HomeMy WebLinkAboutbocc.res.103.2006
A RESOLUTION OF THE BOARD OF COUNTY COMMISSIONERS OF PITKIN COUNTY,
COLORADO AUTHORIZING THE BOARD TO ENTER INTO A
CMAQ CONTRACT GRANT AGREEMENT WITH THE
COLORADO DEPARTMENT OF TRANPORTATION FOR THE PURPOSE OF
ACQUIRING THREE COMMUTER VANS
Resolution No.)t73 ~..;;7t1t7C
Recitals
1. The Board of County Commissioners of Pitkin County is entering into a CMAQ Grant
Agreement with the Colorado Department of Transportation in the amount of
$194,174.00 total funds, with a County portion of$33,417.00
2. The purpose of the Agreement is to set forth the respective responsibilities and
obligations of the parties relating to the purchase of three commuter vans with three years
operating expenses.
3. The Board of County Commissioners has determined that it is in the best interest of the
citizens of Pitkin County to enter into this Agreement.
NOW THEREFORE, BE IT RESOLVED, by the Board of County Commissioners that it does
hereby approve the Agreement between Pitkin County and the Colorado Department of
Transportation and authorizes the Chair to sign the agreement, as approved by the County
Attorney.
INTRODUCED, FIRST READING AND SET FOR PUBLIC HEARING ON THE 23rd DAY
OF AUGUST, 2006.
NOTICE OF PUBLIC HEARING PUBLISHED IN THE WEEKEND EDITION OF THE
ASPEN TIMES ON THE 27th DAY OF AUGUST, 2006.
APPROVED UPON SECOND READING ON THE 13th DAY OF SEPTEMBER, 2006.
PUBLISHED BY THE TITLE AND SHORT SUMMARY, AFTER ADOPTION, IN THE
ASPEN TIMES WEEKLY ON THE 24th DAY OF SEPTEMBER, 2006.
BOARD OF COUNTY COMMISSIONERS
OF PITKIN COUNTY, COLORADO
ATTEST:
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Michael C. I~d, ChaIr
Date
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Date
APPROVED:
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Date
APPROVED AS TO FORM:
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Date
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(FMLA WRK
PROJECT AQC C570-014, (15557)
REGION 3/(ML)
Rev 09/03
07 HA3 00013
CMS ill 06-155
CONTRACT
THIS CONTRACT made thislEt of 20 O~y and between the State of
Colorado for the use and benefit of the Colorado epartment of Transportation hereinafter referred to
as the State and Pitkin County, 76 Service Center Road, Aspen, Colorado 81611, FEIN: 846000794,
hereinafter referred to as the "Contractor" or the "Local Agency."
REelT ALS
1. Authority exists in the law and funds have been budgeted, appropriated and otherwise made
available and a sufficient uncommitted balance thereof remains available for payment ofproject and
Local Agency costs in Fund Number 400, Appropriation Code 010, Organization Number 9991,
Program 2000, Function 3301, Object 2312 IP, Phase M, Reporting Category 3110, Contract
Encumbrance Number 15557, (Contract Encumbrance Amount: $194,174.00).
2. Required approval, clearance and coordination has been accomplished from and with appropriate
agencIes.
3. Pursuant to Title I, Subtitle A, Section 11 08 of the "Transportation Equity Act for the 21 sl Century"
of 1998 (TEA-21) and/or the "Safe, Accountable, Flexible, Efficient Transportation Equity Act: A
Legacy for Users" (SAFETEA-LU) of 2005 and to applicable provisions of Title 23 of the United
States Code and implementing regulations at Title 23 of the Code of Federal Regulations, as may be
amended, (collectively referred to hereinafter as the "Federal Provisions"), certain federal funds have
been and will in the future be allocated for transportation projects requested by Local Agencies and
eligible under the Surface Transportation Improvement Program that has been proposed by the State
and approved by the Federal Highway Administration ("FHW A"), 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.
5. The Local Agency has requested that a certain local transportation project be funded as part ofthe
Program, and by the date of execution of this contract, the Local Agency and/or the State has completed
and submitted a preliminary version of CDOT form #463 describing the general nature of the Work.
The Local Agency understands that, before the Work begins, form #463 may be revised as a result of
design changes made by CDOT, in coordination with the Local Agency, in its internal review process.
The Local Agency desires to perform the Work described in form #463, as it may be revised.
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6. Federal-aid funds have been made available for project AQC C570-0 14 (15557), which shall consist
of CMAQ Procurement Project to purchase three (3) Commuter Vans including three (3) years of
operating assistance, referred to as the "Project" or the "Work." Such Work will be performed in Pitkin
County, Colorado, specifically described in Exhibit A.
7. The matching ratio for this federal aid project is 82.79% federal-aid funds to 17.21 % Local Agency
funds, it being understood that such ratio applies only to such costs as are eligible for federal
participation, it being further understood that all non-participating costs shall be borne by the Local
Agency at 100%.
8. The Local Agency desires to comply with the Federal Provisions and other applicable requirements,
including the State's general administration and supervision of the Project through this contract, in
order to obtain federal funds.
9. The Local Agency has estimated the total cost of the Work and is prepared to provide its match
share of the cost, as evidenced by an appropriate ordinance/resolution or other authority letter which
expressly authorizes the Local Agency the authority to enter into this contract and to expend its match
share ofthe Work. A copy of such ordinance/resolution or authority letter is attached hereto as Exhibit
B.
10. This contract is executed under the authority of~~ 29-1-203,43-1-110; 43-1-116, 43-2-1 01 (4)(c)
and 43-2-144, C.R.S. and Exhibit B.
11. The Local Agency is adequately staffed and suitably equipped to undertake and satisfactorily
complete some or all of the Work.
12. The Local Agency can more advantageously perform the Work.
THE PARTIES NOW AGREE THAT:
Section 1. Scope of Work
The Project or the Work under this contract shall consist of CMAQ Procurement Project to
purchase three (3) Commuter Vans including three (3) years of operating assistance, in Pitkin County,
Colorado, as more specifically described in Exhibit A.
Section 2. Order of Precedence
In the event of conflicts or inconsistencies between this contract and its exhibits, such conflicts
or inconsistencies shall be resolved by reference to the documents in the following order of priority:
1. Special Provisions contained in section 29 of this contract
2. This contract
3. Exhibit A (Scope of Work)
4. Exhibit C (Funding Provisions)
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5. Exhibit D (Certification for Federal-Aid Contracts)
6. Exhibit E (DBE Requirements)
7. Exhibit F (Contract Modification Tools)
8. Other Exhibits in descending order oftheir attachment.
Section 3. Term
This contract shall be effective upon approval of the State Controller or designee, or on the
date made, whichever is later. The term of this contract shall continue through the completion and
final acceptance of the Project by the State, FHW A and the Local Agency.
Section 4. Project Funding Provisions
The Local Agency has estimated the total cost ofthe Work and is prepared to provide its match
share of the cost, as evidenced by an appropriate ordinance/resolution or other authority letter which
expressly authorizes the Local Agency the authority to enter into this contract and to expend its match
share ofthe Work. A copy of such ordinance/resolution or authority letter is attached hereto as Exhibit
B.
The funding provisions for the Project are attached hereto as Exhibit C. The Local Agency
shall provide its share ofthe funds for the Project as outlined in Exhibit C.
Section 5. Project Payment Provisions
A. The State will reimburse the Local Agency for the federal-aid share of the project charges
after the State's review and approval of such charges, subject to the terms and conditions of this
contract. However, any charges incurred by the Local Agency prior to the date of FHW A
authorization for the Project and prior to the date this contract is executed by the State Controller or
his designee will not be reimbursed absent specific FHW A and State Controller approval thereof.
B. The State will reimburse the Local Agency's reasonable, allocable, allowable costs of
performance of the Work, not exceeding the maximum total amount described in Exhibit C. The
applicable principles described in 49 C.F.R. 18 Subpart C and 49 C.F.R. 18.22 shall govern the
allowability and allocability of costs under this contract. The Local Agency shall comply with all
such principles. To be eligible for reimbursement, costs by the Local Agency shall be:
1. in accordance with the provisions of Exhibit C and with the terms and conditions of
this contract;
2. necessary for the accomplishment of the Work;
3. reasonable in the amount for the goods and services provided;
4. actual net cost to the Local Agency (i.e. the price paid minus any refunds, rebates, or
other items of value received by the Local Agency that have the effect of reducing the
cost actually incurred);
5. incurred for Work performed after the effective date of this contract;
6. satisfactorily documented.
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C. The Local Agency shall establish and maintain a proper accounting system in accordance
with generally accepted accounting standards (a separate set of accounts, or as a separate and integral
part of its current accounting scheme) to assure that project funds are expended and costs accounted
for in a manner consistent with this contract and project objectives.
1. All allowable costs charged to the project, including any approved services
contributed by the Local Agency or others, shall be supported by properly 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 ofthe Local Agency, which
will detail the purpose for which said check or order is drawn. All checks, payrolls,
invoices, contracts, vouchers, orders or other accounting documents shall be clearly
identified, readily accessible, and to the extent feasible, kept separate and apart from
all other such documents.
D. Upon execution of this contract, the State is authorized, in its discretion, to perform any
necessary administrative support services pursuant to this contract. These services may be performed
prior to and in preparation for any conditions or requirements ofthis contract, including prior FHW A
approval of Work. The Local Agency understands and agrees that the State may perform such
services, and that payments for such services shall be at no cost to the State but shall be as provided
for in Exhibit C. At the request of the Local Agency, the State shall also provide other assistance
pursuant to this contract as may be agreed in writing. In the event that federal-aid project funds
remain available for payment, the Local Agency understands and agrees the costs of any such
services and assistance shall be paid to the State from project funds at the applicable rate. However,
in the event that such funding is not made available or is withdrawn for this contract, or ifthe Local
Agency terminates this contract prior to project approval or completion for any reason, then all actual
incurred costs of such services and assistance provided by the State shall be the sole expense of the
Local Agency.
E. Ifthe Local Agency is to be billed for CDOT incurred costs, the billing procedure shall be as
follows:
1. Upon receipt of each bill from the State, the Local Agency will remit to the State the
amount billed no later than 60 days after receipt of each bill. Should the Local
Agency fail to pay moneys due the State within 60 days of demand or within such
other period as may be agreed between the parties hereto, the Local Agency agrees
that, at the request of the State, the State Treasurer may withhold an equal amount
from future apportionment due the Local Agency from the Highway Users Tax Fund
and to pay such funds directly to the State. Interim funds, until the State is
reimbursed, shall be payable from the State Highway Supplementary Fund (400).
2. If the Local Agency fails to make timely payment to the State as required by this
section (within 60 days after the date of each bill), the Local Agency shall pay
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interest to the State at a rate of one percent per month on the amount of the payment
which was not made in a timely manner, until the billing is paid in full. The interest
shall accrue for the period from the required payment date to the date on which
payment is made.
F. The Local Agency will prepare and submit to the State, no more than monthly, charges for
costs incurred relative to the project. The Local Agency's invoices shall include a description ofthe
amounts of services performed, the dates of performance and the amounts and description of
reimbursable expenses. The invoices will be prepared in accordance with the State's standard
policies, procedures and standardized billing format to be supplied by the State.
G. To be eligible for payment, billings must be received within 60 days after the period for
which payment is being requested and final billings on this contract must be received by the State
within 60 days after the end of the contract term.
1. Payments pursuant to this contract shall be made as earned, in whole or in part, from
available funds, encumbered for the purchase ofthe described services. The liability
of the State, at any time, for such payments shall be limited to the amount remaining
of such encumbered funds.
2. In the event this contract is terminated, final payment to the Local Agency may be
withheld at the discretion ofthe State until completion of final audit.
3. Incorrect payments to the Local Agency due to omission, error, fraud or defalcation
shall be recovered from the Local Agency by deduction from subsequent payment
under this contract or other contracts between the State and Local Agency, or by the
State as a debt due to the State.
4. Any costs incurred by the Local Agency that are not allowable under 49 C.F.R. 18
shall be reimbursed by the Local Agency, or offset against current obligations due by
the State to the Local Agency, at the State's election.
Section 6. State and Local Agency Commitments
The Local Agency Contract Administration Checklist in Exhibit G describes the Work to be
performed and assigns responsibility of that Work to either the Local Agency or the State. The
"Responsible Party" referred to in this contract means the Responsible Party as identified in the
Local Agency Contract Administration Checklist in Exhibit G.
A. Design [if applicable]
1. If the Work includes preliminary design or final design (the "Construction Plans"), or
design work sheets, or special provisions and estimates (collectively referred to as the "Plans"), the
responsible party shall comply with the following requirements, as applicable:
a. perform or provide the Plans, to the extent required by the nature of the
Work.
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b. prepare final design (Construction Plans) in accord with the requirements of
the latest edition of the American Association of State Highway
Transportation Officials (AASHTO) manual or other standard, such as the
Uniform Building Code, as approved by CDOT.
c. prepare special provisions and estimates in accord with the State's Roadway
and Bridge Design Manuals and Standard Specifications for Road and Bridge
Construction or Local Agency specifications if approved by CDOT.
d. include details of any required detours in the Plans, in order to prevent any
interference of the construction work and to protect the traveling public.
e. stamp the Plans produced by a Colorado Registered Professional Engineer.
f. provide final assembly of Plans and contract documents.
g. be responsible for the Plans being accurate and complete.
h. make no further changes in the Plans following the award of the construction
contract except by agreement in writing between the parties. The Plans shall
be considered final when approved and accepted by the parties hereto, and
when final they shall be deemed incorporated herein.
2. Ifthe Local Agency is the responsible party:
a. The local agency shall comply with the requirements ofthe Americans
With Disabilities Act (ADA), and applicable federal regulations and
standards as contained in the document "ADA Accessibility Requirements
in CDOT Transportation Projects".
b. It shall afford the State ample opportunity to review the Plans and make
any changes in the Plans that are directed by the State to comply with
FHW A requirements.
c. It may enter into a contract with a consultant to do all or any portion ofthe
Plans and/or of construction administration. Provided, however, that if
federal-aid funds are involved in the cost of such work to be done by a
consultant, that consultant contract (and the performance/provision of the
Plans under the contract) must comply with all applicable requirements of
23 CFR Part 172 and with any procedures implementing those
requirements as provided by the State, including those in Exhibit H
attached hereto. If the Local Agency does enter into a contract with a
consultant for the Work:
(1) it shall submit a certification that procurement of any design
consultant contract complied with the requirements of23 CFR 172.5( d) prior
to entering into contract. The State shall either approve or deny such
procurement. If denied, the Local Agency may not enter into the contract.
(2) it shall ensure that all changes in the consultant contract have prior
approval by the State and FHW A. Such changes in the contract shall be by
written supplement agreement. As soon as the contract with the consultant
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has been awarded by the Local Agency, one copy of the executed contract
shall be submitted to the State. Any amendments to such contract shall also
be submitted.
