HomeMy WebLinkAboutresolution.council.078-07
RESOLUTION NO. ~
(Series of 2007)
A RESOLUTION OF THE CITY OF ASPEN, COLORADO, APPROVING A
CONTRACT FOR GRANT FUNDING BETWEEN THE CITY OF ASPEN,
COLORADO AND THE COLORADO DEPARTMENT OF PUBLIC HEALTH AND
ENVIRONMENT, AND AUTHORIZING THE CITY MANAGER OR MAYOR TO
EXECUTE SAID DOCUMENT ON BEHALF OF THE CITY OF ASPEN,
COLORADO.
WHEREAS, there has been received by the City of Aspen a Contract between the
City of Aspen and the Colorado Department of Transportation, a copy of which Contract
is annexed hereto and made a part thereof.
NOW, WHEREFORE, BE IT RESOLVED BY THE CITY COUNCIL OF THE
CITY OF ASPEN, COLORADO:
Section One
That the City Council ofthe City of Aspen hereby approves a Contract between
the City of Aspen, Colorado and the Colorado Department of Transportation, a copy of
which Contract is annexed hereto, and does hereby authorize the City Manager or Mayor
ofthe City of Aspen to execute said Contract on behalf of the City of Aspen in
substantially the form as appended hereto.
RESOLVED, APPROVED AND ADOPTED thiS& day of ~,
~, by the City Council for the City of Aspen, Colorado. .
I
I, Kathryn S. Koch, duly appointed and acting City Clerk do certify that the fpregoing is a
true and accurate copy of that resolut~ the City Council of the ~ity of
Aspen, Colorado, at a meeting held ' z,r, 2007. .
(FMLAWRK)
PROJECT AQC M045-006, (16290)
REGION 3 (daw)
Rev 09/03
08 HA3 00007
271000582
CONTRACT
w
THIS CONTRACT made thisp2~c ~ day of ~ 2007, by and between the State of
Colorado for the use and benefit ofthe Colorado Department of Transportation hereinafter referred
to as the State, and the CITY OF ASPEN, 130 South Galena, Aspen, Colorado, 81611,
CDOT Vendor #: 2000009, hereinafter referred to as the "Contractor" or the "Local Agency."
RECITALS
1. Authority exists in the law and funds have been budgeted, appropriated and otherwise made
available and a sufficient uncommitted balance thereof remains available for payment of project and
Local Agency costs in Fund Number 400, Function 3404, GL Acct. 4231200011,
WBS Element 16290.10.50. Contract Encumbrance Amount: $36,845.00.
2. Required approval, clearance and coordination have been accomplished from and with appropriate
agencies.
3. Pursuant to Title I, Subtitle A, Section 1108 of the "Transportation Equity Act for the 21 s` Centur}~'
of 1998 (TEA-21) and/or the "Safe, Accountable, Flexible, Efficient Transportation Equity Act: A
Legacy for Users" (SAFETEA-LU) of 2005 and to applicable provisions of Title 23 of the United
States Code and implementing regulations at Title 23 of the Code of Federal Regulations, as may be
amended, (collectively referred to hereinafter as the "Federal Provisions"),certain federal funds have
been and will in the future be allocated for transportation projects requested by Local Agencies and
eligible under the Surface Transportation Improvement Program that has been proposed by the State
and approved by the Federal Highway Administration ("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 prof ect performed by a Local Agency under
a contract with the State.
5. The Local Agency has requested that a certain local transportation project be funded as part ofthe
Program, and by the date of execution of this contract, the Local Agency and/or the State has completed
and submitted a preliminary version of CDOT form #463 describing the general nature of the Work.
The Local Agency understands that, before the Work begins, form #463 may be revised as a result of
design changes made by CDOT, incoordination with the Local Agency, in its internal review process.
The Loca] Agency desires to perform the Work described in form #463, as it may be revised.
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6. Federal-aid funds have been made available for project AQC M045-006 (16290), which shall
consist ofthe Diesel Retrofit to include the installation of emissions control equipment on up to six (6)
"Neoplan" AN 435E Transit Buses, referred to as the "Project" or the "Work." Such Work will be
performed in City of Aspen, Colorado, specifically described in Exhibit A.
7. The matching ratio for this federal aid project is 82.79% federal-aid funds to 17.21 % Local Agency
funds, it being understood that such ratio applies only to such costs as aze eligible for federal
participation, it being fiuther understood that all non-participating costs shall be borne by the Local
Agency at 100%.
8. The Local Agency desires to comply with the Federal Provisions and other applicable requirements,
including the State's general administration and supervision of the Project through this contract, in
order to obtain federal funds.
9. The Local Agency has estimated the total cost of the Work and is prepazed to provide its match shaze
of the cost, as evidenced by an appropriate ordinance/resolution or other authority letter which expressly
authorizes the Local Agency the authority to enter into this contract and to expend its match shaze ofthe
Work. A copy of such ordinance/resolution or authority letter is attached hereto as Exhibit B.
10. This contract is executed under the authorityof§§29-1-203,43-1-110;43-1-116,43-2-101(4)(c)
and 43-2-144, C.R.S. and Exhibit B.
11. The Local Agency is adequately staffed and suitably equipped to undertake and satisfactorily
complete some or all of the Work.
12. The Local Agency can more advantageously perform the Work.
THE PARTIES NOW AGREE THAT:
Section 1. Scope of Work
The Project or the Work under this contract shall consist of Diesel Retrofit to include the
installation of emissions control equipment on up to six (6) Neoplan AN 435E transit buses, in City of
Aspen, Colorado, as more specifically described in Exhibit A.
Section 2. Order of Precedence
In the event ofconflicts or inconsistencies between this contract and its exhibits, such conflicts
or inconsistencies shall be resolved by reference to the documents in the following order of priority:
1. Special Provisions contained in section 29 of this contract
2. This contract
3. Exhibit A (Scope of Work)
4. Exhibit C (Funding Provisions)
5. Exhibit D (Certification for Federal-Aid Contracts)
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6. Exhibit E (DBE Requirements)
7. Exhibit F (Contract Modification Tools)
8. Other Exhibits in descending order of their attachment.
Section 3. Term
This contract shall be effective upon approval of the State Controller or designee, or on the
date made, whichever is later. The term of this contract shall continue through the completion and
final acceptance of the Project by the State, FHWA and the Local Agency.
Section 4. Project Funding Provisions
The Local Agency has estimated the total cost of the Work and is prepared to provide its match
shaze of the cost, as evidenced by an appropriate ordinance/resolution or other authority letter which
expressly authorizes the Local Agency the authority to enter into this contract and to expend its match
share of the Work. A copy of such ordinance/resolution or authority letter is attached hereto as Exhibit B.
The funding provisions for the Project are attached hereto as Exhibit C. The Local Agency
shall provide its share of the funds for the Project as outlined in Exhibit C.
Section 5. Project Payment Provisions
A. The State will reimburse the Local Agency for the federal-aid share of the project charges
after the State's review and approval of such charges, subject to the terms and conditions of this
contract. However, any charges incurred by the Local Agency prior to the date of FHWA
authorization for the Project and prior to the date this contract is executed by the State Controller or
his designee will not be reimbursed absent specific FHWA and State Controller approval thereof.
B. The State will reimburse the Local Agency's reasonable, allocable, allowable costs of
performance of the Work, not exceeding the maximum total amount described in Exhibit C. The
applicable principles described in 49 C.F.R. 18 Subpart C and 49 C.F.R. 18.22 shall govern the
allowability and allocability of costs under this contract. The Local Agency shall comply with all
such principles. To be eligible for reimbursement, costs by the Local Agency shall be:
1. In accordance with the provisions of Exhibit C and with the terms and conditions of
this contract;
2. Necessary for the accomplishment of the Work;
3. reasonable in the amount for the goods and services provided;
4. actual net cost to the Local Agency (i.e. the price paid minus any refunds, rebates, or
other items of value received by the Local Agency that have the effect of reducing the
cost actually incurred);
5. Incurred for Work performed after the effective date of this contract;
6. Satisfactorily documented.
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C. The Local Agency shall establish and maintain a proper accounting system in accordance
with generally accepted accounting standards (a separate set of accounts, or as a separate and integral
par[ of its current accounting scheme) to assure that project funds are expended and costs accounted
for in a manner consistent with this contract and project objectives.
1. All allowable costs charged to the project, including any approved services
contributed by the Local Agency or others, shall be supported by properly executed
payrolls, time records, invoices, contracts or vouchers evidencing in detail the nature
of the charges.
2. Any check or order drawn up by the Local Agency, including any item which is or
will be chargeable against the project account shall be drawn up only in accordance
with a properly signed voucher then on file in the office of the Local Agency, which
will detail the purpose for which said check or order is drawn. All checks, payrolls,
invoices, contracts, vouchers, orders or other accounting documents shall be clearly
identified, readily accessible, and to the extent feasible, kept separate and apart from
all other such documents.
D. Upon execution of this contract, the State is authorized, in its discretion, to perform any
necessary administrative support services pursuant to this contract. These services may be performed
prior to and in preparation for any conditions or requirements ofthis contract, including prior FHWA
approval of Work. The Local Agency understands and agrees that the State may perform such
services, and that payments for such services shall be at no cost to the State but shall be as provided
for in Exhibit C. At the request of the Local Agency, the State shall also provide other assistance
pursuant to this contract as may be agreed in writing. In the event that federal-aid project funds
remain available for payment, the Loca] Agency understands and agrees the costs of any such
services and assistance shall be paid to the State from project funds at the applicable rate. However,
in the event that such funding is not made available or is withdrawn for this contract, or if the Local
Agency tenninates this contract prior to project approval or completion for any reason, then all actual
incurred costs of such services and assistance provided by the State shall be the sole expense of the
Local Agency.
E. If the Local Agency is to be billed for CDOT incurred costs, the billing procedure shall be as
follows:
1. Upon receipt of each bill from the State, the Local Agency will remit to the State the
amount billed no later than 60 days after receipt of each bill. Should the Local
Agency fail to pay moneys due the State within 60 days of demand or within such
other period as maybe agreed between the parties hereto, the Local Agency agrees
that, at the request of the State, the State Treasurer may withhold an equal amount
from future apportionment due the Local Agency from the Highway Users Tax Fund
and to pay such funds directly to the State. Interim funds, until the State is
reimbursed, shall be payable from the State Highway Supplementary Fund (400).
2. If the Local Agency fails to make timely payment to the State as required by this
section (within 60 days after the date of each bill), the Local Agency shall pay
interest to the State at a rate of one percent per month on the amount of the payment
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which was not made in a timely manner, until the billing is paid in full. The interest
shall accrue for the period from the required payment date to the date on which
payment is made.
F. The Local Agency will prepaze and submit to the State, no more than monthly, chazges for
costs incurred relative to the project. The Local Agency's invoices shall include a description ofthe
amounts of services performed, the dates of performance and the amounts and description of
reimbursable expenses. The invoices will be prepared in accordance with the State's standard
policies, procedures and standardized billing format to be supplied by the State.
G. To be eligible for payment, billings must be received within 60 days after the period for
which payment is being requested and final billings on this contract must be received by the State
within 60 days after the end of the contract term.
1. Payments pursuant to this contract shall be made as earned, in whole or in part, from
available funds, encumbered for the purchase of the described services. The liability
of the State, at any time, for such payments shall be limited to the amount remaining
of such encumbered funds.
2. In the event this contract is terminated, final payment to the Local Agency may be
withheld at the discretion of the State until completion of final audit.
3. Incorrect payments to the Local Agency due to omission, error, fraud or defalcation
shall be recovered from the Local Agency by deduction from subsequent payment
under this contract or other contracts between the State and Local Agency, or by the
State as a debt due to the State.
4. Any costs incurred by the Local Agency that are not allowable under 49 C.F.R. 18
shall be reimbursed by the Local Agency, or offset against current obligations due by
the State to the Local Agency, at the State's election.
Section 6. State and Local Agency Commitments
The Local Agency Contract Administration Checklist in Exhibit G describes the Work to be
performed and assigns responsibility of that Work to either the Local Agency or the State. The
"Responsible Party" referred to in this contract means the Responsible Party as identified in the
Local Agency Contract Administration Checklist in Exhibit G.
A. Design [if applicable]
1. If the Work includes preliminary design or final design (the "Construction Plans"), or
design work sheets, or special provisions and estimates (collectively referred to as the "Plans"), the
responsible party shall comply with the following requirements, as applicable:
a. Perform or provide the Plans, to the extent required by the nature of the
Work.
Page 5 of 17
b. Prepare final design (Construction Plans) in accord with the requirements of
the latest edition of the American Association of State Highway
Transportation .Officials (AASHTO) manual or other standard, such as the
Uniform Building Code, as approved by CDOT.
c. Prepare special provisions and estimates in accord with the State's Roadway
and Bridge Design Manuals and Standard Specifications for Road and Bridge
Construction or Local Agency specifications if approved by CDOT.
d. Include details of any required detours in the Plans, in order to prevent any
interference of the construction work and to protect the traveling public.
e. Stamp the Plans produced by a Colorado Registered Professional Engineer.
f Provide final assembly of Plans and contract documents.
g. Be responsible for the Plans being accurate and complete.
h. Make no further changes in the Plans following the award of the construction
contract except by agreement in writing between the parties. The Plans shall
be considered final when approved and accepted by the parties hereto, and
when final they shall be deemed incorporated herein.
2. If the Local Agency is the responsible party:
a. The local agency shall comply with the requirements of the Americans
With Disabilities Act (ADA), and applicable federal regulations and
standards as contained in the document "ADA Accessibility Requirements
in CDOT Transportation Projects".
b. It shall afford the State ample opportunity to review the Plans and make
any changes in the Plans that are directed by the State to comply with
FHWA requirements.
c. 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 involved in the cost of such work to be done by a
consultant, that consultant contract (and the performance/provision of the
Plans under the contract) must comply with all applicable requirements of
23 CFR Part 172 and with any procedures implementing those
requirements as provided by the State, including those in Exhibit H
attached hereto. If the Local Agency does enter into a contract with a
consultant for the Work:
(1) It shall submit a certification that procurement of any design
consultant contract complied with the requirements of 23 CFR 172.5(d) prior
to entering into contract. The State shall either approve or deny such
procurement. If denied, the Local Agency may not enter into the contract.
