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Home My WebLink Aboutbocc.res.148.2003RESOLOUTION OF THE BOARD OF COUNTY COMMISSIONERS OF PITKIN COUNTY, COLORADO, : , Accepting the contract between CDOT and Pitkin County for funding of the project SHO C570-012, Safety/Hazai~l Elimination on Owl Creek Road RESOLUTION NO.. /~', -2003 Recitals 1. Funds approved'by the F"ederal Highway Administration which are proposed and administered by the State are available to local agencies under the Surface Transportation program. 2. Cdot and Pitkin County wish to enter into an agreement regarding funding for the project known as Safety/Hazard Elimination on Owl Creek Road. This project shall include Design, Guardrail and shoulder widening along a 3 mile stretch of Owl Creek Road. 3. Federal Funds shall provide 100% of participating costs with no local agency funds. NOW, THEREFORE, BE IT RESOLVED by the Board of County Commissioners of Pitkin County, Colorado that the contract between CDOT and Pitkin County for Safety/Hazard Elimination on Owl Creek Road be approved and accepted. INTRODUCED, FIRST READ, AND SET FOR PUBLIC HEARING ON November 5, 2003. ADOPTED AFTER FINAL READING AND PUBL C HEARING ON November 19, 2003. NOTICE OF PUBLIC HEARING PUBLISHED IN THE ASPEN TIMES WE~KEY oN PUBLISHED BY TITLE AND SHORT SUMMARY, AFTER ADOPTION, IN THE ASPEN TIME.__S WEEKL~Y ON //- ~' ,2003. Resolution No. ~'/'~'<~' -2003 Bye! Jeat Depl ;ST: F ;tte J&des ty County CI Date rk APPROVED AS TO FORM: .~C.~ttorney *MANAGER APPROVAL: Hilary F~-~cher Smith ~-~ate County M~nager BOARD OF COUNTY COMMISSIONERS OF PITKIN COUNTY, COLORADO Jack~:tfield; Chhirrn~ ~ Date RECOMMENDED FOR APPROVAL: JodTS~h Date PrOject Manager 2 Ma Guardrail & shoulder~ Road Lane Road Guardrail & shoulder Road State Highl2 (FMLAWRK) PROJECT SHO C570-012, (14669) REGION 3/(LML) Rev 01/09/03 04 HA3 00017 CMS ID 04-066 CONTRACT THIS CONTRACT, made this day of '~"~Je-F~~ , 200-~ by and between the State of Colorado for the use and benefit of THE COLORADO DEPARTMENT OF TRANSPORTATION, hereinafter referred to as the State or CDOT, and Pitkin County, STATE of COLORADO, 76 Service Center Road, Aspen, CO 81611, FEIN 846000794, hereinafter referred to as the Local Agency, or the contractor. FACTUAL RECITALS. 1. Authority exists in the law and funds have been budgeted, appropriated and otherwise made available and a sufficient unencumbered balance thereof remains available for payment of project and Local Agency costs in Fund Number 400, Appropriation Code 010, Organization Number 9991, Program 2000, Function 3301, Object 2312 1P, Phase C, Reposing Category 3110, Contract' Encumbrance Number 14669, (Contract Encumbrance Amount: $60,000.00). 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 21st Century of 1998 (TEA-21) and to applicable provisions of Title 23 of the United States Code and implementing regulations at Title 23 of the Code of Federal Regulations, as may be amended, (collectively referred to hereinafter as "the federal provisions"), certain Federal funds have been and will in the future be, allocated for highway projects requested by Local Agencies and eligible under the Surface Transportation Program that has been proposed by the State and approved by the Federal Highway Administration (FHWA), hereinafter referred to as the program. 4. Pursuant to § 43-1-223', C.R.S. and to applicable portions of the federal provisions, the State is responsible for the general administration and supervision of performance of projects in the program, including the administration of federal funds for a program project performed by a local agency under a contract with the State. Page 1 of 20 5. The Local Agency has requested that a certain local highway project be funded as part of the program, and by the date of execution of this contract the Local Agency (and/or the State) has completed and submitted a preliminary version of CDOT form #463 describing the general nature of that project work. The Local Agency understands that, before the project work is actually started, the description of the project work in that CDOT form #463 will likely be revised as a result of design changes made by CDOT, in conjunction and coordination with the Local Agency, in its internal review process. The Local Agency desires to agree to perform the project work as described in the Form #463, as it may be revised in that Process. 6. Federal-aid funds have been made available for project, SHO C570-012, which shall consist of guardrall installation and shoulder widening for safety improvements and hazard elimination along 3 miles (MP 1 to MP 3) of Owl Creek Road (County Road 12), herein referred to as "the project" or "the work" in Pitkin County, Colorado, specifically described in Exhibit A, attached hereto and made part hereof (the Form 4/463 and/or a "Scope of Work"). 7. The matching ratio for this federal-aid project is 100% federal-aid funds to 0% Local Agency funds, it being understood that such ratio applies only to such costs as are eligible for federal participation, it being further understood that all non-participating costs shall be borne by the Local Agency at 100%. 8. The Local Agency desires to comply with the federal provisions and other applicable requirements, including the State's general administration and supervision of the project through this contract, in order to obtain federal funds for the project. 9. The Local Agency has estimated the total cost of the Work and is prepared to provide its match share of the cost, as evidenced by an appropriate ordinance or resolution duly passed and adopted by the authorized representatives of the Local Agency, which expressly authorizes the Local Agency to enter into this contract and to expend its match share of the Work. A copy of this ordinance or resolution is attached hereto and incorporated herein as Exhibit B. 10. This contract is executed under the authority of §§ 29-1-203, 43-1-110, 43-1-116, 43-2-101(4)(c) and 43-2-144, C.R.S., as amended, and the Local Agency ordinance/resolution. 11. The parties hereto desire to agree upon the division of responsibilities with regard to the project. Page 2 of 20 f 12. The Local Agency is adequately staffed and suitably equipped to undertake and satisfactorily complete some or all of the Work. 13. The State certifies that such work can be more advantageously performed by the Local Agency. NOW, THEREFORE, it is hereby agreed that: I. STANDARD FORM CONTRACT This is a standard form contract that is designed to efficiently contract for and administer 2 types of program projects: 1) program projects which include the same basic work elements (design; construction; construction administration by local agency; right-of-way; utilities; etc.); and also, 2) program projects with specific differences in those basic work elements (e.g.~ a specific project may include design but no construction, or it may include design and construction but the State will do the construction administration, etc.) The form contract accommodates both types of projects by using qualifying language to condition the application of particular contract requirements, based on whether specific work elements are included in the project. For instance, where the contract provides ... "If the Work includes engineering/design services, the Local Agency shall perform the following requirements ...", the Local Agency need perform those requirements only if engineering/design services are expressly included in the project, as defined in the Scope of Work. (Conversely, notwithstanding that language is in the contract, the Local Agency can ignore those "requirements" if engineering/design services are NOT expressly included in the Scope of Work.) The Local Agency shall interpret such qualifying language in that manner. By using such language, the form contract can apply to both the general and the specific types of projects, thus making it easier to administer and saving the State and the Local Agency time and expense. I[. PROJECT DESCRIFrlON "The project" or "the Work" under this contract shall consist of guardrail and shoulder widening for safety improvement and hazard elimination for 3 miles along Owl Creek Road (County Road 12) in Pitkin County, Colorado, as more specifically described in Exhibit A, attached hereto and made a Page 3 of 20 ~ part hereof (the Form #463 and/or a "Scope of Work") as it may be revised by the parties in the design review process before the project work is actually started. III. INCORPORATION BY REFERENCE All federal and state statutes, regulations, specifications, administration checklists, directives, procedures, documents, and publications that are specifically identified and/or referenced in this contract, together with all exhibits and attachments and addenda to this contract, are incorporated herein by this reference as terms and conditions of this contract as though fully set forth. IV. WORK RESPONSIBILITY The Local Agency shall be responsible to perform construction and construction administration tasks required to complete the Work, and the Local Agency shall comply with all applicable terms and conditions of this contract in performing the Work, including those process and task responsibilities and standards as specifically indicated in the Pre-Construction and Construction Administration Checklists attached hereto and made a part hereof. The responsible party shall perform all such tasks in accordance with applicable requirements and standards, including those in this contract and in applicable law. V. PROJECT FUNDING PROVISIONS The funding provisions for the project are attached hereto and incorporated herein as Exhibit C. VI. A. PROJECT PAYMENT PROVISIONS The State will reimburse the Local Agency for the federal-aid share of the project charges following the State's review and approval of such charges, subject to the terms and conditions of this contract. Provided, however, that charges incurred by the Local Agency prior to the date of FHWA authorization for the project and prior to the date this contract is executed by the State Controller or his designee will not be charged by the Local Agency to the project, and will not be reimbursed by the State, absent specific FHWA and/or State Controller approval thereof. The State will reimburse the Local Agency's reasonable, allocable, allowable costs of Page 4 of 20 performance of the Work, not exceeding the maximum total amount described in Exhibit C. The applicable principles described in Title 49, Code of Federal Regulations, Part 18 (the "Common Rule"), Subpart C ("Financial Administration"), including 49 C.F.R. 18.22, shall govern the allowability and allocability of costs under this contract. The Local Agency shall comply with all such principles. To be eligible for reimbursement, costs by the Local Agency shall be: 1. in accordance with the provisions of Exhibit C and with the terms and conditions of the contract. 2. necessary for accomplishment of the Work. 3. reasonable in amount for the goods and services provided. 4. actual net cost to the Local Agency (i.e., the price paid minus any refunds, rebates, or other items of value received by the Local Agency that have the effect of reducing the cost actually incurred). 5. incurred for Work performed subsequent to the effective date of this contract. 6. satisfactorily documented. 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 cmrent 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. Page 5 of 20 Upon execution of this contract, the State is authorized, in its discretion, to perform any necessary administrative support services pursuant to this contract. These services may be performed prior to and in preparation for any conditions or requirements of this contract, including prior FHWA approval of project work. The Local Agency understands and agrees that the State may perform such services, and that payment for such services shall be at no cost to the State but shall be as provided in Exhibit C. At the request of the Local Agency, the State shall also provide other assistance pursuant to this contract as may be agreed in writing. In the event that federal-aid project funds remain available for payment, the Local Agency understands and agrees the costs of any such services and assistance shall be paid to the State from project funds at the applicable rate. However, in the event that such funding is not made available or is withdrawn for this contract, or if the Local Agency terminates this contract prior to project approval or completion for any mason, then all actual incurred costs of such services and assistance provided by the State shall be the sole expense of the Local Agency. If the Local Agency is to be billed for CDOT incurred costs, the billing procedure shall be as follows: 1. Upon receipt of each bill from the State, the Local Agency will remit to the State the amount billed no later than 45 days after receipt of each bill. Should the Local Agency fail to pay moneys due the State within 45 days of demand or within such other period as may be agreed between the parties hereto, the Local Agency agrees 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. Page 6 of 20 q 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. 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. I. 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. 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. 6th Street, Room 317, Grand Junction, CO 81501, (970)248-7214. Said Region Director will also be responsible for coordinating the State's activities under this contract. Said Region Director will also issue a "Notice to Proceed" to the Local Agency for commencement of the Work. All communication relating to the day-to-day activities for the work shall be exchanged between representatives of the State's Transportation Region 3 and Page 7 of 20 the Local Agency. Until changed by notice in writing, all routine correspondence shall be addressed as follows: Do If to State: Karen Rowe \[ CDOT Region 3 Resident Engineer 202 Centennial Street Glenwood Springs, CO 81601 (970) 945-8187 If to the Local Agency: Bert Pearse Department of Public Works Pitkin County 76 Service Center Road Aspen, Colorado 81611 (970) 920-5397 The State will reimburse the Local Agency for the federal-aid share of the project charges, as provided in Exhibit 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. 