the day
and year first above written.
STATE OF COLORADO
ATTEST: BILL OWENS, GOVERNOR
By
Chief Clerk xecutive Director
!r DEPARTMENT OF TRANSPORTATION
APPROVED:
ARTHUR L. BARNHART KEN SALAZAR
State Controller Attorney General
$ By r�k o-W
.t+,co& Assistant Mtomey General
Civil Litigation Section
SEAL
r
ODL0IRLN
A T: (SEAL) PTTKIN COUNTY, COLORADO
B By�
Tit Title dc&. if
Federal Employer Identification
Number: 846000563
ALL CONTRACTS MUST BE APPROVED BY THE STATE CONTROLLER
CRS 24-30-202 requires that the State Controller approve all state contracts. This contract is not valid until the State
Controller,or such assistant as he may delegate,has signed it. The contractor is not authorized to begin performance
until the contract is signed and dated below. If performance begins prior to the date below,the State of Colorado may
not be obligated to pay for goods and/or services provide.
S ontroller
By:.
rthur L• Barnhart
y' Date: �
-2�-
rfolorado Department of Transportation Origin Date: 05/29/2002 Project code: 14039 STIP number.
DESIGN DATA Revise Date: Project number:STE C570-010
PE Proilect Code PE Pro' ct Number
Metric English Revision#:
Page 1 Region: 03
Status: 0 preliminary 0 final 0 revised
Prepared by: Revised by: Project description:THOMASVILLE KILNS
David C.Miller Countyt: Pitkin (County2: ICounty3:
Date: 05/29/2002 Date: Municipality:
Submitted by Proj.Mgr Approved by Preconstruction Engineer: System code: 0 IM 0 NHS 0 STP OTHER
Oversight: 0 CDOT 0 FHWA 0 OTHER
Date: Planned length:0.1
Geographic location:
AT THE HISTORIC TOWN SITE OF THOMASVILLE NEAR RUEDI RES.EAST OF BASALT.
Terrain type: 0 Level 0 Plains 0 Rolling 0 Urban 0 Mountainous
Description of proposed construction/improvement(attach map showing site location)
STABILIZATION AND RESTORATION OF HISTORIC LIME KILNS IN THOMASVILLE.
Traffic (Note:use columns A, B,and/or C to identify facility described below)
Current year: Future year:
Facility location
Facility ADT DHV DHV%trucks ADT DHV I Industrial lCommerciall Residential I Other
A I ❑ I ❑ I ❑ I ❑
B I ❑ 1 ❑ 1 ❑ 1 ❑
C I ❑ 1 ❑ 1 ❑ I ❑
RdwyClass Route Refpt Endrefpt I Functional classification Facility type I Rural code
1. 999 Local Not Roadway Not Roadway
2.
3.
Design Standards (Identify substandard items with a checkmark in 1 at column and clarify in remarks)
A= I B= C=
Standard Existing Proposed Ultimate Standard Existing Proposed Ultimate Standardl Existing Proposed Ultimate
Surface type
Typical section type
#of travel lanes
Width of travel lanes
Shoulder wd.ft./median
Shoulder wd rt./outside
❑ Side slope dist.("z")
Median width
❑ Posted speed
Design speed
Max.superelevatiion
❑ Min.radius
Min.horizontal sad
Min.vertical sad
Max.grade
Project under 0 1R 0 3R 0 4R 0 Other: Enhancement criteria ExisOng guardrail meets current standards: 0 Yes 0 No
Variance in minimum design standards required 0 Yes 0 No El safety project Comments:
Justification attached ❑Request to be submitted Not all standards
❑Bridge(see item 4) ❑See remarks addressed
Stage construction
Resurfacing projects f Y
Recommendations concerning safety aspects attached o Y
Page 2 Project Code: 14039 Project Number: STE C570-010 Revise Date:
Major Structures
to stay.R=10 be removed P=Proposed new structure Standard Structure Horizontal Vertical Year
Length Ref.Poind Feature Intersected Width Rdwy I Load Clearance I Clearance Bulk
Proposed treatment of bridges to remain in place(address bridge rail,capacity,and allowable surface thickness)
Project Characteristics (proposed) Median type:0 depressed 0 painted 0 raised 0 none
FILighting Handicap ramps Traffic control signals MStriping
Curb and gutter Curb only Left-turn slots continuous width=
Sidewalk width= Bikeway width= Right-turn slots continuous width=
Parking lane width= Detours Signing: ✓construction ✓ permanent
Landscape requirements:(description) Other.(description)
• Right of Way Yes No Est.No. Utilities (list names of known utility companies)
ROW and/or pens.easement required: 0 None
Relocation required: 0
Temporary easement required: 0
Changes in access: 0 0
Changes to connecting roads: 0
Railroad crossings #of crossings:
Agreements
Railroad Name required Present protection Condition of x'ings
fLI
2
3
4
Recommendations:
• Environmental
Type:
Comments:
1 Coordination
Withdrawn lands(power sites,reservoirs,etc.)cleared through BLM forest service office Irrigation ditch name:
❑New traffic ordinance required Modify schedule of existing ordinance Municipality:
Other:
Construction method noAdReason:0 Design 0 Local F/A
Advertised by: 0 State 0 P.O. 0 RR F/A Entity/Agency contact name: Brian Pettet
0 Local 0 Study 0 Utility F/A Phone number: (970)920-5390
None 0 CDOT F/A 0 Miscellaneous
Remarks (Include additional pages if needed)
This is a historic preservation project.
1
I
}
® � u Project Location
Kilns
Thomasville
± SALT
_ �
tiRuedi Reservoir
082
EN
1 �
'1
7
I l `
J \
`I I
A RESOLUTION OF THE BOARD OF COUNTY COMMISSIONERS OF
PITKIN COUNTY, COLORADO AUTHORIZING PITKIN COUNTY TO ENTER
INTO A TRANSPORTATION ENHANCEMENT CONTRACT WITH THE
COLORADO DEPARTMENT OF TRANSPORTATION FOR THE
THOMASVILLE LIME KILNS STABILIZATION AND HISTORIC MARKER
PROJECT
Resolution No. /2�1 -2002
1. I'itkir County applied for and received grant money from the Colorado
Department ()f'Cransportation to he used for transportation enhancement activities within
Pitkin County.
2. The Board chose to use the funds for the enhancement of the Thomasville
Lime Kilns.
3. The purpose of the project is for the stabilization, site improvement and a
site survey of the historic lime kilns and to provide public information about the kilns and
their significance to local and statewide residents in the 1800's.
4. The property owners, Pitkin County, Aspen/Pitkin County Historic Preservation
Officer, Colorado Department of Transportation, Colorado Preservation, Colorado
Historic Fund and the Frying Pan Caucus are all in full support of this project.
NOW, THEREFORE, be it resolved by the Board of County Commissioners of
Pitkin County, Colorado that the Board does hereby authorize the Chair to sign on its
behalf, the Transportation Enhancement Contract between Pitkin County and the
Colorado Department of Transportation for the Thomasville Lime Kilns Stabilization and
Historic Marker Project.
INTRODUCED, FIRST READ,AND SET FOR PUBLIC HEARING ON 1` ; y 2002
PUBLISHED IN THE WEEKEND EDITION OF THE ASPEN TIMES ON THE DAY
OF 2002.
APPR VED AND ADOPTED UPON SECOND READING ON THE_ /r DAY
OF_ ( 2Q02
PUBLISHED, AFTER ADOPTIOWN THE EKEND EDITION OF THE ASPEN TIMES
ON THE a Y ` DAY OF � 20021.
B Page 2
>V1tL:,L�IT e of
.r .
Resolution # // _-0%,
Pave
ATTEST: BOARD OF COUNTY COMMISSIONERS
OF PITKJN COUNTY, COLORADO
J�
.Icand}c.tunes i Date Palli lia—y-Clapper, Clt,iIDale
Dell y Clerk Recor�ji.r
APPROVED AS TO FORM-: MANAGED.APPROVAL:
John M. Ely Hilary F. h
County A ey County NUn
Aer
EXHIBIT B, Page Z of 7
PRE-CONSTRUCTION ADMINISTRATION CHECKLIST
Region: 03 Grand Junction Project Code #: 14039
Local Agency: Pitkin County Project #: STE C570-010
Design Project Manager: Brian Pettet Location: Pitkin County
Resident Engineer: Joe Elsen Description: Thomasville Kilns
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 COOT
1 . Transportation Improvement Program(T.I.P. ) . . . . . . . . . .
2. Design Data (CDOT Form #463) . . . . . . . . . . . . . . . . . . . . . . . .
3. Funding Authorization . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . _X*_
4. LA/CDOT Project Agreement . . . . . . . . . . . . . . . . . . . . . . . . . . .
5. Utility, Railroad, and Consultant Agreements . . . . . . . .
6. Consultant Selection . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
7. Field Inspection Review (FIR) ' . . . . . . . . . . . . . . . . . . . . . . .
8. Public Hearings . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . X
9. Environmental Processes . . . . . . . . . . . . . . . . . . . . . . . . . . . . . X*
10. Design Approval . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . �_
11 . Final Office Review (FOR) . . . . . . . . . . . . . . . . . . . . . . . . . . .
