HomeMy WebLinkAboutresolution.council.080-18 RESOLUTION NO. 80
Series of 2018
A RESOLUTION OF THE CITY OF ASPEN,COLORADO, APPROVING
A CONGESTION MITIGATION AIR QUALITY(CMAQ)GRANT AGREEMENT
BETWEEN THE CITY OF ASPEN,COLORADO,AND THE STATE OF COLORADO
DEPARTMENT OF TRANSPORTATION,AND AUTHORIZING THE CITY.
MANAGER TO EXECUTE SAID DOCUMENT ON BEHALF OF THE CITY OF
ASPEN,COLORADO.
WHEREAS, the City of Aspen seeks to improve air quality and reduce traffic congestion through a
variety of transit programs; and
WHEREAS the CMAQ grant agreement between the City of Aspen,Colorado and the State
of Colorado is annexed hereto and made a part thereof,
NOW, THEREFORE, BE IT RESOLVED BY THE CITY COUNCIL OF THE CITY OF ASPEN,
C60RADO:
That the City Council of the City of Aspen hereby approves the Congestion Mitigation Air
Quality grant agreement between the City of Aspen,Colorado,and the State of Colorado
Department of Transportation, a copy of which is 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 a iry f pen the 25th day
of June 2018.
Steven Skadr n, Mayor
I, Linda Manning, duly appointed and acting City Clerk o certify that the foregoing is a
true and accurate copy of that resolution adopted by the Ci C unc'Aotf e City of Aspen,
Colorado,at a meeting held on the day hereinabove stated.
da Manning, City Clerk
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STATE OF COLORADO INTERGOVERNMENTAL AGREEMENT
Signature and Cover Page
State.Agency Agreement Routing Number
Department of Transportation 18-HA3-ZH-00110
Local Agency Agreement Effective Date
CITY OF ASPEN The later of the effective date or
May 20,2018
Agreement Description Agreement Expiration Date .
Aspen Bike Share PH2 10 years from the effective date or execution of the
Form 950 whichever is sooner
Project# Region# Contract Writer Agreement Maximum Amount
AQC M045- 3 1H $180,000.00
016(21931)
THE PARTIES HERETO HAVE EXECUTED THIS AGREEMENT
Each person signing this Agreement represents and warrants that he or she is duly authorized to execute this
Agreement and to bind the Part authorizing his or her signature.
LOCAL AGENCY STATE OF COLORADO
CITY OF ASPEN John W.Hickenlooper,Governor
AV=
�� Department of Transportation
Michael P.Lewis,Executive Director
a
J
Signature
Joshua Laipply,P.E.,Chief Engineer
By: (Print Name and Title)
p Date:
Date:' �2 7 �a
2nd State or Local Agency Signature if Needed LEGAL REVIEW
Cynthia H.Coffman,Attorney General
Signature Assistant Attorney General
By: (Print Name and Title) By:(Print Name and Title)
Date: Date:
In accordance with§24-30-202 C.R.S.,this Agreement is not valid until signed and dated below by the State
Controller or an authorized delegate.
STATE CONTROLLER
Robert Jaros,CPA,MBA,JD
By:
Department of Transportation
Effective Date:
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TABLE OF CONTENTS
1. PARTIES.................................. ............................................................................................................2
2. TERM AND EFFECTIVE DATE...........................................................................................................2
3. AUTHORITY..........................................................................................................................................3
4. PURPOSE...............................................................................................................................................3
5. DEFINITIONS........................................................................................................................................4
6. STATEMENT OF WORK......................................................................................................................6
7. PAYMENTS...........................................................................................................................................9
8. REPORTING-NOTIFICATION.........................................................................................................13
9. LOCAL AGENCY RECORDS.............................................................................................................14
10. CONFIDENTIAL INFORMATION-STATE RECORDS....................................................................15
11. CONFLICT OF INTEREST..................................................................................................................15
12. INSURANCE........................................................................................................................................16
13. BREACH...............................................................................................................................................17
14. REMEDIES...........................................................................................................................................18
15. DISPUTE RESOLUTION.....................................................................................................................19
16. NOTICES AND REPRESENTATIVES...............................................................................................19
17. RIGHTS IN WORK PRODUCT AND OTHER INFORMATION......................................................20
18. GOVERNMENTALIMMUNITY........................................................................................................21
19. STATEWIDE CONTRACT MANAGEMENT SYSTEM...................................................................21
20. GENERAL PROVISIONS....................................................................................................................21
21. COLORADO SPECIAL PROVISIONS...............................................................................................23
22. FEDERAL REQUIREMENTS.............................................................................................................24
23. DISADVANTAGED BUSINESS ENTERPRISE(DBE).....................................................................24
24. DISPUTES..................................................................................................................................:.........25
EXHIBIT A, STATEMENT OF WORK
EXHIBIT B,SAMPLE OPTION LETTER
EXHIBIT C,FUNDING PROVISIONS
EXHIBIT D,LOCAL AGENCY RESOLUTION
EXHIBIT E,LOCAL AGENCY AGREEMENT ADMINISTRATION CHECKLIST
EXHIBIT F,CERTIFICATION FOR FEDERAL-AID AGREEMENTS
EXHIBIT G,DISADVANTAGED BUSINESS ENTERPRISE
EXHIBIT H,LOCAL AGENCY PROCEDURES FOR CONSULTANT SERVICES
EXHIBIT 1,FEDERAL-AID AGREEMENT PROVISIONS FOR CONSTRUCTION AGREEMENTS
EXHIBIT J,ADDITIONAL FEDERAL REQUIREMENTS
EXHIBIT K,FFATA SUPPLEMENTAL FEDERAL PROVISIONS
EXHIBIT L,SAMPLE SUBRECIPIENT MONITORING AND RISK ASSESSMENT FORM
EXHIBIT M,OMB UNIFORM GUIDANCE FOR FEDERAL AWARDS
1. PARTIES
This Agreement is entered into by and between Local Agency named on the Signature and Cover Page for this
Agreement("Local Agency"),and the STATE OF COLORADO acting by and through the State agency named
on the Signature and Cover Page for this Agreement (the "State" or"CDOT"). Local Agency and the State
agree to the terms and conditions in this Agreement.
2. TERM AND EFFECTIVE DATE
A. Effective Date
This Agreement shall not be valid or enforceable until the Effective Date, and Agreement Funds shall
be expended within the dates shown in Exhibit C for each respective phase ("Phase Performance
Period(s)").The State shall not be bound by any provision of this Agreement before the Effective Date,
and shall have no obligation to pay Local Agency for any Work performed or expense incurred before
1)the Effective Date of this original Agreement;2)before the encumbering document for the respective
phase and the official Notice to Proceed for the respective phase;or 3)after the Final Phase Performance
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End Date,as shown in Exhibit C.
B. Initial Term
The Parties'respective performances under this Agreement shall commence on the Agreement Effective
Date shown on the Signature and Cover Page for this Agreement and shall terminate on the date of notice
of CDOT final acceptance("Agreement Expiration Date")shown on the Signature and Cover Page for
this Agreement, unless sooner terminated or further extended in accordance with the terms of this
Agreement.
C. Early Termination in the Public Interest
The State is entering into this Agreement to serve the public interest of the State of Colorado as
determined by its Governor,General Assembly,or Courts.If this Agreement ceases to further the public
interest of the State,the State, in its discretion, may terminate this Agreement in whole Or in part.This
subsection shall not apply to a termination of this Agreement by the State for breach by Local Agency,
which shall be governed by§14.A.i.
i. Method and Content
The State shall notify Local Agency of such termination in accordance with §16. The notice shall
specify the effective date of the termination and whether it affects all or a portion of this Agreement.
ii. Obligations and Rights
Upon receipt of a termination notice for termination in the public interest, Local Agency shall be
subject to§14.A.i.a
iii. Payments
If the State terminates this Agreement in the public interest, the State shall pay Local Agency an
amount equal to the percentage of the total reimbursement payable under this Agreement that
corresponds to the percentage of Work satisfactorily completed and accepted,as determined by the
State,less payments previously made. Additionally, if this Agreement is less than 60%completed,
as determined by the State, the State may reimburse Local Agency for a portion of actual out-of-
pocket expenses,not otherwise reimbursed under this Agreement,incurred by Local Agency which
are directly attributable to the uncompleted portion of Local Agency's obligations,provided that the
sum of any and all reimbursement shall not exceed the maximum amount payable to Local Agency
hereunder.
3. AUTHORITY "
Authority to enter into this Agreement exists in the law as follows:
A. Federal Authority
Pursuant to Title 1, Subtitle A. of the "Fixing America's Surface Transportation Act' (FAST Act) of
2015,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 are expected to continue to be allocated
for transportation projects requested by Local Agency and eligible tinder the Surface Transportation
Improvement Program that has been proposed by the State and approved by the Federal Highway
Administration("FHWA").
B. State Authority
Pursuant to CRS§43-1-223 and to applicable portions of the Federal Provisions,the State is responsible
for the general administration and supervision of performance of projects in the Program,including the
administration of federal funds for a Program project performed by a Local Agency under a contract
with the State.This Agreement is executed under the authority of CRS§§29-1-203,43-1-110;43-1-116,
43-2-101(4)(c)and 43-2-104.5.
4. PURPOSE
The purpose of this Agreement is to disburse Federal funds to the Local Agency pursuant to CDOT's
Stewardship Agreement with the FHWA.
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5. DEFINITIONS
The following terms shall be construed and interpreted as follows:
A. "Agreement" means this agreement, including all attached Exhibits, all documents incorporated by
reference,all referenced statutes,rules and cited authorities,and any future modifications thereto.
B. "Agreement Funds" means the funds that have been appropriated, designated, encumbered, or
otherwise made available for payment by the State under this Agreement. '
C. "Award" means an award by a Recipient to a Subrecipient funded in whole or in part by a Federal
Award.The terms and conditions of the Federal Award flow down to the Award unless the terms and
conditions of the Federal Award specifically indicate otherwise.
D. "Budget'means the budget for the Work described in Exhibit C.
E. 'Business Day"means any day in which the State is open and conducting business,but shall not include
Saturday, Sunday or any day on which the State observes one of the holidays listed in §24-11-101(1)
C.R.S.
F. "Consultant' means a professional engineer or designer hired by Local Agency to design the Work
Product.
G. "Contractor"means the general construction contractor hired by Local Agency to construct the Work.
H. "CORA"means the Colorado Open Records Act, §§24-72-200.1 et.seg.,C.R.S.
1. "Effective Date"means the date on which this Agreement is approved and signed by the Colorado State
Controller or designee,as shown on the Signature and Cover Page for this Agreement.
J. "Evaluation" means the process of examining Local Agency's Work and rating it based on criteria
established in§6,Exhibit A and Exhibit E.
K. "Exhibits"means the following exhibits attached to this Agreement:
i. Exhibit A,Statement of Work.
ii. Exhibit B,Sample Option Letter.
iii. Exhibit C,Funding Provisions
iv. Exhibit D, Local Agency Resolution
v. Exhibit E,Local Agency Contract Administration Checklist
vi. Exhibit F,Certification for Federal-Aid Contracts
vii. Exhibit G,Disadvantaged Business Enterprise
viii. Exhibit H,Local Agency Procedures for Consultant Services
ix. Exhibit 1,Federal-Aid Contract Provisions for Construction Contracts
x. Exhibit J,Additional Federal Requirements
xi. Exhibit K, The Federal Funding Accountability and Transparency Act of 2006 (FFATA)
Supplemental Federal Provisions
xii. Exhibit L,Sample Sub-Recipient Monitoring and Risk Assessment Form
xiii. Exhibit M,Supplemental Provisions for Federal Awards Subject to The Office of Management and
Budget Uniform Administrative Requirements, Cost principles, and Audit Requirements for Federal
Awards(the"Uniform Guidance")
L. "Federal Award" means an award of Federal financial assistance or a cost-reimbursement contract
under the Federal Acquisition Requirements by a Federal Awarding Agency to a Recipient. "Federal
Award"also means an agreement setting forth the terms and conditions of the Federal Award.The term
does not include payments to a contractor or payments to an individual that is a beneficiary of a Federal
program.
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M. "Federal Awarding Agency"means a Federal agency providing a Federal Award to a Recipient.
N. "FHWA"means the Federal Highway Administration,which is one of the twelve administrations under
the Office of the Secretary of Transportation at the U.S.Department of Transportation.FHWA provides
stewardship over the construction,maintenance and preservation of the Nation's highways and tunnels.
FHWA is the Federal Awarding Agency for the Federal Award which is the subject of this Agreement.
0 "Goods"means any movable material acquired,produced,or delivered by Local Agency as set forth in
this Agreement and shall include any movable material acquired, produced, or delivered by Local
Agency in connection with the Services.
P. "Incident"means any accidental or deliberate event that results in or constitutes an imminent threat of
the unauthorized access or disclosure of State Confidential Information or of the unauthorized
modification,disruption,or destruction of any State Records.
Q. "Initial Term"means the time period defined in§2.B
R. "Notice to Proceed"means the letter issued by the State to the Local Agency stating the date the Local
Agency can begin work subject to the conditions of this Agreement. .
S. "OMB"means the Executive Office of the President,Office of Management and Budget.
T. "Oversight" means the term as it is defined in the Stewardship Agreement between CDOT and the
FHWA.
U. "Party"means the State or Local Agency,and"Parties"means both the State and Local Agency.
V. "I'll" means personally identifiable information including, without limitation, any information
maintained by the State about an individual that can be used to distinguish or trace an individual's
identity, such as name, social security number, date and place of birth, mother's maiden name, or
biometric records;and any other information that is linked or linkable to an individual,such as medical,
educational, financial,and employment information. Pit includes,but is not limited to, all information
defined as personally identifiable information,in§24-72-501 C.R.S.
W. "Recipient"means the Colorado Department of Transportation(CDOT) for this Federal Award.
X. "Services"means the services to be performed by Local Agency as set forth in this Agreement,and shall
include any services to be rendered by Local Agency in connection with the Goods.
Y. "State Confidential Information" means any-and all State Records not subject to disclosure under
CORA.State Confidential Information shall include,but is not limited to,PII and State personnel records
not subject to disclosure under CORA.
Z. "State Fiscal Rules"means the fiscal rules promulgated by the Colorado State'Controllcr pursuant to
§24-30-202(13)(a).
AA. "State Fiscal Year"means a 12 month period beginning on July I of each calendar year and ending on
June 30 of the following calendar year.If a single calendar year follows the term,then it means the State
Fiscal Year ending in that calendar year.
BB. "State Purchasing Director"means the position described in the Colorado Procurement Code and its
implementing regulations.
CC. "State Records" means any and all State data, information, and records, regardless of physical form,
including,but not limited to, information subject to disclosure under CORA.
DD. "Subcontractor" means thud-parties, if any, engaged by Local Agency to aid in performance of the
Work.
EE. "Subrecipient"means a non-Federal entity that receives a sub-award from a Recipient to carry out part
of a Federal program, but does not include an individual that is a beneficiary of such program. A
Subrecipient may also be a recipient of other Federal Awards directly from a Federal Awarding Agency.
FF. "Uniform Guidance" means the Office of Management and Budget Uniform Administrative
Requirements, Cost Principles, and Audit Requirements for Federal Awards, which supersedes
requirements from OMB Circulars A-21, A-87, A-110, A-122, A-89, A-102, and A-133, and the
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guidance in Circular A-50 on Single Audit Act follow-up.
GG. "Work"means the delivery of the Goods and performance of the Services in compliance with CDOT's
Local Agency.Manual described in this Agreement.
HH. "Work Product"means the tangible and intangible results of the Work,whether finished or unfinished,
including drafts. Work Product includes, but is not limited to, documents, text, software (including
source code), research, reports, proposals, specifications, plans, notes, studies, data, images,
photographs, negatives,pictures,drawings,designs, models, surveys, maps, materials, ideas,concepts,
know-how,and any other results of the Work. "Work Product"does not include any material that was
developed prior to the Effective Date that is used,without modification,in the performance of the Work.
Any other term used in this Agreement that is defined in an Exhibit shall be construed and interpreted as defined
in that Exhibit.
6. STATEMENT OF WORK
Local Agency shall complete the Work as described in this Agreement and in accordance with the provisions
of Exhibit A,and the Local Agency Manual.The State shall have no liability to compensate Local Agency for
the delivery of any Goods or the performance of any Services that are not specifically set forth in this
Agreement.
Work may be divided into multiple phases that have separate periods of performance. The State may not
compensate for Work that Local Agency performs outside of its designated phase performance period. The
performance period of phases, including, but not limited to Design,Construction, Right of Way, Utilities, or
Environment phases, are identified in Exhibit C.The State may unilaterally modify Exhibit C from time to
time, at its sole discretion, to extend the period of performance for a phase of Work authorized under this
Agreement. To exercise this phase performance period extension option,the State will provide written notice
to Local Agency in a form substantially equivalent to Exhibit B. The State's unilateral extension of phase
performance periods will not amend or alter in any way the funding provisions or any other terms specified in
this Agreement,notwithstanding the options listed under§7.E
A. Local Agency Commitments
i. Design
If the Work includes preliminary design,final design,design work sheets,or special provisions and
estimates (collectively referred to as the "Plans"), Local Agency shall ensure that it and its
Contractors comply with and are responsible for satisfying the following requirements:
a. Perform or provide the Plans to the extent required by the nature of the Work.
b. Prepare final design in accordance 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 the State.
c. Prepare provisions and estimates in accordance with the most current version of the State's
Roadway and Bridge Design Manuals and Standard Specifications for Road and Bridge
Construction or Local Agency specifications if approved by the State.
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 as produced by a Colorado registered professional engineer.
f Provide final assembly of Plans and all other necessary documents.
g. Ensure the Plans are accurate and complete.
h. Make no further changes in the Plans following the award of the construction contract to
Contractor unless agreed to in writing by the Parties.The Plans shall be coniidered final when
approved in writing by CDOT,and when final,they will be deemed incorporated herein.
ii. Local Agency Work
a. Local Agency shall comply with the requirements of the Americans With Disabilities Act
(ADA) 42 U.S.C. § 12101, et. seq., and applicable federal regulations and standards as
contained in the document "ADA Accessibility Requirements in CDOT Transportation
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Projects".
b. Local Agency shall afford the State ample opportunity to review the Plans and shall make any
changes in the Plans that are directed by the State to comply with FHWA requirements.
c. Local Agency may enter into a contract with a Consultant to perform all or any portion of the
Plans and/or construction administration.Provided,however,if federal-aid funds are involved
in the cost of such Work to be done by such Consultant, such Consultant contract (and the
performance provision of the Plans under the contract) must comply with all applicable
requirements of 23 C.F.R.Part 172 and with any procedures implementing those requirements
as provided by the State, including those in Exhibit H. If Local Agency enters into a contract
with a Consultant for the Work:
1) Local Agency shall submit a certification that procurement of any Consultant contract
complies with the requirements of 23 C.F.R. 172.5(l)prior to entering into such Consultant
contract,subject to the State's approval. If not approved by the State,Local Agency shall
not enter into such Consultant contract.
2) Local Agency shall ensure that all changes in the Consultant contract have prior approval
by the State and FHWA and that they are in writing. Immediately after the Consultant
contract has been awarded, one copy of the executed Consultant contract and any
amendments shall be submitted to the State.
3) Local Agency shall require that all billings under the Consultant contract comply with the
State's standardized billing format.Examples of the billing formats are available from the
CDOT Agreements Office.
4) Local Agency(and any Consultant)shall comply with 23 C.F.R. 172.5(6)and(d)and use
the CDOT procedures described in Exhibit H to administer the Consultant contract.
5) Local Agency may expedite any MOT approval of its procurement process and/or
Consultant contract by submitting a letter to CDOT from Local Agency's
attorney/authorized representative certifying compliance with Exhibit H and 23 C.F.R.
172.5(b)and(d).
6) Local Agency shall ensure that the Consultant contract complies with the requirements of
49 CFR I8.36(i)and contains the following language verbatim:
(a).The design work under this Agreement shall be compatible with the requirements of
the contract between 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 agreement for that purpose.
(b) Upon advertisement of the project work for construction, the consultant shall make
available services as requested by the State to assist the State in the evaluation of
construction and the resolution of construction problems that may arise during the
construction of the project.
(c) The consultant shall review the construction Contractor's shop drawings for
conformance with the contract documents and compliance with the provisions of the
State's publication, Standard Specifications for Road and Bridge Construction, in
connection with this work.
(d) The State,in its sole discretion,may review construction plans,special provisions and
estimates and may require Local Agency to make such changes therein as the State
determines necessary to comply with State and FHWA requirements.
iii. Construction
If the Work includes construction, Local Agency shall perform the construction in accordance with the
approved'design plans and/or administer the construction in accordance with Exhibit E. Such
administration shall include Work 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 construction
Contractor claims; construction supervision; and meeting the quality control requirements of the
FHWA/CDOT Stewardship Agreement,as described in'Exhibit E.
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a. The State may,after providing written notice of the reason for the suspension to Local Agency,
suspend the Work, wholly or in part, due to the failure of Local Agency or its Contractor to
correct 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.
b. Local Agency shall be responsible for the following:
I) Appointing a qualified professional engineer, licensed in the State of Colorado, as Local
Agency Project Engineer(LAPE),to perform engineering administration.The LAPE shall
administer the Work in accordance with this Agreement, the requirements of the
construction contract and applicable State procedures, as defined in the CDOT Local
Agency Manual (https://www.codot.gov/business/designsupport/bulletins—manuals/2006-
local-agency-manual).
2) For the construction Services, advertising the call for bids, following its approval by the
State,and awarding the construction contract(s)to the lowest responsible bidder(s).
(a) All Local Agency's advertising and bid awards pursuant to this Agreement shall
comply with applicable requirements of 23 U.S.C. §112 and 23 C.F.R. Parts 633 and
635 and C.R.S. § 24-92-101 et seq. Those requirements include, without limitation,
that Local Agency and its Contractor(s) incorporate Form 1273 (Exhibit 1) in its
entirety,verbatim,into any subcontract(s)for Services as terms and conditions thereof,
as required by 23 C.F.R.633.102(e).
(b) Local Agency may accept or reject the proposal of the apparent low bidder for Work
on which competitive bids have been received. Local Agency must accept or reject
such bids within 3 working days after they are publicly opened.
(c) If Local Agency accepts bids and makes awards that exceed the amount of available
Agreement Funds, Local Agency shall provide the additional funds necessary to
complete the Work or not award such bids.
(d) The requirements of§6.A.iu.b.2 also apply to any advertising and bid awards made
by the State.
(e) The State (and in some cases FHWA) must approve in advance all Force Account
Construction, and Local Agency shall not initiate any such Services until the State
issues a written Notice to Proceed.
iv. Right of Way(ROW)and Acquisition/Relocation
a. If Local Agency purchases a ROW for a State highway, including areas of influence, Local
Agency shall convey the ROW to CDOT promptly upon the completion of the
project/construction.
b. Any acquisition/relocation activities shall comply with all applicable federal and State statutes
and regulations, including but not limited to, the Uniform Relocation Assistance and Real
Property Acquisition Policies Act of 1970,as amended,the Uniform Relocation Assistance and
Real Property Acquisition Policies for Federal and Federally Assisted Programs, as amended
(49 C.F.R. Part 24), CDOT's Right of Way Manual, and CDOT's Policy and Procedural
Directives.
c. The Parties'respective responsibilities for ensuring compliance with acquisition,relocation and
incidentals depend on the level of federal participation as detailed in CDOT's Right of Way
Manual (located at http://.www.codot.gov/business/manuals/rightof-way); however, the State
always retains oversight responsibilities.
d. The Parties' respective responsibilities at each level of federal participation in CDOT's Right
of Way Manual, and the State's reimbursement of Local Agency costs will be determined
pursuant the following categories:
1) Right of way acquisition(3111)for federal participation and non-participation;
2) Relocation activities,if applicable(3109);
3) Right of way incidentals, if applicable (expenses incidental to acquisition/relocation of
right of way—3114).
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v. Utilities
If necessary, Local Agency shall be responsible for obtaining the proper clearance or approval from any
utility company that may become involved in the Work.Prior to the Work being advertised for bids,
Local Agency shall certify in writing to the State that.all such clearances have been obtained.
vi. Railroads
If the Work involves modification of a railroad company's facilities and such modification will be
accomplished by the railroad company, Local Agency shall make timely application to the Public
Utilities Commission ("PUC") requesting its order providing for the installation of the proposed
improvements. Local Agency shall not proceed with that part of the Work before obtaining the
PUC's order.Local Agency shall also establish contact with the railroad company involved for the
purpose of complying with applicable provisions of 23 C.F.R. 646, subpart B, concerning federal-
aid projects involving railroad facilities,and:
a. Execute an agreement with the railroad company setting out what work is to be accomplished
and the location(s)thereof,and which costs shall be eligible for federal participation.
b. Obtain the railroad's detailed estimate of the cost of the Work.
c. Establish future maintenance responsibilities for the proposed installation.
d. Proscribe in the agreement the future use or dispositions of the proposed improvements in the
event of abandonment or elimination of a grade crossing.
e. Establish future repair and/or replacement responsibilities, as between the railroad company
and the Local Agency,in the event of accidental destruction or damage to the installation.
vii. Environmental Obligations
Local Agency shall perform all Work in accordance with the requirements of current federal and State
environmental regulations, including the National Environmental Policy Act of 1969 (NEPA) as
applicable.
viii.Maintenance Obligations
Local Agency shall maintain and operate the Work constructed under this Agreement at its own cost and
expense during their useful life, in a manner satisfactory to the State and FHWA. Local Agency
shall conduct such maintenance and operations in accordance with all applicable statutes,
ordinances, and regulations pertaining to maintaining such improvements. The State and FHWA
may make periodic inspections to verify that such improvements are being adequately maintained.
ix. Monitoring Obligations
Local Agency shall respond in a timely manner to and participate fully with the monitoring activities
described in§7.F.vi.
B. State's Commitments
i. The State will perform a final project inspection of the Work as a quality control/assurance activity.
When all Work has been satisfactorily completed,the State will sign the FHWA Form 1212.
ii. Notwithstanding any consents or approvals given by the State for the Plans,the State shall not be
liable or responsible in any manner for the structural design, details or construction of any Work
constituting major structures designed by, or that are the responsibility of, Local Agency, as
identified in Exhibit E.
7. PAYMENTS
A. Maximum Amount
Payments to Local Agency are limited to the unpaid,obligated balance of the Agreement Funds set forth
in Exhibit C.The State shall not pay Local Agency any amount under this Agreemem that exceeds the
Agreement Maximum set forth in Exhibit C.
