HomeMy WebLinkAboutresolution.council.106-07RESOLUTION NO. ~l(i
Series of 2007
A RESOLUTION OF THE CITY OF ASPEN, COLORADO, APPROVING A CONTRACT
BETWEEN THE CITY OF ASPEN, COLORADO, AND THE STATE OF COLORADO
DEPARTMENT OF TRANSPORTATION, TO ACCEPT A CONGESTION MITIGATION AIR
QUALITY GRANT, AND AUTHORIZING THE CITY MANAGER TO EXECUTE SAID
DOCUMENTS ON BEHALF OF THE CITY OF ASPEN, COLORADO.
WHEREAS, the City of Aspen seeks to improve air quality by reducing PM-10 pollution;
and
WHEREAS a contract between the City of Aspen, Colorado and the State of Colorado, a
copy of which contract is annexed hereto and made a part thereof; and
NOW, THEREFORE, BE IT RESOLVED BY THE CITY COUNCIL OF THE CITY OF
ASPEN, COLORADO:
That the City Council of the City of Aspen hereby approves this CONTRACT between the
City of Aspen, Colorado, and the State of Colorado Department of Transportation, a copy of which
are annexed hereto and incorporated herein, and does hereby authorize the City Manager of the City
of Aspen to execute said contract on behalf of the City of Aspen.
INTRODUCED, READ AND ADOPTED by the City Council of the City of Aspen on the
I
/~ day of_____ t~007.
Michael C. Ireland, Mayor
I, Kathryn S. Koch, duly appointed and acting City Clerk do certify that the foregoing is a
true and accurate copy of that resolution adopted by the City Council of the City of Aspen,
Colorado, at a meeting held on the day hereinabove stated. ~ ~-.dL-~~
Kathryn S. Koch, City Clerk
(FMLAWRK) Rev 09/03
PROJECT AQC M045-007, (16291) 08 HA3 00008
REGION 3 (daw) 271000583
CONTRACT
THIS CONTRACT made this day of 2007, by and between the State of
Colorado for the use and benefit ofthe Colorado Department of Transportation hereinafterreferred
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. 423 1 20001 1,
WBS Element 16291.10.50. Contract Encumbrance Amount: $140,155.00.
2. Required approval, cleazance and coordination have been accomplished from and with appropriate
agencies.
3. Pursuant to Title I, Subtitle A, Section 1108 ofthe "Transportation Equity Act for the 2151 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 Progam project performed by a Local Agency under
a contract with the State.
5. The Local Agency has requested that a certain local transportation project be funded as part of the
Program, and by the date of execution of this contract, the Local Agency and/or the State has completed
and submitted a preliminary version of CDOT form #463 describing the general nature of 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 Local Agency desires to perform the Work described in form #463, as it may be revised.
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6. Federal-aid funds have been made available for project AQC M045-007 (16291), which shall
consist of the Purchase of one (1) Flush Truck, 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 prof ect 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 further understood that all non-participating costs shall be home by the Local
Agency at 100%.
8. The Loca] Agency desires to comply with the Federal Provisions and other applicable requirements,
including the State's general administration and supervision of the Project through this contract, in
order to obtain federal funds.
9. The Local Agency has estimated the total cost of the Work and is prepared to provide its match 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.
10. This contract is executed under the authority of§§29-1-203,43-1-110;43-1-116,43-2-101(4)(c)
and 43-2-144, C.R.S. 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 the Purchase of one (1) Flush Truck,
for the City of Aspen, Colorado, as more specifically described in Exhibit A.
Secrion 2. Order of Precedence
In the event of conflicts or inconsistencies between this contract and its exhibits, such conflicts
or inconsistencies shall be resolved by reference to the documents in the following order of priority:
1. Special Provisions contained in section 29 of this contract
2. This contract
3. Exhibit A (Scope of Work)
4. Exhibit C (Funding Provisions)
5. Exhibit D (Certification for Federal-Aid Contracts)
6. Exhibit E (DBE Requirements)
7. Exhibit F (Contract Modification Tools)
8. Other Exhibits in descending order of their attachment.
Page 2 of 17
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 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 of the Work. A copy of such ordinance/resolution or authority letter is attached hereto as Exhibit B.
The funding provisions for the Project aze attached hereto as Exhibit C. The Local Agency
shall provide its shaze 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 chazges
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.
C. The Local Agency shall establish and maintain a proper accounting system in accordance
with generally accepted accounting standazds (a sepazate set of accounts, or as a separate and integral
part of its current accounting scheme) to assure that project funds aze expended and costs accounted
for in a manner consistent with this contract and project objectives.
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1. All allowable costs chazged 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 chazges.
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 cleazly
identified, readily accessible, and to the extent feasible, kept sepazate 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 prepazation for any conditions or requirements of this 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 Local Agency understands and agrees the costs of any such
services and assistance shall be paid to the State from project funds at the applicable rate. However,
in the event that such funding is not made available or is withdrawn for this contract, or if the Local
Agency terminates this contract prior to prof ect 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:
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
which was not made in a timely manner, until the billing is paid in full. The interest
shall accrue for the period from the required payment date to the date on which
payment is made.
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F. The Local Agency will prepare and submit to the State, no more than monthly, charges for
costs incurred relative to the project. The Local Agency's invoices shall include a description ofthe
amounts of services performed, the dates of performance and the amounts and description of
reimbursable expenses. The invoices will be prepared in accordance with the State's standard
policies, procedures and standardized billing format to be supplied by the State.
G. To be eligible for payment, billings must be received within 60 days after the period for
which payment is being requested and final billings on this contract must be received by the State
within 60 days after the end of the contract term.
1. Payments pursuant to this contract shall be made as earned, in whole or in part, from
available funds, encumbered for the purchase 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 maybe
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 W ork 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.
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.
Page 5 of 17
c. Prepare special provisions and estimates in accord with the State's Roadway
and Bridge Design Manuals and Standazd 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.
(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 are available from the CDOT Agreements Office.
Page 6 of 17
(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(6) and (d).
(5) It may expedite any CDOT approval ofits procurement process and/or
consultant contract by submitting a letter to CDOT from the certifying Local
Agency's attorney/authorized representative certifying compliance with
Exhibit 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, Standazd
~ecifications for Road and Bridee Construction, in connection with
this work."
d. The State, in its discretion, will review construction plans, special provisions
and estimates and will cause the Loca] Agency to make changes therein that
the State determines aze 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
meeting the Quality Control requirements of the FHWA/CDOT Stewardship
Agreement, as described in the Local Agency Contract Administration Checklist.
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2. The State shall have the authority to suspend the Work, wholly or in part, bygiving
written notice thereof to the Local Agency, due to the failure of the Local Agency or
its contractor to correct project conditions which are unsafe for workers or for such
periods as the State may deem necessary due to unsuitable weather, or for conditions
considered unsuitable for the prosecution of the Work, or for any other condition or
reason deemed by the State to be in the public interest.
3. 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 aze 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 awazding 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 Loca] 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 declaze the acceptance or
rejection within 3 working days after said bids aze 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 awazdedbythe
State.
a 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.
Page 8 of 17
(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 ofthe Work, as provided for in 23 CFR 635.204(c). Such
agreed unit prices shall constitute a commitment as to the value ofthe
Work to be performed.
(2) An alternative to the above is that the Local Agency may agree to
participate in the Work based on actual costs of labor, equipment
rental, materials supplies and supervision necessary to complete the
Work. Where actual costs are used, eligibility of cost items shall be
evaluated for compliance with 48 CFR Part 31.
(3) Rental rates for publicly owned equipment will be determined in
accordance with the State's Standard Specifications for Road and
Bridee 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
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. Notwithstandingany consents or approvals given by the State for the Plans, the State
will not be liable or responsible in any manner for the structural design, details or
construction of any major structures that are designed by or 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 applicable, prior to this project being advertised for bids, the Responsible Party will certify
in writing to the State that all right of way has been acquired in accordance with the applicable State
and federal regulations, or that no additional right of way is required.
Any acquisition/relocation activities must comply with all federal and state statutes,
regulations, CDOT policies and procedures, 49 CFR Part 24, the government wide Uniform Act
regulation, the FHWA Project Development Guide and CDOT's Right of Way Operations Manual.
Allocation of Responsibilities can be as follows:
Federal participation in right of way acquisition (3111 chazges), relocation (3109
charges) activities, if any, and right of way incidentals (expenses incidental to
acquisition/relocation of right of way - 3114 chazges);
Federal participation in right of way acquisition (3111 chazges), relocation (3109
charges) but no participation in incidental expenses (3114 charges); or
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• 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 http://www.dotstate.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 current
federal and state environmental regulations including the National Environmental Policy Act of 1969
(NEPA) as applicable.