12. Force Account Justification . . . . . . . . . . . . . . . . . . . . . . . . . _
13. Proprietary Item Justification . . . . . . . . . . . . . . . . . . . . . .
14. Davis-Bacon Wage Rates (_Yes _No) . . . . . . . . . . . . . . . . X
15. Design Exceptions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . _�C
RESPONSIBLE PARTY
LOCAL
NO. DESCRIPTION OF TASK AGENCY CDOT
16. Rights-of Way . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . x
17. Plans, Specifications and Construction Cost Estimates X
18. EEO/DBE Requirements . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . X
19. Advertising Less Than Three Weeks . . . . . . . . . . . . . . . . . . .
20. LA Ad and Award . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
21 . Construction Administration . . . . . . . . . . . . . . . . . . . . . . . . . �_
!Preliminary Checklist Date: S/7�8 7 --
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#) : 14039
Local Agency: Pitkin County Project No. :STE C570-010
CDOT Resident Engineer: Joe Elsen Location:East of Ruedi Reservoir
L.A. Project Manager: Brian Pettet Description: Thomasville Kilns
CDOT Design or Project Engineer David Miller
The following check list shall be utilized to establish the CONSTRUCTION
CONTRACT ADMINISTRATION responsibilities of the individual parties or this
project . THE HECK I T SHALL BE INCORPORATED INTO THE ENTITY AGREEMENT AT
PROJECT INCEPTION.
THE CHECK LIST SHALL BE PREPARED BY PLACING AN X UNDER THE RESPONSIBLE
AGENCY, OPPOSITE EACH OF THE TASKS LISTED BELOW. When CDOT is selected to
be responsible or co-responsible by option, the method of the Local
Agency's reimbursement for CDOT S costs must be established.
WHEN A TASK DOES NOT APPLY TO THE PROJECT, NON-APPLICABLE (NA) SHALL BE
PLACED UNDER BOTH AGENCIES, AND AN EXPLANATION OF WHY IT IS NOT APPLICABLE
SHALL BE INCLUDED.
TASKS WHICH WILL BE PERFORMED BY HEADQUARTERS STAFF WILL BE SO INDICATED.
THE REGION IN ACCORDANCE WITH ESTABLISHED POLICIES AND PROCEDURES, WHEN
APPLICABLE, SHALL DETERMINE WHO WILL PERFORM ALL OTHER TASKS WHICH ARE THE
RESPONSIBILITY OF CDOT.
THE RESIDENT ENGINEER OR 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 CDOT RE/PM
LA PM/PE
REVISED CHECK LIST - DATE CDOT RPE
CDOT Region
FINAL CHECK LIST - DATE Materials Engr.
REVISED 12/07/00
33
CONTRACT ADMINISTRATION CHECK LIST
PAGE 2
** RESPONSIBLE PARTY
LOCAL
NO. DESCRIPTION OF TASK AGENCY COOT
1 . Set Underutilized Disadvantaged Business . . . . X
Enterprise (UDBE) goals for the project.
(CDOT Region EEO Representative)
2 . Set On Job Training (OJT) goals for the . . . .
project if over $1 00 000. Form 835 is
required on all projects f LA is responsible ,
LA will be assisted by the Region EEO
Representative) (CDOT Region EEO Representative
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. (CDOT RE or Designer)
This project is exempt from Davis-Bacon
requirements as determined by the functional
classification of the project location.
CDOT RE or Designer Date
4. Advertise for bids/open bids . (COOT . . . . . . .
Construction Contracts Unit , Staff
Design Branch, when CDOT is responsible. )
5. Distribute "bid set" of plans and specifications
to the person responsible for showing the project .
(CDOT Printing and Visual Communications Center,
Division of Human Resources when CDOT is responsible. )
6. Review work site and plan details with . . . . .
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
CDOT's costs must be established by an attached
Memorandum of Understanding (MOU) .
REVISED 12/07/00
CONTRACT ADMINISTRATION CHECK LIST
PAGE 3
** RESPONSIBLE PARTY
LOCAL
NO. DESCRIPTION OF TASK AGENCY COOT
7 . Determine compliance with DBE requirements
before the Contract is awarded:
a. * Check CDOT 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 CDOT 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 CDOT 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 CDOT is
responsible. )
10.Distribute 8 [number: minimum of six (6) ] . . . . . .�
"award sets' plans and specifications to
CDOT Resident Engineer (Further distribution
will then be made to the Region Program Engineer,
CDOT Staff Construction & Materials (2 sets) ,
the Region Materials Engineer (RME) , and others
as required. CDOT Printing and Visual
Communications Center, Division of Human
Resources and Administration when COOT is
responsible. )
**
NOTE: Only one responsible party should be selected .
Refer to page 2 for additional information .
* If UDBE Goal is 0% then forms are not required.
REVISED 12/07/00
3 �
CONTRACT ADMINISTRATION CHECK LIST
PAGE 4
** RESPONSIBLE PARTY
LOCAL
NO. DESCRIPTION OF TASK AGENCY CDOT
11 . Issue "Notice to Proceed" to the Contractor.
(COOT Construction Contracts Unit , Staff
Design Branch , when CDOT is responsible. )
12. Conferences :
a. Preconstruction: Request Preconstruction . . .
packet of information from Region EEO
Represntative through the COOT Resident
Engineer. (CDOT 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/Fffone 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 12/07/00
CONTRACT ADMINISTRATION CHECK LIST
PAGE 5
** RESPONSIBLE PARTY
LOCAL
NO. DESCRIPTION OF TASK AGENCY COOT
C . Competent, experienced, staff who will . . . .
ensure the Contract work is constructed
in accordance with CDOT policies, standards
and procedures.
(Refer to the following COOT Procedural
Directives and COOT Operating Manuals for guidance
and assistance - Local Agency Federal Aid
Construction Manual, Construction Manual, Field
Materials Manual, Survey Manual, Standard Plans,
Erosion Control Manual, Davis-Bacon Manual,
EEO/Labor Compliance Manual)
( 1 ) CDOT 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. (CDOT
Region EEO Representative)
(b) Check and sign approval of Form #205
after Form #713 has been checked by
the Region EEO Representative .
( 2) Construction inspection including . . . .
calculations, measurements, and
documentation of interim and final
pay quantities .
( 3) Conduct Contractor/Subcontractors
reviews to ensure conformance with
the Equal Employment Opportunity(EEO)
/Affirmative Action(AA) /DBE/OJT
requirements contained in the Contract .
(Standard Special Provisions , Project
Special Provisions and FHWA Form 1273)
(CDOT Region EEO Representative)
**
NOTE: Only one responsible party should be selected .
Refer to page 2 for additional information .
REVISED 12/07/00
CONTRACT ADMINISTRATION CHECK LIST
PAGE 6
** RESPONSIBLE PARTY
LOCAL
NO. DESCRIPTION OF TASK AAiENTY COOT
( 4) Notify CDOT Region EEO Representative
and request assistance for all EEO/DBE/OJT/
Davis-Bacon questions or concerns.
( 5) Complete and submit to the CDOT Region
EEO Representative, the required number
of CDOT Form #280 - Equal Employment
Opportunity and Labor Compliance Verification .
( 6) Monitor DBE participation to ensure
compliance with the "Commercially
Useful Function" requirements.
( 7) Complete and submit to the CDOT Region
EEO Representative, the applicable
number CDOT Form #200 - OJT Training
Questionnaire, (not required if OJT is 0)
( 8) Check certified payrolls to verify . . . .
Contractor/subcontractors are in
compliance with Contract requirements.
The checking shall be completed by
project personnel trained in payroll
checking. (Contact the Region EEO
Representative 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
Representative . The Report is due to the
Region EEO Representative 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 12/07/00
CONTRACT ADMINISTRATION CHECK LIST
PAGE 7
** RESPONSIBLE PARTY
LOCAL
NO. DESCRIPTION OF TASK REMY CDOT
(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 . ,
is completed distribute per
instructions in COOT Materials
Manual.
(b) Approve changes to typical section .
(c) Development, Checking, and Design mix
approvals:
I) Concrete . . . . . . . . . . . . . X,
II) Hot Bituminous Pavement (HBP) . . . ALA
(d) Acceptance of manufactured products . . X _
(e) Inspecting fabrication of structural . kA
steel and prestressed concrete
structural components.
(f) Inspecting fabrication of bearing
devices.
(g) Laboratory Check testing . . . . . . . __
(h) Acceptance testing . . . . . . . . . .
(I) Independent assurance testing X
(The LA shall use 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 12/07/00
CONTRACT ADMINISTRATION CHECK LIST
PAGE 8
** RESPONSIBLE PARTY
LOCAL
NO. DESCRIPTION OF TASK AEERY COOT
(11 ) Approve sources of materials . . . . . . . X
( 12) Approve shop drawings . . . . . . . . . . x_
(13) Perform Traffic Control Inspections . . .
(14) Approve traffic signal equipment . . . . . -
(15) Construction surveying . . . . . . . . . .
(16) ROW monumentation . . . . . . . . . . . .
(17) Prepare, approve and sign vouchers . .
for interim and final Contractor
pay estimates . (CDOT Resident Engineer
if CDOT is responsible. )
Provide the name(s) and phone number(s) of
The person(s) authorized for this task.
LA Administrator P one um er
LAPE P one Num er
(18) Prepare, approve and sign vouchers . . . . LZA_
for interim and final Utility
Company billings for utility
relocation work.
(19) Prepare and authorize CDOT Form #94 . . . x
- Minor Contract Revision (MCR) and
CDOT Form #90 - Contract Modification
Order (CMO)
(20) Approve MCRs and CMOs . . . . . . . . . .
(21 ) Approve Federal-Aid funding for MCRs/CMOs.
(22) Monitor project financial status and . . .
submit monthly in a format acceptable
to the Region, such as CDOT Form #65a -
Project Financial Status Report .
**
NOTE: Only one responsible party should be selected .