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. LOCAL AGENCY COMMITMENTS DESIGN. 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. Page 8 of 20 // 3. prepare special provisions and estimates in accord with the State's Roadway and Bridge Design Manuals and Standard Specifications for Road and Bridge Construction. 4. include details of any required detours in the Plans, in order to prevent any interference of the construction work and to protect the traveling public. 5. stamp the Plans produced by a Colorado Registered Professional Engineer. 6. provide final assembly of Plans and contract documents. 7. be responsible for the Plans being accurate and complete. 8. make no further changes in the Plans following the award of the construction contract except by agreement in writing between the parties. The Plans shall be considered final when approved and accepted by the parties hereto, and when final they shall be deemed incorporated herein. ff the Local Agency is the responsible patty: 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 in Attachment #1, which is incorporated herein by this reference. If the Local Agency does enter into a contract with a consultant for the work: a) it shall (or its consultant shall) submit any design consultant subcontract to CDOT for approval prior to its execution by the Local Agency/Contractor, as required by § 172.5 (d); b) it shall ensure that all changes in the consultant contract shall be by written supplemental agreement and must have prior approval of the State and FHWA. As Page 9 of 20 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 ail consultant billings under that contract shail 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 Exhibit D; d) it shail (or its consultant shail) also use the CDOT procedures as described in Attachment #1 to administer that design consultant subcontract, to comply with § 172.5(b) and (d); e) it may expedite any CDOT approval of its procurement process and/or consultant contract by submitting a letter to CDOT from the certifying Locai 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 shail ensure that its consultant contract complies with the requirement of 49 CFR § 18.36(i) and contains the required provisions, as well as the following language which shail be included verbatim: I) "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 shail make available services as requested by the State to assist the State in the evaiuation of construction and the resolution of construction problems that may arise during the construction of the project." 3) "The consultant shail 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." CONSTRUCTION. Page 10 of 20 If "the Work" includes construction, the party that is responsible under Section IV for the construction/construction administration (either the Local Agency or the State) shall perform the construction in accordance with the approved design plans and/or administer the construction all in accord with the project's Pre-construction and Construction Contract Administration Checklists. Such administration shall include project inspection and testing; approving sources of materials; performing required plant and shop inspections; documentation of contract payments, testing, and inspection activities; preparing and approving pay estimates; preparing, approving, and securing the funding for contract modification orders (CMOs) and minor contract revisions (MCRs); processing contractor claims; construction supervision; and, meeting the Quality Control (QC) requirements of the FHWA/State stewardship program, all as more fully described in the project's Pre- construction and Contract Administration Checklists. If the Local Agency is the responsible party: 1. it shall appoint a qualified professional engineer, licensed in the State of Colorado, as the Local Agency Project Engineer (LAPE), to perform that administration. The LAPE shall administer the project in accordance with this agreement, the requirements of the constmction 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 8 12-25-102 C.R.S. as amended), notwithstanding any exception described in 8 12-25-103, C.R.S., as amended. 2. if bids are to be let for the construction of the project, it shall advertise the call for bids in conjunction with the State and upon concurrence by the State, award the construction contract(s) to the Iow 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. 8 112 and 23 C.F.R. 88 633 and 635 and §24-92-101 et seq. C.R.S. Those requirements include, without limitation, that the Local Agency/Contractor shall physically incorporate the entire "Form 1273" (which, if relevant to this contract, is Page 11 of 20 /¥ 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.) 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 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. Page 12 of 20 Eo ROW ACQUISITION/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. 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. 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: 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. ~NVIRONMENTAL. Page 13 of 20 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. RECORD KEEPING. The Local Agency shall maintain all books, documents, papers, accounting records and other evidence pertaining to costs incurred and to make such materials available for inspection at all reasonable times during the contract period and for 3 years from the date of final payment to the Local Agency. Copies of such records shall be furnished by the Local Agency if requested. 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. 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 inspections of the project to verify that such improvements are being adequately maintained. 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. DBE REQUIREMENTS Page 14 of 20 /7 The Local Agency will comply with the requirements of Appendix B and the Construction Contract Administration Checklist regarding DBE requirements for the work, except that if the Local Agency desires to use its own DBE Program to implement and administer the DBE provisions of Title 49 CFR Part 23 under this contract, it must submit a copy of its program's requirements to CDOT for review and approval before the execution of this contract. If the Local Agency uses its program for this contract, the Local Agency shall be solely responsible to defend that DBE Program and its use of that Program against all legal and other challenges or complaints, at its sole cost and expense. Such responsibility includes, without limitation, determinations concerning DBE eligibility and certification, adequate legal and factual bases for DBE goals, and good faith efforts. CDOT approval (if any) of the Local Agency's DBE Program does not waive or modify the sole responsibility of the Local Agency for its use as described above. LOCAL AGENCY FUNDS The Local Agency shall provide its match share and indirect cost funds for the work as outlined in Exhibit C. IX. 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, FI-1WA and Local Agency. X. GENERAL PROVISIONS A. Notwithstanding any consents or approvals given by the State for the Plans, the State will not be liable or responsible in any manner for the structural design, details or constmction 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 Page 15 of 20 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. This contract may be terminated as follows: 1. Term/nation 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 cum the default or show cause why termination is otherwise not appropriate. In the event of termination, all finished or unfinished documents, data, studies, surveys, drawings, maps, models, photographs, and reports or other material prepared by the Local Agency under this contract shall, at the option of the State, become its property, and the Local Agency shall be entitled to received just and equitable compensation for any services and supplies delivered and accepted. The Local Agency shall be obligated to return any payment advanced under the provisions of this contract. Notwithstanding above, the Local Agency shall not be relieved of liability to the State for any damages sustained by the State by virtue of any breach of the contract by the Local Agency. 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 heroin. 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. Page 16 of 20 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. Notwithstanding anything herein to the contrary, the parties understand and agree that ail 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. This contract is subject to such modifications as may be required by changes in federal or State law, or their implementing regulations. Any such required modification shall automatically be incorporated into and be part of this contract on the effective date of such change as if fully set forth herein. Except as specifically provided otherwise herein, no modification of this contract shall be effective unless agreed to in writing by both parties in an amendment to this contract that is properly executed and approved in accordance with applicable law. 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. 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 Page 17 of 20 effect unless embodied in a written contract executed and approved pursuant to the State Fiscal Rules. Except as herein otherwise provided, this contract shall inure to the benefit of and be binding upon the parties hereto and their respective successors and assigns. The Local Agency represents and warrants that it cmrently 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. Attachment LO (Certification for Federal-Aid Contracts), and Appendix B (DBE requirements) and Addendum B, Contract Modification Tools, attached hereto are hereby made a part of this contract. The Local Agency shall comply with all applicable terms and conditions of such attachments. ][fa conflict occurs between the provisions of this contract proper and the attachments hereto, the priority to be used to resolve such a conflict shall be as follows: 1. The Special Provisions; and 2. This contract proper; and 3. The attachments enumerated in Section X, paragraph J, above; and 4. Other contract exhibits and attachments, in descending order of their attachment. 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 ri~t 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. 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 Page 18 of 20 SPECIAL PROVISIONS (Revised 06/2003) 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. To the extent authorized by law, 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 ~mplied. 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 REQUTRED 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 THATTHE 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 in whole or in part shall be valid or enforceable or available in any action atlaw 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. SOFTWARE PIRACY PROHIBITION GOVERNOR'S EXECUTIVE ORDER. No State or other public funds payable under this Contract shall be used for the acquisition, operation or maintenance of computer software in violation of United States copyright laws or applicable licensing restrictions. The Contractor hereby certifies that, for the term of this Contract and any extensions, the Contractor has in place appropriate systems and controls to prevent such improper use of public funds. If the State determines that the Contractor is in violation of this paragraph, the State may exercise any remedy available at law or equity or under this Contract, including, without limitation, immediate termination of the Contract and any remedy consistent with United States copyright laws or applicable licensing restrictions. 8.EMPLOYEE FINANCIAL INTEREST. CRS 24-18-201 & 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. Page 19 of 20 THE PARTIES HERETO HAVE EXECUTED THIS CONTRACT CONTRACTOR: Pitkin County Legal Name of Contracting Entity 846000794 Social Security Number or FEIN Signatu e~f Authorized Officer Print Name & Title of Authorized Officer STATE OF COLORADO: BILL OWENS GOVERNOR By C'~,~. ~'~.~. ~ For Execut~ Director Department of Transportation LEGALREV~W: KENSALAZAR ATTORNEY GENERAL CORPORATIONS. (A co.orate se~ or attestation is required.) ~[ or %; City/Co n, ALL CONTRACTS MUST BE APPROVED BY TIlE STATE CONTROL!.~..R CRS 24-30-202 requires that the State Controller approve ali state contracts. This contract is not valid until the State Controller, or such assistant as he may delegate, has signed it. The contractor is not authorized to begin performance until the contract is signed and dated below. If performance begins prior to the date below, the State of Colorado may not be obligated to pay for the goods and/or services provided. STATE CONTROLLER ARTHUR L. BARNHART By~~ ~ Revised: 06/03 Page 20 of 20 COLORADO DEPARTMENT OF TRANSPORTATION LOCAL AGENCy CONTRACT ADMINISTRATION CHECKLIST Project No~ Region Project Description ~ Guardrail and Shoulder Widening - Hazard Elimination. Local AgenCY CDOT Resident Engineer Sean Yeates Local Agency Project Manager Bert Pearce CDOT Project Manager Casey Peter/Sean Yeates This checklist shall be utilized to establish the contract administration responsibilities of the individual parties to this agreement. The checklist becomes an attachment to the Local Agency agreement. Section numbers correspond to the applicable chapters of the CDOT Local Agency Manual. The checklist shall be prepared by placing an "X" under the responsible party, opposite each of the tasks. The ~X' denotes the party responsible for initiating and executing the task. Only one responsible party should be selected. VVhen neither CDOT nor the Local Agency is responsible for a task, not applicable (NA) shall be noted. In addition, a ~ will denote that CDOT must concur or approve. Tasks that will be performed by Headquarters staff will be indicated. The Regions, in accordance with estab shed policies and procedures, will determine who will perform all other tasks that are the responsibility of CDOT. The checklist shall be prepared by the CDOT Resident Engineer or the CDOT Project Manager, in coopamtion with the Local Agency Project Manager, and submitted to the Region Pregmm Engineer. If contract administration responsibilities change, the CDOT Resident En ineer, in coo ration with~the Local en Pro'ect Maria er will re re and distrJbute a revised checklist. TION OF TASK RESPONSIBLE PARTY TIP I STIP AND LONG-RANGE PLANS LA CDOT ~sure~th STIP and amendments thereto FEDERAL FUNDING OBLIGATION AND AUTHORIZATION ~ funding by pha~es (CDOT Form 418 -~edeml-aid Program'~ata concurrence/involvement - Requires FHWA PROJECT DEVELOPMENT CDOT Form ~ ~ntal A reement see also Cha er 3 ~ ~c involvement _Condu~ Field in ection Review · ~., u.l~.,.