(3) it shall require that all consultant billings under that contract shall
comply with the State's standardized billing format. Examples ofthe billing
formats are available from the CDOT Agreements Office.
(4) it (or its consultant) shall use the CDOT procedures described in
Exhibit H to administer that design consultant subcontract, to comply with 23
CFR 172.5(b) and (d).
(5) it may expedite any CDOT approval of its procurement process and/or
consultant contract by submitting a letter to CDOT from the certifying Local
Agency's attorney/authorized representative certifying compliance with
Exhibit Hand 23 CFR 172.5(b)and (d).
(6) it shall ensure that its consultant contract complies with the
requirements of 49 CFR l8.36(i) and contains the following language
verbatim:
(a) "The design work under this contract shall be compatible with
the requirements of the contract between the Local Agency and the
State (which is incorporated herein by this reference) for the
design/construction of the project. The State is an intended third
party beneficiary ofthis contract for that purpose."
(b) "Upon advertisement ofthe project work for construction, the
consultant shall make available services as requested by the State to
assist the State in the evaluation of construction and the resolution of
construction problems that may arise during the construction of the
project."
(c) "The consultant shall review the construction contractor's
shop drawings for conformance with the contract documents and
compliance with the provisions ofthe State's publication, Standard
Specifications for Road and Bridge Construction, in connection with
this work."
d. The State, in its discretion, will review construction plans, special provisions
and estimates and will cause the Local Agency to make changes therein that
the State determines are necessary to assure compliance with State and
FHW A requirements.
B. Construction [if applicable]
1. If the Work includes construction, the responsible party shall perform the
construction in accordance with the approved design plans and/or administer the
construction all in accord with the Local Agency Contract Administration Checklist.
Such administration shall include project inspection and testing; approving sources of
materials; performing required plant and shop inspections; documentation of contract
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payments, testing and inspection activities; preparing and approving pay estimates;
preparing, approving and securing the funding for contract modification orders and
minor contract revisions; processing contractor claims; construction supervision; and
meeting the Quality Control requirements of the FHW AlCDOT Stewardship
Agreement, as described in the Local Agency Contract Administration Checklist.
2. The State shall have the authority to suspend the Work, wholly or in part, by giving
written notice thereof to the Local Agency, due to the failure of the Local Agency or
its contractor to correct project conditions which are unsafe for workers or for such
periods as the State may deem necessary due to unsuitable weather, or for conditions
considered unsuitable for the prosecution of the Work, or for any other condition or
reason deemed by the State to be in the public interest.
3. Ifthe Local Agency is the responsible party:
a. it shall appoint a qualified professional engineer, licensed in the State of
Colorado, as the Local Agency Project Engineer (LAPE), to perform that
administration. The LAPE shall administer the project in accordance with
this contract, the requirements of the construction contract and applicable
State procedures.
b. if bids are to be let for the construction of the project, it shall advertise the
call for bids upon approval by the State and award the construction
contract(s) to the low responsible bidder(s) upon approval by the State.
(1) in advertising and awarding the bid for the construction of a federal-
aid project, the Local Agency shall comply with applicable
requirements of 23 USC S 112 and 23 CFR Parts 633 and 635 and
C.R.S. S 24-92-101 et seq. Those requirements include, without
limitation, that the Local Agency/contractor shall incorporate Form
1273 (Exhibit I) in its entirety verbatim into any subcontract(s) for
those services as terms and conditions therefore, as required by 23
CFR 633.102(e).
(2) the Local Agency has the option to accept or reject the proposal ofthe
apparent low bidder for work on which competitive bids have been
received. The Local Agency must declare the acceptance orrejection
within 3 working days after said bids are publicly opened.
(3) by indicating its concurrence in such award, 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 proj ect if no
additional federal-aid funds will be made available for the project.
This paragraph also applies to projects advertised and awarded by the
State.
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c. If all or part of the construction work is to be accomplished by Local Agency
personnel (i.e. by force account), rather than by a competitive bidding
process, the Local Agency will ensure that all such force account work is
accomplished in accordance with the pertinent State specifications and
requirements with 23 CFR 635, Subpart B, Force Account Construction.
(1) Such work will normally be based upon estimated quantities and firm
unit prices agreed to between the Local Agency, the State and FHW A
in advanceofthe Work, as provided for in 23 CFR 635.204(c). Such
agreed unit prices shall constitute a commitment as to the value ofthe
Work to be performed.
(2) An alternative to the above is that the Local Agency may agree to
participate in the Work based on actual costs of labor, equipment
rental, materials supplies and supervision necessary to complete the
Work. Where actual costs are used, eligibility of cost items shall be
evaluated for compliance with 48 CFR Part 31.
(3) Rental rates for publicly owned equipment will be determined in
accordance with the State's Standard Specifications for Road and
Bridge Construction ~ 109.04.
(4) All force account work shall have prior approval of the State and/or
FHW A and shall not be initiated until the State has issued a written
notice to proceed.
D. State's obligations
1. The State will perform a final project inspection prior to project acceptance as a
Quality Control/Assurance activity. When all Work has been satisfactorily
completed, the State will sign the FHW A Form 1212.
2. Notwithstanding any consents or approvals given by the State for the Plans, the State
will not be liable or responsible in any manner for the structural design, details or
construction of any major structures that are designed by or are the responsibility of
the Local Agency as identified in the Local Agency Contract Administration
Checklist, Exhibit G, within the Work ofthis contract.
Section 7. ROW Acquisition and Relocation
Prior to this project being advertised for bids, the Responsible Party will certify in writing to
the State that all right of way has been acquired in accordance with the applicable State and federal
regulations, or that no additional right of way is required.
Any acquisition/relocation activities must comply with all federal and state statutes,
regulations, CDOT policies and procedures, 49 CFR Part 24, the government wide Uniform Act
regulation, the FHW A Project Development Guide and CDOT's Right of Way Operations Manual.
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Allocation of Responsibilities can be as follows:
. Federal participation in right of way acquisition (3111 charges), relocation (31 09
charges) activities, if any, and right of way incidentals (expenses incidental to
acquisition/relocation of right of way - 3114 charges);
. Federal participation in right of way acquisition (3111 charges), relocation (3109
charges) but no participation in incidental expenses (3114 charges); or
. No federal participation in right of way acquisition (311 charges) and relocation
activities (31 09 expenses).
Regardless of the option selected above, the State retains oversight responsibilities. The
Local Agency's and the State's responsibilities for each option is specifically set forth in CDOT's
Right of Way Operation Manual. The manual is located at
http://www.dot.state.co.us/DevelopProi ects/DesignSupport.
Section 8. Utilities
If necessary, the Responsible Party will be responsible for obtaining the proper clearance or
approval from any utility company which may become involved in this Proj ect. Prior to this Project
being advertised for bids, the Responsible Party will certify in writing to the State that all such
clearances have been obtained.
Section 9. Railroads
In the event the Project involves modification of a railroad company's facilities whereby the
Work is to be accomplished by railroad company forces, the Responsible Party shall make timely
application to the Public Utilities Commission requesting its order providing for the installation of
the proposed improvements and not proceed with that part ofthe Work without compliance. The
Responsible Party shall also establish contact with the railroad company involved for the purpose of
complying with applicable provisions of 23 CFR 646, subpart B, concerning federal-aid projects
involving railroad facilities, including:
1. Executing an agreement setting out what work is to be accomplished and the
10cation(s) thereof, and that the costs of the improvement shall be eligible for federal
participation.
2. Obtaining the railroad's detailed estimate of the cost of the Work.
3. Establishing future maintenance responsibilities for the proposed installation.
4. Proscribing future use or dispositions of the proposed improvements in the event of
abandonment or elimination of a grade crossing.
5. Establishing future repair and/or replacement responsibilities in the event of
accidental destruction or damage to the installation.
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Section 10. Environmental Obligations
The Local Agency shall perform all Work in accordance with the requirements of the current
federal and state environmental regulations including the National Environmental Policy Act of 1969
(NEP A) as applicable.
Section 11. Maintenance Obligations
The Local Agency will maintain and operate the improvements constructed under this
contract at its own cost and expense during their useful life, in a manner satisfactory to the State and
FHW A. The Local Agency will make proper provisions for such maintenance obligations each year.
Such maintenance and operations shall be conducted in accordance with all applicable statutes,
ordinances and regulations which define the Local Agency's obligations to maintain such
improvements. The State and FHW A will make periodic inspections of the project to verify that
such improvements are being adequately maintained.
Section 12. Federal Requirements
The Local Agency and/or their contractor shall at all times during the execution of this
contract strictly adhere to, and comply with, all applicable federal and state laws, and their
implementing regulations, as they currently exist and may hereafter be amended. The contractor
shall also require compliance with these statutes and regulations in sub grant agreements permitted
under this contract. A listing of certain federal and state laws that may be applicable are described in
Exhibit J.
Section 13. Record Keeping
The Local Agency shall maintain a complete file of all records, documents, communications,
and other written materials which pertain to the costs incurred under this contract. The Local
Agency shall maintain such records for a period ofthree (3) years after the date oftermination ofthis
contract or final payment hereunder, whichever is later, or for such further period as may be
necessary to resolve any matters which may be pending. The Local Agency shall make such
materials available for inspection at all reasonable times and shall permit duly authorized agents and
employees of the State and FHW A to inspect the project and to inspect, review and audit the project
records.
Section 14. Termination Provisions
This contract may be terminated as follows:
A. Termination for Convenience. The State may terminate this contract at any time the State
determines that the purposes of the distribution of moneys under the contract would no longer be
served by completion ofthe project. The State shall effect such termination by giving written notice
oftermination to the Local Agency and specifYing the effective date thereof, at least twenty (20) days
before the effective date of such termination.
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B. Termination for Cause. If, through any cause, the Local Agency shall fail to fulfill, in a timely
and proper manner, its obligations under this contract, or ifthe Local Agency shall violate any ofthe
covenants, agreements, or stipulations of this contract, the State shall thereupon have the right to
terminate this contract for cause by giving written notice to the Local Agency of its intent to
terminate and at least ten (10) days opportunity to cure the default or show cause why termination is
otherwise not appropriate. In the event of termination, all finished or unfinished documents, data,
studies, surveys, drawings, maps, models, photographs and reports or other material prepared by the
Local Agency under this contract shall, at the option ofthe State, become its property, and the Local
Agency shall be entitled to receive just and equitable compensation for any services and supplies
delivered and accepted. The Local Agency shall be obligated to return any payments advanced under
the provisions of this contract.
Notwithstanding the above, the Local Agency shall not be relieved ofliability to the State for any
damages sustained by the State by virtue of any breach of the contract by the Local Agency, and the
State may withhold payment to the Local Agency for the purposes of mitigating its damages until
such time as the exact amount of damages due to the State from the Local Agency is determined.
If after such termination it is determined, for any reason, that the Local Agency was not in default
or that the Local Agency's action/inaction was excusable, such termination shall be treated as a
termination for convenience, and the rights and obligations ofthe parties shall be the same as ifthe
contract had been terminated for convenience, as described herein.
C. 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.
Section 15. Legal Authority
The Local Agency warrants that it possesses the legal authority to enter into this contract and that
it has taken all actions required by its procedures, by-laws, and/or applicable law to exercise that
authority, and to lawfully authorize its undersigned signatory to execute this contract and to bind the
Local Agency to its terms. The person(s) executing this contract on behalf of the Local Agency
warrants that such person(s) has full authorization to execute this contract.
Section 16. Representatives and Notice
The State will provide liaison with the Local Agency through the State's Region Director, Region
3,222 S. 61h Street, Room 317, Grand Junction, Colorado 81501. Said Region Director will also be
responsible for coordinating the State's activities under this contract and will also issue a "Notice to
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Proceed" to the Local Agency for commencement ofthe Work. All communications relating to the
day-to-day activities for the work shall be exchanged between representatives of the State's
Transportation Region 3 and the Local Agency. All communication, notices, and correspondence
shall be addressed to the individuals identified below. Either party may from time to time designate
in writing new or substitute representatives.
If to State:
Pete Mertes
CDOT Region 3
Resident Engineer
202 Centennial
Glenwood Springs, CO 81601
(970)945-8187
Ifto the Local Agency:
Rego Omerigic
County Fleet Manager
Pitkin County
76 Service Center Road
Aspen, Colorado 81611
(970)920-5394
Section 17. Successors
Except as herein otherwise provided, this contract shall inure to the benefit of and be binding
upon the parties hereto and their respective successors and assigns.
Section 18. Third Party Beneficiaries
It is expressly understood and agreed that the enforcement ofthe terms and conditions ofthis
contract and all rights of action relating to such enforcement, shall be strictly reserved to the State
and the Local Agency. Nothing contained in this contract shall give or allow any claim or right of
action whatsoever by any other third person. It is the express intention of the State and the Local
Agency that any such person or entity, other than the State or the Local Agency receiving services or
benefits under this contract shall be deemed an incidental beneficiary only.
Section 19. Governmental Immunity
Notwithstanding any other provision ofthis contract to the contrary, no term or condition of
this contract shall be construed or interpreted as a waiver, express or implied, of any of the
immunities, rights, benefits, protection, or other provisions of the Colorado Governmental Immunity
Act, ~ 24-10-101, et seq., c.R.S., as now or hereafter amended. The parties understand and agree
that liability for claims for injuries to persons or property arising out of negligence of the State of
Colorado, its departments, institutions, agencies, boards, officials and employees is controlled and
limited by the provisions of ~ 24-10-101, et seq., C.R.S., as now or hereafter amended and the risk
management statutes, ~~ 24-30-1501, et seq., C.R.S., as now or hereafter amended.
Section 20. Severability
To the extent that this contract may be executed and performance of the obligations of the
parties may be accomplished within the intent ofthe contract, the terms of this contract are severable,
and should any term or provision hereofbe declared invalid or become inoperative for any reason,
such invalidity or failure shall not affect the validity of any other term or provision hereof.
Page 13 of 17
;;
Section 21. Waiver
The waiver of any breach of a term, provision, or requirement of this contract shall not be
construed or deemed as a waiver of any subsequent breach of such term, provision, or requirement,
or of any other term, provision or requirement.
Section 22. Entire Understanding
This contract is intended as the complete integration of all understandings between the
parties. No prior or contemporaneous addition, deletion, or other amendment hereto shall have any
force or effect whatsoever, unless embodied herein by writing. No subsequent novation, renewal,
addition, deletion, or other amendment hereto shall have any force or effect unless embodied in a
writing executed and approved pursuant to the State Fiscal Rules.