B. Payment Procedures
i. Invoices and Payment
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a. The State shall pay Local Agency in the amounts and in accordance with conditions set forth in
Exhibit C.
b. Local Agency shall initiate payment requests by invoice to the State, in a form and manner
approved by the State.
c. The State shall pay each invoice within 45 days following the State's receipt of that invoice,so
long as the amount invoiced correctly represents Work completed by Local Agency and
previously accepted by the State during the term that the invoice covers. If the State determines
that the amount of any invoice is not correct, then Local Agency shall make all changes
necessary to correct that invoice.
d. The acceptance of an invoice shall not constitute acceptance of any Work performed or
deliverables provided under the Agreement.
ii. Interest
Amounts not paid by the State within 45 days after the State's acceptance of the invoice shall bear
interest on the unpaid balance beginning on the 46th day at the rate of I%per month,as required by
§24-30-202(24)(a), C.R.S., until paid in full; provided, however, that interest shall not accrue on
unpaid amounts that the State disputes in writing. Local Agency shall invoice the State separately
for accrued interest on delinquent amounts,and the invoice shall reference the delinquent payment,
the number of days interest to be paid and the interest rate.
iii. Payment Disputes
If Local Agency disputes any calculation,determination,or amount of any payment,Local Agency
shall notify the State in writing of its dispute within 30 days following the earlier to occur of Local
Agency's receipt of the payment or notification of the determination or calculation of the payment
by the State. The State will review the information presented by Local Agency and may make
changes to its determination based on this review. The calculation, determination, or payment
amount that results from the State's review shall not be subject to additional dispute under this
subsection. No payment subject to a dispute under this subsection shall be due until after the State
has concluded its review,and the State shall not pay.any interest on any amount during the period
it is subject to dispute under this subsection.
iv. Available Funds-Contingency-Termination
The State is prohibited by law from making commitments beyond the term of the current State Fiscal
Year. Payment to Local Agency beyond the current State Fiscal Year is contingent on the.
appropriation and continuing availability of Agreement Funds in any subsequent year(as provided
in the Colorado Special Provisions). If federal funds or funds from any other non-State funds
constitute all or some of the Agreement Funds,the State's obligation to pay Local Agency shall be
contingent upon such non-State funding continuing to be made available for payment.Payments to
be made pursuant to this Agreement shall be made only from Agreement Funds, and the State's
liability for such payments shall be limited to the amount remaining of such Agreement Funds. If
State, federal or other funds are not appropriated, or otherwise become unavailable to fund this
Agreement, the State may, upon written notice, terminate this Agreement, in whole or in part,
without incurring further liability. The State shall, however, remain obligated to pay for Services
and Goods that are delivered and accepted prior to the effective date of notice of termination,and
this termination shall otherwise be treated as if this Agreement were terminated in the public interest
as described in§2.0
v. Erroneous Payments
The State may recover, at the State's discretion, payments made to Local Agency in error for any
reason, including, but not limited to, overpayments or improper payments, and unexpended or
excess funds received by Local Agency.The State may recover such payments by deduction from
subsequent payments under this Agreement, deduction from any payment due under any other
contracts, grants or agreements.between the State and Local Agency, or by any other appropriate
method for collecting debts owed to the State.The close out of a Federal Award does not affect the
right of FHWA or the State to disallow costs and recover funds on the basis of a later audit or other
review. Any cost disallowance recovery is to be made within the Record Retention Period (as
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defined below in§9.A.).
C. Matching Funds
Local Agency shall provide matching funds as provided in §7.A. and Exhibit C. Local Agency shall
have iaised the full amount of matching funds prior to the Effective Date and shall report to the State
regarding the status of such funds upon request.Local Agency's obligation to pay all or any part of any
matching funds, whether direct or contingent, only extend to funds duly and lawfully appropriated for
the purposes of this Agreement by the authorized representatives of Local Agency and paid into Local
Agency's treasury. Local Agency represents to the State that the amount.designated "Local Agency
Matching Funds" in Exhibit C has been legally appropriated for the purpose of this Agreement by its
authorized representatives and paid into its treasury.Local Agency may evidence such obligation by an
appropriate ordinance/resolution or other authority letter expressly authorizing Local Agency to enter
into this Agreement and to expend its match share of the Work.A copy of any such ordinance/resolution
or authority letter is attached hereto as Exhibit D. Local Agency does not by this Agreement irrevocably
pledge present cash reserves for payments in future fiscal years, and this Agreement is not intended to
create a multiple-fiscal year debt of Local Agency. Local Agency shall not pay or be liable for any
claimed interest, late charges, fees, taxes, or penalties of any nature, except as required by Local
Agency's laws or policies.
D. Reimbursement of Local Agency Costs
The State shall reimburse Local Agency's allowable costs, not exceeding the maximum total amount
described in Exhibit C and§7.The applicable principles described in 2 C.F.R.Part 200 shall govern the
State's obligation to reimburse all costs incurred by Local Agency and submitted to the State for
reimbursement hereunder, and Local Agency shall comply with all such principles. The State shall
reimburse Local Agency for the federal-aid share of properly documented costs related to the Work after
review and approval thereof, subject to the provisions of this Agreement and Exhibit C. Local Agency
costs for Work performed prior to the Effective Date shall not be reimbursed absent specific allowance
of pre-award costs and indication that the Federal Award funding is retroactive. Local Agency costs for
Work performed after any Performance Period End Date for a respective phase of the Work, is not
reimbursable.Allowable costs shall be:
i. Reasonable and necessary to accomplish the Work and for the Goods and Services provided.
ii. Actual net cost to Local Agency(i.e. the price paid minus any items of value received by Local
Agency that reduce the cost actually incurred).
E. Unilateral Modification of Agreement Funds Budget by State Option Letter
The State may,at its discretion,issue an"Option Letter"to Local Agency to add or modify Work phases
in the Work schedule in Exhibit C if such modifications do not increase total budgeted Agreement
Funds. Such Option Letters shall amend and update Exhibit C, Sections 2 or 4 of the Table, and sub-
sections B and C of the Exhibit C. Option Letters shall not be deemed valid until signed by the State
Controller or an authorized delegate.Modification of Exhibit C by unilateral Option Letter is permitted
only in the specific scenarios listed below. The State will exercise such options by providing Local
Agency a fully executed Option Letter, in a form substantially equivalent to Exhibit B. Such Option
Letters will be incorporated into this Agreement.
i. Option to Begin a Phase and/or Increase or Decrease the Encumbrance Amount
The State may require by Option Letter that Local Agency begin a new Work phase that may include
Design,Construction,Environmental,Utilities,ROW Incidentals or Miscellaneous Work(but may
not include Right of Way Acquisition/Relocation or Railroads) as detailed in Exhibit A. Such
Option Letters may not modify the other terms and conditions stated in this Agreement, and must
decrease the amount budgeted and encumbered for one or more other Work phases so that the total
amount of budgeted Agreement Funds remains the same. The State may also issue a unilateral
Option Letter to simultaneously increase and decrease the total encumbrance amount of two or more
existing Work phases,as long as the total amount of budgeted Agreement Funds remains the same,
replacing the original Agreement Funding exhibit(Exhibit C)with an updated Exhibit C-1 (with
subsequent exhibits labeled C-2,C-3,etc.).
ii. Option to Transfer Funds from One Phase to Another Phase.
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The State may require or permit Local Agency to transfer Agreement Funds from one Work phase
(Design, Construction, Environmental, Utilities, ROW Incidentals or Miscellaneous) to another
phase as a result of changes to State, federal, and local match finding. In such case, the original
funding exhibit(Exhibit C)will be replaced with an updated Exhibit C-1(with subsequent exhibits
labeled C-2, C-3, etc.)attached to the Option Letter. The Agreement Funds transferred from one
Work phase to another are subject to the same terms and conditions stated in the original Agreement
with the total budgeted Agreement Funds remaining the same.The State may unilaterally exercise
this option by providing a fully executed Option Letter to Local Agency within thirty (30) days
before the initial targeted start date of the Work phase,in a form substantially equivalent to Exhibit
B.
iii. Option to Exercise Options i and ii.
The State may require Local Agency to add a Work phase as detailed in Exhibit A,and encumber
and transfer Agreement Funds from one Work phase to another. The original funding exhibit
(Exhibit C) in the original Agreement will be replaced with an updated Exhibit C-I (with
subsequent exhibits labeled C-2, C-3,etc.)attached to the Option Letter. The addition of a Work
phase and encumbrance and transfer of Agreement Funds are subject to the same terms and
conditions stated in the original Agreement with the total budgeted Agreement Funds remaining the
same.The State may unilaterally exercise this option by providing a fully executed Option Letter to
Local Agency within 30 days before the initial targeted start date of the Work phase, in a form
substantially equivalent to Exhibit B.
iv. Option to Update a Work Phase Performance Period and/or modify information required under the
OMB Uniform Guidance, as outlined in Exhibit C. The State may update any information
contained in Exhibit C,Sections 2 and 4 of the Table,and sub-sections B and C of the Exhibit C.
F. Accounting
Local Agency shall establish and maintain accounting systems in accordance with generally accepted
accounting standards (a separate set of accounts, or as a separate and integral part of its current
accounting scheme). Such accounting systems shall,at a minimum,provide as follows:
i. Local Agency Performing the Work
If Local Agency is performing the Work, it shall document all allowable costs, including any
approved Services contributed by Local Agency or subcontractors, using payrolls, time records,
invoices,contracts,vouchers,and other applicable records.
ii. Local Agency-Checks or Draws
Checks issued or draws made by Local Agency shall be made or drawn against properly signed
vouchers detailing the purpose thereof. Local Agency shall keep on file all checks, payrolls,
invoices,contracts,vouchers,orders,and other accounting documents in the office of Local Agency,
clearly identified, readily accessible, and to the extent feasible, separate and apart from all other
Work documents.
iii. State-Administrative Services
The State may perform any necessary administrative support services required hereunder. Local
Agency shall reimburse the State for the costs of any such services from the budgeted Agreement
Funds as provided for in Exhibit C. If FHWA Agreement Funds are or become unavailable,or if
Local Agency terminates this Agreement prior to the Work being approved by the State or otherwise
completed,then all actual incurred costs of such services and assistance provided by the State shall
be reimbursed to the State by Local Agency at its sole expense.
iv. Local Agency-Invoices
Local Agency's invoices shall describe in detail the reimbursable costs incurred by Local Agency
for which it seeks reimbursement,the dates such costs were incurred and the amounts thereof,and
Local Agency shall not submit more than one invoice per month.
v. Invoicing Within 60 Days
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The State shall not be liable to reimburse Local Agency for any costs invoiced more than 60 days
after the date on which the costs were incurred, including costs included in Local Agency's final
invoice.The State may withhold final payment to Local Agency at the State's sole discretion until
completion of final audit.Any costs incurred by Local Agency that are not allowable under 2 C.F.R.
Part 200 shall be Local Agency's responsibility, and the State will deduct such disallowed costs
from any payments due to Local Agency. The State will not reimburse costs for Work performed
after the Performance Period End Date for a respective Work phase. The State will not reimburse
costs for Work performed prior to Performance Period End Date, but for which an invoice is
received more than 60 days after the Performance Period End Date.
vi. Risk Assessment&Monitoring
Pursuant to 2 C.F.R.200.331(b),—CDOT will evaluate Local Agency's risk of noncompliance with
federal statutes, regulations, and terms and conditions of this Agreement. Local Agency shall
complete a Risk Assessment Form (Exhibit L) when that may be requested by CDOT. The risk
assessment isa quantitative and/or qualitative determination of the potential for Local Agency's
non-compliance with the requirements of the Federal Award. The risk assessment will 'evaluate
some or all of the following factors:
1. Experience:Factors associated with the experience and history of the Subrecipient with the same or similar
Federal Awards or grants.
2.. Monitoring/Audit: Factors associated with the results of the Subrecipient's previous audits or monitoring
visits, including those performed by the Federal Awarding Agency, when the Subrecipient also receives
direct federal funding. Include audit results if Subrecipient receives single audit, where the specific award
being assessed was selected as a major program.
3. Operation: Factors associated with the significant aspects of the Subrecipient's operations, in which failure
could impact the Subrecipient's ability to perform and account for the contracted goods or services.
4. Financial: Factors associated with the Subrecipient's financial stability and ability to comply with financial
requirements of the Federal Award.
5. Internal Controls: Factors associated with safeguarding assets and resources,deterring and detecting errors;
fraud and theft, ensuring accuracy and completeness of accounting data, producing reliable and timely
financial and management information,and ensuring adherence to its policies and plans.
6. Impact: Factors associated with the potential impact of a Subrecipient's non-compliance to the overall
success of the program objectives.
7. Program Management: Factors associated with processes to manage critical personnel, approved written
procedures,and knowledge of rules and regulations regarding federal-aid projects.
Following Local Agency's completion of the Risk Assessment Tool (Exhibit L), CDOT will
determine the level of monitoring it will apply to Local Agency's performance of the Work. This
risk assessment may be re-evaluated after CDOT begins performing monitoring activities.
G. Close Out
Local Agency shall close out this Award within 90 days after the Final Phase Performance End Date.
Close out requires Local Agency's submission to the State of all deliverables defined in this Agreement,
and Local Agency's final reimbursement request or invoice. The State will withhold 5%of allowable
costs until all final documentation has been submitted and accepted by the State as substantially
complete. If FIIWA has not closed this Federal Award within 1 year and 90 days after the Final Phase
Performance End Date due to Local Agency's failure to submit required documentation, then Local
Agency may be prohibited from applying for new Federal Awards through the State until such
documentation is submitted and accepted.
8. REPORTING-NOTIFICATION
A. Quarterly Reports
In addition to any reports required pursuant.to §19 or pursuant to any exhibit, for any contract having a
term longer than 3 months, Local Agency shall submit,on a quarterly basis,a written report specifying
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progress made for each specified performance measure and standard in this Agreement. Such progress
report shall be in accordance with the procedures developed and prescribed by the State.Progress reports
shall be submitted to the State not later than five(5)Business Days following the end of each calendar
quarter or at such time as otherwise specified by the State.
B. Litigation Reporting
If Local Agency is served with a pleading or other document in connection with an action before a court
or other administrative decision making body,and such pleading or document relates to this Agreement
or may affect Local Agency's ability to perforin its obligations under this Agreement, Local Agency
shall, within 10 days after being served, notify the State of such action and deliver copies of such
pleading or document to the State's principal representative identified in§16.
C. Performance and Final Status
Local Agency shall submit all financial, performance and other reports to the State no later than 60
calendar days after the Final Phase Performance End Date or sooner termination of this Agreement,
containing an Evaluation of Subrecipient's performance and the final status of Subrecipient's obligations
hereunder.
D. Violations Reporting
Local Agency must disclose, in a timely manner, in writing to the State and FHWA, all violations of
federal or State criminal law involving fraud, bribery, or gratuity violations potentially affecting the
Federal Award. Penalties for noncompliance may include suspension or debarment(2 CFR Part 180 and
31 U.S.C.3321).
9. LOCAL AGENCY RECORDS
A. Maintenance
Local Agency shall make, keep, maintain, and allow inspection and monitoring by the State of a
complete file of all records,documents, communications, notes and other written materials, electronic
media files, and communications, pertaining in any manner to the Work or the delivery of Services
(including, but not limited to the operation of programs) or Goods hereunder. Local Agency shall
maintain such records for a period(the"Record Retention Period")of three years following the date of
submission to the State of the final expenditure report,or if this Award is renewed quarterly Or annually,
from the date of the submission of each quarterly or annual report,respectively. If any litigation,claim,
or audit related to this Award starts before expiration of the Record Retention Period, the Record
Retention Period shall extend until all litigation, clams,or audit findings have been resolved and final
action taken by the State or Federal Awarding Agency. The Federal Awarding Agency, a cognizant
agency for audit,oversight or indirect costs,and the State, may notify Local Agency in writing that the
Record Retention Period shall be extended. For records for real property and equipment, the Record
Retention Period shall extend three years following final disposition of such property.
B. Inspection
Local Agency shall permit the State to audit, inspect, examine, excerpt, copy, and transcribe Local
Agency Records during the Record Retention Period.Local Agency shall make Local Agency Records
available during normal business hours at Local Agency's office or place of business, or at other
mutually agreed upon times or locations, upon no fewer than 2 Business Days' notice from the State,
unless the State determines that a shorter period of notice, or no notice, is necessary to protect the
interests of the State.
C. Monitoring
The State will monitor Local Agency's performance of its obligations under this Agreement using
procedures as determined by the State.The State shall monitor Local Agency's performance in a manner
that does not unduly interfere with Local Agency's performance of the Work.
D. Final Audit Report
Local Agency shall promptly submit to the State a copy of any final audit report of an audit performed
on Local Agency's records that relates to or affects this Agreement or the Work, whether the audit is
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conducted by Local Agency or a third party.
10. CONFIDENTIAL INFORMATION-STATE RECORDS
A. Confidentiality
Local Agency shall hold and maintain, and cause all-Subcontractors to hold and maintain, any and all
State Records.that the State provides or makes available to Local Agency for the sole and exclusive
benefit of the State,unless those State Records are otherwise publicly available at the time of disclosure
or are subject to disclosure by Local Agency under CORA.Local Agency shall not,without prior written
approval of the State, use for Local Agency's own benefit, publish,copy, or otherwise disclose to any
third party,or permit the use by any third party for its benefit or to the detriment of the State,any State
Records,except as otherwise stated in this Agreement. Local Agency shall provide for the security of
all State Confidential Information in accordance with all policies promulgated by the Colorado Office
of Information Security and all applicable laws, rules, policies, publications, and guidelines. Local
Agency shall immediately forward any request or demand for State Records to the State's principal
representative.
B. Other Entity Access and Nondisclosure Agreements
Local Agency may provide State Records to its agents, employees, assigns and Subcontractors as
necessary to perform the Work,but shall restrict access to State Confidential Information to those agents,
employees, assigns and Subcontractors who require access to perform their obligations under this
Agreement. Local Agency shall ensure all such agents, employees, assigns, and Subcontractors sign
nondisclosure agreements with provisions at least as protective as those in this Agreement,and that the
nondisclosure agreements are in force at all times the agent, employee, assign or Subcontractor has
access to any Stale Confidential Information. Local Agency shall provide copies of those signed
nondisclosure agreements to the State upon request.
C. Use,Security,and Retention
Local Agency shall use,hold and maintain State Confidential Information in compliance with any and
all applicable laws and regulations in facilities located within the United States, and shall maintain a
secure environment that ensures confidentiality of all State Confidential Information wherever located.
Local Agency shall provide the State with access, subject to Local Agency's reasonable security
requirements,for purposes of inspecting and monitoring access and use of State Confidential Information
and evaluating security control effectiveness. Upon the expiration or termination of this Agreement,
Local Agency shall return State Records provided to Local Agency or destroy such State Records and
certify to the State that it has done so,as directed by the State. If Local Agency is prevented by law or
regulation from returning or destroying State Confidential Information, Local Agency warrants it will
guarantee the confidentiality of,and cease to use,such State Confidential Information.
D. Incident Notice and Remediation
If Local Agency becomes aware of any Incident,it shall notify the State immediately and cooperate with
the State regarding recovery,remediation,and the necessity to involve law enforcement,as determined
by the State. Unless Local Agency can establish that none of Local Agency or any of its agents,
employees, assigns or Subcontractors are the cause or source of the Incident, Local Agency shall be
responsible for the cost of notifying each person who may have been impacted by the Incident. After an
Incident, Local Agency shall take steps to reduce the risk of incurring a similar type of Incident in the
future as directed by the State,which may include,but is not limited to,developing and implementing a
remediation plan that is approved by the State at no additional cost to the State.
11. CONFLICT OF INTEREST
A. Actual Conflicts of Interest
Local Agency shall not engage in any business or activities, or maintain any relationships that conflict
in any way with the full performance of the obligations of Local Agency under this Agreement. Such a
conflict of interest would arise when a Local Agency or Subcontractor's employee,officer or agent were
to offer or provide any tangible personal benefit to an employee of the State,or any member of his or
her immediate family or his or her partner,related to the award of,entry into or management or oversight
of this Agreement. Officers, employees and agents of Local Agency may neither solicit nor accept
gratuities,favors or anything of monetary value from contractors or parties to subcontracts.
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B. Apparent Conflicts of Interest
Local Agency acknowledges that, with respect to this Agreement, even the appearance of a conflict of
interest shall be harmful to the State's interests.Absent the State's prior written approval,Local Agency
shall refrain from any practices,activities or relationships that reasonably appear to be in conflict with .
the full performance of Local Agency's obligations under this Agreement.
C. Disclosure to the State
If a conflict or the appearance of a conflict arises,or if Local Agency is uncertain whether a conflict or
the appearance of a conflict has arisen, Local Agency shall submit to the State a disclosure statement
setting forth the relevant details for the State's consideration. Failure to promptly submit a disclosure
statement or to follow the State's direction in regard to the actual or apparent conflict constitutes a breach
of this Agreement.
12. INSURANCE
Local Agency shall obtain and maintain, and ensure that each Subcontractor shall obtain and maintain,
insurance as specified in this section at all times during the term of this Agreement. All insurance policies
required by this Agreement that are not provided through self-insurance shall be issued by insurance companies
with an AM Best rating of A-VIII or better.
A. Local Agency Insurance
Local Agency is a"public entity"within the meaning of the Colorado Governmental Immunity Act,§24-
10-101, et seq., C.R.S. (the "GIA") and shall maintain at all times during the term of this Agreement
such liability insurance, by commercial policy or self-insurance, as is necessary to meet its liabilities
under the GIA.
B. Subcontractor Requirements
Local Agency shall ensure that each Subcontractor that is a public entity within the meaning of the GIA,
maintains at all times during the terms of this Agreement,such liability insurance,by commercial policy
or self-insurance,as is necessary to meet the Subcontractor's obligations under the GIA. Local Agency
shall ensure that each Subcontractor that is not a public entity within the meaning of the GIA,maintains
at all times during the terms of this Agreement all of the following insurance policies:
i. Workers' Compensation
Workers' compensation insurance as required by state statute, and employers' liability insurance covering
all Local Agency or Subcontractor employees acting within the course and scope of their
employment.
ii. General Liability
Commercial general liability insurance written on an Insurance Services Office occurrence form, covering
premises operations, fire damage, independent contractors, products and completed operations,
blanket contractual liability, personal injury, and advertising liability with minimum limits as
follows:
a. $1,000,000 each occurrence;
b. $1,000,000 general aggregate;
c. $1,000,000 products and completed operations aggregate;and
d. $50,000 any 1 fire.
iii. Automobile Liability
Automobile liability insurance covering any auto (including owned, hired and non-owned autos) with a
minimum limit of$1,000,000 each accident combined single limit.
iv. Protected Information
Liability insurance covering all loss of State Confidential Information, such as Pit, PHI, PCI, Tax
Information,and CJI,and claims based on alleged violations of privacy rights through improper use
or disclosure of protected information with minimum limits as follows:
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a. $1,000,000 each occurrence;and
b. $2,000,000 general aggregate.
v. Professional Liability Insurance
Professional liability insurance covering any damages caused by an error,omission Or any negligent act with
minimum limits as follows:
a. $1,000,000 each occurrence;and
b. $1,000,000 general aggregate.
vi. Crime Insurance '
Crime insurance including employee dishonesty coverage with minimum limits as follows:
a. $1,000,000 each occurrence;and
b. $1,000,000 general aggregate.
C. Additional Insured
The State shall be named as additional insured on all commercial general liability policies(leases and
construction contracts require additional insured coverage for completed operations)required of Local
Agency and Subcontractors. In the event of cancellation of any commercial general liability policy,the
carrier shall provide at least 10 days prior written notice to CDOT.
D. Primacy of Coverage
Coverage required of Local Agency and each Subcontractor shall be primary over any insurance or self-
insurance program carried by Local Agency or the State.
E. Cancellation
All commercial insurance policies shall include provisions preventing cancellation or non-renewal,
except for cancellation based on non-payment of premiums,without at least 30 days prior notice to Local
Agency and Local Agency shall forward such notice to the State in accordance with §16 within 7 days
of Local Agency's receipt of such notice.
F. Subrogation Waiver
All commercial insurance policies secured or maintained by Local Agency or its Subcontractors in
relation to this Agreement shall include clauses stating that each carrier shall waive all rights of recovery
under subrogation or otherwise against Local Agency or the State, its agencies, institutions,
organizations,officers,agents,employees,and volunteers.
G. Certificates
For each commercial insurance plan provided by Local Agency under this Agreement, Local Agency
shall provide to the State certificates evidencing Local Agency's insurance coverage required in this
Agreement within 7 Business Days following the Effective Date.Local Agency shall provide to the State
certificates evidencing Subcontractor insurance coverage required under this Agreement within 7
Business Days following the Effective Date, except that, if Local Agency's subcontract is not in effect
as of the Effective Date, Local Agency shall provide to the State certificates showing Subcontractor
insurance coverage required under this Agreement within 7 Business Days following Local Agency's
execution of the subcontract.No later than 15 days before the expiration date of Local Agency's or any
Subcontractor's coverage, Local Agency shall deliver to the State certificates of insurance evidencing
renewals of coverage. At any other time during the term of this Agreement,upon request by the State,
Local Agency shall, within 7 Business Days following the request by the State, supply to the State
evidence satisfactory to the State of compliance with the provisions of this§12.
13. BREACH
A. Defined
The failure of a Party to perform any of its obligations in accordance with this Agreement,in whole or
in part or in a timely or satisfactory manner,shall be a breach.The institution of proceedings under any
bankruptcy, insolvency,reorganization or similar law,by or against Local Agency,or the appointment
of a receiver or similar officer for Local Agency or any of its property, which is not vacated or fully
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stayed within 30 days after the institution of such proceeding,shall also constitute.a breach.
B. Notice and Cure Period
In the event of a breach,the aggrieved Party shall give written notice of breach to the other Party. If the
notified Party does not cure the breach,at its sole expense,within 30 days after the delivery of written
notice,the Party may exercise any of the remedies as described in §14 for that Party. Notwithstanding
any provision of this Agreement to the contrary,the State, in its discretion,need not provide notice or a
cure period and may immediately terminate this Agreement in whole or in part or institute any other
remedy in the Agreement in order to protect the public interest of the State.
14. REMEDIES
A. State's Remedies
If Local Agency is in breach under any provision of this Agreement and fails to cure such breach, the
State,following the notice and cure period set forth in§13.B,shall have all of the remedies listed in this
§14.A.in addition to all other remedies set forth in this Agreement or at law.The State may exercise any
or all of the remedies available to it,in its discretion,concurrently or consecutively.
i. Termination for Breach
In the event of Local Agency's uncured breach,the State may terminate this entire Agreement or any part of
this Agreement. Local Agency shall continue performance of this Agreement to the extent not
terminated,if any.
a. Obligations and Rights
To the extent specified in any termination notice, Local Agency shall not incur further
obligations or render further performance past the effective date of such notice, and shall
terminate outstanding orders and subcontracts with third parties.However,Local Agency shall
complete and deliver to the State all Work not cancelled by the termination notice, and may
incur obligations as necessary to do so within this Agreement's terms. At the request of the
State,Local Agency shall assign to the State all of Local Agency's rights,title, and interest in
and to such terminated orders or subcontracts. Upon termination, Local Agency shall take
timely,reasonable and necessary action to protect and preserve property in the possession of
Local Agency but in which the State has an interest.At the State's request,Local Agency shall
return materials owned by the State in Local Agency's possession at the time of any termination.