~h! ~-~f-.wa .. ma.~ concurrence/involvemen_~_ ~ ~u~m_ ,~n .uti_l! ~n_d railroad a r~ments ~ Conduct Final Office Review ~ ~ecifications and construction ~'ost ~stimstes ~ E_nsure authorization of funds NO. RESPONSIBLE DESCRIPTION OF TASK PARTY LA CDOT I PROJECT DEVELOPMENT CIVIL RIGHTS AND LABOR COMPLIANCE Set Underutilized Disadvantaged Business Enterpltse (UBDE) goals for consultant and X construction Contracts (CDOT Region EEO/Civil Ri{}hts Specialist) Determine applicability of Davis-Bacon ,act X This project [] is [] is not exempt from Davis-Bacon requirements as determined by the functional classification of the project location (Projects located on local roads and rural minor collectom may be exempt.) CDOT Resident Engineer Date Set On-the-Job Training goals. Goal is zero if total construction is less than $I million (CDOT X Ensure the correct Federal Wage Decision, all required Disadvantaged Business Enterprise/On-the-Job Training special provisions and FHWA Form 1273 are included in the Contract X ADVERTISE, BID AND AWARD period of less than three weeks X Advertise for bids X Distribute ~advedisement set' of plans and specifications., X Review werksite and plan details with prospective biddem while project is under X advertisement bids X Process bids for compliance ~ ~ Check CDOT Form 7t5 - Cedificate of Proposed Underutilized DBE Participation when the Iow bidder meets UDBE goals X Evaluate CDOT Form 718 - Underutilized DBE Good Faith Effort Documentation and .determine if the Contractor has made a good faith effort when the Iow bidder does not meet X Submit required documentation for CDOT award concurrence X Concurrence from CDOT to award X X Award Contract X Provide 'award' and 'record' sets of plans and specifications X CONSTRUCTION MANAGEMENT Issue Notico to P~ to the Contractor I X I Conduct conferences: Preconstructio~ (Appendix B) X Presurvay · Construction staking X · Monumentation X Partnerin. X Structural Concrete Pre-Pour(Agenda is in C, DOT Consbuction Manual). N/A Concrete Pavement Pre-Pavin~OT Construct/on Manual~ NIA HBP Pre-Paving (Agenda is in CDOTConsbucSon Manual) NIA ) and distribute Public Notice of Planned Construction to media and local residents X A Professional Engineer (PE) registered in Colotado, who will be ~in responsible charge of construction supervision." X Not known at this time Local Agency Prefassional Engineer or Phone number COOT Form 1243 07/02 Page2 of 4 /'~/ Pravio.s*ditior= ,ra obse,m a.d .~ay .or ~ ~ H I BIT A. Page__~ot','7 DESCRIPTION OF TASK competent, expenenced staff who w;ll ensure the Contract'work is co~str~c~ed in n and documentation n su e_ A rpprove interim and final Contractor pay estimates Provide the name and phone number of the person authorized for this task. time eo~em eo~em Pho______~ne number Provide the name and phone number of the person responsible for this task. SE. AN YEATE~ MATERIALS Phon__.__e number RESPONSIBLE PARTY LA CDOT x x ~ x ~ X ~ X X ~ X X ~ X ~ ~ X x ~ x X · Generate form, which indudes determining the minimum number of required teats and applicable material submittals for all materials placed on the project · Update the form as work progresses products Inspection of structural components: · Fabrication of structural steel and pm-stressed concrete structural components · Bridge modular expansion devices (0" to 6" or greater) devices ['esting (IAT), Local Agency Procedures CDOT Procedures · Generate IAT schedule · Schedule and provide notification : Approve mix~'signs · Concrete N/A N/A N/A X X X NIA NIA X X ~ Previous editions are obsolete and may not be usedcDOT Form '1243 07/02 Page3 of 4 EXHIBITA, Page of '-] CONSTRUCTION CIVIL RIGHTS AND LABOR COMPLIANCE 10-1 Fulfill project bulletin boar~l and p,=~unstruction packet requirements X 1 0-2 CDOT Form 205 - Sublet Permit Application Review and sign completed CDOT Form 205 for each subcontractorl and submit to X EEO/Civil Rights Specialist 10-3 Conduct employee intewiews. Complete CDOT Form 280 - E~lual Employment Opportunity X and Labor Compliance Verification 10-4 Monitor Disadvantaged Business Enterprise pa~cipation to ensure compliance with the X ~commercially useful function' requirements 1 0-5 Conduct trainee interviews. Complete CDOT Form 200 - OJT Training Questionnaire when X project utilizes on-the-iob trainee; 10-6 Check certified payrolls (cv~ the Re~ion EEO/Civil Rights Spe,~i~li~ for training requirements.) X 1 0-7 Submit FHWA Form 1391 - Highway Construction Contractor's Annual EEO Report X FINALS 11-1 Conduct final project inspection, and ~ui.p;ete and submit CDOT Form 1212 ~ Final X Acceptance Report (Resident Engineer with mandatory Local Agency partiri.n~*i,~q.) 11-2 W~te final projec;, accey'~nce leffer X 11 ~ Advertise for final Se;.'d~ .ent X 11-4 Prepare and distribute final As-Constructed plans X 11-5 Check final qu&i~;[i=s, final plans and the final pay estimate X 11-6 Check material docume,,'~;;u~ and submit final material certification (see Chapter 9) X 11-7 Gb[ai. CDOT Form 17 - Contractor DBE Payment Cedilication from the Contactor and X submit to the Resident Engineer 11-6 Process final payment ~ X 11-9 Ob~;i~ FI-I~NA Form 47 - S~;.~.ent of M~,;.=,;.~is and Labor USed _. from the Contractor N/A 11-10 Complete and submit GDOT Form 950 - Project Closure X 11-11 R=;.,~i' project mcv~d~ for six yeara from date of project closure X 11-12 Retain final v~;&ior, of this checklist and distribute copies X CDOT Resident Engineer/Project Manager CDOT Region Program Engineer CDOT Region EEO/Civil Rights Specialist CDOT Region Materials Engineer CDOT Contracts and Market Analysis Branch Local Agency Project Manager CDOT Form 1243 07~02 Page4 of 4 c/L / Previous editions am obeole~ and may not be used / EXHIBIT A, Page of Col~rado'D~partment of Transportation ' Origin Date: 08ti4/2003' Project cede: 14669 I STIP iumber, IN6014 DESIGN DATA aavl~ Date: Project number:SHO C570-012 PE Prelest Code PE proiect Number [] Metric [] Engltsh Rev'=ion #: Page I Reg[ce: 03 Status: · prelimina~j C) final C) revised Project description: Owl C~k Road-Pitl~t CoanW Prepared by: Revised by: ,3ouulyl: ?itkin ICounty2: ICounty3: Casey ]Peter Date: 09/16/:2003 Date: ,.,~ Municipality: Submitted by Proj. Mgr Appro~e~l~3y Preconstruction Enginse~"~2 ~ / System code: Other Federal-Aid Highway ~.~,~, ~ ~ ......... Oversight: Exempt Date: * r Planned length: 2 Geographic location: ~"~J ' ~' On Owl Creek Ry,~R 12) from MP 1 to MP 3. l'errain type: C) Level C) plains, O Rolling O Urban · Mountainous Description of proposed co0structldn/imprevement (attach map showing site location) Guardrail and Shoulder Widening (Hazard Elimination) ~l Traffic (Note: use columns A. B, and/or C to identify fecility described below) Current year, 2003 Future year. It DHV%trucks I Facility ldcation Facility ADT I DHV ADT DHV I lodustdal Commercial Residential Other ~ I I I I I I []-I [] I [] I [] c I I I I I I © I [] I [] ~ Rdv~Class Route Refpt Endrefpt Functional clanslflcation Facility type Rural code 1, 999 Cott~or (major) Ond[-~idcd < ~,000 3, ~'~ Dealgn Standards (Identify substandard items with a checi~nark in 1st celumn and clarify in remanV, s) A = CR 12 - Owl Cr~k Rd. B = C = Standard IFSdsflng Proposed Ultimate Standard Existing Proposed~Ulfimate Standard Existing Proposed Ultimate [] SuKace type [-]~P H~P [] Typical sectk)n type C C ~ # of travel lanes 2 2 ~--_ ~Nidth oftrave~l lanes 11 11 Shoulder wd, lt./median I 4 Shoulder wd rt./outside ! 4 Side slope dist. ("z'~ [-~! Mediao width ~ Posted speed [] O~n aped [] Max. superelevallon [] Min. radius [] Min. horizontal ssd ;[] Min. verbcal sad ~ Max. grade Project under (~ 1R C) 3R (~ 4R · Other. Safc~ criteria Existing guardreil meets current standards: (~ Yes · No Variance in minimum design standards required C) Yes C) No [] Safety projest Comments: [] Justification attached [] Request to be submitted Not all standards Guerdm~l will be addressed o~_ t~is project, [] Bridge (see item 4) [] See remarks addressed ~-~ Stage censtmction R~udacing p~Je~ EXHIBIT A, Page.._.~of [~ Recemmendations conceming safety aspects attached Project Code: 14669., Project Number. SI'lO C570-012 ~e: Proposed treatment of bridges to remain in place (address bridge rail, capacity, and allowab,~ sudace thickness) Len h R ' : Standard Structure . . . I Len h Reft Point Feature Infers~cted I Width i ~,~ i , Horizontal Vertical Year ~ (proposed) [--~in~ ~'~ Handicap ramps Yes No Est. No. ROVV and/or perm. easement required: C) · Relocation required: O · Ternpora~/easement required: C) · Changes in access: C) · Changes to connecting reads: C) · ~rosslngs # of crossings: ..... ._.___._~Railroad Name ~semmengations: Prasent_.pmtectiea ~e: C) depressed C) painted (~ raised ~con;ol si;hals ' '-~ .. rmaneat Guardrail and Shoulder Widening ~ name~ of known utility companies) Unkno~ at this tfl~e none Condition of X'ings Type: W. ithdra_wn lands (power sites, reservoirs, etc.) cleared through BLM forest sewice office Irri a i New traffic ordinance required * g t'on ditch name: nOAdReason: C) Design Advertised by: C) State ~) P.O. · Local C) Study C) None (~ cr~OT F/A Re~'~'-~--ma~ (Include additional pages if nsede'---~'--) C) Local F/A ~) RR F/A 0 Utility F/A O Miscellaneous Entity/Agency contact name: Bert Pearcc Phone number;. EXHIBIT A, Page of._ 0 NOV. Mg. 2003 4:07PMPITKIN COUNTY CLERK RECORDER N0.990 RESOLOUTION OF THE BOARD OF COUNTY COMMISSIONERS OF PITKIN COUP, COLO,=mDC, Accepting the contract between CDOT and Pitk[n County for funding of the project SIlO C570-012, safety/Hazard Elimination on Owl Creek Road RESOLUTION NO. ~'~$ ~2003 , Recitals 1. Funds approved by the ~ederal Highway Administration which are proposed and administered by the State are available to local agencies under the Surface Transportation program. 2, Cdot and Pitkin County wish to enter into an agreement regarding funding for the project known as Safety/Hazard Elimination on Owl Creek Ro. ad. This project shall include Design, Guardrail and'shoulder widening along a 3 mile stretch of Owl Creek Road, Federal Funds shall provide 100% of participating costs with no local agency funds. NOW, THEREFORE, BE IT RESOLVED by the Board of County CommissiOners of · Pitkin County, Colorado that the contract between CDOT and Pltkin County.for Safety/Hazard Elimination on Owl Creek Road be. approved and acceFted. INTRODUCED, FIRST READ, AND SET FOR pUBLIC HEARING ON November 5, 200,3. ADOPTED AFTER FINAL READING AND PUBLIC HEARING ON November 1.9, 2003. NOTICE OF PUBLIC HEAR NG PUBLISHED IN THE ASPEN TIMES WEEKLY ON . /./- . PUBESHED BY TITLE AND SHORT SUMMARY, AFTER ADOPTION, 1N THE ASPEN ~ ON //.- ;~,~ ,2003. RECEIVED ? " NOV 2 ~ 2003 RECEIVED TIME ~OV. 19. 2:49PM EXHIBIT B Page ] of .. ~0~.J9.2003 4:07PM PITKIN COUNTY CLERK RECORDER N0.990 'P. 3 Resolution No./.~ -2003 Je~ :ST: ,~ .~tte J6~ee [7 County CI Date APPROVED AS TO FORM: ohn Ely~ Date ~omey *MANAGER APPROVAl.: Hilary F'~her Smith ~'Oate /O./~'7:=3 County M~nager BOARD OF COUNTY COMMISSIONERS OF PlTKIN COUNTY, COLORADO RECOMM~:NDED FOR AppROVAL: Project Manager. RECEIVED TIME NOV 19, 2:49PN EXHIBIT B Page'L 6f2-~ EXHIBIT C FUNDING PROVISIONS A. The Local Agency has estimated the total cost the Work to be $60,000.00 which is to be funded as follows: 1 BUDGETED FUNDS a. Federal Funds $60,000.00 ( 100% of Participating Costs) b. Local Agency Matching Funds $0,00 (0% of Participating Costs) Local Agency Matching for CDOT - c. Incurred Non-Participating Costs $0.0C (Including Non-Participating Ind[rects) TOTAL BUDGETED FUNDS $60,000.0C 2 ESTIMATED CDOT-INCURRED COSTS a. Federal Sham $0.0C (Participating Costs) b. Local Share Local Agency Sham of Participating Costs $0.00 Non-Participating Costs (Including Non- Participating Indirects) $0.00 Estimated to be Billed to Local Agency $0.00 TOTAL ESTIMATED CDOT-INCURRED COSTS $0.00 3 ESTIMATED PAYMENT TO LOCAL AGENCY a. Federal Funds Budgeted (la) $60,000.0(: b. Less Estimated Federal Sham of CDOT-Incurred Costs (2a) $0.0C I TOTAL ESTIMATED PAYMENT TO LOCAL AGENCY $60,000.0C FOR CDOT ENCUMBRANCE PURPOSES Total Encumbrance Amount ($60,000.00 divided by 100%) $60,000.00 Less ROW Acquisition 3111 $0.o0 Net to be encumbered as follows: I $60,000.00 Desigr $0.00 Consl _~312 1P 3301! $60,0o0.0o Exhibit C - Page 1 of 2 The matching ratio for the federal participating funds for this project is 100% federal-aid funds (CFDA g20 2050) to 0% Local Agency funds, it being understood that such ratio applies only to the $60,000.00 that is eligible for federal participation, it being further understood that ail non-participating costs are borne by the Local Agency at 100%. If the total participating cost of performance of the Work exceeds $60,000.00, and additional federal funds are made available for the project, the Local Agency shall pay 0% 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$60,000.00, 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 $60,000.00 (For CDOT accounting purposes, the federal funds of $60,000.00 and local matching funds of $0.00 will be encumbered for a total encumbrance of $60,000.00), unless such amount is increased by an appropriate written modification to this contract executed before any increased cost is incun'ed. It is understood and agreed by the parties hereto that the total cost of the Work stated hereinbefore is the best estimate available, based on the design data as approved at the time of execution of this contract, and that such cost is subject to revisions (in accord with the procedure in the previous sentence) agreeable to the parties prior to bid and award. D. The parties hereto agree that th~s contract is contingent upon all funds designated for the project herein being made available from federal and/or state and/or Local Agency sources, as applicable. Should these sources, either federal or Local Agency, fail to provide necessary funds as agreed upon herein, the contract may be terminated by either party, provided that any party terminating its interest and obligations herein shall not be relieved of any obligations which existed prior to the effective date of such termination or which may occur as a result of such termination. Exhibit C - Page 2 of 2 ATTACHMENT #1 THE LOCAL AGENCY SHALL USE THESE PROCEDURES TO IMPLEMENT FEDERAL-AID PROJECT AGREEMENTS WITH PROFESSIONAL CONSULTANT SERVICES Tide 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 tided "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 contraedng local agency shall document the need for obtaining professional services. Prior to solicitation for consultant services, the contracting local agency shall develop a detailed scope of work and a list of evaluation fuctom 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. 