(2) It shall ensure that all changes in the consultant contract have prior
approval by the State and FHWA. Such changes in the contract shall be by
written supplement agreement. 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 also be submitted.
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(3) It shall require that all consultant billings under that contract shall
comply with the State's standardized billing format. Examples of the billing
formats aze available from the CDOT Agreements Office.
(4) It (or its consultant) shall use the CDOT procedures described in
Exhibit H to administer that design consultant subcontract, to comply with 23
CFR 172.5(b) and (d).
(5) It may expedite any CDOT approval ofits procurement processand/or
consultant contract by submitting a letter to CDOT from the certifying Local
Agency's attorney/authorized representative certifying compliance with
Exhibit H and 23 CFR 172.5(b)and (d).
(6) It shall ensure that its consultant contract complies with the
requirements of 49 CFR 18.36(1) and contains the following language
verbatim:
(a) "The design work under this contract shall be compatible with
the requirements of the contract between the Local Agency and the
State (which is incorporated herein by this reference) for the
design/construction of the project. The State is an intended third
party beneficiary of this contract for that purpose."
(b) "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."
(c) "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."
d. The State, in its discretion, will review construction plans, special provisions
and estimates and will cause the Local Agency to make changes therein that
the State determines are necessary to assure compliance with State and
FHWA requirements.
B. Construction [if applicable]
If the Work includes construction, the responsible party shall perform the
construction in accordance with the approved design plans and/or administer the
construction all in accord with the Local Agency Contract Administration Checklist.
Such administration shall include project inspection and testing; approving sources of
materials; performing required plant and shop inspections; documentation of contract
payments, testing and inspection activities; preparing and approving pay estimates;
preparing, approving and securing the funding for contract modification orders and
minor contract revisions; processing contractor claims; construction supervision; and
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meeting the Quality Control requirements of the FHWA/CDOT Stewardship
Agreement, as described in the Local Agency Contract Administration Checklist.
The State shall have the authority to suspend the Work, wholly or in part, by giving
written notice thereof to the Local Agency, due to the failure of the Local Agency or
its contractor to correct project conditions which aze unsafe for workers or for such
periods as the State may deem necessary due to unsuitable weather, or for conditions
considered unsuitable for the prosecution of the Work, or for any other condition or
reason deemed by the State to be in the public interest.
If the Local Agency is the responsible party:
a. It shall appoint a qualified professional engineer, licensed in the State of
Colorado, as the Local Agency Project Engineer (CAPE), to perform that
administration. The CAPE shall administer the project in accordance with
this contract, the requirements of the construction contract and applicable
State procedures.
b. If bids are to be let for the construction of the project, it shall advertise the
call for bids upon approval by the State and award the construction
contract(s) to the low responsible bidder(s) upon approval by the State.
(1) In advertising and awarding the bid for the construction of afederal-
aid project, the Local Agency shall comply with applicable
requirements of 23 USC § 112 and 23 CFR Parts 633 and 635 and
C.R.S. § 24-92-101 et seq. Those requirements include, without
limitation, that the Local Agency/contractor shall incorporate Form
1273 (Exhibit I) in its entirety verbatim into any subcontract(s) for
those services as terms and conditions therefore, as required by 23
CFR 633.102(e).
(2) The Local Agency has the option to accept or reject the proposal of
the appazent low bidder for work on which competitive bids have
been received. The Local Agency must declare the acceptance or
rejection within 3 working days after said bids are publicly opened.
(3) By indicating its concurrence in such awazd, 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.
This paragraph also applies to projects advertised and awarded by the
State.
c. If all or part of the construction work is to be accomplished by Local Agency
personnel (i.e. by force account), rather than by a competitive bidding process,
the Local Agency will ensure that all such force account work is accomplished in
accordance with the pertinent State specifications and requirements with 23 CFR
635, Subpart B, Force Account Construction.
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(1) Such work will normally be based upon estimated quantities and firm
unit prices agreed to between the Local Agency, the State and FHWA
in advance of the Work, as provided for in 23 CFR 635.204(c). Such
agreed unit prices shall constitute a commitment as to the value of the
Work to be performed.
(2) An alternative to the above is that the Local Agency may agree to
participate in the Work based on actual costs of labor, equipment
rental, materials supplies and supervision necessary to complete the
Work. Where actual costs are used, eligibility of cost items shall be
evaluated for compliance with 48 CFR Part 31.
(3) Rental rates for publicly owned equipment will be determined in
accordance with the State's Standard Sroecifications for Road and
Bridge Construction § 109.04.
(4) All force account work shall have prior approval of the State and/or
FHWA and shall not be initiated until the State has issued a written
notice to proceed.
D. State's obligations
1. The State will perform a final project inspection prior to project acceptance as a
Quality Control/Assurance activity. When all Work has been satisfactorily
completed, the State will sign the FHWA Form 1212.
2. Notwithstanding any consents or approvals given by the State for the Plans, the State
will not be liable or responsible in any manner for the structural design, details or
construction of any major structures that aze designed by or aze the responsibility of
the Local Agency as identified in the Local Agency Contract Administration
Checklist, Exhibit G, within the Work of this contract.
Section 7. ROW Acquisition and Relocation
If Right of Way is applicable, prior to this project being advertised for bids, the Responsible
Party will certify in writing to the State that all right ofway has been acquired in accordance with the
applicable State and federal regulations, or that no additional right of way is required.
Any acquisition/relocation activities must comply with all federal and state statutes,
regulations, CDOT policies and procedures, 49 CFR Part 24, the govenunent wide Uniform Act
regulation, the FHWA Project Development Guide and CDOT's Right of Way Operations Manual.
Allocation of Responsibilities can be as follows:
• Federal participation in right ofway acquisition (311 l chazges), relocation (3109
chazges) activities, if any, and right ofway incidentals (expenses incidental to
acquisition/relocation ofright ofway - 3114 charges);
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• Federal participation in right of way acquisition (311 l charges), relocation (3109
charges) but no participation in incidental expenses (3114 charges); or
• No federal participation in right of way acquisition (3111 charges) and relocation
activities (3109 expenses).
Regardless of the option selected above, the State retains oversight responsibilities. The Local
Agency's and the State's responsibilities for each option is specifically set forth in CDOT's Right of
Way Operation Manual. The manual is located at httn://www.dot.state.co.us/ROW Manual/.
Section 8. Utilities
If necessary, the Responsible Party will be responsible for obtaining the proper clearance or
approval from any utility company which may become involved in this Project. Prior to this Project
being advertised for bids, the Responsible Party will certify in writing to the State that all such
clearances have been obtained.
Section 9. Railroads
In the event the Project involves modification of a railroad company's facilities whereby the
Work is to be accomplished by railroad company forces, the Responsible Party shall make timely
application to the Public Utilities Commission requesting its order providing for the installation of
the proposed improvements and not proceed with that part of the Work without compliance. The
Responsible Party shall also establish contact with the railroad company involved for the purpose of
complying with applicable provisions of 23 CFR 646, subpart B, concerning federal-aid projects
involving railroad facilities, including:
1. Executing an agreement setting out what work is to be accomplished and the
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. Proscribing future use or dispositions of the proposed improvements in the event of
abandonment or elimination of a grade crossing.
5. Establishing future repair and/or replacement responsibilities in the event of
accidental destruction or damage to the installation.
Section 10. Environmental Obligations
The Local Agency shall perform all Work in accordance with the requirements ofthe cunent
federal and state environmental regulations including the National Environmental Policy Act of 1969
(NEPA) as applicable.
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Section 11. Maintenance Obligations
The Local Agency will maintain and operate the improvements constructed under this
contract at its own cost and expense during their useful life, in a manner satisfactory to the State and
FHWA. The Local Agency will make proper provisions for such maintenance obligations each year.
Such maintenance and operations shall be conducted in accordance with all applicable statutes,
ordinances and regulations which define the Local Agency's obligations to maintain such
improvements. The State and FHWA will make periodic inspections of the project to verify that
such improvements are being adequately maintained.
Section 12. Federal Requirements
The Local Agency and/or their contractor shall at all times during the execution of this
contract strictly adhere to, and comply with, all applicable federal and state laws, and their
implementing regulations, as they currently exist and may hereafter be amended. The contractor
shall also require compliance with these statutes and regulations in subgrant agreements permitted
under this contract. A listing of certain federal and state laws that may be applicable are described in
Exhibit J.
Section 13. Record Keeping
The Local Agency shall maintain a complete file of all records, documents, communications,
and other written materials which pertain to the costs incurred under this contract. The Local
Agency shall maintain such records for a period of three (3) years after the date oftermination ofthis
contract or final payment hereunder, whichever is later, or for such further period as may be
necessary to resolve any matters which may be pending. The Local Agency shall make such
materials available for inspection at all reasonable times and shall permit duly authorized agents and
employees of the State and FHWA to inspect the project and to inspect, review and audit the project
records.
Section 14. Termination Provisions
This contract maybe terminated as follows:
A. Termination for Convenience. The State may terminate this contract at any time the State
determines that the purposes of the distribution of moneys under the contract would no longer be
served by completion 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.
B. Termination for Cause. If, through any cause, the Local Agency shall fail to fulfill, in a timely
and proper manner, its obligations under this contract, or if the Local Agency shall violate any of the
covenants, agreements, or stipulations of this contract, the State shall thereupon have the right to
terminate this contract for cause by giving written notice to the Local Agency of its intent to
terminate and at least ten (10) days opportunity to cure the default or show cause why termination is
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otherwise not appropriate. In the event of termination, all finished or unfinished documents, data,
studies, surveys, drawings, maps, models, photographs and reports or other material prepared by the
Local Agency under this contract shall, at the option of the State, become its property, and the Local
Agency shall be entitled to receive just and equitable compensation for any services and supplies
delivered and accepted. The Local Agency shall be obligated to return any payments advanced under
the provisions of this contract.
Notwithstanding the above, the Local Agency shall not be relieved of liability to the State for any
damages sustained by the State by virtue of any breach of the contract by the Local Agency, and the
State may withhold payment to the Local Agency for the purposes of mitigating its damages until
such time as the exact amount of damages due to the State from the Local Agency is determined.
If after such termination it is determined, for any reason, that the Local Agency was not in default
or that the Local Agency's action/inaction was excusable, such termination shall be treated as a
termination for convenience, and the rights and obligations of the parties shall be the same as if the
contract had been terminated for convenience, as described herein.
C. Termination Due to Loss of Funding. The parties hereto expressly recognize that the Local
Agency is to be paid, reimbursed, or otherwise compensated with federal and/or State funds which
are available to the State for the purposes of contracting for the Project provided for herein, and
therefore, the Local Agency expressly understands and agrees that all its rights, demands and claims
to compensation arising under this contract are contingent upon availability of such funds to the
State. In the event that such funds or any part thereof are not available to the State, the State may
immediately terminate or amend this contract.
Section 15. Legal Authority
The Local Agency warrants that it possesses the legal authority to enter into this contract and that
it has taken all actions required by its procedures, by-laws, and/or applicable law to exercise that
authority, and to lawfully authorize its undersigned signatory to execute this contract and to bind the
Local Agency to its terms. The person(s) executing this contract on behalf of the Local Agency
warrants that such person(s) has full authorization to execute this contract.
Section 16. Representatives and Notice
The State will provide liaison with the Local Agency through the State's Region Director, Region 3,
222 South Sixth Street, Room 317, Grand Junction, Colorado, 81501-2769. Said Region Director
will also be responsible for coordinating the State's activities under this contract and will also issue a
"Notice to Proceed" to the Local Agency for commencement of the Work. All communications
relating to the day-to-day activities for the work shall be exchanged between representatives of the
State's Transportation Region 3 and the Local Agency. All communication, notices, and
wrrespondence shall be addressed to the individuals identified below. Either party may from time to
time designate in writing new or substitute representatives.
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If to State:
Pete Mertes
CDOT Region 3
Resident Engineer
202 Centennial
Glenwood Springs, CO 81601
(970)945-8187
Section 17. Successors
If to the Local Agency:
Lynn Rumbaugh
City of Aspen
Transportation Programs Manager
130 South Galena
Aspen, CO 81611
(970)920-5038
Except as herein otherwise provided, this contract shall inure to the benefit of and be binding
upon the parties hereto and their respective successors and assigns.
Section 18. Third Party Beneficiaries
It is expressly understood and agreed that the enforcement of the terms and conditions ofthis
contract and all rights of action relating to such enforcement, shall be strictly reserved to the State
and the Local Agency. Nothing contained in this contract shall give or allow any claim or right of
action whatsoever by any other third person. It is the express intention of the State and the Local
Agency that any such person or entity, other than the State or the Local Agency receiving services or
benefits under this contract shall be deemed an incidental beneficiary only.
Section 19. Governmental Immunity
Notwithstanding any other provision of this contract to the contrary, no term or condition of
this contract shall be construed or interpreted as a waiver, express or implied, of any of the
immunities, rights, benefits, protection, or other provisions ofthe Colorado Govemmental Immunity
Act, § 24-10-101, et seq., C.R.S., as now or hereafter amended. The parties understand and agree
that liability for claims for injuries to persons or property arising out of negligence of the State of
Colorado, its departments, institutions, agencies, boards, officials and employees is controlled and
limited by the provisions of § 24-10-101, et seq., C.R.S., as now or hereafter amended and the risk
management statutes, §§ 24-30-1501, et seq., C.R.S., as now or hereafter amended.
