HomeMy WebLinkAboutresolution.council.011-03 RESOLUTION NO.
(SERIES OF 2003)
A RESOLUTION GRANTiNG THE CITY COUNCIL OF ASPEN, COLORADO,
APPROViNG A CONGESTION MITIGATION ~ Q~i~¥ AW~ (CMAQ) GRANT
AND CONTRACT FROM THE COLORADO DEPARTMENT OF ~SPORTATION
(CDOT), TO BE UTILIZED FOR PHASE 2 CEMETERY LANE PEDESTRIAN TRAIL
PROJECT, AND AUTHORING THE CiTY MANXGER TO EXEe~ SXlD CONTRACT
ON BEHALF OF THE CITY OF ASPEN.
WHEREAS, there has been submitted So the City Council a contract between the City of
Aspen, Colorado and the Colorado Department of Transportation (CDOT), a copy of which is
annexed hereto and part thereof.
NOW, THEREFORE, BE IT RESOLVED BY THE CITY COUNCIL O? THE CITY
OF ASPEN, COLORADO.
Section One
That the CitY Council of the City of AsPen hereby approves that certain Contract between
the City of Aspen, Colorado, and the COlorado Department of Transportation (CDOT), regarding
a CMAQ Grant Contract, a copy of which is annexed hereto and igporporated herein, and does
hereby authorize the City Manager to execute said Contract on behalf o:f}he City of Aspen.
I, Kathryn Koch, duly appointed and acting City Clerk do certify that the foregoing is a true and
accurate copy of that resolution adopted by the City Council of the City of Aspen, Colorado, at a
meeting held ~ .,~, /-O ,2003.
~ ~- ,.. i~:~ : :,. ~ Kathryn Clerk
(FMLAWRK) Rev 01/09/03
PROJECT AQC M045-004, (14181) 03 HA3 00050
REGION 3/(MAA) CMS ID 03-168
CONTRACT
THIS CONTRACT, made this day of ,20 by and between the
State of Colorado for the use axed benefit of THE COLORADO DEPARTMENT OF
TRANSPORTATION, hereinafter referred to as the State or CDOT, and City of Aspen, STATE of
COLORADO, 130 Galena Street. Aspen, CO 81611, FEIN 82[6000563. hereinafter referred to as the
Local Agency, or the contractor.
FACTUAL RECITALS.
1. Authority exists in the law and funds have been budgeted, appropriated and otherwise made
available and a sufficient unencumbered balance thereof remains available for payment of project
and Local Agency costs in Fund Number 400. Appropriation Code 010, Organization Number 9991.
Program 2000. Function 3301. Object 2312 IP, Phase C, Reporting Category 3110, Contract
Encumbrance Number 14181, (Contract Encumbrance Amount: $194.175.00).
2. Required approval, clearance and coordination have been a~complished from and with
appropriate agencies.
3. Pursuant to Title I. Subtitle A, Section 1108 of the Transportation Equity Act for the 21 st
Century of 1998 [TEA-21) and to applicable provisions of Title 23 of the United States Code and
implementing regulations at Title 23 of the Code of Federal Regulations, as may be amended,
(collectively referred to hereinafter as "the federal provisions"), certain Federal funds have been and
will in the future be, allocated for highway projects requested by Local Agencies and eligible under
the Surface Transportation Program that has been proposed by the State and approved by the Federal
Highway Administration (FHWA), hereinafter referred to as the program.
4. Pursuant to § 43-1-223, C.R.S. and to applicable portions of the federal provisions, the State
is responsible for the general administration and supervision of performance of projects in the
program, including the administration of federal funds for a program project performed by a local
agency under a contract with the State.
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5. The Local Agency has requested that a certain local highway project be funded as part of the
program, and by the date of execution of this contract the Local Agency (and/or the State) has
completed and submitted a preliminary version of CDOT form #463 describing the general nature of
that project work. The Local Agency understands that, before the project work is actually started, the
description of the project work in that CDOT form #463 will likely be revised as a result of design
changes made by CDOT, in conjunction and coordination with the Local Agency, in its internal
review process. T.he Local Agency desires to agree to perform the project work as described in the
Form #463, as it mav be revised in that Process.
6. Federal-aid funds have been made available for project, AQC M045-004, which shall consist
of constructing pavement on Cemetary Lane Trail to reduce the PM-10 emissions, herein referred to
as "the project" or "the work" in Aspen. Colorado. specifically described in Exhibit A. attached
hereto and made part hereof (the Form #463 and/or a "Scope of Work").
7. The matching ratio for this federal-aid project is 82.79% federal-aid funds to 17.21% Local
Agency funds, it being understood that such ratio aEE_!ies?_n_~[)~ to such costs as are elig_ibl~e_fo~r_f_eder~_
participation, it being further understood that all non-participating costs shall be borne by the Local
Agency at 100%.
8. The Local Agency desires to comply with the federal provisions and other applicable
requirements, including the State's general administration and supervision of the project through this
contract, in order to obtain federal funds for the project.
9. The Local Agency has estimated the total cost of the Work and is prepared to provide its
match share of the cost. as evidenced by an appropriate ordinance or resolution duly passed and
adopted by the authorized representatives of the Local Agency, which expressly authorizes the Local
Agency to enter into this contract and to expend its match share of the Work. A copy of this
ordinance or resolution is attached hereto and incorporated herein as Exhibit B.
10. This contract is executed under the authority of §§ 29-1-203, 43-1-110. 43-1-116,
43-2-101 (4)(c) and 43-2-144, C.R.S., as amended, and the Local Agency ordinance/resolution.
1 I. The parties hereto desire to agree upon the division of responsibilities with regard to the
project.
12. The Local Agency is adequately staffed and suitably equipped to undertake and satisfactorily
complete some or all of the Work.
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13. The State certifies that such work can be more advantageously performed by the Local
Agency.
NOW, THEREFORE, it is hereby agreed that:
I. STANDARD FORM CONTRACT
This is a standard form contract that is designed to efficiently contract for and administer 2 types of
program projects: 1) program projects which include the same basic work elements (design;
construction: constmction administration by local agency; right-of-way: utilities; etc.); and also, 2)
program projects with specific differences in those basic work elements (e.g., a specific project may
include design but no construction, or it may include design and construction but the State will do
the construction administration, etc.)
The form contract accommodates both types of projects by using qualifying language to condition
the appli_c_atip_n_, o_~_p_a_rt_ic_u_lar~con~ract._r~e_qoirements~ased_o_n___w__h_e_th_e_r_specific work elements are
included in the project. For instance, where the contract provides ... "If the Work includes
engineenng/design services, the Local Agency shall perform the following requirements ...", the
Local Agency need perform those requirements only if engineering/design services are expressly
included in the project, as defined in the Scope of Work. ?Conversely, notwithstanding that language
is in the contract, the Local Agency can ignore those "requirements" if engineering/design services
are NOT expressly included in the Scope of Work.)
The Local Agency shall interpret such qualifying language in that manner. By using such language,
the form contract can apply to both the general and the specific types of projects, thus making it
easier to administer and saving the State and the Local Agency time and expense.
1I. PROJECT DESCRIPTION
"The project" or "the Work" under this contract shall consist of constmcting pavement on Cemetary
Lane Trail to reduce the PM-10 emissions, in Aspen, Colorado. as more specifically described in
Exhibit A, attached hereto and made a part hereof (the Form #463 and/or a "Scope of Work") as it
may be revised by the parties in the design review process before the project work is actually started.
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llI. INCORPORATION BY REFERENCE
All federal and state statutes, regulations, specifications, administration checklists, directives,
procedures, documents, and publications that are specifically identified and/or referenced in this
contract, together with all exhibits and attachments and addenda to this contract, are incorporated
herein by this reference as terms and conditions of this contract as though fully set forth,
IV~ WORK RESPONSIBILITY
The Local Agency shall be responsible to perform all design, right-of~way, utility, construction, and
construction administration tasks required to complete the Work, and the Local Agency shall comply
with all applicable terms and conditions of this contract in performing the Work, including those
process and task responsibilities and standards as specifically indicated in the Pm-Construction and
Construction Administration Checklists attached hereto and made a part hereof. The responsible
party shall perform all such tasks in accordance with applicable requirements and standards,
including thos_efi_n_.this c_o_nt_r_act an_d_ _i~_app]_ica~9_la~w.:
V. PROJECT FUNDING PROVISIONS
The funding provisions for the project are attached hereto and incorporated herein as Exhibit C.
VI. PROJECT PAYMENT PROVISIONS
A. The State will reimburse the Local Agency for the federal~aid share of the project charges
following the State's review and approval of such charges, subject to the terms and conditions
of this contract. Provided. however, that charges incurred by the Local Agency prior to the
date of FHWA authorization for the project and prior to the date this contract is executed by
the State Controller or his designee will~ not be charged by the Local Agency to the project,
and will not be reimbursed by the State, absent specific FHWA and/or State Controller
approval thereof.
B. The State will reimburse the Local Agency's reasonable, allocable, allowable costs of
performance of the Work. not exceeding the maximum total amount described in Exhibit C.
The applicable principles described in Title 49, Code of Federal Regulations, Part 18 (the
"Common Rule"), Subpart C ("Financial Administration"), including 49 C.F.R. 18.22. shall
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govern the allowability and allocabitity of costs under this contract. The Local Agency shall
comply with all such principles. To be eligible for reimbursement, costs by the Local
Agency shall be:
1. in accordance with the provisions of Exhibit C and with the terms and conditions
of the contract.
2. necessary for accomplishment of the Work.
3. reasonable in amount for the goods and services provided.
4. actual net cost to the Local Agency (i.e., the price paid minus any refunds, rebates, or
other items of value received by the Local Agency that have the effect of reducing the
cost actually incurred).
5. incurred for Work performed subsequent to the effective date of this contract.
6. satisfactorily documented.
C. The Local Agency shall establish and maintain a proper accounting system in accordance
_ _ _wit_h_g_e_ner_al_ly~a_ccepte_d accounting standards I~a se_l~_ar_a_t_e_s_et o~f a~c_coun~,_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, ~nvoices. contracts or vouchers evidencing in detail the nature
of the charges.
2 Any check or order drawn up by the Local Agency, including any item which is or
will be chargeable against the project account shall be drawn up only in accordance
with a properly signed voucher then on file in the office of the Local Agency, which
wilt detail the purpose for which said check or order is drawn. All checks, payrolls,
invoices, contracts, vouchers, orders or other accounting documents shall be clearly
identified, readily accessible, and to the extent feasible, kept separate and apart from
all other such documents.
D. Upon execution of this contract, the State is authorized, in its discretion, to perform any
necessary administrative support services pursuant to this contract. These services may be
performed prior to and in preparation for any conditions or requirements of this contract.
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including prior FHWA approval of project work. The Local Agency understands and agrees
that the State may perform such services, and that payment for such services shall be at no
cost to the State but shall be as provided in Exhibit C. At the request of the Local Agency,
the State shall also provide other assistance pursuant to this contract as may be agreed in
writing. In the event that federal-aid project funds remain ava/labte 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 ~s
not made available or is withdrawn for this contract, or if the Local Agency terminates this
contract prior to project approval or completion for any reason, then all actual incurred costs
of such services and assistance provided by the State shall be the sole expense of the Local
Agency.
E. If the Local Agency is to be billed for CDOT incurred costs, the billing procedure shall be as
follows:
1. _U_p_o._n_rece_ipt of each bill from the S tate~,_t_h~_L_o~_~ A_g~nc2t will remit to the State the
amount billed no later than 45 days after receipt of each bill. Should the Local
Agency fail to pay moneys due the State within 45 days of demand or within such
other period as may be agreed between the parties hereto, the Local Agency agrees
that at the request of the State. the State Treasurer mag withhold an equal amount
from future apportionments due the Local Agency from the Highway Users Tax Fund
and to pay such funds directly to the State. Interim funds, until the State is
reimbursed, shall be payable from the State Highway Supplementary Fund (400~.
2. If the Local Agency fails to make timely payment to the State as required by this
section (within 45 days after the date of each bill), the Local Agency shall pay
interest to the State at a rate of one percent per month on the amount of the payment
which was not made in a timely manner, until the billing ~s 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 wilt prepare and submit to the State monthly charges for costs incurred
relative to the project. The Local Agency's invoices shall include a description of the
amounts of services performed, the dates of performance and the amounts and descr/ption of
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reimbursable expenses. The invoices will be prepared in accordance with the State's standard
policies, procedures, and standardized billing format attached hereto and made a pan hereof
as Exhibit D.
G. To be considered for payment, billings for payment pursuant to this contract must be received
within 60 days after the period for which payment is being requested and final billings on the
contract must be received by the State within 60 days after the end of the contract term.
1. Payments pursuant to this contract shall be made as earned, in whole or in pan, from
available funds, encumbered for the purchase of the described services. The liability
of the State. at any time, for such payments shall be limited to the amount remaining
of such encumbered funds.
2. In the event this contract is terminated, final payment to the Local Agency may be
withheld at the discretion of the State until completion of final audit.
3. Incorrect payments to the Local Agency due to omission, error, fraud, or defalcation
shall be recovered from the Local_A_gency~_b~y_d_ed~u_ct_i_on~_fro_m_~_u_b~s_~que~nt_p_a~
under this contract or other contracts between the State and Local Agency, or by the
State as a debt due to the State.
4. Any costs incurred by the Local Agency that are not allowable under the Common
Rule shall be reimbursed by the Local Agency, or offset against current obligations
due by the State to the Local Agency, at the State's election.
VII. STATE COMMITMENTS
A. The State will provide liaison with the Local Agency through the State's Region Director,
Region3. 222 South Sixth Street. Grand Junction, CO 81501-2769, (970)248-7225
Said Region Director will also be responsible for coordinating the State's activities under this
contract. Said Region Director will also issue a "Notice to Proceed" to the Local Agency for
commencement of the Work. All communication relating to the day-to-day activities for the
work shall be exchanged between representatives c)f the State's Transportation Region 3 and
the Local Agency. Until changed by notice in writing, all routine correspondence shall be
addressed as follows:
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If to State: If to the Local Agency:
Karen Rowe Stephen Ellspersman
CDOT Region 3 City of Aspen
202 Centennial 130 Galena Street
Glenwood Springs, CO 81601 Aspen, Colorado 81611
(970) 945-8187 (970) 920-6010
B. The State will reimburse the Local Agency for the federal-aid share of the project charges, as
provided in Exhibit C.
C. If the Work includes construction, the State. at its discretion, will review construction plans,
special provisions and estimates and will cause the Local Agency to make those changes
therein that the State determines are necessary to assure compliance with State and FHWA
requirements.
D. The State will perform a final project inspection prior to project acceptance as a Quality
Control/Assurance activity. When all project work has been satisfactorily completed, the
State will sign the FHWA form 1212.
VIII. LOCAL AGENCY COMMITMENTS
A. DESIGN.
I. If "the Work" includes preliminary design, or final design (a.k.a. "construction plans"), or
design work sheets, or special provisions and estimates (collectively referred to as "the
Plans"), the party that is responsible under Section IV (either the Local Agency or the State~
for the Plans\design shall comply With the following requirements, as applicable:
1. perform or provide the Plans. to the extent required by the nature of the Work.
2. prepare final design ("construction plans") in accord with the requirements of the
latest edition of the American Association of State Highway Transportation Officials
IAASHTO; manual.
3. prepare special provisions and estimates in accord with the State's Roadway and
Bridge Design Manuals and Standard Specifications for Road and Bridge
Construction.