Page 10 of 17
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, al] 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 may be terminated as follows:
A. Termination for Convenience. The State may terminate this contract at any time the State
determines that the purposes of the distribution of moneys under the contract would no longer be
served by completion 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
otherwise not appropriate.
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In the event of termination, all finished or unfinished documents, data, studies, surveys, drawings,
maps, models, photographs and reports or other material prepazed 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 aze contingent upon availability of such funds to the
State. In the event that such funds or any part thereof aze 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
correspondence 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 of the 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, boazds, 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 maybe accomplished within the intent ofthe 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 of this contract shall not be
construed or deemed as a waiver of any subsequent breach of such term, provision, or requirement,
or of any other term, provision or requirement.
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 program'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 progam
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 (ifprovided) ofthe 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 ofreceipt 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 aze defined as federal financial assistance for Single Audit Act
Amendment purposes, shall comply with the audit requirements of OMB Circulaz 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 aze 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 onlyreceived 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 aze 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 I S of 17
Section 29. ~ SPECIAL PROVISIONS
The Special Provisions apply to all contracts except wher
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 the State payable after 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.
[Appliwb/e Only to Intergovernmental Contracts] No term or condition of this contract shall be construed or interpreted as a
waiver, express or implied, of any of [he 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 hereafter
amended.
4. INDEPENDENT CONTRACTOR. 4 CCR 801-2. Contractor shall perform 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 [axes and local head taxes on any
monies paid by the state pursuant to this contract. Contractor acknowledges that 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 [o 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 this contract, whether or not incorporated herein by
reference, which provides for arbitration by any extra-judicial body or person or which is otherwise in conflict with said laws, rules, and
regulations shall be considered null and void. Nothing contained in any provision incorporated herein by reference which purports to
negate this or any other special provision in whole or in part shall be valid or enforceable or available in any action at law, whether by
way of complaint, defense, or otherwise. Any provision rendered null and void by the operation of this provision will not invalidate the
remainder of this contract, to the extent that this contract is capable of execution. At all times during the performance of this
contraM, Contractor shall strictly adhere to all applicable federal and State laws, rules, and regulations that have been or may
hereafter be established.
7. [Not Applicable to Intergovernmental Contracts] VENDOR OFFSET. CRS 24-30-202 (1) and 24-30-202.4. The State
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 arrearages; (b) unpaid balances of tax, accrued interest, or other charges specifed 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 State 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 certifes 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 a[ law or equity or under [his contract, including, without
limitation, immediate termination of this 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/icab/e to Intergovernmental 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 perform work under this
contract or enter into a contract with a subcontractor that fails to certify to Contractor that the subcontractor shall not knowingly employ or
contract with an illegal alien to perform work under this contract. Contractor represents, warrants, and agrees that it (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 Slates 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 identifcation 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:
City of Aspen
Legal Name of Contracting Entity
By
2000009
CDOT Ve der
~~~.~~
Signature of Authorized Officer
IL ff ~~~~~;;~~i
~~ "tt -~".~~1 ~ L~ I~CfJ. ~ au By
Prin Name 8 Title of Auth rued fficer
STATE OF COLORADO:
BILL RITTER, JR. GOVERNOR
Executive Director
Department of Transportation
LEGAL REVIEW:
JOHN W.SUTHERS
ATTORNEY GENERAL
CORPORATIONS:
(A corporate attestation is required.)
Attest (Seal) By
(Corporate Secretary or Ivalent, or TownlCitylCountyGlerk) (Place corporate seal here, if 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 andlor services provided.
STATE CONTROLLER:
LESLIE M. SHENEFELT
Page 17 of 17
A. The Local Agency has estimated the total cost the Work to be $140,155.00 which is to be
funded as follows:
1 BUDGETED FUNDS
a. Federal Funds $116,035.00
(82.79% of Participating Costs)
b. Local Agency Matching Funds $24,120.00
(17.21% of Participating Costs)
Local Agency Matching for CDOT -
c. Incurred Non-Participating Costs $0.00
(Including Non-Participating Indirects)
TOTAL BUDGETED FUNDS $140,155.00
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) $116,035.00
b. Less Estimated Federal Share of CDOT-Incurred Costs (2a) $0.00
TOTAL ESTIMATED PAYMENT TO LOCAL AGENCY $116,035.00
FOR CDOT ENCUMBRANCE PURPOSES
Total Encumbrance Amount
($116,035divided by 82.79%) $140,155.00
Less ROW Acquisition 3111 and/or
ROW Relocation 3109 $o.oo
Net to be encumbered as follows: $o.oo
WBS Element 16291.10.50 Misc. 3301 $140,155.00
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 $140,155.00 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 perfonmance of the Work exceeds $140,155.00, 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 $140,155.00,
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 $140,155.00
(For CDOT accounting purposes, the federal funds of $116,035 and local matching funds of
$24,120.00 will be encumbered for a total encumbrance of $140,1555.00), 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) ageeable 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 A
FORM 463
or
SCOPE OF WORK
COLORADO DEPARTMENT OF TRANSPORTATION jOng.Uate: uvlzv[wr rrotea cone ?: I~Ha): ~o<ar~~~~~.w..o
DESIGN DATA ~~: vDale: Project #:AOC MD45-007
Revision #: 0 PE Projed Code:
Page t tog Region #: 03 project DescnpLOn: Aspen FY 2007 CMAO Flush Truck
s: (~ Preliminary ^ Final ^ Revised
St
t
a
u County
Submifled By PM: PETERC ~ Approved by Program Engineer:
I ~ 7
~ /
Munlcipali .Aspen
Dale: / f~P%~~~w-' ~( ,~ ~~`^i ~ t/C~e ~j.s:~~' System Code: Z-Not on an Federal S tem
Revised by Oversight By. A-Exempt
Planned Len Ih: D.000
Date:
Geographic Location: CITY OF ASPEN
Type of Terrain: Mountainous
Description of Proposed CoM[ruclionllmprovement(Altach map showing sRe localionl
PURCHASE FLUSH TRUCK
Project Characteristics (Proposed) Median (Type): ^ Depressed ^ Painted ^ Ra"used ^ None
^ Lightlng ^ FlandicaP Ramps Traffic Cornrol Signals ^ SL•iPing
Curb and Gutter Curb Orly Left-Tum Sbls Continuous Width=
^ Sidwalk Width= ^ Bikeway Width= ^ Right-Turn Stots ^ Continuous Witlth=
^ Parking Lane Width= ^ Detours Sf nln Gonslruclion ^ Permanent
^ Landscaping requirements (desaiptionJ: ^ O[her (descrip[bn):
Right of Way yesMO Esl. #
ROW &ior Penn. Easement Required No
Relocation Requiretl NO
Temporary Easement Required: NO
Changes in Access: No
Cner>pes to Cannecling RPads: No Otllities (list names W knrnvrt utility comparues)
N!A
Railroad Crossings # of Crossings:
Recommendatbns
EtrvlronmeMal Type:
None Approved On: Under Project Code: Project ik
16291
Comments:
Coordination
^ WafWrewn LarWs (Power Sikes, Reservers, E1c.) Cleared Ihrotgh BLM or Forest Service lNfice IrtigaUOn Ditch Name:
^ New Traffic Ordinance Required ^ Modify ScMeduM W F~rlsang Ordinance Muncipality. Aspen
Other.
Construction Mafhod Advertised By.
Local NoAd Reason: EMdy/Agency Contact Name:
L nn Rumbau PMne #:
97D 820-5038
Safety COnsideratfons Prc>)ec1 Under. Guardrag meets cunem standards: No
^ Variance to Minimum Design Standards Required ,
^ Justification Attached ^ Request m be SWrnitted
Bdd see item 12 See Remarks ^ Safely project not all standards
addressed Comments:
^ S Coruwction (explain in remarks)
3R projects
Safety Evaluatlon Complete date):
EXHIBIT A. Page_,_,,~__ of~
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Page 3 ofg Project Code #(SA#): Project #: Revise Date:
16P91 ADC M045-007
Major StruMures S= to stay, R= to be rerttoved, P= proposed new stnmture
Reference Stantlard Structure Structural Fbrizordal Vertical Ve
Structure ID# . Len Ut PoiM Feature Intersected Width Roadway Capaci Cleararrz Clearance B~
Proposed Treament of Badges to Remaln in Place(atldress brkige rail, capacity, and albwatrle surfacing Ihkkness):
Remarks
This Local Agency project with the Clty of Aspen will be for W purchas a of a Flush Truck. The project is being funtled through
the Gongestbn Mitigation and Air quality (CMAQ) prpgrdm and volt meet atl the requvernenis of We Coloratlo Department of
Transportation CMAQ program.