Section 20. Severability
To the extent that this contract maybe executed and performance of the obligations of the
parties may be accomplished within the intent of the contract, the terms ofthis contract aze severable,
and should any term or provision hereof be declazed invalid or become inoperative for any reason,
such invalidity or failure shall not affect the validity of any other term or provision hereof.
Section 21. Waiver
The waiver of any breach of a term, provision, or requirement ofthis contract shall not be
construed or deemed as a waiver of any subsequent breach of such term, provision, or requirement,
or of any other term, provision or requirement.
Page 13 of 17
Section 22. Entire Understanding
This contract is intended as the complete integration of all understandings between the
parties. No prior or contemporaneous addition, deletion, or other amendment hereto shall have any
force or effect whatsoever, unless embodied herein by writing. No subsequent novation, renewal,
addition, deletion, or other amendment hereto shall have any force or effect unless embodied in a
writing executed and approved pursuant to the State Fiscal Rules.
Section 23. Survival of Contract Terms
Notwithstanding anything herein to the contrary, the parties understand and agree that all
terms and conditions of this contract and the exhibits and attachments hereto which may require
continued performance, compliance or effect beyond the termination date of the contract shall
survive such termination date and shall be enforceable by the State as provided herein in the event of
such failure to perform or comply by the Local Agency.
Section 24. Modification and Amendment
This contract is subject to such modifications as maybe required by changes in federal or
State law, or their implementing regulations. Any such required modification shall automaticallybe
incorporated into and be part of this contract on the effective date of such change as if fully set forth
herein. Except as provided above, no modification of this contract shall be effective unless agreed to
in writing by both parties in an amendment to this contract that is properly executed and approved in
accordance with applicable law.
Section 25. Funding Letters
The State may allocate more or less funds available on this contract using a Funding Letter
substantially equivalent to Exhibit F and bearing the approval 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.
Section 26. Disadvantaged Business Enterprise (DBE)
The Local Agency will comply with all requirements of Exhibit E and the Local Agency
Contract Administration Checklist regarding DBE requirements for the Work, except that if the
Local Agency desires to use its own DBE program to implement and administer the DBE provisions
of 49 CFR Part 26 under this contract, it must submit a copy of its progam's requirements to the
State for review and approval before the execution of this contract. If the Local Agency uses its
program for this contract, the Local Agency shall be solely responsible to defend that DBE program
and its use of that program against all legal and other challenges or complaints, at its sole cost and
expense. Such responsibility includes, without limitation, determinations concerning DBE eligibility
requirements and certification, adequate legal and factual bases for DBE goals and good faith efforts.
State approval (if provided) 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.
Page 14 of 17
Section 27. Disputes
Except as otherwise provided in this contract, any dispute concerning a question of fact
arising under this contract which is not disposed of by agreement, will be decided by the Chief
Engineer of the Department of Transportation. The decision of the Chief Engineer will be final and
conclusive unless, within 30 calendar days after the date of receipt of a copy of such written decision,
the Local Agency mails or otherwise furnishes to the State a written appeal addressed to the
Executive Director of the Department of Transportation. In connection with any appeal proceeding
under this clause, the Local Agency shall be afforded an opportunity to be heard and to offer
evidence in support of its appeal. Pending final decision of a dispute hereunder, the Local Agency
shall proceed diligently with the performance of the contract in accordance with the Chief Engineer's
decision. The decision of the Executive Director or his duly authorized representative for the
determination of such appeals will be final and conclusive and serve as final agency action. This
dispute clause does not preclude consideration of questions of law in connection with decisions
provided for herein. Nothing in this contract, however, shall be construed as making final the
decision of any administrative official, representative, or board on a question of law.
Section 28. Single Audit Act Amendment
All state and local government and non-profit organization Sub-Grantees receiving more than
$500,000 from all funding sources, that are defined as federal financial assistance for Single Audit Act
Amendment purposes, shall comply with the audit requirements of OMB Circular A-133 (Audits of
States, Local Governments and Non-Profit Organizations) see also, 49 CFR 18.20 through 18.26. The
Single Audit Act Amendment requirements that apply to Sub-Grantees receiving federal funds are as
follows:
a) If the Sub-Grantee expends less than $500,000 in Federal funds (all federal sources, not just Highway
funds) in its fiscal year then this requirement does not apply.
b) If the Sub-Grantee expends more than $500,000 in Federal funds, but only received federal Highway
funds (Catalog of Federal Domestic Assistance, CFDA 20.205) then a program specific audit shall be
performed. This audit will examine the "financial" procedures and processes for this program area.
b) If the Sub-Grantee expends more than $500,000 in Federal funds, and the Federal funds are from
multiple sources (FTA, HUD, NPS, etc.) then the Single Audit Act applies, which is an audit on the entire
organization entity.
c) Single Audit can only be conducted by an independent CPA, not by an auditor on staff.
d) An audit is an allowable direct or indirect cost.
Page 15 of 17
Section 29. ~ 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
Colorado State Controller or designee.
2. FUND AVAILABILITY. CRS 24-30-202(5.5). Financial obligations of [he State payable aker the current fiscal year are
contingent upon funds for that purpose being appropriated, budgeted, and otherwise made available.
3. INDEMNIFICATION. Contractor shall indemnify, save, and hold harmless the State, its employees and agents, against any and
all claims, damages, liability and court awards including costs, expenses, and attorney fees and related costs, incurred as a result of
any act or omission by Contractor, or its employees, agents, subcontractors, or assignees pursuant to the terms of this contract.
[App/icab/e On/y to Zntergovernmenta/ Contracts] No term or condition of this contract shall be construed or interpreted as a
waiver, express or implied, of any of the immunities, rights, benefits, protection, or other provisions, of the Colorado Governmental
Immunity Act, CRS 24-10-101 et seq., or the Federal Tort Claims Act, 28 U.S.C. 2671 et seq., as applicable, as now or hereaker
amended.
4. INDEPENDENT CONTRACTOR. 4 CCR 801-2. Contractor shall pertorm its duties hereunder as an independent contractor and
not as an employee. Neither contractor nor any agent or employee of contractor shall be or shall be deemed to be an agent or
employee of the state. Contractor shall pay when due all required employment taxes and income taxes and local head taxes on any
monies paid by the state pursuant to this contract. Contractor acknowledges [hat contractor and its employees are not entitled to
unemployment insurance benefits unless contractor or a third party provides such coverage and that the state does not pay for or
otherwise provide such coverage. Contractor shall have no authorization, express or implied, to bind the state to any agreement,
liability or understanding, except as expressly set forth herein. Contractor shall provide and keep in force workers' compensation (and
provide proof of such insurance when requested by the state) and unemployment compensation insurance in the amounts required by
law and shall be solely responsible for its acts and those of its employees and agents.
5. NON-DISCRIMINATION. 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 [his 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 [his or any other special provision in whole or in part shall be valid or enforceable or available in any action at law, whether by
way of complaint, defense, or otherwise. Any provision rendered null and void by the operation of [his provision will not invalidate [he
remainder of this contract, to the extent that this contract is capable of execution. At all times during the performance of this
contract, Contractor shall strictly adhere [o all applicable federal and State laws, rules, and regulations that have been or may
hereaker be established.
7. [Not App/icab/e to Intergovernmental Contracts] VENDOR OFFSET. CRS 24-30-202 (1) and 24-30-202.4. The Stale
Controller may withhold payment of certain debts owed to State agencies under the vendor offset intercept system for: (a) unpaid
child support debt or child support arrea rages; (b) unpaid balances of tax, accrued interest, or other charges specified in Article 21,
Title 39, CRS; (c) unpaid loans due to the Student loan Division of the Department of Higher Education; (d) amounts required to be
paid to the Unemployment Compensation Fund; and (e) other unpaid debts owing to the Stale or its agencies, as a result of final
agency determination or reduced to judgment, as certified by the State Controller.
8. SOFTWARE PIRACY PROHIBITION. Governor's Executive Order D 002 00. No State or other public funds payable under
this contract shall be used for the acquisition, operation, or maintenance of computer software in violation of federal copyright laws or
applicable licensing restrictions. Contractor hereby certifies that, for the term of this contract and any extensions, Contractor has in
place appropriate systems and controls to prevent such improper use of public funds. If the State determines that Contractor is in
violation of this paragraph, the State may exercise any remedy available at law or equity or under this contract, including, without
limitation, immediate termination of [his contract and any remedy consistent with federal copyright laws or applicable licensing
restrictions.
9. EMPLOYEE FINANCIAL INTEREST. CRS 24-18-201 and 24-SO-507. The signatories aver that to their knowledge, no
employee of the State has any personal or beneficial interest whatsoever in the service or property described in this contract.
10. [Not App/icable to Zntergovernmenta/ Contracts]. ILLEGAL ALIENS - PUBLIC CONTRACTS FOR SERVICES AND
RESTRICTIONS ON PUBLIC BENEFITS. CRS 8-17.5-101 and 24-76.5-101. Contractor certifies that it shall comply with the
provisions of CRS 8-17.5-101 et seq. Contractor shall not knowingly employ or contract with an illegal alien to pertorm work under [his
contract or enter into a contract with a subcontractor [hat fails to certify to Contractor that [he subcontractor shall not knowingly employ or
contract with an illegal alien to pertorm work under this contract. Contractor represents, warrants, and agrees that i[ (i) has verified that it
does not employ any illegal aliens, through participation in the Basic Pilot Employment Verification Program administered by the Social
Security Administration and Department of Homeland Security, and (ii) otherwise shall comply with the requirements of CRS 8-17.5-
102(2)(b). Contractor shall comply with all reasonable requests made in the course of an investigation under CRS 8-17.5-102 by the
Colorado Department of Labor and Employment. Failure to comply with any requirement of this provision or CRS 8-17.5-101 et seq., shall
be cause for termination for breach and Contractor shall be liable for actual and consequential damages.
Contractor, if a natural person eighteen (18) years of age or older, hereby swears or affirms under penalty of perjury that he or
she (i) is a citizen or otherwise lawfully present in the United States pursuant to federal law, (ii) shall comply with the provisions of
CRS 24-76.5-101 e[ seq., and (iii) shall produce one form of identification required by CRS 24-76.5-103 prior to the effective date
of this contract.
Revised October 25, 2006 Effective Date of Special Provisions: August 7, 2006
Page 16 of 17
THE PARTIES HERETO HAVE EXECUTED THIS CONTRACT
CONTRACTOR: STATE OF COLORADO:
BILL RITTER, JR.IGOf V-ER}N'O~R
CitvofAsoen By ~~ytc,~~~'/~Ik-6lv~-~
Legal Name of Contracting Entity Executive Director
Department of Transportation
2000009
CDOT Vendor Number
+ ~~j~~.'~w.. C 0`/Srn..~wi' LEGAL REVIEW:
Signature~~of~i uthorized Offi er
JOHN W.SUTHERS
ATTORNEY GENERAL
l
I•_ 'I ~ /) G, u
~YlY1ti d-'~~I~.~U1tc~. t ,t~f r~'.1~I[i~1/By ~~t~,,~.~, ~- l ~~G1 ;
Print ame & Title of Authorize Officer
CORPORATIONS:
(A corporate attestation is required.)
Attest (Seal) By
(Corporate Secretary o uiva nt, or Tow it ount Jerk (Place corporate seal here, 'rf available)
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.
Page 17 of 17
STATE CONTROLLER:
Exhibit A
FORM 463
or
SCOPE OF WORK
COLORADO DEPARTMENT OF TRANSPORTATION
dESIG TA QQ '~"''
~1.~~ 1
Page i to 3
status: ® Preliminary ^ Final ^ Revised
Submitted By PM: PETERC Approved by
i
I____.."_.____ __ r /
Date: ~~
~0 ~ err /G?~=
Revised by:
Oate:
Geographic Location: CITY OF ASPEN
Orig.Date: 04!24/2007
Rev.Date:
Revision #: 0
Region #: 03
Eng//freer:-~`
~`YJ ' cICY' ~~ t is
Prged Caleri(SA#):76290 STIP#. SIN3659
Prgect #: AOC M045-006
project Desuiptlon: Aspen FY 2007 CMAO Diesel
Retrofit
r County:
Federal
0.000
Descripllon o! Proposed ConslnxlbMmprovement(Attach map showing site bCatiOrl)
DIESEL RETROFIT PROJECT
Project Characteristics (Proposed) Median (Type}: ^ Depre ssed ^ Painted ^ Raised ^ None
L htin Handicap Ramps ^ Traffic Control Si s SVipi
Curb and Gutter ^ Curb Left-TUm Sb[s Continuous W Idih=
Sklwalk Width= Bikewa WIdM= ^ RigM-TUm SkNS ^ Continuous Witltlr-
Park' Lane WWtM- Detours S' "n Cwtsuuction Permarronl
^ Landscaping requirements (description): rJ Odxr (deudption}:
Right Oi Way YesMO Est # Utilities (list names of known Wkty companies)
ROW 8lor Perm. Easement Required No N/A
Relocation Requked No
Temporary Easement Required: No
Changes in Auess: NO
Changes a Cotvncting Roads; No
Railroad Crossings # W Crosskgs:
RecommerMadms :
Environmental Type: Approvetl On: UnOer Project Code: Project #:
None 18290
Comments:
Coordination
^ WkfWravm Lands (Power SfOBS, Resandrs, Etc.) Cleared through BLM a Forest Service Office IrlSgaapl OltcFr Name:
^ New Traflk Ordalanbe ltegtdretl ^ MoOHy SUxdub of E~astkg Ordklance MurxipaYty. Aspen
Other:
Construction Method Advardsed By. NoAd Reason' Entity / Agenq Contact Name Phorta a:
!.seal
Safety Considerations Pro)ect UrMer: t~rkap meats current starkiaros: No
^ Variance kt ABnimum Design StandaMS Required ^ Safety project not all standards Comments:
^ Jusbacation Ariaehed ^ Request to be Submitted addressed
Brad see oars 12 See Remarks
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Page's of 3 Prgect Code n(SA#); Prgecl ~: Revise Date:
• 1629D AQC M045-006
Major Structures S= to stay, R= to be removed. P= proposed new structure
Reference StarWaM Structure Structural tbr¢.ordal Vertical Ye
Swciure IDq . le th Point Featue lntarsected Width Roadwa Capacity Gearance Clearance B~
Proposed Treamerrt of Bridges to Remain kr Ptace(address Gidge rail, capacity, and aibwable sudaGng thickness):
Remarks
This is a Diesel Retrofit project wish the City of Aspen. The project is being funded itvough the CongesWn Mitigation and Air
Quality (CMAQ) program arW will meet as the requirements of the Colorado Department of Transportation CMAO Program.