Local Agency shall deliver all completed Work Product and all Work Product that was in the
process of completion to the State at the State's request.
b. Payments
Notwithstanding anything to the contrary,the State shall only pay Local Agency for accepted
Work received as of the date of termination. If,after termination by the State,the State agrees
that Local Agency was not in breach or that Local Agency's action or inaction was excusable,
such termination shall be treated as a termination in the public interest, and the rights and
obligations of the Parties shall be as if this Agreement had been terminated in the public interest
under§2.C.
c. Damages and Withholding
Notwithstanding any other remedial action by the State, Local Agency shall remain liable to
the State for any damages sustained by the State in connection with any breach by Local
Agency, and the State may withhold payment to Local Agency for the purpose of mitigating
the State's damages until such time as the exact amount of damages due to the State from Local
Agency is determined.The State may withhold any amount that may be due Local Agency as
the State deems necessary to protect the State against loss including,without limitation,loss as
a result of outstanding liens and excess costs incurred by the State in procuring from third
parties replacement Work as cover.
ii. Remedies Not Involving Termination
The State,in its discretion,may exercise one or more of the following additional remedies:
a. Suspend Performance
Suspend Local Agency's performance with respect to all or any portion of the Work pending
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corrective action as specified by the State without entitling Local Agency to an adjustment in
price or cost or an adjustment in the performance schedule. Local Agency shall promptly cease
performing Work and incurring costs in accordance with the State's directive, and the State
shall not be liable for costs incurred by Local Agency after the suspension of performance.
b. Withhold Payment
Withhold payment to Local Agency until Local Agency corrects its Work.
c. Deny Payment
Deny payment for Work not performed, or that due to Local Agency's actions or inactions,
cannot be performed or if they were performed are reasonably of no value to the state;provided,
that any denial of payment shall be equal to the value of the obligations not performed.
d. Removal
Demand immediate removal from the Work of any of Local Agency's employees, agents, or
Subcontractors from the Work whom the State deems incompetent, careless, insubordinate,
unsuitable,or otherwise unacceptable or whose continued relation to this Agreement is deemed
by the State to be contrary to the public interest or the State's best interest.
e. Intellectual Property
If any Work infringes a patent,copyright,trademark,trade secret,or other intellectual property
right, Local Agency shall, as approved by the State (a)secure that right to use such Work for
the State or Local Agency;(b)replace the Work with noninfringing Work or modify the Work
so that it becomes noninfringing; or, (c) remove any infringing Workandrefund the amount
paid for such Work to the State.
B. Local Agency's Remedies
If the State is in breach of any provision of this Agreement and does not cure such breach,Local Agency,
following the notice and cure period in §13.B and the dispute resolution process in §15 shall have all
remedies available at law and equity.
15. DISPUTE RESOLUTION
A. Initial Resolution
Except as herein specifically provided otherwise,disputes concerning the performance ofthis Agreement
which cannot be resolved by the designated Agreement representatives shall be referred in writing to a
senior departmental management staff member designated by the State and a senior manager designated
by Local Agency for resolution.
B. Resolution of Controversies
If the initial resolution described in §15.A fails to resolve the dispute within 10 Business Days,
Contractor shall submit any alleged breach of this Contract by the State to the Procurement Official of
CDOT as described in§24-101-301(30),C.R.S.for resolution in accordance with the provisions of§§24-
106-109, 24-109-101.1, 24-109-101.5, 24-109-106, 24-109-107, 24-109-201 through 24-109-206, and
24-109-501 through 24-109-505,C.R.S.,(the"Resolution Statutes"),except that if Contractor wishes to
challenge any decision rendered by the Procurement Official,Contractor's challenge shalt be an appeal
to the executive director of the Department of Personnel and Administration,or their delegate,under the
Resolution Statutes before Contractor pursues any further action as permitted by such statutes. Except
as otherwise stated in this Section, all requirements of the Resolution Statutes shall apply including,
without limitation,time limitations.
16. NOTICES AND REPRESENTATIVES
Each individual identified below shall be the principal representative of the designating Party. All notices
required or permitted to be given under this Agreement shall be in writing,and shall be delivered (i)by hand
with receipt required,(ii)by certified or registered mail to such Party's principal representative at the address
set forth below or(iii)as an email with read receipt requested to the principal representative at the email address,
if any,set forth below.If a Party delivers a notice to another through email and the email is undeliverable,then,
unless.the Party has been provided with an alternate email contact,the Party delivering the notice shall deliver
the notice by hand with receipt required or by certified or registered mail to such Party's principal representative
at the address set forth below. Either Party may change its principal representative or principal representative
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contact information by notice submitted in accordance with this §16 without a formal amendment to this
Agreement.Unless otherwise provided in this Agreement,notices shall be effective upon delivery of the written
notice.
For the State
Colorado Department of Transportation(CDOT)
Mark Rogers,Project Manager
CDOT Region 1
222 South 6th Street
Grand Junction,CO 81501
970-683-6252
mark.rogers@state.co.us
For the Local Agency
CITY OF ASPEN
Lynn Rumbaugh,City of Aspen CMAQ Manager
130 South Galena Street
Aspen,CO 81611
970-920-5038
lynn.rumbaugh@cityofaspen.com
17. RIGHTS IN WORK PRODUCT AND OTHER INFORMATION
A. Work Product
Local Agency assigns to the State and its successors and assigns, the entire right, title, and interest in
and to all causes of action, either in law or in equity, for past, present, or future infringement of
intellectual property rights related to the Work Product and all works based on, derived from, or
incorporating the Work Product. Whether or not Local Agency is under contract with the State at the
time, Local Agency shall execute applications;assignments, and other documents, and shall render all
other reasonable assistance requested by the State, to enable the State to*secure patents, copyrights,
licenses and other intellectual property rights related to the Work Product.The Parties intend the Work
Product to be works made for hire.
i. Copyrights
To the extent that the Work Product (or any portion of the Work Product) would not be considered works
made for hire under applicable law,Local Agency hereby assigns to the State,the entire right,title,
and interest in and to copyrights in all Work Product and all works based upon, derived from, or
incorporating the Work Product; all copyright applications, registrations, extensions, or renewals
relating to all Work Product and all works based upon, derived from, or incorporating the Work
Product;and all moral rights or similar rights with respect to the Work Product throughout the world.
To the extent that Local Agency cannot make any of the assignments required.by this section,Local
Agency hereby grants to the State a perpetual,irrevocable,royalty-free license to use,modify,copy,
publish,display,perform,transfer,distribute,sell,and create derivative works of the Work Product
and all works based upon, derived from, or incorporating the Work Product by all means and
methods and in any format now known or invented in the future. The State may assign and license
its rights under this license.
ii. Patents
In addition, Local Agency grants to the State(and to recipients of Work Product distributed by or on behalf
of the State) a perpetual, worldwide, no-charge, royalty-free, irrevocable patent license to make,
have made,use,distribute,sell,offer for sale,import,transfer,and otherwise utilize,operate,modify
and propagate the contents of the Work Product. Such license applies only to those patent claims
licensable by Local Agency that are necessarily infringed by the Work Product alone, or by the
combination of the Work Product with anything else used by the State.
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B. Exclusive Property of the State
Except to the extent specifically provided elsewhere in this Agreement,any pre-existing State Records,
State software,research,reports,studies,photographs,negatives,or other documents,drawings,models,
materials, data, and information shall be the exclusive property of the State (collectively, "State
Materials"). Local Agency shall not use, willingly allow, cause or permit Work Product or State
Materials to be used for any purpose other than the performance of Local Agency's obligations in this
Agreement without the prior written consent of the State. Upon termination of this Agreement for any
reason, Local Agency shall provide all Work Product and State Materials to the State in a form and
manner as directed by the State.
18. GOVERNMENTAL IMMUNITY
Liability for claims for injuries to persons or property arising from the negligence of the Parties, their
departments, boards, commissions committees, bureaus, offices, employees and officials shall be controlled
and limited by the provisions of the GIA;the Federal Tort Claims Act,28 U.S.C.Pt.VI,Ch. 171 and 28 U.S.C.
1346(b),and the State's risk management statutes. §§24-30-1501,et seq. C.R.S.
19. STATEWIDE CONTRACT MANAGEMENT SYSTEM
If the maximum amount payable to Local Agency under this Agreement is$100,000 or greater,either on the
Effective Date or at anytime thereafter,this§19 shall apply.Local Agency agrees to be governed by and comply
with the provisions of §24-102-205, §24-102-206, §24-103-601, §24-103.5-101 and §24-105-102 C.R'S.
regarding the monitoring of vendor performance and the reporting of contract performance information in the
State's contract management system ("Contract Management System" or "CMS"). Local Agency's
performance shall be subject to evaluation and review in accordance with the terms and conditions of this
Agreement,Colorado statutes governing CMS,and State Fiscal Rules and State Controller policies.
20. GENERAL PROVISIONS
A. Assignment
Local Agency's rights and obligations under this Agreement are personal and may not be transferred or
assigned without the prior, written consent of the State. Any attempt at assignment or transfer without
such consent shall be void. Any assignment or transfer of Local Agency's rights and obligations
approved by the State shall be subject to the provisions of this Agreement
B. Subcontracts
Local Agency shall not enter into any subcontract in connection with its obligations under this
Agreement without the prior, written approval of the State. Local Agency shall submit to the State a
copy of each such subcontract upon request by the State.All subcontracts entered into by Local Agency
in connection with this Agreement shall comply with all applicable federal and state laws and
regulations,shall provide that they are governed by the laws of the State of Colorado,and shall be subject
to all provisions of this Agreement.
C. Binding Effect
Except as otherwise provided in §20.A. all provisions of this Agreement, including the benefits and
burdens,shall extend to and be binding upon the Parties'respective successors and assigns.
D. Authority
Each Party represents and warrants to the other that the execution and delivery of this Agreement and
the performance of such Party's obligations have been duly authorized.
E. Captions and References
The captions and headings in this Agreement are for convenience of reference only, and shall not be
used to interpret, define, or limit its provisions. All references in this Agreement to sections(whether
spelled Out or using the§symbol),subsections,exhibits or other attachments,are references to sections,
subsections, exhibits or other attachments contained herein or incorporated as a part hereof, unless
otherwise noted.
F. Counterparts
This Agreement may be executed in multiple, identical, original counterparts, each of which shall be
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deemed to be an original,but all of which,taken together,shall constitute one and the same agreement.
G. Entire Understanding
This Agreement represents the complete integration of all understandings between the Parties related to
the Work, and all prior representations and understandings related to the Work, oral or written, are
merged into this Agreement. Prior or contemporaneous additions, deletions, or other changes to this
Agreement shall not have any force or effect whatsoever,unless embodied herein.
H. Jurisdiction and Venue
All suits or actions related to this Agreement shall be filed and proceedings held in the State of Colorado
and exclusive venue shall be in the City and County of Denver.
I. Modification '
Except as otherwise provided in this Agreement, any modification to this Agreement shall only be
effective if agreed to in a formal amendment to this Agreement, properly executed and approved in '
accordance with applicable Colorado State law and State Fiscal Rules. Modifications permitted under
this Agreement, other than contract amendments, shall conform to the policies promulgated by the
Colorado State Controller.
J. Statutes,Regulations,Fiscal Rules,and Other Authority.
Any reference in this Agreement to a statute,regulation,State Fiscal Rule,fiscal policy or other authority
shall be interpreted to refer to such authority then current,as may have been changed or amended since
the Effective Date of this Agreement.
K. Order of Precedence
In the event of a conflict or inconsistency between this Agreement and any exhibits or attachment such
conflict or inconsistency shall be resolved by reference to the documents in the following order of
priority:
i. Colorado Special Provisions in the main body of this Agreement. _
ii. The provisions of the other sections of the main body of this Agreement.*
iii Exhibit A,Statement of Work.
iv. Exhibit D,Local Agency Resolution.
v. Exhibit C,Funding Provisions.
vi. Exhibit B,Sample Option Letter.
vii. Exhibit E,Local Agency Contract Administration Checklist.
viii.Other exhibits in descending order of their attachment.
L. Severability
The invalidity or unenforceability of any provision of this Agreement shall not affect the validity or
enforceability of any other provision of this Agreement, which shall remain in full force and effect,
provided that the Parties can continue to perform their obligations under this Agreement in accordance
with the intent of the Agreement.
M. Survival of Certain Agreement Terms
Any provision of this Agreement that imposes an obligation on a Party after termination or expiration of
the Agreement shall survive the termination or expiration of the Agreement and shall be enforceable by
the other Party.
N. Taxes
The State is exempt from federal excise taxes under I.R.C.Chapter 32 (26 U.S.C., Subtitle D, Ch. 32)
(Federal Excise Tax Exemption Certificate of Registry No. 84-730123K) and from State and local
government sales and use taxes under§§39-26-704(x),er seq. C.R.S. (Colorado Sales Tax Exemption
Identification Number 98-02565).The State shall not be liable for the payment of any excise,sales,or
use taxes, regardless of whether any political subdivision of the state imposes such taxes on Local
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Agency.Local Agency shall be solely responsible for any exemptions from the collection of excise,sales
or use taxes that Local Agency may wish to have in place in connection with this Agreement.
N. Thud Party Beneficiaries '
Except for the Parties' respective successors and assigns described in §20.C, this Agreement does not
and is not intended to confer any rights or remedies upon any person or entity other than the Parties.
Enforcement of this Agreement and all rights and obligations hereunder are reserved solely to the Parties.
Any services or benefits which third parties receive as a result of this Agreement are incidental to the
Agreement,and do not create any rights for such third parties.
O. Waiver
A Party's failure or delay in exercising any right, power, or privilege under this Agreement, whether
explicit or by lack of enforcement,shall not operate as a waiver,nor shall any single or partial exercise
of any right,power,or privilege preclude any other or further exercise of such right,power,or privilege.
P. CORA Disclosure
To the extent not prohibited by federal law,this Agreement and the performance measures and standards
required under§24-103.5-101 C.R.S.,if any,are subject to public release through the CORA.
Q. Standard and Manner of Performance
Local Agency shall perform its obligations under this Agreement in accordance with the highest
standards of care,skill and diligence in Local Agency's industry,trade,or profession.
R. Licenses,Permits,and Other Authorizations.
Local Agency shall secure,prior to the Effective Date,and maintain at all times during the term of this
Agreement,at its sole expense,all licenses,certifications, permits,and other authorizations required to
perform its obligations under this Agreement, and shall ensure that all employees, agents and
Subcontractors secure and maintain at all times during the term of their employment, agency or
subcontract, all license, certifications, permits and other authorizations required to perform their
obligations in relation to this Agreement..
21. COLORADO SPECIAL PROVISIONS
These Special Provisions apply to all contracts except where noted in italics.
A. CONTROLLER'S APPROVAL.§24-30-202(1),C.R.S.
This Agreement shall not be valid until it has been approved by the Colorado State Controller or
designee.
B. FUND AVAILABILITY.§24-30-202(5.5),C.R.S.
Financial obligations of the State payable after the current State Fiscal Year are contingent upon funds
for that purpose being appropriated,budgeted,and otherwise made available.
C. GOVERNMENTAL IMMUNITY.
No term or condition of this Agreement shall be construed or interpreted as a waiver,express or implied,
ofany of the immunities,rights,benefits,protections,or other provisions,of the Colorado Governmental
Immunity Act,§24-10-101 el seq. C.R.S.,or the Federal Tort Claims Act,28 U.S.C.Pt.VI,Ch. 171 and
28 U.S.C. 1346(b).
D. INDEPENDENT CONTRACTOR
Local Agency shall perform its duties hereunder as an independent contractor and not as an employee.
Neither Local Agency nor any agent or employee of Local Agency shall be deemed to be an agent or
employee of the State. Local Agency and its employees and agents are not entitled to unemployment
insurance or workers compensation benefits through the State and the State shall not pay for or otherwise
provide such coverage for Local Agency or any of its agents or employees. Unemployment insurance
benefits will be available to Local Agency and its employees and agents only if such coverage is made
available by Local Agency or a third party.Local Agency shall pay when due all applicable employment
taxes and income taxes and local head taxes incurred pursuant to this Agreement. Local Agency shall
not have authorization,express or implied,to bind the State to any agreement,liability or understanding,
except as expressly set forth herein. Local Agency shall (i) provide and keep in force workers'
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compensation and unemployment compensation insurance in the amounts required by law, (ii)provide
proof thereof when requested by the State, and (iii) be solely responsible for its acts and those of its
employees and agents.
E. COMPLIANCE WITH LAW.
Local Agency shall strictly comply with all applicable federal and State laws, rules, and regulations in
effect or hereafter established,including,without limitation,laws applicable to discrimination and unfair
employment practices.
F. CHOICE OF LAW.
Colorado law,and rules and regulations issued pursuant thereto, shall be applied in the interpretation,
execution, and enforcement of this Agreement. Any provision included or incorporated herein by
reference which conflicts with said laws, rules, and regulations shall be null and void. Any provision
incorporated herein by reference which purports to negate this or any other Special Provision in whole
or in part shall not 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 shall not
invalidate the remainder of this Agreement,to the extent capable of execution.
G. BINDING ARBITRATION PROHIBITED.
The State of Colorado does not agree to binding arbitration by any extra judicial body or person. Any
provision to the contrary in this Agreement or incorporated herein by reference shall be null and void.
H. SOFTWARE PIRACY PROHIBITION.Governor's Executive Order D 002 00.
State or other public funds payable under this Agreement shall not be used for the acquisition,operation,
or maintenance of computer software in violation of federal copyright laws or applicable licensing
restrictions.Local Agency hereby certifies and warrants that,during the term of this Agreement and any
extensions, Local Agency has and shall maintain in place appropriate systems and controls to prevent
such improper use of public funds. If the State determines that Local Agency is in violation of this
provision, the State may exercise any remedy available at law or in equity or under this Agreement, .
including,without limitation,immediate termination of this Agreement and any remedy consistent with
federal copyright laws or applicable licensing restrictions.
I. EMPLOYEE FINANCIAL INTEREST/CONFLICT OF INTEREST.§§24-19-201 and 24-50-507,
C.R.S.
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 Agreement.Local Agency has no interest
and shall not acquire any interest,direct or indirect,that would conflict in any manner or degree with the
performance of Local Agency's services and Local Agency shall not employ any person having such
known interests.
22. FEDERAL REQUIREMENTS
Local Agency and/or their contractors,subcontractors,and consultants shall at all times during the execution
of this Agreement strictly adhere to,and comply with,all applicable federal and State laws,and their
implementing regulations,as they currently exist and may hereafter be amended.A summary of applicable
federal provisions are attached hereto as Exhibit F,Exhibit 1,Exhibit J,Exhibit K and Exhibit M are
hereby incorporated by this reference.
23. DISADVANTAGED BUSINESS ENTERPRISE(DBE)
Local Agency will comply with all requirements of Exhibit G and Local Agency Contract Administration
Checklist regarding DBE requirements for the Work,except that if Local Agency desires to use its own DBE
program to implement and administer the DBE provisions of 49 C.F.R. Part 26 under this Agreement,it must
submit a copy of its program's requirements to the State for review and approval before the execution of this
Agreement.If Local Agency uses any State-approved DBE program for this Agreement,Local Agency shall
be solely responsible to defend that DBE program and its use of that program against all legal and other
challenges or complaints,at its sole cost and expense. Such responsibility includes,without limitation,
determinations concerning DBE eligibility requirements and certification,adequate legal and factual bases for
DBE goals and good faith efforts.State approval(if provided)of Local Agency's DBE program does not
waive or modify the sole responsibility of Local Agency for use of its program.
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24. DISPUTES
Except as otherwise provided in this Agreement,any dispute concerning a question of fact arising under.this
Agreement which is not disposed of by agreement shall be decided by the Chief Engineer of the Department
of Transportation.The decision of the Chief Engineer will be final and conclusive unless,within 30 calendar
days after the date of receipt of a copy of such written decision,Local Agency mails or otherwise furnishes to
the State a written appeal addressed to the Executive Director of CDOT.In connection with any appeal
proceeding under this clause,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,Local Agency shall proceed diligently
with the performance of this Agreement 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 shall 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 Agreement,however,shall
be construed as making final the decision of any administrative official,representative,or board on a question
of law.
THE REMAINDER OF THIS PAGE IS INTENTIONALLY LEFT BLANK
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EXHIBIT A, STATEMENT OF WORK
I
COIDRADD pBARTYtMT W TWaSIonIATION Cdp.0m.:021032017 R.I..Cabe(SAa1:21931 ST ,:SIN3659
DESIGN DATA R:.Oac Ploj e:AOC M04540 IS
Rwwcns:0 nft cen.,
Rp.1 to Pyne:03 p,clao, rptln:Aspen Bike Share Phase 2 CMAO
Salus: ❑ Preliminary El Final ❑ Revised
County:097
Submitted By M:LOMBi4fa01P Apprwdny ReOam Engineer:
now M I :A m
cern Cod.:t-Nd an any FMe[el-eW System
Pavhd by: w ,Assume0/Locel Administered
Da.: Rennd len n: 0.000
cre; Ixakn:RTI NCOUNTY/ASPENCMAOAREA
T olTnan:MWetaln011s '
0sudpun of Roposatl CnarvclhNYnpwernnt(Al1aN my dwwinp ate laetlon)
PURCHASE OF MULTIPLE NEW STATIONS TO EXPAND THE BIKE SHARESYSTEM
Project Chamcledetks(IN ryoadI Yedn(Twe): ❑ 0maad ❑ P.md ❑ R.ad ❑ None
Ugnlieg rl Hndc ftm,es M Traffic Cntrtl Siena. Sri
Qv sne OuNer 171 Left-TumSots 0 Continuous Wdth•
rl Sime Width• rl aeex Wale• M RI t-Tum 9dta n Canlinuou. Width=
Pedti.o We Width- nDawn Boning Cnarvd'Nn n Ftrmnso
❑ IAndwpM9rawkamnts(daanRinl: ❑ 0thar(d ptln):
RNyd of Wry Ya W. Fn.e Utilities(panama of known Way c.,Wes)
Rev W.Penn,&Tern.RpWrd No
R.aaln Raquhad No
Tampaary Eassmerd gpuird: No
Chnp[In A¢ac No
Chnp.to Conatlrlp Rod.: No
Reitroad Crosainps sof CroaMp.:
Em,ko mal Type: Ap d On: Raj.Cada a Coated Under: Ro1M a[pard Under:
PCEProgrammatic 03/072015
Gemmell.:NO DISTURSANCEOR PEMANE14T ACTIVITIES WITHIN EXISTING URBAN AREA ASSOCIATED WITH THIS FROJ ECT. NO
IMPACT TO T8E RESOURCES.
CaerAnalion
❑ WdhOwnlane.(Power Sid,Raaarvo4l Bc.l Oaerd Nrwip�&MerFona 9.rviw Omn IRlpslun Ditch Nern*:
❑ N.w TraMc(>,% leRqed
� ❑ Yedth s[n*dd*el&htN9 a.dtnn[* MunclpsYy:Aspen
an.:
Cunetrtxtlln Method AMdhada, Ne dR.an: Etny'Apdcy C*nlatt Nam*: Rn.e:
None Mlscetleneous
SetetyrOmalderetbns Rq.a Under: riurdtal m.as wrmlanevec No
C
❑ Vdnc.In Mlnanum Ddn Snderda R.Aukd ❑ 5afary pojat M d mnsnt.:
❑ Junlficatln Alapu.
Nad ❑ Ra1.1,e wonaad
80 .aaesml2 S.a Rv
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❑ Sia Cnarvclin a an h rerrierk
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Exhibit A—Page 1 of 3
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n Prwle. n an. n P•.e.u. n M. n rPw.er. n M. n tura. n en. n Pn..Pu n aNro
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Exhibit A—Page 2 of 3
Aw 3 of 3 Rojxt Cod.#(SO); Rojw t: Realm Det.:
21931 AOC M045-018
Mawstft w" 5= taday. = to b.rarnmocl,N propomdnwvdrvpure
R.f.r�m &en4rd &radon Structum HarimMel V.M1iW Ywr
Structure lot L� Fbitd F.etun Ftvmcted MI-I Ruda h i CYerenc. CMaaic. Built
Ropofed T,.W of&idpmto a W.F PIecNWdr.se laitlg.rel.cepsitl,end tllew etle eurleNnp tnlekneml:
Remarks
Exhibit A—Page 3 of 3
EXHIBIT B, SAMPLE OPTION LETTER
State Agency Option Letter Number
Department of Transportation ZOPTLETNUM
Local Agency Agreement Routing Number
ZVENDORNAME ZSMARTNO
Agreement Maximum Amount
Initial term.
State Fiscal Year ZFYY_I $ZFYA_I
Extension terms Agreement Effective Date
State Fiscal Year ZFYY_2 $ZFYA 2 The later of the effective date or ZSTARTDATEX
State Fiscal Year ZFYY_3 $ZFYA3
State Fiscal Year ZFYY 4 $ZFYA__4
State Fiscal Year ZFYY_5 $ZFYA_5 Current Agreement Expiration Date
Total for all state fiscal years $ ZTERMDATEX
ZPERSVC_MAX_
AMOUNT
1.OPTIONS:
A.Option to extend for an Extension Term
B. Option to unilaterally authorize the Local Agency to begin a phase which may include Design, Construction,
Environmental,Utilities,ROW incidentals or Miscellaneous ONLY(does not apply to Acquisition/Relocation or
Railroads)and to update encumbrance amounts(a new Exhibit C must be attached with the option letter and shall
be labeled C-1,future changes for this option shall be labeled as follows:C-2,C-3;C4,etc.).
C.Option to unilaterally transfer funds from one phase to another phase(a new Exhibit C must be attached with
the option letter and shall be labeled C-1, future changes for this option shall be labeled as follows:C-2,C-3,C-
4,etc.).
D.Option to unilaterally do both A and B(a new Exhibit C must be attached with the option letter and shall be
labeled C-1, future changes for this option shall be labeled as follows:C-2,C-3,C-4,etc.).
E.Option to update a Phase Performance Period and/or Modify OMB Uniform Guidance Information.
2.REQUIRED PROVISIONS:
Option A
In accordance with Section 2,C of the Original Agreement referenced above,the State hereby exercises its option
for an additional term,beginning on(insert date)and ending on the current contract expiration date shown above,
under the same funding provisions stated in the Original Contract Exhibit C,as amended.
Option B
In accordance with Section 7,E of the Original Agreement referenced above,the State hereby excerises its option to
authorize the Local Agency to begin a phase that will include(describe which phase will be added and inchide all
that apply—Design, Construction,Environmental, Utilities, ROW incidentals or Miscellaneous)and to encumber
previously budgeted funds for the phase based upon changes in funding availability and authorization.The
encumbrance for(Design, Construction,Environmental, Utilities,ROW incidentals or Miscellaneous)is(insert
dollars here).A new Exhibit C-1 is made part of the original Agreement and replaces Exhibit C. (The following is
a NOTE only,please delete when using this option.Future changes for this option for Exhibit Cshall be Tabled as
follows: C-2, C-3, C4, etc.).
Option C
In accordance with Section 7,E of the Original Agreement referenced above,the State hereby excerises its option to
Exhibit B-Page 1 of 2
authorize the Local Agency to transfer funds from(describe phase from which funds will be moved)to(describe
phase to which funds will be moved)based on variance in actual phase costs and original phase estimates.A new
Exhibit C-1 is made part of the original Agreement and replaces Exhibit C.
Option D
In accordance with Section 7,E of the Original Agreement referenced above,the State hereby excerises its option to
authorize the Local Agency to begin a phase that will include(describe which phase will be added and include all
that apply—Design, Construction,Environmental, Utilities.ROW incidentals or Miscellaneous);2)to encumber
funds for the phase based upon changes in funding availability and authorization;and 3)to transfer funds from
(describe phasefrom which funds will be moved)to(describe phase to which funds will be moved)based on
variance in actual phase costs and original phase estimates.A new Exhibit C-1 is made part of the original
Agreement and replaces Exhibit C.
(The following language must be included on ALL options):
The Agreement Maximum Amount table on the Contract's Signature and Cover Page is hereby deleted and replaced
with the Current Agreement Maximum Amount table shown above.