BIDDER'S RESPONSE
CITY OF ASPEN BID N0.2007-13 FM
ITEM DESCRIPTION RESPONSE
General The City expects to receive bids for a complete flush
truck unit, 3500 gallon tank, mounted on a suitable
chassis. You may bid the truck unit you feel is most
appropriate for our use. We use this truck within the
City limits. It travels very slowly when working, and
is constantly turning.
TRUCK UNIT
Engine Diesel, N-14 Cummins, 3406E CAT, or Mack E-
TECH or equal. 350 hp Turbo-char>~ed 12 Itr., with
cold weather package including block heater.
Exhaust Pyrometer YES
Transmission Automatic.Simmular orequivalent to the Allison
HD4560P
Rear ends Double reduction DP461 P or equal. Ratio to
accommodate a maximum speed of 65. Include
locking rear differentials.
Engine brake Jacobs - 2 or 3-position engine brake.
Air compressor 16.5 crm. -Mount air tanks up inside frame for
ground clearance.
Brakes Full Air.. Maxi's should be type 30 cans, 2 per axle.
Front tow hooks YES
Air filter Dual with pre-cleaner element
Air Dryer YES
Ether start YES
Electrical and guageS 160 amp alternator min., Cirwit breakers, oil, eng.
Temp, tachometer, air pressure and hour meter
minimum.
IntenniHent Wipers YES
muffler EPA approved diesel oxidation catalyst muffler
Vertical exhaust YES with turnout
a
Mirrors Full size, West Coast type with in-cab operator
control and heated. 8" heated convex mirrors
attached. Right side to be motorized.
Air horn Cab-mounted with in-cab pull chain.
Air tank drain Pull chain
Suspension Front 16K- Rear 20K minimum. Simmular or
equivalent to the Hendrickson HN 642-54
Wheel base As short as possible for 3000 gal. Tank. Tank not to
exceed 96" overall width.
Tires 1100 X 22.5 tubeless with 1 mounted spare.
Wheels to be stud piloted and bud type.
~b Sound suppession, AC, AM/FM stereo cassette,
Power right side window controlled from operator's
seat, tilt steering wheel. Cloth driver's seat.
Seat Driver =air suspension. Pass =standard
beacons !double strobe mounted cab center and 1 double
strobe mounted rear tank center -Amber
Paint Cab white, body black
FLUSHER UNIT
lank 3000 gallon minimum.
Nozzles 4 brass nozzles. 1 ea. left and right front 1 ea. left
and right mid-ship. Nozzles need to be adjustable
for upldown IefUright direction.
Hose reel YES -100 foot manual rewind reel with 1-1/2 hose
Power 270 CU. 1N. FORD inline 6, gasoline or equivalent.
Full in-cab controlled with electrically operated choke
and electric operated throttle attachment. Guages=
tech., low oil warning light and auto shut down for
law pressure and high water temp.
Controls All nozzles individually controlled by operator from 1
panel located for operator comfort to right of steering
column. Water pressure control on same panel.
Back flow prevention Air Gap
Full tank warning light YES, mounted near and above fill valve, which goes
oft with ignition key.
Work lights 1 left and 1 right above mid-ship spray nozzles and 1
center rear for back-up.
Misc. Clearance lights and reflectors, full width fenders
~v'"'pia r.a d .`~. 7'~~~~c ~ L>:
1/; Au w
with mud flaps, hose hooks, rear bumper and back-
up alarm. (NO full skirting)
Dump valve YES - in-cab operator controlled.
Fill valveRrose We fill from 2'/: inch cam-lock fire hydrant. Make It
work, Fill hose must tie 20-25 feet long.
Wananty All standard warranties, published or implied are
assumed to be included in the bid price. Copies of
said published warranties shall be included in your
sealed bid envelope. Any additional or extended
warranty options which the bidder may wish to offer,
shall be listed separately with associated rASts,
within the sealed bid envelope, but not included in
your actual bid price.
~_. SIL....~_ __ _. a~~
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 performance 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 year 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 year 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
LOCAL AGENCY
ORDINANCE
or
RESOLUTION
DEPARTMENT OF TRANSPORTATION
Contracts and Market Analysis Branch
David A. Welis
Contracting Officer
4201 East Arkansas Avenue, 4'" Floor West
Denver, Colorado 80222
Telephone: (303)757-9480
Faz: (303) 757-9867
August 2, 2007
Lynn Rumbaugh
City of Aspen
Transportation Programs Manager
130 South Galena
Aspen, CO 81611
Subject: Flush Truck Bid Project
Deaz Lynn,
Contract Routing # 08 HA3 00008
~~ I I
Enclosed please Find three executory copies of the above referenced contract between the City of Aspen
and the Colorado Department of Transportation.
PLEASE MAKE SURE EACH DOCUMENT IS SIGNED BY THE APPROPRIATE
INDIVIDUAL HAVING THE AUTHORITY TO EXECUTE SUCH AGREEMENTS ON
BEHALF OF THE CITY. ADDITIONALLY, PLEASE HAVE THAT PERSON'S SIGNATURE
ATTESTED BY AN INDIVIDUAL AUTHORIZED TO DO SO, AND HAVE THE CITY CLERK
SEAL AFFIXED TO EACH DOCUMENT. (The purpose of the attestation is to certify that the
individual signing the ageement has the authority to sign the agreement on behalf of the Local Agency.)
Return all three original copies to my attention. In addition, please attach a copy of the ordinance or
resolution passed by the City's governing board approving the contract.
Please do not date the first page of the contract.
Single Audit Act Amendment (Section 28 of Contract, pg. 15)
All state and local governments and non-profit organization Sub-Grantees receiving more than $500,000 from all
funding sources, that aze defined as federal Fmancial assistance for Single Audit Act Amendment purposes, shall
comply with the audit requirements of OMB Circulaz A-133 (Audits of States, Local Governments and Non-
Profit Organizations). If your organization is required to have an A-133 audit, please enclose a copy of the 2006
audit with the three signed executory contracts. If your organization is exempt from the audit requirement, i.e. it
receives less than $500,000.00 in federal funds from all sources annually, please provide me with a letter from the
appropriate representative of your organization indicating that your organization is exempt from such
requirement.
Please call me at (303) 757-9480 if you have any questions or if I can be of further assistance.
Best R g C~~7
.~ ~ ~
r '
Davi A. ells
Contracting Officer
~~
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 off cer or employee of any
Federal agency, a Member of Congers, 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 Congers, 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 Standazd 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 ofthis 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. DBEDBE O~ion•
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 opporhznity 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 DEPARTMENT 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 e-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?
g es no
Previous Funding Letter(s) total Preparer's name
(Funding letter#1 thru#~ PHONE N0:
This Funding Letter total Contract Administrator's/Business Manager's Approval
(ate PHONE NO:
Adjusted contract amount CDOT Designee Approval
S
Local Agency approval
SECTION 2 (Controller's Office use)
Total allotment amount Commission budget
$ $
If construction:
CE pool elig. CE charges
$ Indirect chgs
$ Adjusted contract amount plus total CE & indirect
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 of 23
U.S.C. 112(a) and aze 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 fait and reasonable cost" and according to 23 CFR
172.5 "Price shall not be used as a factor in the analysis and selection phase." Therefore, local agencies must coarply 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.DJ 400.1 and the related operations guidebook titled
"Obtaining Professional Consultant Services". This directive and guidebook incorporate requirements from both Federal
and State regulations, i.e., 23 CFR 172 and Colorado Revised Statute (C.R.S J 24-30-1401 et seq. Copies of the directive
and the guidebook may be obtained upon request from CDOT's Agreements and Consultant Management Unit. [Local
agencies should have their own written procedures on file for each method of procurement that addresses the items in 23
CFR 172].
Because [he procedures and laws described in the Procedural Directive and the guidebook are quite lengthy, the
subsequent steps serve as a short-hand guide to CDOT procedures that a local agency must follow in obtaining
professional consultant services. This guidance follows the format of 23 CFR 172. The steps are:
1. The contracting local agency shall document the need for obtaining professional services.
2. Prior [o 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 aze those identified m C.R.S.
24-30-1403. Also, a detailed cost estimate should be prepazed for use during negotiations.