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. 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 often percent (10%) Disadvantaged Business Enterprise (DBE) participation as a minimum for the project. 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, Attachment #1 - Page 1 of 2 f. Volume of previously awarded contracts, and g. Involvement of minority consultants. ~ in the evaluation of orofessional consultant services. 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. 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. end °fpr°ject, the local agency prepares a performance evaluation (a CDOT form is available) on the consulAttantht~ 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. Attachment #I - Page 2 of 2 FHWA Form 1273 FHWA-1273 Elect ionic version -- March 10, 1994 REQUIRED CONTRACT PROVISIONS FEDERAL-AID cONSTRUCTION CONTRACTS t. General ..................................................................... 1 I1. NondiscrJminati0n .......................... , .......................... 1 Ill. Nonsegregated Facilitias ......................................... 3 IV. Payment of Predetermined Minimum Wage ........... 3 V. Statements and Payrolls .......................................... 6 VI. Record of Materials, Supplies, and Labor ............... 6 VII. Subletting or Assigning the Contract ...................... 7 VIII. Safety: Acc dent Prevention .................................... 7 IX. False Statements Concerning Highway Projects .... 7 X. Implementation of Clean Air Act and Federal Water Pollution Control Act .................................................... 8 X. Cart f cat on Regarding Debarment, Suspension, ineligibility, and Voluntary Exclusion ........................................ 8 XII. Certification Regarding Use of Contract Funds for Lobbying ..................................................................................... 9 ATTACHMENTS A. Employment Preference for Appalachian Contracts (included in Appalachian contracts only) I. GENERAL 1. These contract provisions shall apply to all work pedormed on the contract by the contractor's own organization and with the assistance of workers under the contractor's immediate superin- tendence and to all work performed on the contract by piecework, station work, or by subcontract. 2. Except as otherwise provided for in each Section, the contractor shall insert in each subcontract all of the stipulations contafned in these Required Contract Provisions, and further require their inclusion in any lower tier subcontract or purchase order that may in turn be made. The Required contract Provi- sions Shall not be incorporated by reference in any case. The prime contractor shall be responsible for compliance by any subcontractor or lower tier subcontractor with these Required contract Previsions. 3. A breach of any of the stipulations contained in these Required Contract Previsions shall be sufficient grounds for termination of the contract. 4. A breach of the following clauses of the Required Contract Provisions may aisc be grounds for debarment as provided in 29 CFR 5.12: Section I, paragraph 2; Section IV, paragraphs 1,2, 3, 4, and 7; Section V, paragraphs I and 2a through 2g. 5. Disputes arising out of the labor standards provisions of Section iV (except paragraph 5) and Section V of these Required Contract Provisions shall not be subject to the general disputes clause of this contract. Such disputes shall be resolved in accor- dance with the procedures of the U.S. Department of Labor (DOL) as set forth in 29 CFR 5, 6, and 7. Disputes within the meaning of this clause include disputes between the contractor (or any of its subcontractors) and the contracting agency, the DOL, or the contractor's employees or their representatives. 6. Selection of Labor: Dudng the performance of this con- tract, the contractor shall not: a. discriminate against labor from any other State, posses- sion, or territory of the United States (except for employment preference for Appalachian contracts, when applicable, as specified in Attachment A), or b. employ convict labor for any purpose within the limits of the project unless it is labor performed by convicts who are on parole, supervised release, or probation. II. NONDISCRIMINATION (Applicable to all Federal-aid construction contracts and to related subcontracts of $10,000 or more.} 1. Equal Employment Opportunity: Equal empfuyment opporfunlty (EEO) requirements not to discriminate and to take affirmative action to assure equal opportunity as set forth under laws, executive ordem, roles, regulations (28 CFR 35, 29 CFR 1630 and 41 CFR 60) and orders of the Secretary of Labor as modified by the provisions prescribed herein, and imposed pursuant to 23 U.S.C. 140 shall constitute the EEO and specific affirmative action standards for the contractor's project activities under this contract. The Equal Opportunity construction Contract Specifications set forth under 41 CFR 60-4.3 and the provisions of the American Disabilities Act of 1990 (42 U.S.C. 12101 e_~t sea.) set forth under 28 CFR 35 and 29 CFR 1630 are incorporated by reference in this contract. In the execution of this contract, the contractor agrees to comply with the following minimum specific requirement activities of EEO: a. The contractor will work with the State highway agency (SHA) and the Federal Government in carrying out EEO obliga- tions and in their review of his/her activities under the contract. b. The contractor will accept as his operating policy the following statement: "It is the policy of this Company to assure that applicants are employed, and that empfuyees are treated during employ- ment, without regard to their race. religion, sex, color, national origin, age or disability. Such action shall include: employment, upgrading, demotion, or transfer; recruitment or recruitment advertising; layoff Or termination; rates of pay or other forms of compensation; and selection for trefning, incleding apprenticeship, preappranbcaship, and/or on-the-job training." 2. EEO Officer: The contractor will designate and make known to the SHA contracting Officers an EEO Officer who will have the responsibility for and must be capable of effectively admfnistering and promoting an active contractor program of EEO and who must be assigned adequate authority and responsibility to do so. 3. Dissemination of Policy:. All members of the contractor's staff who are authorized to hire, supervise, promote, and discharge employees, or who recommend such action, or who ara substanfiarly involved in such action, will be made fully cognizant Pagel of 9 of, and will implement, the contractor's EEO policy and contractual respossibilitiss to provide EEO In each grade and classification of employment. To ensure that the above agreement will be met, the following actions will be taken as a minimum: a. Periodic meetings of supervisory and pemonnel office employees will be conducted before the start of work and then not less often than once every six months, at which time the contract- or's EEO policy and its implementation will be reviewed and explained. The meetings will be conducted by the EEO Officer. b. Ail new supervisory or personnel office employees will be given a thorough indoctrination by the EEO Officer, covering ail major aspects of the contractor's EEO obligations within thirty days following their reporting for duty with the contractor. c. AIl personnel who are engaged in direct recruitment for the project will be instructed by the EEO Officer in the contractor's procedures for locating and ffidng minority group employees. ' d. Notices and posters setting forth the contractor's EEO pcticy will be placed in areas readily accessible to employess, applicants for employment and potential employees. e. The contractor's EEO policy and the procedures to implement such policy will be brought to the attention of employ- ees by means of meetings, employee handbooks, or other appropriate means. 4. Recruitment: When advertising for employees, the contrac- tor will include in all advertisements for employees the notation: "An Equal Opportunity Employer.' All such advertisements will be placed in publications having a large cimulation among minodty groups in the area from which the project work force would normally be derived. a. The contractor will, unless precluded by a valid bargain- ing agreement, conduct systematic and direct recruitment threugh public and pdvate employee referral sources likely to yield qualified minority group applicants. To meet this mquiremest, the contractor will identify sources of potential minedty group employees, and establish with such identified sources procedures whereby mlnodty group applicants may be referred to the contractor for employment consideration. b. In the event the contractor has a valid bargaining agree- ment providing for exclusive hi ring hall referrals, he is expected to observe the previsions of that agreement to the extent that the system permits the contractor's compliance with EEO contract provisions. (The DOL has held that where implementation of such agreements have the effect of discriminating against minorities or women, or obligates the contractor to do the same, such implementation violates Executive Order 11246, as amended.) c. The contractor will encourage his present employees to refer minedty group applicants for employment. Information and procedures with regard to referring minority group applicants will be discussed with employees. 5. Personnel Actions: Wages, working conditions, and employee benefits shall be established and administered, and personnel actions of every type, including hidng, upgrading, promotion, transfer, demotion, layoff, and termination, shall be taken without regard to race, color, religion, sex, national origin, age or disability. 'r;qe following procedures shall be followed: a. The contractor will conduct periodic inspections of project sites to insure that working conditions and employee facilities do not indicate disodminatory treatment of project site pemonnel. b. The contractor will periodically evaluate the spread of wages paid within each classification to determine any evidence of discriminatory wage practices. c. The contractor will periodicaihj review selected personnel actions in depth to determine whether there is evidence of discflmination. Where evidence is fobnd, the contractor will promptly take corrective action. If the review indicates that the discrimination may extend beyond the ~ctions reviewed, such corrective action shall include all affected persons. d. The contractor will promptly investigate all complaints of alleged discrimination made to the contractor in connection with his obligations under this contract, will attempt to resolve such complaints, and will take apprepdata corrective action within a. reasonable time. If the investigation indicates that the discrimination may affect persons other than the complainant, such correcfive action shall include such other persons. Upon completion of each investigation, the contractor witi inform every complainant of all of his avenues of appeal. 6. Training and Promotion: a. The contractor witi assist in locating, qualifying, and increasing the skills of minority group and women employees, and applicants for employment. b. Consistent with the contractor's work force requirements and as permissible under Federal and State regulations, the contractor shall make full use of training programs, i.e., apprenticeship, and on-the-job training programs for the geographical area of contract pedormance. Where feasible, 25 percent of apprentices or trainees in each occupation shall be in their first year of apprenticeship or training. In the event a special provision for training is provided under this contract, this subpara~ graph will be superseded as indicated inthe special provision. c. The contractor will advise employees and applicants for employment of available training programs and entrance requirements for each. d. The contractor will periodically review the training and promotion potential of minodty group and worsen employees and will encourage eligible employees to apply for such training and promotion. 