Section 23. Survival of Contract Terms
Notwithstanding anything herein to the contrary, the parties understand and agree that all
terms and conditions of this contract and the exhibits and attachments hereto which may require
continued performance, compliance or effect beyond the termination date of the contract shall
survive such 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.
Section 24. Modification and Amendment
This contract is subject to such modifications as may be required by changes in federal or
State law, or their implementing regulations. Any such required modification shall automatically be
incorporated into and be part ofthis contract on the effective date of such change as if fully set forth
herein. Except as provided above, no modification ofthis contract shall be effective unless agreed to
in writing by both parties in an amendment to this contract that is properly executed and approved in
accordance with applicable law.
Section 25. Funding Letters
The State may allocate more or less funds available on this contract using a Funding Letter
substantially equivalent to Exhibit F and bearing the approval ofthe 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.
Section 26. Disadvantaged Business Enterprise (DBE)
The Local Agency will comply with all requirements of Exhibit E and the Local Agency
Contract Administration Checklist regarding DBE requirements for the Work, except that if the
Local Agency desires to use its own DBE program to implement and administer the DBE provisions
of 49 CFR Part 26 under this contract, it must submit a copy of its program's requirements to the
Page 14 of17
It
State for review and approval before the execution of this contract. If the Local Agency uses its
program for this contract, the Local Agency shall be solely responsible to defend that DBE program
and its use of that program against all legal and other challenges or complaints, at its sole cost and
expense. Such responsibility includes, without limitation, determinations concerning DBE eligibility
requirements and certification, adequate legal and factual bases for DBE goals and good faith efforts.
State approval (if provided) ofthe Local Agency's DBE program does not waive or modify the sole
responsibility of the Local Agency for its use as described above.
Section 27. Disputes
Except as otherwise provided in this contract, any dispute concerning a question of fact
arising under this contract which is not disposed of by agreement will be decided by the Chief
Engineer ofthe Department of Transportation. The decision ofthe Chief Engineer will be final and
conclusive unless, within 30 calendar days after the date of receipt of a copy of such written decision,
the Local Agency mails or otherwise furnishes to the State a written appeal addressed to the
Executive Director ofthe Department of Transportation. In connection with any appeal proceeding
under this clause, the Local Agency shall be afforded an opportunity to be heard and to offer
evidence in support of its appeal. Pending final decision of a dispute hereunder, the Local Agency
shall proceed diligently with the performance of the contract in accordance with the Chief Engineer' s
decision. The decision of the Executive Director or his duly authorized representative for the
determination of such appeals will be final and conclusive and serve as final agency action. This
dispute clause does not preclude consideration of questions of law in connection with decisions
provided for herein. Nothing in this contract, however, shall be construed as making final the
decision of any administrative official, representative, or board on a question of law.
Section 28. Single Audit Act Amendment
All state and local government and non-profit organization Sub-Grantees receiving more than
$500,000 from all funding sources, that are defined as federal financial assistance for Single Audit Act
Amendment purposes, shall comply with the audit requirements of OMB Circular A-133 (Audits of
States, Local Governments and Non-Profit Organizations) see also, 49 CFR 18.20 through 18.26. The
Single Audit Act Amendment requirements that apply to Sub-Grantees receiving federal funds are as
follows:
a) If the Sub-Grantee expends less than $500,000 in Federal funds (all federal sources, not just Highway
funds) in its fiscal year then this requirement does not apply.
b) Ifthe Sub-Grantee expends more than $500,000 in Federal funds, but only received federal Highway
funds (Catalog of Federal Domestic Assistance, CFDA 20.205) then a program specific audit shall be
performed. This audit will examine the "financial" procedures and processes for this program area.
b) If the Sub-Grantee expends more than $500,000 in Federal funds, and the Federal funds are from
multiple sources (FT A, HUD, NPS, etc.) then the Single Audit Act applies, which is an audit on the entire
organization/entity.
c) Single Audit can only be conducted by an independent CPA, not by an auditor on staff.
d) An audit is an allowable direct or indirect cost.
Page 15 of17
11
Section 29.
SPECIAL PROVISIONS
(For Use with Inter-Governmental Contracts)
1. CONTROLLER'S APPROVAl. CRS 24-30-202 (1)
This contract shall not be deemed valid until it has been approved by the Controller of the State of Colorado or such assistant as he may
designate.
2. FUND AVAILABILITY. CRS 24-30-202 (5.5)
Financial obligations of the State of Colorado payable after the current fiscal year are contingent upon funds for that purpose being
appropriated, budgeted, and otherwise made available.
3. INDEMNIFICATION.
To the extent authorized by law, the Contractor shall indemnify} save, and hold harmless the State, its employees and agents, against any and
all claims, damages, liability and court awards including costs, expenses, and attorney fees incurred as a result of any act or omission by the
Contractor, or its employees, agents, subcontractors, or assignees pursuant to the terms of this contract.
No term or condition of this contract shall be construed or interpreted as a waiver, express or implied, of any of the immunities, rights,
benefits, protection, or other provisions for the parties, of the Colorado Governmental Immunity Act, CRS 24-10-101 et seq. or the Federal
Tort Claims Act, 28 U.S.c. 2671 et seq. as applicable, as now or hereafter amended.
4. INDEPENDENT CONTRACTOR. 4 CCR 801-2
THE CONTRACTOR SHALL PERFORM ITS DUTIES HEREUNDER AS AN INDEPENDENT CONTRACTOR AND NOT AS AN EMPLOYEE. NEITHER THE
CONTRACTOR NOR ANY AGENT OR EMPLOYEE OF THE CONTRACTOR SHALL BE OR SHALL BE DEEMED TO BE AN AGENT OR EMPLOYEE OF
THE STATE. CONTRACTOR SHALL PAY WHEN DUE ALL REQUIRED EMPLOYMENT TAXES AND INCOME TAX AND LOCAL HEAD TAX ON ANY
MONIES PAID BY THE STATE PURSUANT TO THIS CONTRACT. CONTRACTOR ACKNOWLEDGES THAT THE CONTRACTOR AND ITS EMPLOYEES
ARE NOT ENTITLED TO UNEMPLOYMENT INSURANCE BENEFITS UNLESS THE CONTRACTOR OR THIRD PARTY PROVIDES 5UCH COVERAGE
AND THAT THE STATE DOES NOT PAY FOR OR OTHERWISE PROVIDE SUCH COVERAGE. CONTRACTOR SHALL HAVE NO AUTHORIZATION,
EXPRESS OR IMPLIED, TO BIND THE STATE TO ANY AGREEMENTS, LIABILITY, OR UNDERSTANDING EXCEPT AS EXPRESSLY SET FORTH
HEREIN. CONTRACTOR SHALL PROVIDE AND KEEP IN FORCE WORKERS' COMPENSATIDN (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 nutl 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 at law whether by way of complaint, defense, or otherwise. Any provision rendered
null and void by the operation of this provision will not invalidate the remainder of this contract to the extent that the contract is capable of
execution.
At all times during the performance of this contract, the Contractor shall strictly adhere to all applicable federal and State laws, rules, and
regulations that have been or may hereafter be established.
7. SOFTWARE PIRACY PROHIBITION Governor's Executive Order D 002 00
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.
9. ILLEGAl AliENS - PUBLIC CONTRACTS FOR SERVICES. CRS 8-17.5-101 and Public Law 208,104" Congress, as amended and expanded in Public Law 156, 108"
Congress, as amended
The Contractor certifies that the Contractor shall comply with the provisions of CRS 8-17.5-101 et seq. The Contractor shall not knowingly employ
or contract with an illegal alien to perform work under this contract or enter into a contract with a subcontractor that knowingly employs or
contracts with an illegal alien. The Contractor represents, warrants, and agrees that it (i) has '1erified that it does not employ any illegal aliens,
through participation in the Basic Pilot Employment Verification Program administered by the Social Security Administration and Department of
Homeland Security, or (ii) otherwise will comply with the requirements of CRS 8-17.5-101(2)(b)(I). The Contractor shall comply with all
reasonable requests made in the course of an investigation by the Colorado Department of Labor and Employment. If the Contractor fails to
comply with any requirement of this provision or CRS 8-17.5-101 et seq., the State may terminate this contract for breach and the Contractor
shall be liable for actual and conseQuential damages to the State.
Effective Date: August 9, 2006
Page 16 of17
/rt
THE PARTIES HERETO HAVE EXECUTED THIS CONTRACT
CONTRACTOR:
STATE OF COLORADO:
BILL OWENS, GOVERNOR
Pitkin County
Legal Name of Contracting Entity
By
SV\Q,.u' -
I ctor
Transportation
846000794
Social Security Number or FEIN
~~..
'~-~
ign re f Authoriz~fficer
LEGAL REVIEW:
~q()~/A"::f6:rc- I1ft=7 #1..t1I/1K~By
Int !'fame & Title of Authorized Officer
JOHN W. SUTHERS
ATTORNEY GENERAL
~~c, y~
CORPORATIONS:
(A corporate attestation is required.)
-<..00( .. .....
. J .j........ ;\ \
i:C,J <( "'~i
(Place corporate seal here, if avail~l!. ?f (J:J ~;' : f
'.,J. r_ . w:
.... W"'J.:~!
--. 'J!I!. ... C;; .......
.... ", .....~.'
........ ... Wi"";
..........""..,.",...
i .)~l:'
, 't1~J,::,:
ALL CONTRACTS MUST BE APPROVED BY THE STATE CONTROLLER
CRS 24-30-202 requires that the State Controller approve all state contracts. This contract is not valid until the State Controller.
or such assistant as he may delegate. has signed it. The contractor is not authorized to begin performance until the contract is
signed and dated below. If performance begins prior to the date below, the State of Colorado may not be obligated to pay for
the goods and/or services provided.
STATE CONTROLLER:
LESliE M. SHENEFEL T
By
Date
Effeclive Date: Augusl 1, 2005
Page 17 of17
/q
EXHIBIT A, Page
I
of .;A.
~olorado Department of Transportation Origin Date: 04/17/2006 Project code: 15557 I STIP number:
DESIGN DATA Revise Date: Project number: AQC C570-014
PE Proiect Code PE Proiect Number
o Metric [{] English Revision #:
Page 1 Region: 03
Status: 0 preliminary . final o revised Project description: FY 06 Pitkin County CMAQ
Prepared by: Revised by:
Pilkin I County2: I County3:
Casey Peter County1:
Date: 04/17/2006 Date: Municipality:
Submi!,~ by P~oj.Mgr Approved by Preconstruction Engineer: System code: Other Federal-Aid Highway
J~\l~l~~;;it~tfft~'tg4f; ~ /'/~= L/AA~,/!i:; Oversight: Exempt
Date: Planned length:
Geographic location: / I
In the PM-1O Non-Altainment Area.
Terrain type: 0 Level o Plains o Rolling o Urban o Mountainous
Description of proposed constructionlimprovement (attach map showing site location)
CMAQ Procurement Project 10 purchase 3 Commuter Vans including 3 years of operating assistance.
DTraffic (Note: use columns A. B, and/or C to identify facility described below)
Current year: Future year.
Facilitv location
Facility ADT DHV DHV "10 trucks ADT I DHV Industrial Commerciall Residential I Other
A I 0 0 I 0 I 0
B 1 0 0 I 0 I 0
c I I I 0 0 I 0 I 0
fJ RdwyClass Route Refpt Endrefpt Functional classification Facility type Rural code
1. 999 N Not Roadway Not Roadway
2.
3.
Design Standards (Identify substandard items with a checkmark in 1st column and clarify in remarks)
A= B= e=
Standard Existing Proposed Ultimate Standard Existing Proposed Ultimate Standard Existing Proposed Ultimate
0 Surface type
0 Typical section type
0 # of travel lanes
0 Width of travel lanes
0 Shoulder wd. It./median
0 Shoulder wd rt.loutside
0 Side slope dis\. rz")
0 Median width
0 Posted speed
0 Design speed
0 Max. superelevation
0 Min. radius
0 Min. horizontal ssd
0 Min. vertical ssd
0 Max. grade
Project under 0 1R 03R 04R . Other: Procurement criteria Existing guardrail meets current standards: 0 Yes ONo
Variance in minimum design standards required 0 Yes 0 No o Safety project Comments:
o Justification attached o Request to be submitted Not all standards N/A
o Bridge (see item 4) o See remarks addressed
l Stage construction ~a
Resurfacing projects
I ('r Recommendations concerning safety aspects attached
CDOT Fonn #463
12/2003
t:XHl8IT A, Page 9--- of ,;?-
p:.ge 2 Project Code: 15557 I Project Number: AQC C570-014 I Revise Date:
D Major Structures I
15;\0 stay. R-Io be removed. P=proposed new slru<:lure Standard Structure Horizontal Vertical Year
'''n,n'''''.lnIt I Lennth Ref. Point Feature Intersect..n Width Rdwv Load Clearance Clearance Built
Proposed treatment of bridges to remain in place (address bridge rail, capacity, and allowable surface thickness)
1:1 Project Characteristics (proposed) Median type: 0 depressed 0 painted o raised o none
- Lighting ~ Handicap ramps Traffic control signals r l Striping
Curb and gutter Curb only Left-turn slots r l continuous width "
Sidewalk width = Bikeway width = Right-turn slots r l continuous width "
Parking lane width = Detours Signing: r l construction r l permanent
Landscape requirements: (description) Other: (description)
CMAQ Procurement Project to purchase 3 Vans.
II Right of Way Yes No Est. No. Utilities (list names of known utility companies)
ROWand/or perm. easement required: 0 . N/A
Relocation required: 0 .
TemporalY easement required: 0 .
Changes in access: 0 .
Changes to connecting roads: 0 .
II Railroad crossings # of crossings:
Agreements
Railroad Name required Present protection Condition of x'ings
f LJ
2 0
3 0
4 0
Recommendations:
II Environmental
Type:
Comments:
Jl! Coordination !Irrigation ditch name:
Withdrawn lands (power sites, reservoirs, etc.) cleared through BLM forest seNice office
New traffic ordinance required I l Modify schedule of existing ordinance I Municipality:
Other:
m Construction method noAdReason: 0 Design o Local F/A
Advertised by: 0 Slate o P.O. o RR F/A Entity/Agency contact name:
. Local o Study o Utility F/A Phone number:
o None o CDOT F/A o Miscellaneous
W Remarks (Include additional pages if needed)
~(
Orin In=-' tn- r:p.nt~1 fllp-c:
~nnlAC .1". R~in" ~i10C:: g~inn 1:",,{...".."'""0......,1 Dr......u........... "I................... ~...." D""'~' co...." D,.;...,...... ...... ....n..,... ......._.... ....................:.......
.