4. include details of any required detours in the Plans. in order to prevent any
interference of the construction work and to protect the traveling public.
5. stamp the Plans produced by a Colorado Registered Professional Engineer.
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6. provide final assembly of Plans and contract documents.
7. be responsible for the Plans being accurate and complete.
8. make no further changes in the Plans following the award of the construction contract
except by agreement in writing between the parties. The Plans shall be considered
final when approved and accepted by the parties hereto, and when final they shall be
deemed incorporated herein.
ri. If the Local Agency is the responsible party:
1. It shall afford the State ample opportunity to review the Plans and make any changes
in the Plans as directed by the State to comply with FHWA requirements.
2. It may enter into a contract with a consultant to do all or any portion of the Plans
and/or of construction administration. Provided, however, that if federal-aid funds
are to participate in the cost of such work to be done by a consultant, the Local
Agency shall ensure that its procurement of that consultant contract (.and the
.performance(provision of the Plans under that contract~)go_ _m~p_li_e_s_with__al_l ap..~licable
reqmrements of Title 23, Code of Federal Regulations (CFR), Part 172, (concerning
the Administration of Engineertng and Design Related Service Contracts }, and with
any procedures implementing those requirements as provided by the State, including
those in Attachment #1, which is incorporated herein by this reference. If the Local
Agency does enter into a contract with a consultant for the work:
it shall (or its consultant shall) submit any design consultant subcontract to
CDOT for approval prior to its execution by the Local Agency/Contractor, as
required by § 172.5 (d);
b) it shall ensure that all changes in the consultant contract shall be by written
supplemental agreement and must have prior approval of the State and FHWA. As
soon as the contract with the consultant has been awarded by the Local Agency, one
copy of the executed contract shall be submitted to the State. Any amendments to
such contract shall be similarly submitted;
c) it shall require that all consultant billings under that contract shall comply
with the State's standardized consultant billing format. Examples of the billing
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formats for the various methods of contract payment are attached hereto as
Attachment 2:
d) it shall (or its consultant shall) also use the CDOT procedures as described in
Attachment #] to administer that design consultant subcontract, to comply with §
172.5(b) and (d);
e) it may expedite any CDOT approval of its procurement process and/or
consultant contract by submitting a letter to CDOT from the certifying Local
Agency's attorney and/or authorized representative certifying compliance with those
CDOT Attachment #1 procedures and with the requirements of § 172.5(b) and (d).
f) it shall ensure that its consultant contract complies with the requirement of 49
CFR § 18.36(i) and contains the required provisions, as well as the following
language which shall be included verbatim:
1) "The design work under this contract shall be compatible with the
requirements of a s_e_parate contract between the Local Agen_q2/and the State
(which is incorporated herein by this reference) for the design/construction of
the project. The State is an intended third party beneficiary of this contract
for that purpose. '
2) "Upon advertisement of the project work for construction, the
consultant shall make available services as requested by the State to assist the
State in the evaluation of construction and the resolution of construction
problems that may arise during the construction of the project."
3) "The consultant shall review the construction contractor's shop
drawings for conformance with the contract documents and compliance with
the provisions of the State's publication, "Standard Specifications for Road
and Bridge Construction". in connection with this work."
B. CONSTRUCTION.
I. If "the Work" includes construction, the party that is responsible under Section IV for the
construction/construction administration .either the Local Agency or the State) shall perform
the construction in accordance with the approved design plans and/or administer the
construction all in accord with the project's Pre-construction and Construction Contract
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Administration Checklists. Such administration shall include project inspection and testing;
approving sources of materials; performing required plant and shop inspections;
documentation of contract payments, testing, and inspection activities; preparing and
approving pay estimates: preparing, approving, and securing the funding for contract
modification orders (CMOs) and minor contract revisions (MCRs); processing contractor
claims: construction supervision; and, meeting the Quality Control (QC) requirements of the
FHWA/State stewardship program, all as more fully described in the project's Pre-
construction and Contract Administration Checklists.
II. If the Local Agency is the responsible party:
l. it shall appoint a qualified professional engineer, licensed in the State of Colorado, as
the Local Agency Project Engineer (LAPE), to perform that administration. The
LAPE shall administer the project in accordance with this agreement, the
requirements of the construction contract, and applicable State procedures. The
LAPE may_b_e_ an e_m_ployee of the Local Age_ncy_qr may be a consultant. If the LAPE
is an employee of the Local Agency, the LAPE shall be in responsible charge of the
construction of the project (as provided in § 12-25-102 C.R.S. as amended),
notwithstanding any exception described in § 12-25-103. C.R.S.. as amended.
2. if bids are to be let for the constmction of the project, it shall advertise the call for
bids in conjunction with the State and upon concurrence by the State, award the
construction contract(s) to the low responsive, responsible bidder(s).
a) hq advertising and awarding the bid for the construction of a federal-aid
project, the Local Agency shall comply with applicable requirements of 23 U.S.C.
§ 112 and 23 C.F.R. §§ 633 and 635 and §24-92-101 et seq. C.R.S. Those
requirements include, without limitation, that the Local Agency/Contractor shall
physically incorporate the entire "Form 1273" (which. if relevant to this contract, is
attached) verbatim into any subcontract(s) for those services as terms and conditions
thereof, as required by 23 CFR § 633.102(e).
b) The Local Agency has the option to accept or reject the proposal of the low
bidder for work on which competitive bids have been received. The Local Agency
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must declare the acceptance or rejection at the award conference or within 3 working
days after said bids are publicly opened, whichever occurs later.
c) By indicating its concurrence in such award at the award conference, the
Local Agency acting by or through its duly authorized representatives, agrees to
provide additional funds, subject to their availability and appropriation for that
purpose, if required to complete the Work under this project if no additional
federal-aid funds will be made available for the project.)
3. if all or part of the construction work is to be accomplished by Local Agency
personnel (i.e., by "force account"), rather than by a contractor pursuant to a contract
with the Local Agency, the Local Agency will ensure that all such force account work
is accomplished in accordance with the pertinent State specifications and
requirements and with 23 C.F.R. Part 635, Subpart B, "Force Account Construction".
a) Such work will normally be based upon estimated quantities and firm unit
_prices_agreed to between the Local Agen_c_y_, the State and the FHWA in advance of
the Work, as provided for in § 635.204(c). Such agreed unit prices shall constitute a
commitment as to the value of the Work to be performed.
b) An alternative to (a) is that the Local Agency may agree to participate in the
Work based on actual costs of labor, equipment rental, materials supplies and
supervision necessary to complete the Work. Where actual costs are used, eligibility
of cost items shall be evaluated for compliance with Federal Acquisition Regulations
(FAR), 48 C.F.R. Part 31.
c) Rental rates for publicly owned equipment will be determined in accordance
with §109.04 of the State's "Standard Specifications for Road and Bridge
Construction".
d) All fome account work shall have prior approval of the State and/or FHWA
and shall not be initiated until the State has issued a written notice to proceed.
C. ROW ACQUISITION/RELOCATION.
Prior to this project being advertised for bids, the Local Agency will certify in writing to the
State that all right of way has been acquired in accordance with the applicable State and
federal regulations, or that no additional right of way is required.
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D. UTILITIES.
The Local Agency will be responsible for obtaining the proper clearance or approval from
any utility company which may become involved in this project, by separate agreement
between the Local Agency and the utility, if necessary. Prior to this project being advertised
for bids, the Local Agency will certify in writing to the State that all such clearances have
been obtained.
E. RAILROADS.
In the event the project involves modification of a railroad company's facilities at a railroad
grade crossing whereby the Work is to be accomplished by railroad company forces, the
Local Agency shall make timely application to the State Public Utilities Commission
requesting its order providing [or the installation of the proposed improvements and not
proceed with that part of the work without compliance. The Local Agency shall also
establish contact with the railroad company involved for the purpose of complying with
~pplicable_prowsions of 23 Code of~Federal R__eg_uJ~tion__s ~64:_~, S ~ubpart B_, concerning federal~
aid projects involving railroad facilities, including:
1. Executing an agreement setting out what work is to be accomplished and the
location(s) thereof, and that the costs of the improvement shall be eligible for federal
participation.
2. Obtaining the railroad's detailed estimate of the cost of the Work.
3. Establishing future maintenance responsibilities for the proposed installation.
4. Prescribing future use or dispositions of the proposed improvements in the event of
abandonment or elimination of the grade crossing.
5. Establishing future repaxr and/or replacement responsibilities in the event of
accidental destruction or damage to the installation.
F. ENVIRONMENTAL.
The Local Agency shall perform all work in accord with the requirements of current federal
and state environmental regulation including the National Environmental Policy Act of 1969
(NEPA~ as applicable.
G. RECORD KEEPING.
Page t 3 of 22
I. The Local Agency shall maintain ail books, documents, papers, accounting records and other
evidence pertaining to costs incurred and to make such materials available for inspection at
all reasonable times during the contract period and for 3 years from the date of final payment
to the Local Agency. Copies of such records shall be furnished by the Local Agency if
requested.
II. The Local Agency shall, during all phases of the Work, permit duly authorized agents and
employees of the State and the FHWA to inspect the project and to inspect, review and audit
the project records.
H. MAINTENANCE.
The Local Agency will maintain and operate the improvements constructed under this
contract, at its own cost and expense during their useful life, in a manner satisfactory to the
State and FHWA. and will make ample provision for such maintenance each year. Such
maintenance and operations shall be in accordance with all applicable statutes and
ordinanc, e&_and xegu [at/oJas_ _promu l~md_t~mundex. _w hi_ch _de fin e_the_Loc:~k A gen_c y~s
obligation to maintain such ~mprovements. The State and FHWA will make periodic
inspections of the project to verify that such improvements are being adequately maintained.
I. FEDERAL REQUIREMENTS.
The Local Agency/Contractor shall at all times during the execution of this contract strictly
adhere to. and comply with, all applicable federal and state laws, and their implementing
regulations, as they currently exist and may hereafter be amended, which are incorporated
herein by this reference as terms and conditions of this contract. The contractor shall also
require compliance with these statutes and regulations in subgrant agreements permitted
under this contract. A listing of some of the federal and state laws that may be applicable.
depending on the Local Agency/Contractor work responsibilities under this contract, are
described in ADDENDUM A.
J. DBE REQUIREMENTS
The Local Agency will comply with the requirements of Appendix B and the Construction
Contract Administration Checklist regarding DBE requirements for the work. except that if
the Local Agency desires to use its own DBE Program to implement and administer the DBE
provisions of Title 49 CFR Part :23 under this contract, it must submit a copy ofits program's
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requirements to CDOT for review and approval before the execution of this contract. If the
Local Agency uses its program for this contract, the Local Agency shall be solely responsible
to defend that DBE Program and its use of that Program against all legal and other challenges
or complaints, at its sole cost and expense. Such responsibility includes, without limitation.
determinations concerning DBE eligibility and certification, adequate legal and factual bases
for DBE goals, and good faith efforts. CDOT approval (if any) of the Local Agency's DBE
Program does not waive or modify the sole responsibility of the Local Agency for its use as
described above.
K. LOCAL AGENCY FUNDS
The Local Agency shall provide its match share and indirect cost funds for the work as
outlined in Exhibit C.
IX. TERM
.... This _c~n trac. Ushall _l~e_come_ _Le f£ec_t~" (mly_~g(~n~_t~e_d_a_Ie jLJa_e~xecute~d__b_y_ tl~e__Sja_t_e _
Controller. or designee. The term of this contract shall begin on the date first written above
and shall continue through the completion and final acceptance of this project by the State,
FHWA and Local Agency.
X. GENERAL PROVISIONS
A. Notwithstanding any consents or approvals given by the State for the Plans, the State will not
be liable or responsible in any manner for the structural design, details or construction of any
major structures that are designed within the Work of this contract.
B. If the Work involves construction, the State shall have the authority to suspend the Work,
wholly or in part, by giving written notice thereof to the Local Agency, due to the failure of
the Local Agency or its construction contractor to correct project conditions which are unsafe
for the Workmen or for such periods as the State may deem necessary due to unsuitable
weather, or for conditions considered unsuitable for the prosecution of the Work. or for any
other condition or reason deemed by the State to be in the public interest.
C. This contract may be terminated as follows:
Page 15 of 22
1. Termination for Cause. If. through any cause, the Local Agency shall fail to fulfill,
in a timely and proper manner, its obligations under this contract, or if the Local
Agency shall violate any of the covenants, agreements, or sttpulations 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 repons or other
material prepared by the Local Agency under this contract shall, at the option of the
State, become its property, and the Local Agency shall be entitled to received just and
equitable compensation for any services and supplies delivered and accepted. The
Local Agency shall be obligated to retum any payment advanced under the provisions
of this contract.
2g~i.ths tarrdin g_abo~e ~t h_e~Lc~cal_A genc~y__s hall_n~r_be~lie~,~_d_oL/tabili~y~X~
State for any damages sustained by the State by virtue of any breach of the contract
by the Local Agency.
If after such termination it is determined, for any reason, that the Local Agency was
not in default, or that the Local Agency's action/inaction was excusable, such
termination shall be treated as a termination for convenience, and the rights and
obligations of the parties shall be the same as if the contract had been terminated for
convenience, as described herein.
2. Termination for Convenience. The State may terminate this contract at any time the
State determines that the purposes of the distribution of funds under the contract
would no longer be served by completion of the project. The State shall effect such
termination by giving written notice of termination to the Local Agency and
specifying the effective date thereof, at least twenty (20) days before the effective
date of such termination.
3. Termination Due to Loss of Funding. The parties hereto expressly recognize that the
Local Agency is to be paid. reimbursed, or otherwise compensated with federal
and/or State funds which are available to the State for the purposes of contracting for
Page 16 of 22
the project provided for herein, and therefore, the Local Agency expressly
understands and agrees that all its rights, demands and claims to compensation
arising under this contract are contingent upon availability of such funds to the State.
In the event that such funds or any part thereof are not available to the State. the
State may immediately terminate or amend this contract.
D. Notwithstanding anything heroin to the contrary, the parties understand and agree that all
terms and conditions of this contract and attachments hereto which may require continued
performance or compliance beyond the termination date of the contract shall survive such
termination date and shall be enforceable by the State as provided heroin in the event of such
failure to perform or comply by the Local Agency.
E. This contract is subject to such modifications as may be required by changes in federal or
State law. or their implementing regulations. Any such required modification shall
automatically be incorporated into and be part of this contract on the effective date of such
~ch ange~asSLfulky_ se2Xo rt tLher, ein.. _~Exce. pLas_specificaRy_pro_vide d_o_t hemv2is e_herein~_o.
modification of this contract shall be effective unless agreed to in writing by both parties in
an amendment to this contract that is properly executed and approved in accordance with
applicable law.
F. To the extent that this contract may be executed and performance of the obligations of the
parties may be accomplished within the intent of the contract, the terms of this contract are
severable, and should any term or provision hereof be declared invalid or become inoperative
for any reason, such invalidity or failure shall not affect the validity of any other term or
provision hereof. The waiver of any breach of a term hereof shall not be construed as a
wmver of any other term, or the same term upon subgequent breach.
G. This contract is intended as the complete integration of all understandings between the
parties. No prior or contemporaneous addition, deletion, or other amendment hereto shall
have any force or effect whatsoever, unless embodied herein by writing. No subsequent
novation, renewal, addition, deletion, or other amendment hereto shall have any force or
effect unless embodied in a written contract executed and approved pursuant to the State
Fiscal Rules.
Page 17 of 22
H. Except as herein otherwise provided, this contract shall inure to the benefit of and be binding
upon the parties hereto and their respective successors and assigns.