7. Unions: If the contractor r~lies in whole or in part upon unions as a source of employees, the contractor will use his/her best efforts to obtain the cooperation of such unions to increase opportunities for rctnodty groups and women within the unlonsl and to effect referrals by such unions of minority and female employees. Actions by the contractor either directly or through a contractor's association acting as agent will include the preceduras set forth below: a. The contractor will use best efforts to develop, in cooperation with the unions, joint training programs aimed toward qualifying more minority group members and women for membership in the unions and increasing the skills of minority group employees and women so that they may qualify for higher paying employment. b. The contractor will use best efforts to incorporate an EEO clause into each union agreement to the end that such union will be contractually bound to refer applicants without regard to their race, color, religion, sex, national origin, age or disability. c. The contractor is to obtain information as to the referral practices and policies of the labor union ~xcept that to the extent such information is within the exclusive possession of the labor union and such labor union refuses to furnish such information to the contractor, the contractor shall so certify to the SHA and shall set forth what efforts have been made to Obtain such information. d. in the event the union is unable to provide the contractor Page 2 of 9 REQUIRED BY 23 CFR 633.102 -- with a reasonable flow of minority and women referrals within the time limit set forfh in the collective bargaining agreement, the contractor will, through independent recruitment efforts, fill the employment vacancies without regard to race, color, religion, sex, national origin, age or disability; making full efforts to obtain qualified and/or qualifiable minority group persons and women. (The DOL has held that it shall be no excuse that the union with which the contractor has a collective bargaining agreement providing for exclusive referral failed to refer minority employees.) In the event the union referral practice prevents the contractor from meeting the obligations pursuant to Executive Order 11246, as amended, and these special provisions, such contractor shall immodiately notify the SHA. 8. Selection of Subcontractors, Procurement of Materials and Leastng of Equipment: The contractor shall not discriminate on the grounds of race, color, religion, sex, national origin, age or disability in the selection and retention of subcontractors, including procurement of materials and leases of equipment. a. The contractor shall notify all potential subcontractors and suppliers of his/her EEO obligafions under this contract. b. Disadvantaged business enterprises (DBE), as defined in 49 CFR 23, shall have equal opportunity to compete for and perform subcontracts which the contractor enters into pursuant to this contract. The contractor will use his best efforts to solicit bids from and to utilize DBE subcontractom or subcontractors with meaningful minority group and female representation among their employees. Contractors shall obtain lists of DBE construction firms from SHA personnel. c. The contractor will use his best efforts to ensure subcon- tractor compliance with their EEO obligations. 9. Records and Reports: The contractor shall keep such records as necessary to document compliance with the EEO requirements. Such records shall be retained fora period of three years following completion of the contract work and shall be available at reasonable times and places for inspection by autho- rizod representatives of the SHA and the FHWA. a. The records kept by the contractor shall document the fotiowing: (1) The number of minority and non-minority group members and women employed in each work classification on the project; (2) The progress and efforts be ng made in cooperation with unions, when applicable, to ncraass emp oyment opportuni- ties for m norities and women; (3) The progress and efforts being made in locating, hiring, training, qualitying, and upgrading minority and female employees; and (4) The progress and efforts being made in securing the services of DBE subcontractors or subcontractors with meaningful minority and female representation among their employees. b. The contractors wilJ submit an annual report to the SHA each July for the duration of the project, indicating the number of minority, women, and non*minority group employees currently engaged in each work clansiflcafion required by the contract work. This information is to be reported on Form FHWA-1391. if on-the job training is being required by special provision, the contractor wtil be required to collect and report training data. IlL NONSEGREGATED FACILITIES (Applicable to all Federal-aid construction contracts and to all related subcontracts of $10,000 or mor~.) a. By submission of this bid, the iexecution of this contract or subceetract, or the consummation of this matetial supply agree- ment or purchase order, as appropriate, the bidder, Federal-aid construcfion contractor, subcontractor, material supplier, or vendor, as appropriate, certifies that the firm does not maintain or provide for its employees any segregated facilities at any of its establishments, and that the firm does not permit its employees to perform their services at any location, under its control, where segregated facilities are maintained. The tirm agrees that a breach of this certification is a violafion of the EEO provisions of this contract. The firm further certifies that no employee will be denied access to adequate facilities on the basis of sex or disability. b. As used in this certification, the term "segregated facilities" means any wa'ting rooms, work areas, restrooms and washrooms, restaurants and other eating areas, fimeclocks, locker rooms, and other storage or dressing areas, parking lots, drinking fountains, recreation or entertainment areas, transportation, and housing facilities provided for employees which are segregated by explicit directive, or are, in fact, segraga~ed on the basis of race, color, religion, national origin, age or disability, because of habit, local custom, or otherwise. The only exception will be for the disabled when the demands for accessibility override (e.g. disabled parking). c. The contractor agrees that it has obtained or will obtain identical certification from proposed subcontractors or material suppliers prior to award of subcontracts or consummation of material supply agreements of $10,000 or more and that it will retain such certifications in its files. IV. PAYMENT OF PREDETERMINED MINIMUM WAGE (Applicable to all Federal-aid construction contracts exceeding $2,000 and to ail related subcontracts, except for projects located on roadways classified as local roads or rural minor collectors, which ara exempt.) 1. General: a. All mechanics and laborers employed or working upon the site of the work w~ll be paid unconditionally and not less often than once a week and without subsequen{ deduction or rebate on any account [except such payroll deductions as are permitted by regulations (29 CFR 3) issued by the Secretary of Labor under the Copaiand Act (40 U.S.C. 276c)] the full amounts of wages and bona tide fringe benefits (or cash equivalents thereof) due at time of payment. The payment shall be computed at wage rates not less than those contained in the wage determination of the Secretary of Labor (hereinafter"the wage determination") which is attached hereto and made a part hereof, regardless of any contractual relationship which may be alleged to e~st between the contractor or its subcontractors and such laborers and mechanics. The wage determination (including any additional classifications and wage rates conformed under paragraph 2 of this Section IV and the DOL poster (WH-1321) or Form FHWA-1495) shall be posted at all times by the contractor and its subcontractors at the site of the work in a prominent and accessible place where it can be easily seen by the workers. For the purpose of this Section, contributions made or costs raaseeably anticipated for bona tide fringe benefits under Section 1(b)(2) of the Davis-Bacon Act (40 U.S.C. 276a) on behalf of laborers or mechanics are considered wages paid to such laborers or mechanics, subject to the provi- sions of Section IV, paragraph 3b, hereof. Also, for the purpose of this Section, regular contributions made or costs incurred for more than a weekly period (but not less often than quarterly) under plans, funds, or programs, which cover ~he particular weekly period, are deemed to be constructively made or incurred during such weekly period. Such laborers and mechanics shall be paid the appropriate wage rate and fringe benefits on the wage REQUIRED BY 23 CFR 633.102 -- Page 3 of 9 determination for the classification of work actually performed, without regard to skill, except as provided in paragraphs 4 and 5 of this Section IV. b. Laborem or mechanics performing work in more than one classification may be compensated at the rate specified for each classification for the time actually worked therein, provided, that the employer's payroll records accurately set forth the time spent in each classification in which work is performed. c. All rulings and interpretations of the Davis-Bacon ACt and related acts contained in 29 CFR 1,3, and 5 are heroin incorpo- rated by reference in this contract. 2. Classification: a. The SHA contracting officer shall require that any class of laborers or mechanics employed under the contract, which is not listed in the wage determination, shall be classified in conformance with the wage determination. b. The contracting officer shall approve an additional classification, wage rate and fdnge benefits only when the following criteria have been met: (1) the work to be performed by the additional classification requested is not performed by a classification in the wage determination; (2) the additional classification is utilized in the area by the construction industry; (3) the proposed wage rate, including any bona fide fdnge benefits, bears a reasonable relationship to the wage rates contained in the wage determination; and (4) with rospect to helpers, when such a classification preva[ts in the area in which the work is performed. c. If the contractor or subcontractors, as appropriate, the laborers and mechanics (if known) to be employed in the add~an- al classification or their representatives, and the contracang officer agree on the classification and wage rate (including the amount designated for fdnge benefits where appmpdata), a report of the action taken shafi be sent by the contracting officer to the DOL, Administrator of the Wage and Hour Division, Employment Stan- dards Administration, Washington, D.C. 20210. The Wage and Hour Administrator, or an authodzed reprosentative, will approve, modify, or disapprove every additional classification action within 30 days of roceipt and so advise the contracting officer or will hotly the contracting officer within the 30-day period that additional time is necessary. d. in the event the contractor or subcontractors, as appro- priate, the laborors or mechanics to be employed in the additional classification or their representatives, and the contracting officer do not agree on the proposed classification and wage rate (including the amount designated for fdnge benefits, whero appropriate), the contracting officer shall refer the questions, including the views of ali interested parties and the recommenda- tion of the contracting officer, to the Wage and Hour Administrator for determination. Said Administrator, or an authorized represen- tative, will issue a determination within 30 days of receipt and so advise the contracting officer or will notify the contracting officer within the 30-day pedod that additional time is necessary e. The wage rate (including fringe benefits where appropri- ate) determined pursuant to paragraph 2c or 2d of this Section IV shall be paid to all workem performing work in the additional classification from the first day on which work is performed in the classification. 3. Payment of Fringe Benefits: a. Whenever the minimum wage rate prescribed in the contract for a class of laborers or mechanics includes a fringe benefit which is not expressed as an hourly rate, the contractor or subcontractors, as appmpriata, shall either pay the benefit as stated in the wage determination or sha[l pay another bona tide fringe benefit or an hourly case equivalent thereof. b. If the contractor or subcontractor, as appropriate, does not make payments to a trustee or other third person, he/she may consider as a part of the wages of any laborer or mechanic the amount of any costs reasonably anticipated in providing bona tide fringe benefits under a plan or progrars, provided, that the Secre- tary of Labor has found, upon the written roquost of the contractor, that the applicable standards of the Davis-BaCOn Act have been met The Secrotary of Labor may require the contractor to set aside in a separate account assets for the meeting of obligations under the plan or program. 