HomeMy WebLinkAboutagenda.council.regular.20090727CITY COUNCIL AGENDA
July 27, 2009
5:00 P.M.
I. Call to Order
II. Roll Call
III. Scheduled Public Appearances
IV. Citizens Comments & Petitions (Time for any citizen to address Council on issues NOT
on the agenda. Please limit your comments to 3 minutes)
V. Special Orders of the Day
a) Councilmembers' and Mayor's Comments
b) Agenda Deletions and Additions
c) City Manager's Comments
d) Board Reports
VI. Consent Calendar (These matters maybe adopted together by a single motion)
a) Resolution #48, 2009 - Lonepine Pedestrian Improvements Contract
b) Resolution #49, 2009 -City Contribution for Meadowood Water System
c) Resolution #50, 2009 -Contract SCADA System for Electric Department
d) Resolution #51, 2009 - CMAQ Grant
e) Board Appointment -Wheeler Opera House Student Representative
f) Minutes -July 13, 2009
VII. First Reading of Ordinances
a) Ordinance #18, 2009 -City Water Plant 500 Doolittle Drive SPA Amendment P.H.
b) Ordinance #19, 2009 -Aspen Local Marketing District P.H. 8110 and 8124
VIII. Public Hearings
a) Ordinance #15, 2009 -Fees
b) Ordinance #17, 2009 -Housing Guidelines Amendment
c) Resolution #42, 2009 - 201 N. Mill -Extension of Vested Rights Jerome
Professional building
d) Ordinance #13, 2009 - 219 S. Third Historic Lot Split Continue to 8/10
e) Resolution #52, 2009 -Lift One Lodge Conceptual PUD
IX. Action Items
X. Executive Session
XI. Adjournment
Next Regular Meeting August 10, 2009
COUNCIL SCHEDULES A 15 MINUTE DINNER BREAK APPROXIMATELY 7 P.M.
~1~
CITY OF DENVER'S RECENT
BUILDING PEMIT PROMOTION
• June 1 -June 15, 2009
• Objective: "Stimulate the local economy by offering an incentive for
residents to make improvements to their property." -Mayor John
Hickenlooper
• Free Building Permits (valid for 180 days); permits issued on the spot
to citizens or their contractors
• Common improvements to existing single-family homes and
duplexes, including:
^ Basic interior remodel.
^ Basement remodel
^ Roof repair or replacement
^ Wall insulation
^ Replacement of water heaters
^ Central heating/air conditioner
• Solar panels
^ Stucco or siding of home exteriors
• Results: Denver residents pulled 1,234 free building permits for
$6,283.957 in construction during the promotion period June 1 -June
15, 2009
• This was a savings of $85,773.80 in permit fees.
• The average daily permit volume for qualifying permits grew to 112 -
nearly a 3-fold increase over the average of 40 similar permits issues
per day in May.
• Mayor Hickenlooper: "This is a good sign that people are moving
forward and doing what they can to get our economy back on track."
Residents obtain 1,234 building permits during Home Renovation Bonanza Page 1 of 2
l
Login
SEARCH Go
Mayor's Office
Home Page
Schedule Request for Mayor Hickenlooper
Administrative Appointments
Bio
Mayoral Proclamations
News Releases
._-_._ __
Speeches
Contact the Mayor's Office
----_ __
LOCATE IT!
Find city services near your home or
business.
Select Category:
Resident
Address/Intersection:
^ Mpre Maps
^ Data Sales
GO'
Home I Residents Visitors I Business I Elected
Officials
__
Residents obtain 1,234 building
permits during Home Renovation
Bonanza
Residents obtain 1,234 building
permits during Home Renovation
Bonanza -
Denver I 1,234 a building
permits r $6,283,957 strukdion during the
Home Ren ion onanza which began June 7
and ended June 15.
Residents save $85,773.80 " permit fees. The
average daily resr en is permitvolume for
qualifying Bonanza permits grew to 112 - needy a
three-fold increase over the average of 40 similar
permits issued per day in May.
°We wanted a bonanza and it seems we got one,'
Mayor John Hickenlooper said. "We hoped to
stimulate the local economy by offering an
incentive for residents to make improvements to
their property. This is a good sign that people are
moving forward and doing what they canto get our
economy back on track."
The free permits will be valid for 180 days.
Permits were issued on the spot to citizens or their
cenVacors. The Home Renovation Bonanza
covered the following improvements to existing
single-family homes and duplexes:
^ Basic interior remodel (existing
kitchen, bath or bedroom)
^ Basement remodel
^ Roof covedng repair or replacement
^ Wall insulation
^ Replacement of water heaters
^ Change out central heating and air
^ Photo voltaic systems (Solar Panels)
^ Stucco or siding home extedors
The Home Renovation Bonanza excluded
complex projects that require detailed plan review
such as new homes, additions, garages and new
structures such as a gazebo. Projects requiring
plan review for engineering and struclural
modifications were also excluded.
#•f~
Contact;
Julius Zsako 720.865.2969
Posted on Tuesday, ]une 16, 2009
http://www.denvergov.org/Mayor/NewsReleases/tabid/390355/newsid470102/2541/Reside... 7/20/2009
MEMORANDUM
TO:
FROM:
THRU:
DATE OF MEMO:
MEETING DATE:
RE:
Mayor and City Council
Tyler A. Christoff
Trish Aragon, P.E., City Engineer
Scott Miller, Capita] Asset Manger
July 18, 2009
July 27, 2009
vl a
Lone Pine Neighborhood Pedestrian Improvements, Contract Approval
SUMMARY: Staff recommends council approve the Lone Pine Neighborhood Pedestrian
Improvements contract with Excavation Services for the amount of $118,711.69. In addition staff
recommends Council allocate $34,644.22 in funds to the Hunter Creek Commons boazd for the
relocation of the landscape wall contingent upon their procurement of a contractor to perform this
work.
BACKGROUND: The Pedestrian Capital improvements program is an ongoing safety enhancement
plan with the goal to develop and maintain safer pedestrian corridors in Aspen. In 2005 a need for
additional pedestrian infrastructure in the Lone Pine Neighborhood was identified. City Council
authorized Tabor funding for several pedestrian projects in 2005, including the Lone Pine pedestrian
connection. In addition this project would follow the ideals of The City of Aspen Civic Master Plan
(CMPAG) was adopted by City Council in December 2006. The Plan states "Aspen's future should be
one in which the automobile pays a smaller role in people 's everyday lives. Other modes of travel
should be made as safe and convenient as possible to facilitate that goal... the level of investment
in... more and better bikeways and walkways should increase. "
During the February 2"d work session with City Council, staff was directed to proceed with a design
that incorporated pedestrian infrastructure on both the northern and southern sides of Lone Pine Road.
This alignment had the most support from citizens involved in the public process.
DISCUSSION:
Staff in conjunction with the consultant team had two neighborhood meetings to solicit input from
residents and other concerned citizens. The first meeting was held November 12`h 2008 and the second
December 15`h 2008. From these meetings the design team produced three design alternatives. These
alternatives attempt to incorporate the neighborhoods wants and needs into a comprehensive design
that fit within the project scope and budget.
In addition to the neighborhood meeting staff met separately on multiple occasions with the Hunter
Creek Commons board to discuss the project and neighborhood concerns.
This Project was advertised for bid on June 29`h 2009. Six Bids were received and opened on July 14`h
2009.
Bids were received from six Contractors as sumrnarized below:
Excavation Services
Jags Enterprises
Heyl Construction, Inc
Gould Construction, Inc
John Burk Construction
Aspen Earthmoving
$118,711.69
$146,296.00
$166,165.50
$168,591.50
$203,910.00
$212,349.00
Excavation Services bid of $118,711.69 was identified by staff as the lowest qualified bidder. They
have experience in various City Right of Way infrastructure projects and have performed well in this
capacity. Staff recommends that it is in the City's best interests to award the final construction contract
to this vendor.
During the planning and design process for this project staff has worked closely with the Lone Pine
Neighborhood. During the design process it was noted that standazd 5 foot width City sidewalk could
not fit onto the existing site due to physical constraints. The City's design consultant Drexell Barrel,
and Co. proposed moving the existing edge of curb to accommodate a 5 foot sidewalk width. Based on
bids received this would cost the project $34,644.22. While this solution maintains more than
adequate road width and the same amount of parking spaces, members of the Lone Pine Neighborhood
expressed concern with the narrower parking spaces.
As an alternate solution, the Hunter Creek Commons Board approached the City about replacing an
existing landscape wall during the same time period of City's project. The Commons Boazd proposed
relocating replacing the existing wall to allow for the standazd 5 foot sidewalk width without relocating
existing Curb and Gutter. In this scenario, the $34,644.22 would be given to the HOA for the wall
removal and relocation. The Hunter Creek Commons board is currently working to procure a contractor
to replace the landscape wall.
If the HOA is able to procure a contractor in time to replace and relocate the landscape wall, staff is
proposing to offset the HOA's cost by $34,644.22. If the HOA is unable to do so the project would
move forwazd by relocating existing curb and gutter at a cost of $34,644.22.
FINANCIAL IMPLICATIONS: Staff intends to use Tabor funds dedicated and approved for this
Project by City Council in 2005.
Funding
Tabor Fund -Lone Pine Sidewalk Construction $260,000.00
Total $260,000.00
Expenditures
Excavation Services Base Bid $84,067.47
Excavation Services Alternate Bid for Curb and Gutter $34,644.22
Sub Total Construction
Contract with Excavation Services $118,711.69
Staff Project Management $26,000.00
Contingency $20,000.00
Total $177,227.69
ENVIRONMENTAL IMPLICATIONS: This project would provide safe and direct pedestrian
connections throughout the City thus encouraging the use of alternative forms of transportation. This
would in turn reduce GHG emissions, and the overall traffic volume in the City.
RECOMMENDATION: Staff recommends council approve the Lone Pine Neighborhood Pedestrian
Improvements contract with Excavation Services for the amount of $118,711.69
. In addition staff recommends Council allocate $34,644.22 in funds to the Hunter Creek Commons
boazd for the relocation of the landscape wall contingent upon their procurement of a contractor to
perform this work. ~
MANAGER COMMENTS
RESOLUTION #
(Series of 2009)
A RESOLUTION APPROVING A CONTRACT BETWEEN THE CITY OF
ASPEN, COLORADO, AND EXCAVATION SERVICES, INC SETTING
FORTH THE TERMS AND CONDITIONS REGARDING LONE PINE
NEIGHBORHOOD PEDESTRIAN IMPROVEMENT PROJECT AND
AUTHORIZING THE CITY MANAGER TO EXECUTE SAID CONTRACT
WHEREAS, there has been submitted to the City Council a contract
between the City of Aspen, Colorado, and Excavation Services Inc, a copy
of which contract is annexed hereto and made a part thereof.
NOW, THEREFORE, BE IT RESOLVED BY THE CITY COUNCIL
OF THE CITY OF ASPEN, COLORADO:
Section 1
That the City Council of the City of Aspen hereby approves that
contract between the City of Aspen, Colorado, and Excavation Services,
Inc regarding Lone Pine Neighborhood Pedestrian Improvement Project, 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.
Dated:
Michael C. Ireland, Mayor
I, Kathryn S. Koch, duly appointed and acting City Clerk do certify
that the foregoing is a true and accurate copy of that resolution adopted by
the City Council of the City of Aspen, Colorado, at a meeting held July 27th
2009
Kathryn S. Koch, City Clerk
07/18/2009 19:53 970-963-4336 EXCAVATION SERVICES PAGE 02
~~
~~
CONTRACT FOR CONSTRUCTION TM"c!'""'~""
-~/~7~~
THIS AGREEMENT, made and entered into on (DATE OF C NTRACTI , by and between the
CITY OF ASPEN, Colorado, hereinafter called the "City" and CONTRACTOR' \
NAMEI ,hereinafter called the "Contractor". ~/ ~aa'1 S~~jCe~:,
~~
WHEREAS, the City has caused to be prepared, in accordance with the ]aw, specifications and
other Contract Documents for the work herein described, and has approved and adopted said documents,
and has caused to be published, in the manner and fnr the time required by law, an advertisement, for the
project: PR JECT TITLE ,and,
WHEREAS, the ntractor, in response to such advertisement, or in response to direct invitation,
has submitted to the City, in the manner and at the time specified, a sealed Bid in accordance with the
terms of said Invitation for Bids; and,
WHEREAS, the City, in the manner prescribed by law, has publicly opened, examined, and
canvassed the Bids submitted in response to the published Invitation for Bids tberefore, and as a result of
such canvass has determined and declazed the Contractor to be the lowest responsible and responsive
bidder for the said Work and has duly awarded to the Contractor a Contract for Construction therefore, for
the sum or sums set forth herein;
NOW, THEREFORE, in consideration of the payments and Contract for Construction herein
mentioned:
1. The Contractor shall commence and complete the construction of the Work as fully described in
the Contract Documents.
2. The Contractor shall furnish all of the matenials, supplies, tools, equipment, labor and other
services necessary for the construction and completion of the Work described herein.
3- The Contractor shall commence the work required by the Contract Documents within seven (7)
consecutive calendaz days after the date of `Tlotice to Proceed" and will complete the same by the
date and time indicated in the Special Conditions unless the time is extended in accordance with
appropriate provisions in the Contract Documents-
4. The Contractor agrees to perform all of the Work described in the Contract Documents and
comply with the terms therein for a sum not to exceed IAMOUNT OF CONTRACT
($ %~J /, ~y/) DOLLARS or as shown on the BID proposal.
5. The term "Contract Documents" means and includes the documents listed in the City of Aspen
General Conditions to Contracts for Construction (version GC97-2) and in the Special Conditions.
The Contract Documents are included herein by this reference and made a part hereof as if fully
set forth here.
BB1.971.doc 'BBt
07/18/2009 19:53 970-963-4336 EXCAVATION SERVICES PAGE 03
6. The City shall pay to the Contractor in the manner and at such time as set forth in the General
Conditions, unless modified by the Special Conditions, such amounts as required by the
Documents.
This Contract for Construction shall be binding upon all parties hereto and their respective heirs,
executors, administrators, successors, and assigns. Notwithstanding anything to the contrary
contained herein or in the Contract Documents, this Contract for Construction shall be subject to
the City of Aspen Procurement Code, Title 4 of the Municipal Code, including the approval
requirements of Section 4-OR-040. This agreement shall not be binding upon the City unless duly
executed by the City Manager or the Mayor of the City of Aspen (or a duly authorized official in
his/her absence) following a resolution of the Cotmcil of the City of Aspen authorizing the Mayor
or City Manager (or a duly authorized official in his/her absence) to execute the same.
8. This agreement and all of the covenants hereof shall inure to the benefit of and be binding upon
the City and the Contractor respectively and their agents, representatives, employees. Successors,
assigns, and legal representatives. Neither the City nor the Contractor shall have the right to
assign, transfer or sublet his or her interest or obligations hereunder without the written consent of
the other party.
9. This agreement does not and shall not be deemed or construed to confer upon or grant to any third
party or parties, except to parties to whom the Contractor or the City may assign this Contract for
Construction in accordance with the specific written consent, any rights to claim damages or to
bring suit, action or other proceeding against either the City or the Contractor because of any
breach hereof or because of any of the terms, covenants, agreements or conditions herein
contained.
10. No waiver of default by either parry of any terms, covenants or conditions hereof to be performed,
kept and observed by the other parry shall be construed, or operate as, a waiver of any subsequent
default of any of the terms, covenants or conditions herein contained, to be performed, kept and
observed by the other party.
l 1. The parties agree that this Contract for Construction was made in accordance with the laws of the
State of Colorado and shall be so construed_ Venue is agreed to be kept exclusively in the courts
ofPitkin County. Colorado.
12. in the event that legal action is necessary to enforce any of the provisions of this Contract for
Construction, the prevailing party shall be entitled to its costs and reasonable attorney's fees.
13. This Contract for Construction was reviewed and accepted through the mutual efforts of the
parties hereto, and the parties agree that no construction shall be made or presumption shall arise
for or against either party based on any alleged unequal status of the parties in the negotiation,
review or drafting of this Contract for Construction.
14. The undersigned representative of the Contractor, as an inducement to the Ciiy to execute this
Contract for Construction, represents that he/she is an authorized representative of the Contractor
for the purposes of executing this Contract for Construction and that he/she has full and complete
authority to enter into this Contract for Construction for the terms and conditions specified herein
RBt-971.doc "691
07/18/2009 19:53 970-963-4336 EXCAVATION SERVICES PAGE 04
IN WITNESS WHEREOF, the parties agree hereto have executed this Contract for Construction on the
date first above written.
ATTESTED BY:
RECOMMENDED FOR APPROVAL:
City Engineering Department
ATTESTED B
CITY OF ASPEN, COL ORADO
APPROVED AS TO FORM:
By:
City Attorney
Note: Certification of Incorporation shall be executed if Contractor is a Corporation. If a partheiship;'the
Contract shall be signed by a Principal and indicate title. `
BBtA77.tlx •BB1
rnrrrn n r-rnn.
07/18/2009 19:53 970-963-4336 EXCAVATION SERVICES PAGE 05
CERTIFICATE OF INCORPORATION
(To be completed if Contractor is a Corporation)
STATE OF ~ '~
- V ~ ) SS.
COUNTY OF
On this ~~ day of~ , 20C~ before me appeared
~ l"uV ~*-t `, to me personally known, who, being by
me first duly sworn, did say that s/he is Its•;dt,f of
_~~vo~}~bn 5e.~v"gyros Ins. _ and that the seal affixed to said
instrument is the corporate seal of said corporation, and That said in,~drument was signed and sealed in
behalf of said corporation by authority of its board of directors, and said deponent acknowledged said
instrument to be the free act and deed of said corporation.
WITNESS MY .HAND AND NOTARIAL SEAL the day and year in this certificate first above written.
' !;r+RPS
.~c+ L/C-
R,?'±NBERRY r ~y
No Public
t,~coMm,~,r izoos x-55 Gol~ R~~er~ c.# Basal-F G~ Fsl~~.l
Address
My commission expires: ~~/~-3~C~
861-9~t.doc 'BB1
07/18/2009 19:53 970-963-4336 EXCAVATION SERVICES PAGE 06
Certification and Suuulemental Conditions to Contract for. Services -
Conformance with ~8-17.5.101, et seg
ose. During the 2006 Colorado legislative session, the I~egislature passed House Bi1106-1343 that
added a new article 17.5 to Title 8 of the Colorado Revised Statutes entitled "Illegal Aliens -Public
Contracts for Services." This new law prohibits all state agencies and political subdivisions, including the
City of Aspen, from knowingly employing or contracting with an illegal alien to perform work under a
contract, or to knowingly contract with a subcontractor who knowingly employs or contracts with, an
illegal alien to perform work under the contract, The new law also requires that all contracts for services
include certain specific language as set forth in the statutes. This Certification and Supplemental
Conditions has been designed to comply with the requirements of this new law.
Applicability. The certification and supplemental conditions set forth herein shall be required to be
executed by all persons having a public contract for services with the City of Aspen.
Definitions. The following terms aze defined in the new ]aw and by this reference are incorporated herein
and in any contract for services entered into with the City of Aspen.
"Basic Pilot Program" means the basic pilot employment verification program created in Public
J.aw 208, 104th Congress, as amended, and expanded in Public I,aw 15G, 108th Congress, as amended,
that is administered by the United States Department of Homeland Security.
"Contractor" means a person having a public contract for services with the City of Aspen.
"Public Contract for Services" means any type of agreement, regardless of what the agreement
may be called, between the City of Aspen and a Contractor for the procurement of services. It speci5cally
means the contract or agreement referenced below.
"Services" means the furnishing of labor, time, or effort by a Contractor or a subcontractor not
involving the delivery of a specific end product other than reports that are merely incidental to the
required performance.
PURSUANT TO SECTION 8-17.5-101, C.R.S., et. seq.:
By signing this docwnent, Contractor certifies and represents that at this time:
(i) Contractor does not knowingly employ or contract with an illegal alien; and
(ii) Contractor has participated or attempted to participate in the Basic Pilot Program in order to verify
that it does not employ illegal aliens.
BB1-971.doc •BB1
07/18/2009 19:53 970-963-4336 EXCAVATION SERVICES PAGE 07
- The Public Contract for Services referenced below is hereby amended to include the following terms and
conditions_
I . Contractor shall not knowingly employ or contract with an illegal alien to perform work under the
Public Contract fox Services.
2. Contractor shall not enter into a contract with a subcontractor that fails to certify to the Contractor
that the subcontractor shall not knowingly employ or contract with an illegal alien to perform work under
the Public Contract for Services.
3. Contractor has verified or has attempted to verify through participation in the Federal Basic Pilot
Program that Contractor does not employ any illegal aliens; and if Contractor has not been accepted into
the Federal Basic Pilot Program prior to entering into the Public Contract for Services, Contractor shall
forthwith apply to participate in the Federal Basic Pilot Program and shall in writing verify such
application within free (5) days of the date of the Public Contract. Contractor shall continue to apply to
participate in the Federal Basic Pilot Program and shall in writing verify same every three (3) calendar
months thereafter, until Contractor is accepted or the public contract for services has been completed,
whichever is earlier. The requirements of this section shal I not be requited or effective if the Federal
Basic Pilot Program is discontinued.
4'. Contractor shall not use the Basic Pilot Program procedures to undertake pre-employment
screening of job applicants while the Public Contract for Services is being performed.
5. If Contractor obtains actual knowledge that a subcontractor performing work uuder the Public
Contract fox Services knowingly employs or contracts with an illegal alien, Contractor shall:
(i) Notify such subcontractor and the City of Aspen within three days that Contractor has
actual knowledge that the subcontractor is employing or contracting with antllegal alien; and
(ii) Terminate the subcontract with the subcontractor if within three days of receiving the
notice roquired pursuant to this section the subcontractor does not cease employing or contracting with
the illegal alien; except that Contractor shall not terminate the Public Contract for Services with the
subcontractor if during such three days the subcontractor provides information to establish that the
subcontractor has not knowingly employed or contracted with an illegal alien.
6. Contractor shall, comply with any reasonable request by the Colorado Department of Labor and
Employment made in the course of an investigation that the Colorado Department of Labor and
Employment undertakes or is undertaking pursuant to the authority established in Subsection 8-17.5-102
(5), C.R.S.
7. if Contractor violates any provision of the Public Contract for Services pertaining to the duties
imposed by Subsection 8-17.5-102, C.R_S. the City of Aspen may terminate the Public Contract for
Services. if the Public Contract fox Services is so terminated, Contractor shall be liable for actual and
consequential damages to the City of Aspen arising out of Contractor's violation of Subsection 8-17.5-
102, C.R.S.
Public Contract for Services:
661-971.dOC -BB1
07/18/2009 19:53 970-963-4336 EXCAVATION SERVICES PAGE 08
Con
sy:
tractor: ~ ° ~~S ~~~ "
Title: - -
i _
1PW- mved: A/3I2n0(.R67-M:VeityVeiryotrylmnlrnU\fomi+\mrttfi~tinn - hb06.13d3.doc
891-971.tloC -BBi
07/14/2009 00:56 970-963-4336 EXCAVATION SERVICES PAGE 02
The City rzserves the right to inerea.+e or decrease the amount of work to be done on the basis of tttc bid
unit price and up to plus or minus 2'werzty Ffve (25) Percent of the total bid.
t hereby acknowledge receipt of ADDENDYJM(s) numbered ~ through
~ST'FIIX~a'E'~ QZI,A.l1T.7'.~~'I~~~$`~'
108 Material Testing LS 1
207. Remove Tree EA 6
202 RemovPJRelorata Boulder Flt 7.3
203 Earthwork CY 100
207 Topsoil CY BO
208 Silt Fence LF 210
209 Curb Sodc Inlet Protection EA 2
7_09 Dust Mitigation LS 1
210 Relocate Sign EA 8
210 Relocate Street Light Fro 1
210 Adjust Weterfine Valve Box EA 2
Z10 RelocatE Fence LF 21
7.12 Seeding AC 0.1
304 Class 6 ABC CY 135
707 Boulder Staclc Wall SF 475
609 5' Concrete Sidewalk SY 651
609 Cona~ete Curb Rump EA 7
614 Slgns ~ 4
617 12" CMP LF 13
620 Sanitary Facility EA 1
526 Mobilir~tion LS 1
627 Pavement Marking Gal S.S
630 Trafic GonUOI LS t
~'~ttxl dad ~ ~6't~rt~s:
Atternat
e
202 Remove of Curb and r3utter LF 630
207_ Remove Aspa-t SY 256
403 Asphalt Patching SY 110
609 6" Curb and Gutter LF 962
.202 Remove Wall LF 600
Sat-e7t.aoc 'sP+
YJh1E'&'
~,~
/"3,°7
'l'p'H'AL
~~
1~ ~er'
n
~'
~~. e~
li~.~' "~
7~ ,~90
/ '~
n pure Ini6ulg
Vl b
MEMORANDUM
TO: Mayor and City Council
FROM: Phil Overeynder, Utilities and Environmental initiatives Director
CC: John Worcester, City Attorney
DATE OF MEMO: July 22, 2009
MEETING DATE: July 27, 2009
RE: Agreement for Contribution towards Meadowood Water System Improvements
REQUEST OF COUNCIL: Approval of the recommended agreement with the Meadowood
Homeowners Association will provide for the City's financial participation in the amount of
215,431.30 towards the completion of water system improvements. It would also provide for the
City's acceptance of the system after it is upgraded to meet applicable City standazds.
PREVIOUS COUNCIL ACTION: As part of the adoption of the 2009 Asset Management
Plan for the Water Fund, Council appropriated $283,390 towazds the mainline repair and
replacement program. The majority of the 2009 funding was intended to be directed towards
improvements to the Meadowood water system that provide a benefit to City water customers
located outside of the Meadowood subdivision.
BACKGROUND: The Meadowood Subdivision is located outside the municipal boundaries
and receives service under a water service agreement. The existing system does not conform to
City of Aspen standazds, and under the existing arrangement, the Homeowners are responsible
for repairs and maintenance activities on the system. This system is approximately 4o yeazs old.
The Meadowood Homeowners Association has embazked on a program to upgrade utilities and
roads in the azea utilizing private funds. After completion of the improvements, the water system
will conform to Aspen's standazds. It is the intent of the agreement to clarify that the City will
accept the system and assume maintenance responsibilities, as it does for the majority of the
water system located outside the City limits.
DISCUSSION: In addition to bringing the existing water system up to present standazds, the
project will provide benefits to Aspen water customers generally, particularly those customers in
areas which adjoin the Meadowood subdivision (e.g. Aspen School Campus, ARC, etc.). The
City's consulting engineer, McLaughlin Water Engineers (MWE), has reviewed the utility plans
and has found that on completion the system will meet Aspen's standards. Additionally MWE
reviewed the allocation of costs between the system improvements that will directly benefit
Page 1 of 2
Meadowood customers only and those improvements that will benefit water customers generally.
The total system improvements will cost approximately $2.358 million. MWE concurs with the
cost allocation in the proposed agreement that would provide a City contribution of $215,431.30
for those line segments that serve customers outside the Meadowood azea.
FINANCIALBUDGET IMPACTS: Funds for the City's financial participation in this project
are appropriated in the 2009 capital program. The existing $283,390 appropriation is more than
sufficient to meet the City's financial obligation under the proposed agreement.