3. The contracting agency must advertise for contracts in conformity with the requirements of C.R.S. 24-30-1405.
The public notice period, when such notice is required, is a minimum of 15 days prior to the selection of the three
most qualified firms and the advertising should be done in one or more daily newspapers of general circulation.
4. The request for consultant services should include the scope of work, the evaluation factors and their relative
importance, the method of payment, and the goal 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 aze 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 final selection aze the consultant's:
a. Abilities of their personnel,
b. Past performance,
Exhibit H -Page 1 of 2
Exhibit H
c. Willingness to meet the time and budget requirement,
d. Location,
e. Current and projected work load,
f Volume of previously awarded contracts, and
g. Involvement of minority consultants.
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 prepazed for contracts expected to be greater
than $50,000. Federal reimbursement for costs are limited to those costs allowable under the cost principles of 48
CFR 31. Fixed fees (profit) ate 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 prepazes a performance evaluation (a CDOT form is available) on the consultant.
8. Each of the steps listed above is to be documented in accordance with the provisions of 49 CFR 18.42, which
provide for records to be kept at least three (3) yeazs from the date that the local agency submits its final
expenditure report. Records of projects under litigation shall be kept at least three (3) years after the case has
been settled.
The C.R. S. 24-30-1401 through 24-30-1408, 23 CFR Part 172, and P.D. 400.1, provide additional details for complying
with the eight (8) steps just discussed.
Exhibit H -Page 2 of 2
Exhibit I
FHWA Form 1273
FHWA-12]3 Elepronic 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 Pol lution Control Act ......................................................
XI. Certification Regarding Debarment, Suspension,
Ineligibility, and Voluntary Exclusion .........................................
XII. Certification Regarding Use of Contract Funds for
Lobbying . ...................................................................................
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 contract by the contractor's own organization and with the
assistance of workers under the contractor s immediate superin-
lendenceand to all work performed on the contract by piecework,
station work, or by subcontract.
2. Except as otherwise provided for in each section, the
contractor shall insert in each subcontract all of the stipulations
contained in these Required Contract Provisions, and further
require their inclusion in any lower tier subcontract or purchase
order that may in turn be made. The Required Contract Provi-
sions shall not be incorporated by reference in any case. The
prime contractor shall be responsible for compliance by any
subcontractor or lower tier subwntractor with these Required
Contract Provisions.
3. A breach of any of the stipulations wntained in these
Required Contract Provisions shall be sufficient grounds for
termination of the contract.
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, paregraphs 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
clause of this contract. Such disputes shall be resolved in accor-
dancewith the procedures of the U.S. Departmentof Labor (DOL)
asset 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 6. Selection of Labor: During the performance of this con-
1 tract, the contractor shall not
3
3 a. discriminate against labor from any other State, posses-
6 sion, or territory 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 censWCtion contracts and to all
related subcontracts of $10,000 or more.)
1. Equal Employment Opportunity: Equal employment
opportunity (EEO) requirements not to discriminate and to take
affirmative action to assure equal opportunity as set forth under
laws, 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 prescribed herein, and imposed
pursuant to 23 U.S.C. 140 shall wnstitute the EEO and specific
affirmative action standards for the contractors project activities
under this contract. The Equal Opportunity Construction ContraIX
Specifications set forth under 41 CFR 60-4.3 and the provisions of
the American Disabilities Act of 1990 (42 U.S.C. 12101 et sec .)
set forth under 28 CFR 35 and 29 CFR 1630 are incorporated by
reference in this contract. In the execution df this wntract, 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 cartying out EEO obliga-
tions and in their review of his/her activities under the contract.
b. The contractor will accept as his operating policy the
following statement:
"It is the policy of this Company to assure that applicants are
employed, and that employees are treated during employ-
ment, without regard to their race, religion, sex, color,
national origin, age or disability. Such action shall include:
employment, upgrading, demotion, or transfer; recruitrnentor
recruitment advertising; layoff or termination; rates of pay or
other fortes of wmpensation; and selection for training,
inGuding 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
administering and promoting an active contractorprog2m of EEO
and who must be assigned adequate authority and responsibility
to do so.
3. Dissemination of Policy: All members of the contractor's
staff who are authorized to hire, supervise, promote, and
discharge employees, or who recommend such action, orwho are
substantially involved in such action, will be made tally cognizant
Exhibit I -Pagel of 9
Exhibit I
of, and will implement, the contractor's EEO policy and contractual
responsibilities to provide EEO in each grade and classifiotion of
employment. To ensure that the above agreementwill be 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 of work and then not
less often than once every six months, at which time the wntract-
or's EEO policy and its implementation will be reviewed and
explained. The meetings will be conducted by the EEO Officer.
b. All new supervisoryor personnel office employees will be
given a thorough indoctrination by the EEO Officer, covering all
major aspects of the wntractor's 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 Officer in the contractor's
procedures for locating and hiring minority group employees.
c. The wntractorwill periodically review selected personnel
actions in depth to determine whether there is evidence of
discrimination. Where evidence is found, the contractor will
promptly take corrective 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 wntractor in connection with his
obligations under this wntract, will attempt to resolve such
complaints, and will take appropriate corrective action within a.
reasonable time. If the investigation indicates that the
discrimination may affect persons other than the wmplainant
such wmective action shall include 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:
d. Notices and posters setting forth the contractor's EEO
policy will be placed in areas readily accessible to employees,
applicants for employment and potential employees.
e. The contractor's EEO policy and the procedures to
implement such policy will be brought to the attention of employ-
ees by means of meetings, employee handbooks, or other
appropriate means.
4. Recruitment: When advertising foremployees,thewntrac-
tor will include in all advertisements for employees the notation:
"An Equal Opportunity Employer." All such advertisements will be
placed in publications having a large circulation among minority
groups in the area from which the project work force would
normally be derived.
a. The wntractor will, unless preGuded by a valid bargain-
ingagreement, wnduct systematic and direct recruitment through
public and private employee referral sources likely to yield
qualified minority group applicants. To meet this requirement, the
wntractor will identify sources of potential minority group
employees, and establish with such identified sources procedures
whereby minority group applicants may be referred to the
wntractor for employment wnsideration.
b. In the event the wntractor has a valid bargaining agree-
ment providing for exclusive hiring hall referrals, he is expected to
observe the provisions of that agreement to the extent that the
system permits the wntractor's wmpliance with EEO wntract
provisions. (The DOL has held thatwhere implementation of such
agreements have the effect of discriminating against minorities or
women, or obligates the wntractor to do the same, such
implementation violates Executive Order 11246, as amended.)
c. The wntractor will enwurage his present employees to
refer minority group applicants for employment Information and
procedures with regard to referring minority group applicants will
be discussed with employees.
5. Personnel Actions: Wages, working wnditions, 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 raw, motor, religion, sex, national origin,
age or disability. The following procedures shall be followed:
a. The wntractor will wnduct periodic inspections of project
sites to insure that working wnditions and employee facilities do
not indicate discriminatory treatrnent of project site personnel.
b. The wntrector will periodically evaluate the spread of
wages paid within each classificatlon to determine any evidence of
discriminatory wage practices.
a. The contractor will assist in locating, qualifying, and
increasing the skills of minoritygroup and women employees, and
applicants for employment.
b. Consistentwith the wntractorswork force requirements
and as permissible under Federal and State regulations, the
wntractor 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 trainees in each occupation shall be in
their first year of apprenticeship or training. In the event a special
provision for treining is provided under this wntract, this subpara-
graph will be superseded as indicated in the special provision.
c. The wntractor will advise employees and applicants for
employment of available training programs and entrance
requirements for each.
d. The wntractor will periodically review the training and
promotion potential of minority group and women employees and
will enwurage eligible employees to apply for such training and
promotion.
7. Unions: If the wntractor relies in whole or in part upon
unions as a source of employees, the wntractor will use his/her
best efforts to obtain the woperation of such unions to increase
opportunities for minority groups and women within the unions,
and to effect referrals by such unions of minority and female
employees. Actions by the wntractor either directly or through a
wntractors association acting as agent will include the
procedures set forth below:
a. The wntractor will use best efforts to develop, in
woperation 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 wntractorwill use best efforts to inwrporate an EEO
Cause into each union agreement to the end that such union will
be wnhactually bound to refer applicants without regard to their
race, motor, religion, sex, national origin, age or disability.
c. The wntractor is to obtain information as to the referral
practices and policies of the labor union except that to the extent
such information is within the exGusive possession of the labor
union and such labor union refuses to furnish such information to
the wntractor, the wntractor shall so mortify 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 wntractor
with a reasonable flow of minority and women referrals within the
Exhibit I -Page 2 of 9 REQDIRED BY 23 CFR 633.102 --
time limit set forth in the collective bargaining agreement, the
contractor will, through independent recruitrnent efforts, fill the
employmentvacancieswhhout regard to mce, color, religion, sex
national odgin, age or disability; making full efforts to obtain
qualified and/or qualifiable minodty group persons and women.