The City will seek proposals fmm qualified verWors for the installation of emiss'wns control equipment on up to siz (6) Neoptan
AN 435E lransll buses- The intent of gus project is lo:
1) Regace the current Dresel Oxidalbn Catalysts (DOCs) with Diesel Par tiwlate Fllters (DPFS) and,
2) Install Gosed Crankcase Ventilation or Filter Systems on all sbc uni ts.
REPORTING BENEFITS
CDOT is required to report the benefits of projects receiving CMAQ funds to FHWA and
the Colorado Transportation Commission. CDOT established the reporting program
CMAQ REPORTER, in cooperation with the state's Metropolitan Planning Organizations
(MPO), to provide a consistent approach to fulfilling the reporting requirement.
The Local Agency shall be responsible to coordinate with the MPO, or TPR, to submit an annual
report, in the timeframe described below, using the CMAQ REPORTER. The report should
describe, in detail, the perfonnance of the work and the extent to which air pollutant emissions
were reduced during both the contract period and the life of the project. The Local Agency shall
be responsible for gathering before and after data relevant to the benefits calculation, or for
preparing and documenting all relevant estimates and assumptions, and for entering those into
CMAQ REPORTER for review by the MPO, or TPR, and CDOT.
The reporting should occur within 30 days of the end of the calendaz year (Before January 31).
If this is a multi-year project, a report will need to be filed for each yeaz the project is active.
Reporting for multi-year projects is required before the project has been completed, in order to
determine funding and benefits each fiscal yeaz the project is active.
The link to the CMAQ REPORTER is:
htto://www.dot.state.co.us/Aoo CMAQ/
Enter:
Username: view
Password: view
Exhibit B
I,OC'AI, A(I~N('Y
ORUINf1N('f~.
tit"
A. The Local Agency has estimated the total cost the Work to be $36,845.00 which is to be
funded as follows:
1 BUDGETED FUNDS
a. Federal Funds $30,504.00
(82.79% of Participating Costs)
b. Local Agency Matching Funds $6,341.00
(17.21% of Participating Costs)
Local Agency Matching for CDOT -
c. Incurred Non-Participating Costs $0.00
(Including Non-Participating Indirects)
OTAL BUDGETED FUNDS $36,845.00
2 ESTIMATED CDOT-INCURRED COSTS
a. Federal Share $0.00
(82.79% of Participating Costs)
b. Local Share
Local Agency Share of Participating Costs $0.00
Non-Participating Costs (Including Non-
participating Indirects) $0.00
Estimated to be Billed to Local Agency $0.00
TOTAL ESTIMATED CDOT-INCURRED COSTS $0.00
3 ESTIMATED PAYMENT TO LOCAL AGENCY
a. Federal Funds Budgeted (1a) $30,504.00
b. Less Estimated Federal Share of CDOT-Incurred Costs (2a) $0.00
TOTAL ESTIMATED PAYMENT TO LOCAL AGENCY $30,504.00
FOR CDOT ENCUMBRANCE PURPOSES
Total Encumbrance Amount ($30,504.00
divided by 82.79%) $3s,aas.oo
Less ROW Acquisition 3111 and/or
ROW Relocation 3109 $o.oo
Net to be encumbered as follows: $o.oo
WBS Element 16290.10.50 Misc. 3404 $36,845.00
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 $36,845.00 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 $36,845.00, 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 $36,845.00, then
the amounts of Local Agency and federal-aid funds will be decreased in accordance with the
funding ratio described herein. The performance of the Work shall be at no cost to the State.
C. The maximum amount payable to the Local Agency under this contract shall be $36,845.00
(For CDOT accounting purposes, the federal funds of $30,504.00 and local matching funds
of $6,341.00 will be encumbered for a total encumbrance of $36,845.00), unless such amount
is increased by an appropriate written modification to this contract executed before any
increased cost is incurred. It is understood and agreed by the parties hereto that the total cost
of the Work stated hereinbefore is the best estimate available, based on the design data as
approved at the time of execution of this contract, and that such cost is subject to revisions
(in accord with the procedure in the previous sentence) agreeable to the parties prior to bid
and award.
D. The parties hereto agree that this contract is contingent upon all funds designated for the
project herein being made available from federal and/or state and/or Local Agency sources,
as applicable. Should these sources, either federal or Local Agency, fail to provide necessary
funds as agreed upon herein, the contract maybe 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
Exhibit D
EXHIBIT D
Certification for Federal-Aid Contracts
The contractor certifies, by signing this contract, to the best of its knowledge and belief, that:
1. No Federal appropriated funds have been paid or will be paid, by or on behalf or the
undersigned, to any person for influencing or attempting to influence an officer or employee of any
Federal agency, a Member of Congress, an officer or employee of Congress, or an employee of a
Member of Congress in connection with the awarding of any Federal loan, the entering into of any
cooperative agreement, and the extension, continuation, renewal, amendment, or modification of any
Federal contract, grant, loan, or cooperative agreement.
2. If any funds other than Federal appropriated funds have been paid or will be paid to any
person for influencing or attempting to influence an officer or of Congress, or an employee of a
Member of Congress in connection with this Federal contract, grant, loan, or cooperative agreement,
the undersigned shall complete and submit Standard Form-LLL, "Disclosure Form to Report
Lobbying," in accordance with its instructions.
This certification is a material representation of fact upon which reliance was placed when this
transaction was made or entered into. Submission 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 sub-recipients shall certify and disclose accordingly.
Required by 23 CFR 635.112
Exhibit D -Page 1 of 1
Exhibit E
DISADVANTAGED BUSINESS ENTERPRISE (DBE)
SECTION 1. Policy.
It is the policy of the Colorado Department of Transportation (CDOT) that disadvantaged business
enterprises shall have the maximum opportunity to participate in the performance of contracts
financed in whole or in part with Federal funds under this agreement, pursuant to 49 CFR Part 23.
Consequently, the 49 CFR Part IE DBE requirements the Colorado Department of Transportation
DBE Program (or a Local Agency DBE Program approved in advance by the State) apply to this
agreement.
SECTION 2. DBE Obligation.
The recipient or its contractor agrees to ensure that disadvantaged business enterprises as determined
by the Office of Certification at the Colorado Department of Regulatory Agencies have the maximum
opportunity to participate in the performance of contracts and subcontracts financed in whole or in
part with Federal funds provided under this agreement. In this regard, all participants or contractors
shall take all necessary and reasonable steps in accordance with the CDOT DBE program (or a Local
Agency DBE Program approved in advance by the State) to ensure that disadvantaged business
enterprises have the maximum opportunity to compete for and perform contracts. Recipients and
their contractors shall not discriminate on the basis of race, color, national origin, or sex in the award
and performance of CDOT assisted contracts.
SECTION 3 DBE Program.
The contractor (sub-recipient) shall be responsible for obtaining the Disadvantaged Business
Enterprise Program of the Colorado Department of Transportation, 1988, as amended, and shall
comply with the applicable provisions of the program. (If applicable).
A copy of the DBE Program is available from and will be mailed to the contractor upon request:
Business Programs Office
Colorado Department of Transportation
4201 East Arkansas Avenue, Room 287
Denver, Colorado 80222-3400
Phone: (303) 757-9234
revised 1/22/98 Required by 49 CFR Part 23.41
Exhibit E -Page 1 of 1
Exhibit F
COLORADO DEPARTM ENT OF TRANSPORTATION CONTRACT AUTHORITY:
FUNDING INCREASE/DECREASE AND APPROVAL LETTER Region: State Controller Policy letter on June 12, 1996
Com lete section 1 and submit to CDOT Controller's office. CDOT Controller letter on Ma 23, 1996
(1 )This form to be used for the following contracts/situations only (check the appropriate situation):
indefinite quantity, order more/add more utility/railroad, underestimated total cost
CDOT construction, sum of CMO's lA construction, underestimated cost
CDOT construction, underestimated total cost CDOT consultant, underestimated cost
SECTION 1 (Re ion use)
Date: Project code
To: CDOT Controller (FAX #(303) 757-9573 or a-mail CONTROLLER) Project #
From: Office: Phone # FAX #
Re ion #
CDOT has executed a contract with:
Address:
CDOT Vendor # Contract routing # SAP Purchase Order Number
Fund Functional Area GL Account Number WBS Element or Functional Center
Original contract amount Has a Budget Request been processed to cover the contract amount increase?
$ es no
Previous Funding Letter(s) total Preparer's name
(Funding letter #1 [hm k~
PHONE NO:
This Funding Letter total Contract Administrator's/Business Manager's Approval
1#~ PHONE NO:
Adjusted contract amount CDOT Designee Approval
Local Agency approval
SECTION 2 (Controller's Office use)
Total allotment amount Commission budget
$ $
If construction: CE charges Indirect chgs Adjusted contract amount plus total CE & indirect
CE pool elig. $ $ charges calculation S
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
State Controller or Delegee Date
Exhibit F -Page 1 of 1
Exhibit G
LOCAL AGENCY
CONTRACT ADMINISTRATION
CHECKLIST
NOT APPLICABLE TO THIS AGREEMENT
Exhibit G -Page 1 of 1
Exhibit H
THE LOCAL AGENCY SHALL USE THESE PROCEDURES TO IMPLEMENT FEDERAL-AID
PROJECT AGREEMENTS WITH PROFESSIONAL CONSULTANT SERVICES
Title 23 Code of Federal Regulations (CFR) 172 applies to a federally funded local agency project agreement
administered by CDOT that involves professional consultant services. 23 CFR 172.1 states "The policies and procedures
involve federally funded contracts for engineering and design related services for projects subject to the provisions of23
U.S.C. 112(a) and are issued to ensure that a qualified consultant is obtained through an equitable selection process, that
prescribed work is properly accomplished in a timely manner, and at fair and reasonable cost" and according to 23 CFR
172.5 "Price shall no[ be used as a factor in the analysis and selection phase." Therefore, local agencies must comply with
these CFR requirements when obtaining professional consultant services under a federally funded consultant contract
administered by CDOT.
CDOT has formulated its procedures in Procedural Directive (P.D.) 400.1 and the related operations guidebook titled
"Obtaining Professional Consultant Services". This directive and guidebook incorporate requirements fromboth Federal
and Slate regulations, i.e., 23 CFR 172 and Colorado Revised Statute (C.R.S J 24-30-1401 et seq. Copies of the directive
and the guidebook maybe 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].
Because the procedures and laws described in the Procedural Directive and the guidebook aze quite lengthy, the
subsequent steps serve as a short-hand guide to CDOT procedures that a local agency must follow in obtaining
professional consultant services. This guidance follows [he format of 23 CFR 172. The steps are:
1. The contracting local agency shall document the need for obtaining professional services.
2. Prior to solicitation for consultant services, the contracting local agency shall develop a detailed scope of work
and a list of evaluation factors and their relative importance. The evaluation factors are those identified in C.R.S.
24-30-1403. Also, a detailed cost estimate should be prepared for use during negotiations.
3. The contracting agency must advertise for conVacts 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 funs 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 often percent (10%) for 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 CDOTpre-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 [he 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 fmal selection aze the consultanCs:
a. Abilities of their personnel,
b. Past performance,
Exhibit H -Page 1 of 2
Exhibit H
c. Willingness to meet [he time and budget requirement,
d. Location,
e. Current and projected work load,
f Volume of previously awarded contracts, and
g. Involvement of minority consultants.
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 aze prepared for contracts expected to be greater
than $50,000. Federal reimbursement for costs are limited [o those costs allowableunder the cost principles of48
CFR 31. Fixed fees (profit) are determined with consideration given to size, complexity, duration, and degree of
risk involved in the work. Profit is in the range of six (6) to fifteen (15) percent of the total direct and indirect
costs.
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 perfomance evaluation (a CDOT form is available) on the consultant.
8. Each of the steps listed above is to be documented in accordance with the provisions of 49 CFR 18.42, which
provide for records to be kept at least three (3) years from the date that the local agency submits its final
expenditure report. Records of projects under litigation shall be kept at leas[ three (3) years after the case has
been settled.
The C.R.S. 24-30-1401 through 24-30-1408, 23 CFR Part 172, and P.D. 400.1, provide additional details for complying
with the eight (8) steps just discussed.
Exhibit H -Page 2 of 2
Exhibit I
FHWA Form 1273
FHW A-1213 Electronic version -March 10. 1994
REQUIRED CONTRACT PROVISIONS
FEDERAL-AID CONSTRUCTION CONTRACTS
I. General .....................................................................
II. Nondiscrimination .....................................................
III. Non-segregated Facilities ........................................
IV. Payment of Predetermined Minimum Wage............
V. Statements and Payrolls ..........................................
VI. Record of Materials, Supplies, and Labor ...............
VII. Subletting or Assigning the Contract .......................
VIII. Safety: Accident Prevention ....................................
IX. False Statements Concerning Highway Projects ....
X. Implementation of Clean Air Act and Federal
Water Po llution Control Act ......................................................
XI. Certification Regarding Debarment, Suspension,
Ineligibility, and Voluntary ExGUSion .........................................