ENVIRONMENTAL IMPACTS: This agreement provides for financial participation and
future maintenance responsibilities only. The project is being completed by the Meadowood
Homeowner's Association. No environmental impacts are expected.
RECOMMENDED ACTION: Staff recommends approval of the proposed agreement with
Meadowood Homeowner's Association providing for the City's financial participation in the
water system improvements and also providing for the City's acceptance of the system on
satisfactory completion.
ALTERNATIVES: If this agreement is not approved, the City would continue to provide water
service to Meadowood customers but portions of the system would not be upgraded to present
standards. Higher than normal maintenance costs would continue to be paid by Meadowood
customers as a result of the sub standard conditions. Provision of adequate flow for firefighting
under current standards would also be adversely affected.
PROPOSED MOTION: I move to approve Resolution #2009.
CITY MANAGER COMMENTS:
ATTACHMENTS: Exhibit 1: Determination of City Costs
Water Project Cost Sharing and Maintenance Agreement
Page 2 of 2
RESOLUTION # I /
(Series of 2009)
A RESOLUTION APPROVING AN AMENDED CONTRACT BETWEEN THE
CITY OF ASPEN, COLORADO, AND MEADOWOOD HOMEOWNERS
ASSOCIATION SETTING FORTH THE TERMS AND CONDITIONS
REGARDING WATER PROJECT COST SHARING AND MAINTENANCE
AGREEMENT AND AUTHORIZING THE CITY MANAGER TO EXECUTE
SAID CONTRACT
WHEREAS, there has been submitted to the City Council a contract
between the City of Aspen, Colorado, and Meadowood Homeowners Association,
a copy of which contract is annexed hereto and made a part thereof.
NOW, THEREFORE, BE IT RESOLVED BY THE CITY COUNCIL OF
THE CITY OF ASPEN, COLORADO:
Section 1
That the City Council of the City of Aspen hereby approves that contract
between the City of Aspen, Colorado, and Meadowood Homeowners Association
regarding approval of the recommended agreement with the Meadowood
Homeowners Association, including Exhibit 1, copies of which are annexed hereto
and incorporated herein, and does hereby authorize the City Manager of the City
of Aspen to execute said contract on behalf of the City of Aspen.
Dated:
Michael C. Ireland, Mayor
I, Kathryn S. Koch, duly appointed and acting City Clerk do certify that the
foregoing is a true and accurate copy of that resolution adopted by the City
Council of the City of Aspen, Colorado, at a meeting held July 27, 2009.
Kathryn S. Koch, City Clerk
CITY OF ASPEN
WATER PROJECT COST SHARING AND MAINTENANCE AGREEMENT
This Agreement is entered into this day of ,
in Aspen, Colorado, between the City of Aspen, a Colorado municipal corporation and home
rule city whose address is 130 South Galena Street, Aspen, Colorado 81611 (hereafter the "City"),
and Meadowood Homeowners Association, a Colorado homeowner association whose address
is (hereafter "MHOA").
WITNESSETH
WHEREAS, the City owns and operates the City ofAspen water system in accordance with
the laws of the State of Colorado, and in accordance with the charter, ordinances, rules, regulations,
policies and resolutions of the City ofAspen, and this Agreement is entered into inconformity with,
and subject to, all such laws, charter, ordinances, rules, regulations, policies and resolutions; and
WHEREAS, the Cityprovides treated water to MHOA's members pursuant to a Contract for
Water Service dated August 16, 1965, between the City and Meadowood Ltd., predecessor to
MHOA ("1965 Agreement"); and
WHEREAS, MHOA owns and operates the water system infrastructure required for
distribution of treated water to its members; and
WHEREAS, MHOA is constructing certain water system improvements known as the Upper
Meadowood Water System, as part of a larger infrastructure improvement project; and
WHEREAS, some of the water system improvements included in the Upper Meadowood
Water System will benefit Cirywater customers located outside ofMHOA's boundaries by providing
looped connections to other existing City water lines, and the City is willing to share in the cost of
such improvements; and
WHEREAS, the City is also willing to accept. operate and maintain the Upper Meadowood
Water System, upon completion, subject to the terms and conditions of this Agreement.
THEREFORE, in consideration of the premises and the mutual promises and covenants
contained herein, the City and MHOA agree as follows:
1. Continued Treated Water Service to MHOA. The City will continue to provide
treated water service to MHOA's members in accordance with the 1965 Agreement.
2. Design and Construction ofUnPerMeadowood Water Svstem . MHOA has designed
and will construct the water lines and related infrastructure for the Upper Meadowood Water System
("Project") in accordance with and subject to the City's design, materials and construction
specifications and approval, at MHOA's own expense, subject to the City's reimbursement
agreement set forth herein.
1
3. Final Plans. The City has approved the final plans and specifications for the Project.
The final plans are dated ,and include a construction schedule. No substantial
changes shall be made to the approved final plans and specifications without the City's prior written
approval. If such meeting has not been held prior to execution of this Agreement, MHOA shall
contact the City Water Department to arrange a preconstruction meeting between representatives of
the Water Department, the Water Department's inspector, and MHOA's engineer and contractor to
review the final plans and any minor modifications thereto, to discuss construction scheduling,
arrangements forthe advance deposit ofthe City's construction inspection fees, and any othermatters
that the parties deem necessary. MHOA's registered professional project engineer shall inspect and
certify the design and installation of all Project infrastructure to be constructed pursuant to this
Agreement.
4. Bond Requirements. Prior to commencement of construction, MHOA shall obtain
one or more performance and payment bonds naming the City as a third-party beneficiary thereof,
in the amount of 125% of the Project construction costs. Such bonds shall be in form acceptable to
the City Attomey and shall ensure completion of the construction, and, subject to the City's
reimbursement agreement set forth herein, shall hold the Cityharmless forpayment to the contractor
or any subcontractors, materialmen, or others involved in the construction of the Project
infrastructure, or for the provision of materials therefor. MHOA shall assign to the City all
warranties from materialmen and suppliers which warrant the water system improvements free and
clear of defects for a period of two (2) years from the date of completion of construction. In
addition, MHOA shall obtain and assign to the City (in form approved by the City Attorney) a
maintenance or wan•antybond equal to one hundred percent (100%) of the final Project construction
costs, ensuring the proper condition and operation of such water service system for a period of two
(2) years from the date of completion.
5. Construction. MHOA has commenced Project construction and shall proceed with
due diligence to complete construction of the Project in accordance with the plans and specifications
and the construction schedule. No construction shall occurbetween November 1 and April 1 without
written permission of the Ciry's Water Deparhnent.
6. Fees. MHOA shall timely pay all fees imposed by the City in connection with
reviewing and approving the design drawings and construction plans, as well as construction
inspection fees. If not already deposited with the City, a deposit for construction inspection fees
shall be required at the preconstruction meeting described in paragraph 3 above, or, if such meeting
has been held, promptly following execution of this Agreement by the City. MHOA shall also be
responsible for timely acquiring and paying for all permits and permit fees necessary for construction
of the Project infrastructure.
7. Inspection of Construction. Construction must be inspected by the City's engineers
or other designated personnel prior to burial or final installation. MHOA shall give the City Water
Department reasonable advance notice when the Project infrastructure, or any portion thereof, is
ready for burial or installation, and the City's engineer or agent shall inspect said infrastructure
within two working days of such notice. MHOA shall timely pay all construction inspection fees.
8. Cost Reimbursement by City. The City will reimburse to MHOA the sum of
$215,351.80 ("City Reimbursement") ,reflecting the estimated cost of the portions ofthe Proj ect that
2
benefit aeeas outside MHOA's service area, and the constmction efficiencies realized by having the
Project constructed at the same time as construction of the City's utility improvement program in
the Meadowood area, including restoration of disturbed areas, eliminating certain mobilization
charges, and sharing management charges. The Ciry Reimbursement is calculated as shown on
Exhibit 1. Sufficient funds have been appropriated in the City's 2009 budget for the City
Reimbursement. The parties agree that if any of the shazed cost items identified on Exhibit 1 is less
than the Item Total for that item shown on Exhibit 1, the City's reimbursement obligation for that
cost item will be reduced in proportion to the reduced price of the item. For example, if the Ciry is
to reimburse 25% of a particular cost item, and the cost item is less than shown on Exhibit 1, the City
will reimburse 25% of the actual cost of that item. If any of the shared cost items identified on
Exhibit 1 is greater than the Item Total for that item shown on Exhibit 1, the City's reimbursement
obligation for that cost item will be increased in proportion to the increased price of the item,
provided, however, that if the overall total amount of adjustments to the City reimbursement for the
Project results in an amount that exceeds the Ciry Reimbursement, Ciry Council approval of an
amendment to this Agreement will be required in order for any excess reimbursement to be paid, and
the City's execution of this Agreement does not obligate the City Council to approve any such
amendment.
9. Easements. MHOA shall obtain at its own cost and convey in perpetuity to the City
as-built non-exclusive easements for all Project infrastructure located on or in private property, along
with all necessary access easements for maintenance and repair purposes ("easements"). All
easements on, over or through property located outside of public rights-of--way shall be surveyed at
the MHOA's cost. The water line easements must be large enough to provide at least ten (10) feet
on either side of water mains and lines and must specify that (1) sewer lines must be located at least
ten (10) feet from any water main or line, and (2) other utilities must be located at least five (5) feet
away from any water main or line. Access easements shall be of a size determined by the City to be
reasonably necessary for the operation, maintenance and repair of the Project infrastructure located
in or on such easement. The easements shall provide that each parry to the Easement Agreement
shall be solely responsible for any injury or damages, including costs and attorney fees, incurred by
persons or property arising from such party's own negligent acts or omissions occurring on or
resulting from its use or occupation of any easement premises. Nothing contained herein, or in any
Easement Agreement, shall constitute or result in any waiver or diminishment of any defense or
limitation available to the City under the Colorado Governmental Immunity Act or other applicable
law.
10. Testing; Conveyance; As-Built Drawings. Upon completion ofProject construction,
all Project infrastructure shall be tested. Upon approval by the City ofthe test results and delivery
to the City of the required maintenance and warranty bonds, surveyed as-built drawings and all
required easements, the City shall accept the water system infrastructure for the Project, and it shall
be conveyed (excluding individual service lines) with all necessary non-exclusive easements to the
City, free and cleaz of all liens and encumbrances, by deed in form acceptable to the City Attorney.
Performance and payment bonds shall be adjusted to reflect the final actual construction costs. As-
builtdrawings of the Project, including the water system and all other utilities, shall be provided to
the Ciry on reproducible sepias with a maximum size of 24" x 36", and on an auto cad disk data
transfer file tied into one (1) set of state plane coordinates. Following acceptance of the Project by
the City, the City will operate and maintain the Upper Meadowood Water System.
3
11. No Waiver. Failure of a party hereto to exercise any right hereunder shall not be
deemed a waiver of any such right and shall not affect the right of such parry to exercise at some
future time said right or any other right it may have hereunder.
12. Notices. All notices required to be given shall be deemed given upon deposit in the
United States mail, first class postage prepaid, properly addressed to MHOA at its address shown
herein, and to the City c/o City Attorney, City of Aspen, 130 South Galena Street, Aspen, Colorado
81611. Either party may change the address to which notice is provided by notice pursuant to this
paragraph.
13. Force Maieure. No party shall be held liable for a failure to perform hereunder due
to wars, strikes, acts of God, natural disasters, drought or other similar occurrences outside of the
control of that party.
14. Severabilitv. If any provision of this Agreement shall be or become invalid or
unenforceable, the remainder of the provisions shall not be affected thereby, and each and every
provision shall be enforceable to the fullest extent permitted bylaw.
15. Amendment; Assimment. Neither this Agreement, nor the obligations ofeitherparty
hereto maybe amended or assigned without the written consent of the parties hereto.
16. Entire Agreement. Except as otherwise provided herein, this Agreement, including
its Exhibits, the Final Plans and specifications for the Project, and the Easement Agreements to be
executed in connection with this Agreement, form the total integrated agreement among the parties
governing the matters provided for herein, and supersede and control all prior written and oral
agreements and representations ofthe parties. Notwithstanding the foregoing, this Agreement does
not supersede, alter or amend the 1965Agreement.
17. Interpretation. Titles and paragraph headings shall not be used to alter the meaning
of this Agreement.
18. Binding Aereement -Recording. This Agreement is binding upon the parties hereto,
their successors and assigns. This Agreement shall be recorded with the Pitkin County Clerk and
Recorder at MHOA's expense.
19. Governing Law; Venue; Attomey Fees. This Agreement and the rights and
obligations of the parties hereunder shall be governed by and construed in accordance with the laws
of the State of Colorado. Venue for all actions arising under this Agreement shall be Pitkin County,
Colorado. In the event legal remedies must be pursued to resolve any dispute or conflict regarding
the terms of this Agreement or the rights and obligations of the parties hereto, the prevailing party
shall be entitled to recover costs incurred in pursuing such remedies, including expert witness fees
and reasonable attorney fees.
20. Authorization of Signatures. The parties acknowledge and represent to each other
that all procedures necessary to validly contract and execute this Agreement have been performed
and that the persons signing for each party have been duly authorized to do so.
21. Counterparts. This Agreement maybe signed using counterpart signature pages, with
the same force and effect as if all parties signed on the same signature page.
IN WITNESS WHEREOF, the parties have executed this Agreement the date and year first
above written.
ATTEST:
THE CITY OF ASPEN, COLORADO
A Municipal Corporation and
Home Rule City
City Clerk
APPROVED AS TO FORM:
Aspen City Attorney
Title
Mayor
Meadowood Homeowners Association
F:\Client FilesVaspenNAeadowwoodGmprovemen[agreement 072309.wpd
Determination of City Costs
Item # Description Item Total $ City % City $
Upper Meadowood
06.00 Removal and Disposal of Existing Structures $3,400.00 25.0% $850.00
and Vegetation
08.00 Disposal of Excess Earthwork $34,645.00 25.0% $8,661.25
09.00 Erosion Control $9,991.00 25.0% $2,497.75
10.00 Rotomill and Remove Existing Asphalt $9,325.00 25.0% $2,331.25
11.00 GeneralRevegetation $6,100.00 25.0% $1,525.00
12.00 Asphalt Pavement $83,760.00 25.0% $20,940.00
13.00 Class 6 Aggiegate Base Course $44,325.00 25.0% $11,081.25
25.00 8" DIP Waterline, 715 LF $65,136.50 100.0% $65,136.50
28.00 8" Gate Valve, 3 each $4,327.50 100.0% $4,327.50
32.00 Fire Hydrant, 1 each $4,810.00 100.0% $4,810.00
34.00 Connection to Existing Main, 2 each $2,560.00 100.0% $2,560.00
Upper Meadowood Total $124,720.50
Open Space -City
134.00 General Revegetation $4,600.00 100.0% $4,600.00
135.00 8" DIP Waterline, 910 LF $63,700.00 100.0% $63,700.00
136.00 8" Gate Valve, 3 each $4,500.00 100.0% $4,500.00
137.00 6" Gate Valve, 1 each $1,100.00 100.0% $1,100.00
138.00 Fire Hydrant, 1 each $5,000.00 100.0% $5,000.00
139.00 Connecfion to Existing Main, l each $1,300.00 100.0% $1,300.00
Open Space -City Total $80,200.00
City Sub Total $204,920.50
Project Total $2,357,670.35
Project General Overhead $104,313.00
Project Total Less Overhead $2,2S3,3S7.35
Meadowoood Portion of Project Total Less Overhead $2,048,436.85
City Portion of Project Total Less Overhead $204,920.50
City Percentage of Project Total Less Overhead 10.00%
City Portion of Project General Overhead $104,313.00 10.0% $10,431.30
City Total $215,351.80
VlG
MEMORANDUM
TO:
FROM:
THRU:
DATE OF MEMO:
MEETING DATE:
RE:
Mayor and City Council
John Hines, Renewable Energy Utilities Manager
Phil Overeynder, Public Works Director
July 20, 2009
July 27, 2009
Contract Award to Timberline Electric and Control Company
for the installation of the new SCADA system for the Electric
and Hydro divisions
REQUEST OF COUNCIL: Staff requests award of a contract to Timberline Electric and
Control Company for the installation of a new SCADA system and pv system. The total contract
award is $53,810.00. The SCADA system monitors and controls all of our pump stations, tank
levels, hydro production and security and hazard alarm systems. We are in the process of
installing a duplicate system to manage the electric system incorporating the Smart Grid and
taking the hydro functions off of the water treatment system and placing it onto the new SCADA
system as the existing system has reached a saturation point on the radio frequency in which the
system communicates. The PV system is down at the Maroon Creek Hydro so the hydro
personnel are having to manually control the hydro until the PV is back up. This is not an
efficient way to manage the hydro nor does it produce ultimate production out of the unit.
PREVIOUS COUNCIL ACTION: The Castle Creek Hydroelectric Plan is a key component in
providing renewable energy courses to Aspen's electric customers as well as the other hydro
facilities. This follows the direction the City Council has directed us to pursue renewable energy
production as well as energy efficiencies, which the new hydro and Smart Grid will provide.
BACKGROUND: The Water Departrnent has used Timberline Electric for the past yeazs as the
prime vendor for designing, installing, and providing troubleshooting and maintenance on our
SCADA and Water Treatment control systems and Photo Voltaic power supplies for our remote
sites such as Mazoon Creek Headgate. They have provided us with numerous operation and
troubleshooting manuals for the operations of these systems.
DISCUSSION: We have received multiple quotes from Timberline to facilitate this changeover
covering multiple equipment and softwaze. Our existing SDADA system is equipment and
softwaze specific and we do not want to incorporate any different equipment for the obvious
Page I of 2
reasons of replacement part stocking, softwaze compatibility and the new training required to
operate and maintain different manufacturers of equipment.
FINANCIALBUDGET IMPACTS:
Although there exists more than one responsible source, a competitive process, if used,
will result in the potential of substantially higher cost to the City due to the time required
for a new provider to get familiarized with existing system and to provide the uniform
standazd of existing operating equipment that would be compatible with our existing
SCADA system.
The particular equipment is required to match existing equipment and is software
compatible.
• The existing system was recommended by our contracted engineer.
ENVIRONMENTAL IMPACTS: The proposed changes will allow us to monitor the
production of the hydros s well as provide the power to run the system at Mazoon Creek for
maximum production at the hydros as well as meet the security requirements of FERC.
RECOMMENDED ACTION: Staff recommends Council approve the contract to Timberline
Electric and Control Company for $53,810.00.
ALTERNATIVES: The alternative to selecting Timberline Electric and Control Company to
perform this work would be to request new bids.
Timberline Electric and Control Company has already performed work of this type with the City
of Aspen with satisfactory results. The possibility of receiving a less expensive bid for the same
amount of expertise and experience is unlikely and would cause project delays and inefficiencies.
PROPOSED MOTION: I move to approve Resolution #
CITY MANAGER
ATTACHMENTS:
1. Contract between City of Aspen and Timberline Electric and Control Company.
Page 2 of 2
!~
RESOLUTION # ~
(Series of 2009)
A RESOLUTION APPROVING A CONTRACT BETWEEN THE CITY OF
ASPEN, COLORADO, AND TIMBER LINE ELECTRIC & CONTROL
COMPANY SETTING FORTH THE TERMS AND CONDITIONS
REGARDING INSTALLATION OF A NEW HYDRO SCADA SYSTEM AND
AUTHORIZING THE CITY MANAGER TO EXECUTE SAID CONTRACT
WHEREAS, there has been submitted to the City Council a contract
between the City of Aspen, Colorado, and Timber Line Electric & Control
Company, a copy of which contract is annexed hereto and made a part thereof.
NOW, THEREFORE, BE IT RESOLVED BY THE CITY COUNCIL OF
THE CITY OF ASPEN, COLORADO:
Section 1
That the City Council of the City of Aspen hereby approves that contract
between the City of Aspen, Colorado, and Timber Line Electric & Control
Company regarding installation of a new hydro SCADA system 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.
Dated:
Michael C. Ireland, Mayor
I, Kathryn S. Koch, duly appointed and acting City Clerk do certify that the
foregoing is a true and accurate copy of that resolution adopted by the City
Council of the City of Aspen, Colorado, at a meeting held July 27, 2009.
Kathryn S. Koch, City Clerk
CONTRACT FOR CONSTRUCTION Ttt> Crrv of AseEN
(Short Forrn)
THIS CONTRACT, made and entered into on July 27, 2009, by and between the CITY
OF ASPEN, Colorado, hereinafter called the "City", and TIMBER LINE ELECTRIC
& CONTROL CORPORATION, hereinafter called the "Contractor".
THEREFORE, in consideration of the mutual covenants and Contracts herein contained,
and for other good and valuable consideration, the receipt and adequacy of which are
hereby acknowledged, the parties hereto hereby agree as follows:
1. Construction of Project. Contractor agrees to furnish all labor, materials,
tools, machinery, equipment, temporary utilities, transportation and any other facilities
needed therefor, and to complete in a good, workmanlike and substantial manner the
Project as described in the Scope of Work and/or Proposal appended hereto as Exhibit
"A" which is incorporated herein as if fully set forth (the "Project").
2. Plans and Speci£cations; Compliance with Laws. The Project is to be
constructed and completed in strict conformance with the Scope of Work and/or Proposal
appended hereto for the same approved in writing by the parties hereto. The Project shall
also be constructed and completed in strict compliance with all laws, ordinances, rules,
regulations of all applicable govemmental authorities, and the City of Aspen Procurement
Code, Title 4 of the Municipal Code, including the approval requirements of Section 4-
08-040. Contractor sha-1 apply for and obtain all required permits and licenses and shall
pay all fees therefor and all other fees required by such govemmental authorities.
3. Payments to Contractor. In consideration of the covenants and
Contracts herein contained being performed and kept by Contractor, including the
supplying of all labor, materials and services required by this Contract, and the
construction and completion of the Project, City agrees to pay Contractor a sum not to
exceed FIFTY THREE THOUSAND EIGHT HUNDRED TEN ($53,810.00)
DOLLARS or as shown on Exhibit "A".
4. Commencement and Completion. Contractor agrees to commence work
hereunder immediately upon execution hereof, to prosecute said work thereafter
diligently and continuously to completion, and in any and all events to substantially
complete the same not later than December I5, 2009, subject to such delays as are
permissible under the "Extension of Time for Completion" section of this Contract.
5. Payment of Bills and Charges. Contractor shall pay promptly all valid bills
and chazges for material, labor, machinery, equipment or any other service or facility
used in connection with or arising out of the Project, and shall obtain periodic releases
from all subcontractors and material suppliers supplying labor or materials to the Project
concurrently with Contractor's delivering any payment to such subcontractors and
CCS-971.dce Page; 1
material suppliers. Contractor shall indemnify and hold City and City's officers,
employees, agents, successors and assigns free and harmless against all expenses and
liability suffered or incurred in connection with the claims of any such subcontractors or
material suppliers, including but not limited to court costs and attorney's fees resulting or
arising therefrom; provided that Contractor shall be excused from this obligation to the
extent that City is in arrears in making the payments to Contractor. Should any liens or
claims of lien be filed of record against the Property, or should Contractor receive notice
of any unpaid bill or charge in connection with construction of the Project, Contractor
shall immediately either pay and discharge the same and cause the same to be released of
record, or shall furnish City with the proper indemnity either by title policy or by
corporate surety bond in the amount of 150% of the amount claimed pursuant to such
lien.
6. Releases. Contractor shall, if requested by City, before being entitled to
receive any payment due, furnish to City all releases obtained from subcontractors and
material suppliers and copies of all bills paid to such date, properly receipted and
identified, covering work done and the materials furnished to the Project and showing an
expenditure of an amount not less than the total of all previous payments made hereunder
by City to Contractor.
7. Hierarchy of Project Documents. This Contract and the Proposal or Scope
of Work appended hereto as Exhibit "A" are intended to supplement one another. In
case of conflict, however, this Contract shall control both.
8. Changes in the Work. Should the City at any time during the progress of
the work request any modifications, alterations or deviations in, additions to, or
omissions from this Contract or the ProposaUScope of Work, it shall be at liberty to do
so, and the same shall in no way affect or make void this Contract; but the amount thereof
shall be amortized over the remaining term of this Contract and added to or deducted, as
the case may be, from the payments set forth in Paragraph 3 above by a fair and
reasonable valuation, based upon the actual cost of labor and materials. This Contract
shall be deemed to be completed when the work is finished in accordance with the
original Proposal or Scope of Work as amended or modified by such changes, whatever
may be the nature or the extent thereof. The rule of practice to be observed in fulfillment
of this paragraph shall be that, upon the demand of either City or Contractor, the
character and valuation of any or all changes, omissions or extra work shall be agreed
upon and fixed in writing, signed by City and Contractor, prior to performance.
9. Contractor's Failure to Perform. Should Contractor, at any time during
the progress of the work, refuse or fail to supply sufficient material or workmen for the
expeditious progress of said work or fail to perform any other provisions of this Contract,
City may, upon giving notice in writing to Contractor as provided herein and upon
Contractor's failure to remedy any such failure within 3 days from receipt of such notice,
terminate this Contract and provide the necessary material and workmen to finish the
work and may enter upon the Property for such purpose and complete said work. The
expense thereof shall be deducted from the payments remaining under Paragraph 3
above, or if the total cost of the work to City exceeds the amount of such remaining
Page:
payments, Contractor shall pay to City upon demand the amount of such excess in
addition to any and all other damages to which City may be entitled. In the event of such
termination, City may take possession of all materials, equipment and appliances
belonging to Contractor upon or adjacent to the Property upon which said work is being
performed and may use the same in the completion of said work. Such termination shall
not prejudice or be exclusive of any other legal rights which City may have against
Contractor.
10. Extension of Time for Completion. Time is of the essence of this
Contract and Contractor shall substantially complete the work during the time provided
for herein. However, the time during which Contractor is delayed in said work by (a) the
acts of City or its agents or employees or those claiming under Contract with or
permission from City, or (b) the acts of God which Contractor could not have reasonably
foreseen and provided against, or (c) unanticipated stormy or inclement weather which
necessarily delays the work, or (d) any strikes, boycotts or obstructive actions by
employees or labor organizations and which are beyond the control of Contractor and
which it cannot reasonably overcome, or (e) the failure of City to make progress
payments promptly, shall be added to the time for completion of the work by a fair and
reasonable allowance. Contractor recognizes, however, that the site of the work is in the
Rocky Mountains at a high elevation where inclement whether conditions are common.
This fact has been considered by Contractor in preparing its Proposal and or agreeing to
the Scope of Work. Furthermore, Contractor shall have the right to stop work if any
payment, including payment for extra work, is not made to Contractor as provided in this
Contract. In the event of such nonpayment, Contractor may keep the job idle until all
payments then due are received.
11. Unforeseen Conditions. It is understood and agreed that Contractor,
before incurring any other expenses or purchasing any other materials for the Project,
shall proceed to inspect the work site and all visible conditions and that if, at the time of
inspection therefor, the Contractor finds that the proposed work is at variance with the
conditions indicated by the Proposal, Scope of Work, or information supplied by City, or
should Contractor encounter physical conditions below the surface of the ground of an
unusual nature, differing materially from those ordinarily encountered and generally
recognized as inherent in work of the character provided for in this Contract or inherent
in a work site located in the Rocky Mountains, Contractor shall so notify City, and City
shall at that time have the right and option to immediately cancel and terminate this
Contract or to instruct Contractor to continue the work and add the additional amount
attributable to such unforeseen conditions to the payments due Contractor as set forth
above.