I. The Local Agency represents and warrants that it currently has no interest, and shall not
acquire any interest, direct or indirect, that would conflict in any manner or degree with the
performance of the Local Agency's obligations under this contract. The Local Agency's
further covenants that, in the performance of this contract, it will not employ any person or
firm having any such known interests.
J. Attachment LO (Certification for Federal-Aid Contracts), and Appendix B (DBE
requirements) and Addendum B, Contract Modification Tools, attached hereto are hereby
made a part of this contract. The Local Agency shall comply with all applicable terms and
conditions of such attachments.
K. If a conflict occurs between the provisions of this contract proper and the attachments hereto.
the priority to be used to resolve such a conflict shall be as follows:
1. TJai~_contr,xc~ lamp_er;Nd_ ___
2. The attachments enumerated in Section IX, paragraph K, above; and
3. Other contract exhibits and attachments, in descending order of their attachment.
L. It is expressly understood and agreed that the enforcement of the terms and conditions of this
contract, and all rights of action relating to such enforcement, shall be strictly reserved to the
parties hereto, and nothing contained in this contract shall give or allow any such claim or
right of action by any other or third person on such contract. It is the express intention of the
parties that any person or entity other than the parties receiving services or benefits under this
contract be deemed to be an incidental beneficiary only.
M. The Local Agency assures and guarantees that it possesses the legal authority to enter ~nto
this contract. The Local Agency warrants that it has taken all actions required by its
procedures, by-laws, and/or applicable law to exercise that authority, and to lawfully
authorize its undersigned signatory to execute this contract and to bind the Local Agency to
its terms. The person(s) executing this contract on behalf of the Local Agency warrants that
they have full authorization to execute this contract.
Page 18 of 22
XI. SPECIAL PROVISIONS
1. CONTROLLER'S APPROVAL. CRS 24~30-202 (1)
This contract shall not be deemed valid until it has been approved by the Controller of the State of Colorado or such assistant as he
may designate.
2. FUND AVAILABILITY, CRS 24-30-202 (5.5)
Financial obligations of the State of Colorado payable after the current fiscal year are contingent upon funds for that purpose being
appropriated, budgeted, and otherwise made available.
3. INDEMNIFICATION.
Indemnity: The contractor shall indemnify, save, and hold harmless the State against any and all claims, damages, liability and
court awards including costs, expenses, and attorne) 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 watver, 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 etseq.
or the Federal Tort Claims Act, 28 I.J.S.C. 2671 etseq, 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' SHXLL BE DEEMED TO BE ~N AGENT OR
EMPLOYEE OF TH3E STATE. CONTRACTOR SHALL PAY WHEN DUE ALL REQUIRED EMPLOYMENT TAX~S 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 CO~qTRACTOR OR THIRD
PARTY PROVIDES SUCH COVERAGE AND THAT THE STATE DOES NOT PAY FOR OR OTHER~SE PROVIDE SUCH COVERAGE. CONTRACTOR
SHALL HAVE NO AUTHORIZATION. EXPRESS OR IMPLIED. TO BIND THE STATE TO ANY AGREEMENTS, LIABILITY. OR I)NDERSTANDING
EXCEPT AS EXPRESSLY SET FORTH HE"~--CONTRA~PROVI~E-~-ND KEEP IN FORCE WORKERS' COMPENSATiON (AND
PROVIDE PROOF OF SUCH INSURANCE WHEN REQUESTED BY THE STATE) AND UNEMPLOYMENT COMPENSATiON INSURANCE IN THE
AMOUNTS REQUIRED BY LAW. AND SHALL BE SOLELY RESPONSIBLE FOR THE ACTS OF THE CONTRACTOR. [TS EMPLOYEES AND AGENTS.
5, NON-DISCRIMINATION.
The contractor agrees to comply with the letter and the spirit of all applicable state and federal laws respecting discrimination and
unfair employment practices
6. CHOICE OF LAW.
The laws of the State of Colorado and rules and regulations issued pursuant thereto shall be applied in the interpretation, execution.
and enforcement of this contract. Any provision of this contract, whether or not incorporated herein by reference, which provides
for arbitration by any extra-judicial body or person or which is otherwise in conflict with said laws, rules, and regulations shall be
considered null and void. Nothing contained in any provision incorporated herein by reference which purports to negate this or any
other special provision in whole or in part shall be valid or enfomeable 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 wiI1 not invalidate the
remainder of this contract to the extent that the contract is capable of execution.
At all times during the performance of this contract, the Contractor shall strictly adhere to all applicable federal and state laws.
rules, and regulations that have been or may hereafter be established.
7. EMPLOYEE FINANCIAL INTEREST. CRS 24-18-201 & 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.
Revised: 12/1/01
Page 19 of 22
THE PARTIES HERETO HAVE EXECUTED THIS CONTRACT
CONTRACTOR: STATE OF COLORADO:
BILL OWENS
GOVERNOR
,City of Aspen By
Name of Contracting Entity For Executive Director
Department of Transportation
846000563
Social Security Number or FEIN
LEGAL REVIEW:
Signature of Authorized Officer KEN SALAZAR
ATTORNEY GENERAL
By
Print Name & Title of Authorized Officer
CORPORATIONS:
(A corporate seal or attestation is required.) i.. .....
Attest (Seal) By
(Corporate Secretary or Equivalent. or Town/City/County Clerk)
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
ARTHUR L. BARNHART
By.
Date
Revised: 12/1/01
Page 20 of 22
¢?lorado Department of Transportation Origin Date: 01/10/2003 ' Project code: 14181 I STIP n~mber: IN3659
D ESIG N DATA .evi,* Date: Project number. AQC M045-004 .
PE Proiect Code PE Prelect Number
[] Metric ~ Engllsh Revision #:
.P. age I Region: 03
Status: · preliminary C) final C) revised '
Prepared by: Revised by: Project .description: FY 03. CITY OF ASPEN
David C. Miller Countyt Pitldn ICounfy2: ICounty3:
Date: 01/10/2003 Date: Municipality:
Approved by Pre_coil,.traction Engineer:/'~ < /}1 System code: C) Iu C) NHS · STP (~ OTHER
ers,g t:. C DOT 0 F.W^, 00T. ER
Date: Planned length: I
Geographic location: ' '
1/q' TIlE ASPEN PM-10 NON-ATTAINMENT AREA ADJEcIENT TO CEMETER. Y LANE.
Terrain type: 0 Level 0 Plains 0 Rollir.g 0 Urban · Mountainous
Description of proposed construction/improvement (attach map showing site location)
CONGESTION IvHTIGATION, PM-10 REDUCTION
BIKE/PED TRA1L CONSTRUCTION.
~lTraffic (Note: use columns A. B. and/or C to identify facility described belOw)
Current year: Futura year:
Facility location .
Facility ADT t DHV DHV % trucks ADT I DHV , Ind ustda, tCommercia,, Residentia,I Other
c I I I I I t [3 I [] I [3 I ~3
~"~ RdwyClass Route Refpt Endrefpt Functional classification Facility type Rural code
1. 999 I Local Not Roadway 5,000 - 49,999
2.
3.
~'I! Design Standards (Ident[~ substandard items with a checkmark in 1st column and clarify in remarks)
A= B= C=
Standard Existi.ng Proposed Ultimate Standard Existing Proposed Ultima[e Standard Existing IProposed Ultimate
~ Surface type
~ Typical section type
~ # of travel lanes
~ Width of travel lanes
~ Shoulder wd. It/median
~ Shoulder wd rtJoutside
~ Side slope dist. ("z")
Median width
Posted speed
~ Design speed
~ Max. superelevstion
[] Min. radius
[] Min. horizontal ssd
~[~ Min. vertical ssd
Max. grade
Project under C) 1R C) 3R C) 4R · Other: CMAO criteria Existing guardrail meets current standards: C) Yes · No
Variance in minimum design standards required C) Yes C) No [] Safety project comments:
[] Justification attached [] Request to be submitted Not all standards GUA_RDRAIL IS NOT AN ISSUE ON THIS PROJECT.
[] Bridge (see item 4) [] See remarks addressed
[~ Stage construcfio~
Resurfacing projects
~'~ Recommendations concerning safety aspects attached
[ge 2 - IPrajectCode: 14151 [Project Number: AQC NI045-004 I Revise Date:
Ma]or Structures
R=to be removed, P=prop0sed new Structure ] Standard Structure Horizontal VeRiCa~ Year
Feature [ntarsected Width I Rdwy I Load I Clearance
I
Proposed treatment of bridges to remain in place (address bridge rail, capacityl and allowable surface thickness)
[] Project Charactertstice (proposed) Median type: C) depressed C) painted C~ raised · none
~ Lighting ~'~ Handicap ramps ~-~ Traffic control signals ~ Striping
]~ Curb and gutter ~ Curb only ~--~ Left-turn slots ~ cohtinuou, width =
~ Sidewalk width = r~ Bikeway width = 10 r~] Right-turn slots ~ continuous width =
]--q Parking lane width = ~ Detours Signing: j~ construct]on ~]permanenr
Landscape raquirementa: (description) Other. (description)
AS DIKECTBD BY THE LOCAL AGENCY
]Right Way Yes No Est. No. [] Utilities (list names of known utility companies)
of
ROW and/or =errn. easement required: C~ · ~q~NOW~ AT ~P,~S TIIVIE
Relocation required: C) ·
TemporaPj easement reauired: C) ·
Changes in access: C) ·
Changes to connecting roads: C) ·
~'~ Railroad crossings # of crossings:
~Jreements:
Railroad Name re(:uired Present =rotection Condition of x'ings
Recommendations:
[]Environmental
Type:
Coordination
Withdrawn lanos (power sites, reservoirs, etc.) cleared through BLM forest service office Irrigation ditch name:
I~, New t~affic ordinance reeuire~ J [] Modify schedule of existing ordinance MuniciPality:
Other:
[] Construction method noAdReason: (~) Design (~ Local F/A
Advertised by: C) state C) P.O. C~ RR F/A Entity/Agenc~ contac[ name: BPJ.~q ];'~, C][TY OF ASP
· Local C) Study C~ utility F/A Phone numoer: (970)920-601I
C) None C CDOT F/A C) Miscellaneous
~'"~ Remarks (Include additional pages if needed)
'!~ES IS A CONOEST[ON MTi'[GAT[ON PRO.CT TO CONI~ECT A B]~..E/PED ~ TO ~ ~J~GIONAL ~ AI',TD ~NSIT
TN' ~ CTTY OF ASPEN.
ATTACHMENT i
k. CEMETERY
. ~
,,-' .. ~ LANE TRAIL
'......-~-'~.,..., '",, ,. - \
· ' 'VICINITY MAP
\
EXHIBIT
COLORADO DEPARTMENT OF TRANSPORTATION
LOCAL AGENCY CONTRACT ADMINISTRATION CHECKLIST
Project No STIP No. Project Code Region
AQC M045-004
IN3659 14181 02
Project Location I Date
CITY OD ASPENI 1/7/03
Project Description
FY 03, CITY OF ASPEN CMAQ
Local Agency Local Agency Project Manager
CITY OF ASPEN BRIAN FLYNN
CDOT Resident Engineer CDOT Project Manager
KAREN ROWE DAVID C. MILLER
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 CDOT Local Agency Manual.
The checklist shall be prepared by placing an "X" under the responsible party, opposite each of the tasks. The "X" denotes the
party responsible for initiating and executing the task. Only one rasponsible pa~y Should be selected. When neither CDOT nor
the Local Agency is responsible for a task. not aoplicable (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 CDOT
The checklist shall be prepared by the CDOT Resident Engineer or the CDOT Project Manager, in cooperation with the Local
Agency Project Manager, and submitted to the Region Program Engineer. If contract administration responsibilities change, the
CDOT Resident Engineer in cooperation with the Local Agency Project Manager, will prepare and distribute a revised checklist.
NO. RESPONSIBLE
DESCRIPTION OF TASK PARTY
LA CDOT
TIP ! STIP AND LONG-RANGE PLANS
2-1 I Review to ensure consistency with STIP and amendments thereto I I X
FEDERAL FUNDING OBLIGATION AND AUTHORIZATION
4-1~l AuthoriZeconcurrence/fnvolvement)funding by phases (CDOT Form 4t 8 - Federal-aid Program Data. Requires FHVVA I 1x
PROJECT DEVELOPMENT
5~1 Prepare Design Data - CDOT Form 463
5-2 Prepare Local Agency/CDOT Inter-Governmental Agreement (s~e also Chapter 3) X
5-3 Conduct consultant selection/execute agreement
5-4 Conduct Design Scoping Review meeting ,,~
5-5 Conduct public involvement .
5-6 Conduct Field Inspection Review
5~7 Conduct environmental processes (may require FHWA concurrence/involvement)
5-8 Acquire right*of-way (may require FHWA concurrence/involvement) ,d~ X
5-9 Obtain utility and railroad agreements
5-10 Conduct Final Office Review X
5-11 Justify force account work by the Local Agency ~,~
5-12 Justify proprietary items
5-13 Document design exceptions - CDOT Form 464
5-~14 Prepare plans, specifications and construction cost estimates
5-15 Ensure authorization of funds X
CDOT Form 1243 07/02 Page1 of 4
Previous editions are obsolete and may not be used ,~ ~'7~c'~r~ ~ ~/~ ~7 -~ I
RESPONSIBLE
NO. DESCRIPTION OF TASK PARTY
LA CDOT
| PROJECT DEVELOPMENT CIVIL RIGHTS AND LABOR COMPLIANCE
Set Underutilized Disadvantaged Business Enterprise (UBDE) goals for consultant and
construction Contracts (CDOT Region EEO/Civil Rights Specialist)
Determine applicebiiity of Davis-Bacen Act X
This project [] is [~ is not exempt from Davis-Bacon requirements as determined by the
functional classification of the project location (Projects located on local roads and rural
minor collectors may be exempt.)
CDOT Resident Engineer Date
Set On-the-Job Training goals. Goal is zero if total construction is less than $1 million ~CDO¥ X
Ensure the correct Federal Wage Decision. all required Disadvantaged Business
Enterpdse/On-the..Job Training special provisions and FHWA Form 1273 are included in the
Contract (CDOT Resident Engineer} X
ADVERTISE, BID AND AWARD
Advertise for bids
Distribute "advertisement sef' of plans and specifications
Review worksite and plan details with prospective bidders while project is under
Process bids for compliance
Check CDOT Form 715 - Certificate of Proposed Underutilized DBE Participation when the
Iow bidder meets UDBE goals
Evaluate CDOT Form 718 - Underutilized DBE Good Faith Effort Documentation and
deteiTnine if the Contractor has made a good faith effort when the Iow bidder does not meet
Submit required documentation for CDOT award concurrence
Concurrence from CDOT to award
idder
Award Contract
plans and specifications
CONSTRUCTION MANAGEMENT
Issue Notice to Proceed to the Contractor
Conduct conferences:
Preconstruction
Presurvey
· Construction staking
· Monumentation
Partnering (OptionaJ)
Structural Concrete Pre-Pour (Agenda is in CDOT Construction Manual)
Concrete Pavement Pre-Paving (Agenda is in CDOT Construction Manual)
HBP Pra~Pavi~g (Agenda is in CDOTConstruction Manual)
) and distribute Public Notice of Planned Construction to media and local residents
construction
A Professional Engineer (PE) registered in Colorado who will be "in responsible charge of
construction suoervision."