(The DOL has held that it shall be no excuse that the union with
which the contractor has a collective bargaining agreement
providing for exclusive refemal failed to refer minodty 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 otntractor shall
immediately notify the SHA.
8. Selection of Subcontractors, Procurement of Materials
and Leasing of Equipment: The contracOr shall notdiscdminate
on the grounds of race, color, religion, sex, national origin, age or
disability in the selection and retention of subcontraGOrs, including
procurement of materials and leases of equipment.
a. The contractor shat l notify all potential submntraGors 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
perform subcontracts which the contractor enters into pursuant to
this contract. The contractorwill use his best efforts to solicit bids
from and to utilize DBE subcontractors or subcontractors with
meaningful minority group and female representation among their
employees. Contractors shall obtain lists of DBE construction
firms from SHA personnel.
c. The contractor will use his best efforts to ensure subcen-
Vactor compliance with their EEO obligations.
9. Records and Reports: The contractor shall keep such
records as necessary to document compliance with the EEO
requirements. Such records shall be retained for a period of three
years following completion of the contract work and shall be
available at reasonable times and places for inspection byautho-
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 classification on the
project;
(2) The progress and efforts being made in ccoperetion
with unions, when applicable, to increase employment opportuni-
ties for minorities and women;
(3) The progress and efforts being made in locating,
hiring, training, qualifying, and upgrading minority and female
employees; and
(4) The progress and efforts being made in secudng
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 projeG, indicating the number of
minority, women, and non-minority group employees currently
engaged in each work classification required by the contract work.
This information is to be reported on Form FHWA-1391. If on-the
job training is being required by special provision, the contractor
will be required to collet and report training data.
III. NONSEGREGATED FACILITIES
(Applicable to all Federal-aid consWCtion contracts and to all
related subcontracts of $10,000 or more.)
Exhibit I
a. By submission of this bid, the execution of this centract
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 fatalities are maintained. The firm agrees that a
breach of this certification is a violation of the EEO provisions of
this contract. The firm further certifies that no employee will be
denied access to adequate facilities on the basis of sex or
disability.
b. As used in this certificetion, the term "segregated
facilities" means any waiting rooms, work areas, restrooms and
washrooms, restaurants and other eating areas, timeGocks, 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 contractor agrees that it has obtained or will obtain
identical certification from proposed subcontractors or matedal
suppliers prior to award of subcontracts or consummation of
material supply agreements of $10.000 or more and that it will
retain such certifications in its f les.
IV. PAYMENT OF PREDETERMINED MINIMUM WAGE
(Applicable to all Federal-aid wnstruction contracts exceeding
$2,000 and to all related subcontracts, exceptfor projects located
on roadways classified as local roads or rural minor collectors,
which are exempt.)
1. General:
a. All mechanics and laborers employed or working upon
the site of the work will be paid unconditionally and not less often
than once a week and without subsequenldeduction 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 fdnge benefits (or cash equivalents thereof) due at time
of payment. The payment shall be computed at wage rates not
less than those contained in the wage determination of the
Secretary of Labor (hereinafter "the wage determination")which is
attached hereto and made a part hereof, regardless of any
contractual relationship which may be alleged to exist between the
contractor or its subcontractors and such laborers and mechanics.
The wage determination (incuding any additional classifications
and wage rates cenformed 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,
centdbutions made or costs reasonably anticipated for bona fide
fringe benefits under Section 1(b)(2) of the Davis-Bacon AG (40
U.S.C. 276a) on behalf of laborers or mechanics are considered
wages paid to such laborers or mechanics, subject to the provi-
sions of Section IV, paragraph 3b, hereof. Also, for the purpose of
this Section, regular contributions made or costs incurred for more
than a weekly period (but not less often than quarterly) under
plans, funds, or programs, which cover the particular weekly
period, are deemed to be constructively made or incurred during
such weekly period. Such laborers and mechanics shall be paid
the appropdate wage mte and fringe benefits on the wage
E'Xhlblt i - P3gC 3 Of 9 REQUIRED aY 23 CFR 633.102 --
Exhibit I
determination for the classifcetion 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 classification may be compensated at the rate specified for
each classifcetion for the time actually worked therein, provided,
that the employer's payroll records accurately set forth the time
spent in each Gassificetion in which work is performed.
c. All rulings and interpretations of the Davis-Bacon Act and
related acts contained in 29 CFR 1, 3, and 5 are herein incorpo-
rated by reference in this wntmct.
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 Gasified in
conformance with the wage determination.
a. Whenever the minimum wage rate prescribed in the
contraG fora class of laborers or mechanics includes a fringe
benefitwhich is not expressed as an hourly mte, the contractoror
subcontractors, as appropriate, shall either pay the benefit as
staled in the wage determination or shall pay another bona fide
fringe benefit or an houriy case equivalent thereof.
b. If the contractor or subcontractor, as appropriate, does
not make payments to a trustee orother third person, he/she may
consider as a part of the wages of any laborer or mechanic the
amount of any costs reasonably anticipated in providing bona fide
fringe benefts under a plan or program, provided, thatthe Secre-
tary of Labor has found, upon the written 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 meeting of obligations
under the plan or program.
4. Apprentices and Trainees (Programs of the U.S. DOL)
and Helpers:
b. The contracting offcer shall approve an additional
classification, wage rate and fringe benefits only when the
following criteria have been met:
(1) the work to be performed by the additional
classification requested is not performed by a classification in the
wage determination;
(2) the additional classification is utilized in the area by
the construction industry;
(3) the proposed wage rate, including any bona fide
fringe benefits, bears a reasonable relationship to the wage rates
wntained in the wage determination; and
(4) with respect to helpers, when such a Gassiflcetion
prevails in the area in which the work is performed.
c. If the contractor or subcontractors, as appropriate, the
laborers and mechanics (if known) to be employed in the addition-
al classification or their representatives, and the contracting officer
agree on the classification and wage rate (incuding the amount
designated for fdnge benefits where appropriate), a report of the
action taken shall be sent by the contracting officer to the DOL,
Administrator of the Wage and Hour Division, Employment Stan-
dards Administration, Washington, D.C. 20210. The Wage and
Hour Administrator, oran authorized representative, will approve,
modify, or disapprove every additional Gassifiration action within
30 days of receipt and so advise the contracting officer or will
notify the contracting officer within the 30-day period that
additional time is necessary.
d. In the event the conhactor or subwntradors, as appro-
priate,the laborers or mechanics to be employed in the additional
Gasification or their representatives, and the contracting officer
do not agree on the proposed classification and wage rate
(including the amount designated for fringe benefits, where
appropriate), the contracting officer shall refer the questions,
including the views of all interested parties and the recommenda-
tion of the contracting officer, to the Wage and Hour Administrator
for determination. Said Administrator, or an authorized represen-
tative, will issue a determination within 30 days of receipt and so
advise the contracting officer or will notify the contracting officer
within the 30-day period that additional time is necessry
e. Thewage rete(includingfringebenefitswhereappropri-
ate) determined pursuant to paragraph 2c or 2d of this Section IV
shall be paid to all workers performing work in the additional
classification from the first day on which work is performed in the
Gasification.
3. Payment of Fringe Benefits:
a. Apprentices:
(1) 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 ofApprenticeship 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
employmentas 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 apprenticeship 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 classification shall not
be greater than the ratio permitted to the contractor as to the
entire work force under the registered program. Any employee
listed on a payroll at an apprentice wage rate, who is not 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 Gasification 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 wnstruction on a project in a locality other than that in
which its progrem is registered, the ratios and wage rates (ex-
pressed in percentages of the journeyman-level houdy rate)
specifed in the contractors or subcontractor's registered program
shall be observed.
(3) Every apprentice must be paid at not les 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 deternination.
Apprentices shall be paid fdnge benefits in accordance with the
provisions of the apprenticeship program. If the apprenticeship
progrem does not speGfy fdnge benefits, apprentices must be
paid the full amount of fringe benefits listed on the wage determi-
nationfor the applicable classification. If the Administrator for the
Wage and Hour Division determines that a different practice
prevails for the applicable apprentice classification, fringes shall
be paid in accordance with that determination.