It is agreed that in the event of any cancellation by City in accordance with this section,
Contractor shall be paid the actual costs of the work done prior to the time of
cancellation. In computing such costs, building permit fees, insurance and such financing
and title charges as are not refundable shall be included; provided that supervision time,
office overhead and profit shall not be included in such costs to be refunded to Contractor
by reason of such cancellation.
.doc Page: 3
12. Acceptance by City. No payment hereunder nor occupancy of said
improvements or any part thereof shall be construed as an acceptance of any work done
up to the time of such payment or occupancy, but the entire work is to be subject to the
inspection and approval of City at the time when Contractor notifies City that the Project
has been completed.
13. Notice of Completion; Contractor's Release. City agrees to sign and file of
record within five (5) days after the substantial completion and acceptance of the Project
a Notice of Completion. If City fails to so record the Notice of Completion within said
five (5) day period, City hereby appoints Contractor as City's agent to sign and record
such Notice of Completion on City's behalf. This agency is irrevocable and is an agency
coupled with an interest. Contractor agrees upon receipt of final payment to release the
Project and property from any and all claims that may have accrued against the same by
reason of said construction. If Contractor faithfully performs the obligations of this
Contract on its part to be performed, it shall have the right to refuse to permit occupancy
of any structures by City or City's assignees or agents until the Notice of Completion has
been recorded and Contractor has received the payment, if any, due hereunder at
completion of construction, less such amounts as may be retained pursuant to mutual
Contract of City and Contractor under the provisions of Paragraph 3 above.
14. Insurance.
a. The Contractor agrees to procure and maintain, at its own expense, a policy
or policies of insurance sufficient to insure against all liability, claims, demands, and other
obligations assumed by the Contractor pursuant to the terms of this Contract. Such insurance
shall be in addition to any other insurance requirements imposed by this contract or by law.
The Contractor shall not be relieved of any liability, claims, demands, or other obligations
assumed pursuant to the terms of this Contract by reason of its failure to procure or maintain
insurance, or by reason of its failure to procure or maintain insurance in sufficient amounts,
duration, or types.
b. Contractor shall procure and maintain, and shall cause any subcontractor of
the Contractor to procure and maintain, the minimum insurance coverages listed in the
Supplemental Conditions. If the Supplemental Conditions do not set forth minimum
insurance coverage, then the minimum coverage shall be as set forth below. Such coverage
shall be procured and maintained with forms and insurance acceptable to City. All coverage
shall be continuously maintained to cover all liability, claims, demands, and other
obligations assumed by the Contractor pursuant to the terms of this Contract. In the case of
any claims-made policy, the necessary retroactive dates and extended reporting periods shall
be procured to maintain such continuous coverage.
1. Workmen's Compensation insurance to cover obligations imposed by
applicable laws for any employee engaged in the performance of work under this
contract, and Employers' Liability insurance with minimum limits of FIVE
HUNDRED THOUSAND DOLLARS ($500,000.00) for each accident, FIVE
HUNDRED THOUSAND DOLLARS ($500,000.00) disease -policy limit, and
FIVE HUNDRED THOUSAND DOLLARS ($500,000.00) disease - each
employee. Evidence of qualified self-insured status may be substituted for the
Workmen's Compensation requirements of this paragraph.
2. Commercial General Liability insurance with minimum combined
single limits of ONE MILLION DOLLARS ($1,000,000.00) each occurrence and
ONE MILLION DOLLARS ($1,000,000.00) aggregate. The policy shall be
applicable to all premises and operations. The policy shall include coverage for
bodily injury, broad form property damage (including completed operations),
personal injury (including coverage for contractual and employee acts), blanket
contractual, independent contractors, products, and completed operations. The policy
shall include coverage for explosion, collapse, and underground hazards. The policy
shall contain a severability of interests provision.
3. Comprehensive Automobile Liability insurance with minimum
combined single limits for bodily injury and property damage of not less than ONE
MILLION DOLLARS ($1,000,000.00) each occurrence and ONE MILLION
DOLLARS ($1,000,000.00) aggregate with respect to each Contractor's owned,
hired and non-owned vehicles assigned to or used in performance of the services.
The policy shall contain a severability of interests provision. If the Contractor has no
owned automobiles, the requirements of this Section 5.4.2.3 shall be met by each
employee of the Contractor providing services to the City under this contract.
c. Except for any Contractor Liability insurance that may be required, the
policy or policies required above shall be endorsed to include the City of Aspen and the City
of Aspen's officers and employees as additional insureds. Every policy required above shall
be primary insurance, and any insurance carved by the City of Aspen, its officers or
employees, or carried by or provided through any insurance pool of the City of Aspen, shall
be excess and not contributory insurance to that provided by Contractor. No additonal
insured endorsement to the policy required above shall contain any exclusion for bodily
injury or property damage arising from completed operations. The Contractor shall be solely
responsible for any deductible losses under any policy required above.
d. The certificate of insurance provided by the City of Aspen shall be
completed by the Contractor's insurance agent as evidence that policies providing the
required coverage, conditions, and minimum limits are in full force and effect, and shall be
reviewed and approved by the City of Aspen prior to commencement of the contract. No
other form of certificate shall be used. The certificate shall identify this contract and shall
provide that the coverage afforded under the policies shall not be canceled, terminated or
materially changed until at least thirty (30) dam prior written notice has been given to the
City of Aspen.
e. In addition, these Certificates of Insurance shall contain the following
clauses:
Underwriters and issuers shall have no right of recovery or subrogation against the
City of Aspen, it being the intention of the parties that the insurance policies so
effected shall protect all parties and be primary coverage for any and all losses
Page:S
covered by the above-described insurance. To the extent that the City's insurer(s)
may become liable for secondary or excess coverage, the City's underwriters and
insurers shall have no right of recovery or subrogation against the Contractor.
The insurance companies issuing the policy or policies shall have no recourse
against the City of Aspen for payment of any premiums or for assessments under
any form of policy.
Any and all deductibles in the above-described insurance policies shall be assumed
by and be for the amount of, and at the sole risk of the Proposer.
Location of operations shall be: "All operations and locations at which work in
connection with the referenced project is done."
Certificates of Insurance for all renewal policies shall be delivered to the Architect at
least fifteen (15) days prior to a policy's expiration date except for any policy expiring on the
expiration date of this Contract or thereafter.
e. Failure on the part of the Contractor to procure or maintain policies
providing the required coverage, conditions, and minimum limits shall constitute a material
breach of contract upon which City may immediately terminate this contract, or at its
discretion City may procure or renew any such policy or any extended reporting period
thereto and may pay any and all premiums in connection therewith. All moneys so paid by
City shall be repaid by Contractor to City upon demand, or City may offset the cost of the
premiums against moneys due to Contractor from City.
£ City reserves the right to request and receive a certified copy of any policy
and any endorsement thereto.
15. Damage or Destruction. If the Project is destroyed or damaged by any
accident or disaster, such as fire, stone, flood, landslide, earthquake, subsidence, theft or
vandalism, any work done by Contractor in rebuilding or restoring the work shall be paid
for by City as extra work under Paragraph 8 above. If, however, the estimated cost of
replacement of the work already completed by Contractor exceeds twenty (20%) percent
of the insured sum set forth in Paragraph 14 above, City shall have the option to cancel
this Contract and, in such event, Contractor shall be paid the reasonable cost, including
net profit to Contractor in the amount of ten (10%) percent, of all work performed by
Contractor before such cancellation.
16. Notices. Any notice which any party is required or may desire to give to any
other party shall be in writing and may be personally delivered or given or made by
United States mail addressed as follows:
To City:
Aspen City Manager
City of Aspen
130 South Galena Street
Page:6
Aspen, Colorado 81611
To Contractor:
Mike Rushing
Timber Line Electric & Control Corporation
PO Box 793
Morrison, Colorado 80465-0793
subject to the right of either party to designate a different address for itself by notice
similazly given. Any notice so given, delivered or made by United States mail, shall be
deemed to have been given the same day as transmitted by telecopier or delivered
personally, one day after consignment to overnight courier service such as Federal
Express, or two days after the deposit in the United States mail as registered or certified
matter, addressed as above provided, with postage thereon fully prepaid.
17. Inspections; Warranties.
(a) Contractor shall conduct an inspection of the Project prior to final acceptance
of the work with City.
(b) Contractor shall schedule and cause to be performed all corrective activities
necessitated as a result of any deficiencies noted on the final inspection prior to
acceptance. The costs of material and/or labor incurred in connection with such
corrective activities shall not be reimbursed or otherwise paid to Contractor.
(c) Contractor shall obtain, at City's expense, third party warranty contracts (to be
entered into by City).
18. Licensure of Contractor. Contractor hereby represents and warrants to
City that Contractor is duly licensed as a general contractor in the State of Colorado, and
if applicable, in the County of Pitkin.
19. Independent Contractor. It is expressly acknowledged and understood by
the parties that nothing in this Contract shall result in, or be constmed as establishing an
employment relationship. The Contractor shall be, and shall perform as, an independent the
Contractor who agrees to use his best efforts to provide the Work on behalf of the City. No
agent, employee, or servant of the Contractor shall be, or shall be deemed to be, the
employee, agent or servant of the City. The City is interested only in the results obtained
under the Contract Documents. The manner and means of conducting the Work are under
the sole control of the Contractor. None of the benefits provided by the City to its employees
including, but not limited to, worker's compensation insurance and unemployment
insurance, are available from the City to the employees, agents or servants of the Contractor.
The Contractor shall be solely and entirely responsible for its acts and for the acts of the
Contractor's agents, employees, servants and subcontractors during the performance of the
Contract.
CCS-971.doc
THE CONTRACTOR, AS AN INDEPENDENT CONTRACTOR, SHALL NOT BE
ENTTI'LED TO WORKERS' COMPENSATION BENEFITS AND SHALL BE
OBLIGATED TO PAY FEDERAL AND STATE INCOME TAX ON ANY MONEYS
EARNED PURSUANT TO THE CONTRACT.
20. Assignment. This Contract is for the personal services of Contractor.
Contractor shall not transfer or assign this Contract or its rights and responsibilities under
this Contract nor subcontract to others its rights and responsibilities under this Contract,
and any attempt to do so shall be void and constitute a material breach of this Contract.
21. Successors and Assigns. Subject to paragraph 22, above, this Contract
shall be binding on, and shall inure to the benefit of, City and Contractor and their
respective successors and assigns.
22. Entire Contract. This Contract contains the entire Contract between City
and Contractor respecting the matters set forth herein and supersedes all prior Contracts
between City and Contractor respecting such matters.
23. Waivers. No waiver by City or Contractor of any default by the other or
of any event, circumstance or condition permitting either to terminate this Contract shall
constitute a waiver of any other default or other such event, circumstance or condition,
whether of the same or of any other nature or type and whether preceding, concurrent or
succeeding; and no failure or delay by either City or Contractor to exercise any right
arising by reason of any default by the other shall prevent the exercise of such right while
the defaulting party continues in default, and no waiver of any default shall operate as a
waiver of any other default or as a modification of this Contract.
24. Remedies Non-Exclusive. No remedy conferred on either party to this
Contract shall be exclusive of any other remedy herein or by law provided or permitted,
but each shall be cumulative and shall be in addition to every other remedy.
25. Governing Law. This Contract shall be governed by, and construed in
accordance with, the laws of the State of Colorado. Venue for any action at law or equity
shall be Pitkin County.
26. Attorneys' Fees. If either party to this Contract shall institute any action
or proceeding to enforce any right, remedy or provision contained in this Contract, the
prevailing party in such action shall be entitled to receive its attorneys' fees in connection
with such action from the non-prevailing party.
27. Severability. Any provision in this Contract which is held to be
inoperative, unenforceable or invalid shall be inoperative, unenforceable or invalid
without affecting the remaining provisions, and to this end the provisions of this Contract
are declared to be severable.
28. Nondiscrimination. During the perfoanance of this Contract, the
Contractor agrees as follows: The Contractor will not discriminate against any employee or
CCS-971.doc Page: S
applicant for employment because of race, color, religion, sex, national origin, age, marital
status, sexual orientation, being handicapped, a disadvantaged person, or a disabled or Viet
Nam era veteran. The Contractor will take affirmative action to insure that applicants are
employed, and that employees are treated during employment without regard to their race,
color, religion, sex, national origin, sex, age, sexual orientation, handicapped, a
disadvantaged person, or a disabled or Viet Nam era veteran. 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 setting forth the provisions of this nondiscrimination clause.
29. Prohibited Interest. No member, officer, or employee of the City of
Aspen, Pitkin County or the Town of Snowmass Village shall have any interest, direct or
indirect, in this Contract or the proceeds thereof.
30. Warranties Against Contingent Fees, Gratuities, Kickbacks and
Conflict of Interest:
a. The Contractor warrants that no person or selling agency has been employed
or retained to solicit or secure this Contract upon an Contract or understanding for a
commission, percentage, brokerage, or contingency fee, excepting bona fide employees or
bona fide established commercial or selling agencies maintained by the Contractor for the
purpose of securing business.
b. The Contractor agrees not to give any employee or former employee of the
City a gratuity or any offer of employment in connection with any decision, approval,
disapproval, recommendation, preparation of any part of a program requirement or a
purchase request, influencing the content of any specification or procurement standard,
rendering of advice, investigation, auditing, or in any other advisory capacity in any
proceeding or application, request for ruling, determination, claim or controversy, or other
particular matter, pertaining to this Contract or to any solicitation or proposal therefor.
a It shall be a material breach of the Contract for any payment, gratuity, or
offer of employment to be made by or on behalf of a Subcontractor under a contract to the
prime Contractor or higher tier Subcontractor or any person associated therewith, as an
inducement for the awazd of a Subeontract or order. The Contractor is prohibited from
inducing, by any means, any person employed under this Contract to give up any part of the
compensation to which he/she is otherwise entitled. The Contractor shall comply with all
applicable local, state and federal "ant-kickback" statutes or regulations.
31. Payments Subject to Annual Appropriations. If the contract awarded
extends beyond the calendaz year, nothing herein shall be construed as an obligation by the
City beyond any amounts that may be, from time to time, appropriated by the City on an
annual basis. It is understood that payment under any contract is conditional upon annual
appropriation of funds by said governing body and that before providing services, the
Contractor, if it so requests, will be advised as to the status of funds appropriated for
CCS-971.doc Page- 9
services or materials and shall not be obligated to provide services or materials for which
funds have not been appropriate.
32. Illegal Aliens -CRS 8-17.5-101 & 24-76.5-101.
a. Purpose. During the 2006 Colorado legislative session, the Legislature
passed House Bills 06-1343 (subsequently amended by HB 07-1073) and 06-1023
that added new statutes relating to the employment of and contracting with illegal
aliens. These new laws prohibit all state agencies and political subdivisions,
including the City of Aspen, from knowingly hiring an illegal alien to perform
work under a contract, or to knowingly contract with a subcontractor who
knowingly hires with an illegal alien to perform work under the contract. The new
laws also require that all contracts for services include certain specific language as
set forth in the statutes. The following terms and conditions have been designed to
comply with the requirements of this new law.
b. Definitions. The following terms are defined in the new law and by this
reference are incorporated herein and in any contract for services entered into
with the City of Aspen.
b. Definitions. The following terms are defined in the new law and by this
reference are incorporated herein and in any contract for services entered into
with the City of Aspen.
"Basic Pilot Program" means the basic pilot employment verification
program created in Public Law 208, 104th Congress, as amended, and expanded
in Public Law 156, 108th Congress, as amended, that is administered by the
United States Department of Homeland Security.
"Public Contract for Services" means this Agreement.
"Services" means the furnishing of labor, time, or effort by a Contractor or
a subcontractor not involving the delivery of a specific end product other than
reports that are merely incidental to the required performance.
c. By signing this document, Contractor certifies and represents that at this
time:
(i) Contractor does not knowingly employ or contract with an illegal
alien; and
(ii) Contractor has participated or attempted to participate in the Basic
Pilot Program in order to verify that it does not employ illegal aliens.
d. Contractor hereby certifies that:
CCS-971.dce Page: 10
(i) Contractor shall not knowingly employ or contract new employees
without confirming the employment eligibility of all such employees hired
for employment in the United States under the Public Contract for
Services.
(ii) Contractor shall not enter into a contract with a subcontractor that
fails to confirm to the Contractor that the subcontractor shall not
knowingly hire new employees without confirming their employment
eligibility for employment in the United States under the Public Contract
for Services.
(iii) Contractor has verified or has attempted to verify through
participation in the Federal Basic Pilot Program that Contractor does not
employ any new employees who are not eligible for employment in the
United States; and if Contractor has not been accepted into the Federal
Basic Pilot Program prior to entering into the Public Contract for Services,
Contractor shall forthwith apply to participate in the Federal Basic Pilot
Program and shall in writing verify such application within five (5) days
of the date of the Public Contract. Contractor shall continue to apply to
participate in the Federal Basic Pilot Program and shall in writing verify
same every three (3) calendar months thereafter, until Contractor is
accepted or the public contract for services has been completed, whichever
is earlier. The requirements of this section shall not be required or
effective if the Federal Basic Pilot Program is discontinued.
(iv) Contractor shall not use the Basic Pilot Program procedures to
undertake pre-employment screening of job applicants while the Public
Contract for Services is being performed.
(v) If Contractor obtains actual knowledge that a subcontractor
performing work under the Public Contract for Services knowingly
employs or contracts with a new employee who is an illegal alien,
Contractor shall:
(1) Notify such subcontractor and the City of Aspen
within three days that Contractor has actual knowledge that the
subcontractor has newly employed or contracted with an illegal
alien; and
(2) Terminate the subcontract with the subcontractor if
within three days of receiving the notice required pursuant to this
section the subcontractor does not cease employing or contracting
with the new employee who is an illegal alien; except that
Contractor shall not terminate the Public Contract for Services
with the subcontractor if during such three days the subcontractor
provides information to establish that the subcontractor has not
knowingly employed or contracted with an illegal alien.
Page: 11
(vi) Contractor shall comply with any reasonable request by the
Colorado Department of Labor and Employment made in the course of an
investigation that the Colorado Department of Labor and Employment
undertakes or is undertaking pursuant to the authority established in
Subsection 8-17.5-102 (5), C.R.S.
(vii) If Contractor violates any provision of the Public Contract for
Services pertaining to the duties imposed by Subsection 8-17.5-102,
C.R.S. the City of Aspen may terminate the Public Contract for Services.
If the Public Contract for Services is so terminated, Contractor shall be
liable for actual and consequential damages to the City of Aspen arising
out of Contractor's violation of Subsection 8-17.5-102, C.R.S.
(ix) If Contractor operates as a sole proprietor, Contractor hereby
swears or affirms under penalty of perjury that the Contractor (1) is a
citizen of the United States or otherwise lawfully present in the United
States pursuant to federal law,(2) shall comply with the provisions of CRS
24-76.5-101 et seq., and (3) shall produce one of the forms of
identification required by CRS 24-76.5-103 prior to the effective date of
this Agreement.
CCS-971.dce Page: 12
IN WITNESS WHEREOF, the parties agree hereto have executed this Contract for
Construction on the date first above written.
ATTESTED BY:
CITY OF ASPEN, COLORADO
APPROVED AS TO FORM:
By:
City Attorney
CONTRACTOR:
By: ~ EZiG ~
Title:~~Q. SeC .
Note: Certification of Incorporation shall be executed if Contractor is a Corporation. If a
partnership, the Contract shall be signed by a Principal and indicate title.
CERTIFICATE OF INCORPORATION
(To be completed if Contractor is a Corporation)
STATE OF ~) d G L~ O )
\ M1 ` ,,' ) SS.
COUNTY OF pye 'C-~(/V S(ll'1 )
On this ~ day of ~ ~, 2009, before
me appeared
~~~m ~vezi c~ to me
personally known, who, being by ;me first duly sworn, did say that s/he is
C's~y~o«-fie Sec~~~~~ of
~T,~.~.-ber ~~~r-P Slew-kr~d Cr~.}w~ Ca-~~ and that
the seal affixed to said instrument is the corporate seal of said corporation, and
that said instrument was signed and sealed in behalf of said corporation by
authority of its board of directors, and said deponent acknowledged said
instrument to be the free act and deed of said corporation.
WITNESS MY HAND AND NOTARIAL SEAL the day and year in this certificate
first above written.
~~ C~~ .L
Notary Public
~_
Address
My commission expires: ~ ~ ` 0 z- " ZO 1 0
'NpTA R y•:
;; pUBLiC•,
Page: I4
EXHIBIT "A"
• Hydro and Power FlU ~ Water Campus: {lj Motorola ACE 3600 telemetry unit with UHF radio,
NO I/O module, bads-up battery and power supply in Motorola enclosure. Complete antenna
system with combiner/filter, start-up, and testing.
Total $8,300.00
• Store and forward site for Hydro and Power Telemetry: Located at Ridge of Red of West Red.
(1) Motorola ACE 3600 telemetry unit with UHF radio, NO I/O module, back-up battery and
power supply in Motorola enclosure. Complete antenna system with combiner/Otter, start-up,
and testing. 8 hours of drafting to create radio network map.
Total $8,474.00
• Computerized Central for Hydro and Power Telemetry: New Dell Dimension computer and
monitor, 390 point ifix software,lOD paint (Historian software, in-office development time to
load all software and create graphics and database for Maroon Creek Hydro, maroon Bridge,
Ruedi Reservoir, and S-N-F site listed above. Also includes on-site start-up time and 8 hours to
set up report templates.
Total $15,595.00
SCADAIarm :dialer software for Hydro and Power computer with alarm setup
Total $3,770.00
• New Solar System Array and Installation at Maroon Creek Headgate: installation and supply of.
{2) distinct solar arrays (5 PV panels and 2 charge controllers), four batteries with battery box,
one AC battery charger for additional charging while generator is running, miscellaneous parts
for mounting and wiring the system as well as installation ofthe Moscad-L unit. Programming,
management, procurement, start-up and new AutoCad drawings.
Total $17,675.00
Grand Total $ 53,8(0.00
Page_15
vid
MEMORANDUM
TO:
FROM:
THRU:
DATE OF MEMO:
DATE OF MEETING
RE:
Mayor and City Council
John Krueger and Lynn Rumbaugh, Transportation
Randy Ready, Assistant City Manager
July 15, 2009
July 27, 2009
Approval of CMAQ Grant and Departmental
Expenditures
SUMMARY
This memo requests that Council approve the attached resolution accepting Congestion
Management and Air Quality (CMAQ) Grants AQC M045-008 and AQC M045-009 awazded by
the State of Colorado in the amount of $194,000.00 for the purchase of four hybrid vehicles for
the CAR TO GO carshare program and the purchase of a real-time carpool matching system.
The CMAQ funds amount to $160,313.00 with a local match of $33,387.00 for a total of
$194,000.00. The expenditure of these funds is included in the 2009 Transportation Budget.
PREVIOUS COUNCIL ACTION
In previous yeazs, City Council has approved a variety of CMAQ-funded projects including the
retrofitting of diesel buses, the purchase of street sweeping and flushing vehicles and the
construction of the Cemetery Lane trail.
BACKGROUND
In the 1980's, the City of Aspen was designated by EPA as anon-attainment area for PM 10
(particulate pollution sized 10 microns or less). Since then the City adopted several measures,
including expanding the second-lazgest mass transit system in Colorado, paid parking, an
extensive bicycle/pedestrian trail system, carpool incentives and a carshare program. These
measures helped the City of Aspen become a maintenance area on July 14, 2003. The City of
Aspen is eligible for CMAQ funding every two years from the Colorado Department of
Transportation (CDOT) based on Aspen's EPA air quality designation as a PM 10 maintenance
area.
Congestion Mitigation and Air Quality grants have been awazded to the City of Aspen every
other yeaz since 2000 for the purpose of implementing projects or procuring equipment to
mitigate PM-10 pollution in the upper valley. Because carpool and carshaze programs have
proven to reduce single-gccupant vehicle trips, the Colorado Department of Transportation has
approved the funding of four replacement vehicles for the City's CAR TO GO carshaze program
as well as the purchase of a real-time carpool matching system. City Council approval of the
attached resolution will authorize acceptance of these CMAQ grants; allow the Transportation
Department to access departmental funds for the matching portion of this grant; and permit the
Department to begin the bid process for real-time carpool matching softwaze. The State of
Colorado's annual vehicle bid will be used for CAR TO GO vehicle purchases.
DISCUSSION
Real-Time Carpool Matching
In 1995, the City of Aspen implemented a paid parking program as part of a comprehensive
Transportation Demand Management effort. To encourage high occupancy vehicles, weekday
paid parking is waived for carpools of two or more adults with the receipt of a daily carpool
permit available at the Airport Parking Kiosk. Free carpool matching is available and is
advertised via signs along Hwy 82. Currently, carpool matching is done by staff using an excel
spreadsheet. With this process, staff is unable to help those looking to school pool, carpool to a
one-time event, or carpool to on a single day. Feedback from other communities indicates that
real-time, self-serve carpool matching is also more popular with commuters and therefore could
increase the size of the carpool database and the number of Aspen-area carpoolers. With City
Council's approval, staff will undertake a bid process for a customized real-time carpool
matching system to include functionality for commute, school, and one-time trips. Grant funding
will also be used to promote the new system once it is in place.
2
carshare Revlacement Vehicles
In 2001, the City of Aspen undertook a pilot carshare program. In 2003, the pilot program was approved
as a continuing element of Aspen's Transportation Demand Management efforts. Carshaze programs are
operating throughout the United States and Europe as a means of offering an alternative to car ownership,
offering inexpensive, short-term access to a vehicle when needed to those who typically walk, bicycle or
use transit. Aspen's carshare program, CAR TO GO, offers its 81 members access to vehicles parked in
convenient locations such as Paepcke Park, Rio Grande Place, Hunter Creek, Centennial and the AABC.
The current CAR TO GO fleet includes two station wagons, one Ford Ranger truck, three Ford Focus
sedans and four hybrid Toyota Priuses. The CMAQ grant will allow the program to replace two
gasoline-powered sedans with hybrid Toyota Priuses and both of its station wagons with hybrid Ford
Escapes. By replacing four vehicles with CMAQ funds, CAR TO GO is able to eliminate the majority of
its gasoline-powered cars. With the four replacements, the program will be closer its goal of an all
hybrid fleet which would be unique for a carshare program. Using CMAQ funds for the vehicle
replacements will eliminate approximately $15Q000 in capital replacement (AMP) costs that the
Transportation Fund would otherwise incur over the next 5-6 years.
FINANCIAL IMPLICATIONS
The CMAQ funded portion of this project totals $160,313.00. Matching funds of at least
$33,387.00 must be committed by the City. The matching funds aze included in the approved
2009 Transportation Fund budget for these projects. No new funds are required.
ENVIRONMENTAL IMPLICATIONS
In the 1980's, the City of Aspen was designated a PM-10 (particulate pollution sized 10 microns
or less) non-attainment area by the U.S. Environmental Protection Agency. A number of
mitigation measures including free transit, paid parking and an anti-idling ordinance helped
Aspen receive a PM-10 maintenance designation in 2003. However, Aspen continues to be
challenged in maintaining and meeting future air quality standards. As discussed above,
programs that decrease the need for vehicle ownership and/or single-occupant driving are key to
reducing PM-10 levels.