Professional Phone number
CDOT Form 1243 07/02 Page2 of 4
Previous editions are obsolete and may not be used
/
RESPONSIBLE
DESCRIPTION OF TASK PARTY
LA CDOT
CDOT Resident Engineer
Provide competent, experienced staff who will ensure the Contract work is constructed in
accordance with the plans and specifications
Construction inspection and documentation
Perform traffic control inspections
Perform construction surveying
Monument right-of-way
Preeare and approve interim and final Contractor pay estimates
Provide the name and phone number of the person authorized for this task.
Phone number
pprove interim and final utility/railroad billings
X
e orders
all change orders X
Resolve Contractor claims/disputes
Conduct routine, random project reviews
Provide the name and phone number of the person responsible for this task. X
CDOT Resident Engineer Phone number
MATERIALS
Conduct Materials Preconstruction meeting ~
CDOT Form 250 - Materials Documentation Record
· Generate form. which includes determining the minimum number of required tests and
applicable material submittals for alt materials placed on the ~)roject
· Update the form as work progresses ~
and tests ~
Perform laborator,/verification tests ,~
Accept manufactured products
Inspection of structural components:
Fabrication of structural steel and pre-stressed concrete structural components
~ Bridge modular expansion devices (0" to 6" or greater)
Fabrication of bearing devices /~,,~
sources of materials ~
Independent Assurance Testing ('IA3'), Local Agency Procedures .~ CDOT Procedures []
Generate IAT schedule
· Schedule and provide notification
· Conduct IAT ~
Approve mix designs
· Concrete
· Hot bituminous pavement ~
Check final materials documentation ~,
I materials documentation ~.
CDOT Fern3 1243 07/02 Page3 of 4
Previous editions are obsolete and may not be used
CONSTRUCTION CIVIL RIGHTS AND LABOR COMPLIANCE
10-1 Fulfill project bulletin board and preconstruction packet requirements
10-2 CDOT Form 205 - Sublet Permit Application
Review and sign completed CDOT Form 205 for each subcontractor, and submit to
EEO/Civil Rights Specialist
10-3 Conduct employee interviews. Complete CDOT Form 280 - Equal Employment Opl~ortunity
and Labor Compliance Verification
10-4 Monitor Disadvantaged Business Enterprise participation to ensure compliance with the
"commercially useful function" requirements
10-5 Conduct trainee interviews, Complete CDOT Form 200 - OJT Training Questionnaire when
project utilizes on-the-job trainees
10-6 Check certified payrolls (Contact the Re,lion EEO/Civil Ri~lhts Specialists for training requirements.)
10-7 Submit FHWA Fo~n 1391 - Highway Construction Contractor's Annual EEO Report
FINALS ,
11-1 Conduct final project inspection, and complete and submit CDOT Form 1212 - Final
Acceptance Report (Resident Engineer with mandato~ Local Agency participation.)
11-2 Wdte final project acceptance letter ..
11-3 Advertise for final settlement
11-4 Prepare ahd distribute final As-Constructed plans
11-5 Check final quantities, final plans and the final pay estimate .
11-6 Check material documentation and submit final matedal certification (see Chapter 9)
11-7 Obtain CDOT Form 17 - Contractor DBE Payment Certification from the Contactor and
submit to the Resident Engineer
11-8 Process final payment
i11-9 Obtain FHWA Form 47 - Statement of'~at~rials and Labor Used ... from the Contractor
11-10 Comp ete and submit CDOT Form 950 - Proiect Closure
11-11 Retain project records for six years from date of project c~osure
11-12 Retain final version of this checklist and distribute copies
cc: CDOT Resident Engineer/Project Manager
CDOT Region Program Engineer
CDOT Region EEO/Civil Rights Specialist
CDOT Region Materials Engineer
CDOT Contracts and Market Analysis Branch
Local Agency Project Manager
CDOT Form 1243 07/02 Pageiv of 4
Previous editions are obsolete and may not be used
EXHIBIT C FUNDING PROVISIONS
A. The Local Agency has estimated the total cost the Work to be $200,000.00 which is to be funded
as follows:
I BUDGETED FUNDS
a. Federal Funds $160,757.00
(80% of Participating Costs)
b. Loca~ Agency Matching Funds $33,148.00
(20% of Participating Costs)
Local Agency Matching for CDOT -
c. Incurred Non-Participating Costs $5,825.00
(Including Non-Participating Indirects)
ITOTAL BUDGETED FUNDS $200,000.00
2 ESTIMATED CDOT-INCURRED COSTS
a. Federal Share $0.00
~(e% -of-Patticipat-ing-E~osts~
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
I TOTAL ESTIMATED CDOT-INCURRED COSTS $0.00
3 ESTIMATED PAYMENT TO LOCAL AGENCY
a. Federal Funds Budgeted (la) $160,148.00
b. Less Estimated Federal Share of CDOT-Incurred Costs (2a) $0.00
t TOTAL ESTIMATED PAYMENT TO LOCAL AGENCY $160,148.00
FOR CDOT ENCUMBRANCE PURPOSES
Total Encumbrance Amount ($160,148.00
divided by 82.79%) $194,175.00
Less ROW Acquisition 3111 $0.00
Net to be encumbered as follows:
$0.00
Design $0.00
Const2311 1P 3301 $194,175.00
Exhibit C - Page 1 of 2
B. The matching ratio for the federal participating funds for this project is 82.79% federal-aid funds
(CFDA #20 2050) to 17.21% Local Agency funds, it being understood that such ratio applies
only to the $200.000.00 that is eligible for federal participation, it being further understood that
all non-participating costs are borne by the Local Agency at 100%. If the total participating cost
of performance of the Work exceeds $200,000.00, 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. If the total participating cost of
performance of the Work is less than$200,000.00, then the amounts of Local Agency and
federal~aid funds will be decreased in accordance with the funding ratio described herein. The
performance of the Work shall be at no cost to the State.
C. The mammum amount payable to the Local Agency under this contract shall be $160,'757.00
(For CDOT accounting purposes, the federal funds of $160,757.00 and local matching funds of
$33,418.00 will be encumbered for a total encumbrance of $194.175.00), unless such amount is
increased by an appropriate written modification to this c~ntr~ct~x'-ecuted before any increased
cost is incurred. It is understood and agreed by the parties hereto that the total cost of the Work
stated hereinbefore is the best estimate available, based on the design data as approved at the
time of execution of this contract, and that such cost is subject to revisions (in accord with the
procedure in the previous sentence) agreeable to the parties prior to bid and award.
D. The parties hereto agree that this contract is contingent upon all funds designated for the proJecT
herein being made available from federal and/or state and/or Local Agency sources, as
applicable. Should these sources, either federal or Local Agency, fail to provide necessary funds
as agreed upon herein, the contract may be terminated by either party, provided that any party
terminating its interest and obligations herein shall not be relieved of any obligations which
existed prior to the effective date of such termination or which may occur as a result of such
termination.
Exhibit C - Page 2 of 2
EXAMPLE A (Lump Sum Contracts) Exhibit D. Page 1 of 5
Company Name: Project No.
Address: Project Location
Employer (FEIN) ID Number: Subac¢ount No.
Invoice Number and Date:
Progress Report Dated:
% Completed: (1)
Current Billing Period: From: To:
BASIC AND / OR SUPPLEMENTAL CONTRACT TOTAL: (2) $
Total Billed to Date: .....
Less: Retainage (10% of billing not to exceed 5% of contract)
Less: Prior Payments:
Prior Billing: $ Less Retainage: $ $
TOTAL CURRENT PAYMENT REQUEST: ~ $
t% To date of DBE work:
certify that the billed amounts are in agreement with the contract terms:
~ignamre Titk' Date
*% Completed x Contract Total = Total Current Payment Request
(1) x (2) = (*)
Exhibit D - Page 1 of 5
EXAMPLE B (Cost Plus Fixed Fee Contracts) Exhibit D Page 2 of 5
_Company Name: . . Project No.
Address:
Employer (FEIN) ID Number: Project Location
Invoice Number and Date: . .
Progress Report Dated: Subaccount No.
% Completed:
BASIC AND / O1~ SUPPLEMENTAL CONTRACT TOTAL. $
Prior period Billing Amount: $
Current Billing Period: Prom: To:
DIRECT LABOR: (List Individually)
Regular Direct Hourly Rate Overtime Cost
Employee Name Classification Hoars $ Hours * $
Current This Period Total Amount to
Date (Optional)
Subtotal - Direct Labor $ $
Indirect (%) (as specified in contract) $ $
OTHER DIRECT COSTS (In-House)
-- -LksLindi~id ua!-!-y~-qt t-actual- cost-as-in -fmaL¢ost-pr oposa ;~m'fleage-(-mile~X~)~ $ $
CADD (hrs. x $), equip, rental (hrs. x $), etc.
SUBTOTAL (DIRECT LAB OR, INDIRECT & OTHER DIRECT COSTS) $ $
FEE (%) (As specified in the contract) $ $
OUTSIDE SERVICES (Subconsultants & Vendors) (List individually) $ $
(To be in the same format - attach copies)
°k To Date on DBE Work $ $
Outside Services Management Expense (when applicable) $ $
TOTAL CURRENT PERIOD: $ $
TOTAL TO DATE: $ I $
LESS: Retainage (10% of billing not to exceed 5% of contract) $
LESS: Prior Payments $ $
Prior Billing $ Less Retainage $ $ $
TOTAL CURRENT PAYMENT REQUEST $ $
I certify that the billed amounts are actual and in agreement with the contract terms:
51gnature 1 ~tle Date
· Eligible classifications only: in accordance with contract
Exhibit D - Page 2 of 5
EXAMPLE C (Specific Rates of Pa'/Contracts) Exhibit D Page 3 of 5
Company Name: Project N(~'.
Address:
Employer (FEIN) ID Number: Project Location
Invoice Number and Date:
Progress Report Dated: Subaccount No.
% Completed:
BASIC AND / OR SUPPLEMENTAL CONTRACT TOTAL $
Prior Period Billing Amount: $
Current Billing Period: From: To:
PAY RATES: (List Individually)
Regular Overtime Rates of Pay Cost
Employee Name Classification Hours Hours* S/Hours** $
SUBTOTAL-PAY P~TES: $
OTHER DIRECT COSTS (In-House) $
List individually - at actual rates as in final cost proposal; mileage (miles X $),
CADD (hrs. x $), equip, rental (hrs. x $), etc. $
SUBTOTAL (Pay Rates and Other Direct Rates)
OUTSIDE SERVICES (Subconsultants & Vendors) (List individually) $
(To be in the same format - attach copies)
% To Date on DBE Work $
Outside Services Management Expense (when applicable) $
TOTAL CURRENT PERIOD: $
TOTAL TO DATE: $
LESS: Retainage (10% of billing not to exceed 5% of contract) $
LESS: Prior Payments $
Prior Billing $ Less Retainage $
TOTAL CURRENT PAYMENT REQUEST $
I certify that the billed amounts are actual and in agreement with the contract terms:
Signature Title Date
Eli=ible classifications only: in accordance with contract
** In accordance with contract
Exhibit D - Page 3 of 5
EXAMPLE D (Local Agency Billing) Date Exhibit DPage 4 of 5
SECTION I. CONTRACT DATA
Local Agency: Project No.
Address:
Employer (FEIN) ID Number: Project Location
Invoice Number and Date:
% Completed: Subaccount No.
BASIC AND/OR SUPPLEMENTAL CONTRACT TOTAL: $.
Federal Share $
Local Agency Share $
State ShareS
Prior Period Billing Amount:
Current Billing Period: From: To:
SECTION II. INCURRED COSTS
DIRECT LABOR: (List individually)
Employee Classification Regular Direct Hourly Overtime Cost
Name Hours Rate $ Hours* $
Current Total to
$13B-T O-T'~rL~DI-I~E ~T-DAB OR--- - -This-Peri-od 'Dat~
BENEFITS % OF DIRECT LABOR $ $..
OTHER DIRECT COSTS (In-House)
List individually-at actual cost:
Mileage (miles x $), CADD (hrs. x $), $ $
Equip rental (hrs. x $), etc.
OUTSIDE SERVICES (Consultants & Vendors)
(List individually) (To be in this same format- $ $.
attach copies of invoices)
TOTAL COSTS CURRENT PERIOD: $.
TOTAL COSTS TO DATE: $.
SECTION III. BILLING
TOTAL BILLING CURRENT PERIOD
% OF TOTAL COSTS~: $
Prior Billing: $
I certify that the billed amounts are actual and in agreement with the contract terms.
Signature Title Date
*Eligible classifications only
Exhibit D - Page 4 of 5
EXAMPLE E ~Fixed Multiplier Contracts) Exhibit D, Page 5 of 5
Company Name: Project No.
Address:
Employer (FEIN) ID Number: Project Location
Invoice Number and Date:
Progress Report Dated: Subaccount No.
% Completed:
BASIC AND / OR SUPPLEMENTAL CONTRACT TOTAL $
Prior Period Billing Amount: $
Current Billing Period: From: To:
PAY RATES: (List Individually)
Regular Certified Fixed Cost
Employee Name Classification Hours Hourly Rates Multiplier $
SUBTOTAL-PAY RATES: $
OTHER DIRECT COSTS (In-House) $
List individually - at actual rates as in final cost proposal; mileage (miles X $),
CADD (hrs. x $), equip, rental (hrs. x $), etc. $
SUBTOTAL (Pay Rates and Other Direct Rates)
OUTSIDE SERVICES (Subconsultants & Vendors) (List individually) $
(To be in the same format - attach copies)
% To Date on DBE Work $
Outside Services Management Expense (when applicable) $
TOTAL CURRENT PERIOD: $
TOTAL TO DATE: $
LESS: Retainage (10% of billing not to exceed 5% of contract) $
LESS: Prior Payments $
Prior Billing $ Less Retainage $
TOTAL CURRENT PAYMENT REQUEST $
I certify that the billed amounts are actual and in agreement with the contract terms:
Signature Title Date
Exhibit D - Page 5 of 5
.ADDENDUM B: CONTRACT MODIFICATION TOOLS
The Local Agency and the State may use a Funding Letter in order to more expeditiously change and amend
the terms of this contract, if such use is warranted by the cimumstances as described and authorized therein.
FUNDING LETTER.
The state may allocate more or less funds available on this contract using a Funding Letter substantially
equivalent to Exhibit E and bearing the approval of the State Controller or his designee. The funding letter
shall not be deemed valid until it shall have been approved by the State Controller or his designee.
Addendum B - Page 1 of 2
. , , , ......................... Exhibit E
COLORADO DEPARTME~NT OF TRANSPORTATION . AUTHORITY:
CONTRACT FUNDING INCREASE/DECREASE-~ND ~PPROVA~L £~'rTER
State Controller Policy letter on June 12, 1996
Region: Complete section 1 and submit to CDOT Controller's office.
CDOT Controller letter on Ma,/23, ] 996
(1)This form to be used for the following contracts situations only (check the appropriate situation):
ndefinite ouantity, order morezadd more __utility/railroad, underestimated total cost
CDOT construction, sum of CMO's LA construction, underestimated cost
CDOT constructlon~ underestimated total cost __CDOT consultant, underestimated cost
SECTION 1 (Region use)
Date: (2) Project cooe (3)
To: CDOT Controller (FAX #(303) 757-9573 or e-mail CONTROLLER) Project # (4)
From: I Office: (5) Phone ~ (5) FAX # (5)
Region # (5)
I
CDOT 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.