Option E
In accordance with Section 7,E of the Original Agreement referenced above,the State hereby excerises its option to
authorize the Local Agency to update a Phase Performance Period and/or Modify OMB Uniform Guidance
Information.A new Exhibit C-1 is made part of the original Agreement and replaces Exhibit C.
3.OPTION EFFECTIVE DATE:
The effective date of this option letter is upon approval of the State Controller or delegate.
APPROVALS:
State of Colorado:
John W.Hickenlooper,Governor
By: Date:
Executive Director,Colorado Department of Transportation
ALL CONTRACTS MUST BE APPROVED BY THE STATE CONTROLLER
CRS§24-30-202 requires the State Controller to approve all State Contracts.This Agreement is not valid
until signed and dated below by the State Controller or delegate.Contractor is not authorized to begin
performance until such time.If the Local Agency.begins performing prior thereto,the State of Colorado is
not obligated to pay the Local Agency for such performance or for any goods and/or services provided
hereunder.
State Controller
Robert Jaros,CPA,MBA,JD
By:
Date:
Exhibit B-Page 2 of 2
EXHIBIT C—FUNDING PROVISIONS AQC M045-016(21931)
A. Cost of Work Estimate
The Local Agency has estimated the total cost the Work to be$180,000.00,which is to be funded as follows:
1. BUDGETEDFUNDS
a. Federal Funds $149,022.00
(82.79%of Participating Costs)
b. Local Agency Matching Funds 530,978.00
(17.21%of Participating Costs)
TOTAL BUDGETED FUNDS $180.000.00
2. OMB UNIFORM GUIDANCE
a. Federal AwardIdentification Number(FAIN): TBD
b. Federal Award Date(also Phase Performance Start Date): See Below
c. Amount of Federal Funds Obligated: $149,022.00
d. Total Amount of Federal'Award: $149,022.00
e. Name of Federal Awarding Agency: FHWA
f FDA#Highway Planning and Construction CFDA 20.205
g. Is the Award for R&D? No
h. Indirect Cost Rate(if applicable) N/A
3. ESTIMATED PAYMENT TO LOCAL AGENCY
a. Federal Funds Budgeted $149,022.00
b. Less Estimated Federal Share of CDOT-Incurred Costs $0.00
TOTAL ESTIMATED PAYMENT TO LOCAL AGENCY $149,022.00
4. FOR CDOT ENCUMBRANCE PURPOSES
a. Total Encumbrance Amount $180,000.00
b. Less ROW Acquisition 3111 and/or ROW Relocation 3109 $0.00
Net to be encumbered as follows: $180,000.00
Note:Design and Construction phase funds are currently not available.Design and Construction funds will
become available after federal authorization and execution of an Option Letter(Exhibit B)or formal
Amendment
WBS Element 21931.10.50 Performance Period Start*/End Date Misc 3404 $180,000.00
4/3/2018 / 12/31/2020
WBS Element««o»> Performance Period Start*/End Date Const. 3301 $0.00
N/A / N/A
*The Local Agency should not begin work until all three of the following are in place: 1)Phase Performance
Period Start Date;2)the execution of the document encumbering funds for the respective phase; and 3)
Local Agency receipt of the official Notice to Proceed.Any work performed before these three milestones are
achieved will not be reimbursable.
Exhibit C-Page 1 of 2
B. Matching Funds
The matching ratio for the federal participating funds for this Work is 82.79% federal-aid funds to
17.21%Local Agency funds, it being understood that such ratio applies only to the$180,000.00 that
is eligible for federal participation, it being further understood that all non-participating costs are
borne by the Local Agency at 100°/x. If the total participating cost of performance of the Work
exceeds$180,000.00,and additional federal funds are made available for the Work,the Local
Agency shall pay 17.2 1%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 $180,000.00,
then the amounts of Local Agency and federal-aid funds will be decreased in accordance with the
funding ratio described herein.The performance of the Work shall be at no cost to the State.
C. Maximum Amount Payable
The maximum amount payable to the Local Agency under this Agreement shall be$149,022.00(for
CDOT accounting purposes, the federal funds of$149,022.00 and the Local Agency matching funds
of$30,978.00 will be encumbered for a total encumbrance of$180,000.00),unless such amount is
increased by an appropriate written modification to this Agreement 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 Agreement,and that such cost is subject to revisions(in accord with the procedure in the
previous sentence)agreeable to the parties prior to bid and award.
The maximum amount payable shall be reduced without amendment when the actual amount of the Local
Agency's awarded contract is less than the budgeted total of the federal participating funds and the Local
Agency matching funds. The maximum amount payable shall be reduced through the execution of an Option
Letter as described in Section 7.E.of this contract.
D. Single Audit Act Amendment
All state and local government and non-profit organizations receiving more than$750,000 from all funding
sources defined as federal financial assistance for Single Audit Act Amendment purposes shall comply with
the audit requirements of 2 CFR part 200,subpart F(Audit Requirements)see also,49 C.F.R. 18.20 through
18.26.The Single Audit Act Amendment requirements applicable to the Local Agency receiving federal funds
are as follows:
i. Expenditure less than$750,000
If the Local Agency expends less than$750,000 in Federal funds(all federal sources,not just
Highway funds)in its fiscal year then this requirement does not apply.
u. Expenditure of$750,000 or more-Highway Funds Only
If the Local Agency expends 5750,000 or more,in Federal funds,but only received federal
Highway funds(Catalog of Federal Domestic Assistance,CFDA 20.205)then a program specific
audit shall be performed.This audit will examine the"financial"procedures and processes for this
program area.
iii. Expenditure of$750,000 or more-Multiple Funding Sources
If the Local Agency expends$750,000 or more in Federal funds,and the Federal funds are from
multiple sources(FTA,HUD,NPS,etc.)then the Single Audit Act applies,which is an audit on
the entire organizationlentity. '
iv. Independent CPA
Single Audit shall only be conducted by an independent CPA,not by an auditor on staff.An audit
is an allowable direct or indirect cost.
Exhibit C-Page 2 of 2
EXHIBIT D, LOCAL AGENCY RESOLUTION
NOT APPLICABLE
EXHIBIT E, LOCAL AGENCY CONTRACT ADMINISTRATION CHECKLIST
LOCAL AGENCY CONTRACT ADMINISTRATION CHECKLIST
The following checklist has been developed to ensure that all required aspects of a
project approved for Federal funding have been addressed and a responsible party
assigned for each task.
After a project has been approved for Federal funding in the Statewide Transportation
Improvement Program,the Colorado Department of Transportation(CDOT)Project
Manager, Local Agency project manager,and CDOT Resident Engineer prepare the
checklist. It becomes a part of the contractual agreement between the Local Agency
and CDOT.The CDOT Agreements Unit will not process a Local Agency agreement
without this completed checklist. It will be reviewed at the Final Office Review meeting
to ensure that all parties remain in agreement as to who is responsible for performing
individual tasks.
xvi
Exhibit E—Page 1 of 5
COLORADO DEPARTMENT OF TRANSPORTATION -
LOCAL AGENCY CONTRACT ADMINISTRATION CHECKLIST
Project No. STIP No. Project Code Region
AOC M045-018
SIN3859 219.31 03
Project Location Date
City of AsIpenlPirtlan County 02/03/2017
Project Description
2017 Sikashare purchse of 3 Kiosks
Local Agency Local Agency Project Manager
City ofAspen Mark R ers
CDOT Resident Engineer COOT Project Manager
Pete Lombardi
INSTRUCTIONS:
This checklist shall be utilized to establish the contract administration responsibilities of the individual parties to this agreement.
The checklist becomes an attachment to.the Local Agency agreement Section numbers correspond to the applicable chapters
of the COOT Local Agency Manuel.
The checklist shall be prepared by placing an Wunder the responsible party,opposite each of the tasks.The"X*denotes the
parry responsible for initiating and executing the task Only one responsible party should be selected.When neither COOT nor
the Local Agency is responsible for a task not applicable(NA)shall be noted.In addition,a"M will denote that COOT must
concur or approve.
Tasks that wit be performed by Headquarters staff will be indicated.The Regions,in accordance with established policies and
procedures,will determine who will perform all other tasks that are the responsibility of COOT.
The cheddst shall be prepared by the COOT Resident Engineer or the COOT Project Manager,in cooperation with the Local
Agency Project Manager,and submitted to the Region Program Engineer.If contract administration responsibilities change,.the
CDOT Resident Engineer,in cooperation with the Local Agency Project Manager,will prepare and distribute a revised checklist
RESPONSIBLE
NO. DESCRIPTION OF TASK' PARTY
LA COOT
TIP I STIP AND LONG-RANGE PLANS
-2.1 Review Project to ensure it is consistentwith STIP and amendments thereto I X
FEDERAL FUNDING OBLIGATION AND AUTHORIZATION
4,1 Authorize funding by phases(CDOT Form 418-Federal-aid Program Data.Requires FHWA %
concurrence'iinvolvement
PROJECT DEVELOPMENT
5.1 Prepare Design Data-CDOT Form 483 X
5.2 Prepare Local A enc DOT Inter-Governmental Agreement see also Chapter 3 X
5.3 Conduct Consultant Selection/Execute Consultant A reement WA
5.4 Conduct Design Scin Review Meeting WA
5.5 Conduct Public lnvoNement %
5.0 Conduct Field Inspection Rev"revr FIR WA
5.7 Conduct Environmental Processes(may requin,FHWAcanou"noeAnwNemmt WA
5.8 Acquire Ri htcf-Way(may require FHWA concuomceAnwNement WA
5.9 Obtain Utility and Railroad Agreements WA
5.10 Conduct Final Office Review FOR WA
5.11 Justify Force Account Work by the Local Agency WA
5.12 J Pro seta Sole Source.or.Local Agency Furnished Item WA
5.73 Document Des' nF�ce ions-COOT Form 484 WA
5.14 1 Prepare Rare Specrlicwtions and Construction Cost Estimates I WA
5.15 1 Ensure Authorization of Funds for Construction %
CDOT Form 1243 01113 Paget of 4
Previous edi ons are obsolete and may net be used
Exhibit E—Page 2 of 5
RESPONSIBLE
NO. DESCRIPTION OF TASK PARTY
LA COOT
PROJECT DEVELOPMENT CIVIL RIGHTS AND LABOR COMPLIANCE
6.1 Sat Underubtized Disadvantaged Business Enterprise(UBDE)Goals for Consultant and WA
Construction Contracts(CDOT Region EEOrCrvl Rights Specialisil
6.2 Determine Applicability of Davis-Bacon Act X
This project®is ❑is not exempt from Davis-Bann requirements as determined by the
functional classification of the project location(Projects located on local roads and rural
minor collectors may be exempt)
PETE LOMBARDI
COOT Resident En 'neer(Signature on Fia Date
6.3 Set On-the-lob Training Goals.Goal is zero if total construction is less than St million(CDOT X
Re an EEQI l Rightsspecialist)
6.4 Tibe VI Assurances WA
Ensure the correct Federal Wage Dec"son,all required Disadvantaged Business
Enterprise/On-tho-Job Training special provisions and FHWA Form 1273 are included in the WA
Contract CDOT Resident Engineer)
ADVERTISE BID AND AWARD
7.1 Obtain Approval for Advertisement Period of Less Than Three Weeks WA
7.2 Advertise for Bids WA
7.3 Distribute'Advertisement Set*of Plans and Specifications WA
7.4 Review Worksite and Plan Details with Prospective Bidders While Project Is Under WA
Advertitemerd
7.5 Open Bids WA
7.6 Process Bids for Compliance
Check COOT Form 715-Certificate of Proposed Underutil¢ed DBE Partdpation when the
low bidder meets UDBE goals X
Evaluate CDOT Form 718.Underutilized DBE Good Faith Effort Documentation and
determine d the Contractor has made a good faith effort when the low bidder does not meet X
DBE owls
Submit required documentation for COOT award concortence WA
7.7 Concurrence from COOT to Award %
7.8 Approve Rejection of Lav Bidder x
7.9 Award Contract X
7.10 Prwide'Avard'and'Rewrd'Sets of Plans and Specifications WA
CONSTRUCTION MANAGEMENT
8.1 Issue Notice to Proceed to the Contractor NA
_ 8.2 Project Safety I NA
8.3 Conduct Conferences
Pre-Construction Conference ndlz 8) NA
• Construction staking NA
• Monumenation
PaMerin (Opflorall NA
fJ_ Structural Concrete Pre-Pour(Agenda Is In CDOT Cmseuceor Manuel) NA
Concrete Pavement Pre-Pavm ende is In COOT Cowl ucUm Mawall, NA
HMA Pre-P arvlm (Agenda is In CDOT Ceeseucdsn Manuap NA
8.4 Develop and distribute Pubic Notice of Planned Construction to media and kcal residents NA
8.5 Supervise Construction
A Professional Engineer(Pct registered in Colorado,who veil be'in responsible charge of
construction supervision.'
Local Agency Professional Engineer or Phone number WA
CDOT Resident En .neer
CWTForm1243 01113Page2or4
previous edltlonss are obsolete and may not be used
Exhibit E—Page 3 of 5
RESPONSIBLE
NO. DESCRIPTION OF TASK PART'
LA CDOT
Provide competent,experienced staff who will ensure the Contract work is constructed in
accordance with the plans and specifications NA
Construction inspection and documentation NA
8.6 Approve Shop Drawings NA
8.7 Perform Traffic Control Inspectons NA
8.8 Perform Construction Surveyim NA
8.9 Monument Riaht-of-way NA
8.10 Prepare and Approve Interim and Final Contractor Pay Estimates
Provide the name and phone number of the person authorized for this task
LTNN RUMBAUGH
Local
A en Re resentadae Phone number
8.11 Prepare and Approve Interim and Final Utility and Railroad Billings NA
8.12 Prepare Local Agency Reimbursement Requests x
8.13 Prepare and Authorize Change Orders NA
8.14 Approve All Chawe Orders x
8.15 Monitor Project Financial Stade NA
8.18 Prepare and Submit Monthly Progress Re ds NA
8.17 Resolve Contractor Claims and Disputes NA
8.18 Conduct Routine and Random Project Reviews
Provide the name and phone number of the person responsible for this task x
P O I
COOT Resident Engineer Phone number
MATERIALS
9.1Conduct Materials Pre-Construction Meefina NA
9.2 Complete CDOT Form 250-Materials Documentation Record
• Generate form,which includes detemuning the minimum number of required tests and NA
applicable material submittals for all materials placed on the project
• Update the form as work progresses
• Complete and distribute form after work's completed
9.3 Perform Pmbct Acceptance Sam les and Tests NA .
9.4 Perform Laboratory Verfication Tests NA
9.5 Accept Manufactured Products NA
Inspection of structural components:
• Fabrication of structural steel and pre-stressed concrete structural components
• Bndge modular expansion devices((Ym 8'or greater)
• Fabrication of bearing devices
9.6 Approve Sources of Materials NA
9.7 Independent Assurance Testing(IAT),Local Agency Procedures 19 CDOT Procedures
• Generate IAT schedule
• Schedule and provide notification '
• Conduct IAT
9.8 Approve mix designs
• Concrete NA
• Hot nrix asphalt NA
9.9 .Check Final Material.Documentation NA
9.10 Complete and Distribute Final Materials Documentation NA
CD0TForm1243 01117 Page7ol4
Pr•Nous edlllons ma obsolete and may not be used
Exhibit E—Page 4 of 5
CONSTRUCTION CIVIL RIOHTSAND LABOR COMPLIANCE
EO.2
Fulfill Project Bulletin Board and Pre-Construction Packet Requirements NA
Process CDOT Form 205.Sublet Permit Application
Reviewand sign completed COOT Form 205 for each subcontractor,and submit b NA
EEO/C'rvi1R' hts c¢Ist
Conduct Equal Employment Opportunity and Labor Compliance Verification Employee NA
Interviews. Complete COOT Foran 280
Monkor Disadvantaged Business Enterprise Participation to Ensure Compliance with the NA
'Comrneroial UsefulFunction' uiConduct Interviews When Project Utilizes On-the-Job Trainees.Complete COOT Form 200- NA
OJT Trainino Questionnaire
10.8 1 Check Certified Payrolls(Contact the Region EEO)CK Rights SpeciallMs for baring ulrements. NA
10.7 1 Submit FHWA Form 1391-Highmy HighwayConsWcbon Contractor's Annual EEO Report RA
FINALS
11.1 Conduct Final Project Inspection.Complete and submit COOT Form 1212-Final X
Acceptance Report(Resident Engineer MM mandatory Loeal Agency pWtlpegm.)
11.2. Write Final Project Acceptance Letter X
11.3 Advertise for Final Settlement X
11.4 Prepare and Distribute Final As-Constructed Plans NA
11.5 Prepare EEO Certification NA
11.8 Check Final Quantities,Plans,and Pay EsYunate;Check Project Documentation;and submit X
Final Certifications
11.7 Check Material Documentation and AcceptFinal Material Certification See Chapter 9 NA
11.8 Obtain CDOT Form 17 from the Contractor and Submit to the Resident Engineer NA
11.9 Obtain FHWA Form 47-Statement of Materials and Labor Used... from Me Contractor NA
11.10 Complete and Submit COOT Form 1212—Final Acceptance Report b COO X
11.11 Process Final Pe nt X X
71.12 Com eta and Submit COOT Form 950-Project Closure I X
11.13 1 Retain Prolect Records for Sia Years from Date of Project Closure X
11.14 1 Retain Final Version of Local Agency Contract Administration Checklist X
rx COOT Resident Engineer/Project Manager
COOT Region Program Engineer -
COOT Region EEO/Civil Rights Specialist
COOT Region Materials Engineer
COOT Contracts and Market Analysis Branch
Local Agency Project Manager
CDOTForm1243 Dl113Pags4M4
Previous eegtlons are obsolete and may net be used
Exhibit E—Page 5 of 5
EXHIBIT F,CERTIFICATION FOR FEDERAL-AID CONTRACTS
The Local Agency certifies,by signing this Agreement,to the best of its knowledge and belief,that:
No Federal appropriated funds have been paid or will be paid, by or on behalf of the undersigned,to any person for
influencing or attempting to influence an officer or employee of any Federal agency,a Member of Congress,an officer
or 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,Agreement,loan,or cooperative agreement.
If any funds other than Federal appropriated funds have been paid or will be paid to any person for influencing or
attempting to influence an officer of Congress, or an employee of a Member of Congress in connection with this
Federal contract, Agreement, loan, or cooperative agreement, the undersigned shall complete and submit Standard
Form-LLL,"Disclosure Form to Report Lobbying," in accordance with its instructions.
This certification is a material representation of fact upon which reliance was placed when this transaction was made
or entered into.Submission of this certification is a prerequisite for making or entering into this transaction imposed
by Section 1352,Title 31,U.S.Code.Any person who fails to file the required certification shall be subject to a civil
penalty of not less than$10,000 and not more than$100,000 for each such failure.
The prospective participant also agree by submitting his or her bid or proposal that he or she shall require that the
language of this certification be included in all lower tier subcontracts,which exceed$100,000 and that all such sub-
recipients shall certify and disclose accordingly. '
Exhibit F-Page 1 of I
EXHIBIT G
INTENTIONALLY OMITTED]
Exhibit G-Page 1 of I
EXHIBIT H, LOCAL AGENCY PROCEDURES FOR 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 are issued to ensure that a qualified consultant is obtained through an equitable
selection process,that prescribed work is properly accomplished in a timely manner,and at fair and reasonable cost"
and according to 23 CFR 172.5 "Price shall not be used as a factor in the analysis and selection phase."Therefore,
local agencies must comply with these CFR requirements when obtaining professional consultant services under a
federally funded consultant contract administered by CDOT.
CDOT has formulated its procedures in Procedural Directive(P.D.)400.1 and the related operations guidebook titled
"Obtaining Professional Consultant Services". This directive and guidebook incorporate requirements from both
Federal and State regulations,i.e.,23 CFR 172 and CRS§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 the procedures and laws described in the Procedural Directive and the guidebook are quite lengthy, the
subsequent steps serve as a short-hand guide to CDOT procedures that a Local Agency must follow in obtaining
professional consultant services.This guidance follows the format of 23 CFR 172.The steps are:
1. The contracting Local Agency shall document the need for obtaining professional services.
2. Prior to solicitation for consultant services,the contracting Local Agency shall develop a detailed scope of
work and a list of evaluation factors and their relative importance.The evaluation factors are those identified .
in C.R.S.24-30-1403.Also,a detailed cost estimate should be prepared for use during negotiations.
3. The contracting agency must advertise for contracts in conformity with the requirements 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 Local Agency shall not advertise any federal aid contract without prior review by the CDOT Regional
Civil Rights Office(RCRO)to determine whether the contract shall be subject to a DBE contract goal. If the
RCRO determines a goal is necessary, then the Local Agency shall include the goal and the applicable
provisions within the advertisement. The Local Agency shall not award a contract to any Contractor or
Consultant without the confirmation by the CDOT Civil Rights and Business Resource Center that the
Contractor or Consultant has demonstrated good faith efforts. The Local Agency shall work with the CDOT
RCRO to ensure compliance with the established terms during the performance of the contract.
5.The Local Agency shall require that all contractors pay subcontractors for satisfactory performance of work
no later than 30 days after the receipt of payment for that work from the contractor.For construction projects,
this tiem period shall be reduced to seven days in accordance with Colorado Revised Statute 24-91-103(2). If
the Local Agency withholds retainage from contractors and/or allows contractors to withhold retainage from
subcontractors,such retainage provisions must comply with 49 CFR 26.29.
6. Payments to all Subconsultants shall be made within thirty days of receipt of payment from [the Local
Agency] or no later than ninety days from the date of the submission of a complete invoice from the
Subconsultant, whichever occurs first. If the Consultant has good cause to dispute an amount invoiced by a
Subconsultant,the Consultant shall notify[the Local Agency]no later than the required date for payment. Such
notification shall include the amount disputed and justification for the withholding. The Consultant shall
maintain records of payment that show amounts paid to all Subconsultants. Good cause does not include the
Consultant's failure to submit an invoice to the Local Agency or to deposit payments made.
7. The analysis and selection of the consultants shall be done in accordance with CRS §24-30-1403. This
section of the regulation identifies the criteria to be used in the evaluation of CDOT pre-qualified prime
consultants and their team.It also shows which criteria are used to short-list and to make a final selection.
The short-list is based on the following evaluation factors:
a.Qualifications,
Exhibit H-Page 1 of 2
b.Approach to the Work,
c.Ability to furnish professional services.
d.Anticipated design concepts,and
e.Alternative methods of approach for furnishing the professional services.
Evaluation factors for final selection are the consultant's:
a.Abilities of their personnel,
b. Past performance,
c.Willingness to meet the time and budget requirement,
d. Location,
e.Current and projected work load,
f.Volume of previously awarded contracts,and
g. Involvement of minority consultants.
8. Once a consultant is selected,the Local Agency enters into negotiations with the consultant to obtain a fair
and reasonable price for the anticipated work.Pre-negotiation audits are prepared for contracts expected to be
greater than $50,000. Federal reimbursements for costs are limited to those costs allowable under the cost
principles of 48 CFR 31. Fixed fees (profit) are determined with consideration given to size, complexity,
duration,and degree of risk involved in the work.Profit is in the range of six to 15 percent of the total direct
and indirect costs.
9. A qualified Local Agency employee shall be responsible and in charge of the Work 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 Work,the Local Agency prepares a performance evaluation(a CDOT form is available)
on the consultant.
CRS §§24-30-1401 THROUGH 24-30-1408,23 CFR PART 172,AND P.D.400.1,PROVIDE ADDITIONAL
DETAILS FOR COMPLYING WITH THE PRECEEDING EIGHT(8)STEPS.
Exhibit H-Page 2 of 2
EXHIBIT 1,FEDERAL-AID CONTRACT PROVISIONS FOR CONSTRUCTION CONTRACTS
FMYA-1273— Revised May 1,2012
REQUIRED CONTRACT PROVISIONS
FEDERAL-Am CONSTRUCTION CONTRACTS
L General 3. A breach of any of the st:pula ions contained in these
0. Nondiscrimination Required Contract Provisions may be sufficient grounds for
81. Nonsegregated Fixates withholding of progress payments.witMnMing of faro
N. Daus-ill and Relaeed Act Provisions payment,temunaton of the contract suspemian I debarment
V. Contract Work Hours and Safety Standards Aa a any other action determined ro be appropriate by the
Pnonstons eomractrmg agency and FHWA.
N. Subletting a Assigning the Contract
VII. Safety.Accident Prevention 4. Selection of tabor.Owing the petam ince of this mruxt
VII. False Sneemeds Camcem'omp Higlnny Proiecs the coreracar shall not use convxt labor for any purpose
OL Implementation of dean Ai Aa and Federal Water witrtbn the lires of a construction project on a Federalaid
. Pollution Control Act highway unless 8 is Libor performed by canners do are on
X Compliance arth Govemmerroode Suspension and parde.supervised release.or probation. The two Federalaid
Debarment Requirements Noway does rot include madnays Mtobonatly dassi5ed as
xI. Cmetcation Regarding Use of Contract Furls for loran mads or rural minor collectors.
Lobbyn9
ATTACHMENTS IL NONDISCRIMINATION
A.Employment and Materials Preference for Appalachian The provisions of this section related to 23 CFR Pad 230 are
Developmem Highway System or Appalachian local Access applicable to all Federal id construction contracts and to all
Road Contracts Cudu led in Appalachian oontracs only) related caumxtim subomtr s d 510,000 a mac. The
provisions ot 23 CFR Pan 230 are not applicable to material
supply.engineering,a architectural service ea D
L GENERAL
In adduorL the contractor and all subcmtracors must conhply
1. Farm FliWA•1273 must be physica0y 4mmpaSed in each with the folonmg poWw.Executive Order 11248.41 CFR OD,
construction contract funded under Tide 23(excluding 29 CFR 1825-1827,Tek 23 USC Section 140,the
emergency contracts solely Mended for debris removal). The Reha rEtation Act of 1973,as amended(29 USC 794),Title VI
eadraaa(or subarmacow)must insert Bis form in each d the Cion Rights Act of 1984.as amended and related
subcontract and further require it infusion or all lo.m tier mgdatias kdudng 49 CFR Pars 21,28 and 27:and 23 CFR
subcmlracs(excluSng purchase carders.rental agreements Pars 290.230.and 833.
and other agreements fa suppliers or services).
The contractor and a0 Su bcmvacan must orcin"with: ere
The applicable requirernems d For FHWA-1273 are requirement of the Equal Oppomnity Clause or 41 CFR M
'incorporated by reference for work done oder arty purchase 1.4(b)and.for a0 construction cavaar exceeding SIOAM.
oder.renal agreement or agreement for other serveces. The the Standard Federal Equal Employment Opportunity
pntne comardra shall be responsible for compliance by any CCamtruaion Contract SpeoiBoatims in 41 CFR OD-4.3.
suboontramor lower-ter subcm=ctw or service provider.
Note:The U5.Department of Labor has exclusive audonty to
Forth FHWA-1273 must be included in all Federal-aid design- determine comp5atcer oidh Exeewive Order 11248 and the
bw7d contracts.in a0 subcontracts and in lower tie policies of the Secretary of Labor including 41 CFR 80.and 29
subcontracts(excluding subcontracts for design services. CFR 1825-027. The mhtractng agency and the FHWA have
purchase adem renal agreements and other agreements for the authority and the msponalty to emote oampearce with
supplies or services). The desigrmbudder shall be responsible Tide 23 USC Section 140,the Rehabilitation Act of 1973,as
for COMP113nce by any subcontractor.lower-ter subconoac x amended f29 USC 794}and Tek VI of the Civil Right;Act of
or severe prouidc. 1984.as amended-and related mg datot including 49 CFR
Pam 21.28 and 27:and 23 CFR Pam 200,230,and 833.