Exhibit B
LOCAL AGENCY
ORDINANCE
or
RESOLUTION
~?-
,
A RESOLUTION OF THE.BOARD OF COUNTY COMMISSIONERS OF PITKIN COUNTY,
COLORADO AUTHORIZING TIm BOARD TO ENTER INTO A
CMAQ CON:mACT GRAl"IT AG1U3BMENT WITE: THE
COLORADO DEPARTMENT OF TRANPORTATION FOR THE PURPOSE OF
ACQ'OIRING mREE COMMUTER VANS
ResolutioD No.~
Recitals
1. The Boatc1 of County Commissioners of Pitkin County is entering into a CMAQ Grllnt
Agreement with the Colorado Department of Transporta:tion in the amount of
$194b174.00 total funds, 'With ll. County portion of$33,417.00
2. The purpose of the Agreement is to set forth the respective responsibilities ll11d
obligations of the parties relating to the purchase of three commuter vans with 1hree yem
operating expe,nse.s.
3. The Board of County Commissioners has detennined that it is in the best interest of the
citizens of Pitkin Caunt)' to enter into 1bi.s Agreement. .
NOW THERSll'ORE, BE rr RESOLVED, by the Board of County Commissioners that it does
hereby approve the Agreement b~an Pitkin CO\l!lty and the Colorado Department of
Transportation and authorizes the Chait to sign the ~ement, as approved by the County
Attorney.
INTRODUCED, FIRST READlNG AND SET FOR PUBLIC HEARING ON THE 23rd DAY
OF AUGUST. 2006.
NOTICE OF PUBLIC HEARING PUBLISHED IN 11iE WEEKEND EDmON OF THE
ASPRN TIMBS ON TIm 27th DAY OF ~UOUST, 2006.
APPROVED UPON SECOND READING ()N TIm 13th DAY OF SEPTEMBER, 2006.
PUBLISlmD BY THB nTLE AND SHORT SUMMARY, AFTER ADOPTION, IN TIm
ASPEN' TIMRS WEEKL X ON nm 24th DAY OJ.<' SEPTEMBER.. 2006.
~3
,
A1TBST:
BOARD OF COUNTY COMMISSIONERS
OF PITKIN COUNTY. COLORADO
~6;,~ (~)
Date
01- IS ...Df/J
Date
AnROVED:
4,~
her. Cotmty Manager
9-/Y'Pooc,.
Da.te
APPROVED AS TO FORM:
tj-y' y-~,(
Date
~~
I EXlIIBIT C FUNDINGPjlOVlSIONS , ,
A. The Local Agency has estimated the total cost the Work to be $194,174.00 which is to be
funded as follows:
1 BUDGETED FUNDS
a. Federal Funds $160,757.00
(82.79% of Participating Costs)
b. Local Agency Matching Funds $33,417.00
(17.21% of Participating Costs)
Local Agency Matching for COOT -
c. Incurred Non-Participating Costs $0,00
(Including Non-Participating Indirects)
TOTAL BUDGETED FUNDS $194,174.00
2 ESTIMATED CDOT-INCURRED COSTS
a. Federal Share $0.00
(0% of Participating Costs)
b. Local Share
Local Agency Share of Participating Costs $0.00
Non-Participating Costs (Including Non-
Participating Indirects) $0.00
Estimated to be Billed to Local Agency $0.00
TOTAL ESTIMATED COOT-INCURRED COSTS $0.00
3 ESTIMATED PAYMENT TO LOCAL AGENCY
a. Federal Funds Budgeted (1a) $160,757.00
b. Less Estimated Federal Share of COOT-Incurred Costs (2a) $0.00
TOTAL ESTIMATED PAYMENT TO LOCAL AGENCY $160,757.00
FOR CDOT ENCUMBRANCE PURPOSES
Total Encumbrance Amount ($160,757.00
divided by 82.79%) $194,174.00
Less ROW Acquisition 3111 and/or
ROW Relocation 3109 $0,00
Net to be encumbered as follows: $194,174,00
Miscellaneous 23121P 3301 $194,174,00
Const 2312 1 P 3301 $0.00
Exhibit C - Page 1 of2
,{
B. The matching ratio for the federal participating funds for this project is 82.79% federal-aid
funds (CFDA #20 2050) to 17.21 % Local Agency funds, it being understood that such ratio
applies only to the $194,174.00 that is eligible for federal participation, it being further
understood that all non-participating costs are borne by the Local Agency at 100%. If the
total participating cost of performance of the Work exceeds $194,174.00, and additional
federal funds are made available for the project, the Local Agency shall pay 17.21 % of all
such costs eligible for federal participation and 100% of all non-participating costs; if
additional federal funds are not made available, the local agency shall pay all such excess
costs. Ifthe total participating cost of performance ofthe Work is less than $194,174.00,
then the amounts of Local Agency and federal-aid funds will be decreased in accordance with
the funding ratio described herein. The performance ofthe Work shall be at no cost to the
State.
C. The maximum amount payable to the Local Agency under this contract shall be $160,757.00
(For CDOT accounting purposes, the federal funds of $160, 7 57.00 and local matching funds
of$160,757.00 will be encumbered for a total encumbrance of$194,174.00), unless such
amount is increased by an appropriate written modification to this contract executed before
any increased cost is incurred. It is understood and agreed by the parties hereto that the total
cost ofthe Work stated hereinbefore is the best estimate available, based on the design data
as approved at the time of execution ofthis contract, and that such cost is subject to revisions
(in accord with the procedure in the previous sentence) agreeable to the parties prior to bid
and award.
D. The parties hereto agree that this contract is contingent upon all funds designated for the
project herein being made available from federal and/or state and/or Local Agency sources,
as applicable. Should these sources, either federal or Local Agency, fail to provide necessary
funds as agreed upon herein, the contract may be terminated by either party, provided that
any party terminating its interest and obligations herein shall not be relieved of any
obligations which existed prior to the effective date of such termination or which may occur
as a result of such termination.
Exhibit C - Page 2 of2
~~
Exhibit D
EXHIBIT D
Certification for Federal-Aid Contracts
The contractor certifies, by signing this contract, to the best of its knowledge and belief, that:
1. No Federal appropriated funds have been paid or will be paid, by or on behalf or the
undersigned, to any person for influencing or attempting to influence an officer or employee of any
Federal agency, a Member of Congress, an officer or employee of Congress, or an employee of a
Member of Congress in connection with the awarding of any Federal loan, the entering into of any
cooperative agreement, and the extension, continuation, renewal, amendment, or modification of any
Federal contract, grant, loan, or cooperative agreement.
2. If any funds other than Federal appropriated funds have been paid or will be paid to any
person for influencing or attempting to influence an officer or of Congress, or an employee of a
Member of Congress in connection with this Federal contract, grant, loan, or cooperative agreement,
the undersigned shall complete and submit Standard Form-LLL, "Disclosure Form to Report
Lobbying," in accordance with its instructions.
This certification is a material representation of fact upon which reliance was placed when this
transaction was made or entered into. Submission ofthis certification is a prerequisite for making or
entering into this transaction imposed by Section 1352, Title 31, U.S. Code. Any person who fails to
file the required certification shall be subject to a civil penalty of not less than $10,000 and not more
than $100,000 for each such failure.
The prospective participant also agree by submitting his or her bid or proposal that he or she shall
require that the language ofthis certification be included in all lower tier subcontracts, which exceed
$100,000 and that all such subrecipients shall certify and disclose accordingly.
Required by 23 CFR 635.112
Exhibit D - Page 1 of 1
d1
,
Exhibit E
DISADVANTAGED BUSINESS ENTERPRISE (DBE)
SECTION 1. Policv.
It is the policy of the Colorado Department of Transportation (CDOT) that disadvantaged business
enterprises shall have the 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
Exhibit E - Page 1 of 1
:f~
,
COLORADO DEPARTMENT OF TRANSPORTATION CONTRACT AUTHORITY:
FUNDING INCREASE/DECREASE AND APPROVAL LETTER Region: State Controller Policy letter on June 12, 1996
Complete section 1 and submit to COOT Controller's office. COOT 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
_COOT construction, sum of CMO's _LA construction, underestimated cost
COOT construction, underestimated total cost COOT consultant, underestimated cost
SECTION 1 (Rea ion use)
Date: (2) Proiect code (3)
To: COOT Controller (FAX #(303) 757-9573 or e-mail CONTROLLER) Project # (4)
From: Office: (5) Phone # (5) FAX # (5)
Reaion # (5)
COOT has executed a contract with: (6)
Address: (6)
FEIN # (6) Contract routing # (7) COFRS encumbrance # (indicate PO, SC or PG #)
(8)
Fund Orgn. Appro. Prgrm. Func. Object/Sub-obj N/P GBL Reporting Catg. Proj/Sub/Phase
(9) (9) (9) (9) (9) (9) (9) (9) (9)
Original contract amount Has a Budget Request been processed to cover the contract amount increase?
$ (10) yes no (14)
Previous Funding Letter(s) total Preparer's name (15)
$ (11)
(Funding letter #1 thru #---.J PHONE NO:
This Funding Letter total Contract Administrator's/Business Manager's Approval
$ (1 2) (16)
(# ---.J PHONE NO:
Adjusted contract amount COOT Designee Approval
$ (13) (17)
Local Agency approval
(18)
SECTION 2 (Controller's Office use) (19)
Total allotment amount Commission budget
$ (19) $ (1 9)
If construction: CE charges Indirect chgs Adjusted contract amount plus total CE & indirect
_CE pool elig. (19) $ (19) $ (19) charges calculation $ (19)
I have reviewed the financial status of the project, organization, grant and have determined that sufficient funds are available
to cover this increase, effective as of (19)
State Controller or Delegee Date
(20) (20)
Exhibit F
Exhibit F - Page 1 of 1
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EXHIBIT G, Page
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of f
COLORADO DEPARTMENT OF TRANSPORTATION
LOCAL AGENCY CONTRACT ADMINISTRATION CHECKLIST
Project No. STIP No. Project Code Region
AQC C570-014
IN3659 15557 03
Project Location Date
In Pitkin County 4/17/2006
Project Description
FY 06 Pitkin County CMAQ
Local Agency Local Agency Project Manager
Pitkin County Jodi Smith
CDOT Resident Engineer CDOT Project Manager
Pete Mertes Casey Peter
INSTRUCTIONS:
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 COOT Loca/ Agency Manua/.
The checklist shall be prepared by placing an "X" under the responsible party, opposite each of the tasks. The "X" denotes the
party responsible for initiating and executing the task. Only one responsible party should be selected. When neither CDOT nor
the Local Agency is responsible for a task, not applicable (NA) shall be noted. In addition, a "#" will denote that CDOT must
concur or approve.
Tasks that will be performed by Headquarters staff will be indicated. The Regions, in accordance with established pOlicies and
procedures, will determine who will perform all other tasks that are the responsibility of COOT.
The checklist shall be prepared by the CDOT Resident Engineer or the CDOT Project Manager, in cooperation with the Local
Agency Project Manager, and submitted to the Region Program Engineer. If contract administration responsibilities change, the
CDOT Resident Enaineer, in cooperation with the Local Agency Proiect Manaaer, will prepare and distribute a revised checklist.
RESPONSIBLE
NO. DESCRIPTION OF TASK PARTY
LA CDOT
TIP I STIP AND LONG-RANGE PLANS
2-1 I Review to ensure consistency with STIP and amendments thereto I X
FEDERAL FUNDING OBLIGATION AND AUTHORIZATION
4-1 Authorize funding by phases (COOT Fonn 418 - Federal-aid Program Data. Requires FHWA X
concurrencelinvolvement)
PROJECT DEVELOPMENT
5-1 Prepare Design Data - CDOT Form 463 X
5-2 Prepare Local Agency/CDOT Inter-Governmental Agreement (see also Chapter 3) X
5-3 Conduct consultant selection/execute agreement N/A
5-4 Conduct Design Scoping Review meeting N/A
5-5 Conduct public involvement N/A
5-6 Conduct Field Inspection Review N/A
5-7 Conduct environmental processes (may require FHWA concurrencelinvolvement) X
5-8 Acquire riaht-of-way (may require FHWA concurrence/involvement) N/A
5-9 Obtain utilitv and railroad agreements N/A
5-10 Conduct Final Office Review N/A
5-11 Justify force account work bv the Local Agency N/A
5-12 Justify proprietary items X
5-13 Document design exceptions - CDOT Form 464 X
5-14 Prepare plans, specifications and construction cost estimates N/A
5-15 Ensure authorization of funds X
COOT Form 1243
Previous editions are obsolete and may not be used
07/02 Page1 of 4
jO
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EXHIBIT G, Page
?- Of-i-
NO.
DESCRIPTION OF TASK
6-1
PROJECT DEVELOPMENT CIVIL RIGHTS AND LABOR COMPLIANCE
Set Underutilized Disadvantaged Business Enterprise (UBDE) goals for consultant and
construction Contracts COOT R ion EEO/Civil Ri hts S ecialist
Determine applicability of Davis-Bacon Act
This project 181 is 0 is not exempt from Davis-Bacon requirements as determined by the
functional classification of the project location (Projects located on local roads and rural
minor collectors may be exempt.)
6-2
6-3
enda is in COOT Construction Manual
ineer or
Phone number
RESPONSIBLE
PARTY
LA COOT
x
X
X
X
N/A
#/A
X
X
N/A
N/A
N/A
N/A
N/A
N/A
N/A
N/A
N/A
N/A
CDOT Form 1243
Previous editions are obsolete and may not be used
...K:"
N.:~
X
X
07/02 Page2 of 4
3(
EXHIBIT G, Page
3
of
r
RESPONSIBLE
NO. DESCRIPTION OF TASK PARTY
LA COOT
.::'"'l<)!lf. COOT Resident EnQineer
:.....;;:"t.,\. Provide competent, experienced staff who will ensure the Contract work is constructed in
accordance with the clans and soecifications N/A
':.,';', Construction inscaction and documentation N/A
8-5 Aoorove shoo drawinas N/A
8-6 Perform traffic control insoections N/A
8-7 Perform construction survevina N/A
8-8 Monumentriah~o~wav N/A
8-9 Prepare and approve interim and final Contractor pay estimates N/A
Provide the name and phone number of the person authorized for this task.