(9) , - J (_9)__. (9) (9) 9) (9) I(%~L
Pro j/Sub Phase
(9) (g)
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#! thru #~ PHONE NO:
This Funding Letter total Contract Administrator's/Business Manager's Approval
$ (]2) (]6)
(~ ) PHONE NO:
Adjusted contract amount CDOT Designee Approval
$ (] 3) (] 7)
Local Agency approval
(~8)
SECTION 2 (Controller's Office use) (l 9)
Total allotment amount ] Commission budget
$ (19) } $ (19)
If construction: CE charges I Indirect chgs Adjusted contract amount plus total CE & indirect
__CE pool elig. (19) $ (19) I $ (19) charges calculation $ (l 9)
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 (] 9)
State Controller or De[egee I Date
(20) , , , t (20)
'Addendum B - Page 2 of 2
ATTACHMENT gl
THE LOCAL AGENCY SHALL USE THESE PROCEDURES T° IMPLEMENT FEDERAL-AID
PROJECT AGREEMENTS WITH pROFEsSIONXL CONSULTANT SERVICES
Title 23 Code of Federal Regulations (CFR') 172 applies to a federally funded local agency project agreement
administered by CDOT that involves professional consultant services. 23 CFR 172and 23 CFR 172(d') state that, "When
federal-aid highway funds participate in the contract a local shall use the same procedures as used by the State to
administer contracts ...". Therefore. local agencies must comply with this CFR requirement and the following state
procedures when obtaining professional consultant services under a federally landed consultant contract administered by
CDOT.
CDOT has formulated its procedures in Procedural Directive (P.D.) 400.1 and the related operations guidebook titled
"Obtaining Professional Consultant Services". This directive and guidebook incorporate requirements from both Federal
and State regulations, i.e., 23 CFR 172 and Colorado Revised Statute (C.R.S.) 24-30-1401 et seq. Copies of the directive
and the guidebook may be obtained upon request from CDOT's Agreements and Consultant Management Unit. [Local
agencies should have their own written procedures on file for each method of procurement that addresses the items in 23
CFR 172.5(b)(1-6)].
Because the procedures and laws described in the Procedural Directive and the guidebook are quite lengthy, the
subsequent steps serve as a short-hand guide m 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 .~l-~h~contrae fing-toeal-agene~sh ali~loe ument-the-ne e&f-or~ob~a '~ffmg~pr ofessio rval- serv/~e es:
2. Prior to solicitation for consultant services, the contracting local agency shall develop a detailed scope of work
and a list of evaluation factors and their relative importance. The evaluation factors are those identified in C.R.S.
24-30-1403. Also. a detailed cost estimate should be prepared for use during negotiations.
3. The contracting agency must advertise for contracts in conformity with the requirements of C.R.S. 24-30-1405.
The public notice period, when such notice is required, is a minimum of 15 days prior to the selection of the three
most qualified firms and the advertising should be done in one or more daily newspapers of general circulation.
4. The request for consultant services should include the scope of work. the evaluation factors and their relative
importance, the method of payment, and the goal of ten percent (10%) Disadvantaged Business Enterprise (DBE)
participation as a minimum for the project.
5. The analysis and selection of the consultants should be done in accordance with C,R.S. 24-30-1403. This section
of the regulation identifies the criteria to be used in the evaluation of CDOT pre-qualified prime consultants and
their team, It also shows which criteria are used to short-list and to make a final selection
The short-list is based on the following evaluation factors:
a. Qualifications.
b. Approach to the project,
c. Ability to furnish professional services
d. Anticipated design concepts, and
e. Alternative methods of approach for furnishing the professional services.
Evaluation factors for final selection are the consultant's:
a. Abilities of their personnel,
b. Past performance.
c. Willingness to meet the time and budget requirement,
d. Location.
e, Current and projected work load,
Attachment gl -Page 1 of 2
f. Volume of previously awarded contracts, and
g. Involvement of minority consultants.
Under 24-30-1401~ cost shall not be considered as a factor in the evaluation of professional consultant
services.
6, Once a consultant is selected, the local agency enters into negotiations with the consultant to obtain a fair and
reasonable price for the anticipated work. Pre-negotiation audits are prepared for contracts expected to be greater
than $50,000. Federal reimbursement for costs are limited to those costs allowable under the cost principles of 48
CFR 3 I. Fixed fees (profit) are determined with consideration given m 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 availableJ on the consultant.
8. Each ~f 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 agenc~ submits its final
expenditure report, Records of projects under litigation shall be kept at least three (3) years after the case has
been settled.
The C,R.S. 24-30-1401 through24-30-1408.23 CFRPart 172, and P.D.400.1 provideadditionaldetailsforcomplying
with~the~ei.ght~8-)-step s~jus t-di.sctrssed:
Attachment #1 -Page 2 of 2
FHWA Form 1273
REQUIRED CONTRACT PROVISIONS
FEDERAL-AID CONSTRUCTION CONTRACTS
I. General ..................................................................... I 6, Selection of Labor: During the Derformance of this con-
II. Nondiscrimination ..................................................... ~ tract, the contractor shall not:
II. Nonsegregated Facilities ......................................... 3
Iv. Payment of Predetermined Minimum Wage ........... 3 a. discriminate against labor from any other State, posses-
V. Statements and Payrolls .......................................... 6 sion. or territory of the United States (except for employment
Vi. Record of Matedals, Supplies, and Labor ............... 6 preference for Appalachian contracts, when aeelicable, as
Vii, Sublerting or Assigning trio Contract ....................... 7 specified in Attachment A), or
VIII. Safety: Accident Prevention .................................... 7
IX. False Statements Concerning Highway Projects .... 7 e. emeloy convict labor for any oureose within the limits of
X, Implementation of Clean Air Act and Federal the project unless it is labor performed by convicts who are on
Water Pollution Control Act ...................................................... 8 parole, supervised release, or erobation
X]. Certification Regarding Debarment. Suspension,
IneligibilibJ, and Voluntary Exclusion ........................................ 8 II, NONDISCRIMINATION
XII. Certification Regarding Use of Contract Funds for
Lobbying .................................................................................... 9 (Applicable to all Federal-aid construction conrracts and to all
related subcontracts of $1(~.000 or more.)
ATTACHMENTS
1 Equal Employment Opportunity: Equal empmymenl
A. Employment Preference for Appalachian Contracts opportunity (EEO) requirements not to discriminate and lo take
0ncluded in Appalachian contracts only) affirmative action to assure eoual opportunity as set forth under
laws, executive oroem, rules, regulations ~28 CFR 35 29 CFR
I. GENERAl. 1630 and 41 CFR 60)_ and orders of the Secretary of Labor as
modified Dy the orovie[ons prescribed herein, and ~m[3osed
1. These contract crovisions shall apply to all work performed pursuant to 23 U.S.C. 140 shall constitute the EEO and specific
on the contract by the contractors own organization and with the affirmative action stanaaros for the contractor's project activities
assistance of workers under trie contractor's immediate sucerin~ under this contract. The Equal Opportunity Construction Contract
tendence and to ail work eertormed on the contract by piecework Specifications set forth under 41 CFR 60-4.3 and the provisions of
station work. or by subcontract, the American Disabilities Act of 1990 [42 U.S.C. 12101 et
set forth under 28 CFR 35 and 29 CFR 1630 are incorporated by
2. Exceet as ethan, vise provided for in each section, tne reference in this contract, in the execution of this contract, the
contractor shall Insert in each subcontract all of the stipulations contractor agrees to comply with the following minimum specific
contained in these Required Contract Provisions. aha further reouirement activities of EEO:
require their incJusion in any lower tier subcontract or purchase
order that may ~n turn be mace. The Reauired Contract Provi- a. The contractor will work with the State highway agency
sions shall not be incorboratea by reference in any case. The tSHA) and the Federal Government in carrying out EEO ob ga-
Brime contractor shall be responsible for compliance Dy any tions and in their review of his/her activities under the contract,
subcontractor or lower tier suocomractor with these Required
Contract provisions, e. The contractor will accept as his operating policy the
following statement:
3. A breach of any of the stipulations contained in these
Requ~rec~ Contract Provisions shall ge sufficienl grounas for "ltisthepolicyofthisCompanytoassurethatappl~cantsare
termination of the contract, employee, and that employees are treated during employ-
ment. without regard to their race. religion, sex. color,
4. A breach of the following clauses of the Required Contract national ongm, age or disability, Such action shall include:
Provisions may a~so De grounds for debarment as provided in 29 employmern, upgrading demotion, or transfer: recruitment or
CFR 5.12: recruitment advertising; layoff or termination: rates ct cay or
other forms of compensation: and selection for training,
Section I, paragraeh 2: including apprenticeship, ereaoprenticeshio, anaror
Section IV, paragraphs 1.2. 3.4, and 7; on-the-job training."
Section V, paragraphs 1 and 2a through
2, EEO Officer: The contractor will designate and make
5, Disputes arising out of the labor sranaaras grovisions of known to the SHA contracting officers an EEO Officer who will
Section IV (except paragraph 5) and Section V of these Reauired have me responsibility for and must De ca[robie of effectively
Contract Provisions shall not be subject to the general disputes administering and promoting an active contractor program of EEO
clause of this contract. Such disputes shall be resolved in accor- aha WhO must ge assigned adeouate authoroy and responsibility
dance with the orocedures of the U.S. Deeartment of Labor (DEL) to do so.
as set forth in 29 CFR 5 6. and 7. Disputes within the meaning of
this clause include disoutes between the contractor (or any of its 3. Dissemination of Policy: All members of the contractor's
subcontractors) and the contracting agency, the DOL, or the start who are authorized to hire. supervise, promote anq
contractor's employees or their reDresentatives, discharge empmyees, or wno recommena such action orwho are
substantially involved in such action, will be made tully cogmzaro
Page I of 9 I
of. and will implement, the contractor's EEO ~olicy and contractual discdminatary wage practices.
responsibilities to provide EEO in each grace and classification of
employment. To ensure that the above agreement will be met. me c. The contractor will oeriodical[y review selecte(~ personnel
following actions will be taken as a minimum: actions in deoth to determine whether there is evidence of
discrimination. Where evidence is foune the contractor will
a. Pedodic meetings of supervisory and oereonnel office eromptly take corrective action. If the review indicates that the
employees will be conducted before the start of work and then not discrimination rosy extend beyond the actions reviewed, such
less often than once ever~ slx months at which time the contract- corrective action shall include all affected persons.
ors EEO policy and its imolementation will be reviewed and
explained. The meetings will be conducted by the EEO Officer. d. The contractor will promptfy investigate all complaints of
alleged discrimination made to the contractor in connection with
b. All new supervisory or personnel office employees will be his obligations under this contract, will attempt to resolve such
given a thorough indoctrination by the EEO Officer. covering all comolaints, and will take appropriate corrective action within a.
rosier aspects of the contractor's EEO obligations within thirty ,easonable time. If the investigation indicates that the
days following their repoding for duty with the contractor, discrimination may affect persons other than the complainant.
such corrective action shall include such other 3arsons. Uoon
c. All eerecnnel who are engaged in direct recruitment for completion of each investigation, the contractor will inform every
the project will be instructed by the EEO Officer in the contractor's comolainant of all of his avenues of appem.
~)roceduras for locating and hidng minority group employees.
6. Training and Promotion:
d. Notices and testers setting forth the contractor's EEO
policy will be placed in areas readily accessible to employees, a. The contractor will assist in locating, qualifying, and
applicants for eroployment and potential employees increasing the skills of roinority group and women employees, and
applicants for employment.
e. The contractor's EEO policy and the brocedures to
imDtament such policy will be broughtto the attention of employ- b. Consistent with the contractor's work force requirements
ecs oy means of meetings, employee handbooks, or other and as p~rmis§ible Under Federal and State regulations, me
appropriate means, contramor shall make full use of training programs, i.e..
apprantlcesmp, and on-the-job training ~rcgrams for the
4. Recruitment: When advertising for employees, me contrac- geographical area of contract performance, Where feasible. 25
tor will include in ail advertisements for employees the notation: Dement of aeprentices or trainees in each occupation shall be in
"An Equal Opportunity Emdloyer." All such advertisements will be their timt year of aDDrenticeshio or training. In the event a special
placed in publications having a larg~irculatlon among ro]~-onty prov~sion f~i~i~gg i'~ prow~i'Ed under [h~s contra~, this SuDDara-
groups in the area from which the project WOrK roroe would graph will be superseded as indicated in the special provision.
normally be derived.
c. The contractor will advise employees and applicants for
a. ThecontractorwilLunlessprecludedbyavatidbargam- employment of available training programs ant entrance
mg agreement, conduct systematic and direct recruitment through requirements for each.
public aha pnvate employee referral sources likely to yield
qualified minodty group applicants. To meet this reauireroent the d. The contractor wil periodicalfy review the training and
contractor wil: identify sources of potential minority group promotionpozentialofm[nodtygroupandwomenerop[oyeesana
employees, and establish with such identified sources procedures will encourage eligible employees to apply for such training aec
whereby roinority group applicants may be referred to the promotion.
contractor for employment cons[deranon.
7. Unions: If the contractor relies in whole or in par~ upon
3. In the event the contractor has a valid bargaining agree- umons as a source of employees, the contractor will use his/her
ment providing for exclusive hiring hail referrals, he is expected to DeSt efforts to obtain the cooperation of such unions to increase
observe the provisions of that agreement to the extent that the opportunities for minodty groups ano women within the unions.
system permits the contractor's compliance with EEO contract aha to effect referrals by such unions of minodty snd female
orovisions. (The DeL has held that where ~mplementation of such employees. Actions by the contractor either directly or through a
agreementshavetheeffectofdiscriminatingaga~nstminoritiesor contractors association acting as agent will include the
women, or obligates ina contractor to do [ne same. such proceaures set forth below:
imDleroentation violates Executive Order 11246. as amecaeej
a. The contractor wi use best efforts to aeveloo, in
c. The contractor will encourage ms present employees to cooperation with the unions, joint training programs aimed toward
retarminoritygroupappl[cantsforemoloymen[. Information and qualifying more minority grouo members aha women for
erocedures with regard to referring minority group applicants will membership in the unions and increasing the skills of minority
be discussed with employees, group employees and women so that they roay qualify for higher
paying employment.