(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 xs0viRan ar z3 cFx 633.102 --
comparable work performed by regular employees until an accept-
able program is approved.
b. Trainees:
(1) Exceplas provided in 29 CFR 5.16, trainees will not
be permitted to work at less than the predetermined rate for the
work performed unless they are employed py:rsuant to and
individually registered in a program which has received prior
approval, evidenced by formal certifcation by the DOL,
Employment and Training Administration.
(2) The ratio of trainees to journeyman-levelemployees
on the job site shall not be greater than permitted under the plan
approved by the Employment and Training Administration. Any
employee listed on the payroll at a trainee rate who is not
registered and participating in a Vaining plan approved by the
Employment and Training Administration shall be paid not less
than the applicable wage mte on the wage determination for the
classification 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
specifed in the approved program for his/her level of progress,
expressed as a percentage of the journeyman-level hourly rate
specified in the applicable wage determination. Trainees shall be
paid fringe benefits in acwrdance with the provisions of the
trainee program. If the trainee program does not mention fringe
benefits, trainees shall be paid the full amount of fdnge benefits
listed on the wage determination unless the Administrator of the
Wage and Hour Division determines that there is an apprentice-
ship program associated with the wresponding journeyman-level
wage rate on the wage 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
wntractor 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 classifcation is specified and defned on the applicable
wage determination or is approved pursuant to the wnfortnance
procedure set forth in Section IV.2. Any worker listed on a payroll
at a helper wage rate, who is not a helper under a approved
definition, shall be paid not less than the applicable wage rate on
the wage determination for the classification of work actually per-
formed.
5. Apprentices and Trainees (Programs of the U.S. DOT):
Apprentices and trainees working under apprenticeship and
skill training programs which have been certified by the Secretary
of Transportation as promoting EEO in wnnection with Federal-
aid highway wnsW ction programs are not subject to the require-
ments of paragraph 4 of this Section IV. The straight time houdy
wage rates for apprentices and trainees 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 particular program.
6. Withholding:
The SHA shall upon its own action or upon wdtten request
of an authorized representative of the DOL withhold, or cause to
be withheld, from the wntmctor or subwntractor under this
Exhibit I
contract or any other Federal contract with the same pdme
contractor, or any other Federally-assisted contract subject to
Davis-Bacon prevailing wage requirements which is held by the
same prime wntractor, as much of the accrued payments or
advances as may be considered necessary to pay laborers and
mechanics, including apprentices, trainees, and helpers, em-
ployed by the contractor or any subcontractor the full amount of
wages required by the contract. In the event of failure to pay any
laborer or mechanic, including any apprentice, trainee, or helper,
employed or working on the site of the work, 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 contracting for any part of
the contract work which may require or involve the employment of
laborers, mechanics, watchmen, or guards (including apprentices,
trainees, and helpers described in paragraphs 4 and 5 above)
shall require or permit any laborer, mechanic, watchman, or guard
in any workweek in which he/she is employed on such work, to
work in excess of 40 hours in such workweek unless such laborer,
mechanic, watchman, or guard receives compensation at a rate
not less than one-and-0ne-half times his/her basic rate of pay for
all hours worked in excess of 40 hours in such workweek.
8. Violation:
Liability for Unpaid Wages; Liquidated Damages: In the
event of any violation of the clause set forth in paragraph 7 above,
the contractor and any subwntractor responsible thereof shall be
liable to the affected employee for his/her unpaid wages. In
addition, such wntractor and subcontractor shall be liable to the
United Slates (in the case of work done under contract for the
District of Columbia or a terdtory, to such District or to such
leritory) for liquidated damages. Such liquidated damages shall
be computed with respect ro each individual laborer, mechanic,
watchman, or guard employed in violation of the clause set forth in
paragraph 7, in the sum of $10 for each calendar day on which
such employee was required or permitted to work in excess of the
standard work week of 40 hours without payment of the overtime
wages required by the clause set forth in paragraph 7.
9. Withholding for Unpaid Wages and Liquidated Damages:
The SHA shall upon its own action or upon written request of
any authorized representative of the DOL withhold, or cause to be
withheld, from any monies payable on acwunt of work performed
by the wntractor or subwntractor under any such wntracl or any
other Federal wntract with the same prime wntractor, or any
other Federally-assisted wntract subject to the Contract Work
Hours and Safely Standards Act, which is held by the same prime
wntractor, such sums as maybe determined to be necessary to
satisfy any liabilities of such contractor or subwntractor for unpaid
wages and liquidated damages as provided in the clause setforth
in paragraph 8 above.
V. STATEMENTS AND PAYROLLS
(Applicable to all Federal-aid wnstruction contracts exceeding
$2,000 and to all related subwntracts, exceptfor projects located
on roadways classified as local roads or rural wllectors, which are
exempt.)
1. Compliance with Copeland Regulations (29 CFR 3):
The wntractor shall wmply with the Copeland Regulations of
the Secretary of Labor which are herein inwrporated by reference.
2. Payrolls and Payroll Records:
Exhibit I -Page 5 of 9 REQUIRED BY 23 CFR 633.102 --
a. Payrolls and basic records relating thereto shall be
maintained by the contractor and each subcontractor dudng the
course of the work and preserved for a pedod of 3 years from the
date of completion of the contract for all laborers, mechanics,
apprentices, trainees, watchmen, helpers, and guards working at
the site of the work.
b. The payroll records shall contain the name, social
secudty number, and address of each such employee; his or her
correct classification; howdy rates of wages paid (induding rates of
wntdbutions or vests anticipated for bona fide fdnge benefits or
cash equivalent thereof the types descdbed in Section 1(b)(2)(B)
of the Davis Bacon Act): daily and weekly number of hours
worked; deductions made; and actual wages paid. In addition, for
Appalachian contracts, the payroll records shall contain a notation
indicating whether the employee does, or does not, normally
reside in 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 vests reasonably anticipated
in providing benefits under a 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 benefts is enforceable, that the plan or
program is financially responsible, that the plan or progmm has
been communicated in writing to the laborers or mechanics
affected, and show the cost antdpated or the actual cost incurred
in providing benefits. Contractors or subcontractors employing
apprentices or trainees under approved programs shall maintain
written evidence of the registration of apprentices and trainees,
and ratios and wage rates prescdbed in the applicable programs.
c. Each contractor and subcontractor shall furnish, each
week in which anycontract work is performed, to the SHA resident
engineer a payroll of wages paid each of its employees (induding
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 period). The payroll submitted
shall set out accurately and completely all of the information
required to be maintained under paragraph 2b of this Section V.
This information may be submitted in any form desired. Optional
Fonn WH-347 is available for this purpose and may be purchased
from the Supedntendent of Documents (Fedeml stock number
029-005-0014-1 ), U.S. Government Printing Office, Washington,
D.C. 20402. The prime contractor is responsible for the submis-
sion of espies of payrolls by all subcontractors.
d. Each payroll submitted shall be accompanied by a
"Statement of Compliance," signed by the contractor or subcen-
tractor or hisRreragent 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 pedod contains the
information required to be maintained under paragraph 2b of this
Section V and that such information is cerect 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 directlyor 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
less that the applicable wage rate and fdnge benefits or cash
equivalent for the classification of worked performed, as spedfied
in the applicable wage determination incorporated into the
contract.
Exhibit I
tion set forth on the reverse side of Optional Form W H-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 certifcations may
subject the contractor to civil or criminal prosecution under 18
U.S.C. 1001 and 31 U.S.C. 231.
g. The contractor or subcontractor shall make the records
required under paragraph 2b of this Section V available for
inspection, copying, or transcription by authodzed representatives
of the SHA, the FHWA, or the DOL, and shall permit such repre-
sentatives to interview employees dudng working hours on thejob.
If the contractor or subwntractor fails to submit the required
records 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 LABOR
1. On all Federal-aid contracts on the National Highway
System, except those which provide solely for the installation of
protecfive 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 cost for roadway and bridge is less than $1,000,000
(23 CFR 635) the contractor shall:
a. Become familiar with the list of spedfc matedals and
supplies contained in Form FHWA-47, "Statement of Matedals
and Labor Used by Contractor of Highway Construction Involving
Federal Funds," prior to the commencement of work under this
contract.
b. Maintain a record of the total cost of all materials and
supplies purchased for and incorporated in the work, and also of
the quantities of those specific materials and supplies listed on
Form FHWA-47. and in the units shown on Form FHWA-07.
c. Furnish, upon the completion of the contract, to the SHA
resident engineer on Form FHWA-07 together with the data
required in paragraph tb relative to materials and supplies, a final
labor summary of all contract work indicating the total hours
worked and the total amount earned.