XII. Certification Regarding Use of Contract Funds for
Lobbying ....................................................................................
1 6. Selection of Labor: During the performance of this con-
1 hacL the centractor shall not:
3
3 a. discriminate against labor from any other State, posses-
6 lion, or tertitory of the United States (except for employment
6 preference for Appalachian contracts, when applicable, as
7 specified in Attachment A), or
7
7 b. employ convict labor for any purpose within the limits of
the project unless it is labor performed by convicts who are on
8 parole, supervised release, or probation.
8 II. NONDISCRIMINATION
(Applicable to all Federal-aid construction contracts and to all
related subcentracts of $10,000 or more.)
ATTACHMENTS
A. Employment Preference for Appalachian Contracts
(Included in Appalachian contracts only)
I. GENERAL
1. These contract provisions shall apply to all work performed
on the centract by the contractor's own organization and with the
assistance of workers under the contractor s immediate superin-
tendenceand toall work performed on the contract by piecework,
station work, or by subcontract.
2. Except as otherwise provided for in each section, the
contractor shall insert in each subcontract all of the stipulations
centained in these Required Contract Provisions, and further
require their inGusion in any lower tier subcontract or purchase
order that may in turn be made. The Required Contract Provi-
sions shall not be incorporated by reference in any case. The
prime contractor shall be responsible for compliance by any
subcentractor or lower her subcontractor with these Required
Contract Provisions.
3. A breach of any of the stipulations contained in these
Required Contract Provisions shall be sufficient grounds for
termination of the centract.
4. A breach of the following Causes of the Required Contract
Provisions may also be grounds for debarment as provided in 29
CFR 5.12:
Section I, paragraph 2:
Section IV, paragraphs 1. 2, 3, 4, and 7;
Section V, paragraphs 1 and 2a through 2g.
5. Disputes arising out of the labor standards provisions of
Section IV (except paragraph 5) and Section V of these Required
Contract Provisions shall not be subject to the general disputes
Cause of this contract. Such disputes shall be resolved in accer-
dancewith the procedures of the U.S. Departmentof Labor(DOL)
as set forth in 29 CFR 5, 6, and 7. Disputes within the meaning of
this clause include disputes between the contractor (or any of its
subcontractors) and the contracting agency, the DOL, or the
contractor's employees or their representatives.
1. Equal Employment Opportunity: Equal employment
opportunity (EEO) requirements not to discriminate and to take
affrmative action to assure equal opportunity as set forth under
laws, executive orders, rules, regulations (28 CFR 35. 29 CFR
1630 and 41 CFR 60) and orders of the Secretary of Labor as
modified by the provisions prescdbed herein, and imposed
pursuant to 23 U.S.C. 140 shall constitute the EEO and specific
affirmative action standards for the contractors project activities
under this contract. The Equal Opportunity ConsWCtion Contract
Specifications set forth under 41 CFR 60-0.3 and the provisions of
the American Disabilities Act of 1990 (42 U.S.C. 12101 et seg.)
set forth under 28 CFR 35 and 29 CFR 1630 are incorporated by
reference in this contract. In the execution of this contract, the
contractor agrees to comply with the following minimum specific
requirement activities of EEO:
a. The contractor will work with the State highway agency
(SHA) and the Federal Government in carrying out EEO obliga-
tions and in their review of hislller activities under the contrail.
b. The contractor will accept as his operating policy the
following statement:
"It is the policy of this Company to assure that applicants are
employed, and that employees are Veated during employ-
ment, without regard to their race, religion, sex, color.
national odgin, age or disability. Such action shall incude:
employment, upgrading, demotion, or transfer; recruitrnent or
recruitment advertising; layoff or termination; rates of pay or
other forms of compensation; and selection for training,
including apprenticeship, pre-apprenticeship, and/or
on-the-job training "
2. EEO Officer: The contractor will designate and make
known to the SHA contracting officers an EEO Officer who will
have the responsibility for and must be capable of effectively
administedng and promoting an active contractor program of EEO
and who must be assigned adequate authodty and responsibility
to do so.
3. Dissemination of Policy: All members of the centractor's
stall who are authorized to hire, supervise, promote, and
discharge employees, or who recommend such action, or who are
substantially involved in such action, will be made fully cognizant
Exhibit I -Pagel of 9
of, and will implement, the contractor's EEO policyand contractual
responsibilities toprovide EEO in each grade and Gassificetion of
employment To ensure that the above agreementwillbe met, the
following actions will be taken as a minimum:
a. Periodic meetings of supervisory and personnel office
employees will be conducted before the start ofwork and then not
less often than once every six months, at which time the centract-
or's EEO policy and its implementation will be reviewed and
explained. The meetings will be conducted by the EEO Officer.
b. All new supervisory orpecsonnel office employees will be
given a thorough indoctrination by the EEO Officer, covering all
major aspects of the centractors EEO obligations within thirty
days following their reporting for duty with the contractor.
c. All personnel who are engaged in direct recruitment for
the project will be instructed by the EEO Off cer in the contractor's
procedures for locating and hiring minority group employees.
d. Notices and posters setting forth the contractors EEO
policy will be placed in areas readily accessible to employees,
applicants for employment and potential employees.
e. The contractors EEO policy and the procedures to
implement such policy will be brought to the attention of employ-
ees by means of meetings, employee handbooks, or other
appropriate means.
4. Recruitment: When advertising foremployees.thecontrac-
torwill include in all advertisements for employees the notation:
"An Equal Opportunity Employer." All such advertisements will be
placed in publications having a large clrculation among minority
groups in the area from which the project work force would
normally be derived.
a. The contractor will, unless precluded by a valid bargain-
ing agreement conduct systematic and direct recruitment through
public and private employee referal sources likely to yield
qualified minority group applicants. To meet this requirement, the
contractor will identify sources of potential minority group
employees, and establish with such identified sources procedures
whereby minority group applicants may be referted to the
contractor for employment consideration.
b. In the event the contractor has a valid bargaining agree-
mentproviding for exclusive hiring hall referrals, he is expected to
observe the provisions of that agreement to the extent that the
system permits the contractors compliance with EEO contract
provisions. (The DOL has held that where implementation of such
agreements have the effect of discriminating against minorities or
women, or obligates Me contractor to do the same, such
implementation violates Executive Order 11246, as amended.)
c. The contractor will encourage his present employees to
refer minority group applicants for employment. Information and
procedures with regard to refercing minority group applicants will
be discussed with employees.
5. Personnel Actions: Wages, working conditions, and
employee benefits shall be established and administered, and
personnel actions of every type, including hiring, upgrading,
promotion, transfer, demotion, layoff, and termination, shall be
taken without regard to race, color, religion, sex, national origin,
age or disability. The following procedures shall be followed:
a. The contractor will conduct periodic inspections of project
sites to insure that working conditions and employee facllities do
not indicate discriminatory treatment of project site personnel.
b. The contractor will periodically evaluate the spread of
wages paid within each classification to determine any evidence of
discriminatory wage practices.
Exhibit I
c. The contractor will perodicelly review selected personnel
actions in depth to determine whether there is evidence of
discrimination. Where evidence is found, the contractor will
promptly take certective action. If the review indicates that the
discrimination may extend beyond the actions reviewed, such
corrective action shall include all affected persons.
d. The contractor will promptly investigate all complaints of alleged
discrimination made to the contractor in connection with his
obligations under this contract, will attempt to resolve such
complaints, and will take appropriate corective action within a.
reasonable Gme. If the investigation indicates that the
discrimination may affect persons other than the complainant,
such corrective action shall inGude such other persons. Upon
completion of each investigation, the contractor will inform every
complainant of all of his avenues of appeal.
6. Training and Promotion:
a. The contractor will assist in loceting, qualifying, and
increasing the skills of minoritygroup and women employees, and
applicants for employment.
b. Consistentwith the contractor's work force requirements
and as permissible under Federal and State regulations, the
contractor shall make full use of training programs, i.e.,
apprenticeship, and on-the-job training programs for the
geographical area of contract performance. Where feasible, 25
percent of apprentices or hainees in each occupation shall be in
their first year of apprenticeship or training. In the event a special
provision for training is provided under this contract, this subpara-
graph will be superseded as indicated in the special provision.
c. The contractor will advise employees and applicants for
employment of available training programs and entrance
requirements for each.
d. The contractor will periodically review the training and
promotion potential of minority group and women employees and
will encourage eligible employees to apply for such training and
promotion.
7. Unions: If the contractor relies in whole or in part upon
unions as a source of employees, the contractor will use his/her
best efforts to obtain the cooperation of such unions to increase
opportunities for minority groups and women within the unions,
and to effect refercals by such unions of minority and female
employees. Actions by the contractor either directly or through a
contractors association acting as agent will inGude the
procedures set forth below:
a. The centractor will use best efforts to develop, in
ceoperation with the unions, jointtraining programs aimed toward
qualifying more minority group members and women for
membership in the unions and increasing the skills of minority
group employees and women so that they may quality for higher
paying employment.
b. The contractor will use best efforts to incorporate an EEO
clause into each union agreement to the end that such union will
be contractually bound to refer applicants without regard to their
race, color, religion, sex, national origin, age or disability.
c. The contractor is to obtain information as to the referal
practices and policies of the labor union except that to the extent
such information is within the exclusive possession of the labor
union and such labor union refuses to famish such information to
the contractor, the contractor shall so certify to the SHA and shall
set forth what efforts have been made to obtain such information.
d. In the event the union is unable to provide the contractor
with a reasonable tow of minority and women referrals within the
Exhibit I -Page 2 of 9 REQOZAED BY 23 CFR 633.102 --
time limit set forth in the collective bargaining agreement, the
contractor will, through independent recruitment efforts, fill the
employment vacancies without regard to race, color, religion, sex,
national origin, age or disability; making full efforts to obtain
qualified and/or qualifiable minority group persons and women.
(The DOL has held that it shall be no excuse that the union with
which the contractor has a collectve bargaining agreement
providing for exclusive referral failed to refer minority employees.)
In the event the union refertal practice prevents the contractor
from meeting the obligations pursuant to Executive Order 11246,
as amended, and these special provisions, such contractor shall
immediately notify the SHA.
8. Selection of Subcontractors, Procurement of Materials
and Leasing of Equipment: The contractor shall notdiscriminate
on the grounds of race, color, religion, sex, national origin, age or
disability in the selection and retention of subcontractors, incuding
procurement of materials and leases of equipment.
a. The contractor shall notifyall potential subcontractors and
suppliers of his/her EEO obligations under this contract.
b. Disadvantaged business enterprises (DBE), as defined in
49 CFR 23, shall have equal opportunity to compete for and
pertorm subcontracts which tire contractor enters into pursuant to
this contract. The contractor will use his best efforts to solicit bids
from and to utilize DBE subcentractors or subcontractors with
meaningful minoritygroup and female representation among their
employees. Contractors shall obtain lists of DBE construction
f rms from SHA personnel.
c. The contractor will use his best efforts to ensure subcon-
Vactorcompliance with their EEO obligations.
9. Records and Reports: The contractor shall keep such
records as necessary to document compliance with the EEO
requirements. Such records shall be retained for a period of three
years following completion of the contract work and shall be
available at reasonable times and places for inspection by autho-
rized representatives of the SHA and the FHWA.
a. The records kept by the contractor shall document the
following:
(1) The number of minority and non-minority group
members and women employed in each work Gasification on the
project;
(2) The progress and efforts being made in cooperation
with unions, when applicable, to increase employmentopportuni-
ties for minorities and women;
(3) The progress and efforts being made in locating,
hiring, [reining, qualifying, and upgrading minority and female
employees; and
(4) The progress and efforts being made in securing
the services of DBE subcontractors or subcontractors with
meaningful minority and female representation among their
employees.
b. The contractors will submit an annual report to the SHA
each July for the duration of the project, indicating the number of
minority, women, and non-minority group employees currently
engaged in each work Gasification required by the centractwork.
This infornatlon is to be reported on Form FHWA•1391. If on-the
job training is being required by special provision, the contractor
will be required to collect and report training data.
III. NONSEGREGATED FACILITIES
(Applicable to all Federal-aid construction contracts and to all
related subcentracLS of $10,000 or more.)
Exhibit I
a. By submission of this bid, the execution of this contract
or subcontract, or the consummation of this material supplyagree-
ment or purchase order, as appropriate, the bidder, Federal-aid
construction contractor, subcontractor, material supplier, or
vendor, as appropriate, certifies that the firm does not maintain or
provide for its employees any segregated facilities at any of its
establishments, and that the firm does not permit its employees to
perform their services at any location, under its control, where
segregated facilities are maintained. The firm agrees that a
breach of this certification is a violation of the EEO provisions of
this contract. The firm further certifies that no employee will be
denied access to adequate facilitles on the basis of sex or
disability.
b. As used in this certification, the term "segregated
facilities" means any waiting rooms, work areas, restrooms and
washrooms, restaurants and other eating areas, timedocks, locker
rooms, and other storage or dressing areas, parking lots, drinking
fountains, recreation or entertainment areas, transportation, and
housing facilities provided for employees which are segregated by
explicit directive, or are, in fact, segregated on the basis of race.
color, religion, national origin, age or disability, because of habit.
local custom, or otherwise. The only exception will be for the
disabled when the demands for accessibility override (e.g.
disabled parking).
c. The wntractor agrees that it has obtained or will obtain
identical certlfication from proposed subcontractors or material
suppliers prior to award of subcontracts or censummation of
material supply agreements of $10,000 or more and that it will
retain such certifications in its files.
IV. PAYMENT OF PREDETERMINED MINIMUM WAGE
(Applicable to all Federal-aid construction contracts exceeding
$2.000 and to all related subcontracts, except for projects located
on roadways Gasified as local roads or rural minor collectors,
which are exempt.)