Local AQency Reoresentative Phone number
8-10 Preoare and approve interim and final utility/railroad billinQs N/A
8-11 Prepare Local AQency reimbursement requests X
8-12 Prepare and authorize chanQe orders X
8-13 Aoprove all chanQe orders X
8-14 Monitor proiect financial status X
8-15 Prepare and submit monthly proQress reports N/A
8-16 Resolve Contractor claims/disputes N/A
8-17 Conduct routine, random project reviews
Provide the name and phone number of the person responsible for this task. X
~k //f;Y~$ 970-384-3330
COOT Resident EnQineer Phone number
MATERIALS
9-1 Conduct Materials Preconstruction meetina N/A
9-2 COOT Form 250 - Materials Documentation Record
. Generate form, which includes determining the minimum number of required tests and N/A
applicable material submittals for all materials placed on the project
. Update the form as work progresses N/A
. Comolete and distribute form after work is comoleted N/A
9-3 Perform oroiect acceptance samoles and tests N/A
9-4 Perform labaratorv verification tests N/A
9-5 Accept manufactured products N/A
Inspection of structural components:
. Fabrication of structural steel and pre-stressed concrete structural components N/A
. Bridge modular expansion devices (0" to 6" or greater) N/A
. Fabrication of bearina devices N/A
9-6 Aoorove sources of materials N/A
9-7 Independent Assurance Testing (IAT), Local Agency Procedures 0 COOT Procedures U
. Generate IAT schedule N/A
. Schedule and provide notification N/A
. Conduct IAT N/A
9-8 Approve mix designs
. Concrete N/A
. Hot bituminous pavement N/A
9-9 Check final materials documentation N/A
9-10 Complete and distribute final materials documentation N/A
COOT Form 1243 07/02 Page3 of 4
Previous editions are obsolete and may not be used
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CONSTRUCTION CIVIL RIGHTS AND LABOR COMPLIANCE
10-1 Fulfill oroiect bulletin board and oreconstruction oacket requirements N/A
10-2 CDOT Form 205 - Sublet Pennit Application
Review and sign completed CDOT Form 205 for each subcontractor, and submit to N/A
EEO/Civil Riohts Specialist
10-3 Conduct employee interviews. Complete COOT Form 280 - Equal Employment Opportunity N/A
and Labor Compliance Verification
10-4 Monitor Disadvantaged Business Enterprise participation to ensure compliance with the N/A
"commerciallv useful function" reouirements
10-5 Conduct trainee interviews. Complete COOT Fonn 200 - OJT Training Questionnaire when N/A
oroiect utilizes on-the-iob trainees
10-6 Check certified pavrolls (Contact the Recion EEO/Civil Richts Specialists for traininc requirements. \ N/A
10-7 Submit FHWA Fonn 1391 - Hiahwav Construction Contractor's Annual EEO Reeort N/A
FINALS
11-1 Conduct final project inspection, and complete and submit COOT Fonn 1212 - Final X
Acceptance Report {Resident Engineer with mandatory Local Agency participation.}
11-2 Write final oroiect acceptance letter X
11-3 Advertise for final settlement X
11-4 Preeare and distribute final As-Constructed clans N/A
11-5 Check final Quantities, final plans and the final nay estimate X
11-6 Check material documentation and submit final material certification (see Chaoter 9) N/A
11-7 Obtain COOT Fonn 17 - Contractor OBE Payment Certification from the Contactor and N/A
submit to the Resident Enaineer
11-8 Process final eavment X
11-9 Obtain FHWA Fonn 47 - Statement of Materials and Labor Used ... from the Contractor N/A
11-10 Comolete and submit CDOT Fonn 950 - Proiect Closure X
11-11 Retain oro1ect records for six years from date oforOiect closure X
11-12 Retain final version of this checklist and distribute cODies X
EXHIBIT G, Page-L of-+--
cc: COOT Resident Engineer/Project Manager
COOT Region Program Engineer
COOT Region EEO/Civil Rights Specialist
COOT Region Materials Engineer
CDOT Contracts and Market Analysis Branch
Local Agency Project Manager
COOT Form 1243 07/02 Pagelv of 4
Previous editions are obsolete and may not be used
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Exhibit H
THE LOeAL AGENey SHALL USE THESE PROCEDURES TO IMPLEMENT FEDERAL-AID
PROJEeT AGREEMENTS WITH PROFESSIONAL eONSULTANT SERVICES
Title 23 eode 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 l72( d) state that, "When
federal-aid highway funds participate in the contract a local shall use the same procedures as used by the State to
administer contracts ...". Therefore, local agencies must comply with this CFR requirement and the following state
procedures when obtaining professional consultant services under a federally funded consultant contract administered by
CDOT.
CDOT has formulated its procedures in Procedural Directive (P.D.) 400.1 and the related operations guidebook titled
"Obtaining Professional Consultant Services". This directive and guidebook incorporate requirements from both Federal
and State regulations, i.e., 23 CFR 172 and Colorado Revised Statute (C.R.S.) 24-30-1401 et seq. Copies of the directive
and the guidebook may be obtained upon request from CDOT's Agreements and Consultant Management Unit. [Local
agencies should have their own written procedures on file for each method of procurement that addresses the items in 23
CFR l72.5(b)(1-6)].
Because the procedures and laws described in the Procedural Directive and the guidebook are quite lengthy, the
subsequent steps serve as a short-hand guide to CDOT procedures that a local agency must follow in obtaining
professional consultant services. This guidance follows the format of 23 CFR 172. The steps are:
1. The contracting local agency shall document the need for obtaining professional services.
2. Prior to solicitation for consultant services, the contracting local agency shall develop a detailed scope of work
and a list of evaluation factors and their relative importance. The evaluation factors are those identified in C.R.S.
24-30-1403. Also, a detailed cost estimate should be prepared for use during negotiations.
3. The contracting agency must advertise for contracts in conformity with the requirements ofC.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 finns and the advertising should be done in one or more daily newspapers of general circulation.
4. The request for consultant services should include the scope of work, the evaluation factors and their relative
importance, the method of payment, and the goal of ten percent (10%) Disadvantaged Business Enterprise (DBE)
participation as a minimum for the project.
5. The analysis and selection of the consultants should be done in accordance with C.R.S. 24-30-1403. This section
of the regulation identifies the criteria to be used in the evaluation of CDOT pre-qualified prime consultants and
their team. It also shows which criteria are used to short-list and to make a [mal 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,
Exhibit H - Page 1 of2
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Exhibit H
e. Current and projected work load,
f. Volume of previously awarded contracts, and
g. Involvement of minority consultants.
Under 24-30-1401, cost shall not be considered as a factor in the evaluation of professional consultant
services.
6. Once a consultant is selected, the local agency enters into negotiations with the consultant to obtain a fair and
reasonable price for the anticipated work. Pre-negotiation audits are prepared for contracts expected to be greater
than $50,000. Federal reimbursement for costs are limited to those costs allowable under the cost principles of48
CFR 31. Fixed fees (profit) are determined with consideration given to size, complexity, duration, and degree of
risk involved in the work. Profit is in the range of six (6) to fifteen (15) percent of the total direct and indirect
costs.
7. A qualified local agency employee shall be responsible and in charge of the project to ensure that the work being
pursued is complete, accurate, and consistent with the terms, conditions, and specifications of the contract. At the
end of project, the local agency prepares a performance evaluation (a CDOT form is available) on the consultant.
8. Each of the steps listed above is to be documented in accordance with the provisions of 49 CFR 18.42, which
provide for records to be kept at least three (3) years from the date that the local agency submits its fmal
expenditure report. Records of projects under litigation shall be kept at least three (3) years after the case has
been settled.
The eR.S. 24-30-1401 through 24-30-1408, 23 CFR Part 172, and P .D. 400.1, provide additional details for complying
with the eight (8) steps just discussed.
Exhibit H - Page 2 of 2
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FHWA Form 1273
Exhibit I
FHWA-1273 Electronic version - March 10, 1994
REQUIRED CONTRACT PROVISIONS
FEDERAL-AID CONSTRUCTION CONTRACTS
I. General...................................................................... 1
II. Nondiscrimination ..................................................... 1
III. Nonsegregated Facilities .......................................... 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: Accident Prevention..................................... 7
IX. False Statements Concerning Highway Projects ..... 7
X. Implementation of Clean Air Act and Federal
Water Pollution Control Act....................................................... 8
XI. Certification Regarding Debarment, Suspension,
Ineligibility. and Voluntary Exclusion ......................................... 8
XII. Certificalion Regarding Use of Conlracl Funds for
Lobbying ............................. ........... ............................................. 9
ATTACHMENTS
A. Employment Preference for Appalachian Contracts
(included in Appalachian conlracls only)
I. GENERAL
1. These contract provisions shall apply 10 all work performed
on the contract by the contracto~s own organization and wilh Ihe
assistance of workers under the contracto~s immediate superin-
tendence and to all work performed on the conlract 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 slipulations
contained 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
subcontraclor or lower tier subcontractor wilh these Required
Contract Provisions.
3. A breach of any of the stipulations conlained in these
Required Contract Provisions shall be sufficienl grounds for
termination of the contract.
4. A breach of the following clauses of the Required Conlract
Provisions may also 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 1 and 2a through 2g.
5. Disputes arising oul of the labor standards provisions of
Seclion IV (excepl paragraph 5) and Section V ofthese Required
Conlract Provisions shall nol be subjecl to Ihe generai dispules
clause of Ihis contract. Such disputes shall be resolved in accor-
dance wilh Ihe procedures of the U.S. Department of Labor (DOL)
as sel forth in 29 CFR 5, 6, and 7. Disputes within the meaning of
Ihis clause include dispules between the conlractor (or any of its
subcontractors) and the contracting agency, the DOL, or the
conlraclor's employees or Iheir representalives.
6. Selection of Labor: During the performance of this con-
tract. the contractor shall not:
a. discriminate against labor from any other Stale, 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 contracls and to all
related subcontracts of $10.000 or more.)
1. Equal Employment Opportunity: Equal employment
opportunity (EEO) requirements not to discriminate and to take
affirmative action to assure equal opportunity as set forth under
laws, execulive orders, rules, regulations (28 CFR 35, 29 CFR
1630 and 41 CFR 60) and orders of the Secretary of Labor as
modified by Ihe provisions prescribed herein, and imposed
pursuant to 23 U.S.C. 140 shall constitute the EEO and specific
affirm alive aclion standards for Ihe contracto~s projecl 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 ~~.)
set forth under 28 CFR 35 and 29 CFR 1630 are incorporated by
reference in this contract. In the execution of this conlract, the
conlraclor agrees to comply with Ihe following minimum specific
requiremenl activities of EEO:
a. The contraclor 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 activilies under the contract.
b. The contractor will accept as his operating policy Ihe
following statement:
"II is the policy of this Company to assure that applicants are
employed. and that employees are treated during employ-
ment, withoul regard to their race, religion, sex. color.
nalional origin, age or disability. Such action shall include:
employment, upgrading, demotion. or transfer; recruitment or
recruitment advertising; layoff or lermination; rates of payor
other forms of compensation; and selection for training,
including apprenticeship. preapprenticeship. and/or
on-the-job training."
2. EEO Officer: The contractor will designate and make
known to the SHA conlracling officers an EEO Officer who will
have Ihe responsibility for and must be capable of effeclively
administering 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 contraclor's
staff who are authorized to hire. supervise, promote. and
discharge employees, or who recommend such aclion, or who are
subslantially involved in such action, will be made fully cognizanl
Exhibit I - Pagel of9
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of. and will implemenl, the contractor's EEO policy and contractual
responsibilities to provide EEO in each grade and classification of
employment. To ensure that the above agreemenl will be met, the
following actions will be taken as a minimum:
a. Periodic meelings of supervisory and personnel office
employees will be conducted before the start of work and then nol
less often than once every six months. at which time the contract-
o~s EEO policy and its implementation will be reviewed and
explained. The meetings will be conducted by the EEO Officer.
b. All new supervisory or personnel office employees will be
given a thorough indoctrination by Ihe EEO Officer, covering all
major aspects of the contractor's EEO obligations within thirty
days following their reporting for duty with the contraclor.
c. All personnel who are engaged in direct recruilment for
the project will be instructed by the EEO Officer in the contractor's
procedures for locating and hiring minority group employees.
d. Notices and posters setting forth the contractor's EEO
policy will be placed in areas readily accessible to employees,
applicants for employment and polential employees.
e. The contracto~s EEO policy and the procedures 10
implement such policy will be brought 10 the attenlion 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 circulation among minority
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 through
public and private employee referral sources likely to yield
qualified minority group applicants. To meet this requirement, Ihe
conlractor will identify sources of potential minority group
employees, and establish with such identified sources procedures
whereby minority group applicanls may be referred to Ihe
conlractor for employment consideration.
b. In the event the conlractor has a valid bargaining agree-
menl providing for exclusive hiring hall referrals, he is expected to
observe Ihe provisions of Ihat agreemenl 10 the extent that the
system permils Ihe conlracto~s compliance with EEO contract
provisions. (The DOL has held that where implementation of such
agreemenls have Ihe effect of discriminaling against minorilies or
women, or obligates the conlraclor 10 do the same, such
implementation violates Executive Order 11246, as amended.)
c. The contractor will encourage his present employees 10
refer minority group applicanls for employment. Information and
procedures with regard to referring minority group applicants will
be discussed wilh employees.
5. Personnel Actions: Wages, working conditions. and
employee benefits shall be established and administered, and
personnel actions of every type, including hiring. upgrading.
promotion, Iransfer. demolion. layoff, and lerminalion, shall be
taken wilhoul regard to race, color. religion, sex, nalional origin,
age or disability. The 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 discriminalory Ireatment of projecl sile
personnel.
b. The conlractor will periodically evaluale Ihe spread of
wages paid wilhin each c1assificalion to determine any evidence of
Exhibit I
discriminalory wage practices.
c. The conlractor will periodically review selected personnel
actions in depth to determine whether Ihere is evidence of
discrimination. Where evidence is found. Ihe contractor will
promptly take corrective aclion. If the review indicates that the
discrimination may extend beyond the actions reviewed, such
corrective action shall include all affected persons.
d. The contractor will promptiy investigate all complaints of
alleged discrimination made to the contractor in connection with
his obligalions under this contract. will attempt to resolve such
complaints, and will lake appropriale corrective action within a.
reasonable time. If the investigation indicates that the
discrimination may affect persons olher than the complainant,
such corrective aclion shall include such olher persons. Upon
completion of each invesligation, the conlractor will inform every
complainant of all of his avenues of appeal.
6. Training and Promotion:
a. The contractor will assist in locating, qualifying, and
increasing the skills of minority group and women employees, and
applicanls for employment.
b. Consistenl with the contractor's work force requiremenls
and as permissible under Federal and Stale regulalions, Ihe
contraclor shall make full use of Iraining programs. I.e..
apprenliceship, and on-the-job training programs for the
geographical area of contract performance. Where feasible, 25
percent of apprentices or trainees in each occupation shall be in
their first year of apprenticeship or Iraining. In the evenl a special
provision for training is provided under this contracI, Ihis subpara-
graph will be superseded as indicated in the 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
promolion potential of minority group and women employees and
will encourage eligible employees to apply for such training and
promotion.