3
RECOMMENDATION
Staff recommends approval of contracts AQC M045-008 and AQC M045-009 accepting CMAQ
grant funding in the amount of $160,313.00 with a local match of $33,387.00 to fund the
required grant match, for a total project amount of $194,000.00 to fund the replacement of four
carshare vehicles and acquire a carpool matching system.
ALTERNATIVES
Council could choose to decline the CMAQ grant. If the CMAQ grant is declined, The
Transportation fund would need to replace the carshare vehicles out of its capital replacement
fund over time.
PROPOSED MOTION
5I
of 2009 on the consent calendar of
"I move to approve Resolution #
July 27, 2009.
CITY MANAGER COMM
ATTACHMENTS
Attachment A: Resolution Approving CMAQ Grant Contracts
Attachment B: CMAQ Grant Contract Documents
4
RESOLUTION NO. ~`
Series of 2009
A RESOLUTION OF THE CTI'Y OF ASPEN, COLORADO, APPROVING CONTRACTS AQC
M045-008 and AQC M045-009 BETWEEN THE CTI'Y OF ASPEN, COLORADO, AND THE
STATE OF COLORADO DEPARTMENT OF TRANSPORTATION, TO ACCEPT A
CONGESTION MITIGATION AIR QUALTI'Y (CMAQ) GRANT, AND AUTHORIZING THE
CTI'Y MANAGER TO EXECUTE SAID DOCUMENTS ON BEHALF OF THE CTI'Y OF
ASPEN, COLORADO.
WHEREAS, the City of Aspen seeks to improve air quality by reducing PM-10 pollution;
and
WHEREAS contracts AQC M045-008 and AQC M045-009 between the City of Aspen,
Colorado and the State of Colorado, copies of which are annexed hereto and made a part thereof;
and
NOW, THEREFORE, BE TI' RESOLVED BY THE CTI'Y COUNCIL OF THE CTI'Y OF
ASPEN. COLORADO:
That the City Council of the City of Aspen hereby approves these CONTRACTS between
the City of Aspen, Colorado, and the State of Colorado Department of Transportation, copies of
which aze annexed hereto and incorporated herein, and does hereby authorize the City Manager of
the City of Aspen to execute said contract on behalf of the City of Aspen.
INTRODUCED, READ AND ADOPTED by the City Council of the City of Aspen on the
27`h day of July, 2009.
Michael C. Ireland, Mayor
I, Kathryn S. Koch, duly appointed and acting City Clerk do certify that the foregoing is a
true and accurate copy of that resolution adopted by the City Council of the City of Aspen,
Colorado, at a meeting held on the day hereinabove stated.
Kathryn S. Koch, City Clerk
City of Aspen
2009 CMAQ Grant Project Proposals
Available Funds
$194,000.00 Total
$160,613.00 Federal
$33,387.00 Local
1. Carshare Enhancements
Project: Replace non-hybrid vehicles with hybrid and/or other low emission
technology. Replace two Ford Focus sedans with two Toyota Prius hybrids.
Replace two Ford Focus station wagons with two hybrid Ford Escape sport
utility vehicles.
Impact: Increase membership in carshare program while reducing vehicle emissions.
Carsharing has been linked to reduced personal auto ownership, corporate
vehicle ownership, reduced overall auto-use and increased use of alternative
modes such as transit and walking amongst its members.
Federal 124,185
Local 25,815
Total 150.000
2. Carpool Enhancements
Project: Purchase and promote real-time carpooUschoolpool matching system.
Impact: Increase carpool modeshare and reduce SOV modeshare by offering fast, self-
service carpool matching far commute trips as well as one-time, special event
and school trips.
Federal 36428
Local 7572
Total 44000
(FMLAWRK)
PROJECT AQC M045-009, (17337)
REGION 3 (DAVE
IGA CONTRACT
TffiS CONTRACT made this day of
09 HA3 00078
271000991
2009, by and between the State of
Colorado for the use and benefit ofthe Colorado Department of Transportation hereinafter referred
to as the State, and the CITY OF ASPEN, 130 South Galena, Aspen, Colorado, 81611,
CDOT Vendor #: 2000009, hereinafter referred to as the "Contractor" or the "Local Agency."
RECITALS
1. Authority exists in the law and funds have been budgeted, appropriated and otherwise made
available and a sufficient uncommitted balance thereof remains available for payment of project and
Local Agency costs in Fund Number 400, Function 3404, GL Acct. 4231200011,
WBS Element 17337.10.50. Contract Encumbrance Amount: 544,000.00
2. Required approval, clearance and coordination have been accomplished from and with appropriate
agencies.
3. Pursuant to Title I, Subtitle A, Section 1108 ofthe "Transportation Equity Act for the 21s` Century"
of 1998 (TEA-21) and/or the "Safe, Accountable, Flexible, Efficient Transportation Equity Act: A
Legacy for Users" (SAFETEA-LU) of 2005 and to applicable provisions of Title 23 of the United
States Code and implementing regulations at Title 23 of the Code of Federal Regulations, as may be
amended, (collectively referred to hereinafter as the "Federal Provisions"), certain federal funds have
been and will in the future be allocated for transportation projects requested by Local Agencies and
eligible under the Surface Transportation Improvement Program that has been proposed by the State
and approved by the Federal Highway Administration ("FHWA"), hereinafter refen•ed to as the
"Program "
4. Pursuant to § 43-1-223, C.R.S. and to applicable portions of the Federal Provisions, the State is
responsible for the general administration and supervision of performance of projects in the Program,
including the administration of federal funds for a Program project performed by a Local Agency under
a contract with the State.
5. The Local Agency has requested that a certain local transportation project be funded as part of the
Program, and by the date of execution of this contract, the Local Agency and/or the State has
completed and submitted a preliminary version of CDOT form #463 describing the general nature of
the Work. The Local Agency understands that, before the Work begins, form #463 may be revised as a
result ofdesign changes made by CDOT, in coordination with the Local Agency, in its internal review
process. The Local Agency desires to perform the Work described inform #463, as it may be revised.
6. Federal-aid funds have been made available for project AQC M045-009 (17337), which shall
Page 1 of 19
consist ofthe purchase of"Carpool Tracking Softwaze" for the Aspen Caz-Share Program, referred to
as the "Project" or the "Work."
Such Work will be performed in City of Aspen, Colorado, specifically described in Exhibit A.
7. The matching ratio for this federal aid project is 82.79% federal-aid funds to 17.21 % Local Agency
funds, it being understood that such ratio applies only to such costs as are eligible for federal
participation, it being further understood that all non-participating costs shall be borne by the Local
Agency at 100%.
8. The Local Agency desires to comply with the Federal Provisions and other applicable requirements,
including the State's general administration and supervision ofthe Project through this contract, in
order to obtain federal funds.
9. The Local Agency has estimated the total cost ofthe Work and is prepared to provide its match share
ofthe cost, as evidenced by an appropriate ordinance/resolution or other authority letter which expressly
authorizes the Local Agency the authority to enter into this contract and to expend its match shaze ofthe
Work. A copy of such ordinance/resolution or authority letter is attached hereto as Exhibit B.
10. This contract is executed under the authority of§§29-1-203,43-1-110;43-1-116,43-2-101(4)(c)
and 43-2-144, C.R.S. and Exhibit B.
11. The Local Agency is adequately staffed and suitably equipped to undertake and satisfactorily
complete some or all of the Work.
12. The Local Agency can more advantageously perform the Work.
THE PARTIES NOW AGREE THAT:
Section 1. Scope of Work
The Project or the Work under this contract for Project AQC M045-009 (17337), shall consist
ofthe purchase of"Carpool Tracking Software" for the Aspen Car-Share Program, in City of Aspen,
Colorado, as more specifically described in Exhibit A.
Section 2. Order of Precedence
In the event ofconflicts or inconsistencies between this contract and its exhibits, such conflicts
or inconsistencies shall be resolved by reference to the documents in the following order of priority:
1. Special Provisions contained in section 29 of this contract
2. This contract
3. Exhibit A (Scope of Work)
4. Exhibit C (Funding Provisions)
5. Exhibit D (Certification for Federal-Aid Contracts)
6. Exhibit E (DBE Requirements)
Page 2 of 19
7. Exhibit F (Contract Modification Tools)
8. Other Exhibits in descending order of their attachment.
Section 3. Term
This contract shall be effective upon approval of the State Controller or designee, or on the
date made, whichever is later. The term of this contract shall continue through the completion and
final acceptance of the Project by the State, FHWA and the Local Agency.
Section 4. Project Funding Provisions
The Local Agency has estimated the total cost ofthe Work and is prepared to provide its match
share of the cost, as evidenced by an appropriate ordinance/resolution or other authority letter which
expressly authorizes the Local Agency the authority to enter into this contract and to expend its match
share of the Work. A copy of such ordinance/resolution or authority letter is attached hereto as Exhibit
B.
The funding provisions for the Project are attached hereto as Exhibit C. The Local Agency
shall provide its share of the funds for the Project as outlined in Exhibit C.
Section 5. Project Payment Provisions
A. The State will reimburse the Loca- Agency for the federal-aid share of the project charges
after the State's review and approval of such charges, subject to the terms and conditions of this
contract. However, any charges incurred by the Local Agency prior to the date of FHWA
authorization for the Project and prior to the date this contract is executed by the State Controller or
his designee will not be reimbursed absent specific FHWA and State Controller approval thereof.
B. The State will reimburse the Local Agency's reasonable, allocable, allowable costs of
performance of the Work, not exceeding the maximum total amount described in Exhibit C. The
applicable principles described in 49 C.F.R. 18 Subpart C and 49 C.F.R. 18.22 shall govern the
allowability and allocability of costs under this contract. The Local Agency shall comply with all
such principles. To be eligible for reimbursement, costs by the Local Agency shall be:
1. In accordance with the provisions of Exhibit C and with the terms and conditions of
this contract;
2. Necessary for the accomplishment of the Work;
3. reasonable in the amount for the goods and services provided;
4. actual net cost to the Local Agency (i.e. the price paid minus any refunds, rebates, or
other items of value received by the Local Agency that have the effect of reducing
the cost actually incurred);
5. Incurred for Work performed after the effective date of this contract;
6. Satisfactorily documented.
C. The Local Agency shall establish and maintain a proper accounting system in accordance
Page 3 of 19
with generally accepted accounting standards (a separate set of accounts, or as a separate and
integral part of its current accounting scheme) to assure that project funds are expended and costs
accounted for in a manner consistent with this contract and project objectives.
All allowable costs charged to the project, including any approved services
contributed by the Local Agency or others, shall be supported by properly executed
payrolls, time records, invoices, contracts or vouchers evidencing in detail the nature of
the charges.
2. Any check or order drawn up by the Local Agency, including any item which is or
will be chargeable against the project account shall be drawn up only in accordance
with a properly signed voucher then on file in the office of the Local Agency, which
will detail the purpose for which said check or order is drawn. All checks, payrolls,
invoices, contracts, vouchers, orders or other accounting documents shall be clearly
identified, readily accessible, and to the extent feasible, kept separate and apart from
all other such documents.
D. Upon execution of this contract, the State is authorized, in its discretion, to perform any
necessary administrative support services pursuant to this contract. These services may be
performed prior to and in preparation for any conditions or requirements of this contract, including
prior FHWA approval of Work. The Local Agency understands and agrees that the State may
perform such services, and that payments for such services shall be at no cost to the State but shall
be as provided for in Exhibit C. At the request of the Local Agency, the State shall also provide
other assistance pursuant to this contract as may be agreed in writing. In the event that federal-aid
project funds remain available for payment, the Local Agency understands and agrees the costs of
any such services and assistance shall be paid to the State from project funds at the applicable rate.
However, in the event that such funding is not made available or is withdrawn for this contract, or if
the Local Agency terminates this contract prior to project approval or completion for any reason,
then all actual incurred costs of such services and assistance provided by the State shall be the sole
expense of the Local Agency.
E. Ifthe Local Agency is to be billed for CDOT incurred costs, the billing procedure shall be as
follows:
1. Upon receipt of each bill from the State, the Local Agency will remit to the State the
amount billed no later than 60 days after receipt of each bill. Should the Local Agency
fail to pay moneys due the State within 60 days of demand or within such other period as
may be agreed between the parties hereto, the Local Agency agrees that, at the request of
the State, the State Treasurer may withhold an equal amount from future apportionment
due the Local Agency from the Highway Users Tax Fund and to pay such funds directly
to the State. Interim funds, until the State is reimbursed, shall be payable from the State
Highway Supplementary Fund (400).
2. If the Local Agency fails to make timely payment to the State as required by this
section (within 60 days after the date of each bill), the Local Agency shall pay
Page 4 of 19
interest to the State at a rate of one percent per month on the amount of the payment
which was not made in a timely manner, until the billing is paid in full. The interest
shall accrue for the period from the required payment date to the date on which
payment is made.
F. The Local Agency will prepare and submit to the State, no more than monthly, charges for
costs incurred relative to the project. The Local Agency's invoices shall include a description ofthe
amounts of services performed, the dates of performance and the amounts and description of
reimbursable expenses. The invoices will be prepared in accordance with the State's standard
policies, procedures and standardized billing format to be supplied by the State.
G. To be eligible for payment, billings must be received within 60 days after the period for
which payment is being requested and final billings on this contract must be received by the State
within 60 days after the end of the contract term.
1. Payments pursuant to this contract shall be made as earned, in whole or in part, from
available funds, encumbered for the purchase ofthe described services. The liability
ofthe State, at any time, for such payments shall be limited to the amount remaining
of such encumbered funds.
2. In the event this contract is terminated, final payment to the Local Agency may be
withheld at the discretion of the State until completion of final audit.
3. Incorrect payments to the Local Agency due to omission, error, fraud or defalcation
shall be recovered from the Local Agency by deduction from subsequent payment
under this contract or other contracts between the State and Local Agency, or by the
State as a debt due to the State.
4. Any costs incurred by the Local Agency that are not allowable under 49 C.F.R. 18
shall be reimbursed by the Local Agency, or offset against current obligations due by
the State to the Local Agency, at the State's election.
Section 6. State and Local Agency Commitments
The Local Agency Contract Administration Checklist in Exhibit G describes the Work to be
performed and assigns responsibility of that Work to either the Local Agency or the State. The
"Responsible Party" referred to in this contract means the Responsible Party as identified in the
Local Agency Contract Administration Checklist in Exhibit G.
A. Design [Not Applicable]
1. Ifthe Work includes preliminary design or final design (the "Construction Plans"), or
design work sheets, or special provisions and estimates (collectively referred to as the "Plans"), the
responsible party shall comply with the following requirements, as applicable:
a. Perform or provide the Plans, to the extent required by the nature of the
Work.
Page 5 of 19
b. Prepare final design (Construction Plans) in accord with the requirements of
the latest edition of the American Association of State Highway
Transportation Officials (AASHTO) manual or other standard, such as the
Uniform Building Code, as approved by CDOT.
c. Prepare special provisions and estimates in accord with the State's Roadway
and Bridge Design Manuals and Standard Specifications for Road and Bridge
Construction or Local Agency specifications if approved by CDOT.
d. Include details of any required detours in the Plans, in order to prevent any
interference of the construction work and to protect the traveling public.
e. Stamp the Plans produced by a Colorado Registered Professional Engineer.
£ Provide final assembly of Plans and contract documents.
g. Be responsible for the Plans being accurate and complete.
h. Make no further changes in the Plans following the award of the construction
contract except by agreement in writing between the parties. The Plans shall
be considered final when approved and accepted by the parties hereto, and
when final they shall be deemed incorporated herein.
2. If the Local Agency is the responsible party:
a. The loca- agency shall comply with the requirements of the Americans
With Disabilities Act (ADA), and applicable federal regulations and
standards as contained in the document "ADA Accessibility Requirements
in CDOT Transportation Projects".
b. It shall afford the State ample opportunity to review the Plans and make
any changes in the Plans that aze directed by the State to comply with
FHWA requirements.
c. It may enter into a contract with a consultant to do all or any portion of the
Plans and/or of construction administration. Provided, however, that if
federal-aid funds are involved in the cost of such work to be done by a
consultant, that consultant contract (and the performance/provision of the
Plans under the contract) must comply with all applicable requirements of
23 CFR Part 172 and with any procedures implementing those
requirements as provided by the State, including those in Exhibit H
attached hereto. If the Local Agency does enter into a contract with a
consultant for the Work:
(1) It shall submit a certification that procurement of any design
consultant contract complied with the requirements of 23 CFR
172.5(d) prior to entering into contract. The State shall either
approve or deny such procurement. Ifdenied, the Local Agency may
not enter into the contract.
(2) It shall ensure that all changes in the consultant contract have prior
approval by the State and FHWA. Such changes in the contract shall be by
written supplement agreement. As soon as the contract with the consultant
has been awarded by the Local Agency, one copy of the executed contract shall be
submitted to the State. Any amendments to such contract shall also be submitted.
Page 6 of 19
(3) It shall require that all consultant billings under that contract shall
comply with the State's standardized billing format. Examples ofthe billing
formats are available from the CDOT Agreements Office.
(4) It (or its consultant) shall use the CDOT procedures described in
Exhibit H to administer that design consultant subcontract, to comply with 23
CFR 172.5(b) and (d).
(5) It may expedite any CDOT approval of its procurement process
and/or consultant contract by submitting a letter to CDOT from the certifying
Local Agency's attorney/authorized representative certifying compliance
with Exhibit H and 23 CFR 172.5(b)and (d).
(6) It shall ensure that its consultant contract complies with the
requirements of 49 CFR 18.36(1) and contains the following language
verbatim:
(a) "The design work under this contract shall be compatible with
the requirements of the contract between the Local Agency and the
State (which is incorporated herein by this reference) for the
design construction of the project. The State is an intended third
parry beneficiary of this contract for that purpose."
(b) "Upon advertisement ofthe project work for construction, the
consultant shall make available services as requested by the State to
assist the State in the evaluation of construction and the resolution of
construction problems that may arise during the construction of the
project "
(c) "The consultant shall review the construction contractor's
shop drawings for conformance with the contract documents and
compliance with the provisions of the State's publication, Standard
Specifications for Road and Bridge Construction, in connection with
this work."
d. The State, in its discretion, will review construction plans, special provisions
and estimates and will cause the Local Agency to make changes therein that
the State determines are necessary to assure compliance with State and
FHWA requirements.
B. Construction [Not Applicable]
If the Work includes construction, the responsible party shall perform the
construction in accordance with the approved design plans and/or administer the
construction all in accord with the Local Agency Contract Administration Checklist.
Such administration shall include project inspection and testing; approving sources
of materials; performing required plant and shop inspections; documentation of
contract payments, testing and inspection activities; preparing and approving pay
estimates; preparing, approving and securing the funding for contract modification
orders and minor contract revisions; processing contractor claims; construction
supervision; and meeting the Quality Control requirements of the FHWA/CDOT
Page 7 of 19
Stewardship Agreement, as described in the Local Agency Contract Administration
Checklist.
The State shall have the authority to suspend the Work, wholly or in part, by giving
written notice thereofto the Local Agency, due to the failure ofthe Local Agency or
its contractor to correct project conditions which are unsafe for workers or for such
periods as the State may deem necessary due to unsuitable weather, or for conditions
considered unsuitable for the prosecution of the Work, or for any other condition or
reason deemed by the State to be in the public interest.
If the Local Agency is the responsible party:
a. It shall appoint a qualified professional engineer, licensed in the State of
Colorado, as the Local Agency Project Engineer (CAPE), to perform that
administration. The CAPE shall administer the project in accordance with
this contract, the requirements of the construction contract and applicable
State procedures.
b. If bids are to be let for the construction of the project, it shall advertise the
call for bids upon approval by the State and award the construction
contract(s) to the low responsible bidder(s) upon approval by the State.
(1) In advertising and awarding the bid for the construction of afederal-
aid project, the Local Agency shall comply with applicable
requirements of 23 USC § 112 and 23 CFR Parts 633 and 635 and
C.R.S. § 24-92-101 et seq. Those requirements include, without
limitation, that the Local Agency/contractor shall incorporate Form
1273 (Exhibit I) in its entirety verbatim into any subcontract(s) for
those services as terms and conditions therefore, as required by 23
CFR 633.102(e).
(2) The Local Agency has the option to accept or reject the proposal of
the apparent low bidder for work on which competitive bids have
been received. The Local Agency must declare the acceptance or
rejection within 3 working days after said bids are publicly opened.
(3) By indicating its concurrence in such award, the Local Agency,
acting by or through its duly authorized representatives, agrees to
provide additional funds, subject to their availability and
appropriation for that purpose, if required to complete the Work
under this project if no additional federal-aid funds will be made
available For the project. This paragraph also applies to projects
advertised and awarded by the State.
c. Ifall or part ofthe construction work is to be accomplished by Local Agency
personnel (i.e. by force account), rather than by a competitive bidding
process, the Local Agency will ensure that all such force account work is
accomplished in accordance with the pertinent State specifications and requirements
with 23 CFR 635, Subpart B, Force Account Construction.
Page 8 of 19
(1) Such work will normally be based upon estimated quantities and firm
unit prices agreed to between the Local Agency, the State and FHWA
in advance of the Work, as provided for in 23 CFR 635.204(c). Such
agreed unit prices shall constitute a commitment as to the value ofthe
Work to be performed.
(2) An alternative to the above is that the Local Agency may agree to
participate in the Work based on actual costs of labor, equipment
rental, materials supplies and supervision necessary to complete the
Work. Where actual costs are used, eligibility of cost items shall be
evaluated for compliance with 48 CFR Part 31.
(3) Rental rates for publicly owned equipment will be determined in
accordance with the State's Standard Specifications for Road and
Bridee Construction § 109.04.
(4) All force account work shall have prior approval of the State and/or
FHWA and shall not be initiated until the State has issued a written
notice to proceed.
D. State's obligations
The State will perform a final project inspection prior to project acceptance as a
Quality Control/Assurance activity. When all Work has been satisfactorily
completed, the State will sign the FHWA Form 1212.
2. Notwithstanding any consents or approvals given by the State for the Plans, the State
will not be liable or responsible in any manner for the structural design, details or
construction of any major structures that are designed by or aze the responsibility of
the Local Agency as identified in the Local Agency Contract Administration
Checklist, Exhibit G, within the Work of this contract.
Section 7. ROW Acquisition and Relocation {Not Applicable to this Agreement}
If Right of Way is applicable, prior to this project being advertised for bids, the Responsible
Party will certify in writing to the State that all right ofway has been acquired in accordance with
the applicable State and federal regulations, or that no additional right ofway is required.
Any acquisition/relocation activities must comply with all federal and state statutes,
regulations, CDOT policies and procedures, 49 CFR Part 24, the government wide Uniform Act
regulation, the FHWA Project Development Guide and CDOT's Right of Way Operations Manual.
Allocation of Responsibilities can be as follows:
• Federal participation in right ofway acquisition (3111 chazges), relocation (3109
charges) activities, if any, and right ofway incidentals (expenses incidental to
acquisition relocation of right of way - 3114 charges);
• Federal participation in right ofway acquisition (3111 charges), relocation (3109
Page 9 of 19
charges) but no participation in incidental expenses (3114 charges); or
• No federal participation in right ofway acquisition (3111 charges) and relocation
activities (3109 expenses).
Regardless of the option selected above, the State retains oversight responsibilities. The Local
Agency's and the State's responsibilities for each option is specifically set forth in CDOT's Right of
Way Operation Manual. The manual is located at http://www.dot.state.co.us/ROW Manual/.
Section 8. Utilities {Not Applicable to this Agreement}
If necessary, the Responsible Party will be responsible for obtaining the proper cleazance or
approval from any utility company which may become involved in this Project. Prior to this Project
being advertised for bids, the Responsible Party will certify in writing to the State that all such
clearances have been obtained.
Section 9. Railroads {Not Applicable to this Agreement}
In the event the Project involves modification of a railroad company's facilities whereby the
Work is to be accomplished by railroad company forces, the Responsible Party shall make timely
application to the Public Utilities Commission requesting its order providing for the installation of
the proposed improvements and not proceed with that part of the Work without compliance. The
Responsible Party shall also establish contact with the railroad company involved for the purpose of
complying with applicable provisions of 23 CFR 646, subpart B, concerning federal-aid projects
involving railroad facilities, including:
I. Executing an agreement setting out what work is to be accomplished and the
location(s) thereof, and that the costs ofthe improvement shall be eligible for federal
participation.
2. Obtaining the railroad's detailed estimate of the cost of the Work.
3. Establishing future maintenance responsibilities for the proposed installation.
4. Proscribing future use or dispositions of the proposed improvements in the event of
abandonment or elimination of a grade crossing.
5. Establishing future repair and/or replacement responsibilities in the event of
accidental destruction or damage to the installation.
Section 10. Environmental Obligations
The Local Agency shall perform all Work in accordance with the requirements ofthe current
federal and state environmental regulations including the National Environmental Policy Act of
1969 (NEPA) as applicable.
Section 11. Maintenance Obligations {Not Applicable to this Agreement}
The Local Agency will maintain and operate the improvements constructed under this
contract at its own cost and expense during their useful life, in a manner satisfactory to the State and
FHWA. The Local Agency will make proper provisions for such maintenance obligations each yeaz.
Such maintenance and operations shall be conducted in accordance with all applicable statutes,
Page ] 0 of 19
ordinances and regulations which define the Local Agency's obligations to maintain such
improvements. The State and FHWA will make periodic inspections of the project to verify that
such improvements are being adequately maintained.
Section 12. Federal Requirements
The Local Agency and/or their contractor shall at all times during the execution of this
contract strictly adhere to, and comply with, all applicable federal and state laws, and their
implementing regulations, as they currently exist and may hereafter be amended. The contractor
shall also require compliance with these statutes and regulations in subgrant agreements permitted
under this contract. A listing of certain federal and state laws that may be applicable are described
in Exhibit J.
Section 13. Record Keeping
The Local Agency shall maintain a complete file of all records, documents, communications,
and other written materials which pertain to the costs incurred under this contract. The Local
Agency shall maintain such records for a period of three (3) years after the date of termination of
this contract or final payment hereunder, whichever is later, or for such further period as may be
necessary to resolve any matters which may be pending. The Local Agency shall make such
materials available for inspection at all reasonable times and shall permit duly authorized agents and
employees ofthe State and FHWA to inspect the project and to inspect, review and audit the project
records.
Section 14. Termination Provisions
This contract may be terminated as follows:
A. Termination for Convenience. The State may terminate this contract at any time the State
determines that the purposes of the distribution of moneys under the contract would no longer be
served by completion ofthe project. The State shall effect such termination by giving written notice
of termination to the Local Agency and specifying the effective date thereof, at least twenty (20)
days before the effective date of such termination.
B. Termination for Cause. If, through any cause, the Local Agency shall fail to fulfill, in a timely
and proper manner, its obligations under this contract, or ifthe Local Agency shall violate any ofthe
covenants, agreements, or stipulations of this contract, the State shall thereupon have the right to
terminate this contract for cause by giving written notice to the Local Agency of its intent to
terminate and at least ten (] 0) days opportunity to cure the default or show cause why termination is
otherwise not appropriate.
In the event of termination, all finished or unfinished documents, data, studies, surveys, drawings,
maps, models, photographs and reports or other material prepared by the Local Agency under this
contract shall, at the option of the State, become its property, and the Local Agency shall be entitled
to receive just and equitable compensation for any services and supplies delivered and accepted.
The Local Agency shall be obligated to return any payments advanced under the provisions of this
contract.