Contracting agencies may nefeence Form FHWM273 in bid
proposal or request for proposal docwnens,however,the The following provision is adopted hat 23 CFR 230,Appendix
Form FKWA-1273 must be physically incorporated(not A.with appropriate revision to co fo nm to the U.S.
referenced)in an mnrats.sutiarmaas and loner-tie Deparbrhem of Labor(US DOL)and FHWA mrm ements.
subcontracts(excluding purchase orders.rental agreement .
and other a gmemems for supp5es or services related to a I.Equal Employment Opportunity:Equal employment
consnu7:mn contract). opportunity(EEO)rept'veements not to dsaininse and to take
a8wnave anion to assure equal oppaonity as set forth
2. Subject to the applirabgiy criteria noted in the foeoming huller laws.executive orders.odes.regudatom(28 CFR 35.
sections,these contact provisions shag apply to all srrrk 29 CFR 7830.29 CFR 18251827.41 CFR 80 and 49 CFR 27)
performed on the contract by the comacures Oren cpaniacon and orders d the Secretary of labor as modified by the
and with the assistance of torkas under the condactds promsio s Prescribed herein.and unposed pursuant to 23
inmediam supenmenderce and to a0 work perbmhed on the U.S.C.140 sha0 cotstaae the EEO and specific affirmative
contract by piecevnak,station mmnk,or by subcontract action standards tot the mmtracmrs project activates wrier
Exhibit I-Page 1 of 12
this contract.The provisions ofthe Ameroars ift DisaDives 4.Recruiment When adverbsbtg for employees.the
Act of 1990(42 U.S.C.12101 et seq.)set forth tender 2a CFR contractor wit mdude In all advertisements for employees the
35 and 29 CFR 1830 arevtocepaYed by reference in this nota on:-An Equal Oppmbmty Employe.- Ag such
contract In the exewEon of thus contraM the contractor adverGsemems will be placed m pufteatots having a Law
agrees to comply,with the fdbning minimum speddxc . circulation among mmorium and women m the area from
requirement activties of EEO: which the prefect work force would normally be derived_
a.The contractor will work with the mmraamg agency and a The contractor will.unless precluded by a oa5d
the Federal Government to ensure dhat i has made every bargan g agreement.conduct systema c and direct
good faith effort to provide equal epperbmity with respect to all remmen through public and private employee refer .
of los tents and mndtiors of employment and in dhe'o review sources Rey to yield qualified mmadties and women. To
of activities under the contract meet this requirement the contractor will idents sources of
potential miwrdy group employees,and establish with such
b.The contractor will accept as los operating policy Me identified soumes procedures whereby minority and women
following statement applicants may be re-wed to the mntracturfor employment
consWeraton,
-It is the policy of this Company to assure that applicants
are employed,arta that employees are veined during b. In the event the contractor has a valid bargainig
empoymevn whom regard to Melo race.religion,sex,color. agreement pmvidog for exclusive hiring hag referrals,the
national origin age or dsabSay. Such action shag"urhde: convacor is epected to observe the provisions of that
employment,upgrading.demotion ortranster.rerruiamem or agreement to the extent that the system meets the contractors
reuxuimcn advertising:layoff or temmation.rates of pay or ownpriarm with EEO contract pmwst . Where
other forms of compensation;and selection for traWng. iryxkmentation of such an agreement has the effect of
Including appre-mceshy,peappre west p.andfor 004he- dscininatkg against m'uwdties or women.or ahggaces the
job training' contractor to do the same.such knplemenaation violates
Federal nwhdscrunhaCm provisions.
2. EEO Officer:The contractor win designate and make
known to the cmtramng afters an EEO OEhar who win have e. The contactor will encourage is present employees to
the responsibility for and must be capable of effectively refer mkwrities and women as applicants for employment
admmisumn and prmhdkg an acive EEO poWam and vow bft,. lion and procedures with regard to refenig such
must be cosigned adepxad authority and respmslo3ry to do applicants will be discussed with employees.
SO.
S.Personnel Actions:Wages.working conditions.and
3. Dissemination of Policy.All members of the contractor's employee benefits shat be establahed and adnmm'meed,and
staff who are authormed to him.supense.promote.and personnel actors of every type.khdudkn9 hiag.wp0radr6
discharge employees.or who moornmend such action.of who prwmwtim.trarasta.dertoten,layw4,and tern irtabM shag be
are substantially mvdved m such amort will be made fully taken without regard to race.color.religion.sex.national
cogruxam d,and will implement the mmraclds EEO policy origin.age or disability. The fo I-nng procedures shag be
and contractual respmsibttes to provide EEO in each Wade followed:
and classification d employment. To encore that the above
agreement will be met the following amore will be taken as a a The contractor will conduct periodic irspectims of ptaea
mmmum: sires to ksure that warkog mndaors and employee faeltes
doral indicate discriminatory treatment of profed site
a. Periodic meetimgs of supe isory and pemormel ofice personnel.
employees will be conduced before the start d vrork and then
not less often than once every sir months.at nhiclm foe the It. The contractor win periodically evaWte the spread of
conoactofs EEO policy and as implementation will be wages paid within each classification to determine airy
reviewed and explained. The meetings will be conduced by evidence of dsaininawry wage practices.
the EEO Officer.
c The contactorwin periodically review sefec0.d persomel
b. Ag new supervisory ot personnel o5ce employees will be actions in depth to determine whether there is evidence of
given a thorough indoct atop by the EEO Officer.covering dsaininatimt Where evidence is ked,the contractor will
all major aspects of the com✓actoes EEO ob5gakms within promptly take correctve action. If the review irdreazes that the
thirty days folowkg theirmpatug kr durY with the omtractar, disdimmabon may extend beyond the actors reviewed.such
corrective octan shag include all affected person&
e. Ag personnel who are engaged in direct monument for
the pr*ct will be instructed by the EEO Officer in the d. The contractor win promptly investigate a0 complains of
contractols procedures for locating and hiring mkhomies and atleged discrimination made to the contractor in connection
women. with is obligations under this contract will attempt to resolve
such complaints.and will take appropriate cortertve action
d. Notices and posters setfi g kM the con metur s EEO within a reasonable tine. If the irwestipavmh indicates that the
parry will be placed m areas readily accessible to employees. dsain na on may affect persons other than the complainant.
applicants for employment and pderial employees. such corrective action shall include such other pesos. Upon
completion of each i ore tigatiot the contractor will intim
e. The contractors EEO posey and the procedures to every complainant of all of their avenues of appeal
implement such posey will be brought to the asentim of
employees by means d meetings.employee handbooks.or G.Training and Promotion:
other appropriate means.
a The contractor will assist in locating.qua6'yrg,and
increasing the skis of minorities ad women who are
Exhibit 1-Page 2 of 12
applicants for employment or current employees. Such efforts with the requirements for and comply with the Americans with
should be aged at developing fiA journey level saga Disabilities Act and a0 ides and regulations establshed there
employees of the type of bade or job dassEcation involved. under. Employers must provide reasonable accommodation in
all employment activities unless to do so rotdd cause an
b. Consstennt with the oormaaor s wort farce requirements undue hardship.
arid as permissible under Federal and State regulations.the
contractor shall make fuA use of training programs.i.e., 9.Selection of Subcontractors.Procurement of Materials
apprentioeship.and omhe-job basting prograrms for the and Leasing of Equipment The contractor shall not
geographical area of contract performance. In the event a daaimmate m the gtmmds of rare.calor.religion.sex•
special provision for training is provided under this contraid. national origin.age or disability in the selection and rejection
this subparagraph wil be superseded as indicated in the of subcontractors,including procurement of materials and
special provision. The contracting agency may reserve leases of equryment The contractor shall take a0 necessary
training positions for persons who receive welfare assistance and masonahre steps to ensure nondiscrimination in the
in accordance with 23 U.S.C.140(aG administration d this oonraa.
c. The contractor w71 advise employees and appficarnts for a. The contractor shall no*all potential subrotmactors and
employment of available trazfug programs and entrance sup and lessors of their EEO obligations under this
requirements for each. contract.
d. The contractor will penodra0y review the training and b. The contractor will use good faith efforts to ensure
promotion potential of employees who are minorities and subcontractor compliance with their EEO ob0gatiore.
women and wd encourage eligible employees to appy for
such training and pmmotict
10.Assurance Required by 49 CFR 26.13(6):
7.Unions:If the contractor refes in whole ar in part upon
unions as a scree of employees•the oonracbm will use good a. The requirements of 49 CFR Pam 28 and the Sate
faith efforts to obtain the cooperation of such unions to DOT's U.S.DOTappnwed DBE program are incorporated by
increase oppomwties for mmoiues and women Actions by reference.
the contractor•either directly or through a contractor's
association acting as agent,will include the procedures set b. The contractor or subcontractor shall not dissorininina e on
forth below. the basis of race,color.national origin.or sex in the
performance of this contract. The contractor shall Bary ori
a. The contractor win use good faith efforts to develop.in applicable requirements of 49 CFR Pan 26 in the award and
cooperation with the unions.joint training programs aimed admiistrztion a`DOTassisted contracts. Failure by the
toward gtmE g more minorities and women for ffmmbeship contractor to carry out these requirements is a material breach
in the unions and increasing the sloIls of minorities,and women d this contract which may resub in the temmtaran of this
so that they may qualify for Now paying employment contractor such eche remedy its the mmtactig agency
deems appropriate.
b. The contractor will use good faith efforts to berate an
EEO clause into each union agreement to the end that such 11.Records and Reports:The celruactor shag keep such
union wB be contractually bawd to referappficants without recorzIs as necessary to document compliance wth the EEO
regard to thea race.color,religion.sex national origin,age or requirements. Such records shall be refined for a period of
disability. three years folovwrhg the date of the final payment to the
contractor for a0 contract work and shag be available at
c. The contractor is to obtain hrdorma loon as to the referral reasonable tines arid places for inspection by autlncQetl
practices and policies of the labor union except that to the represematives of the comacting agency and the FHWA.
extent such information is within the excluswe possession of
Vie labor union and such labor union refuses to furnish such a. The records kept by the cormacor shag document the
information to the contractor.the contractor shag so aer[dy to following:
the contracting agency and shag set forth chat ell have
been made to obtain such area matin. (1)The number and work hers of minority and non-
matarty group members and women employed in each work
d. In the event the union is unable to provide the contractor dassincabon on the project:
vv.N a reasonable Bev d referrals within the time limit set forth
in the collective bargaining agreement.the comtractor wH, (2)The progress and efforts berg made in cooperation
through independem reonirment efforts.fill the employment With unions,when apoCalble.to increase employmem
vacancies without regard to race.color,religion.sex•national opparnir s,for minora"and women:and
digin,age or disability.making full efforts to obtain qualified
andlor qualifiable minorities and women The failure of a union (3)Tice progress and efforts berg made in locating.hiring.
to provide sufficient referrals(even though i is obligated to training.quaLiyig.and upgrading minorities and women:
provide exclusive referrals under the ti ms of a collective
bargaining agreement)does not relieve the contractor from the b. The contractors and subeonracus will submit an annual
regdrenens of this paragraph. In the event the union referral report to the cordraarg agency won July for the duration of
practice prevents the contractor fan meeting the obligal ons the project indicating the number of mrhaiy.women.and
pursuant to Executive Omer 11248.as amended.and Nese ronminonty,group a rp7oyr a currently engaged in each wok
special provisions.such contractor stag immediately no*the classification required by the contract wort. This indamation is
contracting agency. to be reported on Form FHWA-1381. The stalling dais should
represent the project work force on board in a9 or any pan of
B. Reasonable Accommodation for Applicants I the last payroll period preceding the end of July. If mihe4ob
Employees with Disabilities: The contractor mus be familiar training is being required by special provision,the contractor
Exhibit I-Page 3 of 12
wN be required to collect and report training data The of paragraph IA.of this section:also.regidarcomrmudans
employment data should reflect the work force on board owing made or costs homed for morn than a weekly period(bm not
all or any part tithe Iasi payroll period preceding the end of less often than quarterly)under plans.hinds,or programs
Ady. which carer the particular weekly period,am deemed to be
canswcdvely made or mourned owing such weekly period.
Such laborers and mechanics shat be paid the appropriate
M.NONSEGREGATED FACILRD:S wage race and binge berbe is on the=ge deternunu3m for
the dassdhcadon of work actually performed,wohouf regard to
This provision is applicable to all Fedeml ad conseucton skill,except as provided in 29 CFR 5.5(a)(4).Laborers or
eonbaets and N all related eorswction subcontracts of meaames perfamu tg work rte more than one classification
$10.000 or more. may be compensated at the rate specified for each
classification for the tine actually waked therein_Provided.
The contractor must ensure Nat facdroes provided for That the employer's payroll records accurately set forth the
employees are provided in such a manner Nat segregmion m erne spent in each dasffeaeon m which wort is performed.
the basis of race,color.religion.sex,or rnat oral origin cannot The wage determination fududmg any additional dassificaem
result The contractor may nether mqu"se such segregated and wage rates to da ned under paragraph ib.of this
use by=tten a oral policies nor tolerate such use by section)and the Dates-Bacon poster(WH-1321)shall be
employee astom The eornratoes obligation edends hather posted at all tines by the contractor and ds subcontractors at
to ensue drat its employees are net assigned to perarn their the site of the work in a Prominent and accessible pace where
services at arty location.under due mmradtots control.where it cm be easly seen by the workers.
the faolioes me segregated. The term'beft "mdudes
wa3mg roans.wort areas.restaurants and other eating areas. b.(1)The eontraabq oLScr shall require to any class of
time docks.restrooms.washrooms.locker rooms,and other laborers or mechanics,including belpers.which is ml listed in
storage or dressing areas.parting los.drinking fountains. the wage determbhation and which is to be employed under the
recreation or entertainment areas.transportatim and tuusbg contract shat be classified lit cmdomance with the wage
Provided!for employees. The contractor shall provide separate determuuem The anmacong o5ar shall approve an
or snnpleiser restmorns and necessary dressing or sleeping additional dass.5caoan and wage rate and fringe benefds
areas to assure privacy between seas. therefore only when the following ordeda have been met:
N. DAVIS-BACON AND RELATED ACT PROVISIONS ()The wort to be performed by the classification
requested is not performed by a dassifcatiorn'nh the wage
This section is appfr-Ne to all Federal-aid construction demmunabo^.and
p*M eaeedmg 52800 and to all related subcaw7aar and
lower-tier subcontracts(regardless of subcontract size). The (a)The classification is utilized for the area by the
requirements apply to all projects located vdthm the right-cf- constmrcion industry;and
wry of a roadway dem m h nct mally classified as FedraFaid
highway. This exckdes roadways hncionalty chassi5ed as on The proposed wage rate.iduding any bona Ede
kcal roads a neral mmor collectors.td=h are exempt. fringe beneFas.bears a reasonable relationship to the
Contractong ageneses may elect to appy Nese recpniememts to wage races contained in the mage detenn"au tion.
Dow P*cts.
The following provsiorrs are from the U.S.Department of (2)If the contractor and the Laborers and medhadcs to be
Labor regulations in 20 CFR" Contract provisions and employed in the classification(a kr orciL or their
related maters'waft mire revisions to cordo m to the FHWA- representatives,and the atorrecung offer agree on the
1273 format and FHWA pogran requirements. eassdeaeah and wage rax(ishdmg the amount
designated for fringe benefits where apprcpreleL a repro of
the atom taken shall be sem by the MoraCtrg 05M tothe
1. ktinim co wages Administrator of the Wage and Hour Divnsmn.Employment
Standards Administration,US.Department of Labor.
a. All laborers and meduanics employed or watinrg upon Washi gin.DC 20210.The Administrator,or an authorized
the size d the neat.wa be ped unconditionally and not less rape tional las wD approve,modify.30or d disapprove of ne every
often Nan ace a vmek.and without subsequent deduction or so advise
classification o goon r or 30 days h receipt and
rebate on any accoud(except such payroll deductions as are so cerise the he 3D-day
officer ha ors noon the conbactrhg
permitted by re{udaDms issued by the Secretary d Labor officer arinih the 3Ddry period thin additional tine is
tmder the Copeland Act(29 CFR part 3)).the fug amount of necessary.
wages and bona Ede binge benetrs(or cash equivalents
thereof)due at time of payment computed at raps not less (3)to the event the contractor.the laborers or medhar is
than those remained in the wage demur nation of the to be employed in the classification of their representatives.
Secretary of Labor which is attached hereto and made a pan and the contracting officer donot agree on the proposed
hereof regardless of any contractual relmo ship nhicn may classification and wage rax(including the amount
be alleged to erica bebeem the contractor and such laborers designated for binge benefits.where appropriate).the
and medurics. ocoo3co g officer stun refer the questions,ichhdmg the
viers of all interested parties and the recommendation of the
Conmbueom made or doss neasaubly antiopa ed forhorror oom acng officer.to the Wage and)bra Admm'suaorfor
Ede frige berre`ils under secooru 1(b)12)of the Davis$bon detemiauoon The Wage and Hour Administrator.or an
Ad on behalf of Iffiomrs or mechanics are considered wages authored reoW and so v�issue a dtteming dietion within
paid to such Laborers or mechanics.subject to rix provisions 30 days of receipt and so advise the contracting officer a
Exhibit I-Page 4 of 12
will notify the contracting officer within the 30day period that Bacon Act the cu:Txlo shall maintain records which show
addtimal time is necessary. that the commitment to provide such benefits is enforceable.
that the plan or program is financially responsible,and that the
(4)The wage rase(ichrdwg fringe benefits where plan a program has been communicated in writing to the
appropriate)determined pursuam to paragraphs 1.b.(2)or leborers or mechanics affected.and records which show the
1 b{3)of this sectiat shag be paid m all workers performig costs anticipated or the acarol cost incurred in providing such
work in the isclassificationcsantler this contract allwork m the first benefits.Contractors employveg apprentices a trainees under
day on sdtidt work is performed in the classification. approved programs shag maintain written evidenced the
rngksvazion of apprenticeship programs and eertieation of
tra:nee programs.the m9st aticn of the apprentices and
c.Whenever the minimum wage raze prescribed in the trainees,and the rates and wage rates prescribed in the
contract for a class of laborers a mechanics includes a fringe applicable programs.
benefit which is no expressed as an hourly rate,the contractor
'shall either pay the benefit as stated in the wage determination b.(1)The contractor shag submit weekly for each week in
or shag pay another bona fide fringe berie:d"an hourly cash which any contract work is performed a copy of all payrolls to
equivalent thereof
the comraand aragency. The payrolls stin oboe rf
shag set o
accurately antl npletely all d the irdannation rn!gired to be
it.If the contractor does not make payments to a trustee or maintained under 29 CFR 5.5(ax3)(i).except that hA social
other Oft person.the contractor may consider as pan of the security nonbens and home addresses shag not be included
wapes of any laborer a mechanic the amount of any costs on weekly trazsmimis.Instead the Payrolls shag ordy need to
reasonably antapated in providing bona Ede binge benefds include am badwitlually itlentytrg number for each employee
under a plan or program.Provided.That the Secretary of e.g..the last foo digts of the employees social security
Labor has fared.upon the written request of the contractor. number).The required weekly payroll information may be
that die applicable standards of the Davos-Baocrm Aa have submitted in anytom desired.Optional Form WH-147 n
been met The Secretary of Labor may requite the contractor available for this purpose from the Wage and Hour Divistcn
to set aside in a separate account assets for the meeting of Web eite at hap:lhm w.doLgodesahMdHort Mh347irw h n
obligations under the plan in program. or its successor site.The prune oentraaa is responsible for
the submission of copies of payrolls by all subcontractors.
2 Withholding Contraction;;and subeonuaaon shag maintain the full social
security number and current address of each covered worker.
and shag provide them upon request to the centrecing agency
The contracting agency shag upon its own action a upon for transmission to the Stats DOT,the FHWA or the Wage and
vaaten request of an authorized representative of the Har Division of the Department of Labor for purposes in an
Department of Lab".withhold or rause to be%4.Meld from bwestigatm a audu of compliance with prevagmg wage
the contractor under this corms t or any other Federal requirements.It is not a violation of this section for a prime
contract with the same Prime contractor.or any other federally- contractor to require a suinconuaacr to provide addresses and
assisted contract subject to Dav"acon prevailing wage social security numbers to the prime contracer for is own
requvernerds.which is held by the same prime contractor.so record.wtlra weekly soinmission to the contractrg agency..
much of the acaved payments"advances as may be
considered necessary to pay laborers and mechanics.
including apprentices,trainees.and helpers.employed by the 'St(2)Fade paying submitted shag ed accompanied to a
contractor or any subcontractor the tug amount d wages subcontractor
d Compliance.'her signed by the contractor
required by the contract. In the event d falnre to pay any payment
naaaa err to or he agent who pays a supervises the
laborer"mechanic.inducEng any apprecoce,trainee.or payment d the persons employed hinder the anract and shit!
helper.employed or working on the site d the wort,all"pan certify the tagowtmg:
of the wages required by the eontram the contracting agency
may.after mitten notice to the contractor.take such action as (t)That the payroll for dee payroll period contains the
may be necessary to cause the suspension of any further bdomution required to be provided under§5.5(ax3)no of
payment.advance.a guarantee of funds until such violations Regulations,29 CFR pan 5.the appropriate information is
have ceased. being maintained under§5.5(ax3)n of Regulations.29 .
CFR part 5,and tut such hdortnabon is cones and
3. Payrolls and basic records complete:
a. Payrolls and basic records relating thereto shat be Col That each taborer W mechanic(inducting each
maintained by the contractor during the course d the wort and �g tpayrol] trainee)bemployed�full w�
preserved for a period of three years thereater he all laborers wages earned,without rebate,either directly or indirectly,
and medurhics working at the site of the work.Such records and that no deductions have been made either directly or
shag curtain the name.address.and social security number of indirectly from the full wages eamed,other than
each such worker.his or her correct dassi5eatiot ttouny,rates
of wages paid Cndudvgi rates d pact contributions or costs a 3'
nnsstnte deductions as set forte th Regulations.2g CFR
amicipated for bola fide fringe benefits or cash equivalents P
thereof of the types desenbed in section l(b)(2)(B)of the
Danis-Bacon Act).daily and weekly number of haus warted. Cal That each laborer or mechanic has been paid not
deductions made and actual wages pad Whenever the less than the applicable wage rates and fringe benefits a
Secretary of Labor has found under 29 CFR 53(a)(1)(w)that cash equivalents for the dassv5eation of work performed,
the wages of any laborer or mechanic chrhde the amount of as specified in the applicable wage determination
any costs reasonably anticipated in providing benefts under a moorpotated into the commm
plan or program described in section l(b)(2)(8)of the Davis-
Exhibit I-Page 5 of 12
(3)The weekly submission of a properly e:sared rax specified in the applicable wage determinaton.
cerdcatim set froth on the reverse side of Opfonal Form Apprentices shat be paid fringe benefits in accordance with
tVH.347 shag satisfy the requirement tot submission of the the provisos of the apprenticeship prograort If the
'Statement of Compliance required by paragraph 3b.(2)of apple boeship program does not speedy fringe benefls.
this section. apprentices must be paid the hA ammhnt of hinge benefits
fisted on the wage determination,for the applicable -
(4)The falsification of any d the above certificatias may dandcatiow.It the Admirdstrator determines that a dtforent
subject the mhtrartm u submmracta to cW or C nfnat practice prevails for the applicable apprentice classification.
. Prosecution under section 1001 of tale 19 and section 231 of fringes shag be paid in accordance with that debemtiation.
title 31 of the United Stares Code.
In the event the Office of Appren teship Traming,Employer _
c.The contractor or submmtarmr shag make therecords and Labor Services,or a State Apprenticeship Agency
required under paragraph 3a"d this seam available for wed by the Office, e co a n approve of an
i specrrom, A or by audrorYed aPP�ti� •the contractor will no longer be
represemauves of the mndxti g agency,the State DOT.the 1 'tied m uti6a apprentices a less than the app5rahle
FH%Vk or the Department of Labor.and shag pem tsuch predetermined rate for the work performed until an acceptable
representatives to interview employees during working g holm is approved. .
m the job.If the mrmacmr w subcontractor fad to submit the
required records w to make them available.the FhWA may, b.Trainees(programs of the USDOL).
after written notice to the contractor.the contracting agency or
the Sate DOT,take such action as may be necessaryto Except as provided in 29 CFR 5.18,trainees all no be
cause the suspension of any fuller payment advance.or. permtred m work at less than to predetermined rate for the
fun
guarantee of ds.Furt ermore.failure to subrni the requed wart performed unless they me employed pursuant to and
rends upon request or to make such records ava8able may
be grounds for debarment ocean pursuant to 2P CFR 5.12_ ed"ndua0y registered in a program which has received prior
approvaL evidenced by formal certification by the U.S.
Department of Labor,Employment and Training
4. Apprentices and trainees Admiistadan.
a.Apprentices(programs of the USDOL). The ratio of tnaimees to journeymen m thejob site shall not be
greate than pemirted under the plan approved by the
Apprentices willt
be permitted to work at less that the Employment and Training Admiustradm.
predetermined rate for the work they perfumed when trey are
employed pursuant to and idirckna0y registered in a bona fide Every trainee must be paid at rot less than the rate specified
apprenticeship program registered nth the U.S.Depatrrrem of in the approved program for the traieCs level of progress.
Labor.Employment and Training Abnvismtcn Office of expressed as a percentage of the jmmeyman houty rate '
Apprenticeship Training.Employer and Labor Services,or with specified in the appEcable wage determination,Trainees shag
a State Appremioeslhip Agency recognized by the Office.err d a be paid fringe bene%in amordarce with the provision of-the
Person is employed ih his or her fist 90 days of probationary trairee program.g the trainee progran does rot mention
employment as an apprentice in such an appren 5ceshy fringe benefits.trainees shag be paid the fug amount of fringe
program.vdm is not individually registered in the program.but benefit fsted m the wage determiatm urdess the
who has been cenf*d by the Office of Apprenticeship Admin'strater of the Wage and Hou Division determines dat
Training.Employer and Labor Services or a Store trete is an apprenticeship program associated wvclh the
Apprenticeship Agency(Miere appropriate)to be eligale for corresponding joumeyman urge rate m the wage
Probatiofary employment as an apprentice. detetmiution which Provides forfull binge been
for appremdes.Any p1%'ee laced payroO atrainee
The allowable ratio of apprenboes tojmmheymen m the job rate who is not registered and participating in a traWng plan
site in any craft dasshaton shat not be greater the tato appy by the Employment and Training Admudstradon shag
permitted to the mrhtattor as m the erhdre wart face order be paid not les don the applicable wage rats on the wage
• the registered program.Any worker listed on a payroll at an cl additi bon for the a perfratiah of work the jobctually siteinperformed.
apprentice wage nate.who a no registered or otherwise a addrom,cry trope fitted undo work on tier d site m
employed as stated above.shag be paid not Ess than tie excess d the roto ss th permitted the registered raw
Program
applicable wage rate m the wage detemimation for the shall be paid not less than the work
acrabe wage rate on the
classification of work actually performed.In addaon.any wage tletemhiration for Me work amna0y performed.
apprentice pedomtng work on the jab site in erxeis of the
ratio permitted uncle the registered program shall be paid not In the event the Employment and Training Admihisv n
less than the applicable wage rate on the wage determination w'rJuiaws approval of a training program.the contractor will no
for the work actually performed.Where a contractor is longer be permitted to Wire trainees at les tun the
performing mmtructm on a project in a locality other don applicable predetermined rats for the work performed until m
that in which is program is reg'stered.the ratios and wage acceptable program is approved.
rates(e)pressed in percentages of theivumeyrrwys hourly
rate)specified in the contractors or suhcomradoTs registered G Equal empbymem oppmmmity.The utilization of
program drag be observed. apprentices.trainees and Journeymen under this partshall be
in mnbnnay vvah the equal employmem opp ortmay
Every apprentice must be paid at not less tan the rte requirements of Executive Order 11248,as amended.and 29
spedhed in the registered program for the apprentice's ever of CFR pat 30.
progress.expressed as.a percentage of the johmmeymen houty
Exhibit I-Page 6 of 12
d. Apprentices and Tra:cees(programs of the US.DOT).