Refer to page 2 for additional information.
REVISED 12/07/00
CONTRACT ADMINISTRATION CHECK LIST
PAGE 9
** RESPONSIBLE PARTY
LOCAL
NO. DESCRIPTION OF TASK ATENCY CDOT
(23) Prepare and submit monthly progress . . .
reports to the Region Construction
Engineer: CDOT Form #110a - Status of
Active Construction Projects, and CDOT
Form #517a - Status of Construction
Project Finals.
(24) Contractor claims/dispute resolution . . .
Local Agency must follow CDOT
procedures unless Section 105. 17 of
the Standard Specifications is modified
by a Project Special Provision. ALL
contracts let for bid by the Local Agency
shall contain a project special Provision
removing CDOT from the resolution Process
14. Make monthly progress and final payments . . . .
to the Contractor for completed work. (CDOT
Center for Accounting, Division of Human
Resources and Administration when COOT is
responsible. )
15. Make monthly progress and final payments to . . . .
Utility Companies for completed utility
relocation work. (CDOT Center for Accounting ,
Division of Human Resources and Administration
when CDOT is responsible. )
16. Conduct routine, random, project reviews . . . .
to ensure the project is being administered
in accordance with the terms of the construction
Contract and the approved project specific
agreement between CDOT and the local agency.
Provide the name and phone number of the person
responsible for this task.
Name of LA or COOT RE/PE Phone Number
NOTE: Only one responsible party should be selected.
Refer to page 2 for additional information.
REVISED 12/07/00
Z/�
CONTRACT ADMINISTRATION CHECK LIST
PAGE 10
** RESPONSIBLE PARTY
LOCAL
NO. DESCRIPTION OF TASK AGENCY COOT
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 . (CDOT Staff . . .
Construction when CDOT is responsible. )
21 . Prepare and distribute final "as constructed° . . .
plans per procedures in the Construction Manual.
22. Check final quantities, final plans and the . . . .
final pay estimate.
23. Sign final pay estimate sheets and voucher. . . . . X
24. Check material records. . . . . . . . . . . . . . . X
25. Submit final materials certification. . . . . . . . X
26. Obtain CDOT Form #17 - Contractor DBE Payment . . . .X
Certification, from the Contractor and submit
to the CDOT Resident Engineer.
27. Obtain FHWA Form PR 47 (Statement of Materials A A-
and Labor Used . . . ) from the Contractor, check
and submit to the CDOT Resident Engineer.
(REQUIRED ONLY ON NHS PROJECTS WITH TOTAL
FINAL PAYMENT EXCEEDING $190009000. )
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 12/07/00
LI /
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(b)(1-6)].
Because the procedures and laws described in the Procedural Directive and the guidebook are quite lengthy,the
subsequent steps serve as a short-hand guide to CDOT procedures that a local agency must follow in obtaining
professional consultant services.This guidance follows the 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 consultant's:
a. Abilities of their personnel,
b. Past performance,
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.
REQUIRED BY 23 CFR 633.102
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.
REQUIRED BY 23 CFR 633.IO2 -- ��
FHWA Form 1273 FHWA-1273 Electronic version•-March 10,1994
REQUIRED CONTRACT PROVISIONS
FEDERAL-AID CONSTRUCTION CONTRACTS
I. General.................................................................. 1 a. discriminate against labor from any other State,
ll. Nondiscrimination.................................................. 1 possession, or territory of the United States (except for
III. Nonsegregated Facilities....................................... 3 employment preference for Appalachian contracts, when
IV. Payment of Predetermined Minimum Wage.......... 3 applicable,as specified in Attachment A),or
V. Statements and Payrolls........................................ 6
Vl. Record of Materials,Supplies,and Labor.............. 6 b. employ convict labor for any purpose within the limits
VII. Subletting or Assigning the Contract...................... 7 of the project unless it is labor performed by convicts who are
Vill. Safety: Accident Prevention.................................. 7 on parole,supervised release,or probation.
IX. False Statements Concerning Highway Projects... 7
X. Implementation of Clean Air Act and Federal If. NONDISCRIMINATION
Water Pollution Control Act................................................... 8
XI. Certification Regarding Debarment,Suspension, (Applicable to all Federal-aid construction contracts and to
Ineligibility,and Voluntary Exclusion...................................... 8 all related subcontracts of$10,000 or more.)
XII. Certification Regarding Use of Contract Funds for
Lobbying................................................................................. 9 1. Equal Employment Opportunity: Equal employment
ATTACHMENTS opportunity(EEO)requirements not to discriminate and to take
affirmative action to assure equal opportunity as set forth under
laws, executive orders, rules, regulations (28 CFR 35, 29 CFR
A. Employment Preference for Appalachian 1630 and 41 CFR 60)and orders of the Secretary of Labor as
Contracts modified by the provisions prescribed herein, and imposed
(included in Appalachian contracts only) pursuant to 23 U.S.C. 140 shall constitute the EEO and
specific affirmative action standards for the contractor's project
I. GENERAL activities under this contract. The Equal Opportunity
Construction Contract Specifications set forth under 41 CFR
1. These contract provisions shall apply to all work 60-4.3 and the provisions of the American Disabilities Act of
performed on the contract by the contractor's own organization 1990(42 U.S.C. 1210121 sea.)set forth under 28 CFR 35 and
and with the assistance of workers under the contractor's 29 CFR 1630 are incorporated by reference in this contract. In
immediate superintendence and to all work performed on the the execution of this contract,the contractor agrees to comply
contract by piecework,station work,or by subcontract. with the following minimum specific requirement activities of
EEO:
2. Except as otherwise provided for in each section, the
contractor shall insert in each subcontract all of the stipulations a. The contractor will work with the State highway
contained in these Required Contract Provisions, and further agency (SHA) and the Federal Government in carrying out
require their inclusion in any lower tier subcontract or purchase EEO obligations and in their review of his/her activities under
order that may in turn be made. The Required Contract Provi- the contract.
sions shall not be incorporated by reference in any case. The
prime contractor shall be responsible for compliance by any b. The contractor will accept as his operating policy the
subcontractor or lower tier subcontractor with these Required following statement:
Contract Provisions.
'It is the policy of this Company to assure that applicants
3. A breach of any of the stipulations contained in these are employed, and that employees are treated during
Required Contract Provisions shall be sufficient grounds for employment, without regard to their race, religion, sex,
termination of the contract. color, national origin, age or disability. Such action shall
include: employment, upgrading, demotion, or transfer;
4. A breach of the following clauses of the Required recruitment or recruitment advertising; layoff or
Contract Provisions may also be grounds for debarment as termination; rates of pay or other forms of compensation;
provided in 29 CFR 5.12: and selection for training, including apprenticeship,
Section I,paragraph 2; preapprenticeship,and/or on-the-job training.'
Section IV,paragraphs 1,2,3,4,and 7; 2. EEO Officer: The contractor will designate and make
Section V,paragraphs 1 and 2a through 2g. known to the SHA contracting officers an EEO Officer who will
have the responsibility for and must be capable of effectively
5. Disputes arising out of the labor standards provisions of administering and promoting an active contractor program of
Section IV (except paragraph 5) and Section V of these EEO and who must be assigned adequate authority and
Required Contract Provisions shall not be subject to the responsibility to do so.
general disputes clause of this contract. Such disputes shall
be resolved in accordance with the procedures of the U.S. 3. Dissemination of Policy: All members of the
Department of Labor(DOL)as set forth in 29 CFR 5,6,and 7. contractor's staff who are authorized to hire, supervise,
Disputes within the meaning of this clause include disputes promote, and discharge employees, or who recommend such
between the contractor (or any of its subcontractors) and the action,or who are substantially involved in such action, will be
contracting agency, the DOL,or the contractor's employees or made fully cognizant of, and will implement, the contractor's
their representatives. EEO policy and contractual responsibilities to provide EEO in
each grade and classification of employment. To ensure that
6. Selection of Labor: During the performance of this con- the above agreement will be met,the following actions will be
tract,the contractor shall not: taken as a minimum:
REQUIRED BY 23 CFR 633.102 -- / /�
a. Periodic meetings of supervisory and personnel office
employees will be conducted before the start of work and then C. The contractor will periodically review selected
not less often than once every six months, at which time the personnel actions in depth to determine whether there is
contractor's EEO policy and its implementation will be evidence of discrimination. Where evidence is found, the
reviewed and explained. The meetings will be conducted by contractor will promptly take corrective action. If the review
the EEO Officer. indicates that the discrimination may extend beyond the
actions reviewed, such corrective action shall include all
b. All new supervisory or personnel office employees will affected persons.
be given a thorough indoctrination by the EEO Officer,
covering all major aspects of the contractors EEO obligations d. The contractor will promptly investigate all complaints of
within thirty days following their reporting for duty with the alleged discrimination made to the contractor in connection
contractor. with his obligations under this contract, will attempt to resolve
such complaints, and will take appropriate corrective action
c. All personnel who are engaged in direct recruitment within a.reasonable time. If the investigation indicates that the
for the project will be instructed by the EEO Officer in the discrimination may affect persons other than the complainant,
contractors procedures for locating and hiring minority group such corrective action shall include such other persons. Upon
employees. completion of each investigation, the contractor will inform
every complainant of all of his avenues of appeal.
d. Notices and posters setting forth the contractors EEO
policy will be placed in areas readily accessible to employees, 6. Training and Promotion:
applicants for employment and potential employees.
a. The contractor will assist in locating, qualifying, and
e. The contractors EEO policy and the procedures to increasing the skills of minority group and women employees,
implement such policy will be brought to the attention of and applicants for employment.