Page 11 of 19
Notwithstanding the above, the Local Agency shall not be relieved of liability to the State for
any damages sustained by the State by virtue of any breach ofthe contract by the Local Agency, and
the State may withhold payment to the Local Agency for the purposes of mitigating its damages until
such time as the exact amount of damages due to the State from the Local Agency is determined.
If afrer such termination it is determined, for any reason, that the Local Agency was not in
default or that the Local Agency's action inaction was excusable, such termination shall be treated
as a termination for convenience, and the rights and obligations of the parties shall be the same as if
the contract had been terminated for convenience, as described herein.
C. Termination Due to Loss of Fundine. The parties hereto expressly recognize that the Local
Agency is to be paid, reimbursed, or otherwise compensated with federal and/or State funds which
are available to the State for the purposes of contracting for the Project provided for herein, and
therefore, the Local Agency expressly understands and agrees that all its rights, demands and claims
to compensation arising under this contract are contingent upon availability of such funds to the
State. In the event that such funds or any part thereof are not available to the State, the State may
immediately terminate or amend this contract.
Section 15. Legal Authority
The Local Agency warrants that it possesses the legal authority to enter into this contract and
that it has taken all actions required by its procedures, by-laws, and/or applicable law to exercise that
authority, and to lawfully authorize its undersigned signatory to execute this contract and to bind the
Local Agency to its terms. The person(s) executing this contract on behalf of the Local Agency
warrants that such person(s) has full authorization to execute this contract.
Section 16. Representatives and Notice
The State will provide liaison with the Local Agency through the State's Region Director, Region 3,
222 South Sixth Street, Room 317, Grand Junction, Colorado, 81501-2769. Said Region Director
will also be responsible for coordinating the State's activities under this contract and will also issue a
"Notice to Proceed" to the Local Agency for commencement of the Work. All communications
relating to the day-to-day activities for the work shall be exchanged between representatives ofthe
State's Transportation Region 3 and the Local Agency. All communication, notices, and
correspondence shall be addressed to the individuals identified below. Either party may from time
to time designate in writing new or substitute representatives.
Ifto State:
Roland Wagner
CDOT Region 3
Resident Engineer
202 Centennial
Glenwood Springs, CO 81601
If to the Local Agency:
Lynn Rumbaugh
City of Aspen
Transportation Programs Manager
130 South Galena
Aspen, CO 81611
Page 12 of 19
(970)945-8187
Section 17. Successors
(970)920-5038
Except as herein otherwise provided, this contract shall inure to the benefit ofand be binding
upon the parties hereto and their respective successors and assigns.
Section 18. Third Party Beneficiaries
It is expressly understood and agreed that the enforcement ofthe terms and conditions ofthis
contract and all rights of action relating to such enforcement, shall be strictly reserved to the State
and the Local Agency. Nothing contained in this contract shall give or allow any claim or right of
action whatsoever by any other third person. It is the express intention ofthe State and the Local
Agency that any such person or entity, other than the State or the Local Agency receiving services or
benefits under this contract shall be deemed an incidental beneficiary only.
Section 19. Governmental Immunity
Notwithstanding any other provision of this contract to the contrary, no term or condition of
this contract shall be construed or interpreted as a waiver, express or implied, of any of the
immunities, rights, benefits, protection, or other provisions ofthe Colorado Governmental Immunity
Act, § 24-10-101, et seq., C.R.S., as now or hereafter amended. The parties understand and agree
that liability for claims for injuries to persons or property azising out of negligence ofthe State of
Colorado, its departments, institutions, agencies, boards, officials and employees is controlled and
limited by the provisions of § 24-10-101, et seq., C.R.S., as now or hereafter amended and the risk
management statutes, §§ 24-30-1501, et seq., C.R.S., as now or hereafter amended.
Section 20. Severability
To the extent that this contract may be executed and performance ofthe obligations ofthe
parties may be accomplished within the intent of the contract, the terms of this contract aze
severable, and should any term or provision hereof be declared invalid or become inoperative for
any reason, such invalidity or failure shall not affect the validity of any other term or provision
hereof.
Section 21. Waiver
The waiver of any breach of a term, provision, or requirement ofthis contract shall not be
construed or deemed as a waiver of any subsequent breach of such term, provision, or requirement,
or of any other term, provision or requirement.
Section 22. Entire Understanding
This contract is intended as the complete integration of all understandings between the
parties. No prior or contemporaneous addition, deletion, or other amendment hereto shall have any
force or effect whatsoever, unless embodied herein by writing. No subsequent novation, renewal,
addition, deletion, or other amendment hereto shall have any force or effect unless embodied in a
Page 13 of 19
writing executed and approved pursuant to the State Fiscal Rules.
Section 23. Survival of Contract Terms
Notwithstanding anything herein to the contrary, the parties understand and agree that all
terms and conditions ofthis contract and the exhibits and attachments hereto which may require
continued performance, compliance or effect beyond the termination date of the contract shall
survive such termination date and shall be enforceable by the State as provided herein in the event of
such failure to perform or comply by the Local Agency.
Section 24. Modification and Amendment
This contract is subject to such modifications as may be required by changes in federal or
State law, or their implementing regulations. Any such required modification shall automatically be
incorporated into and be part ofthis contract on the effective date of such change as if fully set forth
herein. Except as provided above, no modification ofthis contract shall be effective unless agreed to
in writing by both parties in an amendment to this contract that is properly executed and approved in
accordance with applicable law.
Section 25. Option Letters
Option Letters may be used to extend Agreement term, change the level of service within the current
teen due to unexpected overmatch, add a phase without increasing contract dollazs, or increase or
decrease the amount of funding. These options are limited to the specific scenarios listed below.
The Option Letter shall not be deemed valid until signed by the State Controller or an authorized
delegate.
Following are the applications for the individual options under the Option Letter form:
Option 1 -Option to extend or renew (this option applies to Highway and Signal maintenance
contracts only). In the event the State desires to continue the Services and a replacement
contract has not been fully approved by the termination date ofthis contract, the State, upon
written notice to Contractor, may unilaterally extend this contract for a period of up to one (1)
year. The contract shall be extended under the same terms and conditions as the original
contract, including, but not limited to prices, rates and service delivery requirements. This
extension shall terminate at the end of the one (1) year period or when the replacement contract
is signed by the Colorado State Controller or an authorized delegate.
The State may exercise this option by providing a fully executed option to the contractor,
within thirty (30) days prior to the end ofthe current contract term, in a form substantially equivalent
to Exhibit F. Ifthe State exercises this option, the extended contract will be considered to include
this option provision. The total duration ofthis contract, including the exercise of any options under
this clause, shall not exceed five (5) years.
Option 2 -Level of service chanee within current term due to unexpected overmatch in an
overbid situation only. In the event the State has contracted all project funding and the Local
Page 14 of 19
Agency's construction bid is higher than expected, this option allows for additional Local
Overmatch dollars to be provided by the Local Agency to be added to the contract. This option
is only applicable for Local Overmatch on an overbid situation and shall not be intended for any
other Local Overmatch funding.
The State may unilaterally increase the total dollars of this contract as stipulated by the executed
Option Letter (Exhibit F), which will bring the maximum amount payable under this contract
to the amount indicated in Exhibit C-1 attached to the executed Option Letter (future changes to
Exhibit C shall be labeled as C-2, C-3, etc, as applicable). Performance of the services shall
continue under the same terms as established in the contract. The State will use the Financial
Statement submitted by the Local AQencv for "Concurrence to Advertise " as evidence o(the
Local Agencv's intent to award and it will also provide the additional amount required to
exercise this option. If the State exercises this option, the contract will be considered to include
this option provision.
Option 3 - Option to add overlapping phase without increasing contract dollars. The State may
require the contractor to begin a phase that may include Design, Construction, Environmental,
Utilities, ROW Incidentals or Miscellaneous (this does not apply to Acquisition/Relocation or
Railroads) as detailed in Exhibit A and at the same terms and conditions stated in the original
contract with the contract dollars remaining the same. The State may exercise this option by
providing a fully executed option to the contractor within thirty (30) days before the initial targeted
start date of the phase, in a form substantially equivalent to Exhibit F. If the State exercises this
option, the contract will be considered to include this option provision.
Option 4 - To update fundine (increases and/or decreases) with a new Exhibit C. This option
can be used to increase and/or decrease the overall contract dollars (state, federal, local match,
local agency overmatch) to date, by replacing the original funding exhibit (Exhibit C) in the
Original Contract with an updated Exhibit C-1 (subsequent exhibits to Exhibit C-1 shall be
labeled C-2, C-3, etc).
The State may have a need to update changes to state, federal, local match and local agency
overmatch funds as outlined in Exhibit C- 1, which will be attached to the option form. The State
may exercise this option by providing a fully executed option to the contractor within thirty (30)
days after the State has received notice of funding changes, in a form substantially equivalent to
Exhibit F.
If the State exercises this option, the contract will be considered to include this option provision.
Section 26. Disadvantaged Business Enterprise (DBE)
The Local Agency will comply with all requirements of Exhibit E and the Local Agency
Contract Administration Checklist regarding DBE requirements for the Work, except that if the
Local Agency desires to use its own DBE program to implement and administer the DBE provisions
of 49 CFR Part 26 under this contract, it must submit a copy of its program's requirements to the
State for review and approval before the execution of this contract. If the Local Agency uses its
program for this contract, the Local Agency shall be solely responsible to defend that DBE program
and its use of that program against all legal and other challenges or complaints, at its sole cost and
Page 15 of 19
expense. Such responsibility includes, without limitation, determinations concerning DBE
eligibility requirements and certification, adequate legal and factual bases for DBE goals and good
faith efforts. State approval (if provided) of the Local Agency's DBE program does not waive or
modify the sole responsibility of the Local Agency for its use as described above.
Section 27. Disputes
Except as otherwise provided in this contract, any dispute concerning a question of fact
arising under this contract which is not disposed of by agreement, will be decided by the Chief
Engineer ofthe Department ofTransportation. The decision ofthe Chief Engineer will be final and
conclusive unless, within 30 calendar days after the date of receipt of a copy of such written
decision, the Local Agency mails or otherwise furnishes to the State a written appeal addressed to
the Executive Director of the Department of Transportation. In connection with any appeal
proceeding under this clause, the Local Agency shall be afforded an opportunity to be heard and to
offer evidence in support of its appeal. Pending final decision of a dispute hereunder, the Local
Agency shall proceed diligently with the performance of the contract in accordance with the Chief
Engineer's decision. The decision of the Executive Director or his duly authorized representative
for the determination of such appeals will be final and conclusive and serve as final agency action.
This dispute clause does not preclude consideration ofquestions oflaw in connection with decisions
provided for herein. Nothing in this contract, however, shall be construed as making final the
decision of any administrative official, representative, or board on a question of law.
Section 28. Single Audit Act Ameodmeut
All state and local government and non-profit organization Sub-Grantees receiving more than
$500,000 from all funding sources, that are defined as federal financial assistance for Single Audit Act
Amendment purposes, shall comply with the audit requirements of OMB Circular A-133 (Audits of
States, Local Governments and Non-Profit Organizations) see also, 49 CFR 18.20 through 18.26. The
Single Audit Act Amendment requirements that apply to Sub-Grantees receiving federal funds are as
follows:
a) Ifthe Sub-Grantee expends less than $500,000 in Federal funds (all federal sources, not just
Highway funds) in its fiscal year then this requirement does not apply.
b) If the Sub-Grantee expends more than $500,000 in Federal funds, but only received federal
Highway funds (Catalog of Federal Domestic Assistance, CFDA 20.205) then a program specific
audit shall be performed. This audit will examine the "financial" procedures and processes for
this program area.
c) If the Sub-Grantee expends more than $500,000 in Federal funds, and the Federal funds are
from multiple sources (FTA, HUD, NPS, etc.) then the Single Audit Act applies, which is an
Page 16 of 19
audit on the entire organization entity.
d) Single Audit can only be conducted by an independent CPA, not by an auditor on staff.
e) An audit is an allowable direct or indirect cost.
Page 17 of 19
Section 29. I SPECIAL PROVISIONS
The Special Provisions apply to all contracts except where noted in italics.
L CONTROLLER'S APPROVAL. CRS 424-70.202(1). This contract shall not be valid until it has been approved by the Colorado State Conhollm m designee.
2. FUND AVAILABILITY. CRS Q2LJ0.202(5.5). Financial obligations of the Sra1e payable after Ne curtest fiscal year are conangrn[ upon funds for Nat purpose being appropsa[eQ
budgeted, and otherwise made available.
3. GOVERNMENTAL IMMUMTY. No term or condition of this wntrad shall be conswed or inmryreted es a waiver, express or implied, ofany ofthe immunises, rights, benefits,
protections, or oNtt provisions, oCNe Colorado Govemmrntal Immunity Act, CRS $24-10-101 et seq., or the Federal Tort Claims Act, 28 USC. §§ 1346(b) and 2671 et seq., as applicable now
or htteefler amended
4. INDEPENDENT CONTRACTOR Contractor shall perform its doses hereundtt as en indeprndrn[ contractor and not as en employee. Neither Contractor nor any agrnt or employee of
Contractor shall be deemed to be an agent or employee of the State. Contractor and its employees and egen6 are not entitled to unemployment insurance or worktts compensaion benefits
through the State and the State shall not pay for or otherwise provide such coverage for Contractor or any of its agrnts or employees. Unemploymrn[ insurance benefits will be available to
Contractor and its employees and agents only if such wverage is made available by Contractor or a Ntrd party. Contractor shall pay when due all applicable employment taxes and income tares
end local head taxes Ncurted pmsuan[ to this contract Contracmr shall not have authodzason, express or implied to bind the State to any agreemenS liability or undttstanding, except as
expressly set forth httein. Contractor shall (a) provide and keep in tome workers' wmpensason and unemployment compensation insurance in the amounts required by law, (b) provide proof
Nereofwhrn requested by Ne Smte, and (c) be solely responsible for ib acts end Nose ofits employees end agents.
5. COMPLIANCE WITH LAW. Contractor shall strictly comply wiN all applicable federal and State laws, rates and regulazions m eRed or hereaRtt established, including, without
limitation, laws applicable m discandnation and unfair employment practices.
b. CHOICE OF LAW. Colorado law, and rates and regulasons issued pursuant Hereto, shall be applied in the interpretasoq ezecutioq and enforcement of Nis contred. Any provision
included or incorporated herein by reference which conflicts wiN said laws, rates, and regulations shall be null and void. Any provision incorporated herein by refernce which puryorts to
negaze Nis or any other Special Provision vs whole or in par[ shall not be valid m rnforceeble or available in any action m law, whether by way ofcomplain4 defense, m otherwise. Any
provision rendered null and void by Ne operation of Nis provision shall nm invalidate [he remainder of Ws contract, to Ne extent capable of execution.
7. BINDING ARBITRATION PROHIBITED. The grate of Colorado does not agree m binding arbitreson by any extra-judicial body or person. Any provision m Ne contrary in Nis
contact m incoryorated herein by referrnce shall be null and void.
8. SOFTWARE PIRACY PROHIBITION. Governor's Executive Order D 002 00. State or othtt public funds payable under Nis contract shall not be used for Ne acquisition, operazion,
or maintenance ofwmputer software in violation of fedttal copyright laws or applicable licensing restrictions Contractor hereby rrtifies end warrants Nat, timing Ne term of[his contract and
any eztrnsion; Contractor has and shall maintain in place appropriate systems and controls to prevent such improper use of public funds. if the Stae detemanes Naz Contractor is in violation of
Nis provision, Ne Stare may exercise any remedy available e[ law or in equity or under W s contreIX, including, without limitation, immediate terrranation of Nis contract and any remedy
consistrnt wiN federal wpyright laws or applicable licensing restricions.
9. EMPLOYEE FINANCIAL INTEREST/CONFLICT OFINTEREST.CRS§§2L1&201 and 24-54507. The signazones aver Nat to Neirknowledge, no employee ofthe State has
any personal or beneficial interest whetscevtt in Ne service or property described in tltis contract Contractor has no interest and shall not ecquhe any interest direct or indhecL Net would
conflict in any manner or degree wiN Ne performance of Contractor's services and Contracmr shall not employ any person having such known interests.
]0. VENDOR OFFSET.CRS§424-]0.202 (f)und 24-}0.202.4 (NorApplicab/erotnrergovernmenla/agreemmrs)Subjed to CRS §24-30.202.4(3.5), Ne S[e[e Controller may widdsold
peymrnt undtt Ne State's vendor offset in[ttrxpt ryslem for debts owed ro State agencies for'. (a) unpaid child support debts or child support ameareges; (b) unpaid balances of tax, eccmed
mtttesl, or other charges specified m CR$ §3&21-IOI, e[ seq.; (c) unpaid loans due to Ne Smdrnt Loan Division ofthe Dryarhnrnt of Higher Education; (d) amounts required to be paid m Ne
Unemployment Compensason Fund; and (e) oNer unpaid debts owing m the State as a result of final agenry determination orjudicial action.
11. PUBLIC CONTRACTS FOR SERVICES.CRS§&17.Sf01.(ASOtAppllubleroagrsemenfs relating fo the oBar,issuance, orsNe o/secudtbs, Invtutmenf advlaory
aervlces or /undmanagemant serviees, sponaoredpro/acts, InNrgovemmental agreamanb, or7n/ormagon feehndogyservIces or products andseMcea/ CantraIXOr
certifies, wamanfs, andagrees that if dcesnot knowinglyomdoy orcanbact with an illegal alien who willpedorm work underdd'sconhact antl will confirm the employment e/igibiliryo/
a subcontraCtorthaf /ails to certHyM Contractorthat the subcentredwshell not knowingly emdoyorconbactwith anillegal alien to peform wodc undertMs contract. ConfreGOr(e)
shall not use E-Veri/yProgrem orDepartmentprogram procetlures Mundertakepreemployment screening o/job apWicents while this contredisbeing perfomred, (bJ shell noalythe
subcontredor and the cenfrech'ng State agency within thine days d Contrecfor has actual knowletlge that a subcontredoris employing orcentrerXing wiM an illegal alien /or work
underNis contrect, (e/ shall terminate the subcenfrect i/a subcontrecfordoes notstop employing orcontrecb'ng with the illegal alienwithin fhreedays o/receiNngfhe notice, and(d)
shall comply with reasonable requests made in the course o/an inveskgefion, undertakenpursuent to CRS§&17.5102(5/, byfhe Cdoredo Departrrrenf ofLeborandEmployment. l/
ContrectorpaN'cipates inthe Department progrem, Confrectorshall tleliverb the centrecfing State agency, InsOtufion o/HigherEducebon apoAfice/ subr9'wson a wdffen, notadzed
elfirmafion, affimting that Contractor has examined the legal work status oI such employee, and shall comply with ell o/ the other requirements of the Depadmanf program. If
Contrector/ails to comply with anyrequirement o/fhis provision orCRS §&f 7.S70f of seq., the conhacting State agency, institution o/highereducation orpo/tica/ subdivision may
terminate thiscontract /orbreach and, i/so terminated, Contrector shall be liable lordamages.
12. PUBLIC CONTRACTS WITH NATURAL PERSONS.CRS§24-76.SI01. Contradoq ifa natural person eigharn(Ig)years ofage or older, hereby swears and nBhrrw under
penalty ofpmjury Net he m she (a) is a citrzen or otherwise lawfully presrnt in Ne United States pursuant to federal few, (b) shall comply wiN Ne provisions DECKS §24-76.5-I01 et seq.,
and (c) has produced one form of identification required by CRS ¢24-76.5-I03 prior to Ne effective date of this contract.
Revised 1-1-09
Page 18 of 19
THE PARTIES HERETO HAVE EXECUTED THIS CONTRACT
LOCAL AGENCY:
Citv of Asoen
Legal Name of Contracting Entity
2000009
CDOT Veudor Number
Signature of Authorized Officer
Print Name & Title of Authorized Officer
LOCAL AGENCIES:
(A Local Agency attestation is required.)
By
STATE OF COLORADO:
BILL BITTER, JR. GOVERNOR
Executive Director
Department of Transportation
LEGAL REVIEW:
JOHN W. SUTHERS
ATTORNEY GENERAL
By
Attest (Seal) By
(Town/City/County Clerk) (Place Agency seal here, if available)
ALL CONTRACTS MUST BE APPROVED BY THE STATE CONTROLLER
CRS 24-30-202 requires that the State Controller approve all state contracts. This contract is not valid until the State
Controller, or such assistant as he may delegate, has signed it. The contractor is not authorized to begin performance
until the contract is signed and dated below. If performance begins prior to the date below, the State of Colorado
may not be obligated to pay for the goods and/or services provided.
STATE CONTROLLER:
DAVID J. MC DERMOTT, CPA
Date
Page 19 of 19
Exhibit A
FORM 463
or
SCOPE OF WORK
Page I of 19
Exhibit B
LOCAL AGENCY
ORDINANCE
or
RESOLUTION
EXIIIBITC FUNDING.PROVISIONS',
A. The Local Agency has estimated the total cost the Work to be $44,000.00 which is to be
funded as follows:
1 BUDGETED FUNDS
a. Federal Funds $36,429.00
(82.79% of Participating Costs)
b. Local Agency Matching Funds $7,571.00
(17.21% of Participating Costs)
Local Agency Matching for CDOT -
c. Incurred Non-Participating Costs $0.00
(Including Non-Participating Indirects)
TOTAL BUDGETED FUNDS $44,000.00
2 ESTIMATED CDOT-INCURRED COSTS
a. Federal Share $0.00
(82.79% of Participating Costs)
b. Local Share
Local Agency Share of Participating Costs $0.00
Non-Participating Costs (Including Non-
participating Indirects) $0.00
Estimated to be Billed to Local Agency $0.00
TOTAL ESTIMATED CDOT-INCURRED COSTS $0.00
3 ESTIMATED PAYMENT TO LOCAL AGENCY
a. Federal Funds Budgeted (1a) $36,429.00
b. Less Estimated Federal Share of CDOT-Incurred Costs (2a) $0.00
TOTAL ESTIMATED PAYMENT TO LOCAL AGENCY $36,429.00
FOR CDOT ENCUMBRANCE PURPOSES
Total Encumbrance Amount
(82.79% of $36,429.00 )
$36,429.00
Local Agency Matching Funds (1b) $25,815.00
Net to be encumbered as follows:
WBS Element 17336.10.50 Misc. 3404 $aa,ooo.oo
Exhibit C -Page 1 of 2
B. The matching ratio for the federal participating funds for this project is 82.79% federal-aid
funds (CFDA #20 2050) to 17.21 % Local Agency funds, it being understood that such ratio
applies only to the $44,000.00 that is eligible for federal participation, it being further
understood that all non-participating costs are borne by the Local Agency at 100%. If the
total participating cost of performance of the Work exceeds $44,000.00, and additional
federal funds are made available for the project, the Local Agency shall pay 17.21% of all
such costs eligible for federal participation and 100% of all non-participating costs; if
additional federal funds are not made available, the local agency shall pay all such excess
costs. Ifthe total participating cost of performance of the Work is less than $44,000.00, then
the amounts of Local Agency and federal-aid funds will be decreased in accordance with the
funding ratio described herein. The performance of the Work shall be at no cost to the State.
C. The maximum amount payable to the Local Agency under this contract shall be $36,429.00
(For CDOT accounting purposes, the federal funds of $36,429.00 and local matching funds
of $7,571.00 will be encumbered for a total encumbrance of $44,000.00), unless such
amount is increased by an appropriate written modification to this contract executed before
any increased cost is incurred. It is understood and agreed by the parties hereto that the total
cost of the Work stated hereinbefore is the best estimate available, based on the design data
as approved at the time of execution ofthis contract, and that such cost is subject to revisions
(in accord with the procedure in the previous sentence) agreeable to the parties prior to bid
and award.
D. The parties hereto agree that this contract is contingent upon all funds designated for the
project herein being made available from federal and/or state and/or Local Agency sources,
as applicable. Should these sources, either federal or Local Agency, fail to provide
necessary funds as agreed upon herein, the contract may be terminated by either party,
provided that any party terminating its interest and obligations herein shall not be relieved of
any obligations which existed prior to the effective date of such termination or which may
occur as a result of such termination.
Exhibit C -Page 2 of 2
Exhibit D
EXHIBIT D
Certification for Federal-Aid Contracts
The contractor certifies, by signing this contract, to the best of its knowledge and belief, that:
1. No Federal appropriated funds have been paid or will be paid, by or on behalf or the
undersigned, to any person for influencing or attempting to influence an officer or employee of any
Federal agency, a Member of Congress, an officer or employee of Congress, or an employee of a
Member of Congress in connection with the awazding of any Federal loan, the entering into of any
cooperative agreement, and the extension, continuation, renewal, amendment, or modification of any
Federal contract, grant, loan, or cooperative agreement.
2. If any funds other than Federal appropriated funds have been paid or will be paid to any
person for influencing or attempting to influence an officer or of Congress, or an employee of a
Member ofCongress in connection with this Federal contract, grant, loan, or cooperative agreement,
the undersigned shall complete and submit Standard Form-LLL, "Disclosure Form to Report
Lobbying," in accordance with its instructions.
This certification is a material representation of fact upon which reliance was placed when this
transaction was made or entered into. Submission ofthis certification is a prerequisite for making or
entering into this transaction imposed by Section 1352, Title 31, U.S. Code. Any person who fails to
file the required certification shall be subject to a civil penalty of not less than $10,000 and not more
than $100,000 for each such failure.
The prospective participant also agree by submitting his or her bid or proposal that he or she shall
require that the language of this certification be included in all lower tier subcontracts, which exceed
$100,000 and that all such sub-recipients shall certify and disclose accordingly.
Required by 23 CFR 635.112
Exhibit D -Page 1 of 1
Exbibit E
DISADVANTAGED BUSINESS ENTERPRISE (DBE)
SECTION 1. Policv.
It is the policy of the Colorado Department of Transportation (CDOT) that disadvantaged business
enterprises shall have the maximum opportunity to participate in the performance of contracts
financed in whole or in part with Federal funds under this agreement, pursuant to 49 CFR Part 23.
Consequently, the 49 CFR Part IE DBE requirements the Colorado Department of Transportation
DBE Program (or a Local Agency DBE Program approved in advance by the State) apply to this
agreement.
SECTION 2. DBE Obli atg ion.
The recipient or its contractor agrees to ensure that disadvantaged business enterprises as determined
by the Office of Certification at the Colorado Department of Regulatory Agencies have the maximum
opportunity to participate in the performance of contracts and subcontracts financed in whole or in
part with Federal funds provided under this agreement. In this regazd, all participants or contractors
shall take all necessary and reasonable steps in accordance with the CDOT DBE program (or a Local
Agency DBE Program approved in advance by the State) to ensure that disadvantaged business
enterprises have the maximum opportunity to compete for and perform contracts. Recipients and
their contractors shall not discriminate on the basis of race, color, national origin, or sex in the award
and performance ofCDOT assisted contracts.
SECTION 3 DBE Program.
The contractor (sub-recipient) shall be responsible for obtaining the Disadvantaged Business
Enterprise Program of the Colorado Department of Transportation, 1988, as amended, and shall
comply with the applicable provisions of the program. (If applicable).