7. Unions: If Ihe contraclor relies in whole or in part upon
unions as a source of employees, Ihe conlractor will use his/her
best efforts to obtain the cooperation of such unions to increase
opportunities for minority groups and women within the unions.
and to effect referrals by such unions of minority and female
employees. Actions by the contractor either directly or through a
contracto~s association acting as agent will include Ihe
procedures 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 Ihe unions and increasing Ihe skills of minority
group employees and women so thaI they may qualify for higher
paying employment.
b. The conlractor will use best efforts to incorporale an
EEO clause into each union agreemenl to Ihe end thaI such union
will be conlraclually bound 10 refer applicanls wilhoul regard 10
Iheir race, color. religion, sex. nalional origin, age or disability.
c. The conlractor is to obtain information as 10 the referral
practices and policies of the labor union except that to the extent
such information is wilhin the exclusive possession of Ihe labor
union and such labor union refuses 10 furnish such information 10
the contraclor, Ihe contractor shall so certify 10 the SHA and shall
sel forth whal efforts have been made 10 obtain such informalion.
d. In Ihe event the union is unable 10 provide the contraclor
Exhibit I - Page 2 of 9
REQUIRED BY 23 CFR 633.102
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with a reasonable flow of minority and women referrals within Ihe
time limit set forth in the collective bargaining agreement, the
conlraclor will, through independent recruitment efforts, fill Ihe
employment vacancies without regard 10 race. color. religion. sex,
nalional origin, age or disability; making full efforts to obtain
qualified andlor qualifiable minority group persons and women.
(The DOL has held that it shall be no excuse thaI the union with
which the contractor has a colleclive bargaining agreement
providing for exclusive referral failed to refer minority employees.)
In the event Ihe union referral practice prevents the contractor
from meeting the obligations pursuant to Executive Order 11246,
as amended, and these special provisions, such contractor shall
immediately notify the SHA.
8. Selection of Subcontractors, Procurement of Materials
and Leasing 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 obligations under this contract.
b. Disadvantaged business enlerprises (DBE), as defined
in 49 CFR 23, shall have equal opportunity to compete for and
perform subcontracts which the contractor enters inlo pursuant to
this contract. The conlraclor will use his best efforts to solicit bids
from and to ulilize DBE subcontractors or subcontractors with
meaningful minority group and female represenlation among their
employees. Contractors shall obtain lists of DBE conslruction
firms from SHA personnel.
c. The contraclor will use his best efforts to ensure subcon-
Iractor compliance with their EEO obligations.
9. Records and Reports: The contractor shall keep such
records as necessary 10 document compliance with Ihe EEO
requirements. Such records shall be retained for a period of three
years following completion of the contract work and shall be
available al reasonable times and places for inspection byautho-
rized representatives of the SHA and the FHW A.
a. The records kept by Ihe conlraclor shall document the
following:
(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 being made in cooperation
with unions, when applicable, to increase employment opportuni-
ties for minorities and women;
(3) The progress and efforts being made in localing,
hiring. training, qualifying. and upgrading minority and female
employees; and
(4) The progress and efforts being made in securing
Ihe services of DBE subcontractors or subcontraclors with
meaningful minority and female representation among their
employees.
b. The conlractors will submit an annual report to the SHA
each July for the duralion of the projecl. indicating the number of
minority, women, and non-minority group employees currently
engaged in each work classificalion required by the contract work.
This information is to be reported on Form FHW A-1391. If on-the
job Iraining is being required by special provision, the contraclor
will be required to collect and report training data.
III. NONSEGREGATED FACILITIES
(Applicable to all Federal-aid construction contracts and to all
Exhibit I
related subconlracts of $10,000 or more.)
a. By submission of Ihis bid, the execution of this contract
or subcontract, or the consummation of this malerial supply agree-
menl or purchase order, as appropriate, the bidder, Federal-aid
construction contractor. subcontractor, material supplier, or
vendor, as appropriate, certifies that the firm does not maintain or
provide for its employees any segregated facilities al 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 firm agrees that a
breach of this certification is a violation of the EEO provisions of
this contract. The firm further certifies that no employee will be
denied access to adequate facilities on Ihe basis of sex or
disability.
b. As used in this certification, the lerm 'segregated
facilities" means any waiting rooms, work areas, restrooms and
washrooms, reslaurants and other ealing areas, timeclocl<s,locker
rooms, and other storage or dressing areas, parking loIs, drinking
fountains, recrealion or enlertainment areas, transportation, and
housing facilities provided for employees which are segregated by
explicit directive, or are, in fact, segregaled on Ihe basis of race,
color, religion, nalional origin. age or disability. because of habil.
local custom, or otherwise. The only exceplion will be for the
disabled when the demands for accessibility override (e.g.
disabled parking).
c. The contractor agrees Ihat it has obtained or will obtain
idenlical certification from proposed subcontractors or material
suppliers prior to award of subcontracts or consummation of
malerial supply agreements of $10,000 or more and that it will
retain such certifications in ils files.
IV. PAYMENT OF PREDETERMINED MINIMUM WAGE
(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 minor collectors,
which are exempt.)
1. General:
a. All mechanics and laborers employed or working upon
Ihe site of the work will be paid unconditionally and not less often
than once a week and without subsequent deduction or rebate on
any accounl [excepl such payroll deductions as are permitted by
regulalions (29 CFR 3) issued by Ihe Secretary of Labor under the
Copeland Act (40 U.S.C. 276c)] the full amounts of wages and
bona fide fringe benefits (or cash equivalenls Ihereof) due at time
of payment. The payment shall be compuled at wage rates not
less Ihan Ihose contained in the wage delermination of the
Secrelary of Labor (hereinafter "the wage determination") which is
attached hereto and made a part hereof, regardless of any
conlractual relationship which may be alleged to exist between the
conlractor or its subcontractors and such laborers and mechanics.
The wage determination (including any additional classifications
and wage rales conformed under paragraph 2 of this Section IV
and the DOL poster (WH-1321) or Form FHWA-1495) shall be
posted al all times by the contraclor and ils subcontraclors at Ihe
site of the work in a prominent and accessible place where it can
be easily seen by the workers. For the purpose of Ihis Seclion.
contributions made or costs reasonably anticipated for bona fide
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 Ihe 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 weekty period (but not less often than quarterly) under
plans, funds, or programs, which cover the particular weekly
period, are deemed to be conslructively made or incurred during
such weekly period. Such laborers and mechanics shall be paid
the appropriate wage rate and fringe benefits on the wage
Exhibit I - Page 3 of 9
REQUIRED BY 23 CFR 633.102
Jet
determination for the classification of work actually performed,
wilhout regard to skill, except as provided in paragraphs 4 and 5
oflhis Section IV.
b. Laborers or mechanics performing work in more than
one classification may be compensaled at the rate specified for
each classification for the time aclually 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 inlerpretalions ofthe Davis-Bacon Act and
related acts contained in 29 CFR 1, 3. and 5 are herein incorpo-
raled by reference in this contract.
2. Classification:
a. The SHA contracting officer shall require that any class
of laborers or mechanics employed under Ihe contract, which is
nol lisled in the wage delermination, shall be classified in
conformance with the wage determination.
b. The contracting officer shall approve an additional
classification. wage rate and fringe benefits only when Ihe
following criteria have been met:
(1) the work to be performed by Ihe additional
classification requesled is not performed by a classification in Ihe
wage determination;
(2) the additional classification is utilized in Ihe area by
the construction induslry;
(3) the proposed wage rate, including any bona fide
fringe benefits. bears a reasonable relalionship to the wage rates
contained in Ihe wage determination; and
(4) with respect 10 helpers. when such a classificalion
prevails 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 addition-
ai classification or their representatives, and Ihe contracting officer
agree on the classification and wage rate (including the amounl
designated for fringe benefils where appropriate). a report of the
action laken shall be senl by Ihe conlracling officer to Ihe DOL,
Adminislrator of the Wage and Hour Division, Employmenl Slan-
dards Administration, Washington. D.C. 20210. The Wage and
Hour Adminislralor. or an authorized representative, will approve.
modify, or disapprove every addilional c1assificalion action within
30 days of receipl and so advise the contracting officer or will
nolify the contracting officer within the 30-day period that
additional time is necessary.
d. In the evenl Ihe contractor or subconlraclors, as appro-
priate. the laborers or mechanics to be employed in the additional
classificalion or their representatives, and Ihe contracting officer
do not agree on Ihe proposed c1assificalion and wage rate
(including Ihe amount designaled for fringe benefits, where
appropriale). the contracting officer shall refer the queslions,
including the views of all interested parties and the recommenda-
tion of the contracling officer. to the Wage and Hour Administrator
for determination. Said Administrator, or an authorized represen-
lative. will issue a determinalion within 30 days of receipl and so
advise the contracting officer or will notify Ihe contracling officer
within the 30-day period Ihat addilional lime is necessary
e. The wage rate (including fringe benefits where appropri-
ate) delermined pursuant to paragraph 2c or 2d of this Section IV
shall be paid to all workers performing work in the additional
classification from Ihe first day on which work is performed in Ihe
classificalion.
3. Payment of Fringe Benefits:
Exhibit I
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, Ihe contractor or
subcontractors, as appropriate, shall eilher pay the benefit as
stated in the wage determination or shall pay another bona fide
fringe benefit or an hourly case equivalent thereof.
b. If the contractor or subcontractor. as appropriate. does
not make payments 10 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 fide
fringe benefits under a plan or program, provided, Ihatlhe Secre-
tary of Labor has found, upon the written request of the contractor,
thaI the applicable standards of the Davis-Bacon Act have been
met. The Secretary of Labor may require the contractor to set
aside in a separate account assets for the meeting of obligations
under Ihe plan or program.
4. Apprentices and Trainees (Programs of the U.S. DOL)
and Helpers:
a. Apprentices;
(1) Apprentices will be permitted to work al less Ihan
the predetermined rate for the work they performed when they are
employed pursuant 10 and individually registered in a bona fide
apprenticeship program registered with Ihe DOL, Employment and
Training Administralion, Bureau of Apprenticeship and Training, or
with a State apprenticeship agency recognized by Ihe Bureau, or if
a person is empioyed in his/her first 90 days of probalionary
employmenl as an apprenlice in such an apprenticeship program,
who is not individually registered in the program. but who has
been certified by Ihe Bureau of Apprenticeship and Training or a
State apprenticeship agency (where appropriate) to be eligible for
probationary employmenl as an apprenlice.
(2) The allowable ralio of apprentices 10 joumeyman-
level employees on the job sile in any craft classification shall not
be greater than the ratio permitted to the contractor as 10 the
entire work force under the registered program. Any employee
listed on a payroll at an apprentice wage rale, who is not regis-
tered or otherwise employed as stated above. shall be paid not
less Ihan 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 Ihe registered 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 construction on a projecl in a locality other than that in
which its program is registered, the ratios and wage rales (ex-
pressed in percentages of the joumeyman-Ievel hourly rale)
specified in Ihe contractor's or subconlractor's registered program
shall be observed.
(3) Every apprentice must be paid at not less than the
rale specified in the regislered program for the apprenlice's level
of progress, expressed as a percentage of Ihe joumeyman-Ievel
hourly rate specified in the applicable wage determination.
Apprentices shall be paid fringe benefits in accordance with the
provisions of the apprenticeship program. If the apprenticeship
program does nol specify fringe benefits. apprenlices must be
paid Ihe full amounl of fringe benefits Iisled on the wage determi-
nation for the applicable classification. If Ihe Administrator for the
Wage and Hour Division determines Ihat a different practice
prevails for the applicable apprentice classification, fringes shall
be paid in accordance with Ihal delermination.
(4) In the evenl the Bureau of Apprenticeship and
Training, or a State apprenticeship agency recognized by the
Bureau, wilhdraws approval of an apprenliceship program, the
contraclor or subconlractor will no longer be permitted 10 utilize
apprenlices at iess Ihan the applicable predetermined rate for the
Exhibit I - Page 4 of 9
REQUIRED BY 23 CFR 633.102
-- }1
comparable work performed by regular employees until an accepl-
able program is approved.
b. Trainees:
(1) Except as provided in 29 CFR 5.16, Iraineeswill not
be permitted to work at less than Ihe predelermined rate for the
work performed unless they are employed pursuant to and
individually regislered 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-Ievel employees
on the job sile shall nol be greater than permitted under Ihe plan
approved by the Employmenl and Training Administralion. Any
employee listed on the payroll at a Irainee rate who is not
registered and participating in a training plan approved by the
Employmenl and Training Adminislration shall be paid not less
than the applicabie wage rate on the wage delermination for the
classification of work actually performed. In addition, any trainee
performing work on Ihe job sile in excess of Ihe ratio permitted
under Ihe regislered program shall be paid not less Ihan Ihe
applicable wage rate on the wage determination for Ihe work
actually performed.
(3) Every trainee musl be paid at not less Ihan the rate
specified in the approved program for his/her level of progress,
expressed as a percentage of the journeyman-level hourly rale
specified in the applicable wage delermination. Trainees shall be
paid fringe benefits in accordance with the provisions of the
trainee program. If the Irainee program does not mention fringe
benefits, trainees shall be paid the full amount of fringe benefits
listed on the wage determinalion unless the Adminislrator of the
Wage and Hour Division determines that Ihere is an apprenlice-
ship program associated with Ihe corresponding joumeyman-Ievel
wage rale on Ihe wage delermination which provides for less than
full fringe benefits for apprenlices, in which case such trainees
shall receive the same fringe benefits as apprenlices.
(4) In the event the Employment and Training
Administralion withdraws approval of a training program. the
contractor or subcontractor will no longer be permitted 10 utilize
trainees al less than the applicable predetermined rate for the
work performed until an acceplable program is approved.
c. Helpers:
Helpers wiil be permitted to work on a project if the
helper classificalion is specified and defined on the applicable
wage delerminalion or is approved pursuant to the conformance
procedure setforth 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 applicable wage rate on
the wage delerminalion for the classification of work actually per-
formed.
5. Apprentices and Trainees (Programs of the U.S. DOT):
Apprenlices and lrainees working under apprenticeship and
skill training programs which have been certified by the Secretary
of Transportation as promoting EEO in connection wilh Federal-
aid highway construction programs are not subject 10 the require-
ments of paragraph 4 of this Seclion IV. The straight lime hourly
wage rates for apprentices and trainees under such programs will
be established by Ihe particular programs. The ralio of apprentic-
es and trainees to journeymen shall nol be grealer than permitted
by Ihe terms of Ihe particular program.
6. Withholding:
The SHA shall upon its own action or upon written requesl
of an authorized representalive of the DOL withhold, or cause to
be wilhheld, from the contractor or subcontractor under this
Exhibit I
contract or any other Federal contract wilh the same prime
contractor. or any other Federally-assisted contract subject to
Davis-Bacon prevailing wage requirements which is held by the
same prime conlractor, as much of the accrued paymenls or
advances as may be considered necessary to pay iaborers and
mechanics, including apprenlices, Irainees, and helpers, em-
ployed by the contractor or any subcontractor the full amount of
wages required by the contract. In the event of failure to pay any
laborer or mechanic, inciuding any apprentice. trainee, or helper.
employed or working on the site of the work, all or part of the
wages required by the contract, the SHA contracling officer may.
after written notice to the contractor. take such action as may be
necessary 10 cause the suspension of any further payment,
advance, or guarantee of funds until such violations have ceased.