1. General:
a. All mechanics and laborers employed or working upon
the site of the work will be paid unconditionally and not less often
than once a week and without subsequentdeduction or rebate on
any account [except such payroll deductions as are permitted by
regulations (29 CFR 3) issued by the Secretary of Labor under the
Copeland Act (40 U.S.C. 276c)] the full amounts of wages and
bona fide fringe benefiLS (or cash equivalents thereof) due at time
of payment. The payment shall be computed at wage rates not
less than those contained in the wage determination of the
Secretary of Labor (hereinafter "the wage determination") which is
attached hereto and made a part hereof, regardless of any
contractual relationship which may be alleged to exist between the
contractor or its subcontractors and such laborers and mechanics.
The wage determination (including any additional Gasifications
and wage retes conformed under paragraph 2 of this Section IV
and the DOL poster (WH-1321) or Form FHWA-1495) shall be
posted at all times by the contractor and its subcontractors at the
site of the work in a prominent and accessible place where it can
be easily seen by the workers. For the purpose of this Section,
contributions made or costs reasonably anticipated for bona fide
fringe benefits under Section 1(b)(2) of the Davis-Bacon Act (40
U.S.C. 276a) on behalf of laborers or mechanics are considered
wages paid to such laborers or mechanics, subject to the provi-
sions of Section I V, paragraph 3b, hereof. Also, for the purpose of
this Section, regular contributions made or costs incurred for more
than a weekly period (but not less often than quarteriy) under
plans, funds, or programs, which cover the particular weekly
period, are deemed to be constructively made or incurred during
such weekly period. Such laborers and mechanics shall be paid
the appropriate wage mte and fringe benefits on the wage
Exhibit I -Page 3 of 9 asOOixEn ex z3 ceR 633.102 --
determination for the Gassificetion of work actually performed,
without regard to skill, except as provided in paragraphs 4 and 5
of this Section IV.
b. Laborers or mechanics performing work in more than
one Gassifcation may be compensated at the rate specified for
each classification for the time acluallyworked therein, provided,
that the employers payroll records accurately set forth the time
spent in each classification in which work is performed.
c. All rulings and interpretations of the Davis-Bacon AG and
related acts contained in 29 CFR 1, 3, and 5 are herein incorpo-
rated by reference in this contract.
2. Classification:
a. The SHA contracting off cer shall require that any class of
laborers or mechanics employed under the contract, which is not
listed in the wage determination, shall be Gassified in
conformance with the wage determination.
b. The contracting officer shall approve an additional
classification, wage rate and fringe benefits only when the
following cdteda have been met:
(1) the work to be performed by the additional
classification requested is not performed by a Gassificafon in the
wage determination;
(2) the additional Gassification is utilized in the area by
the construction industry;
(3) the proposed wage rate, including any bona fide
fdnge benefts, bears a reasonable relationship to the wage rates
contained in the wage determination; and
(4) with respeG to helpers, when such a Gassification
prevails in the area in which the work is performed.
c. I( the contractor or subcontractors, as appropriate, the
laborers and mechanics (if known) to be employed in the addifon-
al Gassification or their representatives, and the centraGing officer
agree on the Gassificetion and wage rate (including the amount
designated for fringe benefits where appropriate), a report of the
action taken shall be sent by the centracting officer to the DOL,
Administrator of the Wage and Hour Division, Employment Stan-
dards Administration, Washington, D.C. 20210. The Wage and
Hour Administrator, or an authorized representative, will approve,
modify, or disapprove every additional Gassifirafon acfon within
30 days of receipt and so advise the centracting officer or will
notify the contracting officer within the 30-day pedod that
additional time is necessary.
d. In the event the centractor or subcontractors, as appro-
priate, the laborers or mechanics to be employed in the addifonal
Gassificetion or their representatives, and the contracting officer
do not agree on the proposed Gassification and wage rate
(inGuding the amount designated for fringe benefts, where
appropriate), the centracting officer shall refer the questions,
inGuding the views of all interested parties and the recommenda-
tion of the centracting officer, to the Wage and Hour Administrator
for determination. Said Administrator,oranauthorizedrepresen-
tative, will issue a determination within 30 days of receipt and so
advise the centracting officer or will notify the centracting officer
within the 30day pedod that additional time is necessary
e. The wage rate (including fdnge benefits where appropd-
ate)determined pursuant to paragraph 2c or 2d of this Section IV
shall be paid to all workers performing work in the additional
Gassificetion from the first day on which work is performed in the
Gassificetion.
3. Payment of Fringe Benefits:
Exhibit I
a. Whenever the minimum wage rate prescribed in the
centract fora class of laborers or mechanics inGudes a fringe
benefit which is not expressed as an houdy rate, [he cenhactor or
subcentractors, as appropriate, shall either pay the benefit as
stated in the wage determination or shall pay another bona fide
fringe benefit or an houdy case equivalent thereof.
b. If the contractor or subcontractor, as appropdate, does
not make payments to a trustee or other third person, he/she may
consider as a part of the wages of any laborer or mechanic the
amount of any costs reasonably anticipated in providing bona fide
fdnge benefits under a plan or program, provided, that the Seve-
lary of Labor has found, upon the wdtten request of the contractor,
that the applicable standards of the Davis-Bacon Act have been
met. The Secretary of Labor may require the contractor to set
aside in a separate account assets for the meefng of obligations
under the plan or program.
4. Apprentices and Trainees (Programs of the U.S. DOL)
and Helpers:
a. Apprentices:
(7) Apprentices will be permitted to work at less than
the predetermined rate for the work they performed when they are
employed pursuant to and individually registered in a bona fide
apprenticeship program registered with the DOL, Employment and
Training Administration, Bureau of Apprenticeship and Training, or
with a State apprenticeship agency recognized by the Bureau, or if
a person is employed in his/her first 90 days of probationary
employment as an apprentice in such an apprenticeship program,
who is not individually registered in the program, but who has
been certified by the Bureau of Apprenticeship and Training or a
State apprenfceship agency (where appropriate) to be eligible for
probationary employment as an apprentice.
(2) The allowable ratio of apprentices to joumeyman-
level employees on the job site in any craft Gassificafon shall not
be greater than the ratio permitted to the contractor as to the
entire work force under the registered program. Any employee
listed on a payroll at an apprentice wage rate, who is not regis-
tered or otherwise employed as stated above, shall be paid not
less than the applicable wage rate listed in the wage determina-
tion for the Gassification of work actually performed. In addition,
any apprentice performing work on the job site in excess of the
ratio permitted under the registered program shall be paid notless
than the applicable wage rate on the wage determination for the
work actually performed. Where a contractor or subcontractor is
performing construction on a project in a locality other than that in
which its program is registered, the ratios and wage rates (ex-
pressed in percentages of the journeyman-level houdy rate)
specified in the contractors or subcontractor's registered program
shall be observed.
(3) Every apprentice must be paid at not less than the
rate specified in the registered program for the apprentice's level
of progress, expressed as a percentage of the journeyman-level
houdy rate specified in the applicable wage determination.
Apprentices shall be paid fringe benefits in accordance with the
provisions of the apprenfceship program. If the apprenticeship
program does not speGfy fringe benefits, apprenfces must be
paid the full amount of fringe benefits listed on the wage determi-
nationforthe applicable classification. If the Administrator for the
Wage and Hour Division determines that a different practice
prevails for the applicable apprenfce Gassification, fringes shall
be paid in accordance with that determinafon.
(4) In the event the Bureau of Apprenticeship and
Training, or a State apprenticeship agency recognized by the
Bureau, withdraws approval of an apprenticeship program, the
contractor or subcontractor will no longer be permitted to utilize
apprentices at less than the applicable predetermined rate for the
Exhibit I -Page 4 of 9 REQUIRED EY 23 CFA 633.102 --
comparable work performed by regular employees until an accept-
able program is approved.
b. Trainees:
(1) Except as provided in 29 CFR 5.16, trainees will not
be permitted to work al less than the predetermined rate for the
work performed unless they are employed pursuant to and
individually registered in a program which has received prior
approval, evidenced by formal certification by the DOL,
Employment and Training Administration.
(2) The ratio of trainees tojoumeyman-level employees
on the job site shall not be greater than permitted under the plan
approved by the Employment and Training Administration. Any
employee listed on the payroll at a trainee rate who is not
registered and partidpating in a training plan approved by the
Employment and Training Administration shall be paid not less
than the applicable wage rate on the wage determination for the
Gasification of work actually performed. In addition, any trainee
performing work on the job site in excess of the ratio permitted
under the registered program shall be paid not less than the
applicable wage rate on the wage determination for the work
actually performed.
(3) Every trainee must be paid at not less than the rate
specified in the approved program for his/her level of progress,
expressed as a percentage of the journeyman-level houdy rate
specified in the applicable wage determination. Trainees shall be
paid fringe benefits in accordance with the provisions of the
hainee program. If the trainee program does not mention fringe
benefits, hainees shall be paid the full amount of fringe benefits
listed on the wage determination unless the Administrator of the
Wage and Hour Division determines that there is an apprentice-
ship program associated with the cortesponding journeyman-level
wage rate on thewage determination which provides for less than
full fringe benefits for apprentices, in which case such trainees
shall receive the same fringe benefits as apprentices.
(4) In the event the Employment and Training
Administration withdraws approval of a training program, the
contractor or subcontractor will no longer be permitted to utilize
trainees at less than the applicable predetermined rate for the
work performed until an acceptable program is approved.
c. Helpers:
Helpers will be permitted to work on a project if the
helper dassification is spedfied and defined on the applicable
wage determination or is approved pursuant to the conformance
procedure set forth in Section IV.2. Anyworker listed on a payroll
at a helper wage rate, who is not a helper under a approved
definition, shall be paid not less than the applicable wage rate on
the wage determination for the dassification of work actually per-
formed.
5. Apprentices and Trainees (Programs of the U.S. DOT):
Apprentices and trainees working under apprenticeship and
skill training programs which have been certified by the Secretary
of Transportation as promoting EEO in connection with Federal-
aid highway construction programs are not subject to the require-
ments of paragraph 4 of this Section IV. The straight time houdy
wage rates for apprentices and Uainees under such programs will
be established by the particular programs. The ratio of apprentic-
esand trainees to journeymen shall not be greater than permitted
by the terms of the paNcular program.
6. Withholding:
The SHA shall upon its own action or upon written request
of an authorized representative of the DOL withhold, or cause to
be withheld, from the contractor or subcontractor under this
Exhibit I
wntrad or any other Federal contract with the same prime
contractor, or any other Federally-assisted contract subject to
Davis-Bacon prevailing wage requirements which is held by the
same prime contractor, as much of the accrued payments or
advances as may be considered necessary to pay laborers and
mechanics, induding apprentices, trainees, and helpers, em-
ployed by the contractor or any subcontractor the full amount of
wages required by the contract. In the event of failure to pay any
laborer or mechanic, induding any apprentice, trainee, or helper,
employed or working on the site of the work, all or part of the
wages required by the contract, the SHA contracting officer may,
after written notice to the contractor, take such action as maybe
necessary to cause the suspension of any further payment.
advance, or guarantee of funds until such violations have ceased.
7. Overtime Requirements:
No contractor or subwntractor centracting for any part of
the contract work which may require or involve the employment of
laborers, mechanics, watchmen, or guards (induding apprentices,
trainees, and helpers described in paragraphs 4 and 5 above)
shall require or permit any laborer, mechanic, watchman, or guard
in any workweek in which he/she is employed on such work, to
work in excess of 40 hours in such workweek unless such laborer,
mechanic, watchman, or guard receives compensation at a rate
not less than one-and-one-half times his/her basic rate of pay for
all hours worked in excess of 40 hours in such workweek.
8. Violation:
Liability for Unpaid Wages; Liquidated Damages: In the
event of any violation of the dause set forth in paragraph 7 above,
the contractor and any subcontractor responsible thereof shall be
liable to the affected employee for his/her unpaid wages. In
addition, such contractor and subcontractor shall be liable to the
United States (in the case of work done under contract for the
District of Columbia or a territory, to such District or to such
territory) for liquidated damages. Such liquidated damages shall
be computed with respect to each individual laborer, mechanic,
watchman, or guard employed in violation of the dause settorth in
paragraph 7, in the sum of $10 for each calendar day on which
such employee was required or permitted to work in excess of the
standard work week of 40 hours without payment of the overtime
wages required by the dause set forth in paragraph 7.
9. Withholding for Unpaid Wages and Liquidated Damages:
The SHA shall upon its own action or upon written request of
any authorized representative of the DOL withhold. or cause to be
withheld, from any monies payable on account of work performed
by the contractor or subcontractor under any such contract or any
other Federal contract with the same prime contractor, or any
other Federally-asisted contract subject to the Contract Work
Hours and Safety Standards Act, which is held by the same pdme
contractor, such sums as may be determined to be necesary to
satisfy any liabilities of such contractor or subcontractor for unpaid
wages and liquidated damages as provided in the dause setforth
in paragraph 8 above.
V. STATEMENTS AND PAYROLLS
(Applicable to all Federal-aid consWCfion centracts exceeding
$2,000 and to all related subcontracts, except for projects located
on roadways classified as local roads or rural collectors, which are
exempt.)
t. Compliance with Copeland Regulations (29 CFR 3):
The contractor shall comply with the Copeland Regulations of
the Secretaryof Labor which are herein incorporated by reference.
2. Payrolls and Payroll Records:
Exhibit I -Page 5 of 9 REQUIRED DY 23 CFR 633.102 --
a. Payrolls and basic records relating thereto shall be
maintained by the contractor and each subcenhaclor during the
course of the work and preserved for a period of 3 years from the
date of completion of the contract for all laborers, mechanics,
apprentices, Vainees, watchmen, helpers, and guards working at
the site of the work.
b. The payroll records shall contain the name, soclal
security number, and address of each such employee: his or her
correct dassif cation; howdy rates of wages paid (including rates of
wntdbutions or costs antcpated for bona fide fringe benefits or
cash equivalent thereof the types described in Section 1(bx2)(B)
of the Davis Bacon Act); daily and weekly number of hours
worked; deductions made; and actual wages paid. In addition, for
Appalachian contracts, the payroll records shall contain a notation
indicating whether the employee does, or does not, normally
reside in the labor area as defined in Attachment A, paragraph 1.