Apprentices and trainees working under apprenticeship and V. CONTRACT WORK HOURS AND SAFETY
still training programs which have been ceruiied by the STANDARDS ACT
Secretary of Transportation as promoting EEO in connection .
w3h Federal-aid highway construction programs are not The fo0ming clauses appy to any Feder"d oonsmrtion
subject to the requirements of paragraph 4 of this Section IV. centrad in an amount in excess of SIDD.00g and subject to the
The straight tine hourly wage rates for apprentices and overtime provisions of the Contra Work Hours and Safety
trainees under such programs will be established by the Sta+danis Act These clauses shag be inserted in addition to
paricdar programs.The ratio of apprentices and trakrees to the clauses required by 29 CFR 5.5(a)or 29 CFR 4.e. As
journeymen shaft not be greater than permitted by the terms of used m this paragraph.the terms laborers and mechanics
the particular program. include waidurten and guards_
5.Compliance with Copeland Act regdnemerds. The 1.Overtime requirements. No contactor or subcontractor
contractor shag comply with the requ:remems of 29 CFR part contracting for any pan of the corcract work which may require
3.which are incorporated by reference in this contract or involve the employment of laborers or mechanics shag
require or permit any such laborer a mechanic in any
8.Subcontracts. The co tractor orsubcontractor shag insert workweek in which he or she is employed on such work to
Form MVA-1273 to any subcontracts and also requirethe work in excess of u forty hours in such workweek less such
subcontractors to include Fenn FHWA-1273 in any louver tier laborer or mechanic receivescompensation a a rate not less
subcontracts.The prune contractor shag be responsible for the work one and ss off forty
tfre basic rate of pay for a0 hours
compliance by any subcontractor a lower tier subcontractor worked ur excess of haus lir such worksubcontractor
vrah ag the contract clauses in 29 CFR 5.5.
2 V'olation:liability for unpaid wages:liquidated
7.Contract termination:debarment A breachof the damages. to the event of any violation of the clause set forth
contract dames in 29 CFR 5.5 may be grounds for termination an paragraph(1.)of this section.the contractor and any
dthe connaet and for debamn ern as a contractor and a subcontractor responsible therefor shag be table for the
of the
subcontractor as provided inCFR 5.12. unpaid wages.m addition.such cc rtracmr and subcontractor
shall be liable to the United States(o the ease of work clone
under contract for the District of Cotumbia or a territory.to such
8.Compliance with Davis-Bacon and Related Act District or to such territory).for liquidated damages.Such
requmaments. Ag rulings and interyretavors;of the Davis liquidated damages shall be computed with respect to each
Bacon and Related Aar contacted at 29 CFR parts 1.3.and 5 mdiviclual laborer or mechanic,including watdunan and
are herein incorporated by reference in this contract guards,employed in violation of the dance set forth in
paragraph(1.)of this sedort in the sun of$10 for each
9.Disputes concerning labor standards.Disputes antsier calendar day an which such individual was required or
out of the tabu standards pmvsions of this contract stag not ' hours wthouted to r payment of the overtime requiretl od in excess of the standard workweek by the
be subject to the general disputes clause of this contract Such cla, set
disputes stall be resolved in aoeotdarce with the procedures forth to paragraph(f.)d this section.
of the Department of tabor set forth in 29 CFR parts 5.e.and
7.Disputes within the meaning of this dame include disputes 3.Withholding for unpaid wages and liquidated damages.
between the contractor(or arty of its subcontractors)and the The FHWA or the coruacting agency shag upon its oven action
contracting agency.the U.S.Department of Labor.or the or upon written request of an authorized repesenavre of the
employees or their representatives. Department of labor witdold or cause to be w;fteK tram
any moneys payable on account of wort performed by the
10.Certification of eligibility. contractor or subcontractor under any such contract or any
other Federal contract w3h the same prime contractor.or any
other federally assisted contract subject to the Contract Work
a.By entering into this coruad.the contractor omiff s that Hours and Safety Standards Act.which is held by the same
neither it(nor he or she)car any person or Ern who has an prime contractor.such suns as may be determined to be
interest in the contractors faro is a person at 5rrn ineligHle to necessary to satisfy any liabdi6es of such contractor or
be awarded Oovemment comrads by virtue of section 3(a)at subcontractor for unpaid wages and liquidated damages as
the Davis-Baom Aa or 29 CFR 5.12(ax1). provided in the dame set forth in paragraph(2.)of Cris
section.
b.No par of this oonuact shag be subcontracted to any person
or firm ineligible fm a yard of a Cwvemment contract by woe 4.Subcontracts. The contractor or subcontractor shag msen
of section 3(a)of the Davis-Bacon Ad or 29 CFR 5.12(apl). in any subcomracas the dauses set forth in paragraph(1.)
through(4.)of this section and also a clause requiring the
subcontractors m include these clauses many loan tier
c.The petty to mating false statements is prescribed irr the subcontracts.The prime corroactor shag be responsible for
U.S.Criminal Code.18 U.S.C.1001. compliance by any suboanbactor or lower tier subcontractor
with the clauses set form in paragraphs(1.)through(4.)of this
section.
Exhibit 1-Page 7 of 12
evidenced in wiling and that it contains 30 pertinent provisions
VL SUBLETTING OR ASSIGNING THE CONTRACT and requirements of the prime waacr.
This provision is applicable to a4 Federal4d constructor 5.The 30%self-performance recjuiremem or paragraph(I)is
contracts on the Natonal Kghway System. rat applicable to desigrMWd contracts:however.contracting
agencies may establish thew own self-performance
1_The contractor shall perform with its own orgarmotion requirements.
contract wort amourcng to not less than 30 percent(or a
greater peroemage if specified elsewhere in the contract)of
the total original am=price.excluding any spedafty items VH SAFETY:ACCIDENT PREVENTION
designated by the contramig agency. Specialty hems may be
performed by subcontract and the maim of any such T h i s p r o v i s i o n i s applicable to all Federal-aid
specialty terns performed may be deducted tmn the total mnstnation convacts and to al related subcontracts.
original contract price before mmprIDng the amount of wort
required to be performed by due contractors own orgardzation 1. In the performance of this canvas the contractor slug
(23 CFR 035.116). amply with all applicable Federal.State.and local lam
governing safety.health,and sanitation(23 CFR 035)_The
a. The term Worn wort with its own organimtron'refers cc==shag provide all safeguards.safety devices and
to workers employed or leased by the prime contractor.and protective egwpnwnt and take any other needed actions as d
equipment owned or rented by the prime contractor.with or determines,or as the contracting otieer may determine.to be
without operators. Such teem does rot include employees or reasorubly necessary to protea the file and health of
equipment of a subcontractor or lower tier subcontractor. employees on the job and the sa!Ety of the public and to
agents of the prime eonva tor.or any other assignees. The protea property to connection with the performance of the
term may include paymems for the ass of hiring leased walk covered by the conuact.
employees fon an employee leasing firm meeting ale relevant
Federal and Slate regulatory requirements. Leased 2 It is a condition of tts ooh and slid be made a
employees may tidy be induced len this term if the prime andt n of each subcontract which the contactor corers loco
contractor meets all of rine following conditions: pursuant to this contract,that the contractor and any
summtoaaa shat net permit any employee.in performance
(1)the prime contractor maintain control over the of the contract to wort in surroundings or under condtons
supervision of the dayio-day aceviies of the leased Milch are unsanitary,hazardms or dangerous to hsfief
employees: health or safety,as determined under corstruonon safety and
(2)the prime contractor swains responsible for the quality health standards(29 CFR IM)promulgated by the Secretary
of the mark of the leased employees: of Labor.in armdance with Section 107 of the Contract Work
(3)the prime erxnracor remEns at power to aooepr or Hours and Safety Standards Act(40 US C.3704).
exclude WW. tW employees fon wont on the project and
(4)the prime contractor remains n:dmately responsible for 3.Pursuant to 29 CFR 19M3.in is a condition of This contract
the payment of predetermined minimum wages.the that the Secretary of Labor or authorized zed represerd mve
submission of payrolls.statements of oornpbanoe and all thereof.shall have right of entry to any site of contract
other Federal regulatory requirements. performance to inspect or itvesvgate the maverof ampliarae
with the oonsvuevon safety and health standards and to tarty
b_'Specialty Imms'shd be castrued to be limited to wort out the duxes of the Seeretary under Section 107 of the
that requires highly sped3r=d knowledge.abilities.or Contract Wort Hams and Safety Standards Act(40
equipment rot ordinarily available in the type of convacing U.S.C3704)L
organ'mtions quaL4ed and expected to bid or propose on the
contract as a Male and in general are to be limited to minor
components of the overall contract. VII FALSE STATEMENTS CONCERNING HIGHWAY
PROJECTS
2.The contract amount upon which the requiemems set fowl
in paragraph(1)of Section VI is computed includes the cost of This provision is applicable to all Federalaid
material and manu`acuved products which are to be construction contacts and to al related srbanvam.
purchased or produced by the contractor under the contract
provisSms. In order to assure high quality and durable co suu tion in
conformity with approved plans and spedlcatiens and a high
3.The armaem shall furnish(a)a competent superintendent degree of reliability an statements and representato s made
or supervisor who s employed by the form,has full authority to by engineers.contactors.supp5ers.and workers on Federal-
duect pedormanoe of the wart in aoardance with the contract aid highway projects.it is essential that all persons concerned .
nequirernams.and is in charge of all msvuaion operations with the project perform dw'v functions as carefully.thoroughly.
(regardless of who performs the snort)and(b)such other of as and honesty as possible. Wilful falsification.dstorvm at
can otgmi tabanid resouuces(supervision.management and misrepmsemadon ar.3n respect to any fats related to the
engneenng services)as the anuacting officer determines is project is a vidadon of Federal taw. To prevent any
necessary to assure the perfmnan:e of the contract misunderstanding regarding the seriousness of these and
similar acts.Foon FWWA-1022 slid be posted on each
4.No portion of the contract sta7 be sublet.assigned or Federal-aid highway prejerl(23 CFR 635)in one or more
otherwise dsposed of except with the written consent of the places where it is readily available to aA persons concerned
contracting of5cer.or authorized representative.and such with the project .
consent when given shat not be construed to relieve the
contractor of arty responses for the tudtIlnent of the
canmact Writen corsent will be Over only after the IS U.S.C. 1020 reads as follows:
contracting agency has assured that each subcontract is
Exhibit I-Page 8 of 12
'Moever.belrq an officer.agent or employee of the United covered transaction,The ptospeciae fast tier Participant shall
States,or of any State or Territory.or whoever,whether a submit an explanation of why d cannot provide the certifieazion
person.association.firm.or corporation.knowingly makes any set out below.The ceMScatien or womation cam be
Use statement fake representation.or false report as to the considered in caruceuion with the deparunen a agencys
character.quality.rpattdy,or cost of the material used a to determination whether to enter into this transaction.However.
be used.w the quantity or quality of he work performed or to failure of the prospective fust tier participant to famish a
be performed,or the cost thereof in connection with the certification or an er;lanatcn shall disqualify such a person
submission of plans,maps,specifications,comms,or costs from participation to this transaction
of construaieri m any highway a related project submitted for
approval to the Secretary of Transportation;a c.The certification in thisclause is a material representation
of fact upon which reliance was placed when the contracting
Whoever knowingly makes any take state,em.false agency deterodned to ever into th"s transaction t it is later
representation,fake report or false clan with respect to the determined that the pospeci ve participant knowingly rendered
character,quality,quantly,or cost darty work performed or to an emo reous certficatim,in addition to ether remedies
be performed.or materials tumished or to be furnished,in available to the Federal Goverment the contracting agency
connecton wth the construction of any highway or related may terminate this transaedon for cause of default
project approved by the Secretary of Transportation;or
d.The prospective first tier participant shall provide
Whoever knowingly makes any false statened or false immediate written notice to the contracting agency to whom
representation as to material fact in any statement certificate, this proposal is submited if any tune he prospective fast tier
a report submieed purst>mht to provisions of he Federal-aid participant leams tut is rertN���was monewa-!herb
Roads Act approved July 1.1916.(39 Stat 355),as amended submitted or has become ertoneots by reason of clanged
and supplemented; circumstances.
Shill be fitted under this title or imprisoned not more than 5 e.The terms'covered transaction.' debarred;
years a both' 'suspended:"meligble.-participant."perm.' 'pnncipat-
md'whu tai ly enMnded.'as used in this clause.are defined
b 2 CFR Parts ISD and 1200. Fust Trey Covered
DL MILEl1ENTATION OF CLEAN AIR ACT AND FEDERAL Transactors'refers to arty covered transaction between a
WATER POLLUTION CONTROL ACT grantee or subgramee of Federal funds and a participant(such
as the prime orgeriend contract). lower Tier Covered
This provision is applicable to all Federal-aid conmetion Tnnsactms'refers to any covered transaction under a First
contacts and to all related shbeotdracn. Tier Covered Transaction(such as stmcadrack} 'First Tri
Participant'refer to the participant who has entered into a
By submission of his bidlproposat a he execution of his covered transaction w3h a grantee or subgrantee of Federal
contract,orsubcontract as appre{aiate,the bidder.proposer, funds(such as the prime a general cormacta). 'Law Tier
Federal-aid consbuctm cam Tactor.a subcontractor.as Partx:W refits any participam who has entered into a
appropriate,will be deemed to have stipulated as tallows: covered transaction vvth a Fust Tier Participant or otrer Lower
Tier Participarts(such as subcontractors and suppfiers�
1.That any person who is or will be utilized in the
performance of this contract is not prohibited frau receiving an L The prospective fust tier participate agrees by submitting
awaro due to a violation of Section 508 of he Clean Water Act this proposal that,shouk he proposed covered transaction be
or Section 306 of he Clean Au Act entered into,it shag not knnmmgly enter into arty lacer tier
2.That the contactor agrees to imide or cause to be covered transaction with a person who is debarred.
included the requirements of paragraph(1)of this Section X in suspended,declared ineligible.or voluntarily excluded ban
every subcontract,and further agrees to take such action as participation in his covered transaction unless authorized by
the contracting agency may direct as a means of enforcing he deparomm a agency entering into this transaction.
such requ'vemens.
g.The prospective fig tier participant further agrees by
submitting this proposal that it will include the clause tided
X CERTIFICATION REGARDING DEBARMENT, 'Cei%icaton Regarding Debamunt Suspension,IneligbSay
SUSPENSION,INELIGIBILITY AND VOLUNTARY and Vohmtwy E>refusion-Lower Tier Covered Transactors,-
EXCLUSION provided by he department or contracting agency.entering
into his covered tra,saction,without modification,in all lower
This provision is applicable to all Federalaid construction tier covered transactions and in ag solicitations for lower tier
contain.deswWoutld contracts.subcontracts.towerter covered transactions exceeding the$23.009 threshdd.
subcontracts.purtlase orders.lease agreements.consultant
contracts or any other covered transaction regnsitg FHWA h A participant in a covered transaction may rely upon a
approval or duo is estimated to cost f25A00 a more- as certification of a prospective partidpvmt in a lower tier covered
defined in 2 CFR Parts 1S9 and 1200. transaction that is not debarred,suspended,ineligih!e,or
voluntarily excluded from he covered transattim,unless it
knows that the cermhcation is enareous. A participant is
responsible for ensuring that its principals are not suspended.
1.Instructions for Certification-First Tier Participants: debarred.a otherwise urefgble to participate in covered
transactions. To verily the eligibility of is principals,as well as
a.By signing and submiting this proposal,the prospective the efgrbity of any Inver ter prospective participants.each
EM tier participant is providing the certi5caion set out below. participant may,but is not required to,dxek the Excluded
Parties List System website(hilpsllwrm.eds.dovfl,which is
b.The inability of a person to provide the certification set out compiled by the General Services Administration.
below will not necessarily resuk in denial d participation in this
Exhibit 1-Page 9 of 12
i Nothing contained in the foregoing shall be construed to this transaction originated may pursue available remedies.
require the establishment of a system of records in order to including suspension andlcr debar em.
render in good faro the certi cation required by this clause.
The knowledge and"adannation of be prospective participant c.The prospective lower tier participant shat provide
is not required to exceed that which is normaly possessed by immediate mitten notice to the person to which this proposal is
a pmdem person in the ordinary course of business dealings. submitted if at any time the prospective lower tier participant
trams that its xMi==was erroneous by mason of
}Except for transactions authorized under paragraph(f)of changed dtconstances.
these oistrucbons.if a participant in a covered transaction
knovengly enters into a lower tier covered transaction meth a ' d.The terms'covered transaction:'debarred:
person who s suspended,debarred.ineligible.w voonanly 'suspended."'Lneligible._partcipam.."person:'principal:
exrhded from participation in this transaction.in addtian to and'voluntarily excluded:as used in dais clause.are defined
other remedies available to the Federal Governmemt the in 2 CFR Pars 160 and 1200. You may contact the peson to
deem w agency may terminate this transaction for cause which this proposal is submitted for assistance in obtaining a
spy of those regulators. fist Trey Covered Transactions'
refers to arty covered transaction between a gramee or
..... subgrantee of Federal funds and a participant(such as the
prime or general contract). 'tower Tier Covered Transactions'
2- Certification Regarding Debarment Suspension. refers to any covered transaction under a Fist Ter Covered
bre6gblbly and Voluntary Exclusion—Fust Ter Transaction(such as subnontraps). 'Foss Tier Participant'
Participants: refers to the participant who has entered into a covered
vansmom dzh a grantee w subgrantee of Federal fonds
a. The is knowdeeddgepead beliettier f.that it andnt itscepri principals:the best of Participant�patdeipamuch at;the prime or general nMnoh ler entered into a
covered transaction wait a Foci Ter Particpam or cher Lower
(1) Are not presentlydebarred-suspended,proposedfor Tier Participants(such as srdwontractors and suppliers).
debarment declared'nefigible.or votuntaniy excluded Som
participating in covered transactons by any Federal e.The prospective lower tier participant agrees by
department or agercY. submi trig this proposal that shodd the proposed covered
transaction be entered into.it shag not knowingly enter iron
(2) Have not within a three-year period preceding this any lower tier covered transaction doh a person who is
proposal been convicted of or had a civil judgment rendered debarred.suspended.declared ineligible.or voluntarily
against them for commission of fraud or a criminal offense in excluded from participation in this covered transaction.unless
connection w.th obtaining.attempting to obtain.or performing authorized by the department a agency with which this
a public(Federal.State a local)transaction or contract under transaction crigiuted.
a public transaction:violation of Federal or Stare antbust
statutes or commission of embezzlematL melt.forgery. I.The prospective lower her participant further agrees by
bribery,falsifica6wn or destruction of records.making false submitting this proposal that it will include this clause tiled
statements.w receiving stolen property: 'Certification RegWili g Debarment.Suspension.Ineligibility
and Voluntary Excluswn-Lower Tier Covered Transaction:
(3) Are not presently indicted fon m otherwise wim'vu0y or without modification.to ail hoer tier covered transactions and
cmDy charged by a governmental entity(Federal.State or o all solockations for lower tier covered transactions"oeebng
IoW)with commission of any of the offenses emmnerated in the$25,000 threshold.
paragraph(a)[2)ofthis certification;and
g.A participant in a covered transaction may rely upon a
(4) Have not within a three-year period Preceding this certification of a prospective participam it a ower der covered
applicatiordproposal had one or more public transactions transaction that is not debarred.suspended,ine[tNe.or.
(Federal.State or local)terminated for rose a default. voomanly excluded from the covered transaction.unless d
knows that the certification is erroneous.A participant is
b. Mien the prospective participant is unable to certify to responsible or ensuring that its principal are not suspended.
any of the statements in this certfx mon.such prospective debarred.or otherwise ineligible to participate in covered
participant shag attach an etptar mon to this proposal. transactions. To verify be ebp3Ery of is principals.as reg as
the efigibily of any loser tier prospective participants.each
2.Instructions for Certification-Lower Tier Participants: participant may.but is not required to.check the Excluded
Parties List System website(ImlpFvJhrwwRdS.ODw7L which is
(Applicable to all subcontracts.purchase orders and other compiled by the Generat Services Administration.
ower tier transactions requiring prior FHWA approval or
estimated to cost 525.000 or more-2 CFR Pars 180 and It.Hotliong contained in the foregoing shag be construed to
1200) require esabfshrnmt of a system of records it order to render
in good faith the certification required by ins dause.The
a By signing and submitting this proposal,the prospective knowledge and irdarmatim of participant is not required to
lower Ser is providing the cerCea im set out below. exceed that which is nomu0y possessed by a prudem person
in the ordinary course at business dealings.
b.The oetificatiorn in this clause is a material representation
of fad upon which reliance was placed when this transaction i Except for trarsactvs authorized under paragraph a of
was entered into.ff it is tater determined that the prospective- these instructions,if a participant it a covered transaction
lower tier participant knowingly rendered an errwe tis knowingly einem into a bum tier covered transaction with a
cortication.in addition to other rennedies available to the person who is suspended.debarred.ineligible,or voluntarily
Carly .
Federal Government the department or agency with which excluded from participation in this transaction.in addition to
ober remedies available to the Federal Govemmem,the
Exhibit I-Page 10 of 12
department or agency with which this transaction originated
may pursue available remedies,including suspension andfw
debarment
Certification Regarding Debarment Suspension,
Nefigibifity and Voluntary Exclusion—Liver Tier
Participants: .
1.The prospective lower tier participant certifies.by .
submission of this proposal,that neither it nor its principals is
presently debarred.suspended,proposed for debarment
declared ineligible.or voluntarily excluded from participating in
covered transactions by any Federal department or agency.
2.Where the prospective lower fief participant is unable to
certfy to any of the statements in this cerYditatim,such
prospective p3nicipant shall attach an explanation to this
proposal-
XL CERTIFICATION REGARDING USE OF CONTRACT
FUNDS FOR LOBBYING
This provision is applicable to all Federal-aid construction
contracts and to all related subcontracts which exceed
5100,000(40 CFR 20),
1.The prospective participant certifies,by signing and
submitting this bid or proposal,to the best d his or her
knowledge and belief,that
a.No Federal appropriated funds have been paid or will be
paid.by or on behaff of the undersigned.to any person for
influencing or attempting to influence an officer or employee d
any Federal agency,a Member of Congress,an officer or
employee of Congress,or an employee d a Member of
Congress in connection with the awarding of any Federal
contact the making d any Federal grant the making at any
Federal ban.the entering it=of any cooperative agreement
and the extern iem,continuation.renewal.amendment or
moddication of any Federal contract grant loan,or
cooperative agreement.
b.tF any funds other than Federal appropriated funds have
been paid or will be paid to any person for influencing or
attempting to inffuence an officer or employee of any Federal
agency,a Member of Congress.an officer w employee of
Congress,w an employee of a Member of Congress in
connection v th this Federal contract.grant loan.or
cooperative agreement the undersigned shall complete and
submit Standard Form-LLL,-Disclosure Form to Report
Lobbying.'in rdance with its instructions.
2.This cart6cation is 3 material representation d fact upon
which reliance was placed when this transaction was made or
entered into. Submission d this certfration is a prerequisite
for making or entering into this transaction imposed by 31
U.S.C. 1352. Any person who fats to fie the required
cenftadon shall be subject to a civil penalty of not less than
510,000 and not more than S100.000 for each such failure_
3.The prospective participant also agrees by wbm4ing its .
bid or proposal that the participant shall require that the
language of this certification be included in all Iwver tier
subcontracts,which exceed 5100.000 and that al such
recipients shall certfy and disclose accordingly.
Exhibit 1-Page I 1 of 12
ATTACHMENT A-EMPLOYMENT AND MATERUILS B.The contractor shall include the provisions of Sections 1
PREFERENCE FOR APPALACHIAN DEVELOPMENT through 4 of this Attachment A in every subcontract for work
MGHWAY SYSTEM OR APPALACHUUI LOCAL ACCESS which is.or reasonably may be,done as on-sde wort.
ROAD CONTRACTS
This provision is app5cable to all Federal-aid projects funded
under the Appalachian Regional Development Ac of 1605.
1.Dump the performance of this cohtan,the contractor .
undertaking to do work which is.or reasonably may be.done
as on-see work.shall give preference to quarl d persons who
regutady reside in the labor arca as designated by the DOL
wherein the conaract wort is situated.or the subregiaL or the
Appalachian counties of the State wherein the contract wort is
situated.erupt
a.To the extent that quaUiied persons regularly residing in
the area are not available.
b.For the reasonable needs of the contactor to employ
supervisory or spedagy ep *n-d personnel necessary to
assure an efficient execution of the contact wok.
c.For the obligation of the contactor to titer employment to
present orformer employees as the result m a IavM c ffectve
bargaining cormact.provided that the number of nonresident
persons employed under this subparagraph(1c)shall not
exceed 20 percent of the total number of employees employed
by the contactor r the contact work.except as provided m
subparagraph(4)below.
2.The contractor shat place a job order w1h the State
Employment Service indie min;;(a)the classifications of the
laborers.mechanics and other employees requted to perform
the mruact work.(b)the number of employees required n
each dassfieabon.(c)the date on which the participant
estrnates such employees will be required.and(d)any cher
pertinent information required by the Ston Employment
Service to complete the job order form. The job order may be
placed with the Sate Employment Service in suiting or by
telephone. If during the course of the contact work,the
bdomaton submaed by the contractor n the ongmal job order
is substantially modified.the pamcipant shall ponpty notiry
the State Employment Service.
3.The contractor shat give full consideration to all qualified
job appBeants refined lo hkm by the Sas Employmad
Service. The contractor a not req Bred to grant employment to
any job app!c who.in his opinion,are not qualEwW to
pMomh the dassftamn of work reghtred.
4.t,within one week folown6 the placing of ajob adv by
the ardncmr with is Ston Employment Service.the State
Employment Service is unable to refer any quaffed job
applicants to the contractor.or less don the manbv
requested.the State Employntent Servide ml fommd a
cert-wale to the wntacor ndicatng the uavalabity of
applicants. Such certificate shat be made a pan of the
contractor's permanent project records. Upon receipt of this
cerffw=e.the contractor may employ persons who do not
normally reside in the labor area to fill p ten ons covered by the
cen:icate.rohvthstanclft the provisions of subparagraph(1c)
above.