7. Overtime Requirements:
No conlraclor or subcontraclor contracling for any part of
the contracl 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. walchman, or guard receives compensalion at a rate
nol less than one-and-one-half limes 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 conlractor 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, 10 such District or to such
territory) for liquidated damages. Such liquidated damages shall
be com puled with respect to each individual laborer, mechanic.
watchman. or guard employed in violation of the clause sel forth in
paragraph 7, in the sum of $10 for each calendar day on which
such employee was required or permitted 10 work in excess of the
standard work week of 40 hours without payment of the overtime
wages required by Ihe 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 represenlalive of the DOL withhold. or cause 10 be
withheld, from any monies payable on account of work performed
by the contraclor or subconlractor under any such contract or any
other Federal contract with the same prime conlractor, or any
other Federally-assisled conlract subjecl to the Contract Work
Hours and Safety Standards Act, which is held by Ihe same prime
contraclor. such sums as may be determined 10 be necessary to
satisfy any liabilities of such contractor or subcontractor for unpaid
wages and liquidated damages as provided in Ihe clause sel forth
in paragraph 8 above.
V. STATEMENTS AND PAYROLLS
(Applicable 10 all Federal-aid conslruclion contracts exceeding
$2.000 and 10 all relaled subconlracts. except for projecls localed
on roadways classified as local roads or rural collectors, which are
exempt.)
1. Compliance with Copeland Regulations (29 CFR 3):
The contractor shall comply wilh the Copeland Regulalions of
the Secretary of Labor which are herein incorporated by reference.
2. Payrolls and Payroll Records:
Exhibit I - Page 5 of 9
REQUIRED BY 23 CFR 633.102
J{~
..
..
a. Payrolls and basic records relaling therelo shall be
mainlained by the contractor and each subcontractor during the
course of Ihe work and preserved for a period of 3 years from the
dale of completion of Ihe contract for all laborers. mechanics,
apprenlices. trainees. watchmen, helpers, and guards working at
the site of the work.
b. The payroll records shall contain the name, social
security number. and address of each such employee; his or her
correct classificalion; hourly rates of wages paid (including rates of
conlributions or costs anticipated for bona fide fringe benefits or
cash equivalent thereof Ihe types described in Section 1(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 Ihe labor area as defined in Attachment A. paragraph 1.
Whenever the Secretary of Labor, pursuant to Seclion IV.
paragraph 3b, has found Ihat the wages of any laborer or
mechanic include the amount of any costs reasonably anticipated
in providing benefits under a plan or program described in Section
1(b)(2)(B) of the Davis Bacon Act, Ihe contractor and each
subcontraclor shall maintain records which show that the commit-
menl to provide such benefits is enforceable, that the plan or
program is financially responsible. that the plan or program has
been communicaled in writing to the laborers or mechanics
affected, and show Ihe cost anticipated or Ihe actual cost incurred
in providing benefits. Contractors or subcontractors employing
apprentices or trainees under approved programs shall maintain
written evidence of the registralion of apprentices and trainees,
and ratios and wage rales prescribed in the applicable programs.
c. Each contractor and subconlractor shall furnish, each
week in which any conlract work is performed, 10 the SHA resident
engineer a payroll of wages paid each of its employees (including
apprentices, Irainees, and helpers. described in Section IV, para-
graphs 4 and 5, and walch men and guards engaged on work
during the preceding weekly payroll period). The payroll submitted
shall set out accurately and completely all of the information
required 10 be maintained under paragraph 2b of this Section V.
This informalion may be submitted in any form desired. Optional
Form WH-347 is available for this purpose and may be purchased
from Ihe Superintendenl of Documenls (Federal stock number
029-005-0014-1), U.S. Government Printing 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
"Slatement of Compliance," signed by the contraclor or subcon-
Iractor or his/her agent who pays or supervises the payment of the
persons employed under Ihe 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 Ihat such information is correct and complete;
(2) thaI such laborer or mechanic (including each
helper, apprentice, and Irainee) employed on the contracl during
Ihe payroll period has been paid the full weekly wages earned.
without rebale. either directly or indirectly. and Ihat no deductions
have been made either directly or indirectly from Ihe full wages
earned. other Ihan permissible deductions as set forth in the
Regulations, 29 CFR 3;
(3) thaI each laborer or mechanic has been paid not
less thaI 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-
tion set forth on the reverse side of Optional Form WH-347 shall
Exhibit I
satisfy 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 conlractor 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 FHW A, or the DOL. and shall permit such repre-
sentatives to interview employees during working hours on the job.
If the contractor or subconlractor fails to submit the required
records or to make them available. Ihe SHA, Ihe FHWA. the DOL.
or all may, after written nolice 10 the contractor. sponsor. applicanl,
or owner, take such actions as may be necessary to cause Ihe
suspension of any further payment, advance, or guarantee of
funds. Furthermore, failure to submit the required records upon
requesl or to make such records available may be grounds for
debarment action pursuant to 29 CFR 5.12.
VI. 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
construcled on a force account or direct labor basis. highway
beautification contracts. and conlracts for which the total final
construction cost for roadway and bridge is less Ihan $1,000,000
(23 CFR 635) the contractor shall:
a. Become familiar with the lisl of specific materials and
supplies contained in Form FHWA-47, "Slatement of Malerials
and Labor Used by Contractor of Highway Construction Involving
Federal Funds," prior to the commencement of work under this
contract.
b. Maintain a record of the total cost of all malerials and
supplies purchased for and incorporated in the work. and also of
the quantities 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 oflhe contract, to the SHA
resident engineer on Form FHWA-47 logelher with the data
required in paragraph 1 b relative to materials and supplies, a final
labor summary of all contract work indicating Ihe total hours
worked and the lolal amounl earned.
2. At the prime contractor's option, either a single report
covering all contract work or separate reports for Ihe contractor
and for each subcontract shall be submitted.
VII. SUBLETTING 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
percenlage if specified elsewhere in the conlract) of the tolal
original contract price, excluding any specialty items designated by
Ihe Stale. Specialty items may be performed by subcontract and
Ihe amount of any such specialty items performed may be
deducted from Ihe total original contract price before computing
the amount of work required to be performed by the contractor's
own organizalian (23 CFR 635).
a. "Its own organizalion" shall be construed 10 include only
workers employed and paid directly by Ihe prime contractor and
equipment owned or rented by Ihe prime conlractor, with or
without operators. Such term does not include employees or
equipmenl of a subcontractor. assignee. or agenl of Ihe prime
conlraclor.
b. "Specialty Ilems" shall be construed 10 be limited 10
work thaI requires highly specialized knowledge, abilities. or
Exhibit I - Page 6 of 9
REQUIRED BY 23 CPR 633.102
AI (
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...
equipment not ordinarily available in the type of contracting
organizations qualified and expected 10 bid on the contract as a
whole and in general are to be limited 10 minor componenls of the
overall contract.
2. The contract amount upon which the requirements sel forth
in paragraph 1 of Section VII is computed in dudes the cost of
material and manufactured products which are to be purchased or
produced by the contractor under the conlract provisions.
3. The contractor shall fumish (a) a competent superintendent
or supervisor who is employed by the firm. has full aulhority to
direct performance of the work in accordance wilh 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 resources (supervision. management. and
engineering services) as the SHA contracting officer determines is
necessary to assure the performance of the contract.
4. No portion of the conlracl shall be sublet. assigned or
otherwise disposed of except with the written consent of the SHA
contracting officer. or authorized representative, and such consenl
when given shall not be conslrued to relieve Ihe conlractor 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 il contains all pertinenl provisions
and requirements of the prime contract.
VIII. SAFETY: ACCIDENT PREVENTION
1. In the performance of this contract the conlraclor shall
comply with all applicable Federal. State. and local laws goveming
safety. health. and sanitation (23 CFR 635). The conlractor shall
provide all safeguards. safety devices and proleclive equipment
and take any other needed actions as it delermines. or as the SHA
contracting officer may determine. 10 be reasonably necessary 10
prolect the life and health of employees on the job and Ihe safety
of the public and to protect property in conneclion with the
performance of the work covered by the conlract.
2. It is a condition of this conlracl. and shall be made a
condition of each subconlracl. which the contraclor enlers inlo
pursuant to this contract. that Ihe 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 heallh standards (29 CFR 1926)
promulgaled by Ihe Secretary of Labor. in accordance with
Section 107 ofthe Conlract Work Hours and Safety Standards Act
(40 U.S.C. 333).
3. Pursuant 10 29 CFR 1926.3. it is a condition of this contract
that Ihe Secretary of Labor or aulhorized representalive thereof.
shall have rig hI of entry to any site of contract performance to
inspect or investigate the matter of compliance with the construc-
tion safety and heallh standards and 10 carry oul the duties of the
Secretary under Section 107 of the Contracl Work Hours and
Safety Standards Act (40 U.S.C. 333).
IX. FALSE STATEMENTS CONCERNING HIGHWAY
PROJECTS
In order 10 assure high quality and durable construction in
conformity with approved plans and specifications and a high
degree of reliability on statemenls and representations made by
engineers. conlraclors. suppliers. and workers on Federal-aid
highway projecls, II is essential Ihal all persons concemed with Ihe
project perform Iheir functions as carefully. thoroughly. and
honestly as possible. Willful falsificalion. distortion. or misrepre-
sentation with respect 10 any facts reiated 10 the project is a
violalion of Federal law. To prevenl any misunderstanding
regarding Ihe seriousness of these and similar acls. the following
notice shall be posted on each Federal-aid highway project (23
Exhibit I
CFR 635) in one or more places where it is readily available to all
persons concemed wilh the project:
NOTICE TO ALL PERSONNEL ENGAGED ON FEDERAL.AlD
HIGHWAY PROJECTS
18 U.S.C. 1020 reads as follows:
'Whoever, being an officer. agent, or employee of the United
States. or of any State or Temtory. 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 material used or to be used, or the
quantity or quality of the work petformed 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 Secretary of
Transportation; or
Whoever knowingly makes any false statement. false
representation. false report or false claim with respect to the
character, quality. quantity, or cost of any work petformed or to be
petformed, or materials fumished or to be fumished, 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
representation as to material fact in any statement, certificate, or
report submitted pursuant to provisions of the Federal-aid Roads
Act approved July 1, 1916. (39 Stat. 355), as amended and
supplemented;
Shall be fined not more that $10,000 or imprisoned not more
than 5 years or both. .
X. IMPLEMENTATION OF CLEAN AIR ACT AND FEDERAL
WATER POLLUTION CONTROL ACT
(Applicable to all Federal-aid construction contracts and to all
related subcontracls of $100.000 or more.)
By submission of this bid or Ihe execution of this contract. or
subconlract. as appropriate. the bidder. Federal-aid construction
contractor. or subcontractor. as appropriate. will be deemed 10
have stipulated as follows:
1. ThaI any facility thaI is or wili be ulilized in the performance of
this contract. unless such conlract is exempt under the Clean Air
Act. as amended (42 U.S.C. 1857 !ll~.. as amended by Pub.L.
91-604). and under the Federal Water Pollution Control Act. as
amended (33 U.S.C. 1251 !ll~.. as amended by Pub. I.. 92-500).
Executive Order 11738. and regulalions in implementation thereof
(40 CFR 15) is not listed. on the date of contract award. on the
U.S. Environmental Protection Agency (EPA) Lisl of Violating
Facilities pursuanl 10 40 CFR 15.20.
2. That the firm agrees to comply and remain in compliance with
all the requirements of Section 114 of the Clean Air Act and
Section 308 of the Federal Water Pollution Control Act and all
regulations and guidelines Iisled Ihereunder.
3. That Ihe firm shall promptly nolify the SHA of Ihe receipt of any
communication from the Direclor, Office of Federal Activities,
EPA. indicating Ihat a facility thaI is or will be utilized for the
contract is under consideration 10 be listed on Ihe EPA List of
Violating Facilities.
4. That the firm agrees to include or cause to be included the
requirements of paragraph 1 through 4 of Ihis Section X in every
nonexempl subcontract. and further agrees to take such aclion as
Ihe govemmenl may direct as a means of enforcing such
requirements.
Exhibit I - Page 7 of 9
REQUIRED BY 23 CFR 633.102
-- 1-( If
...
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, Ihe prospective
primary participant is providing the certification set out below.
b. The inability of a person 10 provide Ihe certification set
out below will not necessarily result in denial of participation in this
covered transaction. The prospeclive participant shall submit an
explanation of why it cannot provide the certification set oul below.
The certification or explanalion will be considered in connection
with the departmenl or agency's determination whether 10 enter
inlo Ihis transaction. However, failure of the prospeclive primary
participant to furnish a certification or an explanation shall
disqualify such a person from participation in this transaclion.
c. The certificalion in this clause is a material
representation of fact upon which reliance was placed when the
department or agency determined to enter into Ihis transaction. If
it is later determined that Ihe prospeclive primary participant
knowingly rendered an erroneous certification, in addition 10 other
remedies available to the Federal Governmenl, the department or
agency may terminate this transaction for cause of default.
d. The prospective primary participant shall provide immedi-
ate written notice to the department or agency to whom this
proposal is submitted if any time the prospective primary partici-
pant learns that its certification was erroneous when submitted or
has become erroneous by reason of changed circumstances.
e. The lerms "covered transaction," "debarred,"
"suspended," "ineligible," "lower tier covered transaction,"
'participanl," "person," "primary covered transaction," "principal,"
"proposal," and "voluntarily excluded," as used in this clause, have
the meanings set out in the Definitions and Coverage sections of
rules implementing Executive Order 12549. You may contact Ihe
department or agency to which this proposal is submitted for
assistance in obtaining a copy of those regulations.
f. The prospective primary participant agrees by submitting
this proposal that, should the proposed covered transaction be
entered inlo. it shall nol 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
entering into this transaction.
g. The prospective primary participanl further agrees by
submitting this proposal Ihat it will include the clause titled
"Certification Regarding Debarment, Suspension. Ineligibility and
Voluntary Exclusion-LowerTier Covered Transaction," provided by
the department or agency enlering inlo this covered transaction,
without modification, in all lower tier covered transaclions and in
all solicitations for lower tier covered transactions.
h. A participant in a covered Iransaction may rely upon a
certificalion of a prospective participanl in a lower tier covered
transaction thaI is not debarred, suspended, ineligible. or volun-
larily excluded from the covered Iransaclion. unless it knows Ihat
Ihe certification is erroneous. A participant may decide Ihe
method and frequency by which it determines the eligibility of its
principals. Each participant may, but is not required to, check the
non procurement portion of Ihe "Lists of Parties Excluded From
Federal Procurement or Nonprocuremenl Programs" (Non procure-
ment List) which is compiled by the General Services
Administralion.