2. At the prime contractor's option, either a single report
covering all contract work or separate reports for the contractor
and for each subcontract shall be 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
odginal contract price, excluding any specialty items designated by
the State. Specialty items maybe performed by subcontract and
the amount of any such specialty items performed may be
deducted from the total odginal contract price before computing
the amount of work required to be performed by the contractors
own organization (23 CFR 635).
a. "Its own organization" shall be construed to include only
workers employed and paid directly by the prime contractor and
equipment awned or rented by the prime centrador, with or
without operators. Such term does not include employees or
equipment of a subcontractor, assignee, or agent of the pdme
centracror.
e. The weekly submission of a propedy executed certiflca- b. "Specialty Items" shall be construed to be limited to
Exhibit I -Page 6 of 9 REQOia>im BY zs CFR 6ss. ioz --
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 contractamount upon which the requirements set forth
in paragraph 1 of Section VII is computed includes 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 Flan, has full authority to
direct performance of the work in accordance with the contract
requirements, and is in charge of all construction operations
(regardless of who performs the work) and (b) such other of its
own organizational resources (supervision, management, and
engineering services) as the SHA contracting officerdelermines is
necessary to assure the performance of the contract.
4. No portion of the contract shall be sublet, assigned or
otherwise disposed of except with the written consent of the SHA
contracting officer, or authorized representative, and such consent
-when given shall not be construed to relieve the contractor of any
responsibility for the fulfillment of the contract. Written consent
will be given only after the SHA has assured that each subcontract
is evidenced in writing and that it wntains 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, safety devices and protective equipment
and take any other needed actions as it determines, or as the SHA
contracting officer may determine, to be reasonably necessary to
protect the life and health of employees on the job and the safety
of the public and to protect property in connection with the
performance of the work covered by the contract.
2. It is a condition of this contract, and shall be made a
condition of each subcontract, which the contractor enters into
pursuant to this contract, that the contractor and any subcontractor
shall not permit any employee, in performance of the contract, to
work in suroundings or under cendifions which are unsanitary,
hazardous ordangerous tohis/her health or safety, as determined
under construction safety and health standards (29 CFR 1926)
promulgated by the Secretary of Labor, in accordance with
Section 107 of the Contract Work Hours and Safety Standards Act
(40 U.S.C. 333).
3. Pursuant to 29 CFR 1926.3, it is a condition of this wntract
that the Secretary 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 construc-
tion safety and health standards and to tarty out the duties of the
Secretary under Section 107 of the Contract Work Hours and
Safely Standards Act (40 U.S.C. 333).
IX. FALSE STATEMENTS CONCERNING HIGHWAY
PROJECTS
In order to assure high quality and durable censWction 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 essential that all persons concerned with the
project perform their functions as carefully, thoroughly, and
honestly as possible. Willful falsification, distortion, or misrepre-
sentation with 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 officer, agent, or employee of the United
States, or of any State or Tenifory, or whoever, whether a perm,
association, firm, or corporation, knowingly makes any false
statement, false representation, orfalse report as to the character,
quality, quantity, or cost of the material used or to be used, or the
quantity or quality of the work peAormed or to be performed, orthe
cost thereof in connection with the submission of plans, maps,
specifications, contracts, or costs of construction on any highway
or related project submitted for approval to the Secretary of
Transportation; or
Whoever knowingly makes any false statement, false
representation, false report or false claim with respect to the
character, quality, quantity; or cost of any work performed or to be
performed, or materials famished or to be famished, in connection
with the construction of any highway or related project approved
by the Secretary of Transportation; or
Whoever knowingly makes any false statement or false
representation as fo material (actin any statement, ceRificate, or
report submitted pursuant to provisions of the Federal-aid Roads
Act approved July 1, 1916, (39 Stat. 355), as amended and
supplemented;
Shall be fined not more that $10,000 or imprisoned not more
than 5 years or both."
X. IMPLEMENTATION OF CLEAN AIR ACT AND FEDERAL
WATER POLLUTION CONTROL ACT
(Applicable to all Federalaid censtruction contracts and to all
related subcontracts of $100,000 or more.)
By submission of this bid or the execution of this contract, or
subcontract, as appropriate, the bidder, Federal-aid construction
contractor, or subcontractor, as appropriate, will be deemed to
have stipulated as follows:
1. That any facility that is or will be utilized in the performance of
this contract, unless such wntract is exempt under the Clean Air
Act, as amended (42 U.S.C. 1857 et sec ., as amended by Pub.L.
91-604), and under the Federal Water Pollutlon Control Act, as
amended (33 U.S.C. 1251 et sett ., 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 Yolating
Facilities pursuant to 40 CFR 15.20.
2. That the firm agrees to comply and remain incompliance with
all the requirements of Section 114 of the Clean Air Act and
Section 308 of the Federal Water Pollution Control Act and all
regulations and guidelines listed thereunder.
3. That the firm shall promptly notify the SHAot the receipt of any
communication from the Director, Office of Federal Actlvities,
EPA, indicating that a facility that is or will be utilized for the
contract is under consideration to be listed on the EPA List of
Violating Facilities.
4. That the firm agrees to include or cause to be included the
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 enforoing such
Exhibit I -Page 7 of 9 REQUIRED BY 23 CFR 633.102 --
Exhibit I
requirements.
XI. CERTIFICATION REGARDING DEBARMENT, SUSPENSION,
INELIGIBILITY AND VOLUNTARY EXCLUSION
1. Instructions for Certification - Primary Covered
Transactions:
Administration.
I. Nothing contained in the foregoing shall be construed to
require establishment of a system of records in order to render in
good faith the certification required by this Gause. The knowledge
and information of participant is not required to exceed that which
is normally possessed by a prudent person in the ordinary course
of business dealings.
(Applicable to all Federal-aid contracts - 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 set out
below will not necessarily result in denial of participation in this
wvered transaction. The prospective participant shall submit an
explanation of why it cannot provide the certification set out below.
The certification or explanation will be wnsidered in connection
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 particpant knowingly
rendered an eroneous certification, in addition to other remedies
available to the Federal Government, the department or agency
may terminate this transaction for cause of default.
d. The prospective primary participant shall provide immedi-
ate wdtten notice to the department or agency to whom this
proposal is submitted if any time the prospective pdmary partici-
pantlearns that its certification was eroneous when submitted or
has become eroneous by reason of changed circumstances.
e. The terms "covered transaction " "debared "
"suspended," "ineligible," "lower tier covered transaction,"
"participant," "person," "primary covered transaction ""pdncipal,"
"proposal "and "voluntarily ezGuded," 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 primary participan(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 debared, suspended, declared
ineligible, or voluntadly excluded from participation in this covered
transaction, unless authodzed by the department or agency
entering 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 Exclusion-LOwerTier 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 transactions.
h. A participant in a wvered transaction may rely upon a
certification of a prospective participant in a lower tier wvered
transaction that is not debarted, suspended, ineligible, or volun-
tadlyexcluded from the wvered transaction, unless it knows that
the certification is ertoneous. A participant may decide the
method and frequency by which it determines the eligibility of its
principals. Each participant may, but is not required to, check the
non-procurement portion of the "Lists of Parties Excluded From
Federal Procurement or Non-procurement Programs" (Non-
procurement Lisl) which is wmpiled by the General Services
j. Except for transactions authorized 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 departrnentor
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 pdncipals:
a. Are not presently debarred, suspended, proposed for
debarment, declared ineligible, or voluntarily excuded from
covered transactions by any Federal departrnent 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) transaction or contract under a public transaction;
violation of Federal or State antitrust 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 (Fedeml, State or local)
with commission of any of the offenses enumerated in parag2ph
1 b of this certification; and
d. Have not within a 3-year pedod preceding this
application/proposal had one or more public transactions (Federal,
State or local) terminated for cause or default.
2. Where the prospective primary participantis unable to certify
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 material representation
of fact upon which reliance was placed when this hansaction was
entered into. If it is later determined that the prospective lower tier
participant knowingly rendered an eroneous certification, in
addition ro other remedies available to the Federal Govemment,
the department, or agency with which this transaction originated
may pursue available remedies, inGuding suspension and/or
Exhibit I -Page 8 of 9 REQUIRED BY 23 CFR 633.102 --
Exhibit I
debarment.
c. The prospective lower tier particlpant shall provide
immediate written notice to the person to which this proposal is
submitted if at any time the prospective lower tier participant
learns that its certification was erroneous by reason of changed
circumstances.