5. The provisions of 23 CFR t33M(e)allow the
combacng agency to provide a contactual preference for the
use of mineral resource materials native to the Appalachian
Exhibit I-Page 12 of 12
EXHIBIT J,ADDITIONAL FEDERAL REQUIREMENTS
Federal laws and regulations that may be applicable to the Work include:
Executive Order 11246
Executive Order 11246 of September 24, 1965 entitled"Equal Employment Opportunity,"as amended by
Executive Order 11375 of October 13, 1967 and as supplemented in Department of labor regulations(41
CFR Chapter 60)(All construction contracts awarded in excess of$10,000 by the Local Agencys and their
contractors or the Local Agencys).
Copeland"Anti-Kickback" Act
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-Agreements for construction or repair).
Davis-Bacon Act
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 the Local Agencys and the Local
Agencys when required by Federal Agreement program legislation.This act requires that all laborers and
mechanics employed by contractors or"sub-contractors to work on construction projects financed by federal
assistance must be paid wages not less than those established for the locality of the project by the Secretary
of Labor).
Contract Work Hours and Safety Standards Act
Sections 103 and 107 of the Contract Work Hours and Safety Standards Act(40 U.S.C.327-330)as
supplemented by Department of labor regulations(29 CFR Part 5).(Construction contracts awarded by the
Local Agency's in excess of$2,000,and in excess of$2,500 for other contracts which involve the '
employment of mechanics or laborers).
Clear Air Act
Standards,orders,or requirements issued under section 306 of the Clear Air Act(42 U.S.C. 1857(h),
section 508 of the Clean Water Act(33 U.S.C. 1368).Executive Order 11738,and Environmental
Protection Agency regulations(40 CFR Part 15)(contracts,subcontracts,and sub-Agreements of amounts
in excess of$100,000).
Energy Policy and Conservation Act
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).
OMB Circulars
Office of Management and Budget Circulars A-87,A-21 or A-122,and A-102 or A-110,whichever is
applicable.
Hatch Act
The Hatch Act(5 USC 1501-1508)and Public Law 95-454 Section 4728.These statutes state that federal
funds cannot be used for partisan political purposes of any kind by any person or organization involved in
the administration of federally-assisted programs.
Nondiscrimination
The Local Agency shall not exclude from participation in,deny the benefits of,or subject to discrimination
any person in the United States on the ground of race,color national origin,sex,age or disability.Prior to
the receipt of any Federal financial assistance from CDOT,the Local Agency shall execute the attached
Standard DOT Title VI assurance.As appropriate,the Local Agency shall include Appendix A,B,or C to
the Standard DOT Title VI assurance in any contract utilizing federal funds,land or other aid.The Local
Agency shall also include the following in all contract advertisements:
The[Local Agency], in accordance with the provisions of Title VI of the Civil Rights Act of 1964
(79 Stat. 252. 42 US.C.§$2000d to 2000d-4)and the Regulations, hereby notifies all bidders that
it will affirmatively ensure that any contract entered into pursuant to this advertisement,DBEs
will be afforded fill andfair opportunity to submit bids in response to this invitation and will not
be discriminated against on the grouds ofrace, color, or national origin in consideration for any
award.
Exhibit J-Page I of I 1
ADA
In any contract utilizing federal funds,land,or other federal aid,the Local Agency shall require the federal-
aid recipient or contractor to provide a statement of written assurance that they will comply with Section
504 and not discriminate on the basis of disability.
Uniform Relocation Assistance and Real Property Acquisition Policies Act
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 the Agreement). .
Drug-Free Workplace Act
The Drug-Free Workplace Act(Public Law 100-690 Title V,subtitle D,41 USC 701 et s2g. .
Age Discrimination Act of 1975
The Age Discrimination Act of 1975,42 U.S.C. Sections 6101 et.seg.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.
23 C.F.R.Part 172
23 C.F.R.Part 172,concerning"Administration of Engineering and Design Related Contracts".
23 C.F.R Part 633
23 C.F.R Part 633,concerning"Required Contract Provisions for Federal-Aid Construction Contracts".
23 C.F.R.Part 635
23 C.F.R Part 635,concerning"Construction and Maintenance Provisions".
Title VI of the Civil Rights Act of 1964 and 162(a)of the Federal Aid Highway Act of 1973
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.
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:
I.Compliance with Regulations .
The Contractor will comply with the Regulations of the Department of Transportation relative to
nondiscrimination in Federally assisted programs of the Department of Transportation(Title 499
Code of Federal Regulations,Part 21,hereinafter referred to as the"Regulations"),which are herein
incorporated by reference and made a part of this Agreement.
ii.Nondiscrimination
The Contractor,with regard to the work performed by it after award and prior to completion of the
contract work,will not discriminate on the ground of race,color,sex,mental or physical handicap
or national origin in the selection and retention of Subcontractors, including procurement of
materials and leases of equipment.The Contractor will not participate either directly or indirectly in
the discrimination prohibited by Section 21.5 of the Regulations,including employment practices
when the contract covers a program set forth in Appendix C of the Regulations.
tit.Solicitations for Subcontracts,Including Procurement of Materials and Equipment
In all solicitations either by competitive bidding or negotiation made by the Contractor for work to
be performed under a subcontract,including procurement of materials or equipment,each potential
Subcontractor or supplier shall be notified by the Contractor of the Contractor's obligations under
this Agreement and the Regulations relative to nondiscrimination on the ground of race,color,sex,
mental or physical handicap or national origin.
iv.Information and Reports
The Contractor will provide all information and reports required by the Regulations,or orders and
instructions issued pursuant thereto and will permit access to its books,records,accounts,other
sources of information and its facilities as may be determined by the State or the FHWA to be
pertinent to ascertain compliance with such Regulations,orders and instructions.Where any
information required of the Contractor is in the exclusive possession of another who fails or refuses
to furnish this information,the Contractor shall so certify to the State,or the FHWA as appropriate
and shall set forth what efforts have been made to obtain the information.
Exhibit J-Page 2 of 11
v.Sanctions for Noncompliance
In the event of the Contractors noncompliance with the nondiscrimination provisionsof this
Agreement,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.
Incorporation of Provisions§22
The Contractor will include the provisions of this Exhibit J 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.
THE REMAINDER OF THIS PAGE INTENTIONALLY LEFT BLANK
Exhibit J-Page 3 of 11
SAMPLE
The United States Department of Transportation(USDOTI Standard Title VVNon-Discrimination
Assurances for Local Agencies
DOT Order No.1050.2A
The[Local Agency](herein referred to as the"Recipient"), HEREBY AGREES THAT,as a condition to receiving
any Federal financial assistance from the U.S.Department of Transportation(DOT),through the Colorado
Department of Transportation and the Federal Highway Administration(FHWA),Federal Transit Administration
(FTA),and Federal Aviation Administration(FAA),is subject to and will comply with the following:
Statutorv/Reeulatory Authorities
• Title VI of the Civil Rights Act of 1964(42 U.S.C. §2000d et seq.,78 stat.252),(prohibits discrimination
on the basis of race,color,national origin);
• 49 C.F.R.Part 21 (entitled Non-discrimination In Federally-Assisted Programs Of The Department Of
Transportation-Effectuation Of Title VI Of The Civil Rights Act Of 1964);
• 28 C.F.R.section 50.3(U.S. Department of Justice Guidelines for Enforcement of Title VI of the Civil
Rights Act of 1964);
The preceding statutory and regulatory cites hereinafter are referred to as the"Acts"and"Regulations,"respectively.
General Assurances
In accordance with the Acts,the Regulations,and other pertinent directives,circulars,policy,memoranda,and/or
guidance,the Recipient hereby gives assurance that it will promptly take any measures necessary to ensure that:
"No person in the United States shall, on the grounds of race, color, or national origin, be
excluded from participation in, be denied the benefits of, or be otherwise subjected to
discrimination under any program or activity, for which the Recipient receives Federal financial
assistance from DOT, including the FHWA, FTA, or FAA.
The Civil Rights Restoration Act of 1987 clarified the original intent of Congress,with respect to Title VI and other
Non-discrimination requirements(The Age Discrimination Act of 1975,and Section 504 of the Rehabilitation Act
of 1973),by restoring the broad,institutional-wide scope and coverage of these non-discrimination statutes and
requirements to include all programs and activities of the Recipient,so long as any portion of the program is
Federally assisted.
Specific Assurances
More specifically,and without limiting the above general Assurance,the Recipient agrees with and gives the
following Assurances with respect to its Federally assisted FHWA,FTA,and FAA assisted programs:
1. The Recipient agrees that each"activity," "facility,"or"program,"as defined in§§21.23(b)and 21.23(e)of
49 C.F.R. §21 will be(with regard to an"activity")facilitated,or will be(with regard to a"facility")
operated,or will be(with regard to a"program")conducted in compliance with all requirements imposed
by,or pursuant to the Acts and the Regulations.
2. The Recipient will insert the following notification in all solicitations for bids,Requests For Proposals for
work,or material subject to the Acts and the Regulations made in connection with all FHWA,FTA and
FAA programs and,in adapted form,in all proposals for negotiated agreements regardless of funding
source:
3. "The[Local Agency] in accordance with the provisions of Title VI of the Civil Rights Act of 1964
(78 Stat.252,42 US.C. §§ 2000d to 2000d-4)and the Regulations, hereby notifies all bidders that
it will affirmatively ensure that any contract entered into pursuant to this advertisement,
disadvantaged business enterprises will be afforded full and fair opportunity
Exhibit J-Page 4 of 11
4. to submit bids in response to this invitation and will not be discriminated against on the grounds of
race,color,or national origin in consideration for an award."
5. The Recipient will insert the clauses of Appendix A and E of this Assurance in every contract or agreement
subject to the Acts and the Regulations. _
6. The Recipient will insert the clauses of Appendix B of this Assurance,as a covenant running with the land.
in any deed from the United States effecting or recording a transfer of real property,structures,use,or
improvements thereon or interest therein to a Recipient.
7. That where the Recipient receives Federal financial assistance to construct a facility,or part of a facility,
the Assurance will extend to the entire facility and facilities operated in connection therewith.
8. That where the Recipient receives Federal financial assistance in the forth,or for the acquisition of real
property or an interest in real property.the Assurance will extend to rights to space on,over,or under such
property.
9. That the Recipient will include the clauses set forth in Appendix C and Appendix D of this Assurance,as a
covenant running with the land,in any future deeds,leases,licenses,permits,or similar instruments entered
into by the Recipient with other parties:
a. for the subsequent transfer of real property acquired or improved under the applicable activity,project,
or program;and '
b. for the construction or use of,or access to,space on,over,or under real property acquired or improved
under the applicable activity,project,or program. .
10. That this Assurance obligates the Recipient for the period during which Federal financial assistance is
extended to the program,except where the Federal financial assistance is to provide,or is in the form of,
personal property,or real property,or interest therein,or structures or improvements thereon,in which case
the Assurance obligates the Recipient,or any transferee for the longer of the following periods:
a. the period during which the property is used for a purpose for which the Federal financial assistance is
extended,or for another purpose involving the provision of similar services or benefits;or
b. the period during which the Recipient retains ownership or possession of the property.
11. The Recipient will provide for such methods of administration for the program as are found by the
Secretary of Transportation or the official to whom he/she delegates specific authority to give reasonable
guarantee that it,other recipients,sub-recipients,sub-grantees,contractors,subcontractors,consultants,
transferees,successors in interest,and other participants of Federal financial assistance under such program
will comply with all requirements imposed or pursuant to the Acts,the Regulations,and this Assurance.
12. The Recipient agrees that the United States has a right to seek judicial enforcement with regard to any
matter arising under the Acts,the Regulations,and this Assurance.
By signing this ASSURANCE,the[Local Agency]also agrees to comply(and require any sub-recipients,sub-
grantees,contractors,successors,transferees,and/or assignees to comply)with all-applicable provisions governing
the FHWA, FTA,and FAA's access to records,accounts,documents,information,facilities,and staff.You also
recognize that you must comply with any program or compliance reviews,and/or complaint investigations
conducted by CDOT,FHWA,FTA,or FAA.-You must keep records,reports,and submit the material for review
Exhibit P-Page 5 of I 1
upon request to CDOT,FHWA,FTA,or FAA,or its designee in a timely,complete,and accurate way.Additionally,
you must comply with all other reporting,data collection,and evaluation requirements,as prescribed by law or
detailed in program guidance.
[local Agency]gives this ASSURANCE in consideration of and for obtaining any Federal grants,loans,contracts.
agreements,property,and/or discounts,or other Federal-aid and Federal financial assistance extended after the date
hereof to the recipients by the U.S. Department of Transportation under the FHWA;FTA,and FAA.This
ASSURANCE is binding on[Local Agency],other recipients,sub-recipients,sub-grantees,contractors,
subcontractors and their subcontractors',transferees,successors in interest,and any other participants in the FHWA,
FTA,and FAA funded programs. The person(s)signing below is authorized to sign this ASSURANCE on behalf of
the Recipient.
(Name of Recipient)
by
(Signature of Authorized Official)
DATED
Exhibit J-Page 6 of I I
APPENDIX A
During the performance of this contract,the contractor,for itself,its assignees,and successors in interest
(hereinafter referred to as the"contractor")agrees as follows:
I. Compliance with Regulations:The contractor(hereinafter includes consultants)will comply with the Acts
and the Regulations relative to Non-discrimination in Federally-assisted programs of the U.S.Department
of Transportation,FHWA,as they may be amended from time to time,which are herein incorporated by
reference and made a part of this contract.
2. Non-discrimination:The contractor,with regard to the work performed by it during the contract,will not
discriminate on the grounds of race,color,or national origin in the selection and retention of
subcontractors,including procurements of materials and leases of equipment.The contractor will not
participate directly or indirectly in the discrimination prohibited by the Acts and the Regulations,including
employment practices when the contract covers any activity,project,or program set forth in Appendix B of
49 CFR Part 21.
3. Solicitations for Subcontracts,Including Procurements of Materials and Equipment:In all
solicitations,either by competitive bidding,or negotiation made by the contractor for work to be performed
under a subcontract,including procurements of materials,or leases of equipment,each potential
subcontractor or supplier will be notified by the contractor of the contractors obligations under this contract
and the Acts and the Regulations relative to Non-discrimination on the grounds of race,color,or national
origin.
4. Information and Reports:The contractor will provide all information and reports required by the Acts,
the Regulations,and directives 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[Local Agency],
CDOT or FHWA to be pertinent to ascertain compliance with such Acts,Regulations,and instructions.
Where any information required of a contractor is in the exclusive possession of another who fails or
refuses to furnish the information,the contractor will so certify to the[Local Agency],CDOT or FHWA,as
appropriate,and will set forth what efforts it has made to obtain the information. '
5. Sanctions for Noncompliance: In the event of a contractor's noncompliance with the Non-discrimination
provisions of this contract,the [Local Agency] will impose such contract sanctions as it,CDOT or FHWA
may determine to be appropriate,including,but not limited to:
a. withholding payments to the contractor under the contract until the contractor complies;and/or
b. cancelling,terminating,or suspending a contract, in whole or in part.
6. Incorporation of Provisions:The contractor will include the provisions of paragraphs one through six in
every subcontract,including procurements of materials and leases of equipment,unless exempt by the Acts,
the Regulations and directives issued pursuant thereto.The contractor will take action with respect to any
subcontract or procurement as the Recipient or the[Local Agency],CDOT or FHWA may direct as a
means of enforcing such provisions including sanctions for noncompliance. Provided,that if the contractor
becomes involved in,or is threatened with litigation by a subcontractor,or supplier because of such
direction,the contractor may request the Recipient to enter into any litigation to protect the interests of the
Recipient.In addition,the contractor may request the United States to enter into the litigation to,protect the.
interests of the United States.
Exhibit J-Page 7 of I 1
APPENDIX B
CLAUSES FOR DEEDS TRANSFERRING UNITED STATES PROPERTY
The following clauses will be included in deeds effecting or recording the transfer of real property,structures,or
improvements thereon,or granting interest therein from the United States pursuant to the provisions of Assurance 4:
NOW,THEREFORE,the U.S.Department of Transportation as authorized by law and upon the condition that the
[Local Agency]will accept title to the lands and maintain the project constructed thereon in accordance with(Name
gfAppropriate Legislative Authority),the Regulations for the Administration of(Name ojAppropriate Program),
and the policies and procedures prescribed by the FH WA of the U.S. Department of Transportation in accordance
and in compliance with all requirements imposed by Title 49,Code of Federal Regulations,U.S.Department of
Transportation,Subtitle A,Office of the Secretary,Part 21,Non-discrimination in Federally-assisted programs of
the U.S Department of Transportation pertaining to and effectuating the provisions of Title VI of the Civil Rights
Act of 1964(78 Stat.252;42 U.S.C. §2000d to 2000d-4),does hereby remise,release,quitclaim and convey unto
the[Local Agency]all the right,title and interest of the U.S.Department of Transportation in and to said lands
described in Exhibit A attached hereto and made a pari hereof.
(HABENDUM CLAUSE)
TO HAVE AND TO HOLD said lands and interests therein unto[Local Agency]and its successors forever,
subject,however,to the covenants,conditions,restrictions and reservations herein contained as follows,which will
remain in effect for the period during which the real property or structures are used for a purpose for which Federal
financial assistance is extended or for another purpose involving the provision of similar services or benefits and
will be binding on the[Local Agency] its successors and assigns.
The[Local Agency],in consideration of the conveyance of said lands and interests in lands,does hereby covenant
and agree as a covenant running with the land for itself,its successors and assigns,that(1)no person will on the
grounds of race,color,or national origin,be excluded from participation in,be denied the benefits of,or be
otherwise subjected to discrimination with regard to any facility located wholly or in pan on,over,or under such
lands hereby conveyed[,] [and]*(2)that the[Local Agency]will use the lands and interests in lands and interests in
lands so conveyed,in compliance with all requirements imposed by or pursuant to Title 49,Code of Federal
Regulations,U.S. Department of Transportation,Subtitle A,Office of the Secretary,Part 21,Non-discrimination in
Federally-assisted programs of the U.S. Department of Transportation,Effectuation of Title V1 of the Civil Rights
Act of 1964,and as said Regulations and Acts may be amended[,and(3)that in the event of breach of any of the
above-mentioned non-discrimination conditions,the Department will have a right to enter or re-enter said lands and
facilities on said land,and that above described land and facilities will thereon revert to and vest in and become the
absolute property of the U.S. Department of Transportation and its assigns as such interest existed prior to this
instruction].*
(*Reverter clause and related language to be used only when it is determined that such a clause is necessary in order
Exhibit J-Page 8 of I 1
APPENDIX C
CLAUSES FOR TRANSFER OF REAL PROPERTY ACQUIRED OR IMPROVED UNDER THE
ACTIVITY,FACILITY,OR PROGRAM
The following clauses will be included in deeds,licenses,leases,permits,or similar instruments entered into by the
[Local Agency]pursuant to the provisions of Assurance 7(a):
A. The(grantee,lessee,permittee,etc.as appropriate)for himself/herself;his/her heirs,personal representatives,
successors in interest,and assigns,as a part of the consideration hereof,does hereby covenant and agree[in the
case of deeds and leases add"as a covenant running with the land"]that:
1. In the event facilities are constructed,maintained,or otherwise operated on the property described in this
(deed,license,lease,permit,etc.)for a purpose for which a U.S.Department of Transportation activity,
facility,or program is extended or for another purpose involving the provision of similar services or
benefits,the(grantee,licensee,lessee,permittee,etc.)will maintain and operate such facilities and services
in compliance with all requirements imposed by the Acts and Regulations(as may be amended)such that
no person on the grounds of race,color,or national origin,will be excluded from participation in,denied
the benefits of,or be otherwise subjected to discrimination in the use of said facilities.
B. Withrespect to licenses, leases,permits,etc.,in the event of breach of any of the above Non-discrimination
covenants,[Local Agency]will have the right to terminate the(lease, license,permit,etc.)and to enter,re-enter,
and repossess said lands and facilities thereon,and hold the same as if the(lease,license,permit,etc.)had never
been made or issued.* -
C. With respect to a deed,in the event of breach of any of the above Non-discrimination covenants,the[Local
Agency]will have the right to enter or re-enter the lands and facilities thereon;and the above described lands
and facilities will there upon revert to and vest in and become the absolute property of the[Local Agency]and
its assigns.*
(*Reverter clause and related language to be used only when it is determined that such a clause is necessary to make
clear the purpose of Title VL)
Exhibit 1-Page 9 of 11
APPENDIX D
CLAUSES FOR CONSTRUCTION/USE/ACCESS TO REAL PROPERTY ACQUIRED UNDER THE
ACTIVITY,FACILITY OR PROGRAM
The following clauses will be included in deeds,licenses,permits,or similar instruments/agreements entered into by
[Local Agency]pursuant to the provisions of Assurance 7(b):
A. The(grantee,licensee,permittee,etc.,as appropriate)for himself/herself,his/her heirs,personal representatives,
successors in interest,and assigns,as a part of the consideration hereof,does hereby covenant and agree(in the
case of deeds and leases add,"as a covenant running with the land")that(1)no person on the ground of race,
color,or national origin,will be excluded from participation in,denied the benefits of,or be otherwise subjected
to discrimination in the use of said facilities,(2)that in the construction of any improvements on,over,or under
such land,and the furnishing of services thereon,no person on the ground of race,color,or national origin,will
be excluded from participation in,denied the benefits of,or otherwise be subjected to discrimination,(3)that
the(grantee,licensee,lessee,permittee,etc.)will use the premises in compliance with all other requirements
imposed by or pursuant to the Acts and Regulations,as amended,set forth in this Assurance.
B. With respect to(licenses,leases,permits,etc.),in the event of breach of any of the above Non-discrimination
covenants,[Local Agency]will have the right to terminate the(license,permit,etc.,as appropriate)and to enter
or re-enter and repossess said land and the facilities thereon,and hold the same as if said(license,permit,etc.,
as appropriate)had never been made or issued.*
C. With respect to deeds,in the event of breach of any of the above Non-discrimination covenants,[Local Agency]
will there upon revert to and vest in and become the absolute property of[Local Agency] of Transportation and
its assigns.*
(*Reverter clause and related language to be used only when it is determined that such a clause is necessary to make
clear the purpose of Title VI.)
Exhibit 1 -Page 10 of 1 I
APPENDIX E
During the performance of this contract,the contractor,for itself,its assignees,and successors in interest
(hereinafter referred to as the"contractor")agrees to comply with the following non-discrimination statutes and
authorities; including but not limited to:
Pertinent Non=Discrimination Authorities:
• Title VI of the Civil Rights Act of 1964(42 U.S.C. §2000d et seq.;78 stat.252),(prohibits discrimination
on the basis of race,color,national origin);and 49 CFR Part 21.
• The Uniform Relocation Assistance and Real Property Acquisition Policies Act of 1970,(42 U.S.C. §
4601),(prohibits unfair treatment of persons displaced or whose property has been acquired because of
Federal or Federal-aid programs and projects);
• Federal-Aid Highway Act of 1973,(23 U.S.C. §324 et seq.),(prohibits discrimination on the basis of sex);
• Section 504 of the Rehabilitation Act of 1973,(29 U.S.C. §794 et seq.), as amended,(prohibits
discrimination on the basis of disability);and 49 CFR Part 27;
• The Age Discrimination Act of 1975,as amended,(42 U.S.C.§6101 et seq.),(prohibits discrimination on
the basis of age);
• Airport and Airway Improvement Act of 1982,(49 USC§471, Section 47123),as amended,(prohibits
discrimination based on race,creed,color,national origin,or sex);
• The Civil Rights Restoration Act of 1987,(PL 100-209),(Broadened the scope,coverage and applicability
of Title VI of the Civil Rights Act of 1964,The Age Discrimination Act of 1975 and Section 504 of the
Rehabilitation Act of 1973,by expanding the definition of the terms"programs or activities" to include all
of the programs or activities of the Federal-aid recipients,sub-recipients and contractors,whether such
programs or activities are Federally funded or not);
• Titles 11 and III of the Americans with Disabilities Act,which prohibit discrimination on the basis of
disability in the operation of public entities,public and private transportation systems,places of public
accommodation,and certain testing entities(42 U.S.C. §§ 12131-12189)as implemented by Department of
Transportation regulations at 49 C.F.R.parts 37 and 38;
• The Federal Aviation Administration's Non-discrimination statute(49 U.S.C. §47123)(prohibits
discrimination on the basis of race,color,national origin,and sex);
• Executive Order'12898,Federal Actions to Address Environmental Justice in Minority Populations and
Low-Income Populations,which ensures discrimination against minority populations by discouraging
programs,policies,and activities with disproportionately high and adverse human health or environmental
effects on minority and low-income populations;
• Executive Order 13166, Improving Access to Services for Persons with Limited English Proficiency,and
resulting agency guidance,national origin discrimination includes discrimination because of Limited
English proficiency(LEP).To ensure compliance with Title VI,you must take reasonable steps to ensure
that LEP persons have meaningful access to your programs(70 Fed. Reg.at 74087 to 74100);
• Title IX of the Education Amendments of 1972,as amended,which prohibits you from discriminating
because of sex in education programs or activities(20 U.S.C. 1681 et seq).
Exhibit J-Page I I of 11
EXHIBIT I{,FFATA SUPPLEMENTAL FEDERAL PROVISIONS
State of Colorado
Supplemental Provisions for
Federally Funded Contracts,Grants,and Purchase Orders
Subject to
The Federal Funding Accountability and Transparency Act of 2006(FFATA),As Amended
Revised as of 3-20-13
The contract,grant,or purchase order to which these Supplemental Provisions are attached has been funded,in
whole or in part,with an Award of Federal funds.In the event of a conflict between the provisions of these
Supplemental Provisions,the Special Provisions,the contract or any attachments or exhibits incorporated into and
made a part of the contract,the provisions of these Supplemental Provisions shall control.
1. Definitions.For the purposes of these Supplemental Provisions,the following terms shall have the meanings
ascribed to them below.
I.I. "Award"means an award of Federal financial assistance that a non-Federal Entity receives or
administers in the form of
1.1.1.Grants;
1.1.2.Contracts;
1.1.3. Cooperative agreements,which do not include cooperative research and development
agreements(CRDA)pursuant to the Federal Technology Transfer Act of 1986,as amended
(15 U.S.C.3710);
1.1.4.loans;
1.1.5.Loan Guarantees;
1.1.6.Subsidies;
1.1.7.Insurance;
1.1.8.Food commodities;
1.1.9.Direct appropriations;
1.1.10. Assessed and voluntary contributions;and
1.1.11. Other financial assistance transactions that authorize the expenditure of Federal funds by
non-Federal Entities.
Award does not include:
1.1.12. Technical assistance,which provides services in lieu of money;
1.1.13. A transfer of title to Federally-owned property provided in lieu of money;even if the award
is called a grant;
1.1.14. Any award classified for security purposes;or
1.1.15. Any award funded in whole or in part with Recovery funds,as defined in section 1512 of
the American Recovery and Reinvestment Act(ARRA)of 2009(Public Law 111-5).
1.2. "Contract"means the contract to which these Supplemental Provisions are attached and includes all
Award types in§1.1.1 through 1.1.11 above.
1.3. "Contractor"means the party or parties to a Contract funded,in whole or in part,with Federal financial
assistance,other than the Prime Recipient,and includes grantees,subgrantees,Subrecipients,and
borrowers. For purposes of Transparency Act reporting,Contractor does not include Vendors.