employees by means of meetings, employee handbooks, or
other appropriate means. b. Consistent with the contractors work force
requirements and as permissible under Federal and State
4. Recruitment: When advertising for employees, the regulations, the contractor shall make full use of training
contractor will include in all advertisements for employees the programs, i.e., apprenticeship, and on-the-job training
notation: 'An Equal Opportunity Employer.' All such programs for the geographical area of contract performance.
advertisements will be placed in publications having a large Where feasible, 25 percent of apprentices or trainees in each
circulation among minority groups in the area from which the occupation shall be in their first year of apprenticeship or
project work force would normally be derived. training. In the event a special provision for training is provided
under this contract, this subparagraph will be superseded as
a. The contractor will, unless precluded by a valid indicated in the special provision.
bargaining agreement, conduct systematic and direct
recruitment through public and private employee referral C. The contractor will advise employees and applicants
sources likely to yield qualified minority group applicants. To for employment of available training programs and entrance
meet this requirement, the contractor will Identify sources of requirements for each.
potential minority group employees, and establish with such
identified sources procedures whereby minority group d. The contractor will periodically review the training and
applicants may be referred to the contractor for employment promotion potential of minority group and women employees
consideration. and will encourage eligible employees to apply for such training
and promotion.
b. In the event the contractor has a valid bargaining
agreement providing for exclusive hiring hall referrals, he is 7. Unions: If the contractor relies in whole or in part upon
expected to observe the provisions of that agreement to the unions as a source of employees, the contractor will use
extent that the system permits the contractors compliance with his/her best efforts to obtain the cooperation of such unions to
EEO contract provisions. (The DOL has held that where increase opportunities for minority groups and women within
implementation of such agreements have the effect of the unions, and to effect referrals by such unions of minority
discriminating against minorities or women, or obligates the and female employees. Actions by the contractor either
contractor to do the same, such implementation violates directly or through a contractors association acting as agent
Executive Order 11246,as amended.) will include the procedures set forth below:
c. The contractor will encourage his present employees a. The contractor will use best efforts to develop, in
to refer minority group applicants for employment. Information cooperation with the unions, joint training programs aimed
and procedures with regard to referring minority group toward qualifying more minority group members and women
applicants will be discussed with employees. for membership in the unions and increasing the skills of
minority group employees and women so that they may qualify
5. Personnel Actions: Wages, working conditions, and for higher paying employment.
employee benefits shall be established and administered, and
personnel actions of every type, including hiring, upgrading, b. The contractor will use best efforts to incorporate an
promotion,transfer, demotion, layoff,and termination, shall be EEO clause into each union agreement to the end that such
taken without regard to race, color, religion, sex, national union will be contractually bound to refer applicants without
origin, age or disability. The following procedures shall be regard to their race, color, religion, sex, national origin, age or
followed: disability.
a. The contractor will conduct periodic inspections of c. The contractor is to obtain information as to the
project sites to insure that working conditions and employee referral practices and policies of the labor union except that to
facilities do not indicate discriminatory treatment of project site the extent such information is within the exclusive possession
personnel. of the labor union and such labor union refuses to furnish such
information to the contractor, the contractor shall so certify to
b. The contractor will periodically evaluate the spread of the SHA and shall set forth what efforts have been made to
wages paid within each classification to determine any obtain such information.
evidence of discriminatory wage practices.
REQUIRED BY 23 CFR 633.102 --
d. In the event the union is unable to provide the
contractor with a reasonable flow of minority and women (Applicable to all Federal-aid construction contracts and to
referrals within the time limit set forth in the collective all related subcontracts of$10,000 or more.)
bargaining agreement,the contractor will,through independent
recruitment efforts, fill the employment vacancies without a. By submission of this bid, the execution of this
regard to race, color, religion, sex, national origin, age or contract or subcontract, or the consummation of this material
disability; making full efforts to obtain qualified and/or supply agreement or purchase order, as appropriate, the
qualifiable minority group persons and women. (The DOL has bidder, Federal-aid construction contractor, subcontractor,
held that it shall be no excuse that the union with which the material supplier, or vendor, as appropriate, certifies that the
contractor has a collective bargaining agreement providing for firm does not maintain or provide for its employees any
exclusive referral failed to refer minority employees.) In the segregated facilities at any of Its establishments, and that the
event the union referral practice prevents the contractor from firm does not permit its employees to perform their services at
meeting the obligations pursuant to Executive Ober 11246, as any location, under its control, where segregated facilities are
amended, and these special provisions, such contractor shall maintained. The firm agrees that a breach of this certification
immediately notify the SHA. is a violation of the EEO provisions of this contract. The firm
further certifies that no employee will be denied access to
8. Selection of Subcontractors, Procurement of adequate facilities on the basis of sex or disability.
Materials and Leasing of Equipment: The contractor shall
not discriminate on the grounds of race, color, religion, sex, b. As used in this certification, the term "segregated
national origin,age or disability in the selection and retention of facilities'means any waiting rooms,work areas,restrooms and
subcontractors, including procurement of materials and leases washrooms, restaurants and other eating areas, timeclocks,
of equipment. locker rooms, and other storage or dressing areas, parking
lots, drinking fountains, recreation or entertainment areas,
a. The contractor shall notify all potential subcontractors transportation, and housing facilities provided for employees
and suppliers of his/her EEO obligations under this contract. which are segregated by explicit directive, or are, in fact,
segregated on the basis of race,color, religion,national origin,
b. Disadvantaged business enterprises (DBE), as age or disability, because of habit,local custom, or otherwise.
defined in 49 CFR 23,shall have equal opportunity to compete The only exception will be for the disabled when the demands
for and perform subcontracts which the contractor enters into for accessibility override(e.g.disabled parking).
pursuant to this contract. The contractor will use his best
efforts to solicit bids from and to utilize DBE subcontractors or c. The contractor agrees that it has obtained or will obtain
subcontractors with meaningful minority group and female identical certification from proposed subcontractors or material
representation among their employees. Contractors shall suppliers prior to award of subcontracts or consummation of
obtain lists of DBE construction firms from SHA personnel. material supply agreements of$10,000 or more and that it will
retain such certifications in its files.
c. The contractor will use his best efforts to ensure
subcontractor compliance with their EEO obligations. IV. PAYMENT OF PREDETERMINED MINIMUM WAGE
9. Records and Reports: The contractor shall keep such (Applicable to all Federal-aid construction contracts
records_as necessary to document compliance with the EEO exceeding $2,000 and to all related subcontracts, except for
requirements. Such records shall be retained for a period of projects located on roadways classified as local roads or rural
three years following completion of the contract work and shall minor collectors,which are exempt.)
be available at reasonable times and places for inspection by
authorized representatives of the SHA and the FHWA. 1. General:
a. The records kept by the contractor shall document a. All mechanics and laborers employed or working
the following: upon the site of the work will be paid unconditionally and not
less often than once a week and without subsequent deduction
(1) The number of minority and non-minority group or rebate on any account [except such payroll deductions as
members and women employed in each work classification on are permitted by regulations (29 CFR 3) issued by the
the project; Secretary of Labor under the Copeland Act (40 U.S.C. 276c)j
the full amounts of wages and bona fide fringe benefits (or
(2) The progress and efforts being made in cash equivalents thereof) due at time of payment. The
cooperation with unions, when applicable, to increase payment shall be computed at wage rates not less than those
employment opportunities for minorities and women; contained in the wage determination of the Secretary of Labor
(hereinafter'the wage determination')which is attached hereto
(3) The progress and efforts being made in locating, and made a part hereof, regardless of any contractual
hiring, training, qualifying, and upgrading minority and female relationship which may be alleged to exist between the
employees;and contractor or its subcontractors and such laborers and
mechanics. The wage determination (including any additional
(4) The progress and efforts being made in securing classifications and wage rates conformed under paragraph 2 of
the services of DBE subcontractors or subcontractors with this Section IV and the DOL poster (WH-1321) or Form
meaningful minority and female representation among their FHWA-1495)shall be posted at all times by the contractor and
employees. its subcontractors at the site of the work in a prominent and
accessible place where it can be easily seen by the workers.
b. The contractors will submit an annual report to the For the purpose of this Section, contributions made or costs
SHA each July for the duration of the project, indicating the reasonably anticipated for bona fide fringe benefits under
number of minority, women, and non-minority group Section 1(b)(2) of the Davis-Bacon Act (40 U.S.C. 276a) on
employees currently engaged in each work classification behalf of laborers or mechanics are considered wages paid to
required by the contract work. This information Is to be such laborers or mechanics, subject to the provisions of
reported on Form FHWA-1391. If on-the job training is being Section IV, paragraph 3b, hereof. Also,for the purpose of this
required by special provision, the contractor will be required to Section, regular contributions made or costs incurred for more
collect and report training data. than a weekly period (but not less often than quarterly) under
plans, funds, or programs, which cover the particular weekly
Ill. NONSEGREGATED FACILITIES period, are deemed to be constructively made or incurred
REQUIRED BY 23 CFR 633.102
during such weekly period. Such laborers and mechanics shall additional classification from the first day on which work is
be paid the appropriate wage rate and fringe benefits on the performed in the classification.
wage determination for the classification of work actually
performed, without regard to skill, except as provided in 3. Payment of Fringe Benefits:
paragraphs 4 and 5 of this Section IV.