4. Apprentices and Trainees (Programs of the U.S. DOL) and Helpers: a. Apprentices: (1) Apprentices wilt be permitted to work at less than the predetermined rate for the work they performed when they ara employed pursuant to and individually registerod in a bona fide apprenticeship program registered with the DOL, Employment and Training Administration, Buroan of Appronticeship and Training, or with a State apprenticeship agency rocognized by the Buroau, or fi a pemon is employed in his/her first 90 days of probationary employment as an apprentice in such an apprenticeship program, who is not individually registered in the program, but who has been certified by the Bureau of Apprenticeship and Training or a State appronticeship agency (whero appropriate) to be eligible for probationary employment as an apprentice. (2) The allowable ratio of approntices to journeyman- level employees on the job site in any craft classification shall not be greater than the ratio permitted to the contractor as to the entire work force under the registered program. Any employee listed on a payroll at an apprentice wage rate, who is not rog[s- tered or otherwise employed as stated above, shall be paid not less than the applicable wage rate listed in the wage determina- tion for the classification of work actually performed. In addition, any apprentice performing work on the job site in excess of the ratio permitted under the registarod program shall be paid not less than the applicable wage rate on the wage determination for the work actually performed. Where a contractor or subcontractor is performing consttuction on a project in a locality other than that in which its program Is rogistared, the ratios and wage rates (ex- pressed in percentages of the journeyman-level hourly rate) specified in the contractor's or subcontractor's registerod program shall be observed. (3) Every apprentice must be paid at not less than the rate specified in the registarod program for the apprentice's level of progress, exprossed as a pementage of the journeyman-level hourly rate specified in the applicabis wage determination. Apprentices shall be paid fringe benefits in accordance with the provisions of the apprenticeship program. If the apprenticeship program does not specify fringe benefits, apprentices must be paid the full amount of fringe benefits listed on the wage determi- nation for the applicable classification. If the Administrator for the Wage and Hour Division determines that a different practice prevails for the applicable apprentice classification, fdnges shall be paid in accordance with that determination. (4) In the event the Bureau of Appronticeship and Training, or a State appronticeship agency rocognized by the Buroau, withdraws approval of an apprenticeship progrorn, the contractor or subcontractor will no longer be permitted to utilize apprentices at less than the applicable predetermined rate for the Page 4 of 9 REQUIRED BY 23 CFR 633.102 -- comparable work performed by regular employees until an accept- able program is approved; b, Trainees: (1) Except as provided in 29 CFR 5.16, trainees will not be permitted to work at less than the predetermined rate for the work performed unless they are employed pursuant to and individually registered in a program which has received prior approval, evidenced by formal certification by the DOL, Employment and Training Administration. (2) The ratio of trainees to joumeyman-level employees on the job site shall not be greater than permitted under the plan approved by the Employment and Training Administration. Any employee listed on the payroll at a trainee rate who is not registered and participating in a training plan approved by the Employment and Training Administration shall be pard not less than the applicable wage rate on the wage determination for the classification of work actually performed. In addition, anytrainee performing work on the job site in excess of the ratio permitted under the registered program shall be paid not less than the applicable wage rate on the wage determination for the work actually performed. (3) Every trainee must be paid at not less than the rate specified in the approved program for his/her level of progress, expressed as a percentage of the journeyman-level hourly rate specified in the applicable wage determination. Trainees shall be paid fringe benefits tn accordance with the provisions of the trainee program. If the trainee program does not mention fringe benefits, trainees shall be paid the full amount of fdnge benefits listed on the wage determination unless the Administrator of the Wage and Hour Division determines that there is an apprentice- ship program associated with the corresponding joumeymse-level wage rate on the wage determination which provtdes for less than full fringe benefits for apprentices, in which case such trainees shall receive the came fringe benefits as apprentices. (4) In the event the Employment and Training Administration withdraws approval of a training program, the contractor or subcontractor will no longer be permitted to utilize trainees at less than the applicable predetermined rate for the work performed until an acceptable program is approved. c. Helpers: Helpem will be permitted to work on a project if the helper classification Is specified and defined on the applicable wage determination or is approved pursuant to the conformance procedure set forth in Section IV.2. Any worker 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 appticable wage rate on the wage determination for the classification of work actually per- formed. 5. Apprentices and Trainees (Programs of the U.S. DOT): Apprentices and trainees working under apprenticeship and skill training programs which have been certified by the Secretary of Transportation as promoting EEO in connection with Federal- aid highway construction programs are not subject to the require- ments of paragraph 4 of this Section IV. The straight time hourly wage rates for apprentices and trainees under such programs will be established by the particular programs. The ratio of apprentic- es and trainees to journeymen shall not be greater than permitted by the terms of the particular program. 6. Withholding: The SHA shall upon itt own action or upon written request of an authorized representative of the DOL withhold, or cause to be withheld, from the contractor or subcontractor under this contract or any other Federal contract with the same prime contractor, or any other Federally-assistsd contract subject to Davis-B~con prevailing wage requirements Which fs held by the same pnme contractor, as much of the accrued payments or advances as may be considered necessary to pay laborers and mechanics, including apprentices, trainees; and helpers, em- ployed by the contractor or any subcontract(~r the full amount of wages required by the contract. In the event 'of failure to pay any laborer or mechanic, including any apprentice, trainee, or helper, employed or working on the site of the work, ell or part of the wages required by the contract, the SHA contracting officer may, after written notice to the contractor, take such action as may be necessary to cause the suspension of any further payment. advance, or guarantee of funds until such violations have ceased. 7. Overtime Requirements: No contractor or subcontractor contracting for any part of the contract work which may require or involve the employment of laborers, mechanics, watchmen, or guards (including apprentices, trainees, and helpers described in paragraphs 4 and 5 above) shall require or permit any laborer, mechanic, watchman, or guard in any workweek in which he/she is employed on such work, to work in excess of 40 hours in such workweek Unless such laborer, mechanic, watchman, or guard receives compensation at a rate not less than one-and:one-half times his/her basic rate of pay for all hours worked in excess of 40 hours in such workweek. 8. Violation: · Liability for Unpaid Wages; Liquidated Damages: In the event of any violation of the clause set forth in paragraph 7 above, the contractor and any subcontractor responsible thereof shall be liable to the affected employee for his/her unpaid wages. In addition, such contractor and subcontractor shall be liable to the United States (in the case of work done under contract for the District of Columbia or a territory, to such District or to such territory) for liquidated damages. Such liquidated damages shall be computed with respect to each Individual laborer, mechanic, watchman, or guard employed in violation of the clause sst forth In paragraph 7, in the sum of $10 for each calendar day on which such employee was required or permitted to work In excess of the standard work week of 40 hours without payment of the overtime wages required bythe clause set forth in paragraph 7. 9. Withholding for Unpaid Wages and Liquidated Damages: The SHA shall upon its own action or upon written request of any authorized representative of the DOL withhold, or cause to be withheld, from any monies payable on account of work performed by the contractor or subcontractor under any Such contract or any other Federal contract with the same prime contractor, or any other Federally-assisted contract subiect to the Contract Work Hours and Safety Standards Act, which is held by the same prime contractor, such sums as may be determined to be necessaryto satisfy any liabilities of such contractor or subcontractor for unpaid wages and liquidated damages as provided in the clause set forth in paragraph 8 above. V. STATEMENTS AND PAYROLLS (Applicable to all Federal-aid construction contracts exceeding $2,000 and to all related subcontracts, except!for projects located on roadways classified as local roads or rural COllectors, which are exempt.) 1. Compliance with Copeland RegulatiOns (29 CFR 3): The contractor shall comply with the Cope~and Regulations of the Secretary of Labor which are herein incorporated by reference. 2. Payrolls and Payroll Records= Page 5 of 9 REQUIRED BY 23 CFR 633.102 -- a. Payrolls and basic records relating thereto shall be maintained by the contractor and each subcontractor during the course of the work and preserved for a period of 3 years from the date of completion of the contract for all laborers, mechanics, apprentices, trainees, watchmen, helpers, and guards working at the site of the work. b. The payroll records shall contain the name, social secudty number, and address of each such employee; his or her correct classification; hourly rates of wages paid (including rates of contributions or costs anticipated for bona fide fringe benefits or cash equivalent thereof the types described in Section l(b)(2)(B) of the Davis Bacon Act); daily and weekly number of hours worked; deductions made; and actual wages paid. In addition, for Appalachian contracts, the payroll records shall contain a notation indicating whether the employee does, or does not, normally reside in the labor area as defined in Attachment A, paragraph 1. Whenever the Secretary of Labor, pursuant to Section IV, paragraph 3b, has found that the wages of any laborer or mechanic include the amount of any costs reaconably anticipated in providing benefits under a plan or program described in Section l(b)(2)(B) of the Davis Bacon Act, the contractor and each subcontractor shall maintain records which show that the commit- ment to provide such benefits is enfomeable, that the plan or program is financially responsible, that the plan or program has been communicated in writing to the laborem or mechanics affected, and show the cost anticipated or the actual cost incurred in providing benefits. Contractors or subcontractors employing apprentices or trainees under approved programs shall maintain written evidence of ~he registration of apprentices and trainees, and ratios and wage rates preschbed in the applicable programs. c. Each contractor and subcontractor shall furnish, each week in which any contract work is performed, to the SHA resident engineer a payroll of wages paid each of its employees (including apprentices, trainees, and helpers, described in Section tV, para- graphs 4 and 5, and watchmen and guards engaged on work du ring the preceding weekly payroll period). The payroll submitted shall sot out accurately and completely all of the information required to be maintained under paragraph 2b of this Section V. This information may be submitted in any form desired. Optional Form W H-347 is avaltsble for this purpose and may be purchased from the Superintendent of Documents (Federal stock number 029-005-0014-1 ), U.S. Govemment Prinfing Office, Washington, D.C. 20402. The prime contractor is responsible for the submis- sion of copies of payrolls by all subcontractors. d. Each payroll submitted shall be accompanied by a 'Statement of Compliance,' signed by the contractor or subcon- tractor or his/her agent who pays or supervises the payment of the persons employed under the contract and shall certify the follow- ing: (1) that the payroll for the payroll period contains the information required to be maintained under paragraph 2b of this Section V and that such informafion is correct and complete; (2) that such laborer or mechanic (including each helper, apprentice, and trainee) employed on the contract during the payroll period has been paid the full weekly wages earned, without rebate, either directly or indirectly, and that no deductions have been made either diractly or indirectly from the full wages earned, other than permissible deductions as set forth in the Regulations, 29 CFR 3; (3) that each laborer or mechanic has been paid not less that the applicable wage rate and fringe benefits or cash equivalent for the classification of worked performed, as specified in the applicable wage determination incorporated into the contract. e. The weekly submission of a properly executed certifica- fion set forth on the reverse side of Optional Form WH-347 shall satisty the requirement for submission of the "Statement of Compliance" required by paragraph 2d of this Section V. f. The falsification of any of the above certifications may subject the contractor to civil or criminal prosecution under 18 U.S.C. 1001 and 31 U,S.C. 231. g. The contractor or subcontractor shall make the records required under paragraph 2b of this Section V available for inspection, copying, or transcription by authorized representatives of the SHA, the FHWA, or the DOL, and shall permit such repre- sentatives to interview employees during working houm on the job. If the contractor or subcontractor fai~s to submit the required records or to make them available, the SHA, the FHWA, the DOL, or all may, after wdffen notice to the contractor, sponsor, applicant, or owner, take such actions as may be necessary to cause the suspension of any further payment, advance, or guarantee of funds. Furthermore, tailura to submit the required records upon request or to make such records available may be grounds for debarment action pursuant to 29 CFR 5.12. VL RECORD OF MATERIALS, SUPPLIES, AND LABOR 1. On all Federal-aid contracts on the National Highway System, except those which provide solely for the installation of protective devices at railroad grade crossings, those which are constructed on a force account or direct Ipbor basis, highway beautification contracts, and contracts for which the total final construction cost for roadway and bridge is less than $1,000,000 (23 CFR 635) the contractor shall: a. Become familiar with the list of specific materials and supplies contained in Form FHWA-47, "Statement of Matedals and Labor Used by Contractor of Highway Construction Involving Federal Funds,' pdor to the commencement of work under this contract. b. Maintain a record of the total cost of all matedats and supplies purchased for and incorporated in the work, and also of the quantifies of those specific materials and supplies listed on Form FHWA-47, and in the units shown on Form FHWA-47. c. Furnish, upon the completion of the contract, to the SHA resident engtoeer on Form FHWA-47 together with the data required in paragraph I b relative to materials and supplies, a final labor summary of all contract work indicating the total hours worked and the total amount earned, 2. At the prime contractor's option, either a single report covering all contract work or separate reports for the contractor and for each subcontract shall be submittad. VII. SUBLE'FI'ING OR ASSIGNING THE CONTRACT 1. The contractor shall perform with its own organization contract work amounting to not less than 30 percent (or a greater percentage if specified elsowhere in the contract) of the total original contract price, excluding any specially items designated by the State, Specialty items may be performed by subcontract and the amount of any such specialty items performed may be deducted from the total original contract price before computing the amount of work required to be performed by the contractor's own organization (23 CFR 635). a. 