Whenever the Secretary of Labor, pursuant to Section IV,
paragraph 3b, has found that the wages of any laborer or
mechanic include the amount of any costs reasonably anticipated
in providing benefits undera plan or program described in Section
1 (b)(2)(B) of the Davis Bacon Act, the contractor and each
subcontractor shall maintain records which show that the commit-
ment to provide such benefits is enforceable, that the plan or
program is financially responsible, that the plan or program has
been communicated in writing to the laborers or mechanics
affected, and show the cast antcpated or the actual cost incurred
in providing benefts. Contractors or subcontractors employing
apprentices or trainees under approved programs shall maintain
wdtten evidence of the registration of apprentices and trainees,
and ratios and wage rates prescribed in the applicable programs.
c. Each contractor and subwntractor shall furnish, each
week in which any contract work is performed, to the SHAresident
engineer a payroll of wages paid each of its employees (including
apprentices, trainees, and helpers, described in Section IV, para-
graphs 4 and 5, and watchmen and guards engaged on work
during the preceding weekly payroll pedod). The payroll submitted
shall set out accurately and completely all of the infortna6on
required to be maintained under paragraph 2b of this Section V.
This information maybe submitted in any form desired. Optional
Form W H-347 is available for this purpose and may be purchased
from the Superintendent of Documents (Federal stock number
029-005-0014-1 ), U.S. Government Pdnting Office, Washington,
D.C. 20402. The prime contractor is responsible for the submis-
sion of copies of payrolls by all subcontractors.
d. Each payroll submitted shall be accompanied by a
"Statement of Compliance," signed by the contractor or subcon-
tractor orhis/her agent who pays or supervises the payment of the
persons employed under the contract and shall certify the follow-
ing:
(1) that the payroll for the payroll period contains the
information required to be maintained under paragraph 2b of this
Section V and that such information is correct and complete;
(2) that such laborer or mechanic (including each
helper, apprentice, and trainee) employed on the contract during
the payroll period has been paid the full weekly wages earned,
without rebate, either directly or indirectly, and that no deductions
have been made either directly or indirectly from the full wages
earned, other than permissible deductions as set forth in the
Regulations, 29 CFR 3;
(3) that each laborer or mechanic has been paid not
Tess that the applicable wage rete and fringe benefits or rash
equivalentforthe classification of worked performed, as specfied
in the applicable wage determination incerporated into the
contract.
Exhibit I
Lion set forth on the reverse side of Optional Form WH-347 shall
satisfy the requirement for submission of the "Statement of
Compliance" required by paragraph 2d of this Section V.
f. The falsification of any of the above certifcetions may
subject the contractor to civil or criminal prosecution under 18
U.S.C. 1001 and 31 U.S.C. 231.
g. The contractor or subcontractor shall make the rewrds
required under paragraph 2b of this Section V available for
inspection, copying, or transcription byauthodzed representatives
of the SHA, the FHWA, or the DOL, and shall permit such repre-
sentatives tointerview employees during working hours on the job.
If the contractor or subcontractor fails to submit the required
recerds or to make them available, the SHA, the FHWA, the DOL,
or all may, after written notice to the contractor, sponsor, applicant,
or owner, take such actions as may be necessary to cause the
suspension of any further payment, advance, or guarantee of
funds. Furthermore, failure to submit the required records upon
request or to make such records available may be grounds for
debarment action pursuant to 29 CFR 5.12.
VI. RECORD OF MATERIALS, SUPPLIES, AND IABOR
1. On all Federal-aid contracts on the National Highway
System, except those which provide solely for the installation of
protective devices at railroad grade crossings, those which are
constructed on a force account or direct labor basis, highway
beautification contracts, and contracts for which the total final
construction cest for roadway and bddge is less than $1.000,000
(23 CFR 635) the contractor shall:
a. Become familiar with the list of speclfic materials and
supplies contained in Form FHWA-47, "Statement of Matedals
and Labor Used by Contractor of Highway Construction Involving
Federal Funds," prior to the wmmencement of work under this
contract.
b. Maintain a record of the total cost of all materials and
supplies purchased for and incorporated in the work, and also of
the quantities of those spedfic matedals and supplies listed on
Form FHWA-47, and in the units shown on Fonn FHWA-47.
c. Furnish, upon the completion of the contract, to the SHA
resident engineer on Form FHWA-47 together with the data
required in paragraph 1b relative to materials and supplies, a final
tabor summary of all contract work indicating the total hours
worked and the total amount earned.
2. At the prime contractors option, either a single report
covering all contract work or separate reports for the contractor
and for each subcontract shall be submitted.
VII. SUBLETTING OR ASSIGNING THE CONTRACT
1. The contractor shall perform with its own organization
contract work amounting to not less than 30 percent (or a greater
percentage if specified elsewhere in the contract) of the total
original contract price, excluding any specially items designated by
the State. Speclally items maybe performed by subcontract and
the amount of any such specialty items performed may be
deducted from the total original contract pdce before computing
the amount of work required to be performed by the contractors
own organization (23 CFR 635).
a. "Its own organization" shall be consWed to include only
workers employed and paid directly by the pdme contractor and
equipment owned or rented by the prime contractor, with or
without operators. Such term does not include employees or
equipment of a subcontractor, assignee, or agent of the prime
contractor.
e. The weekly submission of a propedy executed cerdfica- b. "Specialty Items" shall be construed to be limited to
Exhibit I -Page 6 of 9 REQUIRED BY 23 CFR 633.102 --
work that requires highly specialized knowledge, abilities, or
equipment not ordinarily available in the type of contracting
organizations qualified and expected to bid on the contract as a
whole and in general are to be limited to minor components of the
overall contract.
2. The contract amount upon which the requirements set forth
in paragraph 1 of Section VII is computed inGudes the cost of
material and manufactured products which are to be purchased or
produced by the contractor under the contract provisions.
3. The contractor shall furnish (a)a competent superintendent
or supervisor who is employed by the firm, has full authority to
direct performance of the work in accordance with the contract
requirements, and is in charge of all constrocton operations
(regardless of who performs the work) and (b) such other of its
own organizational resources (supervision, management, and
engineering services) as the SHA contracting officer determines is
necessary to assure the performance of the contract.
4. No portion of the contract shall be sublet, assigned or
otherwise disposed of except with the written consent of the SHA
centracfing officer, or authorized representative, and such consent
when given shall not be censwed to relieve the contractor of any
responsibility for the fulfillment of the centract. Written consent
will be given only after the SHA has assured that each subcontract
is evidenced in writing and that it contains all pertinent provisions
and requirements of the prime contract.
VIII. SAFETY: ACCIDENT PREVENTION
1. In the performance of this contract the contractor shall
comply with all applicable Federal, State, and local laws governing
safety, health, and sanitation (23 CFR 635). The contractor shall
provide all safeguards, safely devices and protective equipment
and fake any other needed actions as it determines, or as the SHA
contracting officer may determine, to be reasonably necessary to
protect the life and health of employees on the job and the safety
of the public and to protect properly in cennection with the
performance of the work covered by the contract.
2. It is a condi8on of this contract, and shall be made a
condition of each subcontract, which the contractor enters into
pursuant to this contract, that the contractor and any subcontractor
shall not permit any employee, in performance of the contract, to
work in surroundings or under conditions which are unsanitary,
hazardous or dangerous to his/her health or safety, as determined
under consWction safety and health standards (29 CFR 1926)
promulgated by the Secretary of Labor, in acwrdance with
Section 107 of the Contract W ork Hours and Safety Standards Act
(40 U.S.C. 333).
3. Pursuant to 29 CFR 1926.3, it is a condition of this centract
that the Sewetary of Labor or authorized representative thereof,
shall have right of entry to any site of contract performance to
inspect or investigate the matter of compliance with the censtruc-
lion safety and health standards and to carry out the duties of the
Sewetary under Section 107 of the Contract Work Hours and
Safety Standards Acl (40 U.S.C. 333).
IX. FALSE STATEMENTS CONCERNING HIGHWAY
PROJECTS
In order to assure high quality and durable construction in
cenformity with approved plans and specifications and a high
degree of reliability on statements and representations made by
engineers, contractors, suppliers, and workers on Federal-aid
highway projects, it is essen8al that all persons concerned with the
project perform their functions as carefully, thoroughly, and
honestly as possible. Willful falsification, distortion, or misrepre-
sentation wiM respect to any facts related to the project is a
violation of Federal law. To prevent any misunderstanding
regarding the seriousness of these and similar acts, the following
Exhibit I
notice shall be posted on each Federal-aid highway project (23
CFR 635) in one or more places where it is readily available to all
persons concerned with the project:
NOTICE TO ALL PERSONNEL ENGAGED ON FEDERAL-AID
HIGHWAY PROJECTS
18 U.S.C. 1020 reads as follows:
"Whoever, being an o>ficer, agent, or employee of the United
States, or of any State or Territory, w whoever, whether a person,
association, firm, or corporation, knowingly makes any /a/se
statement, false representahion, w/alsereport as to the character,
quality, quantity, or cost of the matehal used w to be used, or [he
quantity or quality o(the work performed or ro be perlwmed, wthe
cost thereo( in connection with the submission of plans, maps,
specifications, contracts, or costs of construction on any highway
or related project submitted ror approval to the Secretary o/
Transportation; or
Whoever knowingly makes any false statement, false
representation, false report w /alse claim with respect to the
character, quality, quantity, or cost o/any work performed or ro be
peformed, or materials furnished w to be (umished, in connection
with the consruction of any highway or related project approved
by the Secretary of Transportahon; or
Whoever knowingly makes any false statement or false
representation as to material fact in any statement, certificate, w
report submitted pursuant to provisions o(the Federal-aid Roads
Act approved July 1, 1916, (39 Stat. 355), as amended and
supplemented;
Shall be fined not mwe that $10,000 or imprisoned not more
than 5 years or both."
X. IMPLEMENTATION OF CLEAN AIR ACT AND FEDERAL
WATER POLLUTION CONTROL ACT
(Applicable to all Federal-aid censWction contracts and to all
related subcontracts of $100,000 or more.)
By submission of this bid or the execution of this contract, or
subcontract, as appropriate, the bidder, Federal-aid censWCtion
contractor, or subcontractor, as appropriate, will be deemed to
have stipulated as follows:
1. Thal any facility that is or will be utilized in the performance of
this contract, unless such contract is exempt under the Clean Air
Act, as amended (42 U.S.C. 1857 et ~., as amended by Pub.L.
91-604), and under the Fede21 Water Pollution Control Act. as
amended (33 U.S.C. 1251 et sue., as amended by Pub.L. 92-500),
Executive Order 11738, and regulations in implementation thereof
(40 CFR 15) is not listed, on the date of contract award, on the
U.S. Environmental Protection Agency (EPA) List of Yolafing
Facilities pursuant to 40 CFR 15.20.
2. That the firm agrees to comply and remain in cempliance with
all the requirements of Section 114 of the Clean Air Act and
Section 308 of the Federel Water Pollution Control Act and all
regulations and guidelines listed thereunder.
3. That the firm shall promptly nofify the SHA of the receipt of any
communication from the Director, Office of Federal Activities,
EPA, indicating that a facility that is or will be ufilized for the
contract is under consideration to be listed on the EPA List of
Violating Facilities.
4. Thal the firm agrees to inGude or cause to be inGuded the
requirements of paragraph 1 through 4 of this Section X in every
nonexempt subcontract, and further agrees to take such action as
the government may direct as a means of enforcing such
Exhibit I -Page 7 of 9 REQDIAED BY 23 CFR 633.102 --
Exhibit I
requirements. Administration.
XI. CERTIFICATION REGARDING DEBARMENT, SUSPENSION,
INELIGIBILITY AND VOLUNTARY EXCLUSION
1. Instructions for Certification - Primary Covered
Transactions:
I. Nothing contained in the foregoing shall be censured to
require establishment of a system of records in order to render in
good faith the certification required by this clause. The knowledge
and information of participant is not required to exceed thalwhich
is normally possessed by a prudent person in the ordinary course
of business dealings.
(Applicable to all Federal-aid centmcts - 49 CFR 29)
a. By signing and submitting this proposal, the prospective
primary participant is providing the certification set out below.
b. The inability of a person to provide the certification setout
below will not necessadly result in denial of participation in this
covered transaction. The prospective participant shall submit an
explanation of why it cannot provide the certification set out below.