a. Whenever the minimum wage rate prescribed in the
b. Laborers or mechanics performing work in more than contract for a class of laborers or mechanics includes a fringe
one classification may be compensated at the rate specified for benefit which is not expressed as an hourly rate,the contractor
each classification for the time actually worked therein, or subcontractors, as appropriate, shall either pay the benefit
provided, that the employer's payroll records accurately set as stated in the wage determination or shall pay another bona
forth the time spent in each classification in which work is fide fringe benefit or an hourly case equivalent thereof.
performed.
b. If the contractor or subcontractor, as appropriate,
c. All rulings and interpretations of the Davis-Bacon Act does not make payments to a trustee or other third person,
and related acts contained in 29 CFR 1, 3, and 5 are herein he/she may consider as a part of the wages of any laborer or
incorporated by reference in this contract. mechanic the amount of any costs reasonably anticipated in
providing bona fide fringe benefits under a plan or program,
2. Classification: provided, that the Secretary of Labor has found, upon the
written request of the contractor, that the applicable standards
a. The SHA contracting officer shall require that any of the Davis-Bacon Act have been met. The Secretary of
class of laborers or mechanics employed under the contract, Labor may require the contractor to set aside in a separate
which is not listed in the wage determination, shall be account assets for the meeting of obligations under the plan or
classified in conformance with the wage determination. program.
b. The contracting officer shall approve an additional 4. Apprentices and Trainees(Programs of the U.S.DOL)
classification, wage rate and fringe benefits only when the and Helpers:
following criteria have been met:
a. Apprentices:
(1) the work to be performed by the additional
classification requested is not performed by a classification in (1) Apprentices will be permitted to work at less than
the wage determination; the predetermined rate for the work they performed when they
are employed pursuant to and individually registered in a bona
(2) the additional classification is utilized in the area fide apprenticeship program registered with the DOL, Employ-
by the construction industry; ment and Training Administration, Bureau of Apprenticeship
and Training,or with a State apprenticeship agency recognized
(3) the proposed wage rate, including any bona fide by the Bureau, or if a person is employed in his/her first 90
fringe benefits, bears a reasonable relationship to the wage days of probationary employment as an apprentice in such an
rates contained in the wage determination;and apprenticeship program, who is not individually registered in
the program, but who has been certified by the Bureau of
(4) with respect to helpers, when such a Apprenticeship and Training or a State apprenticeship agency
classification prevails in the area in which the work is (where appropriate)to be eligible for probationary employment
performed. as an apprentice.
c. If the contractor or subcontractors,as appropriate,the (2) The allowable ratio of apprentices to
laborers and mechanics (if known) to be employed in the joumeyman-level employees on the job site in any craft
additional classification or their representatives, and the classification shall not be greater than the ratio permitted to the
contracting officer agree on the classification and wage rate contractor as to the entire work force under the registered
(including the amount designated for fringe benefits where program. Any employee listed on a payroll at an apprentice
appropriate), a report of the action taken shall be sent by the wage rate, who is not registered or otherwise employed as
contracting officer to the DOL, Administrator of the Wage and stated above, shall be paid not less than the applicable wage
Hour Division, Employment Standards Administrafion, rate listed in the wage determination for the classification of
Washington, D.C. 20210. The Wage and Hour Administrator, work actually performed. In addition, any apprentice
or an authorized representative, will approve, modify, or performing work on the job site in excess of the ratio permitted
disapprove every additional classification action within 30 days under the registered program shall be paid not less than the
of receipt and so advise the contracting officer or will notify the applicable wage rate on the wage determination for the work
contracting officer within the 30-day period that additional time actually performed. Where a contractor or subcontractor is
is necessary. performing construction on a project in a locality other than that
in which its program is registered, the ratios and wage rates
d. In the event the contractor or subcontractors, as (expressed in percentages of the journeyman-level hourly rate)
appropriate, the laborers or mechanics to be employed in the specified in the contractor's or subcontractor's registered
additional classification or their representatives, and the program shall be observed.
contracting officer do not agree on the proposed classification
and wage rate (including the amount designated for fringe (3) Every apprentice must be paid at not less than
benefits, where appropriate), the contracting officer shall refer the rate specified in the registered program for the apprentice's
the questions, including the views of all interested parties and level of progress, expressed as a percentage of the
the recommendation of the contracting officer, to the Wage journeyman-level hourly rate specified in the applicable wage
and Hour Administrator for determination. Said Administrator, determination. Apprentices shall be paid fringe benefits in
or an authorized representative, will issue a determination accordance with the provisions of the apprenticeship program.
within 30 days of receipt and so advise the contracting officer If the apprenticeship program does not specify fringe benefits,
or will notify the contracting officer within the 30-day period that apprentices must be paid the full amount of fringe benefits
additional time is necessary listed on the wage determination for the applicable
classification. If the Administrator for the Wage and Hour
e. The wage rate (including fringe benefits where Division determines that a different practice prevails for the
appropriate)determined pursuant to paragraph 2c or 2d of this applicable apprentice classification, fringes shall be paid in
Section IV shall be paid to all workers performing work in the accordance with that determination.
REQUIRED BY 23 CFR 633.102 --
journeymen shall not be greater than permitted by the terms of
(4) In the event the Bureau of Apprenticeship and the particular program.
Training, or a State apprenticeship agency recognized by the
Bureau, withdraws approval of an apprenticeship program,the 6. Withholding:
contractor or subcontractor will no longer be permitted to utilize
apprentices at less than the applicable predetermined rate for The SHA shall upon its own action or upon written
the comparable work performed by regular employees until an request of an authorized representative of the DOL withhold,or
acceptable program is approved. cause to be withheld, from the contractor or subcontractor
under this contract or any other Federal contract with the same
b. Trainees: prime contractor, or any other Federally-assisted contract
subject to Davis-Bacon prevailing wage requirements which is
(1) Except as provided in 29 CFR 5.16,trainees will held by the same prime contractor, as much of the accrued
not be permitted to work at less than the predetermined rate for payments or advances as may be considered necessary to pay
the work performed unless they are employed pursuant to and laborers and mechanics, including apprentices, trainees, and
individually registered in a program which has received prior helpers, employed by the contractor or any subcontractor the
approval, evidenced by formal certification by the DOL, full amount of wages required by the contract. In the event of
Employment and Training Administration. failure to pay any laborer or mechanic, including any
apprentice,trainee, or helper,employed or working on the site
(2) The ratio of trainees to journeyman-level of the work, all or part of the wages required by the contract,
employees on the job site shall not be greater than permitted the SHA contracting officer may, after written notice to the
under the plan approved by the Employment and Training contractor,take such action as may be necessary to cause the
Administration. Any employee listed on the payroll at a trainee suspension of any further payment, advance, or guarantee of
rate who is not registered and participating in a training plan funds until such violations have ceased.
approved by the Employment and Training Administration shall
be paid not less than the applicable wage rate on the wage 7. Overtime Requirements:
determination for the classification of work actually performed.
In addition, any trainee performing work on the job site in No contractor or subcontractor contracting for any part
excess of the ratio permitted under the registered program of the contract work which may require or involve the employ-
shall be paid not less than the applicable wage rate on the ment of laborers, mechanics, watchmen, or guards (including
wage determination for the work actually performed. apprentices, trainees, and helpers described in paragraphs 4
and 5 above) shall require or permit any laborer, mechanic,
(3) Every trainee must be paid at not less than the watchman, or guard in any workweek in which he/she is
rate specified in the approved program for his/her level of employed on such work,to work in excess of 40 hours in such
progress, expressed as a percentage of the journeyman-level workweek unless such laborer, mechanic,watchman,or guard
hourly rate specified in the applicable wage determination. receives compensation at a rate not less than one-and-one-
Trainees shall be paid fringe benefits in accordance with the half times his/her basic rate of pay for all hours worked in
provisions of the trainee program. If the trainee program does excess of 40 hours in such workweek.
not mention fringe benefits, trainees shall be paid the full
amount of fringe benefits listed on the wage determination 8. Violation:
unless the Administrator of the Wage and Hour Division
determines that there is an apprenticeship program associated Liability for Unpaid Wages; Liquidated Damages: In the
with the corresponding journeyman-level wage rate on the event of any violation of the clause set forth in paragraph 7
wage determination which provides for less than full fringe above, the contractor and any subcontractor responsible
benefits for apprentices, in which case such trainees shall thereof shall be liable to the affected employee for his/her
receive the same fringe benefits as apprentices. unpaid wages. In addition, such contractor and subcontractor
shall be liable to the United States (in the case of work done
(4) In the event the Employment and Training under contract for the District of Columbia or a territory,to such
Administration withdraws approval of a training program, the District or to such territory) for liquidated damages. Such
contractor or subcontractor will no longer be permitted to utilize liquidated damages shall be computed with respect to each
trainees at less than the applicable predetermined rate for the individual laborer, mechanic,watchman, or guard employed in
work performed until an acceptable program is approved. violation of the clause set forth in paragraph 7, in the sum of
$10 for each calendar day on which such employee was
c. Helpers: required or permitted to work in excess of the standard work
week of 40 hours without payment of the overtime wages
Helpers will be permitted to work on a project if the required by the clause set forth in paragraph 7.
helper classification is specified and defined on the applicable
wage determination or is approved pursuant to the 9. Withholding for Unpaid Wages and Liquidated
conformance procedure set forth in Section IV.2. Any worker Damages:
listed on a payroll at a helper wage rate, who is not a helper
under a approved definition, shall be paid not less than the The SHA shall upon its own action or upon written request of
applicable wage rate on the wage determination for the any authorized representative of the DOL withhold,or cause to
classification of work actually performed. be withheld, from any monies payable on account of work
performed by the contractor or subcontractor under any such
5. Apprentices and Trainees (Programs of the U.S. contract or any other Federal contract with the same prime
DOT): contractor, or any other Federally-assisted contract subject to
the Contract Work Hours and Safety Standards Act, which is
Apprentices and trainees working under apprenticeship held by the same prime contractor, such sums as may be
and skill training programs which have been certified by the determined to be necessary to satisfy any liabilities of such
Secretary of Transportation as promoting EEO in connection contractor or subcontractor for unpaid wages and liquidated
with Federal-aid highway construction programs are not damages as provided in the clause set forth in paragraph 8
subject to the requirements of paragraph 4 of this Section IV. above.