A copy of the DBE Program is available from and will be mailed to the contractor upon request:
Business Programs Office
Colorado Department of Transportation
4201 East Arkansas Avenue, Room 287
Denver, Colorado 80222-3400
Phone: (303)757-9234
revised 1/22/98 Required by 49 CFR Part 23.41
Exhibit E -Page 1 of 1
Exhibit F
SAMPLE IGA OPTION LETTER
NOTE: This option is limited to the specfic contract scenarios listed below AND cannot be used in place of exercising a formal
amendment.
Date: State Fiscal Year: Option Letter No. CLIN Routing #
Contractor /Local Agency:
A. SUBJECT: (Choose applicable options listed below AND in section 8 and delete the rest)
1. Option to renew (for an additional term) applies to Highway and Signal maintenance
contracts ONLY; this renewal
cannot be used to make any change to the original scope of work;
2. Level of service change within current term due to an unexpected Local overmatch on an overbid
situation ONLY;
3. Option to add phasing to include Design, Construction, Environmental, Utilities, ROW incidentals or
Miscellaneous ONLY (does not apply to Acquisition/Relocation or Railroads);
4. Option to update funding (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, C3, C-4, etc.)
B. REQUIRED PROVISIONS. All Option Letters shall contain the appropriate provisions set
forth below:
(Insert the following languaste for use with Options #11:
In accordance with Paragraph(s) of contract routing number (insert FY Aoencv code. &CLIN
routin # ,between the State of Colorado, Department of Transportation, and (insert contractor's name) the
state hereby exercises the option for an additional term of (insert Dertormance period here) at a cosUprice
specified in Paragraph/Section/Provision ofthe original contract, AND/OR an increase in
the amount ofgoods/services at the same rate(s) as specified in Paragraph of the
original contract.
(Insert the following language for use with Option #21:
In accordance with the terms of the original contract (insert FY Aoencv code &CLIN routino #) between the
State of Colorado, Department of Transportation and (insert contractor's name here), the State hereby
exercises the option to record a level of service change due to unexpected overmatch dollars due to an
overbid situation. The contract is now increased by (indicate additional dollars here) specified in
Paragraph/Section/Provision of the original contract.
(Insert the following lanauaae for use with Option #31:
In accordance with the terms of the original contract (insert FY Aoencv code & CL/N routino #) between the
State of Colorado, Department of Transportation and (insert contractor's name here), the State hereby
exercises the option to add an overlapping phase in (indicate Fiscal Year here) that will include describe
which phase will be added and include all that cooly -Design Construction Environmental Utilities ROW
incidentals or Miscellaneous). Total funds for this contract remain the same (indicate total dollars here) as
referenced in Paragraph/Section/Provision/Exhibit of the original contract.
(Insert the following lanauaae for use with Option #41:
In accordance with the terms of the original contract (insert FY, Aoencv code &CLIN routino #)
between the State of Colorado, Department of Transportation and (insert contractor's
name here), the State hereby exercises the option to update funding based on changes
from state, federal, local match and/or local agency overmatch funds. The contract is now
(select one: increased and/or decreased) by (insert dollars here) specified in Paragraph/-
Section/-Provision/Exhibit of the original contract. Anew Exhibit C-1 is
made part of the original contract and replaces Exhibit C. (The following is a NOTE only
so please delete when using this option: future changes for this option for Exhibit C shall
be labeled as follows: C-2, C-3, C-4, etc.)
Exhibit F -Page 1 of 2
Exbibit F
The following lanauaae must be included on all options
The amount of the current Fiscal Year contract value is (increased/decreased) by ($ amount of change) to a
new contract value of ($ ) to satisfy services/goods ordered under the contract for the current
fiscal year (indicate Fiscal Year). The first sentence in Paragraph/Section/Provision is hereby
modified accordingly.
The total contract value to include all previous amendments, option letters, etc. is ($ ).
The effective date of this Option Letter is upon approval of the State Controller or delegate, whichever is
later.
APPROVALS:
For the Contractor /Local Aaencv
Legal Name of Contractor / Local Agency
By:
Print Name of Authorized Individual
Signature:
Date:
Title: Official Title of Authorized Individual
State of Colorado:
Bill Ritter, Jr., Governor
gy; 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 Contract 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 Contractor begins performing prior thereto, the State of
Colorado is not obligated to pay Contractor for such pertormance or for any goods and/or services
provided hereunder.
State Controller
David J. McDermott, CPA
By:
Date:
Issuance date: July 1, 2008
Exhibit F -Page 2 of 2
Exhibit G
LOCAL AGENCY
CONTRACT ADMINISTRATION
CHECKLIST
Exhibit G
Exhibit H
THE LOCAL AGENCY SHALL USE THESE PROCEDURES TO IMPLEMENT FEDERAL-AID
PROJECT AGREEMENTS WITH PROFESSIONAL CONSULTANT SERVICES
Title 23 Code of Federal Regulations (CFR) 172 applies to a federally funded local agency project agreement
administered by CDOT that involves professional consultant services. 23 CFR 172.1 states "The policies and procedures
involve federally funded conVac[s for engineering and design related services for projects subjectto [he provisions of23
U.S.C. 112(a) and aze issued to ensure that a qualified consultant is obtained through an equitable selection process, that
prescribed work is properly accomplished in a timely manner, and at fair and reasonable cost" and according [0 23 CFR
172.5 "Price shall no[ be used as a factor in the analysis and selection phase." Therefore, local agencies must comply
with these CFR requirements when obtaining professional wnsul[an[ services under a federally funded consultant
contract administered by CDOT.
CDOT has formulated its procedures in Procedural Directive (P.D.) 400.1 and the related operations guidebook titled
"Obtaining Professional Consultant Services". This directive and guidebook incorporate requirements from both Federal
and State regulations, i.e., 23 CFR 172 and Colorado Revised Statute (C.R.S.) 24-30-1401 et seq. Copies ofthe 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 forma[ 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 inconformity with the requirements ofC.R.S. 24-30-1405.
The public notice period, when such notice is required, is a minimum of 15 days prior to the selection ofthe three
most qualified firms and the advertising should be done in one or more daily newspapers of general circulation.
4. The request for consultant services should include the scope of work, the evaluation factors and [heir relative
importance, the method of payment, and the goal of [en percent (10%) for Disadvantaged Business Enterprise
(DBE) participation as a minimum for the project.
5. The analysis and selection of the consultants should be done in accordance with C.R.S. 24-30-1403. This section
of [he regulation identifies [he criteria to be used in the evaluation of CDOTpre-qualified prime consultants and
their team. It also shows which criteria are used to short-list and [o make a final selection.
The short-list is based on the following evaluation factors:
a. Qualifications,
b. Approach to the project,
c. Ability [o famish professional services.
d. Anticipated design concepts, and
e. Alternative methods of approach for famishing the professional services.
Evaluation factors for final selection are the consultant's:
a. Abilities of [heir personnel,
b. Pas[ performance,
Exhibit H -Page 1 of 2
Exhibit H
c. Willingness to meet [he time and budge[ requirement,
d. Location,
e. Current and projected work load,
L Volume of previously awarded contracts, and
g. Involvement of minority consultants.
6. Once a consultant is selected, [he 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 wn[racts expected [o be greater
than $50,000. Federal reimbursement for costs are limited to those costs allowable under the cos[ 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. Profs[ is in the range of six (6) to fifteen (I S) percent of the total direct and indirect
costs.
7. A qualified local agency employee shall be responsible and in charge of the project to ensure that the work being
pursued is complete, accurate, and consistent with [he terms, conditions, and specifications ofthe contract. A[ the
end of project, the local agency prepares a performance evaluation (a CDOT form is available) on the consultant.
8. Each of the steps listed above is to be documented in accordance with the provisions of 49 CFR 18.42, which
provide for records to be kept at least three (3) years from the date that the local agency submits its final
expenditure report. Records of projects under litigation shall be kept at least three (3) years after the case has
been settled.
The C.R.S. 24-30-1401 through 24-30-1408, 23 CFR Part 172, and P.D. 400.1, provide additional details for complying
with the eight (8) stepsjust discussed.
Exhibit H -Page 2 of 2
Exhibit I
FHWA Form 1273
REQUIRED CONTRACT PROVISIONS
FEDERAL-AID CONSTRUCTION CONTRACTS
FH WA~1273 Electronic version - Mertl1 10, 1890
I. General ...................................................................
II. Nondiscdmination ...................................................
III. Non-segregated FaGlhies .......................................
IV. Payment of Predetermined Minimum Wage ...........
V. Statements and Payrolls .........................................
VI. Record of Materials, Supplies, and Labor ...............
VII. Subletting or Assigning the Contract .......................
VIII. Safety: Accident Prevention ...................................
IX. False Statements Concerning Highway Projects....
X. Implementation of Clean Air AG and Federal
Water Pollution Control AG .....................................................
XI. Certification Regarding Debarment, Suspension,
Ineligibility, and Voluntary Exclusion .......................................
XII. Certification Regarding Use of Contrct Funds for
Lobbying ..................................................................................
ATTACHMENTS
A. EmploymentPreference for Appalachian Contrects
(Included in Appalachian contrects onty)
I. GENERAL
1. These centreG provisions shall appty to all work periormetl
on the wn1reG by the centrector's own organization and with the
assistance of workers untler the contractor's immediate supedn-
tendenceand toallwork performed on the contract by piecework,
slafion work, or by subwntreG.
2. Except as otherwise provided for in each section, the
contractor shall insert in each subcentraG all of the stipulations
wnlainetl in these Required ContreG Provisions, and further
require their inclusion in any lower tier subcentraG or purchase
order that may in firm be made. The Required ContreG Provi-
sions shall not be incorporated by reference in any case. The
prime contractor shall be responsible for compliance by any
subconiraGor or lower tier subcentrector with these Required
Contrct Provisions.
3. A breach of any of the stipulations contained in these
Requiretl Contract Provisions shall be sufficient grounds for
termination of the coniraG.
4. A breach of the following clauses of the Required Contract
Provisions may also be grountls for debarment as provided in 29
CFR 5.12:
Section I, paragraph 2;
Section IV, paragraphs 1, 2, 3, 4, antl 7;
Section V, paragraphs 1 and 2a through 2g.
5. Disputes adsing out of the labor standards provisions of
Section IV (except paregreph 5) and Section V ofthese Requiretl
ContreG Provisions shall not be subject to the general disputes
Cause ofthis wntreG. Such disputes shall beresoNed in accor-
dancewith the procedures oithe U.S. Department of Labor (DOL)
as set forth in 29 CFR 5, 6, and 7. Disputes within the meaning of
this clause include disputes between the contractor (or any of its
subcontractors) and the contrecting agency, the DOL, or the
centrectoYS employees or their representatives.
1 6. Selection of Labor: During the pertormance of this con-
1 tract, the contractor shall not:
3
3 a. discriminate against labor from any other State, posses-
6 Sion, or terdtory of the United States (except for employment
8 preference for Appalachian contrects, when applicable, as
7 specified in Attachment A), or
7
7 b. employ convict labor for any purpose within the limits of
the project unless it is labor pertormed by convicts who are on
8 parole, supervised release, or probation.
8 II. NONDISCRIMINATION
(Applicable to all Federal-aitl censtmction centrects and to all
related subcontracts of $10,000 or more.)
1. Equal Employment Opportunity: Equal employment
opportunity (EEO) requirements not to discriminate and to take
affirmative action to assure equal opportunity as set forth under
laws, executive orders, rules, regulations (28 CFR 35, 29 CFR
1630 and 41 CFR 60) and orders of the Secretary of Labor as
modified by the provisions prescribed herein, and imposed
pursuant l0 23 U.S.C. 140 shall constitute the EEO and specific
affirmative action standards for the wntrector's projeG activities
under this contract The Equal Opportunity ConshuGion ContreG
Specifications set forth under 41 CFR 60.3 and the provisions of
the American Disabilities Act of 1990 (42 U.S.C. 12101 el ~.)
set forth under 28 CFR 35 and 29 CFR 1630 are incorporated by
reference in this centrect. In the execution of this contract, the
contractor agrees to comply with the following minimum specific
requirement activities of EEO:
a. The contractor will work with the Stale highway agency
($HA) and the Federal Government in carrying out EEO obliga-
tions and in their review of his/her activities under the contract.
b. The centrector will accept as his operating policy the
following statement:
"It is the policy of this Company to assure that applicants are
employed, and that employees are treated dudng employ-
ment, without regard to their race, religion, sex, color,
national origin, age or disability. Such action shall include:
employment, upgrading, demotion, or transfer; recruitment or
recruitment advertising; layoff or termination; rates of pay or
other forms of compensation; and selection for training,
inGUding apprenticeship, pre-apprenticeship, antl/or
on-the-job training:'
2. EEO Officer: The contractor will designate and make
known to the SHA wntrecting officers an EEO Officer who will
have the responsibility for and must be capable of effectively
administering and promoting an active contraGOr program of EEO
and who must be assigned adequate authority and responsibility
to do so.
3. Dissemination of Poliey: All members of the contractor's
staff who are authorized to hire, supervise, promote, and
tlischarge employees, orwho recemmend such action, or whotire
Exhibit I -Page 1 of 9
substantially involved in such action, will be made fully cognizant
of, and will implement, the contractor's EEO policy and
contractual responsibilities to provide EEO in each grade and
classification of employment. To ensure that the above
agreement will be met, the following actions will be taken as a
minimum:
a. Periodic meetings of supervisory antl personnel office
employees will be conducted before the start of work and then not
less often than once every six months, at which time the centract-
or's EEO policy and its implementation will be reviewetl and
explained. The meetings will be conducted by the EEO Officer.
b. All new supervisory or personnel office employees will be
given a thorough indoctrination by the EEO Officer, cevering all
major aspects of the centractor's EEO obligations within thirty
days following their reporting for duty with the contractor.
c. All personnel who are engaged in tlirect recruitment for
the project will be instrocted by the EEO Officer in the centractor's
procedures for locating and hiring minority group employees.
d. Notices and posters setting forth the contractor's EEO
policy will be placetl in areas readily aaessible to employees,
applicants for employment and potential employees.
e. The contractor's EEO policy and the procedures to
implement such policy will be brought to the attention otemploy-
ees by means of meetings, employee handbooks, or other
appropriate means.
4. Recruitment: When advertising for employees, the
contractor will include in all advertisements for employees the
notation: "An Equal Opportunity Employer." All such
advertisements will be placed in publications having a large
circulation among minority groups in the area from which the
project work tome would normally be derived.
a. The cenVactor will, unless precluded by a valid bargain-
ing agreement, conduct systematic and direct recruitmentthrough
public and private employee refertal sources likely to yield
qualified minority group applicants. To meet this requirement, the
contractor will identify sources of potential minority group
employees, antl establish wkh such identifed sources procedures
whereby minority group applicants may be referred to the
contractor for employment consideration.
b. In the event the contractor has a valid bargaining agree-
mentproviding for exclusive hiring hall referrals, he is expected to
observe the provisions of that agreement to the extent that the
system permits the contractor's compliance with EEO contract
provisions. (The DOL has held that where implementation of
such agreements have the effect of discriminating against
minorities or women, or obligates the contractor to do the same,
such implementation violates Executive Order 11246, as
amended.)
c. The contractor will encourage his present employees to
refer minodty group applicants for employment. Information and
procedures with regard to referring minodty group applicants will
be discussed with employees.
5. Personnel Actions: Wages, working cenditions, and
employee benefits shall be established and administered, and
personnel actions of every type, including hiring, upgreding,
promotion, transfer, demotion, layoff, and termination, shall be
taken without regard to race, color, religion, sex, national origin,
age or disability. The following procedures shall be followed:
a. The contractor will conduct periodic inspections of project
sites to insure that working conditions and employee facilities do
not indicate discriminatory treatment of project site personnel.
Exhibit I
b. The contractor will periodically evaluate the spread of
wages paid within each classification to determine any evidence
of discriminatory wage practices.
c. The contractorwill periodicalty review selected personnel
actions in depth to determine whether there is evidence of
discrimination. Where evidence is found, the centractor will
promptly take certective action. If the review indicates that the
discrimination may extend beyond the actions reviewed, such
cerrecfive action shall include all affected persons.
d. The contractor will promptly investigate all complaints of
alleged discrimination made to the contractor in connection with
his obligations untler this contract, will attempt to resolve such
complaints, and will take appropriate wrtective action within a.
reasonable time. If the investigation indicates that the
discrimination may affect persons other than the complainant,
such corrective action shall include such other persons. Upon
completion of each investigation, the centractor will inform every
opmplainant of all of his avenues of appeal. _
6. Tralning antl Promotion:
a. The contractor will assist in locating, qualifying, and
increasing the skills of minority group and women employees, and
applicants for employment.
b. Consistent with the centractofswork force requirements
and as permissible under Federal and Slate regulations, the
contractor shall make full use of training programs, i.e.,
apprenticeship, and on-the-job training programs for the
geographical area of contract performance. Where feasible, 25
percent of apprentices or trainees in each occupation shall be in
their first year of apprenticeship or training. In the event a special
provision tortraining is provided underthis contract, this subpare-
graph will be superseded as indicated in the special provision.
c. The contractor will advise employees and applicants for
employment of available training programs antl entrance
requirements for each.
d. The contractor will periodically review the training and
promotion potential of minodty group and women employees and
will encourage eligible employees to apply for such training and
promotion.
7. Unions: If the contractor relies in whole or in part upon
unions as a source of employees, the contractor will use hismer
best efforts to obtain the cooperation of such unions to increase
opportunities for minority groups and women within the unions,
and to effect refertals by such unions of minority and female
employees. Actions by the contractor either directty or througha
contractor's association acting as agent will include the
procedures set forth below:
a. The contractor will use best efforts to develop, in
cooperation with the unions, joint training programs aimed toward
qualifying more minodty group members and women for
membership in the unions and increasing the skills of minority
group employees and women so that they may qualify for higher
paying employment.
b. The contractor will use best efforts to incorporate an EEO
clause into each union agreement to the end that such union will
be conVactualty bound to refer applicants without regard to their
race, color, religion, sex, national origin, age or disability.
c. The contractor is to obtain information as to the referral
practices and policies of the labor union except that to the extent
such information is within the excusive possession of the labor
union and such labor union refuses to furnish such information to
Exhibit I -Page 2 of 9 REQUIRED eY 23 CFR 633.102 --
the centrector, the centrector shall so certify to the SHA and shall
set forth what efforts have been matle to obtain such information.
d. In the event the union is unable to provide Me centrector
with a reasonable Bow of minodty and women refertals within the
time limit set forth in the collective bargaining agreement, the
centrector will, through independent recruitment efforts, fill the
employment vacancies whhout regard to race, color, religion, sex,
national origin, age or disability; making full efforts to obtain
qualified andlor qualfiable minodty group persons and women.
(The DOL has held that It shall be no excuse that the union with
which the centrector has a collective bargaining agreement
providing for exclusive referral failed to refer minority empbyees.)
In the event the union referral practice prevents the centrector
from meeting the obligations pursuant to Exewtive Order 11248,
as amended, and these special provisions, such centractor shall
immediately notiy Me SHA.
8. SeleeSlon of Subcontractors, Procurement of Materials
and Leasing of Equipment: The contractor shall not
discriminate on the grounds of rece, color, religion, sex, national
origin, age or disabiliy in the selection and retention of
subcentractors, including procurement of materials and leases of
equipment.
a. The centrector shall notify all potential subcentractors
and suppliers of his/her EEO obligations under this contract.
b. Disadvantaged business enterprises (DBE), as defined in
49 CFR 23, shall have equal opportunity to compete for and
perform subcontracts which the contractor enters into pursuant to
this centract. The centrectorwill use his best efforts to solich bids
from antl to utilize DBE subcenlractors or subcontractors with
meaningful minority group and female representation among their
employees. Contractors shall obtain lists of DBE construction
fines from SHA personnel.
c. The contractor will use his best efforts to ensure subcen-
trector cempliance with their EEO obligations.
9. Records and Reports: The contractor shall keep such
records as necessary to document cempliance with the EEO
requirements. Such records shall be retained fora period of three
years following completion of the contract work and shall be
available at reasonable times and places for inspection by autho-
rized representatives of the SHA antl the FHWA.
a. The records kept by the contractor shall document the
following:
(i) The number of minodty antl non-minodty group
members and women employed in each work Gassification on the
project;
(2) The progress and efforts being made in cooperation
with unions, when applicable, to increase employment opportuni-
ties for minodfies and women;
(3) The progress and efforts being made in locating,
hiring, training, qualitying, and upgratling minodty and female
employees; antl
(4) The progress and efforts being made in securing
the services of DBE subcontractors or subcontractors with
meaningful minority and female representation among their
employees.
b. The centrectors will submit an annual report to the SHA
each Jury for the duretion of the project, indicating the number of
minority, women, and non-minodty group employees curenlty
engaged in each work classification required by the centrectwork.
This intortnation is to be reported on Form FHWA-1391. If on-the
Exhibit I
job training is being required by special provision, the centrector
will be required to rolled and repoA training data.
III. NONSEGREGATED FACILITIES
(Applicable to all Federel-aid construction centracts and to all
related subcentrects of $10,000 or more.)
a. By submission of this bid, the execution of this centract
or subcentrect, or the consummation of this material suppy
agreement or purchase order, as appropdate, the bidder, Federel-
aid censtmction contractor, subcentrector, matedal supplier, or
vendor, as appropdate, certifies that the fine does not maintain or
provide for its employees any segregated facilities at any of its
establishments, and that the firm does not permit its employees to
perform their services at any location, untler its central, where
segregated facilities are maintained. The firm agrees that a
breach of this cerfification is a violation of the EEO provisions of
this centract. The firm further certifies that no employee will be
denied access to adequate facilities on the basis of sex or
disability.
b. As used in this certification, the term "segregated
facilities" means any waiting rooms, work areas, restrooms and
washrooms, restaurants and other eating areas, timeclocks,
locker rooms, and other storege or dressing areas, parking lots,
ddnking fountains, recreation or entertainment areas, transpor-
tation, and housing facilities provided for employees which are
segregated by explicit tlirective, or are, in (act, segregated on the
basis of race, color, religion, national odgin, age or disability,
because of habit, local cestom, or otherwise. The only exception
will be for the disabled when the demands for accessibility
override (e.9. disabled parking).
c. The cenlractor agrees that it has obtained or will obtain
identical certification from proposed subcontractors or material
suppliers pdor to award of subcentrecs or consummation of
material supply agreements of $10,000 or more and that it will
retain such certifications in its files.
IV. PAYMENT OF PREDETERMINED MINIMUM WAGE
(Applicable to all Fetlerel-aid construction cenbacts exceeding
$2,000 and to all related subcenlrecls, except forprojects located
on roadways classifed as local roads or rural minor collectors,
which are exempt.)
1. General:
a. All mechanics and laborers employed or working upon
the site of the work will be paid uncentlitionalty and not less often
than once a week and without subsequent deduction or rebate on
any account [except such payroll deductions as are permitted by
regulations (29 CFR 3) issued by the Secretary of Labor underihe
Copelantl Act (40 U.S.C. 276c)j the full amounts of wages and
bona fide (doge benefits (or cash equivalents thereof) tlue at time
of payment. The payment shall De computed at wage retes not
less than those contained in the wage determination of the
Secretary of Labor (hereinafier'Yhe wage determination")which is
attached hereto and made a part hereof, regardless of any
cenlractual relationship which may be alleged to exist between
the centractor or its subcontractors and such laborers and
mechanics. The wage determination (incuding any additional
classifications and wage rates conformed under paragraph 2 of
this Section IV and the DOL poster (WH-1321) or Forth FHWA-
1495) shall be posted at all times by the centrector and its
subconfradors at the site of the work in-a prominent and
accessible place where it ran be easily seen by the workers. For
the purpose otfhis Section, contributions made or costs reason-
abtyanticipated for bona fide fdnge benefits untler Section 1(b)(2)
of the Davis-Bacon AG (40 U.S.C. 276a) on behalf of laborers or
mechanics are considered wages paid to such laborers or
EXhlblt 1 ~ PBgC 3 Of 9 REQUTAEO BY 23 CFR 633.102 --
mechanics, subject to the provisions of Section IV, paragraph 3b,
hereof. Also, forthe purpose of this Section, regular centdbufions
made or costs incurred for more than a weekly perod (but not
less often than quarterty) under plans, funds, or programs, which
cover the particular weekly period, are deemed to be
constructively matle or incurred during such weekly pedod. Such
laborers and mechanics shall be paid the approprtate wage rate
and fringe benefits on the wage delertnination for the
classification of work actually performetl, without regard to skill,
except as provided in paragraphs 4 and 5 of this Section IV.
b. Laborers or mechanics performing work in more than
one classification may be cempensaletl at the rate specified for
each Gassificetion for the time actually worked therein, provided,
that the employer's payroll records accuretely set forth the time
spent in each classification in which work is performed.
c. All rulings and interpretations otthe Davis-Bacen Act antl
related acts contained in 29 CFR 1, 3, and 5 are herein incerpo-
rated by reference in this contract.
2. Classlflcatlon:
a. The SHA contracting officer shall require that any class
of laborers or mechanics employed under the contract, which is
not listed in the wage determination, shall be classified in
conformance with the wage determination.
b. The contracting officer shall approve an additional
classifcetion, wage rate and (doge benefits only when the
following criterta have been met:
(1) the work to be pertormed by the additional
classifcetion requested is not performed by a classification in the
wage determination;
(2) the additional classification is utilized in the area by
the construction industry;
(3) the proposed wage rate, including any bona fide
fringe benefits, bears a reasonable relationship to the wage rates
contained in the wage determination; and
(4) with respect to helpers, when such a classifcation
prevails in the area in which the work is peAormed.
c. If the contractor or subcentrectors, as appropriate, the
laborers and mechanics (if known) to be employed in the addition-
al Gasification or their representafives, and the contracting
officer agree on the clasificetion and wage rete (including the
amountdesignated forfinge benefits where appropriate), a report
of the action taken shall be sent by the otnracting officer to the
DOL, Administrator of the Wage antl Hour Division, Employment
Standards Administration, Washington, D.C. 20210. The Wage
and Hour Administretor, or an authortzed representative, will
approve, modify, or disapprove every additional classification
action within 30 days of receipt and so advise the centrecfing
officer or will notity the contacfing officer within the 30-day pedod
that additional time is necessary.
d. In the event the contractor or subcenlradors, as appro-
pdate, the laborers or mechanics to be employed in the additional
classification or their representatives, antl the contracting officer
do not agree on the proposed classification and wage rate
(including the amount designated for fringe benefits, where
appropriate), the otntacting officer shall refer the questions,
including the views of all interested parties and the recommenda-
tion oithe contracting officer, to the Wage and Hour Administretor
for tleterminafion. Said Administrator, or an authorized represen-
tative, will issue a determination within 30 days of receipt antl so
advise the contracting officer or will notity the contracting officer
within the 30-0ay pedod that additional time is necessary
Exhibit I
e. Thewage rete (including fringe benefits where appropd-
ate) determined pursuant to paragraph 2c or 2d of this Section IV
shall be paid to all workers performing work in the additional
classification from the first day on which work is performed in the
classification.
3. Payment of Fringe Beneftts:
a. Whenever the minimum wage rete prescribetl in the
contract fora class of laborers or mechanics inGudes a finge
benefit which is not expressed as an hourty rate, the contractor or
subcentractors, as appropdate, shall either pay the benefit as
slated In the wage determination or shall pay another bona fide
(doge benefit or an hourly case equivalent thereof.