'Its own organization' shall be construed to include only workers employed and paid directly by the prime contractor and equipment owned or rented by the prime contractor, with or without operators. Such term does not include employees or equipment of a subcontractor, assignee, or agent of the prime contractor. b. "Specialty Items" shall be construed to be limited to work that requires highly specialized knowledge, abilities, or Page 6 of 9 REQUIRED BY 23 CFR 633.102 -- ~ ~ equipment not ordinarily available in the type ef contracting organizations qualified and expected to bid on the contract as a whole and in general ara to be limited to minor components of the overall contract. 2. The contract amount upon which the requirements set forth in paragraph I of Section Vii is computed includes the cost of material and manufasturad pmducta which ara to be pumhased or produced by the contractor under the contract provisions. 3. The contractor shall furnish (a) a competent superintendent or supervisor who is employed by the firm, has full authority to direct pedormance of the work in accordance with the contract requirements, and is in charge of all construction operations (regardless of who performs the work) and (b) such other of its own organizational rasources (supervision, management, and engineering services) as the SHA contracting officer detarmines is necessary to assure the performance of the contract. 4. No portion of the contract shall be sublet, assigned or otherwise disposed of except with the written consent of the SHA contracting officer, or authorized representative, and such consent when given shall not be construed to relieve the contractor of any responsibility for the fulfillment of the contract. Written consent will be given only after the SHA has assured that each subcontract is evidenced in writing and that it contains all pertinent provisions and requirements of the prime contract VIII. SAFETY: ACCIDENT PREVENTION 1. In the performance of this contract the contractor shall comply with all applicable Federal, State, and local laws governing safety, health, and sanitation (23 CFR 635). The contractor shall provide alt safeguards, safety devices and protective equipment and take any other needed actions as it determines, or as the SHA contracting officer may determine, to be reasonably necessary to protect the life and health of employees on the job and the safety of the public and to protect properly in connection with the pertormance of the work covered by the contract. 2. It is a condition of this contract, and shall be made a condition of each subcontract, which the contractor enters into pursuant to this contract, that the contractor and any subcontractor shall not permit any employee, in performance of the contract, to work in surroundings or under conditions which are unsanitary, hazardous or dangerous to his'her health or safety, as determined under construction safety and health standards (29 CFR 1926) pmmulgatad by the Secretary of Labor, in accordance with Section 107 of the Contract Work Houm and Safety Standards Act (40 U.S.C. 333). 3. Pursuant to 29 CFR 1926.3, it is a condition of this contract that the Secretary of Labor or authorized representative theraof, shall have right of entry to any site of contract performance to inspect or investigate the matter of compliance with the construc- tion safety and health standards and to carry out the duties of the Secretary under Section 107 of the Contract Work Hours and Safety Standards ACt (40 U.S.C. 333). IX. FALSE STATEMENTS CONCERNING HIGHWAY PROJECTS In order to assure high quarity and durable construction in conformity with approved plans and specifications and a high degree of reliability on statements and representations made by engineers, contractors, suppliers, and workers on Federal-aid highway projects, it is essential that all persons concamed with the project perform their functions as carefully, thoroughly, and honestly as possible. Willful falsification, distortion, or misrepre- sentation with respect to any facts ralated to the project is a violation of Federal law. To prevent any misunderstanding regarding the seriousness of these and similar acts, the following notice shall be posted on each Federal-aid highway project (23 CFR 635) in one or more places where it is ra~dily available to all persons concerned with the project: NOTICE TO ALL PERSONNEL ENGAGED ON FEDERAL-AID HIGHWAY PROJECTS 18 U.S.C. 1020 reads as follows: "Whoever, being an ofticer, agent, or employee of the United States, or of any State or Territory, or whoever, whether a person, association, firm, or corporation, knowingly makes any false statement, false representation, or false report as to the character, quality, quantity, or cost of the matsdal used or to be used, or the quantity or quality of the work performed or to be performed, or the cost thereof in connection with the submission of plans, maps, specifications, contracts, or costs of construction on any highway or related project submitted for approval to the Secretsry of Transportsfton; or Whoever knowingly makes any fa/se statement, false representation, false report or false claim with respect to the character, quality, quantity, or cost of any work performed or to be performed, or materials furnished or to be furnished, in connection with the construction of any highway or related project approved by the Secretary of Transportation; or Whoever knowingly makes any false statement or false representafton as to material fact in any statement, certificate, or report submitted pursuant to previsions of the Federal-aid Roads Act approved July 1, 1916, (39 Stat. 355), as amended and supplemented; Shaft be fined not more that $10,000 or imprisoned not more ~han 5years or both." X. IMPLEMENTATION OF CLEAN AIR ACT AND FEDERAL WATER POLLUTION CONTROL ACT (Applicable to ail Federal-aid construction contracts and to all related subcontracts of $100,000 or more.) By submission of this bid or the execution of this contract, or subcontract, as appropriate, the bidder, Federal-aid construction contractor, or subcontractor, as appropriate, will be deemed to have stipulated as follows: 1. That any facility that is or will be utilized in the performance of this contract, unless such contract is exempt under the Clean Air Act, as amended (42 U.S.C. 1857 et sea., as amended by Pub.L 91-604), and under the Federal Water Pollution Control Act, as amended (33 U.S.C. 1251 et sea., es amended by Pub~L. 92-500), Executive Order 11738, and rsgulations in implementation thereof (40 CFR 15) is not listed, on the date of contract award, on the U.S. Environmental Protection Agency (EPA) List of Violating Facilities pursuant to 40 CFR 15.20. 2. That the firm agrees to comply and remain in compliance with all the raquirsments of Section 114 of the Clean Air Act and Section 308 of the Federal Water Pollution Control Act and all regulations and guidelinas listed thereunder. 3. That the firm shall promptly notify the SHA 6f the receipt of any communication from the Director, Office of Federal Activities, EPA, indicating that a facility that is or will 'be utilized for the contract is under consideration to be listed on the EPA List of Violating Facilities. 4. That the firm agrees to include or cause to be included the raquirements of paragraph 1 through 4 of this'Section X in every nonexempt subcontract, and further agrees to take such action as the government may direct as a means of enfoming such requirements. Page 7 of 9 REQUIRED BY 23 CFR 633.102 -- XI. CERTIFICATION REGARDING DEBARMENT, SUSPENSION, INELIGIBILITY AND VOLUNTARY EXCLUSION 1. Instructions for Certification - Primary Covered Transactions: (Applicable to all Federal-aid contracts - 49 CFR 29) a. By signing and submitting this proposal, the prospective primary padiclpant is providing the certification set out below. b. The inabilriy of a person to provide the certification set out below will not necessarily result in denial of participation in this covered transaction. The prospective participant shall submit an explanation of why it can not provide the certification sst out below. The certification or explanation will be considered in connection with the department or agency's determination whether to enter into this transaction. However, failure of the pmspecffve primary participant to furnish a certification or an explanation shall disqualify such a person from participation in this transaction~ c. The certification in this clause is a matedal representation of fact upon which reliance was placed when the department or agency determined to enter into this transaction. If it is later determined that the prospective pdmary participant knowingly rendered an erroneous certification, in addition to other remedies available to the Federal Government, the department or agency may terminate this transaction for cause of default. d. The prospective primary participant shall provide immedi- ate wdtten notice to the department or agency to whom this proposal Is submitted if any time the prospective pdmary partici- pant learns that its certification wes erroneous when submitted or has become erroneous by reason of changed circumstances. e. The terms 'covered transaction," 'debarred," "suspended," 'ineligible,' 'lower tier covered transaction," "participant,' "pemon," 'pdmary covered transaction," 'principal,' "proposal,' and "voluntarily excluded," as used in this clause, have the meanings sat out in the Definitions and Coverage sections of rules implementing Execufive Order 12549. You may contact the department or agency to which this proposal Is submitted for assistance in obtaining a copy of those regulations. f. The prospec~ve primary participant agrees by submitting this proposal that, should the proposed covered transaction be entered into, it shall not knowingly enter into any lower tier covered transaction with a person who is debarred, suspended, declared ineligible, or voluntarily excluded from participation in this covered transaction, unless authorized by the department or agency entedng into this transaction. g. The prospective pdmary participant further agrees by submitting this proposal that it will include the clause tiffed "Certification Regarding Debarment, Suspension, Ineligibility and Voluntary Exclusion-Lower Tier Covered Transaction," provided by the department or agency entering Into this covered transaction, without modification, in all lower tier covered transactions and in all so[icltafions for lower tier covered transactions. h. A participant in a covered transaction may rely upon a certification of a prospective participant in a lower tier covered transaction that is not debarred, suspended, ineligible, or volun- tarily excluded from the covered transaction, unless it knows that the certification is erroneous. A participant may decide the method and frequency by which it determines the eligibility of its principals. Each participant may, but is not required to, check the nonprocurement portion of the "Lists of Parties Excluded From Federal Procurement or Nonprecumment Programs" (Nonprecura- merit List) which is compiled by the General Services Administration. Page 8 I. Nothing contained in the foregoing shall be construed to require establishment of a system of records in order to render in good faith the certification required by this clause. The knowledge and information of participant is not required to exceed that which is normally possessed by a prudent person in the ordinary course of business dealings. j. Except for transactions authorized under paragraph f of these instructions, if a participant in a covered transaction knewingly enters into a lower tier covered transaction with a person who is suspended, debarred, ineligible, or voluntarily excluded from participation in this transaction, in addition to other remedies available to the Federal Government, the department or agency may terminate this transaction for cause or default. Certification Regarding Debarment, Suspension, Ineligibility and Voluntary Exclusion-Primary Covered Transactions 1. The prespecfive primary participant certifies to the best of its knowledge and belief, that it and its principals: a. Are not presently debarred, suspended, proposed for debarment, declared ineligible, or voluntarily excluded from covered transactions by any Federal department or agency; b. Have not within a 3-year period preceding this proposal been convicted of or had a civil judgement rendered against them for commission of fraud or a criminal offense in connection with obtaining, attempting to obtain, or performing a public (Federal, State or local} transaction or contract under a public transaction; violation of Federal or State antitrust statutes or commission of embezzlement, theft, forgery, bribery, falsification or destr~c~on of records, making false statements, or receiving stolen prepert~.c, c. Are not presently indicted for or otherwise criminally or civilly charged by a governmental entity (Federal, State or local) with commission of any of the offenses enumerated in paragraph I b of this certification; and d. Have not within a 3-year period preceding this app~icatio~proposal had one or more public transactions (Federal, State or local) terminated for cause or default. 