The straight time hourly wage rates for apprentices and
trainees under such programs will be established by the V. STATEMENTS AND PAYROLLS
particular programs. The ratio of apprentices and trainees to
REQUIRED BY 23 CFR 633.102
(Applicable to all Federal-aid construction contracts during the payroll period has been paid the full weekly wages
exceeding $2,000 and to all related subcontracts, except for earned,without rebate, either directly or indirectly,and that no
projects located on roadways classified as local roads or rural deductions have been made either directly or indirectly from
collectors,which are exempt.) the full wages earned,other than permissible deductions as set
forth in the Regulations,29 CFR 3;
1. Compliance with Copeland Regulations(29 CFR 3):
(3)that each laborer or mechanic has been paid not
The contractor shall comply with the Copeland Regulations less that the applicable wage rate and fringe benefits or cash
of the Secretary of Labor which are herein incorporated by equivalent for the classification of worked performed, as
reference. specified in the applicable wage determination incorporated
into the contract.
2. Payrolls and Payroll Records:
e. The weekly submission of a properly executed
a. Payrolls and basic records relating thereto shall be certification set forth on the reverse side of Optional Form W H-
maintained by the contractor and each subcontractor during 347 shall satisfy the requirement for submission of the
the course of the work and preserved for a period of 3 years "Statement of Compliance' required by paragraph 2d of this
from the date of completion of the contract for all laborers, Section V.
mechanics, apprentices, trainees, watchmen, helpers, and
guards working at the site of the work. f. The falsification of any of the above certifications may
subject the contractor to civil or criminal prosecution under 18
b. The payroll records shall contain the name, social U.S.C. 1001 and 31 U.S.C.231.
security number, and address of each such employee; his or
her correct classification; hourly rates of wages paid(including g. The contractor or subcontractor shall make the
rates of contributions or costs anticipated for bona fide fringe records required under paragraph 2b of this Section V
benefits or cash equivalent thereof the types described in available for inspection,copying,or transcription by authorized
Section 1(b)(2)(B) of the Davis Bacon Act); daily and weekly representatives of the SHA, the FHWA,or the DOL, and shall
number of hours worked; deductions made; and actual wages permit such representatives to interview employees during
paid. In addition,for Appalachian contracts,the payroll records working hours on the job. If the contractor or subcontractor
shall contain a notation indicating whether the employee does, fails to submit the required records or to make them available,
or does not, normally reside in the labor area as defined in the SHA, the FHWA,the DOL, or all may, after written notice
Attachment A,paragraph 1. Whenever the Secretary of Labor, to the contractor, sponsor, applicant, or owner, take such
pursuant to Section IV, paragraph 3b, has found that the actions as may be necessary to cause the suspension of any
wages of any laborer or mechanic include the amount of any further payment, advance, or guarantee of funds.
costs reasonably anticipated In providing benefits under a plan Furthermore, failure to submit the required records upon
or program described in Section 1(b)(2)(B)of the Davis Bacon request or to make such records available may be grounds for
Act, the contractor and each subcontractor shall maintain debarment action pursuant to 29 CFR 5.12.
records which show that the commitment to provide such
benefits is enforceable, that the plan or program is financially VI. RECORD OF MATERIALS,SUPPLIES,AND LABOR
responsible,that the plan or program has been communicated
in writing to the laborers or mechanics affected, and show the 1. On all Federal-aid contracts on the National Highway
cost anticipated or the actual cost incurred in providing System, except those which provide solely for the installation
benefits. Contractors or subcontractors employing apprentices of protective devices at railroad grade crossings, those which
or trainees under approved programs shall maintain written are constructed on a force account or direct labor basis,
evidence of the registration of apprentices and trainees, and highway beautification contracts, and contracts for which the
ratios and wage rates prescribed in the applicable programs. total final construction cost for roadway and bridge is less than
$1,000,000(23 CFR 635)the contractor shall:
c. Each contractor and subcontractor shall furnish,each
week in which any contract work is performed, to the SHA a. Become familiar with the list of specific materials and
resident engineer a payroll of wages paid each of its supplies contained in Form FHWA-47, 'Statement of Materials
employees (including apprentices, trainees, and helpers, and Labor Used by Contractor of Highway Construction
described in Section IV, paragraphs 4 and 5, and watchmen Involving Federal Funds," prior to the commencement of work
and guards engaged on work during the preceding weekly under this contract.
payroll period). The payroll submitted shall set out accurately
and completely all of the information required to be maintained b. Maintain a record of the total cost of all materials and
under paragraph 2b of this Section V. This information may be supplies purchased for and incorporated in the work, and also
submitted in any form desired. Optional Form WH-347 is of the quantities of those specific materials and supplies listed
available for this purpose and may be purchased from the on Form FHWA-47,and In the units shown on Form FHWA-47.
Superintendent of Documents(Federal stock number 029-005-
0014-1), U.S. Government Printing Office, Washington, D.C. c. Furnish, upon the completion of the contract, to the
20402. The prime contractor is responsible for the submission SHA resident engineer on Forth FHWA-47 together with the
of copies of payrolls by all subcontractors. data required in paragraph lb relative to materials and
supplies, a final labor summary of all contract work indicating
d. Each payroll submitted shall be accompanied by a the total hours worked and the total amount earned.
"Statement of Compliance,' signed by the contractor or
subcontractor or his/her agent who pays or supervises the 2. At the prime contractor's option, either a single report
payment of the persons employed under the contract and shall covering all contract work or separate reports for the contractor
certify the following: and for each subcontract shall be submitted.
(1)that the payroll for the payroll period contains the VII. SUBLETTING OR ASSIGNING THE CONTRACT
information required to be maintained under paragraph 2b of
this Section V and that such information is correct and 1. The contractor shall perform with its own organization
complete; contract work amounting to not less than 30 percent (or a
greater percentage if specified elsewhere in the contract)of the
(2) that such laborer or mechanic (including each total original contract price, excluding any specialty items
helper, apprentice, and trainee) employed on the contract designated by the State. Specialty items may be performed by
REQUIRED BY 23 CPR 633.102 -
subcontract and the amount of any such specialty items per- of the Contract Work Hours and Safety Standards Act (40
formed may be deducted from the total original contract price U.S.C.333).
before computing the amount of work required to be performed
by the contractor's own organization(23 CFR 635). IX. FALSE STATEMENTS CONCERNING HIGHWAY
PROJECTS
a. "Its own organization" shall be construed to include
only workers employed and paid directly by the prime In order to assure high quality and durable construction in
contractor and equipment owned or rented by the prime conformity with approved plans and specifications and a high
contractor, with or without operators. Such term does not degree of reliability on statements and representations made
include employees or equipment of a subcontractor,assignee, by engineers, contractors, suppliers, and workers on Federal-
or agent of the prime contractor. aid highway projects, it is essential that all persons concerned
with the project perform their functions as carefully,thoroughly,
b. "Specialty Items' shall be construed to be limited to and honestly as possible. Willful falsification, distortion, or
work that requires highly specialized knowledge, abilities, or misrepresentation with respect to any facts related to the
equipment not ordinarily available in the type of contracting project is a violation of Federal law. To prevent any
organizations qualified and expected to bid on the contract as misunderstanding regarding the seriousness of these and
a whole and in general are to be limited to minor components similar acts, the following notice shall be posted on each
of the overall contract. Federal-aid highway project (23 CFR 635) in one or more
places where it is readily available to all persons concerned
2. The contract amount upon which the requirements set with the project:
forth in paragraph 1 of Section VII is computed includes the
cost of material and manufactured products which are to be NOTICE TO ALL PERSONNEL ENGAGED ON FEDERAL-
purchased or produced by the contractor under the contract AID HIGHWAY PROJECTS
provisions.
18 U.S.C. 1020 reads as follows:
3. The contractor shall furnish (a) a competent
superintendent or supervisor who is employed by the firm,has 'Whoever,being an officer,agent, or employee of the United
full authority to direct performance of the work in accordance States, or of any State or Territory, or whoever, whether a
with the contract requirements, and is in charge of all person, association, firm, or corporation, knowingly makes any
construction operations (regardless of who performs the work) false statement, false representation, or false report as to the
and (b) such other of its own organizational resources character, quality, quantity, or cost o1 the material used or to
(supervision, management, and engineering services) as the be used, or the quantity or quality of the work performed or to
SHA contracting officer determines is necessary to assure the be performed, or the cost thereof in connection with the
performance of the contract. submission of plans, maps, specifications, contracts, or costs
of construction on any highway or related project submitted for
4. No portion of the contract shall be sublet, assigned or approval to the Secretary of Transportation;or
otherwise disposed of except with the written consent of the
SHA contracting officer,or authorized representative,and such Whoever knowingly makes any false statement, false
consent when given shall not be construed to relieve the representation, false report or false claim with respect to the
contractor of any responsibility for the fulfillment of the character,quality,quantity, or cost of any work performed or to
contract. Written consent will be given only after the SHA has be performed, or materials fumished or to be furnished, in
assured that each subcontract is evidenced in writing and that connection with the construction of any highway or related
it contains all pertinent provisions and requirements of the project approved by the Secretary of Transportation,or
prime contract.