D. If the contractor or subcentrador, as appropdate, does
not make payments to a trustee or other third person, he/she may
consider as a part of the wages of any laborer or mechanic the
amount of any costs reasonably anticipated in providing bona fide
fringe benefits undera plan or program, provided, that the Secre-
tary of Labor has found, upon the wrttten request of the centrec-
tor, that the applicable standards of the Davis-Bacon Act have
been met. The Secretary of Labor may require the contractor to
set aside in a separate account assets for the meeting of
obligations under the plan or program.
4. Apprentices and Trainees (Programs of the U.3. DOL)
and Helpere:
a. Apprentices:
(1) Apprentices will be permitted to work at less than
the predetermined rate for the work they pertormed when they are
employed pursuant to and individually registered in a bona fide
apprenticeship program registered with the DOL, Employment
and Training Administration, Bureau of Apprenticeship and
Training, or with a State apprenticeship agency recognized by the
Bureau, or it a person is employed in his/her first 90 days of
probationary employment as an apprentice in such an apprentice-
ship program, who is not individually registered in the program,
but who has been certified by the Bureau of Apprenticeship and
Training or a Stale apprenticeship agency (where appropriate) to
be eligible for probationary employment as an apprentice.
(2) The allowable ratio of apprentices to joumeyman-
levelemployees onthe job site in any craft classifcetion shall not
be greater than the redo permitted to the contractor as to the
entire work force under the registered program. Any employee
listed on a payroll at an apprentice wage rate, who is not regis-
tered or otherwise employed as stated above, shall be paid not
less than the applicable wage rete listetl in the wage determina-
tion for the classification of work actually pertortned. In addition,
any apprentice performing work on the job site in excess of the
redo permitted under the registered program shall be paid not less
than the applicable wage rate on the wage determination for the
work actually performed. Where a contrectoror subcontractor is
performing censtmction on a project in a locality otherthan thalin
which its progrem is registered, the relios antl wage rates (ex-
pressed in peroentages of the journeyman-level houdy rate)
specified in the contrectofs or subcentrector's registered progrem
shall be observed.
(3) Every apprentice must be paid at not less than the
rate specified in the registered program for the apprentice's level
of progress, expressed as a percentage of the journeyman-level
houdy rate specified in the applicable wage determination.
Apprentices shall be paid fringe benefits in accordance with the
provisions of the apprenticeship program. Ii the apprenticeship
program does not specify (doge benefits, apprentices must be
paid the full amount offinge benefits listetl on the wage determi-
nationfor the applicable classification. If the Administretor forthe
Exhibit I -Page 4 of 9 REQUIRED EY 23 CFR 633.102 --
Wage and Hour Division determines that a different practice
prevails for the applicable apprentice Uassification, (doges shall
be paid in accordance with that determinaton.
(4) In the event the Bureau of Apprenticeship and
Training, or a State apprenticeship agency recognized by the
Bureau, withdraws approval of an apprenticeship program, the
contractor or subcentraUOr will no longer be permitted to utilize
apprentices at less than the applicable predetermined rate for the
comparable work performed by regular employees until an
aaeptable program is approved.
b. Trainees:
(1) Except as provided in 29 CFR 5.16, trainees will not
be permitted to work at less than the predetermined rate for the
work pertormed unless they are employed pursuant to and
individualty registered in a program which has received prior
approval, evidenced by formal certification by the DOL,
Employment and Training Administration.
(2) The ratio of trainees to joumeyman-level
employees on the job site shall not be greater than permitted
untler the plan approved by the Employment and Training
Administration. Any employee listed on the payroll at a trainee
rete who is not registered and participating in a paining plan
approved by the Empoyment and Treining Administration shall be
paid not less than the applicable wage rate on the wage determi-
nation for the classification of work aclualty performed. In
addition, any treinee pertortning work on the job site in excess of
the ratio permitted under the registered program shall be paid not
less than the applicable wage rate on the wage determination for
the work actualy performed.
(3) Every frainee must be paid at not less than the rete
specified in the approved program for hisRrer level of progress,
expressed as a percentage of the joumeyman-level hourly rate
specfied in the applicable wage determination. Trainees shall be
paid fringe benefits in accordance with the provisions of the
trainee program. If the lreinee program does not mention finge
benefits, trainees shall be paid the full amount of finge benefds
lisletl on the wage determination unless the Administrator of the
Wage and Hour Division determines that there is an apprentice-
ship progrem assodatedwiththe certespondingjoumeyman-level
wage rete on the wage determination which provides for less than
full fringe benefits for apprentices, in which case such trainees
shall receive the same finge benefits as apprentices.
(4) In the event the Employment and Treining
Administration withdrews approval of a training program, the
cenlrador or subcontractor will no longer be permitted to utilize
trainees at less than the applicable predeterminetl rate for the
work peformetl until an acceptable program is approved.
c. Helpers:
Helpers will be permitted to work on a projeU if the
helper classification is specified and defined on the applicable
wage determination or is approved pursuant to the centortnance
procedure set forth in Section IV.2. Any worker listetl on a payroll
at a helper wage rete, who is not a helper under a approved
tlefinition, shall be paitl not less than the applicable wage rate on
the wage determination for the classifcetion of work actually per-
formed.
5. Apprentices antl Trainees (Programs of the U.S. DOT):
Apprentices and trainees working under apprenticeship and
skill taining programs which have been certified by the Secretary
of Transportation as promoting EEO in connection with Federel-
aidhighway censimdion progremsare not subject to the require-
ments of paragraph 4 of this Section IV. The straighltime houriy
Exhibit I
wage rates for apprentices antl trainees undersuch programs will
be established by the particular programs. The ratio ofapprentio-
es and trainees to joumeymen shall not be greater than permitted
by the terms of the particular program.
6. Whhholding:
The SHA shall upon its own action or upon written request
of an authorized representative of the DOL withholtl, or cause to
be withheld, from the contractor or subcentrador under this
centreU or any other Fetleral cenlraU wtth the same prime
contractor, or any other Federally-assisted contreU subjeU to
Davis-Bacon prevailing wage requirements which is held by the
same prime contractor, as much of the accrued payments or
advances as may be considered necessary to pay laborers antl
mechanics, including apprentices, trainees, antl helpers, em-
ployed by the contractor or any subcontractor the full amount of
wages required by the contraU. In the event of failure to pay any
laboreror mechanic, including any apprentice, trainee, or helper,
employed or working on the site of the work, all or part of the
wages required by the contract, the SHA contraUing officer may,
after written notice to the otntrector, take such action as may be
necessary to cause the suspension of any further payment,
advance, or guarentee of funds unfit such violations have ceased.
7. Overtime Requirements:
No contractor or subconbaUOr centrecting for any part of
the contraU work which may require or involve the empoyment of
laborers, mechanics, watchmen, or guards (incuding apprentices,
trainees, antl helpers described in paragraphs 4 and 5 above)
shall require or pernil any laborer, mechanic, watchman, or guard
in any workweek in which he/she is employed on such work, to
work in excess of 40 hours in such workweek unless such laborer,
mechanic, watchman, or guard receives cempensation at a rete
not less than one-and-one-halt times hislher basic rete of pay for
all hours worked in excess of 40 hours in such workweek.
8. Vlolatlon:
Liability for Unpaid Wages; Liquidated Damages: In the
event of any violation of the clause set forth in paragraph 7 above,
the contractor and any subcentreclor responsible thereof shall be
liable to the affected employee for hislher unpaid wages. In
addition, such contractor and subcontractor shall be liable to the
United States (in the case of work done under cenVaU for the
DistriU of Columbia or a territory, to such DistriU or to such
tertitory) for liquidated tlamages. Such liquitlaled damages shall
be computed with respell to each individual laborer, mechanic,
watchman, or guard employed in violation of the clause set forth
in paragraph 7, in the sum of $10 for each calendar day on which
such employee was requiretl or permitted to work in excess of the
standartl work week of 40 hours without payment of the overtime
wages required by the Uause set forth in paragreph 7.
9. Whhholding for Unpaltl Wages and Liquitlatetl
Damages:
The SHA shall upon its own action or upon written request of
any authorized representative of the DOL whhhold, or cause to be
withheld, from any monies payable on account of work peformed
by the otntractor or subconfraUOr under any such contract or any
other Federal centreU with the same prime cenlredor, or any
other Federally-assisted centraU subjeU to the ContreU Work
Hours and Safely Standards AU, which is held by the same prime
contractor, such sums as may be determined to be necessary to
satisfy any liabilities of such otntracor or subceniraUOr for unpaid
wages antl liquitlaled damages as provided in the clause set forth
in paragraph 8 above.
V. STATEMENTS AND PAYROLLS
Exhibit I -Page 5 of 9 REQUIRED BY 23 CFR 633.102 --
(Applicable to all Federal-aid censtmction contracts exceeding
$2,000 and to all related subcontracts, except forprojects located
on roadways classified as local roads or rural collectors, which
are exempt.)
1. Compliance with Copeland Regulations (29 CFR 3):
The contractor shall comply with the Copeland Regulations of
the Secretary of Labor which are herein incorporated by refer-
ence.
2. Payrolls and Payroll Reeorda:
a. Payrolls and basic records relating thereto shall be
maintained by the otntacor and each subcontractor during the
course of the work and preserved for a period of 3 years from the
tlate of completion of the contract for all laborers, mechanics,
apprentices, trainees, watchmen, helpers, and guardsworking at
the site of the work.
b. The payroll records shall centain the name, social
security number, and address of each such employee; his or her
correct Uassifiration; hourly rates of wages paid (including rates
of contributions or costs anticipated for bona fide finge benefits or
cash equivalent thereof the types described in Section i (b)(2)(B)
of the Davis Bacon Act); daily and weekly number of hours
worked; deductions made; and actual wages paid. In addition, for
Appalachian contracts, the payroll records shall centain a notation
indicating whether the employee does, or does not, normally
reside in the labor area as defned in Attachment A, paragraph 1.
Whenever the Secretary of labor, pursuant to Secfion IV,
paragmph 3b, has found that the wages of any laborer or
mechanic inUude the amount of any costs reasonably anticipated
in providing benefits undera plan orprogrem described in Section
1 (b)(2)(B) of the Davis Bacon Act, the otntractor and each
subcontractor shall maintain records which show that the cemmit-
ment to provide such benefts is enforceable, that the plan or
progrem is financially responsible, that the plan or program has
been communicated in writing to the laborers or mechanic
afteiled, antl show the cost anticipated or the actual cost incurred
in providing benefits. Contractors or subcentrailors employing
apprentices or trainees under approved programs shall maintain
written evidence of the registrafion of apprentices and Vainees,
and ratios and wage rates prescribed in the applicable programs.
c. Each contacor and subcentrailor shall furnish, each
week in which any contract work is pertormetl, to the SHA
resident engineer a payroll of wages paid each of its employees
(including apprentices, trainees, and helpers, described in Section
IV, paragraphs 4 and 5, and watchmen antl guards engaged on
work during the preceding weekly payroll periotl). The payroll
submitted shall set out accurately and cempletely all of the
information required to be maintained under paragraph 2b of this
Section V. This information may be submitted in any form
desired. Optional Form WH-347 is available for this purpose and
may be purchased from the Superintendent of Documents
(Federal stock number 029-005-0014-i), U.S. Government
Printing Office, Washington, D.C. 20402. The prime centractoris
responsible for the submission of copies of payrolls by all
subcontractors.
d. Each payroll submitted shall be accompanied by a
"Statement of Compliance;' signed by the contractor or subcen-
lraclor or his/her agent who pays or supervises the payment of
the persons employed under the cenUacl and shall certify the
following:
(1) that the payroll for the payroll period centains the
information required to be maintained under paragraph 2b of this
Section V and that such informafion is cemeU and complete;
(2) that such laborer or mechanic (including each
Exhibit I
helper, apprentice, and trainee) employed on the contrail during
the payroll period has been paid the full weekly wages earned,
without rebate, either directly or indireilty, and that no deductions
have been matle either directly or indirecfiy from the full wages
earned, other than permissible deductions as set forth in the
Regulations, 29 CFR 3;
(3) that each laborer or mechanic has been paid not
less that the applicable wage rate and fringe benefits or cash
equivalent for the classifcetion of worked performed, as specified
in the applicable wage determination incorporated into the
contract.
e. The weekly submission of a properly executed certifi~a-
tion set forth on the reverse side of Optional Form WH-347 shall
satisry the requirement for submission of the "Statement of
Compliance" required by paragaph 2d of this Section V.
f. The falsifcation of any of the above certifications may
subjeU the contractor to civil or criminal prosecution under 18
U.S.C. 1001 and 31 U.S.C. 237.
g. The contractor or subcontreilor shall make the records
required untler paragraph 2b of this Section V available for
inspection, copying, ortranscription by authorized representatives
of the SHA, the FHWA, or the DOL, and shall permit such repre-
sentatives to interview employees during working hours on the
job. If the centrailor or subcenUaUOr fails to submit the required
records or to make them available, the SHA, the FH WA, the DOL,
or all may, after written nofice to the centrailor, sponsor, appli-
cant, or owner, take such actions as may be necessary to cause
the suspension of any further payment, advance, orguarentee of
funds. Furthermore, failure to submR the required records upon
request or to make such records available may be grounds for
debarment action pursuant to 29 CFR 5.12.
VI. RECORD OF MATERIALS, SUPPLIES, AND LABOR
f. On all Federel-aid contracts on the National Highway
System, except those which provide solely Tor the inslalla8on of
protecfive tlevices al railroad grade crossings, those which are
censWcted on a force account or direct labor basis, highway
beautification centracls, and contracts for which the total final
construction cost for roadway and bridge is less than $1,000,000
(23 CFR 635) the contractor shall:
a. Become familiar with the list of specifc materials and
supplies contained in Form FHWA~7, "Statement of Materials
and Labor Used by Contreilor of Highway Construction Involving
Federal Funds," prior to the wmmencement of work under this
contract.
b. Maintain a record of the total cost of all materials and
supplies purchased for and incerporeted in the work, and also of
the quanfities of those specific materials and supplies listed on
Form FHWA-47, and in the units shown on Form FHWA-47.
c. Furnish, upon the cempletion of the contract, to the
SHA resident engineer on Form FHWA-47 together with the data
required in paragmph ib relafive to materials and supplies, a final
labor summary of all contract work indicating the total hours
worked and the total amount earned.
2. At the prime contractor's option, either a single report
cevering all centrect work or separate reports for the otntactor
and for each subcontract shall be submitted.
VII. SUBLETTING OR ASSIGNING THE CONTRACT
1. The contractor shall perform with its own organization
centreU work amounting to not less than 30 percent (or a greater
percentage ii specified elsewhere in the contreU) of the total
Exhibit I -Page 6 of 9 xeQOTaen ax z3 cen 633.102 --
original contract price, excluding any specialty items designatetl
by the Stale. Specialty items may be pertornetl by subwntrect
antl me amount of any such spedaly items performed may be
tleducted from the total original contract price before wmputing
the amount of work required to be perormed by the wntrectofs
own organization (23 CFR 635).
a. "Its own organiza8on" shall be wnstroed to indutle onty
workers employed and paid directly by the prime contractor and
equipment owned or rented by the prime contractor, with or
without operators. Such term does not include employees or
equipment of a subcontractor, assignee, or agent of the prime
contractor.
b. "Spedalty Items" shall be construed to be limited to
work that requires highly spedalized knowledge, abilide5, or
equipment not ordinarity available in the type of contracting
organizations qualified and expelled to bid on the wntrect as a
whole and in general are to be limited to minor components ofthe
overell wntract.
2. The contract amount upon which the requirements set forth
in paragraph 1 of Section VII is wmputetl includes the cost of
material and manufactured products which are to be purchased or
produced by the contractor under the contract provisions.
3. The contractor shall famish (a) a wmpetent superintendent
or supervisor who is employed by the firm, has full authority to
direct performance of the work in accordance with the contract
requirements, and is in charge of all wnstroction operefions
(regardless of who performs the work) and (b) such other of its
own organizational resources (supervision, management, and
engineering services) as the SHA contracting otficerdelermines is
necessary to assure the performance of the contract.
4. No portion of the contract shall be sublet, assigned or
otherwise disposed of except with the wnden wnsent of the SHA
wntrecting officer, or authorized representative, and such
consent when given shall not be wnstroed to relieve the
contractor of any responsibility for the fu1811ment of the contract.
Written consent will be given only after the SHA has assured that
each subcontract is evidenced in writing antl that ft contains all
pertinent provisions and requirements of the prime contract.
VIII. SAFETY: ACCIDENT PREVENTION
1. In the performance of this contract the contractor shall
comply with all applicable Federel, State, and local laws govern-
ing safety, health, and sanitation (23 CFR 635). The wntrector
shall provide all safeguartls, safety devices and protective
equipment and take any other needed actions as it determines, or
as the SHA contracting officer may determine, to be reasonably
necessary to protect the life and health of employees on the job
and the safely of the public and to protect property in connection
with the performance of the work covered by the contract.
2. It Is a condition of this contract, and shall be made a
condition of each subcontract, which the wntmctor enters into
pursuant to this wnbact, that the wntractor and any subcontrac-
torshall not permit any employee, in performance of the wntracL
to work in surroundings or under wnditions which are unsanitary,
hazardous or dangerous to hismer health or safety, as detertninetl
under conslruc9on safety antl health standards (29 CFR 1928)
promulgated by the Sevetary of Labor, in accordance with
Section 107 of the Contract Work Hours and Safety Standards
Ad (40 U.S.C. 333).
3. Pursuant to 29 CFR 1926.3, it is a wndilion of this wntrect
that the Secretary of Labor or authorized representative thereof,
shall have right of entry to any site of wntrect performance to
inspect or investigate the matter of wmpliance with the wnslmc-
tion safety and health standards and to carry out the duties of the
Exhibit I
Secretary under Section 107 of the Contract Work Hours and
Safety Standards Act (40 U.S.C. 333).
IX. FALSE STATEMENTS CONCERNING HIGHWAY
PROJECTS
In order to assure high quality and dureble wnsWction in
wnfortniry with approved plans and specifications and a high
tlegree of reliability on statements and representations made by
engineers, wntredors, suppliers, and workers on Federal-aid
highway projects, it is essential that all persons concemed with
the project pertorm their functions as carefully, thoroughty, and
honestly as possible. Willful falslficetlon, distortion, or misrepre-
sentation with respect to any facts related to the project is a
violation of Federal law. To prevent any misunderstanding
regarding the seriousness of these and similaracts, the following
notice shall be posted on each Federal-aid highway project (23
CFR 635) in one or more places where it is readity available to all
persons concemed with the project:
NOTICE TO ALL PERSONNEL ENGAGED ON FEDERAL-AID
HIGHWAY PROJECTS
18 U.S.C. 1020 reatls as follows:
"Whoever, being an officer, agent, or employee of the United
States, or of any State or Territory or whoever, whefhera person,
association, firm, or corporation, knowingly makes any (else
statement, /else representation, or false report as to the charac-
ter, quality, quantity, or cost orthe material used or to be used, or
the quantity or quality of the wodr performed or to be peAormed.
or the cost thereo(in connection with the submission of plans,
maps, specifications, contracts, or costs of construction on any
highway orrelatedproject submitted for approval to the Secretary
of Transportation; or
Whoever knowingly makes eny /else statement, (else
representation, /else report or (else claim with respect to the
charecter, quality, quantity, orcost ofany workpeAOmredorto be
performed, ormatertals famished or to be famished, in connection
with the constmction ofany highway or related project approved
by the Secretary of Transportation; or
Whoever knowingly makes any /else statement or /else
representation as to material fact in any statement certdicate, or
report submitted pursuant to provisions of the Federal-aid Roads
Act approved July 1, 1916, (39 Stat. 355), as amended and
supplemented;
Shall be fined not mot that $10,000 or imprisoned not more
than 5 years or both."
X. IMPLEMENTATION OF CLEAN AIR ACT AND FEDERAL
WATER POLLUTION CONTROL ACT
(Applicable to all Fetleral-aid construction contracts and to all
related subcontracts of $100,000 or more.)
By submission of this bid or the execu8on of this wntrad, or
subwntract, as appropriate, the bidder, Federel-aitl wnstroction
wntrector, or subwntrector, as appropriate, will be deemed to
have stipulated as follows:
1. That any facility that is or will be utilized in the pertormance of
this wntrecl, unless such wntrad is exempt under the Clean Air
Act, as amended (42 U.S.C. 1857 et;gq., as amentled by Pub.L.
91-804), and under the Federal Water PolluBon Control Act, as
amentled (33 U.S.C. 1251 et sew., as amended by Pub.L. 92-
500), Executive Ortler 11738, and regulations in implementation
thereof (40 CFR 15) is not listed, on the date of wnhact award,
on the U.S. Environmental Protection Agency (EPA) Lisl of
Violating Facilities pursuant l0 40 CFR 15.20.
Exhibit I -Page 7 of 9 REQUIRED BY 23 CFR 633.102
2. That the firm agrees to comply and remain incompliance with
all the requirements of Secfion 114 of the Clean Air Act and
Section 308 of the Federal Water Pollution Control Act and all
regulations and guidelines listed thereunder.
3. That the firm shall promptly no8ty the SHA Of the receipt of any
communication from the Director, Office of Federel ActiviBes,
EPA, indicating that a facility that is or will be utilized for the
contrail is under consideration to be listed on the EPA Lisl of
Violating Facilities.
4. Thal the firm agrees to include or cause to be inGuded the
requirements of paragreph 1 through 4 of this Section X in every
nonexempt subcentrail, and further agrees to lake such action as
the govemment may direct as a means of enforcing such
requirements.
XI. CERTIFICATION REGARDING DEBARMENT,
SUSPENSION,
INELIGIBILITY AND VOLUNTARY EXCLUSION
1. Instructions for Certlflcatlon - Primary Covered
TransacUona:
(Applicable to all Federal-aid contracts - 49 CFR 29)
a. By signing and submitting this proposal, the prospective
primary participant is providing the certification set out below.
b. The inability of a person to provide the certification set
out below will not necessarily result in denial of participation in
this covered trensailion. The prospective participanlshall submit
an explanation of why it cannot provitle the certification set out
below. The certifica8on or explanation will be censideretl in
cennecfion with the department or agency's determination
whether to enter into this transaction. However, failure of the
prospective primary participant to furnish a certification or an
explanation shall disqualify such a person from participation in
this transac8on.
c. The certification in this clause is a material representation
of fact upon which reliance was placed when the department or
agency determined to enter into this transaction. If it is later
determined that the prospecfive primary participant knowingly
rendered an erroneous certification, in addition to other remedies
available to the Federal GovemmenL the department or agency
may terminate this trensaction for cause of default.
d. The prospective primary participanlshall provide immedi-
ate written notice to the department or agency to whom this
proposal is submittetl if any time the prospective pdmary parGCi-
panllearns that its certificafion was erroneous when submitted or
has become erroneous by reason of changed circumstances.
e. The terms "covered transacfion;' "debarretl;'
"suspended," "ineligible," "lower tier covered transacfion;'
"participant ""person," "pdmary cevered tmnsailion; "'principal;'
"proposal" and "voluntariy excluded" as used in this clause,
have the meanings set out in the Definitions and Coverage
secfions of rules implementing Exewtive Order 12549. You may
contact the department or agency to which this proposal is
submittetl for assistance in obtaining a copy of those regulations.
f. The prospective primary participantagrees by submitting
this proposal that, should the proposed ceveretl transaction be
entered into, it shall not knowingly enter into any lower tier
ceveretl transaction with a person who is debarred, suspentletl,
declared ineligible, or voluntarily excluded from parficipation in
this covered transaction, unless authorized by the department or
agency entering into this transaction.
Exhibit I
g. The prospective primary participant further agrees by
submitting this proposal that it will include the clause titled
"Certification Regarding Debarment, Suspension, Ineligibility and
Voluntary Exclusion-Lower Tier Covered Trensailion," provitled
by the department or agency entering into this covered trensac-
tion, without modification, in all bwer tier covered transactions
antl in all solicitations for lower tier covered transactions.
h. A participant in a cevered transaction may rely upon a
certificafion of a prospective participant in a lower tier covered
transaction that is not debarred, suspended, ineligible, or volun-
tarily excludetl from the covered bmnsailion, unless it knows that
the certification is erroneous. A participant may decide the
method and frequency by which it determines the eligibility of its
principals. Each participant may, but is not required to, check the
non-procurement portion of the "Lists of Parties Excluded From
Federal Procurement or Non-procurement Programs" (Non-
procurement List) which is compiled by the General Services
Atlminislretion.
I. Nothing contained in the foregoing shall be censured to
require establishment of a system of records in order to render in
good faith the certificafion required by this clause. The
knowledge and information of participant is not required to exceed
that which is normalty possessed by a prudent person in the
ordinary course of business dealings.
j. Except for tansactions authorized under paragraph i of
these instmctions, if a participant in a covered tmnsailion
knowingly enters into a lower tier covered transaction with a
person who is suspended, debarred, ineligible, or voluntarily
excluded from participation in this transaction, in addition to other
remedies available to the Federal GovemmenL the department or
agency may terminate this transaction for cause or default.
Cartltlcatlon Regarding Debarment, Suspension,
Inellglbllhy andVoluntary Exclusion--Primary Covered
TransacUona
1. The prospective primary participant certifies to the best of its
knowledge antl belief, that it and its pdncipals:
a. Are not presently debarred, suspended, proposed for
debarment, declared ineligible, or voluntarily excluded from
covered transactions by any Federal department or agency;
b. Have not within a 3-year period preceding this proposal
been convicted of or had a civil judgment rentleretl against them
for commission of fraud or a criminal oRense in cenneilion with
obtaining, attempting to obtain, or pertorming a public (Federal,
State or local) trensacfion or contract under a public transaction;
violation of Federal or State antitrust statutes or commission of
embezzlement, theft, forgery, bribery, talsificafion or desWCfion of
records, making false statements, or receiving stolen property;
c. Are not presently indicted (or or otherwise criminally or
civilly charged by a governmental entity (Federal, Slate or local)
with commission of any of the offenses enumerated in paragreph
1 b of this certificafion; and
d. Have not within a 3-year period preceding this
application/proposal had one or more public transactions
(Federal, State or local) terminated for cause or default.
2. Where the prospective pdmary participant is unable to
certify to any of the statements in this certification, such
prospective participant shall attach an explanation to this
proposal.
Exhibit [ -Page 8 of 9 REQUIRED HY 23 CFR 633.102 --
Exhibit I
remedies available to the Federal Govemment, the department or
agenq with which this transaction originated may pursue
available remedies, including suspension and/or debarment.