The certification or explanation will be considered in wnnecfion
with the department or agencys determination whether to enter
into this transaction. However, failure of the prospective primary
participant to furnish a certification or an explanation shall
disqualify such a person from participation in this transaction.
c. The certification in this clause is a material representation
of fact upon which reliance was placed when the department or
agency determined to enter into this transaction. If it is later
determined that the prospective primary participant knowingly
rendered an erroneous certification, in addition to other remedies
available to the Federal Govemment. the department or agency
may terminate this transaction for cause of default.
d. The prospective primary participant shall provide immedi-
ate written notice to the department or agency to whom this
proposal is submitted if any time the prospective primary partici-
pant leamsthat its certification was eroneous when submitted or
has become erroneous by reason of changed circumstances.
e. The terms "covered transaction " "debared "
"suspended" "ineligible," "lower tier wvered transaction;'
"participant " "person " "primary covered transaction " "principal
"proposal,"and "volunpoly excluded "as used in this Gause, have
the meanings set out in the Definitions and Coverage sections of
rules implementing Executive Order 12549. You may contact the
department or agency to which this proposal is submitted for
assistance in obtaining a copy of those regulations.
f. The prospective pdmary participant agrees by submitting
this proposal that should the proposed covered transaction be
entered into, it shall not knowingly enter into any lower tier covered
transaction with a person who is debarred, suspended, deGared
ineligible, or voluntarily excuded from participation in this covered
transaction, unless authorized by the departrnent or agency
entedng into this transaction.
g. The prospective primary participant further agrees by
submitting this proposal that it will include the Gause titled
"Certification Regarding Debarment, Suspension, Ineligibility and
Voluntary Excusion-Lower Tier Covered Transaction," provided by
the department or agency entering into this covered transaction,
without modification, in all lower tier covered Vansactions and in
all solicitations for lower tier covered Vansactions.
h. A participant in a covered transaction may rely upon a
certification of a prospective participant in a lower tier covered
transaction that is not debarred, suspended, ineligible, or volun-
tadlyexcluded from the covered trensaction, unless it knows that
the certification is erroneous. A participant may decide the
method and frequency by which it determines the eligibility of its
principals. Each participant may, but is not required lo, check the
non-procurement portion of the "Lists of Parties Excluded From
Federal Procurement or Non-procurement Programs" (Non-
procurement List) which is compiled by the General Services
j. Except for transactions auhodzed under paragraph f of
these instructions, if a participant in a covered transaction
knowingly enters into a lower tier covered transaction with a
person who is suspended, debarred, ineligible, or voluntarily
excluded from participation in this transaction, in addition to other
remedies available to the Federal Govemment, the departrnent or
agency may terminate this transaction for cause or default.
Certification Regarding Debarment, Suspension,
Ineligibility and Voluntary Exclusion-Primary Covered
Transactions
1. The prospective pdmary participant certifies to the best of its
knowledge and belief, that it and its prtncipals:
a. Are not presently debared, suspended, proposed for
debarment, declared ineligible, or voluntarily excluded from
covered transactions by any Federal department or agency;
b. Have not within a 3-year pedod preceding this proposal
been convicted of or had a civil judgment rendered against them
for commission of fraud or a criminal offense in connection with
obtaining, attempting to obtain, or performing a public (Federal,
State or local) tmnsacton or contract under a public transaction;
violation of Federal or State antiWSt statutes or commission of
embezzlement, theft, forgery, bribery, falsification or desWCtion of
records, making false statements, or receiving stolen property;
c. Are not presently indicted for or otherwise criminally or
civilly charged by a governmental entity (Federal, State or local)
with commission of any of the offenses enumerated in pamgroph
1 b of this certification; and
d. Have not within a 3-year period preceding this
application/proposal had one or more public transactions (Federal,
State or locap terminated for cause or default.
2. Where the prospective primary participantis unable to certity
to any of the statements in this certification, such prospective
participant shall attach an explanation to this proposal.
2. Instructions for Certification -Lower Tier Covered
Transactions:
(Applicable to all subcontracts, purchase orders and other lower
tier transactions of $25,000 or more - 49 CFR 29)
a. By signing and submitting this proposal, the prospective
lower tier is providing the certification set out below.
b. The certification in this clause is a matedal representation
of fact upon which reliance was placed when this transaction was
entered into. If it is later determined that the prospective lower tier
participant knowingly rendered an eroneous certification, in
addition to other remedies available to the Federal Govemment,
the department, or agency with which this transaction odginafed
may pursue available remedies, inGuding suspension and/or
Exhibit I -Page 8 of 9 REQUIRED BY 23 CFR 633.102 --
debarment.
c. The prospective lower tier participant shall provide
immediate wdtten notice to the person to which this proposal is
submitted if at any time the prospective lower tier participant
teams that its certification was esoneous by reason of changed
clrcumstances.
d. The terms "covered transaction," "debased "
"suspended " "ineligible," "pdmary cevered transaction,"
"partdpant" "person," "pdncipal" "proposal," and "voluntarily
excluded " as used in this Gause, have the meanings set out in
the Definitions and Coverage sections of rules implementing
Executive Order 12549. You may contact the person to which this
proposal is submitted for assistance in obtaining a copy of those
regulations.
e. The prospective lower tier partclpant agrees by
submitting this proposal that, should the proposed covered
transaction be entered into, it shall not knowingly enter into any
lower tier covered transaction with a person who is debased,
suspended, declared ineligible, or voluntadly excluded from
particlpation in this cevered transaction, unless authorized by the
department or agency with which this transaction originated.
f. The prospective lower tier partdpant further agrees by
submitting this proposal that it will include this clause titled
"Certification Regarding Debarment, Suspension, tneligibiliry and
Voluntary Exclusion-Lower Tier Covered Transaction "without
modification, in all lower tier covered transactions and in all
solicitations for lower tier covered transactions.
g. A participant in a covered transaction may rely upon a
certification of a prospective partdpant in a lower her covered
transaction that is not debased, suspended, ineligible, or volun-
tarily excluded from the covered transaction, unless it knows that
the certification is esoneous. A particlpant may decide the
method and frequency by which it determines the eligibility of its
pdnclpals. Each particlpant may, but is not required to, check the
Non-procurement List.
h. Nothing contained in the foregoing shall be censured to
require establishment of a system of records in order to render in
good faith the certification required by this clause. The knowledge
and information of partdpant is not required to exceed that which
is normally possessed by a prudent person in the ordinary ceurse
of business dealings.
I. Except for transactions authorized under paragraph a of
Mese instructions, if a particlpant in a cevered transaction
knowingly enters into a lower tier covered transaction with a
person who is suspended, debased, ineligible, or voluntarily
excluded from particlpation in this transaction, in addition to other
remedies available to the Federal Government the departmentor
agency with which this transaction originated may pursue
available remedies, including suspension and/or debarment.
Certification Regarding Debarment, Suspension,
Ineligibility and Voluntary Exclusion-Lower Tier Covered
Transactions:
1. The prospective lower tier partidpantcertifies, by submission
of this proposal, that neither it nor iLS pdndpals is presently
debased, suspended, proposed for debarment, declared
ineligible, or voluntadly excluded from particlpation in this
transaction by any Federal department or agency.
2. Where the prospective lower tier particlpant is unable to
certify to any of the statements in this certification, such prospec-
tive participant shall attach an explanation to this proposal.
Exhibit I
XII. CERTIFICATION REGARDING USE OF CONTRACT FUNDS
OR LOBBYING
(Applicable to all Federal-aid construction contracts and to all
related subcentracts which exceed $100,000 - 49 CFR 20)
1. The prospective partclpant certifes, by signing and submit-
ting this bid or proposal, to the best of his or her knowledge and
belief, that:
a. No Federal appropriated funds have been paid or will be
paid, by or on behalf of the undersigned, to any person for
influenclng or attempting to influence an officer or employee of
any Federal agency, a Member of Congress, an officeror employ-
ee of Congress, or an employee of a Member of Congress in
connection with the awarding of any Federal contract the making
of any Federal grant the making of any Federal loan, the entering
into of any cooperative agreement, and the eMension, continua-
tion, renewal, amendment, or modification of any Federal contract,
grant, loan, or cooperative agreement.
b. If any funds other than Federal appropriated funds have
been paid or will be paid to any person for influencing or attempt-
ing to influence an officer or employee of any Federal agency, a
Member of Congress, an officer or employee of Congress, or an
employee of a Member of Congress in connection with this
Federal 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.
2. This certification is a matedal representation of fact upon
which reliance was placed when this transaction was made or
entered into. Submission of this certification is a prerequisite for
making or entedng into this transaction imposed by 31 U.S.C.
1352. Any person who fails to file the required certification shall
be subject to a dvil penalty of not less than $10,000 and not more
than $100,000 for each such failure.
3. Theprospective particlpant also agrees by submitting his or
her bid or proposal that he or she shall require that the language
of this certification be included in all lower tier subcontracts, which
exceed $100,000 and that all such redpients shall certify and
disclose accordingly.
Exhibit I -Page 9 of 9 REQOIRED BY 23 CFR 633.102 --
FEDERAL REQUIREMENTS
Federal laws and regulations [hat maybe applicable to [he Work include:
Exhibit J
A. The "Uniform Administrative Requirements for Grants and Cooperative Agreements to State and Local
Governments (Common Rule), at 49 Code of Federal Regulations, Part 18, except to the extent that other applicable
federal requirements (including the provisions of 23 CFR Parts 172 or 633 or 635) are more specific than
provisions of Part 18 and therefore supersede such Part 18 provisions. The requirements of 49 CFR 18 include,
without limitation:
1. the Local Agency/Contractor shall follow applicable procurement procedures, as required by section 18.36(d);
2. the Local Agency/Contractor shall request and obtain prior CDOT approval of changes to any subcontracts in the
manner, and to the extent required by, applicable provisions of section 18.30;
3. the Local Agency/Contractor shall comply with section 18.37 concerning any sub-grants;
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 sub-grant procedures, as applicable;
5. the Local Agency/Contractor shall incorporate the specific contract provisions described in 18.36(1) (which aze 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 constmction contracts awarded in excess of $10,000 by grantees and their contractors or sub-grantees).
C. The Copeland "Anti-Kickback" Act (18 U.S.C. 874) as supplemented in Department of labor regulations (29
CFR Par[ 3) (All contracts and sub-grants 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) (Constmction contracts in excess of $2,000 awazded by grantees and subgrantees when required by Federal
grant program legislation. This act requires that all laborers and mechanics employed by contractors or subcontractors
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 Standazds Act (40 U.S.C. 327-330) as
supplemented by Department of Labor regulations (29 CFR Part 5). (Construction contracts awarded by grantees and
sub-grantees in excess of $2,000, and in excess of $2,500 for other contracts which involve the employment of
mechanics or laborers).
F. Standazds, orders, or requirements issued under section 306 of the Cleaz Air Act (42 U.S.C. 1857(h), section
508 of the Clean Water Act (33 U.S.C. 1368). Executive Order 11738, and Environmental Protection Agency
regulations (40 CFR Part 15) (contracts, subcontracts, and sub-grants of amounts in excess of $100,000).
G. Mandatory standazds and policies relating to energy efficiency which are contained in the state energy
conservation plan issued in compliance with the Energy Policy and Conservation Act (Pub. L. 94-163).
H. Office of Management and Budget Circulars A-87, A-21 or A-122, and A-102 or A-110, whichever is
applicable.
The Hatch Act (5 USC 1501-1508) and Public Law 95-454 Section 4728. These statutes state that federal
Exhibit J -Page 1 of 3
•+ Exhibit J
3
funds cannot be used for partisan political purposes of any kind by any person or organization involved in the
administration of federally-assisted programs.
J. 42 USC 6101 et sea• 42 USC 2000d, 29 USC 794, and implementing regulation, 45 C.F.R. Part 80 et. sea•.
These acts require that no person shall, on the grounds of race, color, national origin, age, or handicap, be excluded
from participation in or be subjected to discrimination in any program or activity funded, in whole or part, by federal
funds;
K. The Americans with Disabilities Act (Public Law 101-336; 42 USC 12101, 12102, 12111-12117, 12131-
12134, 12141-12150, 12161-12165, 12181-12189, 12201-12213 47 USC 225 and 47 USC 611.
L. The Uniform Relocation Assistance and Real Property Acquisition Policies Act, as amended (Public Law 91-
646, as amended and Public Law 100-17, 101 Stat. 246-256). (If the contractor is acquiring real property and
displacing households or businesses in the performance of this contract.)
M. The Drug-Free Workplace Act (Public Law 100-690 Title V, subtitle D, 41 USC 701 et se . .
N. The Age Discrimination Act of 1975, 42 U.S.C. Sections 6101 et• sea• and its implementing regulation, 45
C.F.R. Part 91; Section 504 of the Rehabilitation Act of 1973, 29 U.S.C. 794, as amended, and implementing
regulation 45 C.F.R. Part 84.
O. 23 C.F.R. Part 172, concerning "Administration of Engineering and Design Related Contracts".
23 C.F.R Part 633, conceming "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 aze shown in the Nondiscrimination Provisions, which are attached hereto and made a part
hereof.
S. Nondiscrimination Provisions:
Incompliance 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:
1. Compliance with Re¢ttlations. The Contractor will comply with the Regulations ofthe Department of
Transportation relative to nondiscrimination in Federally assisted programs of the Department of Transportation (Title
49, Code of Federal Regulations, Part 21, hereinafter referred to as the "Regulations"), which are herein incorporated
by reference and made a part of this contract.
2. Nondiscrimination. The Contractor, with regard to the work performed by it after awazd and prior to
completion of the contract work, will not discriminate on the ground of race, color, sex, mental or physical handicap or
national origin in the selection and retention of Subcontractors, including procurement of materials and leases of
equipment. The Contractor will not participate either directly or indirectly in the discrimination prohibited by Section
21.5 of the Regulations, including employment practices when the contract covers a program set forth in Appendix C of
the Regulations.
Exhibit J -Page 2 of 3
J
Exhibit J
3. Solicitations for Subcontracts, Including Procurement ofMaterials 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.
4. Information and Reports. The Contractor will provide all information and reports required by the
Regulations, or orders and instructions issued pursuant thereto and will pemut access to its books, records, accounts,
other sources of information and its facilities as may be determined by the State or the FHWA to be pertinent to
ascertain compliance with such Regulations, orders and instructions. Where any infomration required ofthe Contractor
is in the exclusive possession of another who fails or refuses to furnish this infom~ation, 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.
5. Sanctions for Noncompliance. In the event of the Contractor's noncompliance with the
nondiscrimination provisions of this contract, the State shall impose such contract sanctions as it or the FHWA may
determine to be appropriate, including, but not limited to:
a. Withholding of payments to the Contractor under the contract until the Contractor complies, and/or;
b. Cancellation, termination or suspension of the contract, in whole or in part.
6. Incorporation of Provisions. The Contractor will include the provisions ofparagraphs 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 litggation to protect the interests of the United States.
Exhibit J -Page 3 of 3