VIII. SAFETY:ACCIDENT PREVENTION Whoever knowingly makes any false statement or false
representation as to material fact in any statement, certificate,
1. In the performance of this contract the contractor shall or report submitted pursuant to provisions of the Federal-aid
Roads Act approved July 1, 1916, (39 Slat. 355), as amended
comply with all applicable Federal, State, and local laws
governing safety, health, and sanitation (23 CFR 635). The and supplemented;
contractor shall provide all safeguards, safety devices and Shall be fined not more that$10,000 or Imprisoned not more
protective equipment and take any other needed actions as it than 5 years or both.'
determines, or as the SHA contracting officer may determine,
to be reasonably necessary to protect the life and health of X. IMPLEMENTATION OF CLEAN AIR ACT AND FEDERAL
employees on the job and the safety of the public and to
protect property in connection with the performance of the work WATER POLLUTION CONTROL ACT
covered by the contract. (Applicable to all Federal-aid construction contracts and to all
2. It is a condition of this contract, and shall be made a related subcontracts of$100,000 or more.)
condition of each subcontract,which the contractor enters into pursuant to this contract, that the contractor and any By submission of this bid or the execution of this contract, or
subcontract, as appropriate, the bidder, Federal-aid
subcontractor shall not permit any employee, in performance of the contract, to work in surroundings or under conditions construction contractor, or subcontractor, as appropriate, will which are unsanitary,hazardous or dangerous to his/her health be deemed to have stipulated as follows:
or safety, as determined under construction safety and health 1. That any facility that is or will be utilized in the performance
standards CFR 1 promulgated the Secretary of of this contract, unless such contract is exempt under the
Labor, in accordance with
ith Section 107 off t the Contract Work Clean Air Act, as amended (42 U.S.C. 1857 11 ggg., as
Hours and Safety Standards Act(40 U.S.C.333). amended by Pub.L. 91-604), and under the Federal Water
3. Pursuant to 29 CFR 1926.3, it is a condition of this Pollution Control Act,as amended (33 U.S.C. 1251 fS Tom.,as
contract that the Secretary of Labor or authorized amended by Pub.L. 92-500), Executive Order 11738, and
representative thereof, shall have right of entry to any site of regulations in implementation thereof(40 CFR 15)is not listed,
contract performance to inspect or investigate the matter of on the date of contract award, on the U.S. Environmental
compliance with the construction safety and health standards Protection Agency(EPA) List of Violating Facilities pursuant to
and to carry out the duties of the Secretary under Section 107 40 CFR 15.20.
REQUIRED BY 23 CFR 633.102 -- /�
2. That the fine agrees to comply and remain in compliance The g. prospective
pective primary participant further agrees by
with all the requirements of Section 114 of the Clean Air Act submitting this proposal that it will include the clause titled
and Section 308 of the Federal Water Pollution Control Act and 'Certification Regarding Debarment, Suspension, Ineligibility
all regulations and guidelines listed thereunder. and Voluntary Exclusion-Lower Tier Covered Transaction,'
provided by the department or agency entering into this
3. That the firm shall promptly notify the SHA of the receipt of covered transaction, without modification, in all lower tier
any communication from the Director, Office of Federal covered transactions and in all solicitations for lower tier
Activities, EPA, indicating that a facility that is or will be utilized covered transactions.
for the contract is under consideration to be listed on the EPA
List of Violating Facilities. h. A participant in a covered transaction may rely upon a
certification of a prospective participant in a lower tier covered
4. That the firm agrees to include or cause to be included the transaction that is not debarred, suspended, ineligible, or
requirements of paragraph 1 through 4 of this Section X in voluntarily excluded from the covered transaction, unless it
every nonexempt subcontract,and further agrees to take such knows that the certification is erroneous. A participant may
action as the government may direct as a means of enforcing decide the method and frequency by which it determines the
such requirements. eligibility of its principals. Each participant may, but is not
required to, check the nonprocurement portion of the "Lists of
XI. CERTIFICATION REGARDING DEBARMENT, Parties Excluded From Federal Procurement or
SUSPENSION, Nonprocurement Programs" (Nonprocurement List) which is
INELIGIBILITY AND VOLUNTARY EXCLUSION compiled by the General Services Administration.
1. Instructions for Certification - Primary Covered I. Nothing contained in the foregoing shall be construed
Transactions: to require establishment of a system of records in order to
render in good faith the certification required by this clause.
(Applicable to all Federal-aid contracts-49 CFR 29) The knowledge and information of participant is not required to
exceed that which is normally possessed by a prudent person
a. By signing and submitting this proposal, the in the ordinary course of business dealings.
prospective primary participant is providing the certification set
out below. j. Except for transactions authorized under paragraph f
of these instructions, if a participant in a covered transaction
b. The inability of a person to provide the certification knowingly enters into a lower tier covered transaction with a
set out below will not necessarily result in denial of person who is suspended, debarred, ineligible, or voluntarily
participation in this covered transaction. The prospective excluded from participation in this transaction, in addition to
participant shall submit an explanation of why it cannot provide other remedies available to the Federal Government, the
the certification set out below. The certification or explanation department or agency may terminate this transaction for cause
will be considered in connection with the department or or default.
agency's determination whether to enter into this transaction.
However, failure of the prospective primary participant to
furnish a certification or an explanation shall disqualify such a .....
person from participation in this transaction.
Certification Regarding Debarment,Suspension,
C. The certification in this clause is a material Ineligibility and Voluntary Exclusion—Primary Covered
representation of fact upon which reliance was placed when Transactions
the department or agency determined to enter into this
transaction. If it is later determined that the prospective 1. The prospective primary participant certifies to the best of
primary participant knowingly rendered an erroneous its knowledge and belief,that it and its principals:
certification, in addition to other remedies available to the
Federal Government, the department or agency may terminate a. Are not presently debarred, suspended,proposed for
this transaction for cause of default. debarment, declared ineligible, or voluntarily excluded from
d. The prospective primary participant shall provide covered transactions by any Federal department or agency;
immediate written notice to the department or agency to whom b. Have not within a 3-year period preceding this
this proposal is submitted if any time the prospective primary proposal been convicted of or had a civil judgement rendered
participant learns that its certification was erroneous when against them for commission of fraud or a criminal offense in
submitted or has become erroneous by reason of changed connection with obtaining,attempting to obtain,or performing a
circumstances. public (Federal, State or local)transaction or contract under a
public transaction; violation of Federal or State antitrust
e. The terms "covered transaction," 'debarred,' statutes or commission of embezzlement, theft, forgery,
'suspended," 'ineligible," "lower tier covered transaction," bribery, falsification or destruction of records, making false
'participant,' 'person,' "primary covered transaction,' statements,or receiving stolen property;
"principal,' "proposal,' and 'voluntarily excluded," as used in
this clause, have the meanings set out in the Definitions and c. Are not presently indicted for or otherwise criminally
Coverage sections of rules implementing Executive Order or civilly charged by a governmental entity (Federal, State or
12549. You may contact the department or agency to which local) with commission of any of the offenses enumerated in
this proposal is submitted for assistance in obtaining a copy of paragraph I of this certification;and
those regulations.
d. Have not within a 3-year period preceding this
f. The prospective primary participant agrees by application/proposal had one or more public transactions
submitting this proposal that, should the proposed covered (Federal,State or local)terminated 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, 2. Where the prospective primary participant is unable to
suspended, declared ineligible, or voluntarily excluded from certify to any of the statements in this certification, such
participation in this covered transaction, unless authorized by prospective participant shall attach an explanation to this
the department or agency entering into this transaction. proposal.
REQUIRED BY 23 CFR 633.102 --
""""" department or agency with which this transaction originated
may pursue available remedies, including suspension and/or
debarment.
2. Instructions for Certification - Lower Tier Covered
Transactions:
(Applicable to all subcontracts, purchase orders and other
lower her transactions of$25,000 or more-49 CFR 29) Certification Regarding Debarment,Suspension,
Ineligibility and Voluntary Exclusion—Lower Tier Covered
a. By signing and submitting this proposal, the Transactions:
prospective lower tier is providing the certification set out
Wow. 1. The prospective lower tier participant certifies, by
submission of this proposal, that neither it nor its principals is
b. The certification in this clause is a material presently debarred, suspended, proposed for debarment,
representation of fact upon which reliance was placed when declared ineligible, or voluntarily excluded from participation in
this transaction was entered into. If it is later determined that this transaction by any Federal department or agency.
the prospective lower tier participant knowingly rendered an
erroneous certification, in addition to other remedies available 2. Where the prospective lower tier participant is unable to
to the Federal Government, the department, or agency with certify to any of the statements in this certification, such
which this transaction originated may pursue available prospective participant shall attach an explanation to this
remedies,including suspension and/or debarment. proposal.
c. The prospective lower tier participant shall provide .....
immediate written notice to the person to which this proposal is
submitted if at any time the prospective lower tier participant XII. CERTIFICATION REGARDING USE OF CONTRACT
learns that its certification was erroneous by reason of FUNDS OR LOBBYING
changed circumstances.