5. Personnel Actions: Wages, working conditions, aha
'emoloyee benefits shall be established and administered, aha b. The contractor wil use best efforts to incorporate an
personnel actions of every type, including hiring, upgrading, EEO clause ~nto each umon agreement to the end that such union
promotion, transfer, demotion, layoff, and termination, shall be will be contractually bound to refer aDD cants without regard to
taken without regard to race. color, religion, sex, national origin, their race. color, religion, sex. national or[gin, age or disability.
age or disability. The following procedures shall be followed:
c. The contractor is to obtain information as to the referral
a The contractor will conduct periodic nspections of practices and Policies of the labor union except that to the extent
project sites to insure that wormng conditions aha employee such information is within me exclusive possession of the labor
~acilities do not indicate discriminatory treatment of project site union and such labor union refuses to furnish such information to
personnel, the contractor, the contractor shall so certify to the SHA ant shall
set forth what efforts have been made to obtain such information.
b The contractor will oedodically evaluate the sDread of
wages paid within each classification to detsrm[ne any evidence of d. In the event the union is unable to 3rovide the contractor
Page2of 9 REQUIRED BY 23 CFR 633.102 --
with a reasonable flow of minodty and women referrals within the related subcontracts of $10.000 or more.;
time limit set forth in the collective bargaining agreement, the
contractor will. through independent recruitment efforts, fill the a. By submission of this bid, the execution of this contract
employment vacancies without regard to race, color, religion, sex, or subcontract, or the consummation of this mateflal supply agree-
national origin, age or disability; making full efforts to obtain ment or oumhase order, as appropriate, the bidder. Federal-aid
aualified and/or aualiflable minority group persons and women, construction contractor, subcontractor, matedal supplier, or
(The DeL has held that it shall be no excuse that the union with vendor, as appropriate, certifies that the firm does not maintain or
which the contractor has a collective bargaining agreement erovide for its employees any segregated facilities at any of its
providing for exclusive referral failed to refer minority employees.) establishments, and that the firm does riel ~3ermit its employees to
m me event the union referral practice prevents the contractor perform their services at any location under its control, where
from meeting the obligations pursuant to Executive Order 11246. segregated facilities are maintained. The firm agrees that a
as amended, and these special provisions such contractor shall breach of this certification is a vio~ation of the EEO srovisions of
immediately notify the SHA. this contract. The firm further certifies that no employee will be
deniea access to adequate facilities on tne basis of sex or
8. Selection of Subcontractors. Procurement of Materials disability.
and Leasing of Equipment: The contractor shall not discriminate
on the grounds of race, color, religion, sex. nationalodgth, age or b. AS used in this certification, the term "segregated
disability n the selection and retention of subcontractors, including facilities" means any wamng rooms, work areas, restrooms and
procurement of materials and leases of equipment, washrooms, restaurants and other eating areas, t~meclocKs, locker
rooms, and other storage or dressing areas, parking lots. ddnking
a. The contractor shall notify all potential subcontractors fountains, recreation or entertainment areas, rransoortation, anc
ana suppliers of his/her EEO obligatlons under thi~ contract, housing facilities provided for employees which are segregated by
explicit directive, or ars. in fact. segregated on the basis of race.
b. Disadvantaged business enterprises (DBE), as defined color, religion, national origin, age or disability, because of habit
in 49 CFR 23. shall have equal opportunity to compete for aha local custom, or otherwise. The only exceptipn will De for the
performsubcontractswhichthecontractorentersintopursuantto disabled when the demands for accessibility override (e.g.
this contract. The contractor will use his best efforts to solicit bids disabled parking).
from and to utilize DBE subcontractors or subcontractors with
meaningful minorifygrouoandfemale reoresentationamongtheir c. The contractor agrees that it has obtained or will obtain
employees. Contractors shall obtain lists of DOE construction dentical cediflcation from proposed subcontractors or matedal
firms from SHA personnel, suppliers pdor to award of suocemracts or consummation of
material supply agreements of $10.000 or more and that it will
c. The co~Tt~ ot~r~ti u~Fs-b~ftorts to ensure sudan- r'~ln-~Q~cffc~rtifl~'at~r~it~-ffi~s,
tractor compliance with their EEO obligations.
IV, PAYMENT OF PREDETERMINED MINIMUM WAGE
9. Records and Reports: The contractor shall keep such
'ecoros as necessary to document com31iance with the EEO (Applicable to all Federal-aid construction contracts exceeding
reouirements. Such records shall be retained for a boded of three $2,000 and to all related subcontracts, except for projects located
years following completion of me contract work and shall be on roadways classified as local roads or rural minor collectors.
available at reasonable times and places for inspection by autho- which are exempt.)
rized representatives of the SHA and the FHWA.
1. General:
a The records kept by Ihe contractor shall document the
following: a AI~ mechanics and laborers employee or wormng JDOn
the site of the work will be paid unconditionally and not less often
(1) The number of minority and non-minodty groue thanonceaweekandwithoutsubsequentdeductlonorrebateon
memoers and women employed in each work classification on the any account [except such payroll deductions as are permitted by
prolecb regulations (29 CFR 3) issued by the Secretary of Labor under the
Copeland Act (40 U.S.C. 276c)] the full amounts of wages and
(2) The progress and efforts being made in cooperatio? bona fide fringe benefits (or cash equivalents thereof) due at time
with unions, when applicable, to increase employment oogo~un~- of payment. The payment shall be computes at wage rates not
ties for minorities and women: less than those con[ames in the wage determination of the
Secretary of Labor (hereinafter 'the wage determination") which is
(3) The progress and efforts being made in locating, attached hereto and made a par~ hereof, regardless of any
hiring, training, qualifying, and upgrading minority and female contractual relationship which may be alleged to exist between the
employees: and contractor or its subcontractors and such laborers and mechanics.
The wage determination (including any additional classifications
(4) The progress and efforts being made in securing aha wage rates conformed under paragraph 2 of this Section iV
the services of DBE suDcomractors or subcontractors with and the DeL poster (WH-1321) or Form FHWA-1495) shall be
meaningful minodty and female representation among their posted at all times bythe contractor and ~ts SUbCOntractors at me
employees, site of the work in a prominent and accessible piece where it can
De easily seen by the workers. For the ~)urpose of this Section.
r). The contractors will submit an annual report to the SHA contributions made or costs reasonably anticipated for bona fide
each July for the duration of the Project. indicating the number of fringe benefits under Section 1(b)(2) of the Davis-Bacon Act (40
minority, women, aha non-minority group employees currently U,S.C. 276a) on behalf of laborers or mechanics are considered
engaged in each work classification required byt~e contractwon<, wages paid to such laborers or mechanics, subject to the prow~
This information is to be reported on Form -'HWA-1391. If on-the sions of Section IV, paragraph 3b hereof. Also, for the ourooss of
job training is being required by special provision, the contractor this Section. regular contributions made or costs incurred for more
will be reauired to collect and report training sara. Ihan a weekly penod (but not less often than quarterly) under
plans, funds, or programs, which cover me Dartmular weekly
III. NONSEGREGATED FACILITIES Defied. are deemed to be constructively made or incurred during
such weekly 3edod. Such laborers and mechanics shall De Da~O
(Applicable to all Federal-aid construction contracts abd to all the approoriats wage rate and fringe benefits or rne wage
Page 3 of 9 REQUII~ED BY 23 CFR 633.102 --
determination for the cJassitication of work actually performed,
without regard to skill, except as provided in paragrachs 4 and 5 a. Whenever the minimum wage rate prescdbed in the
of this Section iV. contract for a class of laDorem or rnechaniss includes a fringe
benefit which is not exoressed as an hourly rate, the contractor or
o. Laborers or mechanics performing work in more than subcontractors as appropnare, shall either pay the benefit as
one classitication may be compensated at the rate specified for stated in the wage determination or shall pay another bona fide
each classification for the time actually worked therein, srovided, fringe benefit or an hourly case equivalent thereof
that the employer's payroll records accurately set fodh the time
scent in each classification in which work is performee, b. If the contractor or suecontractor, as approodate, does
not make ~ayments to a trustee or other third Demon. he/she may
c. All rulings and interpretations of the Davis-Bacon Act ane consider as a Dart of the wages of any ~aborer or mechanic the
related acts contained in 29 CFR 1, 3, and 5 are herein incoreo- amount of any costs reasonably anticipated in providing bona fide
rated by reference in this contract, fringe benefits under a plan or program, provided, that the Secre-
tary of Labor has found, upon the written reauest of the contractor
2 Classification: ~hat t~e applicable standards of the Davis-Bacon Act have been
met. The Secretary of Labor may require the contractor to set
a. The SHA contracting officer shall ra(3uire that an)- class aside in a separate account assets for the meeting of obligations
of laborem or mechanics employed under the confract which is under the p~an or program.
not listed in the wage detarminat[on, shall be classified in
conformance with the wage determination. 4. Apprentices and Trainees (Programs of the U.S. DeL)
and Nelpers:
9. The contracting officer shall approve an additional
classification, wage rate ano fringe benefits only when the a. Apprenncss:
following criteria have been met:
(1) Apprentices will be permitted to work at less tha~
(1) the won< to be performed oy the additional mepredeterminedratefortheworktheyperformedwhantheyare
classification requested is not performed by a c~assification in the employed pumuant to and individually registered in a bona fide
wage determination: apprenticeshie program registered with the DOL. Employment and
Training Administration. Bureau of Apprenticeship and Training, or
(2) the additional classiflcatian is utilized in the area Dy with a State apprenticeship agency recognized by the Bureau. or if
the construction industry; a person is employed in his/her first 90 days of probationary
employment as an apprentice in such an apprenticeship program.
-(3)-~hre3~mposed-wageTateT~ncludthg-any-bona-tide -~lTo-rs'3Tor~'~i~rdE~lly~'~i~rele~-~-tffe progYaTh~'. EOt-Wh~13~-s- --
fdnge benefits, team a reasonable relationship to the wage rates been certified by the Bureau of Apprenticeshie and Training or a
contained in the wage determination, and State apprenticeship agency (where appropriate) to be eligible for
erebationary employment as an apprentice.
(4) with respect to holbein, when such a classification
prevails in the area in which the work is performed. (2) The allowable ratio of apprentices to journeyman-
level emoloyees on the job site in any craft classification shall not
c. f the contractor or subcontractors, as appropriate, the De greater than me ratio eermitted to the contractor as to the
laborers and mechanics (if known) to be employed in the 9ddltion- entire work force under t~e registered orogram. Any employee
al classification or their representatives, and the contracting officer listed on a payroll at an apprentice wage rate. who ts not regis-
agree on the classification and wage rate (including the amount tered or otherwise employed as stated above, shall be oaid not
designated for fringe benefits where appropriate), a report of the less than the applicable wage rate listed in the wage determina-
action taken shall be sent oy the contracting officer to the DOL. tion for the classification of work actually performed. In addition
Administrator of the Wage and Hour Division. Emoloyment Start- any apprentice performing WOrk on the lob site in excess of the
earns Administration. Washington. D.C. 20210. The Wage and ratio oermitted under the registered program sball be paid hatless
Hour Administrator. or an authorized representative, will approve, than the applicable wage rate on the wage determination for the
modify, or disapprove every additional classification action within work actually performed. Where a contractor or suecontractor is
30 days of race 3r and so ~advise the contracting officer or will performing construction on a project in a Iocatity other than that in
notify me contracting officer withi~ the 30-day period that which its program is registered, the ratios and wage rates {ex-
additional i[meis necessary, pressed in Dercemages of the lourneyman-level hourly rate,
specified in the contractor's or subcontractor's rag~stereo program
d. In the event the contractor or subcontractors, as adore- shall be observed.
Driate. the laborers or mechanics to be employed in the additional
classification or their representatives, and the contracting officer (3) Every aporent~ce must De paid at not less than the
do not agree on the DrODOSSQ classification an~3 wage rate rare sDecitied in theregistered program fortheaoorentice'slevel
(including the amount designated for fringe benefits, where of progress, expresseo as a percentage of the journeyman-love
appropriate), the contracting officer shall refer the ~uestions. hourly rate specified n me applicable wage determination
including the views of all interestee I)arties and the recommenaa- Apprensces shall De paid fringe benefits in accordance with the
tion of the contracting officer, to the Wage and Hour Admihis[rator orevisions of the apprenticeship program. If the abprenticeship
for determination. Said Administrator. oran authorized represen- program c~oes not SDeClfy fringe benefits, apprentices must be
tative, will issue a determination within 30 days of receipt and so paid the full amount of fringe benefits listed on the wage aetarmi-
adwse the contracting officer er will notify the contracting officer nation for the applicable classification. If the Administrator for the
within the 30-day period that additional time is necessary Wage and Hour Division determines that a different 9ractice
orevails for the applicable apprentice classification, fringes shall
e. The wage rate (including fringe be[~efits where approprl- De oaJd ~n accordance with that determination
ate) determined eumuant to earagraph 2c or 2d of this Section iV
shall oe paid to a~l workers performing work in me additional (4) in the event the Bureau of Apprenticeshic anc
classification from the first day on which work is eerfcrmed in the Training, or a State apprenticeship agency recognized by the
classification. Bureau. withdraws aoereval of an apprenticeship program toe
contractor or subcontractor will no longer be permitted to utilize
3 Payment of Fringe Benefits: apprentices at tess than the applicable preeemrmmed rate for the
Page 4 of 9 REQUIREE BY 23 CFR 633.102 --
comparableworkeerformedbyregularemployeesuntilaneccect- contract or any other Federal contract with the same onme
able program is approved, contractor or any other Federally-assisted contract subject m
Davis-B~con prevailing wage requirements which is held by the
b. Trainees: same Dnma contracto~, as much of the accruea payments or
aavances as may be considered necessary to pay laborers and
(1) Exceprasprovidedth29CFR 5.16. traineeswillnct mechanics, including apprentices, trainees, and helpers,
be oermitted to work at less than the oradetermined rate for the ployed by the contractor or any suPcontractor the full amount of
work Dedormed unless may are employed eursuant to and wages required b)' Ihe contract, n the event of failure to payany
ndividually registerad in a program which has received prior laboraror mechanic, including any approntice, trainee, or ne~oer.
aeemvaL evidenced by Iormal certification by the 3CL. employed or working on the site of the WORK. all or part of the
Employment and Training Administration. wages required by the contract, the SHA contracting officer may,
after written notice to the contractor, take such action as may ee
(21 The ratio of traineestojoumeyman-level employees necessary to cause the suspension of any further payment.
on the job site shall not be greater than permitted under the 31an a(]vance, or guarantee of funds until such violations have ceased.
approvea by the Employment and Training Administration Any
employee listed on the payroll at a trainee rate who is not 7. Overtime Requirements:
registered and Dartlcioating in a training Dian aoproved by the
Employment and Training Administration shall be Paid not less No contractor or subcontractor contracting for any part of
than the applicable wage rate on the wage determination for the the contract work whiCh may require or involve the emp{oyment of
classification of work actually performed, n addition, any trainee laborers, mechanics, watchmen, or guems (includthg appren~Jces.
eerforming work on the job site in excess of the ratio uermitted trainees, and heloers described ~n earagraphs 4 and 5 above)
under the registered program shall be paid nor less than the snail require or permit anylaborer, mechanic, watchman, or guaro
applicable wage rate on the wage determination for the work n any workweek in which he/she Is employ, ed on such work. to
actually performed, work in excess of 40 hours in such workweek unless SUCh aborsr.
mechanic, watchman, or guard receives compensation at a rate
(3) Every trainee musl be paid at not less than t'~e rare not less than one-and-one-half times his/her basic rate of pay for
specified in the approveo program for hisser level of progress, ail hours worked In excess of 40 hours in such workweek.
expressed as a percentage of the journeyman-level hourly ram
specified in the aeclicable wage determination. Trainees shall be 8. Violation:
paid fringe benefits in accordance w~fi~ the crovisions of the
trainee program. If the trainee program does not mention fringe Liability for Unpaid Wages; Lieuidated Damages: In the
benefits, trainees shall De paid the full amount of fringe benefits event of any violation of the clause set forth in earagraph 7 above.
lis te d~)TT1;h'e-waz:Je-~eten'ritnat t°n~nfesslhe-"~drnintstrat°r~t t he- -------t tTe~c~t r~tut ~n~aT~?S~Ec~1t~'~-r'cTO77e~3b~n~ittlb-fh e r eof ~h-~[ll be
Wage ano Hour Division determines that there is an apprentice- liable to the affected employee for his/her unoaid wages, m
ship program associated with the corresponding journeyman-level addition, such contractor and subcontractor shall be liable to the
wage rate on the wage determination which provides for lass than United States lin the case of work done unoer contract for the
full fringe benefits for apDrenfices, in which case such trainees District of Columbia or a terntory, to such Distdct or to such
shall receive the same fdnge benefits as apprentices, territory) for liquidated damages. Such liquidated damages shall
De computed with respect to each individual laboreL mecnamc.