2. Where the prospective primary participant is unable to ceriify to any of the statements in this certification, such prospective participant shall attach an explanation to this proposal. 2. Instructions for Certification g Lower Tier Covered Transactions: (Appticable to all subcontracts, pumhasa orders and other lower tier transactions of $25,000 or moro - 49 CFR 29) a. By signing and submitting this proposal, the prespective lower tier Is providing the certification set out below. b. The cerfification in this clause is a material representation of fact upon which reliance was placed when this transaction was entered into. If it is later determined that the prospective lower tier participant knowingly rendered an erroneous certification, in addition to other remedies available to the Federal Government, the departm6nt, or agency with which this transaction originated may pursue available remedies, including suspension and/or debarment. of 9 REQUIRED BY 23 CFR 633.102 -- c. The prospective lower tier participant shall provide immediate written notice to the person to which this proposal is submitted If at any time the prospective lower tier participant learns that its certification was erroneous by reason of changed circumstances. d. The terms "covered transaction," "debarred," "suspended," "ineligible," "primary covered transaction," "participant," "pemon," 'principal,' "pmpssal,' and "voluntarily excluded," as used in this clause, have the meanings set out in the Definitions and Coverage sections of tales implementing Executive Order 12549. You may contact the person to which this proposal is submitted for assistance in obtaining a copy of those regulations. e. The prospective lower tier participant agrees by submitting this proposal that, should the proposed covered transaction be entered into, it shall not knowingly enter into any lower tier covered transaction with a person who is debarred, suspended, declared ineligible, or voluntarily excluded from participation in this covered transaction, unless authorized by the department or agency with which this transaction originated. f. The prospective lower tier participant further agrees by submitting this proposal that it will Include this clause fitted "Certification Regarding Debarment, Suspension, Ineligibility and Voluntary Exclusion-Lower Tier Covered Transaction,' without modificatico, in all lower tier covered transactions and in all solicitations for lower tier covered transactions. g. A participant in a covered transaction may rely upon a certification of a prospective participant in a lower tier covered transaction that is not debarred, suspended, ineligible, or volun- tarily excluded from the covered transaction, unless it knows that the certification is erroneous. A participant may decide the method and frequency by which it determines the eligibility of its principals. Each participant may, but is not required to, check the Nonprocurement List. h. Nothing contained in the foregoing shall be construed to require establishment of a system of records in order to render in good faith the certification required by this clause. The knowledge and information of participant is not required to exceed that which is normally possessed by a prudent person in the ordinary course of business dealings. I. Except for transactions authorized under paragraph e 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 voluntarii'j excluded from participation in this transaction, in addition to other remedies available to the Federal Government, the department or agency with which this transaction originated may pumue available remedies, including suspension and/or debarment. Certification Regarding Debarreent, Suspension, Ineligibility and Voluntary Exclusion-Lower Tier Covered 1. The prospective lower tier participant certifies, by submission of this proposal, that neither it nor its principals is presently debarred, suspended, proposed for debarment, declared ineligible, or voluntarily excluded from participation in this transaction by any Federal department or agency. 2. Where the prospective lower tier participant is unable to certify to any of the statements in this certification, such prospec- tive participant shall attach an explanation to this proposal Xll. CERTIFICATION REGARDING USE OF CONTRACT FUNDS OR LOBBYING (Applicable to all Federal-aid construction contracts and to all related subcontracts which exceed $100,000 - 49 CFR 20) 1. The prospective participant certifies, by signing and submit- ting this bid or proposal, to the best of his ,or her knowledge and belief, that: a. No Federal appropriated funds have been paid or will be paid, by or on behalf of the undersigned, to any pemon for influencing or attempting to influence an officer or employee of any Federal agency, a Member of Congress, an officer or employ- ee of Congress, or an employee of a Member of Congress in connection with the awarding of any Federal contract, the making of any Federal grant, the making of any Federal loan, the entering into of any cooperative agreement, and the extension, continua- tion, renewal, amendment, or modification of any Federal contract, grant, loan, or cooperative agreement. b. If any funds other than Federal appropriated funds have been paid or wilt be paid to any person for influencing or attempt- ing to influence an officer or employee of=any Federal agency, a Member of Congress, an officer or employee of Congress, or an employee of a Member of Congress in connection with this Federal contrast, grant, loan, or cooperative agreement, the undersigned shall complete and submit Standard FOrm-LLL, 'Disclosure Form to Report Lobbying," in accordance with its instructions. 2, This certification is a reaterial 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 enteflng into this transaction imposed by 31 U.S.C. 1352. Any person who fails to file the required certification shall be subject to a civil penalfy of not less than $10,000 and not more than $100,000 for each such failure. 3. The prospective participant also agrees by submitting hts 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 recipients shall certify and disclose acoordingly. Page 9 of 9 REQUIRED BY 23 CFR 633.102 -- ~f~'/ ADDENDUM A: FEDERAL REQUIREMENTS Federal laws and regulations that may be applicable to the Work include: 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. Executive Order 11246 of September 24, 1965 entitled "Equal Employment Opportunity," as amended by Executive Order 11375 of October 13, 1967 and as supplemented in Department of Labor regulations (41 CFR Chapter 60) (All construction contracts awarded in excess of $10,000 by grantees and their contractors or subgrantees). C. The Copeland "Anti-Kickback" Act (18 U.S.C. 874) as supplemented in Department of Labor regulations (29 CFR Pm 3) (All contracts and subgrants for construction or repair). Do 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 ail 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 reguiations (29 CFR Part 5). (Construction contracts awarded by grantees and subgrantees in excess of $2,000, and in excess of $2,500 for other contracts which involve the employment of mechanics or laborers). F. Standards, orders, or requirements issued under section 306 of the Clear Air Act (42 U.S.C. 1857(h), section 508 of the Clean Water Act (33 U.S.C. 1368). Executive :Order 11738, and Addendum A - Page 1 of 2 Environmental Protection Agency regulations (40 CFR Part 15) (contracts, subcontracts, and subgrants of amounts in excess of $100,000). 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). Office of Management and Budget Circulars A-87, A-21 or A- 122, and A- 102 or A- i 10, whichever is applicable. 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. 42 USC 6101 et seq. 42 USC 2000d, 29 USC 794, and implementing regulation, 45 C.F.R. Part 80 et. seq.. These acts require that no person shall, on the grounds of race, color, national origin, age, or handicap, be excluded from participation in or be subjected to discrimination in any program or activity funded, in whole or part, by federal funds; 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. 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 contracior is acquiring real property and displacing households or businesses in the performance of this contract.) The Drag~Free Workplace Act (Public Law 100-690 Title V, subtitle D, 41 USC 701 et seq.). The Age Discrimination Act of 1975, 42 U.S.C. Sections 6101 et. seq. and its :implementing regulation, 45 C.F.R. Part 91; Section 504 of the Rehabilitation Act of 1973, 29 U.S.C2 794, as amended, and implementing regulation 45 C.F.R. Part 84. 23 C.F.R. Part 172, concerning "Administration of Engineering and Design Related Contracts . 23 C.F.R Part 633, concerning "Required Contract Provisions for Federal-Aid' Construction Contracts". 23 C.F.R. Part 635, concerning "Construction and Maintenance Provisions". 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. Addendum A- Page 2 of 2 q~ gin 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: Compliance with Regulations. The Contractor will comply with the Regulations of the Department of Transportation relative to nondiscrimination in Federally assisted pro.ams 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. Bo 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. 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. 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. Eo 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. Nondiscrimination Provisions - Page 1 of 2 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 Contractorgwill take such action with respect to any subcontract or procurement as the State or the FHWA may direct as a .means of enfoming such provisions including sanctions for noncompliance; provided, however, that, ~n 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. Nondiscrimination Provisions - Page 2 of 2 ATTACHMENTLO Certification for Federal-Aid Contracts The contractor certifies, by signing this contract, to the best of its knowledge and belief, that: 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. ,. 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 falls 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 Attachment LO - Page 1 of 1 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 Appendix B - Page 1 of 1 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. The state may allocate more or less funds available on this contract using a Funding Letter substantially equivalent to Exhibit E and bearing the approval of the State Controller or his designee. The funding letter shall not be deemed valid until it shall have been approved by the State Controller or his designee. Addendum B - Page 1 of 2 ~ ~Ex?fibif~E" COLORADO DEPARTMENT OF TRANSPORTATION CONTRACT FUNDING INCREASE/DECREASE AND APPROVAL LEl-rER Region: Complete section 1 and submit to CDOT Controller's office~ AUTHORITY: State Controller Policy letter on June 12, 1996 CDOT Controller letter on May 23, 1996 (1)This form to be used for the following contracts/situations only (check the appropriate situation): __indefinite quantity, order more/add more __utility/railroad, underestimated total cost __CDOT construction, sum of CMO's __LA construction, underestimated cost ~CDOT construction, underestimated total cost ~CDOT consultant~ underestimated cost SECTION 1 (Region use) Date: (2) To: CDOT Controller (FAX #(303) 757-9573 or e-mail CONTROLLER) Project code (3) Project # (4) From: Office: (5) Phone # (5) FAX # (5) Region # (5) CDOT has executed a contract with: (6) Address: (6) FEIN # (6) COFRS encumbrance # (indicate PO, SC or PG #) (8) I Fund Orgn. I Appro. (9) (9) [ (9) Original contract amount s Prgrm. (9) Contract routing # (7) Func. Object/Sub-obi N/P (9) (9) GBL Reporting Catg. Proj/Sub/Phase (9) (9) (9) Has a Budget Request been processed to cover the contract amount increase? ~es__no (14) Previous Funding Letter(s) total Preparer's name (15) $ (~) (Funding letter #1 thru #~ PHONE NO: This Funding Letter total Contract Administrator's/Business Manager's Approval $ (]2) (]6) (# ) PHONE NO: Adjusted contract amount CDOT Designee Approval $ (13) (17) Local Agency approval (] 8) SECTION 2 (Controller's Office use) (19) Total allotment amount I Commission budget $ (]9) [ $ (!9) If construction: CE charges Indirect chgs Adjusted contract amount plus total CE & indirect __CE pool elig. (1 9) $ (1 9) $ (1 9) charges calculation $ (19) 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 (1 9) State Controller or Delegee (20) Date (20) Addendum B - Page 2 of 2 ( ~ I~XAMPLE A (Lump Sum Contracts) Company Name: Address: Employer (FEIN) ID Number: Invoice Number and Date: Progress Report Dated: Exhibit D, Page 1 of 5 Project No. Project Location SubaccountNo. % Completed: (1) Current Billing Period: From: To: BASIC AND / OR SUt'I"LEMENTAL 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: o ture Title *%Completed x ContractTotal=TotalCurrent Payment Request (1) x (2) = (*) Exhibit D - Page 1 of 5 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: Subaccoant 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 PEKIOD: $ $ 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: ~lgnature l~tte Dam · Eligible classifications only: in accordance with contract Exhibit D - Page 2 of 5 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 SUFFLEMENTAL 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* S/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 Exhibit D- Page 3 of 5 ~ EXAMPLE D (Local Agency Billing) SECTION I. CONTRACT DATA Local Agency: Address: Employer (FEIN) ID Number: Invoice Number and Date: % Completed: Date BASIC AND/OR SUPPLEMENTAL CONTRACT TOTAL: Exhibit DPage 4 of 5 Project No. Project Location Subaccount No. $, Federal Share $. Local Agency Share $. State ShareS Prior Period Billing Amount: Current Billing Period: From: To: SECTION II. INCURRED COSTS DIRECT LABOR: (List individually) Employee Classification Regular Direct Hourly Overtime Cost Hours Rate $ Hours* $ SUBTOTAL - DIRECT LABOR 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: This Period $ $ Total to Date $. 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 conU'act terms. Signature Title *Eligible classifications only Date Exhibit D - Page 4 of 5