Exhibit I
1. Nothing contained in the foregoing shall be construed to
require establishment of a syslem of records in order 10 render in
good faith the certificalion required by this clause. The knowledge
and information of participant is not required 10 exceed Ihat 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 Iransaction
knowingly enters into a lower tier covered transaction with a
person who is suspended, debarred, ineligible, or voluntarily
excluded from participation in Ihis transaction, in addition to other
remedies available 10 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 prospeclive 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 nol 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 wilh
obtaining, attempting to obtain, or performing a public (Federal,
State or local) Iransaction or contract under a public transaction;
violation of Federal or State antitrust statutes or commission of
embezzlement. theft, forgery. bribery, falsification or destruction of
records, making false statements, or receiving stolen property;
c. Are not presently indicted for or otherwise criminally or
civilly charged by a governmenlal entity (Federal, State or local)
with commission of any of the offenses enumeraled in paragraph
1b of this certification; and
d. Have not within a 3-year period preceding Ihis
application/proposal had one or more public transactions (Federal,
Stale or local) terminated for cause or default.
2. Where the prospective primary participant is unable to certify
to any of the stalements in this certificalion, such prospective
participant shall attach an explanation 10 Ihis proposal.
2. Instructions for Certification - Lower Tier Covered
Transactions:
(Applicable to all subcontracts. purchase orders and other lower
tier transactions of $25,000 or more - 49 CFR 29)
a. By signing and submitting this proposal, the prospective
lower tier is providing the certification sel oul below.
b. The certification in Ihis clause is a material
representation of fact upon which reliance was placed when this
lransaclion was entered Inlo. If il is laler delermined that Ihe
prospective lower lier participant knowingly rendered an
erroneous certification. in addition to other remedies available 10
the Federal Governmenl. the department, or agency with which
Ihis Iransaction originaled may pursue available remedies,
including suspension and/or debarment.
Exhibit I - Page 8 of 9
REQUIRED BY 23 CFR 633.102
l{3
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..
c. The prospective lower tier participant shall provide
immediate written notice to the person to which this proposal is
submitted if at any lime the prospective lower tier participant
learns that its certificalion was erroneous by reason of changed
circumstances.
d. The terms "covered transaction," "debarred,"
"suspended," "ineligible," "primary covered transaction,"
"participanl," "person," "principal," "proposal," and "voluntarily
excluded," as used in this clause, have the meanings set out in
the Definitions and Coverage sections of rules 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 Ihe proposed covered
Iransaction be entered into, il shall nol knowingly enter inlo any
iower tier covered transaction with a person who is debarred,
suspended, declared ineligible, or volunlarily excluded from
participation in this covered transaction, unless authorized by the
departmenl or agency wilh which this Iransaction originated.
f. The prospective lower tier participant further agrees by
submitting this proposal that it will include Ihis clause litled
"Certification Regarding Debarment, Suspension, Ineligibility and
Voluntary Exclusion-Lower Tier Covered Transaction," without
modification, in all lower tier covered transactions and in all
solicitations for lower tier covered Iransactions.
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 participanl may decide the
method and frequency by which it determines the eligibility of its
principals. Each participant may, bul is not required to, check Ihe
Nonprocurement List.
h. Nothing contained in the foregoing shall be construed 10
require establishmenl of a system of records in order to render in
good failh the certification required by this clause. The knowledge
and informalion of participanl is not required to exceed that which
is normally possessed by a prudenl person in the ordinary course
of business dealings.
I. Except for Iransactions authorized under paragraph e of
these instructions, if a participant in a covered transaction
knowingiy enters into a lower tier covered Iransaction with a
person who is suspended, debarred, ineligible. or voluntarily
excluded from participalion in this transaction, in addition to olher
remedies available 10 the Federal Governmenl. the departmenl or
agency with which this transaclion originated may pursue
availabie remedies, including suspension and/or debarment.
Certification Regarding Debarment, Suspension,
Ineligibility and Voluntary Exclusion-Lower Tier Covered
Transactions:
1. The prospeclive lower lier participanl certifies. by submission
of this proposal, that neilher 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 lier participanl is unable to
certify 10 any of the statemenls in this certificalion, such prospec-
tive participanl shall attach an explanalion 10 this proposal.
Exhibit I
XII. CERTIFICATION REGARDING USE OF CONTRACT
FUNDS OR LOBBYING
(Applicable to all Federal-aid construction contracts and to all
related subconlracts which exceed $100,000 - 49 CFR 20)
1. The prospective participanl certifies. by signing and submit-
ting Ihis 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 person 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 conlracl. the making
of any Federal grant, the making of any Federal loan. Ihe entering
into of any cooperative agreemenl. 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 approprialed funds have
been paid or will be paid to any person for influencing or attempt-
ing 10 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 contract, grant, loan, or cooperalive agreement, the
undersigned shall complete and submil Standard Form-LLL.
"Disclosure Form to Report Lobbying." in accordance with its
instructions.
2. This certiflcation is a malerial representation of fact upon
which reliance was placed when this transaction was made or
entered into. Submission of this certification is a prerequisile for
making or entering 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 penallyofnol less than $10,000 and not more
than $100,000 for each such failure.
3. The prospective participant also agrees 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 $100.000 and that all such recipients shall certify and
disclose accordingly.
Exhibit I - Page 9 of 9
REQUIRED BY 23 CFR 633.102
J-/~
Exhibit J
40
FEDERAL REQUIREMENTS
Federal laws and regulations that maybe applicable to the Work include:
A. The "Uniform Administrative Requirements for Grants and Cooperative Agreements to State and Local
Governments (Common Rule), at 49 Code of Federal Regulations, Part 18, except to the extent that other applicable
federal requirements (including the provisions of 23 CFR Parts 172 or 633 or 635) are more specific than
provisions of Part 18 and therefore supersede such Part 18 provisions. The requirements of 49 CFR 18 include,
without limitation:
1. the Local Agency/Contractor shall follow applicable procurement procedures, as required by section 18.36( d);
2. the Local Agency/Contractor shall request and obtain prior CDOT approval of changes to any subcontracts in the
manner, and to the extent required by, applicable provisions of section 18.30;
3. the Local Agency/Contractor shall comply with section 18.37 concerning any subgrants;
4. to expedite any eDOT approval, the Local Agency/Contractor's attorney, or other authorized representative, shall
also submit a letter to CDOT certifying Local Agency/Contractor compliance with section 18.30 change order
procedures, and with l8.36(d) procurement procedures, and with 18.37 subgrant procedures, as applicable;
5. the Local Agency/Contractor shall incorporate the specific contract provisions described in l8.36(i) (which are also
deemed incorporated herein) into any subcontract(s) for such services as terms and conditions of those subcontracts.
B. Executive Order 11246 of September 24, 1965 entitled "Equal Employment Opportunity," as amended by
Executive Order 11375 of October 13, 1967 and as supplemented in Department of Labor regulations (41 CFR Chapter
60) (All construction contracts awarded in excess of$lO,OOO by grantees and their contractors or subgrantees).
C. The Copeland "Anti-Kickback" Act (18 U.S.c. 874) as supplemented in Department of Laborregulations (29
CFR Part 3) (All contracts and subgrants for construction or repair).
D. The Davis-Bacon Act (40 U.S.c. 276a to a-7) as supplemented by Department of Labor regulations (29 CFR
Part 5) (Construction contracts in excess of $2,000 awarded by grantees and subgrantees when required by Federal
grant program legislation. This act requires that all laborers and mechanics employed by contractors or sub-contractors
to work on construction projects financed by federal assistance must be paid wages not less than those established for
the locality of the project by the Secretary of Labor).
E. Sections 103 and 107 of the Contract Work Hours and Safety Standards Act (40 U.S.C. 327-330) as
supplemented by Department of Labor regulations (29 CFR Part 5). (Construction contracts awarded by grantees and
subgrantees in excess of $2,000, and in excess of $2,500 for other contracts which involve the employment of
mechanics or laborers).
F. Standards, orders, or requirements issued under section 306 of the Clear Air Act (42 U.S.C. I 857(h), section
508 of the Clean Water Act (33 U.S.C. 1368). Executive Order 11738, and Environmental Protection Agency
regulations (40 eFR Part 15) (contracts, subcontracts, and subgrants of amounts in excess of $100,000).
G. Mandatory standards and policies relating to energy efficiency which are contained in the state energy
conservation plan issued in compliance with the Energy Policy and Conservation Act (Pub. L. 94-163).
H. Office of Management and Budget Circulars A-87, A-2l or A-I22, and A-102 or A-I 10, whichever is
applicable.
I. The Hatch Act (5 USC 1501-1508) and Public Law 95-454 Section 4728. These statutes state that federal
Exhibit J - Page 1 of 3
).{5
4
Exhibit J
.I>
funds cannot be used for partisan political purposes of any kind by any person or organization involved in the
administration of federally-assisted programs.
J. 42 USC 6101 et 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;
K. The Americans with Disabilities Act (Public Law 101-336; 42 USC 12101, 12102, 12111-12117, 12131-
12134,12141-12150,12161-12165,12181-12189,12201-12213 47 USC 225 and 47 USC 611.
L. The Uniform Relocation Assistance and Real Property Acquisition Policies Act, as amended (public Law 91-
646, as amended and Public Law 100-17, 101 Stat. 246-256). (If the contractor is acquiring real property and
displacing households or businesses in the performance of this contract.)
M. The Drug-Free Workplace Act (Public Law 100-690 Title V, subtitle D, 41 USC 701 et seQ.).
N. The Age Discrimination Act of1975, 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.C. 794, as amended, and implementing
regulation 45 C.F.R. Part 84.
O. 23 C.F.R. Part 172, conceming "Administration of Engineering and Design Related Contracts".
P. 23 C.F.R Part 633, conceming "Required Contract Provisions for Federal-Aid Construction Contracts".
Q. 23 C.F.R. Part 635, conceming "Construction and Maintenance Provisions".
R. Title VI of the Civil Rights Act of 1964 and 162(a) of the Federal Aid Highway Act of 1973. The
requirements for which are shown in the Nondiscrimination Provisions, which are attached hereto and made a part
hereof.
S. Nondiscrimination Provisions:
In compliance with Title VI ofthe eivil Rights Act of 1964 and with Section 162(a) of the Federal Aid Highway Act of
1973, the Contractor, for itself, its assignees and successors in interest, agree as follows:
1. Compliance with Regulations. The Contractor will comply with the Regulations of the Department of
Transportation relative to nondiscrimination in Federally assisted programs of the Department of Transportation (Title
49, Code of Federal Regulations, Part 21, hereinafter referred to as the "Regulations"), which are herein incorporated
by reference and made a part of this contract.
2. 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.
3. Solicitations for Subcontracts, Including Procurement of Materials and Equipment. In all solicitations
Exhibit J - Page 2 of 3
1&
,.
...
Exhibit J
either by competitive bidding or negotiation made by the Contractor for work to be performed under a subcontract,
including procurement of materials or equipment, each potential Subcontractor or supplier shall be notified by the
Contractor of the Contractor's obligations under this contract and the Regulations relative to nondiscrimination on the
ground of race, color, sex, mental or physical handicap or national origin.
4. Information and Reports. The Contractor will provide all information and reports required by the
Regulations, or orders and instructions issued pursuant thereto and will permit access to its books, records, accounts,
other sources of information and its facilities as may be determined by the State or the FHW A 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 FHW A as appropriate and shall set forth what efforts have been made to obtain the information.
5. Sanctions for Noncompliance. In the event of the Contractor's noncompliance with the
nondiscrimination provisions of this contract, the State shall impose such contract sanctions as it or the FHW A may
determine to be appropriate, including, but not limited to:
a. Withholding of payments to the Contractor under the contract until the Contractor complies, and/or;
b. Cancellation, termination or suspension of the contract, in whole or in part.
6. Incorporation of Provisions. The Contractor will include the provisions of paragraphs A through F in
every subcontract, including procurement of materials and leases of equipment, unless exempt by the Regulations,
orders, or instructions issued pursuant thereto. The Contractor will take such action with respect to any subcontract or
procurement as the State or the FHW A may direct as a means of enforcing such provisions including sanctions for
noncompliance; provided, however, that, in the event the Contractor becomes involved in, or is threatened with,
litigation with a Subcontractor or supplier as a result of such direction, the Contractor may request the State to enter into
such litigation to protect the interest of the State and in addition, the Contractor may request the FHW A to enter into
such litigation to protect the interests ofthe United States.
Exhibit J - Page 3 of 3
q1
DEPARTMENT OF TRANSPORTATION
MEMORANDUM
~
DEPAIlnlENT OF ~TATION
Center for Procurement
4201 E. Arkansas Avenue, Room 150
Denver. Colorado 80222
FAX (303) 757-9669
DATE: October 11, 2006
TO: Rego Omerigic, County Fleet Manager
Pitkin County
76 Service Center Road
Aspen, CO 81611
SUBJECT: Project # 15557
Please find enclosed your copy or (original) of the referenced contract.
NOTE: WORK SHALL NOT COMMENeE UNTIL A WRITTEN NOTIeE TO PROCEED
HAS BEEN ISSUED BY THE eOLORADO DEPARTMENT OF TRANSPORTATION\
REPRESENTATIVE.
Copies/original of this contract have been distributed this date to the following:
. CDOT Files
. Business/Headquarters Staff Manager
. Vendor/Government agency
. CDOT Representative
Sincerely,
/--
___..'..._ :"'7 _~.'
" -~~ni!ii7'
Center for Procurement
And Contract Services
(303) 757-9236
q~
DEPARTMENT OF TRANSPORTATION
Region 3
222 South Sixth Street, Room 317
Grand Junction, Colorado 81501-2769
(970) 248-7216 FAX# (970) 248-7254
October 10. 2006
AQC C570-0l4
FY 06 Pitkin County CMAQ
PROJ. CODE: 15557
Rego Omerigic, County Fleet Manager
Pitkin County
76 Service Road
Aspen, CO 81611
Dear Rego:
This is your "NOTICE TO PROCEED FOR ADVERTISEMENT" for the above mentioned project.
The Intergovernmental Agreement for your project was signed on 9/28/2006 and the Federal Funds
have been encumbered. Please proceed with your advertisement for the three commuter vans. If you
have questions please do not hesitate to call me in Grand Junction at (970) 248-7216 or email me at
casey. peter(mdot. state.co. us.
~~
cas~r - Region 3
0.8. Coordinator
XC: Fink/Elsen
Mertes
Smith
Roso
Eric Ehrbar OFMB
Central Files
Region 3 File
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