I4~ n me event the Employment and Training watchman, orguardemployedinviolationoftheclausesetfodhin
Administration wltrs]raws aPProVal of e training program, the paragraph 7, in the sum of $10 for each calendar day on whic?
contractor or subcontractor will no longer be permitted to utilize such employee was required or eermitted to work in excess of the
trainees at less than the applicable predetermined rate for the standard work week of 40 hours without payment of the overtime
work performed until an acceptable program is approved, wages required by the Clause set forth in paragraph 7.
c. HeIDers: 9. Withholding for Unpaid Wages and Liquidated Damages:
Helpers will be 3ermitted to work on a 3reject if the The SHA shall upon its own action or upon wntzen reauest of
helper classification is specified and defined on me applicable any aurnonzeo representative of the DOL withhol~., or cause to be
wage determination or is approved pursuant to the conformance withheld, from any monies payable on account of work performed
procedure set forth in Section IV.2. Any worker listed on a payroll Dy the contractor or subcontractor unoer any SUCh contract or any
az a helper wage rate. WhO is no[ a helper under a apDrovec other Federal contract wdh the same pdme contractor, or any
definibon, shall be paid not less than lhe applicable wage rate on other Federally-asslsrea contract suoject to the Contract Work
the wage determination for the classification of work actually per- rrours and Safety Standards Act which is bela Dy me same onme
formed, contractor, such sums as may be determineo to De necessary to
satisfy any labilities of sucn contractor or suecontractor for unpaid
5. Apprentices and Trainees (Programs of the U.S, DOT): wages and liquidated damages as provided in the clause set forth
~n paragraph 8 above.
Apprentices and trainees working under apprenticeship and
skilltrainmgprogramswhich havebeen certifiedbytheSecratary V. STATEMENTS AND PAYROLLS
of Transportation as promoting EEO in connection with Federal-
aid hignway construction orograms are not sub.act to the reau~re- (Applicable to all Federal-aid construction contracts exceeding
ments of paragraph 4 of this Section IV. The straight time hourly $2.000 and to all related subcontracts, except for projects located
wage rates for apprentices and trainees unaer sucn programs will on roaoways classified as local roads or rural collectors, which are
be established by the particular programs. The ratio of apprent~c- exempt.)
es and trainees to j6umeymen shall not be greater than permitted
Dy the terms of the earticular program. 1. Compliance with Copeland Regulations (29 CFR 3):
6. Withholding: The contractor shall comply with the Copeland Regulations of
lhe Secretary of Labor which are herein incorporated by reference.
The SHA shall upon its own action or upon wdffen raouest
of an authorized representative of the DOL withhold, or cause to 2. Payrolls and Payroll Records:
be withheld, irom ina contractor or subcontractor under this
Page $ of 9 REQUIRED BY 23 CFR 633.102
a. Payrolls and basic recoms relating thereto shall be satisfy the requirement for submission of the "Statement of
maintained by the contractor and each subcontractor during the Compliance" reoulred by paragraph 2d of this Section V.
course of the work and Draserved for a period of 3 years from the
date of comoleeon of the contract for all laborers, mechanics, f. The falsification of any of the above certifications may
appranfices, trainees, watchmen, helpers, and guardsworkingat subject the contractor to c~wl or cdmina Drosecution under 18
the site of the work. U.S.C. 1001 and 31 U.S.C. 231.
b. The payroll records shall contain the name social g. The contractor or subcontractor shall make the records
secunty number, and address of each such employee; his or her reeuirad under paragraph 2b of this Section V available for
correct classification: hourly rates of wages paid (including rates of inspection, copying, or transcript[on by authorized representatives
contributions or costs anticipated for bona fide fringe benefits or of the SHA, the FHWA, or the DOL, and shall permit such repro-
cash equivalent thereof the types described in Section l(b)(2)(B} sentatives to interview emoloyees during working hours on the job.
of the Davis Bacon Act); daily and weekly number of hours If the contractor or subcontractor fails to submit the required
worked: deductions made: and actual wages pale. in addition, for records or to make them available, the SHA. the FHWA the DOL,
Appalachian contracts, the payroll records shall contain a notation or all may, after written notice to the contractor, sponsor, applicant.
~ndicating whether the employee does, or does not, no~'mally or owner, take such actions as may be necessary to cause the
reside in the labor area as defined in Attachment A, paragraph 1. suspension of any further payment, acivance, or guarantee of
Whenever the Secretary of Labor, pursuant to Secfion IV. funds, Furthermore. failure to submit the required records upon
paragraph 3b. has found that the wages of any aborer or reouesz or to make such records available may be grounds for
mechanic include the amount of any costs reasonably antlcloated debarment action pursuant to 29 CFR 5.12.
in providing benefits under a plan or program described in Section
l(b)(2)(B) of the Davis Bacon Act. the contractor ana eacn VI. RECORDOF MATERIALS. SUPPLIES, AND LABOR
subcontractor shall ma ntain records which show that the commit-
ment to Drevide such benefits is enfomeable, that the Dian or 1. On all Federal-aid contrams om the National Highway
program is financially responsible, that the Dian or program nas System. exceot moss wmcn orovide solely for the installafion of
been communicated in writing to me laborers or mechanics orotective devices at railroad grade crossings, those which are
affected, and show the cost anticloated or the actual cost incurred constructed on a force account or direct labor basis, highway
in providing benefits. Contractors or subcontractors employing beautification contracts, and contracts for which the total final
apprentices or trainees under appreveo programs shall maintain cons[ruction cost for roadway and bridge is less than $1 d00.000
written evidence of the registration of apprentices and trainees. (23 CFR 635~ the contractor shall:
and ratios and wage rates prescribed in the applicable programs.
a. Become familiar with the list of soecrlic matedals and
Page6of 9 REQUIRED BY 23 CFR 633.102 --
eouioment not ordinadty available in the type of contracting CFR 6351 in one or more plases where it is readily available to all
organizations Qualified and expected to bid on the contract as a persons concerned with the project:
whole and in generm are to be limited to minor components of the
overall contract. NOTICE TO ALL PERSONNEL ENGAGED ON FEDERAL-AID
HIGHWAY' PROJECTS
2. The contract amount upon which the requirements set forth
in paragraph 1 of Section VII is computed includes the cost of 18 U.S.C. 1020 reads as follows:
matedal and manufactured products which are to be purchased or
produced by the contractor under the contract provisions. 'Whoever. being an officer, agent, or employee of the United
States. or of any State or Territory, or whoever, whether a person,
3. The contractor shall furnish (at a competent superintendent association firm~ or corooratton, knowingly makes any false
or supervisor who is emcloyed by the firm. has full authority to statement, false representation, or fa/se reportas to the character,
direct performance of the work in accordance wire the contract quafity, quanfl~y, or cost of the material used or to be used. or the
requirements, aha s m charge of all construction operations quantttyorqualityofthework~erformedortobeperformed. ~rthe
tregardless of who periorrns the work) and (bt such other of its cost thereof in connection with the submission of plans, maps,
own orgasizational resources {supervision. management, and specifications, contracts, or costs of construction on any highway
engineering servicesl as the SHA contracting officer determines is or related project submitted for approval to me Secretary of
necessary to assure the oeflormance of the contract. Transportation: or
4. No portion of the contract shall be sublet, assigned or Whoever knowingly makes any false statement false
otherwise disposed of except with the written consent of the SHA representation false report or false claim wtm respect to the
contracting officer, or authorized representative, and such consent character, quarry, quantity, or cost of any work per/ormed or to be
when given shall not be construed to relieve the contractor of any performed, or materials furnished or to be ~/mished. in connection
responsibiltt~, for the fulfillment of the contract. Written consent
with the construction of any highway or related project approved
will be given only after the SHA has assured that each subcontract
is evidenced in writing and that it contains ail pertinent provisions by the Secretary of Transporta~on: or
eno reouttements of the prime contract. Whoever knowingly makes any false statement or false
VIII. SAFETY: ACCIDENT PREVENTION representation as to material fact in any statement, certificate, or
report submitted ,3ursuant to provisions of the Federal-aid Roads
1. In the performance of this contract the contractor shall Act approved July 1. 1916. (39 Stat. 355), as amended and
comply with all applicable Federal State, and local laws governing supplemented:
-- ~Ef~5~Th(~a~thTA~i~il-t'23-CFR-635~-The contTA~r0-i~h~all' ....
provide all safeguards, safety devices and protective equiDmem Shall be fined not more that $10.000 or imprisoned not more
and take any other needed actions as it determines, or as the SHA than 5 years or both."
contracting officer may determine, to be reasonably necessary to
protect the life and health of employees on the job and the safety X. IMPLEMENTATION OF CLEAN AIR ACT AND FEDERAL
of the ~Oublic and to protect property in conneceon w~ti~ the WATER POLLUTION CONTROLACT
performance of the work covered bo, the contract.
(Applicable to all Federal-aid construction contracts and to all
2. it s a condition of this contract, and shall be marJe a related subcontracts of 5100.000 or moro./
condition of each subcontract, which the contractor enters into
pursuant to this contract, that the contractor and anysuecentractor By suDmissi0n of this bid or the execuaon of this contract, or
shall not permit any employee, in pertormance of the contract, to subcontract, as appropriate, the bidder. Federal-aid construction
work in surroundings or under conditions wnlcn are unsanitary, contractor or subcontractor, as aocroodata, will be deemed to
hazardous or dangerous to his/her health or safety, as determined have stipulated as follows:
under construction safety and health standards (29 CFR 1926)
promulgated by the Secretary of Labor, in accordance with 1. That any facility that is or will be utilized in the performance of
Section 107 of the Contract Work Hours and Safety Standards Act this contract, umess such contract is exempt under the Clean Air
[40 U.S.C. 333). Act. as amenaea (42 U.S.C, 1857 et e.,~., as amenaeo Dy Pub. L.
91-604), and under the Federal Water Pollution Control Act. as
3. Pursuant to 29 CFR 1926,3. it is a condition of this contract amended (33 U.S,C. 1251 e_t sea., as amenaea by Pub. L. 92-500),
that the Secretary of Labor or authorized representative thereof. Executive Order 11738. aha regulations in implementation thereof
shall have right of entry to any site of contract performance to (40 CFR 15) is not listed on the date of contract awaro, on the
nspect or investigate the matter of comp iance w~tb the cons[ruc- U.S. Environmental Protectmn Agency (EPA) List pt Vmlating
tion safe~y and health standards and to carry out the duties of the Facilities 3ursuant to 40 CFR 15.20,
Secretary under Section 107 of the Contract Work Hours and
Safety Standards Act (40 U.S,C. 333). 2. That the firm agrees to comply and remain in compliance with
all me reauirements of Section 114 of [ne Clean Air Act and
IX. FALSE STATEMENTS CONCERNING ~IGHWAY Section 308 of the Federal Water Pollution Control Act and all
PROJECTS regulations and guidelines listed thereunder,
In order to assure high quality and durable construction in 3. That the firm shall promptly notify the SHA of the receipt of any
conformity with approvea plans aha specifications and a high communication from the Director. Office of Federal Activities
degree of reliability on statements and representations made by EPA. indicating that a facility that is or will be utilized for the
engineers, contractors, suDeliers, and workers on Federal-aid contract is under consideration to be hsted on the EPA List of
highway projects it is essential that all persons concerned with the Violating Facilities,
project eer/orm their functions as carefully, thoroughly, eno
honestlyas eossible. Willful falsiflcatlor., distortion, or misreDre- 4. That the firm agrees to include or cause to De included the
santation with respect to any facts related to the project is a requirements of paragraph ~ through 4 of this Section X in every
violation of Federal ~aw. To prevent any misunderstanding nonexemetsubcontract andfurtheragreestotakesuchactionas
regardingtheseriousnessofthesaandsimilaracts, the following me governmenl may direct as a means of enforcing suc;~
notice shall be posted on each Federal-aid highway project (23 requirements.
Page 7 o[ 9 REQUIRED BY 23 CFR 633,102
XI. CERTIFICATION REGARDING DEBARMENT. L Nothing contained in the foregoing shall be construed to
SUSPENSION, reauire establishment of a system of records in order to render in
INELIGIBILITY AND VOLUNTARY EXCLUSION good faith the certification required bythis clause. The knowledge
and information of participant is not required to exceed that which
1. Instructions for Certification - Primary Covered is normallypossessed by a prudent 3arson in the ordinarycourse
Transactions: ct business dealings.
(Applicable to all Federal-aid contrams - 49 CFR 29) i. Excect for transactions authorized under paragraph f of
tnese instructions, if a partic~pan! n a coverec transaction
a. By signing and submitting this proposal, the prospective knowingly enters into a lower tier cevere(] transaction with a
pdmary participant is providing the certification set out below, oeraon WhO is suspenceo, oebarred, ineligible, or voluntar
excluded from participation in this transaction, in addition to other
b. The inabilify of a person to orovide the cerafication set remedies available to the Federal Government, the department or
out below will not necessarily result in denial of participation in this agency may terminate this transaction for cause or default.
covered transaction. The prospective participant shall submit an
exolanation of why it cannot 3mvide the certificafion set out below.
The certification or explanation will be considered in connection
with the deoartrnent or agency's determination whether to enter
into this transaction. However failura of the prospective primary Certification Regarding Debarment, Suspension,
participant to furnish a certification or an exp~anafion shall Ineligibility and Voluntary Exclusion--Primary Covered
disqualify such a Detach from padicipation in this transaction Transactions
c. The certification m this clause is a malenal 1.ThepraspectiveDrimaryparticipantceditiestothebestofits
representation of fact ueon which reliance was Placed when the <nowledge and belief, that it and its principals:
department or agency determined to enter into this transaction. If
it is later determined that the proscec~ve primary barticipact a. Are not presently debarred, suspended, proposed for
knowinglyranderedanerroneouscertltication, inadditiontocther debarment. Oecmrea ineligible, or voluntarily excluded from
remedies available to the Federal Government. the department or covered transactions by any Federal department or agency;
agency may terminate this transaction for cause of default.
b. Have not within a 3-year period preceding this proposal
d. The ~ective primary participant shall provide immed,- been con,victe,d of or had a civiliudgement rendered against them
ate w~-tt~-~' notice to the deoart~ or agencY-to whom thi~- tor coOl--fraud or a criminal cat.sa ~n connection wiJ~
oroDosal iS submitted if any time the prospective primary partici- obtaining, aftempting to obtain, or performing a public (Federal.
pant learns that its certification was erroneous ween submitted or State or local) transaction or contract under a Dublic transaction:
has become erroneous by reason of changed circumstances, violation of Federal or State antitrust statutes or commission cf
embezzlement, theft, forgery, bdbery, falsification or destruction of
e. The terms "covered transaction." "debarred.' records, making false statements or receiving stolen property;
"susaended." "ineligible." "lower tier covered transaction.'