1.4. "Data Universal Numbering System(DUNS)Number"means the nine-digit number established and
assigned by Dun and Bradstreet,Inc.to uniquely identify a business entity. Dun and Bradstreet's .
website may be found at: httn://fedgov.dnb.com/wcbfonn.
1.5. "Entity"means all of the following as defined at 2 CFR part 25,subpart C;
1.5.1. A governmental organization,which is a State,local government,or Indian Tribe;
1.5.2.A foreign public entity;
1.5.3.A domestic or foreign non-profit organization;
Exhibit K-Page 1 of 4
1.5.4.A domestic or foreign for-profit organization;and
1.5.5. A Federal agency,but only a Subrecipient under an Award or Subaward to a non-Federal
entity.
1.6. "Executive"means an officer,managing partner or any other employee in a management position.
1.7. "Federal Award Identification Number(FAIN)" means an Award number assigned by a Federal
agency to a Prime Recipient.
1.8. "FFATA"means the Federal Funding Accountability and Transparency Act of 2006(Public Law 109-
282),as amended by§6202 of Public Law 110-252. FFATA,as amended,also is referred to as the
"Transparency Act"
1.9. "Prime Recipient"means a Colorado State agency or institution of higher education that receives an
Award.
1.10. "Subaward"means a legal instrument pursuant to which a Prime Recipient of Award funds awards all
or a portion of such funds to a Subrecipient,in exchange for the Subrecipient's support in the
performance of all or any portion of the substantive project or program for which the Award was granted.
1.11. "Subrecipient"means a non-Federal Entity(or a Federal agency under an Award or Subaward to a non-
Federal Entity)receiving Federal funds through a Prime Recipient to support the performance of the
Federal project or program for which the Federal funds were awarded.A Subrecipient is subject to the
terms and conditions of the Federal Award to the Prime Recipient,including program compliance
requirements.The term"Subrecipient"includes and may be referred to as Subgrantee.
1.12. "Subrecipient Parent DUNS Number"means the Subrecipient parent organization's 9-digit Data
Universal Numbering System(DUNS)number that appears in the subrecipient's System for Award
Management(SAM)profile,if applicable.
1.13. "Supplemental Provisions"means these Supplemental Provisions for Federally Funded Contracts,
Grants,and Purchase Orders subject to the Federal Funding Accountability and Transparency Act of
2006,As Amended,as may be revised pursuant to ongoing guidance from the relevant Federal or State
of Colorado agency or institution of higher education.
1.14. "System for Award Management(SAM)"means the Federal repository into which an Entity must
enter the information required under the Transparency Act,which may be found at htto://www.sam.gov.
1.15. "Total Compensation"means the cash and noncash dollar value earned by an Executive during the
Prime Recipient's or Subrecipient's preceding fiscal year and includes the following:
1.15.1. Salary and bonus;
1.15.2. Awards of stock,stock options,and stock appreciation rights,using the dollar amount
recognized for financial staterrentreporting purposes with respect to the fiscal year in
accordance with the Statement of Financial Accounting Standards No. 123(Revised 2005)
(FAS 123R),Shared Based Payments;
1.153. Earnings for services under non-equity incentive plans,not including group life,health,
hospitalization or medical reimbursement plans that do not discriminate in favor of
Executives and are available generally to all salaried employees;
1.15.4. Change in present value of defined benefit and actuarial pension plans;
1.15.5: Above-market earnings on deferred compensation which is not tax-qualified;
1.15.6. Other compensation,if the aggregate value of all such other compensation(e.g. severance,
termination payments,value of life insurance paid on behalf of the employee,perquisites or
property)for the Executive exceeds$10,000.
1.16. "Transparency Act"means the Federal Funding Accountability and Transparency Act of 2006(Public
Law 109-282),as amended by§6202 of Public law 110-252. The Transparency Act also is referred to
as FFATA.
1.17 "Vendor"means a dealer,distributor,merchant or other seller providing property or services required for
a project or program funded by an Award.A Vendor is not a Prime Recipient or a Subrecipient and is not
subject to the terms and conditions of the Federal award. Program compliance requirements do not pass
through to a Vendor.
Exhibit K-Page 2 of 4
2. Compliance.Contractor shall comply with all applicable provisions of the Transparency Act and the
regulations issued pursuant thereto,including but not limited to these Supplemental Provisions.Any revisions to
such provisions or regulations shall automatically become a part of these Supplemental Provisions,without the
necessity of either party executing any further instrument.The State of Colorado may provide written
notification to Contractor of such revisions,but such notice shall not be a condition precedent to the
effectiveness of such revisions.
3. System for Award Management(SAM)and Data Universal Numbering System(DUNS)Requirement's.
3.1. SAM.Contractor shall maintain the currency of its information in SAM until the Contractor submits the
final financial report required under the Award or receives final payment,whichever is later. Contractor
shall review and update SAM information at least annually after the initial registration,and more
frequently if required by changes in its information.
3.2. DUNS.Contractor shall provide its DUNS number to its Prime Recipient,and shall update Contractor's
information in Dun&Bradstieet,Inc.at least annually after the initial registration,and more frequently if
required by changes in Contractor's information.
4. Total Compensation.Contractor shall include Total Compensation in SAM for each of its five most highly
compensated Executives for the preceding fiscal year if:
4.1. The total Federal funding authorized to date under the Award is$25,000 or more;and
4.2. In the preceding fiscal year,Contractor received:
4.2.1. 80%or more of its annual gross revenues from Federal procurement contracts and
_ subcontracts and/or Federal financial assistance Awards or Subawards subject to the
Transparency Act;and
4.2.2. $25,000,000 or more in annual gross revenues from Federal procurement contracts and
subcontracts and/or Federal financial assistance Awards or Subawards subject to the
Transparency Act;and
4.3. The public does not have access to information about the compensation of such Executives through
periodic reports filed under section 13(a)or 15(d)of the Securities Exchange Act of 1934(15 U.S.C.
78m(a).78o(d)or§6104 of the Internal Revenue Code of 1986.
5. Reporting.Contractor shall report data elements to SAM and to the Prime Recipient as required in§7 below if
Contractor is a Subrecipient for the Award pursuant to the Transparency Act. No direct payment shall be made
to Contractor for providing any reports required under these Supplemental Provisions and the cost of producing
such reports shall be included in the Contract price. The reporting requirements in§7 below are based on
guidance from the US Office of Management and Budget(OMB),and as such are subject to change at any time
by OMB. Any such changes'shall be automatically incorporated into this Contract and shall become part of
Contractor's obligations under this Contract,as provided in§2 above.The Colorado Office of the State
Controller will provide summaries of revised OMB reporting requirements at
htti)://www.coloTado.gov/dpa/dfT)/sco/FFATA.btm.
6. Effective Date and Dollar Threshold for Reporting.The effective date of these Supplemental Provisions
apply to new Awards as of October 1,2010. Reporting requirements in§7 below apply to new Awards as of
October],2010,-if the initial award is$25,000 or more. If the initial Award is below$25,000 but subsequent
Award modifications result in a total Award of$25,000 or more,the Award is subject to the reporting
requirements as of the date the Award exceeds$25,000. If the initial Award is.$25,000 or more,but funding is
subsequently de-obligated such that the total award amount falls below$25,000,the Award shall continue to be
subject to the reporting requirements.
7. Subrecipient Reporting Requirements.If Contractor is a Subrecipient,Contractor shall report as set forth
below.
Exhibit K-Page 3 of 4
7.1 ToSAM. A Subrecipient shall register in SAM and report the following data elements in SAM for each
Federal Award Identification Number no later than the end of the month following the month in which
the Subaward was made:
7.1.1 Subrecipient DUNS Number;
7.1.2 Subrecipient DUNS Number+4 if more than one electronic funds transfer(EFT)account;
7.1.3 Subrecipient Parent DUNS Number;
7.1.4 Subrecipient's address,including:Street Address,City, State,Country,Zip+4,and
Congressional District;
7.1.5 Subrecipient's top 5 most highly compensated Executives if the criteria in§4 above are
met;and
7.1.6 Subrecipient's Total Compensation of top 5"most highly compensated Executives if criteria
in§4 above met.
7.2 To Prime Recipient. A Subrecipient shall report to its Prime Recipient,upon the effective date of the
Contract,the following data elements:
7.2.1 Subrecipient's DUNS Number as registered in SAM.
7.2.2 Primary Place of Performance Information,including: Street Address,City, State,Country,
Zip code+4,and Congressional District.
8. Exemptions.
8.1. These Supplemental Provisions do not apply to an individual who receives an Award as a natural person,
unrelated to any business or non-profit organization he or she may own or operate in his or her name.
8.2 A Contractor with gross income from all sources of less than$300,000 in the previous tax year is exempt
from the requirements to report Subawards and the Total Compensation of its most highly compensated
Executives.
I
8.3 Effective October 1,2010,"Award"currently means a grant,cooperative agreement,or other
arrangement as defined in Section 1.1 of these Special Provisions.On future dates"Award"may include
other items to be specified by OMB in policy memoranda available at the OMB Web site;Award also
will include other types of Awards subject to the Transparency Act.
8.4 There are no Transparency Act reporting requirements for Vendors.
Event of Default.Failure to comply with these Supplemental Provisions shall constitute an event of default under
the Contract and the State of Colorado may terminate the Contract upon 30 days prior written notice if the default
remains uncured five calendar days following the termination of the 30 day notice period.This remedy will be in
addition to any other remedy available to the State of Colorado under the Contract,at law or in equity.
Exhibit K-Page 4 of 4
EXHIBIT L,SAMPLE SUBRECIPIENT MONITORING AND RISK ASSESSMENT
e® CDOT SUBRECIPIENT RISK ASSESSMENT Date:
Name of Entity(Subredplent):
Name of Project/Program:
Estimated Award Period:
Entity Executive Director a VP:
Entity Chief financial Officer:
Entity Representative fa this Self Assessment'.
Instructiorm-Pa'Instructlams'tab formas information)
1.Click only one boxforeach question. Allquetriors are required tobeonswered. Yes No N/A
1.Utilize the'Commemt'setrlcn below the last question for odditiona/responses.
.When complete,check the box at the bottom of the form to authorize.
EXPERIENCE ASSESSMENT Y. No N/A
S is your entity new to operetingor managing federal funds(has not done so within the past three ❑ 11ears)?
2 is this funding program new for your entity(managed fa less thanthree years)?Examples of ❑ ❑
funding Program include ChfAQ TAP STP-M,etc.
I Does your staff assigned to the program have at least three full years of experience with this ❑ ❑
federal am?
MONITORING AUDIT ASSESSMENT Ye w N/A
4Has your entity had an on-site project or grant review from an external entity(e.g.,tDOT, I I ❑ ❑
FHWAJ within the last three ears?
5 a Were there rNumum Ilance Issues In tHz rlor review?
b)What were the number and extent of Issues In prior review? n fl ❑
1.2 3
OPERATION ASSESSMENT V. N. N/A
6 Does your entity have a time and effort reporting system in place to aamtmt for 100%of al I
employees'time,that an provkle a breakdown of the actual time spent on each funded I-1 ❑
project?If No,in the comment section please explain how you Intend a document 100%of
hours worked by employees and breakdown of time spent an each funding profect.
FINANCIAL ASSESSMENT Ye Na N/A
Za)Does you entity have an indirect cost rate that is approved and current? fl I ❑
b)If Yes,who approved the race,and what date was it approved?
8 is this grant/award 10%or more of your entity's neral l funding?
- alaN rfa%
2Has your entity returned lapsed'funds?'Funds'hapse'when they are no longer available for I I ❑ ❑
obligation.
10 Has your entity had difficulty meeting local match requirements In the last three years? ❑ ❑
11 What is the total federal funding your entity has been awarded for the last federal fiscal year,
andwhetls rentl sfismI arend?
Exhibit L-Page 1 of 3
INTERNAL CONTROLS ASSESSMENT y., U. w/A
1U] Has yourentity,had any signlficantchanges In key personnel or accountingsystem(s)In the last
year?(e.g.,Controller,Exec Director,Program Mgr,Accounting Mgr,etc) If Yes,in the ❑ ❑ ❑
comment section,please ldentoy the accounting system(s),and/or list personnel positions and
identify any that are vacant
11 Does your entity have financial procedures a rd controls in place to accommodate a federal aid ❑ ❑
project?
b}Does your accountingsystem identify the receipts and expenditures of program funds El ❑
separately for each award?
12 Will your accounting system provide-for the recording of expenditures for each award by the 11 El
16
cast categories shown in the approved budget?
16 Does your agency have a review process for all expenditures that will ensure that all costs are
reasonable,allowable and allocated correctly to each funding source?If Yes,in the comment I I ❑ ❑
section,please explain your current rocess orreviewin casts.
17 How many total FTE perform accounting functions within your organization?
s6 2to5 2
IMPACT ASSESSMENT Y.. N. ■/A
JA For this upcoming federal award or in the immediate future,does your entity have any potential
conflicts of Interest-In accordance with appllable Federal awarding agency policy?If Yes,
please disclose these conflicts in writing,along with supporting information,and submit with ❑ ❑
this form.('Any Practices,activities or relationships that reasonably appear o be In conflict with thefull
performance ofthe Subredpkm's obligations to theState.)
19 For this award,has your entity disclosed to CDOT,in writing,violations of Federal criminal law
Involving fraud,bribery,or gratuity violations potentlally affecting the award?Response ❑ ❑ ❑
options:
YES=Check if have one or more violation(s)and hoer either disclosed previously to CDOT or as
par of this form.In the comment section,list all violations with names of supporting
documentation and submit with this form.
NO=Check if have one or more violation(s)and have not disclosed previously or will not
disclose as part of this farm.Explain in the comment Section.
WA =Check if hove no violations.
PROGRAM MANAGEMENT ASSESSMENT Y.. N. NIA
22 Does your entity have a written process/procedure or certification statement approved by your
govemingboard ensuringaritical project personnel are capableofeffectively managing Federal- n ❑ ❑
aid projects?If Ya pleose submit with rhisform.
21 Does your entity have written procurement policies or certification statement for consultant
selection approved by your goveming board In compliance with 23 CFR 1720?If Yes,please n ❑ ❑
submit with this form.('The arocksAct requires agendes to promote open competition by advertairng,
ranking,selectlrp,and negotlotingcontracts based on demomtrated competence and qualification;at a
air and reasonable price.)
a a)Is your staff familiar with the relevant CDOT manuals and federal program requirements? n n
b)Does your entity have a written policy or a certification statement approved by your
governing board assuring federal-aid projects will receive adequate inspections?If Yes,please n ❑ ❑
submit with this form.
c)Does your entity have a written process or a certification statement approved by your
governing board assuring a contractor's work will be completed in conformance with approved n ❑ ❑
lansands cifications?1 Yes leasesubmitwiththis orm.
Exhibit L-Page 2 of 3
automatically shall become a part of these Supplemental Provisions,without the necessity of either party
executing any further instrument. The State of Colorado may provide written notification to Subrecipient of
such revisions,but such notice shall not be a condition precedent to the effectiveness of such revisions.
11. Procurement Standards. '
3.1 Procurement Procedures. Subrecipient shall use its own documented procurement procedures which
reflect applicable State,local,and Tribal laws and regulations,provided that the procurements conform
to applicable Federal law and the standards identified in the Uniform Guidance,including without
limitation,§§200.318 through 200.326 thereof.
3.2 Procurement of Recovered Materials. If Subrecipient is a State Agency or an agency of a political -
subdivision of a state, its contractors must comply with section 6002 of the Solid Waste Disposal Act,as
amended by the Resource Conservation and Recovery Act. The requirements of Section 6002 include
procuring only items designated in guidelines of the Environmental Protection Agency(EPA)at 40 CFR
part 247 that contain the highest percentage of recovered materials practicable,consistent with
maintaining a satisfactory level of competition,where the purchase price of the item exceeds$10,000 or
the value of the quantity acquired during the preceding fiscal year exceeded$10,000;procuring solid
waste management services in a manner that maximizes energy and resource recovery;and establishing
an affirmative procurement program for procurement of recovered materials identified in the EPA
guidelines.
4. Access to Records.Subrecipient shall permit Recipient and auditors to have access to Subrecipient's records
and financial statements as necessary for Recipient to meet the requirements of§200.331 (Requirements for
pass-through entities),§§200.300(Statutory and national policy requirements)through 200.309(Period of
performance),and Subpart F-Audit Requirements of the Uniform Guidance. 2 CFR§200.331(a)(5).
5. Single Audit Requirements. If Subrecipient expends$750,000 or more in Federal Awards during
Subrecipient's fiscal year,Subrecipient shall procure or arrange for a single or program-specific audit
conducted for that year in accordance with the provisions of Subpart F-Audit Requirements of the Uniform _
Guidance,issued pursuant to the Single Audit Act Amendments of 1996,(31 U.S.C. 7501-7507). 2 CFR
§200.501.
5.1 Election. Subrecipient shall have a single audit conducted in accordance with Uniform Guidance
§200.514(Scope of audit),except when it elects to have a program-specific audit conducted in
accordance with§200.507(Program-specific audits). Subrecipient may elect to have a program-specific
audit if Subrecipient expends Federal Awards under only one Federal program(excluding research and
development)and the Federal program's statutes,regulations,or the terms and conditions of the Federal
award do nottequire a financial statement audit of Recipient. A program-specific audit may not be
elected for research and development unless all of the Federal Awards expended were received from
Recipient and Recipient approves in advance a•program-specific audit.
5.2 Exemption.If Subrecipient expends less than$750,000 in Federal Awards during its fiscal year,
Subrecipient shall be exempt from Federal audit requirements for that year,except as noted in 2 CFR
§200.503(Relation to other audit requirements),but records shall be available for review or audit by
appropriate officials of the Federal agency,the State,and the Government Accountability Office.
5.3 Subrecipient Compliance Responsibility. Subrecipient shall procure or otherwise arrange for the audit
required by Part F of the Uniform Guidance and ensure it is properly performed and submitted when due
in accordance with the Uniform Guidance. Subrecipient shall prepare appropriate financial statements,
including the schedule of expenditures of Federal awards in accordance with Uniform Guidance
§200.510(Financial statements)and provide the auditor with access to personnel,accounts,books,
records,supporting documentation,and other information as needed for the auditor to perform the audit
required by Uniform Guidance Part F-Audit Requirements.
6. Contract Provisions for Subrecipient Contracts. Subrecipient shall comply with and shall include all of the
following applicable provisions in all subcontracts entered into by it pursuant to this Grant Agreement.
Exhibit M-Page 2 of 5
6.1 Equal Employment Opportunity.Except as otherwise provided under 41 CFR Part 60,all contracts
that meet the definition of"federally assisted construction contract"in 41 CFR Part 60-1.3 shall include
the equal opportunity clause provided under 41 CFR 60-1.4(b),in accordance with Executive Order
11246,"Equal Employment Opportunity"(30 FR 12319, 12935,3 CFR Part, 1964-1965 Comp.,p. 339),
as amended by Executive Order 11375,"Amending Executive Order 11246 Relating to Equal
Employment Opportunity,"and implementing regulations at 41 CFR part 60,"Office of Federal Contract
Compliance Programs,Equal Employment Opportunity,Department of labor."
"During the performance of this contract,the contractor agrees as follows:
(1) The contractor will not discriminate against any employee Or applicant for employment because
of race,color,religion,sex,or national origin. The contractor will take affirmative action to ensure that
applicants are employed,and that employees are treated during employment,without regard to their race,
color,religion,sex,or national origin. Such action shall include,but not be limited to the following:
Employment,upgrading,demotion,or transfer,recruitment or recruitment advertising;layoff or
termination;rates of pay or other forms of compensation;and selection for training, including
apprenticeship. The contractor agrees to post in conspicuous places,available to employees and
applicants for employment,notices to be provided by the contracting officer setting forth the provisions
of this nondiscrimination clause.
(2) The contractor will,in all solicitations or advertisements for employees placed by or on behalf
of the contractor,state that all qualified applicants will receive consideration for employment without
regard to race;color,religion,-sex,or national origin.
(3) The contractor will send to each labor union or representative of workers with which he has a
collective bargaining agreement or other contract or understanding,a notice to be provided by the agency
contracting officer,advising the labor union or workers'representative of the contractor's commitments
under section 202 of Executive Order 11246 of September 24, 1965,and shall post copies of the notice in
conspicuous places available to employees and applicants for employment.
(4) Thecontractor will comply with all provisions of Executive Order 11246 of September 24,
1965,and of the rules,regulations;and relevant orders of the Secretary of Labor.
(5) The contractor will famish all information and reports required by Executive Order 11246 of
September 24, 1965,and by the rules,regulations,and orders of the Secretary of labor,or pursuant
thereto,and will permit access to his books,records,and accounts by the contracting agency and the
Secretary of Labor for purposes of investigation to ascertain compliance with such rules,regulations,and
orders.
(6) In the event of the contractor's non-compliance with the nondiscrimination clauses of this
contract or with any of such rules,regulations,or orders,this contract may be canceled,terminated or
suspended in whole or in part and the contractor may be declared ineligible for further Government
contracts in accordance with procedures authorized in Executive Order 11246 of September 24,'1965,
. . and such other sanctions may be imposed and remedies invoked as provided in Executive Order 11246 of
September 24, 1965,or by rule,regulation,or order of the Secretary of Labor,or as otherwise provided
by law.
(7) Thecontractor will include the provisions of paragraphs(1)through(7)in every subcontract or
purchase order unless exempted by rules,regulations,or orders of the Secretary of labor issued pursuant
to section 204 of Executive Order 11246 of September 24, 1965,so that such provisions will be binding
upon each subcontractor or vendor. The contractor will take such action with respect to any subcontract
or purchase order as may be directed by the Secretary of Labor 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 vendor as a result of such direction,
the contractor may request the United States to enter into such litigation to protect the interests of the
United States."
4.2 Davis-Bacon Act. Davis-Bacon Act,as amended(40 U.S.C.3141-3148). When required by Federal
program legislation,all prime construction contracts in excess of$2,000 awarded by non-Federal entities
must include a provision for compliance with the Davis-Bacon Act(40 U.S.C. 3141-3144,and 3146-
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3148)as supplemented by Department of Labor regulations(29 CFR Part 5,"Labor Standards Provisions
Applicable to Contracts Covering Federally Financed and Assisted Construction'). In accordance with
the statute,contractors must be required to pay wages to laborers and mechanics at a rate not less than the
prevailing wages specified in a wage determination made by the Secretary of Labor. In addition,
contractors must be required to pay wages not less than once a week. The non-Federal entity must place
a copy of the current prevailing wage determination issued by the Department of Labor in each
solicitation. The decision to award a contract or subcontract must be conditioned upon the acceptance of
the wage determination. The non-Federal entity must report all suspected or reported violations to the
Federal awarding agency. The contracts must also include a provision for compliance with the Copeland
"Anti-Kickback"Act(40 U.S.C. 3145),as supplemented by Department of Labor regulations(29 CFR
Part 3,"Contractors and Subcontractors on Public Building or Public Work Financed in Whole or in Part
by Loans or Grants from the United States"). The Act provides that each contractor or Subrecipient must
be prohibited from inducing,by any means,any person employed in the construction,completion,or
repair of public work,to give up any part of the compensation to which he or she is otherwise entitled.
The non-Federal entity must report all suspected or reported violations to the Federal awarding agency.
4.3 Rights to Inventions Made Under a Contract or Agreement. If the Federal Award meeis the
definition of"funding agreement"under 37 CFR§401.2(a)and Subrecipient wishes to enter into a
contract with a small business firm or nonprofit organization regarding the substitution of parties,
assignment or performance of experimental,developmental,or research work under that"funding
agreement,"Subrecipient must comply with the requirements of 37 CFR Part 401,"Rights to Inventions
Made by Nonprofit Organizations and Small Business Firms Under Government Grants,Contracts and
Cooperative Agreements,"and any implementing regulations issued by the awarding agency.
4.4 Clean Air Act(42 U.S.C.7401-7671q.)and the Federal Water Pollution Control Act(33 U.S.C.
1251-1387),as amended. Contracts and subgrants of amounts in excess of S 150,000 must contain a
provision that requires the non-Federal award to agree to comply with all applicable standards,orders or
regulations issued pursuant to the Clean Air Act(42 U.S.C.7401-7671 q)and the Federal Water Pollution
Control Act as amended(33 U.S.C. 1251-1387).Violations must he reported to the Federal awarding
agency and the Regional Office of the Environmental Protection Agency(EPA).
4.5 Debarment and Suspension(Executive Orders 12549 and 12689). A contract award(see 2 CFR
180.220)must not be made to parties listed on the government wide exclusions in the System for Award
Management(SAM),in accordance with the OMB guidelines at 2 CFR 180 that implement Executive
Orders 12549(3 CFR part 1986 Comp.,p. 189)and 12689(3 CFR part 1989 Comp.,p.235),
"Debarment and Suspension" SAM Exclusions contains the names of parties debarred,suspended,or
otherwise excluded by agencies,as well as parties declared ineligible under statutory or regulatory
authority other than Executive Order 12549.
4.6 Byrd Anti-Lobbying Amendment(31 U.S.C.1352).Contractors that apply or bid for an award
exceeding$100,000 must file the required certification. Each tier certifies to the tier above that it will
not and has not used Federal appropriated fiords to pay any person or organization for influencing or
attempting to influence an officer or employee of any agency,a member of Congress,officer or
employee of Congress,or an employee of a member of Congress in connection with obtaining any
Federal contract,grant or any other award covered by 31 U.S.C. 1352. Each tier must also disclose any
lobbying with non-Federal funds that takes place in connection with obtaining any Federal award. Such
disclosures are forwarded from tier to tier up to the non-Federal award.
7. Certifications. Unless prohibited by Federal statutes or regulations,Recipient may require Subrecipient to
submit certifications and representations required by Federal statutes or regulations on an annual basis. 2 CFR
§200.208. Submission may be required more frequently if Subrecipient fails to meet a requirement of the
Federal award. Subrecipient shall certify in writing to the State at the end of the Award that the project or
activity was completed or the level of effort was expended. 2 CFR§200.201(3). If the required level of activity
or effort was not carried out,the amount of the Award must be adjusted.
1.8.Event of Default. Failure to comply with these Uniform Guidance Supplemental Provisions shall constitute an
event of default under the Grant Agreement(2 CFR§200.339)and the State may terminate the Grant upon 30
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days prior written notice if the default remains uncured five calendar days following the termination of the 30
day notice period. This remedy will be in addition to any other remedy available to the State of Colorado under
the Grant,at law or in equity.
9. Effective Date. The effective date of the Uniform Guidance is December 26,2013. 2 CFR§200.110. The
procurement standards set forth in Uniform Guidance §§206.317-200.326 are applicable to new Awards made
by Recipient as of December 26,2015. The standards set forth in Uniform Guidance Subpart F-Audit
Requirements are applicable to audits of fiscal years beginning on or after December 26,2014.
10. Performance Measurement
The Uniform Guidance requires completion of OMB-approved standard information collection forms(the
PPR). The form focuses on outcomes,as related to the Federal Award Performance Goals that awarding
Federal agencies are required to detail in the Awards.
Section 200301 provides guidance to Federal agencies to measure performance in a way that will help the
Federal awarding agency and other non-Federal entities to improve program outcomes.
The Federal awarding agency is required to provide recipients with clear performance goals,indicators,and
milestones(200.210). Also,must require the recipient to relate financial data to performance accomplishments
of the Federal award.
Q
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° I