(Applicable to all Federal-aid construction contracts and to
d. The terms "covered transaction,' 'debarred,' all related subcontracts which exceed$100,000.49 CFR 20)
'suspended," 'ineligible," 'primary covered transaction,'
'participant,' 'person," 'principal,' 'proposal,' and "voluntarily 1. The prospective participant certifies, by signing and
excluded,'as used in this clause,have the meanings set out in submitting this bid or proposal, to the best of his or her
the Definitions and Coverage sections of rules implementing knowledge and belief,that:
Executive Order 12549. You may contact the person to which
this proposal is submitted for assistance in obtaining a copy of a. No Federal appropriated funds have been paid or will
those regulations. be paid, by or on behalf of the undersigned, to any person for
influencing or attempting to influence an officer or employee of
e. The prospective lower tier participant agrees by any Federal agency, a Member of Congress, an officer or
submitting this proposal that, should the proposed covered employee of Congress, or an employee of a Member of
transaction be entered into,it shall not knowingly enter into any Congress in connection with the awarding of any Federal
lower her covered transaction with a person who is debarred, contract, the making of any Federal grant, the making of any
suspended, declared ineligible, or voluntarily excluded from Federal loan, the entering into of any cooperative agreement,
participation in this covered transaction, unless authorized by and the extension, continuation, renewal, amendment, or
the department or agency with which this transaction modification of any Federal contract, grant, loan, or
originated. cooperative agreement.
f. The prospective lower her participant further agrees by b. If any funds other than Federal appropriated funds
submitting this proposal that it will include this clause titled have been paid or will be paid to any person for influencing or
"Certification Regarding Debarment, Suspension, Ineligibility attempting to influence an officer or employee of any Federal
and Voluntary Exclusion-Lower Tier Covered Transaction,' agency, a Member of Congress, an officer or employee of
without modification, in all lower tier covered transactions and Congress, or an employee of a Member of Congress in
in all solicitations for lower tier covered transactions. connection with this Federal contract, grant, loan, or
cooperative agreement, the undersigned shall complete and
g. A participant in a covered transaction may rely upon a submit Standard Form-LLL, "Disclosure Forth to Report
certification of a prospective participant in a lower tier covered Lobbying,'in accordance with its instructions.
transaction that is not debarred, suspended, ineligible, or
voluntarily excluded from the covered transaction, unless it 2. This certification is a material representation of fact upon
knows that the certification is erroneous. A participant may which reliance was placed when this transaction was made or
decide the method and frequency by which it determines the entered into. Submission of this certification is a prerequisite
eligibility of its principals. Each participant may, but is not for making or entering into this transaction imposed by 31
required to,check the Nonprocurement List. U.S.C. 1352. Any person who fails to file the required
certification shall be subject to a civil penalty of not less than
h. Nothing contained in the foregoing shall be construed $10,000 and not more than$100,000 for each such failure.
to require establishment of a system of records in order to
render in good faith the certification required by this clause. 3. The prospective participant also agrees by submitting his
The knowledge and information of participant is not required to or her bid or proposal that he or she shall require that the
exceed that which is normally possessed by a prudent person language of this certification be included in all lower tier
in the ordinary course of business dealings. subcontracts, which exceed $100,000 and that all such
I. Except for transactions authorized under paragraph e recipients shall certify and disclose accordingly.
of these instructions, if a participant in a covered transaction
knowingly enters into a lower tier covered transaction with a
person who is suspended, debarred, ineligible, or voluntarily
excluded from participation in this transaction, in addition to
other remedies available to the Federal Government, the
REQUIRED BY 23 CFR 633.102 ��
r
I. EXHIBIT C FUNDING PROVISIONS
A. The Local Agency has estimated the total cost the Work to be $50,000.00 which is to be
funded as follows:
BUDGETED FUNDS
a. Federal Funds $40,000.00
$ 80% of Participating Costs
b. Local Aqencv Matching Funds $10,000.00
20%1 of Participating Costs
c. Local Agency Matching for CDOT-Incurred Non-Participating $0.00
Costs
(including Non-Participating Indirects
TOTAL BUDGETED FUNDS $50,000.00
ESTIMATED CDOT-INCURRED COSTS
a. Federal Share $0.00
80% of Participating Costs
b. Local Share
Local Agency Share of Participating Costs $0.00
Non-Participating Costs (Including Non-Participating $0.00
Indirects)(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 1 a $40,000.00
b. Less Estimated Federal Share of CDOT-Incurred $0.00
Costs 2a
TOTAL ESTIMATED PAYMENT TO'LOCAL AGENCY $40,000.00
FOR CDOT ENCUMBRANCE PURPOSES
Total Encumbrance Amount ($40,000.00 divided by $50,000.00
80%
Less ROW Acquisition 3111 $0.00
Net to be encumbered as follows: $50,000.00
-34-
Design 12312 1 P 3020 $0.00
Const 2312 1 P 3301 $50,000.00
B. The matching ratio for the federal participating funds for this project is 80% federal-aid funds
(CFDA#20 2050) to 20% Local Agency funds, it being understood that such ratio applies
only to the$50,000.00 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 $50,000.00, 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 $50,000.00, 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 $40,000.00,
(For CDOT accounting purposes,the federal funds of$40,000.00 and local matching funds
of$10,000.00 will be encumbered for a total encumbrance of$50,000.00), 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.
_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.
-38- � /
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.
-39- ��
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;
5. the Local Agency/Contractor shall incorporate the specific contract provisions described in
18.36(i) (which are also deemed incorporated herein) into any subcontract(s) for such
services as terms and conditions of those subcontracts.
B. Executive Order 11246 of September 24, 1965 entitled "Equal Employment Opportunity," as
amended by Executive Order It 375 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).
-40-
(J
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 sea.).
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.
ATTACHMENT LO
Certification for Federal-Aid Contracts
The contractor certifies, by signing this contract, to the best of its knowledge and belief, that:
1. No Federal appropriated funds have been paid or will be paid, by or on behalf or the
undersigned, to any person for influencing or attempting to influence an officer or employee of
any Federal agency, a Member of Congress, an officer or employee of Congress, or an employee
of a Member of Congress in connection with the awarding of any Federal loan, the entering into
of any cooperative agreement, and the extension, continuation,-renewal, amendment, or
modification of any Federal contract, grant, loan, or cooperative agreement.
2. If any funds other than Federal appropriated funds have been paid or will be paid to any person
for influencing or attempting to influence an officer or of Congress, or an employee of a
Member of Congress in connection with this Federal contract, grant, loan, or cooperative
agreement, the undersigned shall complete and submit Standard Form-LLL, "Disclosure Form to
Report Lobbying," in accordance with its instructions.
This certification is a material representation of fact upon which reliance was placed when this
transaction was made or entered into. Submission of this certification is a prerequisite for making or
entering into this transaction imposed by Section 1352,Title 31, U.S. Code. Any person who fails to
file the required certification shall be subject to a civil penalty of not less than $10,000 and not more
than $100,000 for each such failure.
The prospective participant also agree by submitting his or her bid or proposal that he or she shall
require that the language of this certification be included in all lower tier subcontracts, which exceed
$100,000 and that all such subrecipients shall certify and disclose accordingly.
Required by 23 CFR 635.112
-42-
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 1/22/98 Required by 49 CFR Part 23.41
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. �n
�V
43
Vnder 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.
44
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. COOT Controller letter on May 23 1996
(])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 ] (Region use
Date: (2) Project code (3)
To: CDOT Controller (FAX#(303) 757-9573 or e-mail CONTROLLER) Project# (4)
F Region # (5)rom: Office: (5) Phone# (5) FAX # (5)
CDOT has executed a contract with: (6)
Address: (6)
FEIN # (6) Contract routing # (7) COFRS encumbrance#(indicate PO,SC or Pc#) (8)
Fund Orgn. Appro. Prgrm. Func. Object/Sub-obj N/P GBL Reporting Catg. Proj/Sub/Phase
(9) (9) (9) (9) (9) (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#
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 0
Total allotment amount Commission budget
$ (19) $ (19)
If construction: CE charges JISndirect chgs Adjusted contract amount plus total CE& indirect
_CE pool elig. (19) $ (19) (19) charges calculation S (19)
I 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 TDate
(20) )
45 V
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:
Signature Title mate
*%Completed x Contract Total=Total Current Payment Request
(1) x (2) _ (*)
46
EXAMPLE B (Cost Plus Fixed Fee Contracts) Exhibit D,Page 2 of 5
Company Name: Project No.
Address:
Employer(FEIN)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:
DIRECT LABOR: (List Individually)
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(hrs. x$),equip.rental(hrs. x$),etc.
SUBTOTAL(DIRECT LABOR,INDIRECT&OTHER DIRECT COSTS) $ $
FEE(%)(As specified in the contract) $ $
OUTSIDE SERVICES (Subconsultants&Vendors)(List individually) $ $
(To 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 I itle Date
*Eligible classifications only: in accordance with contract
47
EXAMPLE C(Specific Rates of Pay Contracts) Exhibit D,Page 3 of 5
Company Name: Project No.
Address:
Employer(FEIN)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 Individually)
Regular Overtime Rates of Pay Cost
Employee 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$),
CADD(hrs. x$),equip.rental (hrs.x$),etc. $
SUBTOTAL(Pay Rates and Other Direct Rates)
OUTSIDE SERVICES (Subconsultants&Vendors)(List individually) $
(To 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
48
EXAMPLE D (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
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EXAMPLE E(Fixed Multiplier Contracts) Exhibit D Page 5 of 5
Company Name: Project No.
Address:
Employer(FEIN)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 Individually)
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$),
CARD hrs.x$),e ui .rental(hrs. x$),etc. $
SUBTOTAL(Pay Rates and Other Direct Rates)
OUTSIDE SERVICES(Subconsultants&Vendors)(List individually) $
To 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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