"Darticipant," "person," "primar~ covered transaction.' "principal," c. Are not crasaml~ indicted for or otherwise criminahy or
"proposaL' and "voluntamy excluded." as used in this clause, have civilly charged by a governmental entity (Federal. State or local)
the meanings set out in the Definitions and Coverage sections of with commission of any of the offenses enumerated in 3aragraDh
rules im olementing Executive Order 12549. You may contact the 1 b of this certification; and
department or agency to which this proposal is submitted for
assistance in obtaining a copyof those regulations, d. Have not within a 3-year period preceding this
aeplicafion/praposal bad one or more oublic transactions rFederal,
t. The prospective primary participant agrees by submitting State or IocaJ~ terminated for cause or default.
this proposal that. should the proposed covered transaction be
entered into. itshatinotkhowinglyenfarintoanylowertiercovered 2. Where the orosoective ebmary ear[~c~oant is unable to certify
transaction with a person who is debarred, suspended, declared to any of the statements in this certification, such Drosoective
ineligible, or voluntanlyexcluded from participation Jn this covered participant shall attach an exolanafion to this DrODOSaI.
transaction, unless authorized by the deeartment or agency
entering into this transaction.
g. The prospective primary oarticioant further agrees by
submitting this proposal that it wiJl include the clause fitied 2 Instructions for Certification . Lower Tier Covered
· Certification Regarding Debarment. Susoenslon, Ineligibility and Transactions:
Voluntary Exclusion-Lower Tier Coverec Transaction," provided by
the department or agency entenng into this covered transaction (Applicable to all subcontracts, purchase orders and other lower
without modification in all lower tier covered transactions and in tier transactions of S25.000 or more - 49 CFR 29)
all solicitations for lower tier covered transactions.
a. By signing and submitting this proposal, the prospective
n A participant in a covered transaction may rely upon a lower tier is providing the certification set out below.
certification of a oroscective 0artic~pant in a lower tier covered
transaction that is not debarred, suspended, ineligible, or volun- b, The certification in this c~ause is a marshal
tarily excluded from the covered transaction, unless it J<nows tho! representation of fact upon which reliance was placed when this
me certification Js erroneous. A participant may decide me transaction was entered ~rao. ' it is later determined that the
method and frequency by which it determines the eligibility of its prosoecz~ve lower tier par'~icipant ~nowingly rendered an
~nnc~DalS. Each participant may, but is not required to. check the erroneous certification In addition to other remedies available to
nonorocurament portion of th~ 'Lists of Parties Excluded From the Federal Government. [he deoartment, or agency With wbich
FederalPracuramentorNonDrocurementPrograms"(NonDrocure- this transaction ong~na~ea may pursue available remedies.
mera List', which is compiled by the General Services includJngsuspensionand/ordebarment
Administration.
[D~ ~ O[ 9 ~EQUIRED BY 23 C~R 633.i02 --
c. The prospective rower tier participant shall provtoe Transactions:
immediate written notice to file Detach to which this proposal is
submitted if at any time the prospective lower tier participant I. The pmspectlvelower t~er ~a~licipantcertifies, bysubmission
learns that its certification was erroneous Dy reason of changed of this proposal, that neither rt nor its principals rs presently
c~rcumstances, debarred, suspended, proposec for debarment, declared
ineligible, or voluntahly excluded fron- Dadic~patio~ in this
d, The terms "covered transaction.' "debarred." transaction byany Federal department or agency.
'suspenried.' "ineligible," "pdmary covered transaction."
"participant.' 'person," "princical." "proPosal.' and "voluntarily 2. Where the prospective lower tier participant is unable to
excluded, as used '~ this clause, have the meanings set out in certify to any of the statements in this certification, such pmspec-
the Definitions and Coverage sections of rules mplementing tire participant shall attach an exolanation to this proposal
Executive Order 12549. You may contact the person to which this
proposal is submitted for assistance in obtaining a copy of those .....
regulations.
XII. CERTIFICATION REGARDING USE OF CONTRACT
e. The prospective lower tier participant agrees Dy FUNDS OR LOBBYING
submitting this proposal that. should the proposed covered
transaction be entered into. it shall not knowingly enter into any (Applicable to all Federal-aid construction contracts and to all
lower tier covered transaction with a person who is debarred, related subcontracts which exceed $100.000 - 49 CFR 20)
susaended, declared ineligible, or voluntarily excluded from
participation in this covered transaction, unless authorized by the t. The prospective oarflc~ant certifies, by signing and submit-
department or agency with which this transaction originated, ting this bid or orooosal, to the best of his or her knowledge and
belial, that:
f. The prospective lower tier pa~cipant further agrees by
submitting this prooosal mat it will include this clause titled a. No Federal aDprapriated funds have been paid or will be
"Certification Regarding Debarment. Suspension. Ineligibility and paid, by or on behalf of the undersigned, to any ~erson for
Volunta~ Exclusion-Lower Tier Covered Transactions" without influencing or attempting to influence an officer or employee of
modification, in ali lower trar covered transactions and in all any Federal agency, aMemberofCongress, anofficeroremploy-
soticitations for lower tier covered transactions, ee of Congress. or an emDIoyee of a Member of Congress ~n
connection with the awarding of any Federal contract, the making
g. A participant in a covered transaction may rely upon a of any Federal grant, the making of any Federal loan. the entering
certification of a r~rospective participant in a lower tier covered into of any cooperative agreement, and the extension, continua-
'transacttonth'at-Ds T~ot-de b~rred:~ usp-ended;,-irreti'glbieT-crr~Toto -rF~ rich, renew~7-amend~ mod~ti~-----l~on of any ~1 contract.
tadly excluded fram the covered transact[on, unless it knows that grant, loan. or coooerative agreement.
the certification is erroneous. A participant may decide the
method and frequency by which it determines the eligibitit~ of its b. If any Iunds other than Federal appropriated funds have
principals. Each participant may, but is not reouired to. check the been paid or will be paid to any person for influencing or artemDt-
Nonprocurement List. lng to influence an officer or ~mplcyae of any Federal agency, a
Member of Congress, an officer or emclcyee of Congress. or an
h. Nothing contained [n the foregoing snail be construed to employee of a Member ~f Congress in connection with this
require establishment of a system of records in order to ren~er m Federal contract, grant, loan. or coooerative agreement the
good faith the certification required by this clause. 'l'ne knowledge undersigned snail comclete and submit Standard Form-LLL.
and information of oarticioant~snot required to exceeri that which "Disclosure Form to Report Lobbying," in accordance with ~ts
is normally possessed by a prudent person in the ordinary course instructions.
of business dealings.
2. This certJtication is a material representation of fact upon
h Except for transactions authorized under paragraph e of which reliance was claced when this transaction was made or
these instructions, if a Dartlc~Dara n a covered transaction entered into. Submission of this certification is a prerequisite for
knowingly enters rotc a ~ower tier covered transaction with a making or entedng into mis transaction imposed by 31 U.S.C.
person NbC is suspended, debarred, ineligible, or voluntarily 1352 Any person who fails to file the required certification shall
excluded from participation in this transacfio~ in addition to'other be subject to a civil penalg/of not less than $10,000 and not mora
remedies available to the Federal Government. the department or than $100.000 for each such failure.
agency with which this transaction originated may pursue
available remedies, including suscension anri/or debarment 3. The prospective participant also agrees by submitting his or
her b~d or proposal that he or she shall rec~uire 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.
Certification Regarding Debarment, Suspension,
Ineligibility and Voluntary Exclusion-Lower Tier Covered
Page 9 of 9 REQUIRED BY 23 CFR 633.102
ADDENDUM A: 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:
I. 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 subgrams;
4. to expedite any CDOT approval, the Local Agency/Contractor's attorney, or other authorized
representative, shall also submit a letter to CDOT certifying Local Agency/Contractor
compliance with section 18.30 change order procedures, and with 18.36(d) procurement
procedures, and with 18.37 subgrant procedures, as applicable;
5~[h~L~¢aLA~¢nc~y/~ntract~r-sha~L~nc~r:p~rate-the~speci~c-c~ntract``~r~i~i~n~described4n
18.360) (which are also deemed incorporated herein) into any subcontract(s) for such services
as terms and conditions of those subcontracts.
B. Executive Order 11246 of September 24, 1965 entitled "Equal Employment Opportunity," as
amended by Executive Order 11375 of October 13.1967 and as supplemented in Department of
Labor regulations (41 CFR Chapter 60) (All construction contracts awarded in excess of$10,000 by
grantees and their contractors or subgrantees).
C. The Copeland "Anti-Kickback" Act (18 U.S.C. 874) as supplemented in Department of Labor
regulations (29 CFR Part 3) (All contracts and subgrants for construction or repair).
D. The Davis-Bacon Act (40 U.S.C. 276a to a-7) as supplemented by Department of Labor regulations
(29 CFR Part 5) (Construction contracts in excess of $2,000 awarded by grantees and subgrantees
when required by Federal grant program legislation. This act requires that all laborers and
mechanics employed by contractors or sub-contractors to work on constmction 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 m excess of $2,500 for other
contracts which involve the employment of mechanics or laborers).
F. Standards, orders, or reqmrements issued under section 306 of the Clear Air Act (42 U.S.C.
1857(h), section 508 of the Clean Water Ac! (33 U.S.C. 1368). Executive Order 1 I738, and
Addendum A - Page 1 of 2
Environmental Protection Agency regulations (40 CFR Part 15) (contracts. subcontracts, and
subgrants of amounts in excess of $100,000).
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 Cimulars A-87, A-21 or A-122. and A-102 or A-110, whichever
is applicable.
I. The Hatch Act (5 USC 1501-1508) and Public Law 95-454 Section 4728. These statutes state that
federal funds cannot be used for partisan political purposes of any kind by any person or
organization involved in the administration of federally-assisted programs.
J. 42 USC 6101 et 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- L213_~, 1_2_1~41-12150~_12_161:.1216_5, 12181-1218_9, 12201-!221_3_47 UStC 225~and 4? 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 acquinng
real property and displacing households or businesses in the performance of this contractD
M. The Drag-Free Workplace Act ~Public Law 100-690 Title V, subtitle D. 41 USC 701 et seq.).
N. The Age Discrimination Act of 1975, 42 U.S.C. Sections 6101 et. seq. and its implementing
regulation, 45 C.F.R. Part 91:
Section 504 of the Rehabilitation Act of 1973. 29 U.S.C. 794, as amended, and implementing
regulation 45 C.F.R. Part 84.
O. 23 C.F.R. Part 172, concerning "Administration of Engineering and Design Related Contracts".
P. 23 C.F.R Part 633. concerning "Required Contract Provisions for Federal-Aid Construction
Contracts".
Q. 23 C.F.R. Part 635, concerning "Construction and Maintenance Provisions",
R. Title VI of the Civil Rights Act of 1964 and 162(a) of the Federal Aid Highway Act of 1973.
The requirements for which are shown in the Nondiscrimination Provisions. which are attached
hereto and made a part hereof.
Addendum A - Page 2 of 2
!
APRIL 1980
Nondiscrimination Provisions:
In compliance with Title VI of the Civil Rights Act of 1964 and with Section 162(a) of the Federal Aid
Highway Act of 1973, the Contractor, for itself, its assignees and successors in interest, agree as follows:
A. Compliance with Regulations. The Contractor will comply with the Regulations of the Department
of Transportation relative to nondiscrimination in Federally assisted programs of the Department of
Transportation (Title 49, Code of Federal Regulations. Part 21. hereinafter referred to as the
"Regulations"), which are herein incorporated by reference and made a part of this contract.
B. Nondiscrimination. The Contractor, with regard to the work performed by it after award and prior
to completion of the contract work, will not discriminate on the ground of race, color, sex, mental or
physical handicap or national or~gin in the selection and retention of Subcontractors, including
procurement of materials and leases of eqmpment. The Contractor will not participate either
directly or indirectly in the discrimination prohibited by Section 21.5 of the Regulations, including
employment practices when the contract covers a program set forth in Appendix C of the
Regulations ................
C. Solicitations for Subcontracts, Including Procurement of Materials and Equipment. In all
solicitations either by competitive bidding or negotiation made by the Contractor for work to be
performed under a subcontract, including procurement of materials or equipment, each potential
Subcontractor or supplier shall be notified by the Contractor of the Contractor's obligations under
this contract and the Regulations relative to nondiscrimination on the ground of race. color, sex,
mental or physical handicap or national origin.
D. Information and Repons. 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 soumes of information and its facilities as may be determined by the State
or the FHWA to be pertinent to ascertain compliance with such Regulations, orders and instructions.
Where any information required of the Contractor is in the exclusive possession of another who
fails or refuses to furnish this information, the Contractor shall so certify to the State. or the FHWA
as appropriate and shall set forth what efforts have been made to obtain the information.
E. Sanctions for Noncompliance. In the event of the Contractor's noncompliance with the
nondiscrimination prowsions of this contract, the State shall impose such contract sanctions as it or
the FHWA may determine to be appropriate, including, but not limited to:
1.Withholding of payments to the Contractor under the contract until the Contractor complies,
and/or;
2. Cancellation, termination or suspension of the contract, in whole or ~n parr.
Nondiscrimination Provisions - Page 1 of 2
F. Incorporation of Provisions. The Contractor will include the provisions of paragraphs A through F
in every subcontract, including procurement of materials and leases of equipment, unless exempt by
the Regulations, orders, or instructions issued pursuant thereto. The Contractor will take such
action _with respect to any subcontract or procurement as the State or the FHWA may direct as a
means of enforcing such provisions including sanctions for noncompliance; provided, however, that,
in the event the Contractor becomes involved in. or is threatened with, litigation with a
Subcontractor or supplier as a result of such direction, the Contractor may request the State to enter
into such litigation to protect the interest of the State and in addition, the Contractor may request the
FHWA to enter into such litigation to protect the interests 'of the United States.
Nondiscrimination Provisions - Page 2 of 2
ATTACHMENT LO
Certification for Federal-Aid Contracts
The contractor certifies, by signing this contract, to the best of its knowledge and belief, that:
1. No Federal appropriated funds have been paid or will be paid, by or on behalf or the undersigned, to
any person for influencing or attempting to influence an officer or employee of any Federal agency,
a Member of Congress, an officer or employee of Congress, or an employee of a Member of
Congress in connection with the awarding of any Federal loan, the entering into of any cooperative
agreement, and the extension, continuation, renewal, amendment, or modification of any Federal
contract, grant, loan, or cooperative agreemem
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.
Th~ft~ti'6fi i~-~.-25aWeYi~I repTe~-e~t-fftitn-6f-f~.~-f~Y6fFc7h~h-r~Ii~th~ -~v~ ~I~td- ~ti~-thi~s-ffan-ffaZ~i'-oh-' -
was made or entered into. Submission of this certification is a prerequisite for making or entering into this
transaction imposed by Section 1352. Title 31, U.S. Code. Any person who fails to file the required
certification shall be subject to a civil penalty of not less than $10,000 and not more than $100,000 for each
such failure
The prospective participant also agree by submitting his or her bid or proposal that he or she shall require that
the language of this certification be included in all lower tier subcontracts, which exceed $100,000 and that
all such subrecipients shall certify and disclose accordingly.
Required by 23 CFR 635.112
Attachment LO- Page 1 of 1
APPENDIX B
DISADVANTAGED BUSINESS ENTERPRISE (DBE)
SECTION 1 Policy.
It is the policy of the Colorado Department of Transportation (CDOT) that disadvantaged business
enterprises shall have the maximum opportunity to participate in the performance of contracts financed in
whole or in part with Federal funds under this agreement, pursuant to 49 CFR Part 23. Consequently, the 49
CFR Part 1E 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
----rh~ 'b~g-ig -o-f ~-a~7-¢61-6~F~xt-~o~,l-o-n'g-i~-, or g~ i'n- riTe-~arcUa~d ~effo-rmWn~-6f-CDOT-a~'Fgt~-~rrti'~¢rg~ ....
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 ~s available from and will be mailed to the contractor upon request:
Business Programs Office
Colorado Department of Transportation
4201 East Arkansas Avenue, Room 287
Denver, Colorado 80222-3400
Phone: (303) 757-9234
revised 1/22/98 Required by 49 CFR Part 23.41
Appendix B - Page 1 of 1