XII. CERTIFICATION REGARDING USE OF CONTRACT FUNDS
OR LOBBYING
(Applicable to all Federal-aid construction contracts and to all
related subcontracts which exceed $100,000 - 49 CFR 20)
d. The terms "covered transacflon;' "debarred "
"suspended" "ineligible," "pdmary covered Vansaction,"
"participant," "person." "pdncipal," "proposal," and "voluntarily
excluded ; as used in this clause, have the meanings set out in
the Definitions and Coverage sections of roles 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 particlpant agrees by
submitting this proposal that, should the proposed covered
transaction be entered into, it shall not knowingly enter into any
lower tier covered transaction with a person who is debarred,
suspended, declared ineligible, or voluntarily excluded from
particlpation in this covered transaction, unless authorized bythe
department or agency with which this transaction originated.
f. The prospective lower tier participant further agrees by
submitting this proposal that it will inGude this clause titled
"Certlflcetion Regarding Debarment, Suspension, Ineligibility and
Voluntary Exclusion-Lower Tier Covered Transaction "without
modification, in all lower tier covered Vansactions and in all
solicitations for lower tier covered transactions.
g. A participant in a covered transaction may rely upon a
certification of a prospective particlpant in a lower tier covered
transaction that is not debarred, suspended, ineligible, or volun-
tarilyexcluded from the covered transaction, unless it knows that
the certification is erroneous. A partidpant may decide the
method and frequency by which it determines the eligibility of its
principals. Each particlpant may, but is not required to, check the
Non-procurement List.
h. Nothing wntained in the foregoing shall be wnstrued to
require establishment of a system of records in order to render in
good faith the certification required by this Gause. The knowledge
and information of participant is not required to exceed that which
is normally possessed by a prudent person in the ordinary course
of business dealings.
I. Excep[ for transactions authorized under paragraph a of
these instructions, if a participant in a covered transaction
knowingly enters into a lower tier covered transaction with a
person who is suspended, debared, ineligible, or voluntarily
excluded from participation in this transaction, in addition to other
remedies available to the Fedeal Government, the department or
agency with which this transaction originated may pursue
available remedies, inGuding suspension and/or debarment.
Certification Regarding Debarment, Suspension,
Ineligibility and Voluntary Exclusion-Lower Tier Covered
Transactions:
1. The prospective lower tier partiGpant certifies, by submission
of this proposal, that neither it nor its principals is presently
debared, suspended, proposed for debarment, declared
ineligible, or voluntarily excuded from participation in this
transaction by any Federal department or agency.
2. Where the prospecfive lower fier participant is unable to
certify to any of the statements in this certification, such prospec-
tive participant shall attach an explanation to this proposal.
1. The prospectlve participant certifies, by signing and submit-
ting this bid or proposal, to the best of his or her knowledge and
belief, that:
a. No Federal appropriated funds have been paid or will be
paid, by or on behalf of the undersigned, to any person for
influencing or attempting to influence an offcer 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 ofany Federal contract, the making
ofany Federal grant, the making of any Federal loan, the entering
into of any cooperative agreement, and the extension, continua-
tion, renewal, amendment, or modification ofany Federal centraG,
grant, loan, or cooperative agreement.
b. If any funds other than Fede21 appropriated funds have
been paid or will be paid to any person for influenclng or attempt-
ing to influence an officer or employee ofany 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 material representation of fact upon
which reliance was placed when this transactlon 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 civil penalty of not less than $10,000 and not more
than $100,000 for each such failure.
3. The prospecfive participant also agrees by submitting his or
her bid or proposal that he or she shall require that the language
of this certification be included in all lower tier subcontracts, which
exceed $100,000 and that all such recipients shall certify and
disclose accordingly.
EXtllblt 1 - PBgC 9 Of 9 REQUIRED BY 23 CFR 633.102 --
Exhibit J
FEDERAL REQUIREMENTS
Federal laws and regulations that may be applicable to the Work include:
A. The "Uniform Administrative Requirements for Grants and Cooperative Agreements to State and Local
Governments (Common Rule), at 49 Code of Federal Regulations, Part 18, except to the extent that other applicable
federal requirements (including the provisions of 23 CFR Parts 172 or 633 or 635) are more specific than
provisions of Part 18 and therefore supersede such Part 18 provisions. The requirements of 49 CFR 18 include,
without limitation:
1. the Local Agency/Contractor shall follow applicable procurement procedures, as required by section 18.36(d);
2. the Local Agency/Contractor shall request and obtain prior CDOT approval of changes to any subcontracts in the
manner, and to the extent required by, applicable provisions of section 18.30;
3. the Local Agency/Contractor shall comply with section 18.37 concerning any 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 are also
deemed incorporated herein) into any subcontract(s) for such services as terms and conditions of those subcontracts.
B. Executive Order 11246 of September 24, 1965 entitled "Equal Employment Opportunity," as amended by
Executive Order 11375 of October 13, 1967 and as supplemented in Department of Labor regulations (41 CFR Chapter
60) (All construction contracts awazded 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 Part 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) (Construction contracts in excess of $2,000 awarded by grantees and subgrantees when required by Federal
grant program legislation. This act requires that all laborers and mechanics employed by contractors orsub-contractors
to work on construction projects fmanced 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 awazded by grantees and
sub-gantees 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 ofthe 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 standards and policies relating to energy efficiency which are contained in the state energy
conservation plan issued in compliance with the Energy Policy and Conservation Act (Pub. L. 94-163).
H. Office of Management and Budget Circulazs 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
funds cannot be used for partisan political purposes of any kind by any person or organization involved in the
administration of federally-assisted programs.
J. 42 USC 6101 et seq. 42 USC 2000d, 29 USC 794, and implementing regulation, 45 C.F.R. Part 80 et• seq..
These acts require that no person shall, on the grounds of race, color, national origin, age, or handicap, be excluded
from participation in or be subjected to discrimination in any program or activity funded, in whole or part, by federal
funds;
K. The Americans with Disabilities Act (Public Law 101-336; 42 USC 12101, 12102, 12111-12117, 12131-
12134, 12141-12150, 12161-12165, 12181-12189, 12201-12213 47 USC 225 and 47 USC 611.
L. The Uniform Relocation Assistance and Real Property Acquisition Policies Act, as amended (Public Law 91-
646, as amended and Public Law 100-17, 101 Stat. 246-256). (If the contractor is acquiring real property and
displacing households or businesses in the performance of this contract.)
M. The Dmg-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. seq. and its implementing regulation, 45
C.F.R. Part 91; Section 504 of the Rehabilitation Act of 1973, 29 U.S.C. 794, as amended, and implementing
regulation 45 C.F.R. Part 84.
O. 23 C.F.R. Part 172, concerning "Administration of Engineering and Design Related Contracts".
P. 23 C.F.R Part 633, concerning "Required Contract Provisions for Federal-Aid Constmction Contracts".
Q. 23 C.F.R. Part 635, conceming "Construction and Maintenance Provisions".
R. Title VI of the Civil Rights Act of 1964 and 162(a) of the Federal Aid Highway Act of 1973. The
requirements for which are shown in the Nondiscrimination Provisions, which are attached hereto and made a part
hereof.
S. Nondiscrimination Provisions:
In compliance with Title VI 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 Regulations. The Contractor will comply with the Regulations of the Deparment 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 regazd 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
Exhibit J
3. Solicitations for Subcontracts, Including Procurement of Materials and Equipment. hi 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 permit access to its books, records, accounts,
other sources of information and its facilities as may be determined by the State or the FHWA to be pertinent to
ascertain compliance with such Regulations, orders and instructions. Where any information required of the Contractor
is in the exclusive possession of another who fails or refuses to famish this information, the Contractor shall so certify
to the State, or the FHWA as appropriate and shall set forth what efforts have been made to obtain the information.
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. Incorooration of Provisions. The Contractor will include the provisions of paragraphs A through F in
every subcontract, including procurement of materials and leases of equipment, unless exempt by the Regulations,
orders, or instructions issued pursuant thereto. The Contractor will take such action with respect to any subcontract or
procurement as the State or the FHWA may direct as a means of enforcing such provisions including sanctions for
noncompliance; provided, however, that, in the event the Contractor becomes involved in, or is threatened with,
litigation with a Subcontractor or supplier as a result of such direction, the Contractor may request the State to enter into
such litigation to protect the interest of the State and in addition, the Contractor may request the FHWA to enter into
such litigation to protect the interests of the United States.
Exhibit J -Page 3 of 3