2. Instructlona for CertHicatlon -Lower Tler Coveretl
Transaetiona:
•
(Applicable to all subcontracts, purohase orders and other
lower tier trensailions of $25,000 or more - 49 CFR 29)
a. By signing antl submitting this proposal, the prospective
lower tier is providing the certification set out below.
b. The certification in this clause is a material
representation of fad upon which reliance was placed when this
trensailion was entered into. If it is later determined that the
prospective lower tier participant knowingy rendered an
erroneous certification, in addition to other remedies available to
the Federal Govemment, the department, or agency with which
this transaction originated may pursue available remedies,
incuding suspension andlor debarment.
c. The prospective lower fier participant shall provide
immediate written notice to the person to which this proposal is
submitted if at any lime the prospecfive lower tier participant
learns that its certification was eroneous by reason of changed
circumstances.
d. The terms "covered trensailion," "debarred"
"suspended;' "ineligible;' "primary cevered transaction;'
"partiilpant" "person;' "principal," "proposal;' and "voluntadly
excludetl," as used in this clause, have the meanings set out in
the Definitions and Coverage sections of rules implementing
Execufive Order 12549. You may contact the person to which this
proposal is submitted for assistance in obtaining a copy of those
regulations.
e. The prospective lower tier participant agrees by
submitting this proposal that, should the proposed covered
trensailion be entered into, it shall not knowingly enter into any
lower tier covered transailion with a person who is debarred,
suspended, declared ineligible, or voluntarily excluded from
participation in Mis covered trensacion, unless authorized by the
department or agency with which this transaction originated.
f. The prospective lower tier participant further agrees by
submitting this proposal that it will include this clause titled
"Certification Regarding Debarment Suspension, Ineligibility and
Voluntary Exclusion-Lower Tier Covered Trensailion;' without
modification, in all lower fier covered transailions and in all
solicitations for lower tier covered trensactions.
g. A participant in a covered transaction may rely upon a
certificefion of a prospecive participant in a lower tier covered
trnsailion that is not debarted, suspended, ineligible, or volun-
tarily excluded from the covered transaction, unless it knows that
the certification is erroneous. A participant may deride the
method and frequency by which it determines the eligibility of its
principals. Each participant may, but is not required to, check the
Non-procurement List.
h. Nothing contained in the foregoing shall be construed to
require establishment of a system of records in order to render in
gootl faith the certification required by this clause. The knowl-
edge and information of participant is not required to exceed that
which is normally possessed by a pmdent person in the ordinary
course of business dealings.
I. Ezcept fortrensailions authorized under paragrapheoi
these instructions, if a participant in a cevered transailion
knowingly enters into a lower tier covered transailion with a
person who is suspendetl, debarred, ineligible, or voluntariy
excluded from participation in this transailion, in addition to other
CertlFleatlon Regarding Debarment, Suspension,
Ineligibility and Voluntary Exeluslon-Lower Tier Covered
Transacdona:
1. The prospectve lower tier participant certifies, by
submission of this proposal, that neither it nor its prncpals Is
presently debarred, suspended, proposed for debarment,
declared ineligible, or voluntarily excluded from parficipafion in
this tansacfion by any Federal department or agency.
2. Where the prospective lower tier participant is unable to
certify to any of the statements in this certification, such prospec-
tive participant shall attach an explanation to this proposal.
XII. CERTIFICATION REGARDING USE OF CONTRACT
FUNDS OR LOBBYING
(Applicable to all Federal-aid construction centrects and to all
related subcontracts which exceed $100,000 - 49 CFR 20)
1. The prospective participant certifies, by signing and submit-
ting this bid or proposal, to the best of his or her knowledge and
belief, that:
a. No Federal appropriated funds have been paid or will be
paid, by or on behalf of the undersigne4 to any person for
influencing or attempting to influence an officer or employee of
any Federal agency, a Member of Congress, an officer or employ-
ee of Congress, or an employee of a Member of Congress in
cennection with the awarding otany Federel contrail, the making
of any Federel grant, the making otany Federal loan, the entering
into of any ceoperetive agreement, and the extension, centinua-
fion, renewal, amendment, or modification of any Federal
contrail, grant, loan, or ceoperetive agreement.
b. Ii any funds other than Federal appropdated funtls have
been paid orwill be paid to any person for influencing or attempt-
ing to influence an officer or employee of any Fedeml agency, a
Member of Congress, an officer or employee of Congress, or an
employee of a Member of Congress in connection with this
Fedeml contrail, Brent loan, or cooperative agreement, the
undersigned shall complete and submit Standard Form-LLL,
"Disclosure Form to Report Lobbying," in accordance with its
instructions.
2. This certification is a material representation of tail 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 31 U.S.C.
1352. Any person who fails to file the requiretl certification shall
be subjeil to aCivil penalty of not less than $10,000 and not more
than $100,000 for each such failure.
3. The prospective participant also agrees by submitting his or
her bid or proposal that he or she shall require that the language
of this certification be included in all lower tier subcentrects, which
exceed $100,000 and that all such redpients shall certify and
tlisclose accordingly.
Exhibit I -Page 9 of 9 REQUIRED EY 23 CFR 633.102 --
Exhibit J
FEDERAL REQUIREMENTS
Federal laws and regulations that may be applicable to the Work include
A. The "Uniform Administrative Requirements for Grants and Cooperative Agreements to State and Local
Governments (Common Rule), at 49 Code of Federal Regulations, Part 18, except to the extent that other applicable
federal requirements (including the provisions of 23 CFR Parts 172 or 633 or 635) are more specific than
provisions of Part 18 and therefore supersede such Part 18 provisions. The requirements of 49 CFR 18 include,
without limitation:
1. the Local Agency/Contractor shall follow applicable procurement procedures, as required by section 18.36(d);
2. the Local Agency/Contractor shall request and obtain prior CDOT approval of changes to any subcontracts in the
manner, and to the extent required by, applicable provisions of section 18.30;
3. the Local Agency/Contractor shall comply with section 18.37 concerning any sub-grants;
4. to expedite any CDOT approval, the Local Agency/Contractor's attorney, or other authorized representative, shall
also submit a letter to CDOT certifying Local Agency/Contractor compliance with section 18.30 change order
procedures, and with 18.36(d) procurement procedures, and with 18.37 sub-grant procedures, as applicable;
5. the Local Agency/Contractor shall incorporate the specific contract provisions described in 18.36(1) (which are also
deemed incorporated herein) into any subcontract(s) for such services as terms and conditions of those subcontracts.
B. Executive Order 11246 of September 24, 1965 entitled "Equal Employment Opportunity," as amended by
Executive Order 11375 of October 13, 1967 and as supplemented in Department of Labor regulations (41 CFR
Chapter 60) (All construction contracts awazded in excess of $10,000 by grantees and their contractors or sub-
grantees).
C. The Copeland "Anti-Kickback" Act (18 U.S.C. 874) as supplemented in Department of Labor regulations (29
CFR Part 3) (All contracts and sub-grants for construction or repair).
D. The Davis-Bacon Act (40 U.S.C. 276a to a-7) as supplemented by Department of Labor regulations (29 CFR
Part 5) (Construction contracts in excess of $2,000 awarded by grantees and subgrantees when required by Federal
grant program legislation. This act requires that all laborers and mechanics employed by contractors or sub-
contractors to work on construction projects financed by federal assistance must be paid wages not less than those
established for the locality of the project by the Secretary of Labor).
E. Sections 103 and 107 of the Contract Work Hours and Safety Standards Act (40 U.S.C. 327-330) as
supplemented by Department of Labor regulations (29 CFR Part 5). (Construction contracts awarded by grantees and
sub-grantees in excess of $2,000, and in excess of $2,500 for other contracts which involve the employment of
mechanics or laborers).
F. 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-grants of amounts in excess of $100,000).
G. Mandatory standards and policies relating to energy efficiency which are contained in the state energy
conservation plan issued in compliance with the Energy Policy and Conservation Act (Pub. L. 94-163).
H. Office of Management and Budget Circulars A-87, A-21 or A-122, and A-102 or A-110, whichever is
applicable.
I. The Hatch Act (5 USC 1501-1508) and Public Law 95-454 Section 4728. These statutes state that federal
Exhibit J -Page 1 of 3
Exhibit J
funds cannot be used for partisan political purposes of any kind by any person or organization involved in the
administration offederally-assisted programs.
J. 42 USC 6101 et sea• 42 USC 2000d, 29 USC 794, and implementing regulation, 45 C.F.R. Part 80 et. sea•.
These acts require that no person shall, on the grounds of race, color, national origin, age, or handicap, be excluded
from participation in or be subjected to discrimination in any program or activity funded, in whole or part, by federal
funds;
K. The Americans with Disabilities Act (Public Law 101-336; 42 USC 12101, 12102, 12111-12117, 12131-
12134, 12141-12150, 12161-12165, 12181-12189, 12201-12213 47 USC 225 and 47 USC 611.
L. The Uniform Relocation Assistance and Real Property Acquisition Policies Act, as amended (Public Law 91-
646, as amended and Public Law 100-17, 101 Stat. 246-256). (If the contractor is acquiring real property and
displacing households or businesses in the performance of this contract.)
M. The Drug-Free Workplace Act (Public Law 100-690 Title V, subtitle D, 41 USC 701 et se . .
N. The Age Discrimination Act of 1975, 42 U.S.C. Sections 6101 et. sea• and its implementing regulation, 45
C.F.R. Part 91; Section 504 of the Rehabilitation Act of 1973, 29 U.S.C. 794, as amended, and implementing
regulation 45 C.F.R. Part 84.
O. 23 C.F.R. Part 172, concerning "Administration of Engineering and Design Related Contracts".
P. 23 C.F.R Part 633, conceming "Required Contract Provisions for Federal-Aid Construction Contracts".
Q. 23 C.F.R. Part 635, conceming "Construction and Maintenance Provisions".
R. Title VI of the Civil Rights Act of 1964 and 162(a) of the Federal Aid Highway Act of 1973. The
requirements for which are shown in the Nondiscrimination Provisions, which are attached hereto and made a part
hereof.
S. Nondiscrimination Provisions:
Incompliance with Title VI of the Civil Rights Act of 1964 and with Section 162(a) of the Federal Aid Highway Act
of 1973, the Contractor, for itself, its assignees and successors in interest, agree as follows:
1. Compliance with Regulations. The Contractor will comply with the Regulations ofthe Department of
Transportation relative to nondiscrimination in Federally assisted programs of the Department of Transportation
(Title 49, Code of Federal Regulations, Part 21, hereinafter referred to as the "Regulations"), which are herein
incorporated by reference and made a part of this contract.
2. Nondiscrimination. The Contractor, with regard to the work performed by it after awazd and prior to
completion of the contract work, will not discriminate on the ground of race, color, sex, mental or physical handicap
or national origin in the selection and retention of Subcontractors, including procurement of materials and leases of
equipment. The Contractor will not participate either directly or indirectly in the discrimination prohibited by Section
21.5 of the Regulations, including employment practices when the contract covers a program set forth in Appendix C
of the Regulations.
3. Solicitations for Subcontracts. Including Procurement of Materials and Equipment. In all solicitations
Exhibit J -Page 2 of 3
Exhibit J
either by competitive bidding or negotiation made by the Contractor for work to be performed under a subcontract,
including procurement of materials or equipment, each potential Subcontractor or supplier shall be notified by the
Contractor of the Contractor's obligations under this contract and the Regulations relative to nondiscrimination on the
ground of race, color, sex, mental or physical handicap or national origin.
4. Information and Reports. The Contractor will provide all information and reports required by the
Regulations, or orders and instructions issued pursuant thereto and will permit access to its books, records, accounts,
other sources of information and its facilities as may be determined by the State of 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.
5. Sanctions for Noncompliance. In the event of the Contractor's noncompliance with the
nondiscrimination provisions of this contract, the State shall impose such contract sanctions as it or the FHWA may
determine to be appropriate, including, but not limited to:
a. W ithholding ofpayments to the Contractor under the contract until the Contractor complies, and/or;
b. Cancellation, termination or suspension of the contract, in whole or in part.
6. Incorporation of Provisions. The Contractor will include the provisions ofpazagraphs A through F in
every subcontract, including procurement of materials and leases of equipment, unless exempt by the Regulations,
orders, or instructions issued pursuant thereto. The Contractor will take such action with respect to any subcontractor
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 ofthe State and in addition, the Contractor may request the FHWA to enter
into such litigation to protect the interests of the United States.
Exhibit J -Page 3 of 3
(FMLAWRK)
PROJECT AQC M045-008, (17336)
REGION 3 (DAW)
CONTRACT
THIS CONTRACT made this day of
09 HA3 00075
271000990
2009, by and between the State of
Colorado for the use and benefit of the Colorado Department of Transportation hereinafter referred
to as the State, and the CITY OF ASPEN, 130 South Galena, Aspen, Colorado, 81611,
CDOT Vendor #: 2000009, hereinafter referred to as the "Contractor" or the "Local Agency."
REC[TALS
1. Authority exists in the law and funds have been budgeted, appropriated and otherwise made
available and a sufficient uncommitted balance thereof remains available for payment of project and
Local Agency costs in Fund Number 400, Function 3404, GL Acct. 423 1 2000 1 1,
WBS Element 17336.10.50. Contract Encumbrance Amount: $150,000.00
2. Required approval, clearance and coordination have been accomplished from and with appropriate
agencies.
3. Pursuant to Title I, Subtitle A, Section 1108 ofthe "Transportation Equity Act for the 2151 Century"
of 1998 (TEA-21) and/or the "Safe, Accountable, Flexible, Efficient Transportation Equity Act: A
Legacy for Users" (SAFETEA-LU) of 2005 and to applicable provisions of Title 23 of the United
States Code and implementing regulations at Title 23 of the Code of Federal Regulations, as may be
amended, (collectively referred to hereinafter as the "Federal Provisions"), certain federal funds have
been and will in the future be allocated for transportation projects requested by Local Agencies and
eligible under the Surface Transportation Improvement Program that has been proposed by the State
and approved by the Federal Highway Administration ("FIIWA"), hereinafter referred to as the
"Program."
4. Pursuant to § 43-I-223, C.R.S. and to applicable portions of the Federal Provisions, the State is
responsible for the general administration and supervision ofperformance of projects in the Program,
including the administration of federal funds for a Program proj ect performed by a Local Agency under
a contract with the State.
5. The Local Agency has requested that a certain local transportation project be funded as part of the
Program, and by the date of execution of this contract, the Local Agency and/or the State has
completed and submitted a preliminary version of CDOT form #463 describing the general nature of
the Work. The Local Agency understands that, before the Work begins, form #463 may be revised as a
result of design changes made by CDOT, incoordination with the Local Agency, in its internal review
process. The Local Agency desires to perform the Work described in form #463, as it may be revised.
6. Federal-aid funds have been made available for project AQC M045-008 (17336), which shall
Page 1 of 19
consist of the purchase of four (4) Hybrid Vehicles for the Aspen Car-Share Program to reduce
PM -10 emissions to the air shed, referred to as the "Project" or the "Work."
Such Work wilt be performed in City of Aspen, Colorado, specifically described in Exhibit A.
7. The matching ratio for this federal aid project is 82.79% federal-aid funds to 17.21 % Local Agency
funds, it being understood that such ratio applies only to such costs as are eligible for federal
participation, it being further understood that all non-participating costs shall be borne by the Local
Agency at 100%.
8. The Local Agency desires to comply with the Federal Provisions and other applicable requirements,
including the State's general administration and supervision of the Project through this contract, in
order to obtain federal funds.
9. The Local Agency has estimated the total cost of the Work and is prepared to provide its match share
ofthe cost, as evidenced by an appropriate ordinance/resolution or other authority letter which expressly
authorizes the Local Agency the authority to enter into this contract and to expend its match share of the
Work. A copy of such ordinance/resolution or authority letter is attached hereto as Exhibit B.
10. This contract is executed under the authority of§§29-1-203,43-1-110;43-1-116,43-2-101(4)(c)
and 43-2-144, C.R.S. and Exhibit B.
11. The Local Agency is adequately staffed and suitably equipped to undertake and satisfactorily
complete some or all of the Work.
12. The Local Agency can more advantageously perform the Work.
THE PARTIES NOW AGREE THAT:
Section 1. Scope of Work
The Project or the Work under this contract shall consist of the purchase of four (4) Hybrid
Vehicles for the Aspen Car-Share Program to reduce PM -10 emissions to the air shed, in City of
Aspen, Colorado, as more specifically described in Exhibit A.
Section 2. Order of Precedence
In the event ofconflicts or inconsistencies beriveen this contract and its exhibits, such conflicts
or inconsistencies shall be resolved by reference to the documents in the following order ofpriority:
1. Special Provisions contained in section 29 of this contract
2. This contract
3. Exhibit A (Scope of Work)
4. Exhibit C (Funding Provisions)
5. Exhibit D (Certification for Federal-Aid Contracts)
6. Exhibit E (DBE Requirements)
7. Exhibit F (Contract Modification Tools)
Page 2 of 19
8. Other Exhibits in descending order of their attachment.
Section 3. Term
This contract shall be effective upon approval of the State Controller or designee, or on the
date made, whichever is later. The term of this contract shall continue through the completion and
final acceptance of the Project by the State, FHWA and the Local Agency.
Section 4. Project Funding Provisions
The Local Agency has estimated the total cost of the Work and is prepared to provide its match
share of the cost, as evidenced by an appropriate ordinance/resolution or other authority letter which
expressly authorizes the Local Agency the authority to enter into this contract and to expend its match
share of the Work. A copy of such ordinance/resolution or authority letter is attached hereto as Exhibit
B.
The funding provisions for the Project are attached hereto as Exhibit C. The Local Agency
shall provide its shaze of the funds for the Project as outlined in Exhibit C.
Section 5. Project Payment Provisions
A. The State will reimburse the Local Agency for the federal-aid shaze of the project charges
after the State's review and approval of such charges, subject to the terms and conditions of-this
contract. However, any charges incurred by the Local Agency prior to the date of FHWA
authorization for the Project and prior to the date this contract is executed by the State Controller or
his designee will not be reimbursed absent specific FHWA and State Controller approval thereof.
B. The State will reimburse the Local Agency's reasonable, allocable, allowable costs of
performance of the Work, not exceeding the maximum total amount described in Exhibit C. The
applicable principles described in 49 C.F.R. 18 Subpart C and 49 C.F.R. 18.22 shall govern the
allowability and allocability of costs under this contract. The Local Agency shall comply with all
such principles. To be eligible for reimbursement, costs by the Local Agency shall be:
1. In accordance with the provisions of Exhibit C and with the terms and conditions of
this contract;
2. Necessary for the accomplishment of the Work;
3. reasonable in the amount for the goods and services provided;
4. actual net cost to the Local Agency (i.e. the price paid minus any refunds, rebates, or
other items of value received by the Local Agency that have the effect of reducing
the cost actually incurred);
5. Incurred for Work performed after the effective date of this contract;
6. Satisfactorily documented.
C. The Local Agency shall establish and maintain a proper accounting system in accordance
with generally accepted accounting standards (a separate set of accounts, or as a separate and
Page 3 of 19
integral part of its current accounting scheme) to assure that project funds are expended and costs
accounted for in a manner consistent with this contract and project objectives.
All allowable costs charged to the project, including any approved services
contributed by the Local Agency or others, shall be supported by properly executed
payrolls, time records, invoices, contracts or vouchers evidencing in detail the nature of
the charges.
2. Any check or order drawn up by the Local Agency, including any item which is or
will be chargeable against the project account shall be drawn up only in accordance
with a properly signed voucher then on file in the office of the Local Agency, which
will detail the purpose for which said check or order is drawn. All checks, payrolls,
invoices, contracts, vouchers, orders or other accounting documents shall be clearly
identified, readily accessible, and to the extent feasible, kept separate and apart from
all other such documents.
D. Upon execution of this contract, the State is authorized, in its discretion, to perform any
necessary administrative support services pursuant to this contract. These services may be
performed prior to and in preparation for any conditions or requirements of this contract, including
prior FHWA approval of Work. The Local Agency understands and agrees that the State may
perform such services, and that payments for such services shall be at no cost to the State but shall
be as provided for in Exhibit C. At the request of the Local Agency, the State shall also provide
other assistance pursuant to this contract as maybe agreed in writing. In the event that federal-aid
project funds remain available for payment, the Local Agency understands and agrees the costs of
any such services and assistance shall be paid to the State from project funds at the applicable rate.
However, in the event that such funding is not made available or is withdrawn for this contract, or if
the Local Agency terminates this contract prior to project approval or completion for any reason,
then all actual incurred costs of such services and assistance provided by the State shall be the sole
expense of the Local Agency.
E. If the Local Agency is to be billed for CDOT incurred costs, the billing procedure shall be as
follows:
Upon receipt of each bill from the State, the Local Agency will remit to the State the
amount billed no later than 60 days after receipt of each bill. Should the Local Agency
fail to pay moneys due the State within 60 days of demand or within such other period as
may be agreed between the parties hereto, the Local Agency agrees that, at the request of
the State, the State Treasurer may withhold an equal amount from future apportionment
due the Local Agency from the Highway Users Tax Fund and to pay such funds directly
to the State. Interim funds, until the State is reimbursed, shall be payable from the State
Highway Supplementary Fund (400).
If the Local Agency fails to make timely payment to the State as required by this
section (within 60 days after the date of each bill), the Local Agency shall pay
interest to the State at a rate of one percent per month on the amount of the payment
Page 4 of 19
which was not made in a timely manner, until the billing is paid in full. The interest
shall accrue for the period from the required payment date to the date on which
payment is made.
F. The Local Agency will prepare and submit to the State, no more than monthly, charges for
costs incurred relative to the project. The Local Agency's invoices shall include a description of the
amounts of services performed, the dates of performance and the amounts and description of
reimbursable expenses. The invoices will be prepared in accordance with the State's standard
policies, procedures and standardized billing format to be supplied by the State.
G. To be eligible For payment, billings must be received within 60 days after the period for
which payment is being requested and final billings on this contract must be received by the State
within 60 days afer the end of the contract term.
1. Payments pursuant to this contract shall be made as earned, in whole or in part, from
available funds, encumbered for the purchase of the described services. The liability
of the State, at any time, for such payments shall be limited to the amount remaining
of such encumbered funds.
2. In the event this contract is terminated, final payment to the Local Agency maybe
withheld at the discretion of the State until completion of final audit.
3. Incorrect payments to the Local Agency due to omission, error, fraud or defalcation
shall be recovered from the Local Agency by deduction from subsequent payment
under this contract or other contracts between the State and Local Agency, or by the
State as a debt due to the State.
4. Any costs incurred by the Local Agency that are not allowable under 49 C.F.R. 18
shall be reimbursed by the Local Agency, or offset against current obligations due by
the State to the Local Agency, at the State's election.
Section 6. State and Local Agency Commitments
The Local Agency Contract Administration Checklist in Exhibit G describes the Work to be
performed and assigns responsibility of that Work to either the Local Agency or the State. The
"Responsible Parry" referred to in this contract means the Responsible Parry as identified in the
Local Agency Contract Administration Checklist in Exhibit G.
A. Design [Not Applicable]
1. If the Work includes preliminary design or final design (the "Constmction Plans"), or
design work sheets, or special provisions and estimates (collectively referred to as the "Plans"), the
responsible parry shall comply with the following requirements, as applicable:
a. Perform or provide the Plans, to the extent required by the nature of the
Work.
b. Prepare final design (Construction Plans) in accord with the requirements of
Page 5 of 19
the latest edition of the American Association of State Highway
Transportation Officials (AASHTO) manual or other standard, such as the
Uniform Building Code, as approved by CDOT.
c. Prepare special provisions and estimates in accord with the State's Roadway
and Bridge Design Manuals and Standard Specifications for Road and Bridge
Construction or Local Agency specifications if approved by CDOT.
d. Include details of any required detours in the Plans, in order to prevent any
interference of the construction work and to protect the traveling public.
e. Stamp the Plans produced by a Colorado Registered Professional Engineer.
f Provide final assembly of Plans and contract documents.
g. Be responsible for the Plans being accurate and complete.
h. Make no further changes in the Plans following the award ofthe construction
contract except by agreement in writing between the parties. The Plans shall
be considered final when approved and accepted by the parties hereto, and
when final they shall be deemed incorporated herein.
2. If the Local Agency is the responsible party:
a. The local agency shall comply with the requirements of the Americans
With Disabilities Act (ADA), and applicable federal regulations and
standards as contained in the document "ADA Accessibility Requirements
in CDOT Transportation Projects".
b. It shall afford the State ample opportunity to review the Plans and make
any changes in the Plans that are directed by the State to comply with
FHWA requirements.
a It may enter into a contract with a consultant to do all or any portion of the
Plans and/or of construction administration. Provided, however, that if
federal-aid funds are involved in the cost of such work to be done by a
consultant, that consultant contract (and the performance/provision of the
Plans under the contract) must comply with all applicable requirements of
23 CFR Part 172 and with any procedures implementing those
requirements as provided by the State, including those in Exhibit H
attached hereto. If the Local Agency does enter into a contract with a
consultant for the Work:
(1) It shall submit a certification that procurement of any design
consultant contract complied with the requirements of 23 CFR
1725(d) prior to entering into contract. The State shall either
approve or deny such procurement. If denied, the Local Agency may
not enter into the contract.
(2) It shall ensure that all changes in the consultant contract have prior
approval by the State and FHWA. Such changes in the contract shall be by
written supplement agreement. As soon as the contract with the consultant
has been awarded by the Local Agency, one copy of the executed contract shall be
submitted to the State. Any amendments to such contract shall also be submitted.
Page 6 of 19
(3) It shall require that all consultant billings under that contract shall
comply with the State's standardized billing format. Examples of the billing
formats are available from the CDOT Agreements Office.
(4) It (or its consultant) shall use the CDOT procedures described in
Exhibit H to administer that design consultant subcontract, to comply with 23
CFR 1725(b) and (d).
(5) It may expedite any CDOT approval of its procurement process
and/or consultant contract by submitting a letter to CDOT from the certifying
Local Agency's attorney/authorized representative certifying compliance
with Exhibit H and 23 CFR 172.5(b)and (d).
(6) It shall ensure that its consultant contract complies with the
requirements of 49 CFR 18.36(1) and contains the following language
verbatim:
(a) "The design work under this contract shall be compatible with
the requirements of the contract between the Local Agency and the
State (which is incorporated herein by this reference) for the
design constmction of the project. The State is an intended third
party beneficiary of this contract for that purpose."
(b) "Upon advertisement of the project work for construction, the
consultant shall make available services as requested by the State to
assist the State in the evaluation of construction and the resolution of
construction problems that may arise during the constmction of the
project."
(c) "The consultant shall review the constmction contractor's
shop drawings for conformance with the contract documents and
compliance with the provisions of the State's publication, Standard
Specifications for Road and Bridge Construction, in connection with
this work."
d. The State, in its discretion, will review constmction plans, special provisions
and estimates and will cause the Local Agency to make changes therein that
the State deterrnines are necessary to assure compliance with State and
FHWA requirements.
B. constmction [Not Applicable]
If the Work includes constmction, the responsible party shall perform the
constmction in accordance with the approved design plans and/or administer the
constmction all in accord with the Local Agency Contract Administration Checklist.
Such administration shall include project inspection and testing; approving sources
of materials; performing required plant and shop inspections; documentation of
contract payments, testing and inspection activities; preparing and approving pay
estimates; preparing, approving and securing the funding for contract modification
orders and minor contract revisions; processing contractor claims; constmction
supervision; and meeting the Quality Control requirements of the FHWA/CDOT
Page 7 of 19
Stewardship Agreement, as described in the Local Agency Contract Administration
Checklist.
2. The State shall have the authority to suspend the Work, wholly or in part, by giving
written notice thereof to the Local Agency, due to the failure of the Local Agency or
its contractor to correct project conditions which are unsafe for workers or for such
periods as the State may deem necessary due to unsuitable weather, or for conditions
considered unsuitable for the prosecution ofthe Work, or for any other condition or
reason deemed by the State to be in the public interest.
3. If the Local Agency is the responsible party:
a. It shall appoint a qualified professional engineer, licensed in the State of
Colorado, as the Local Agency Project Engineer (CAPE), to perform that
administration. The CAPE shall administer the project in accordance with
this contract, the requirements of the construction contract and applicable
State procedures.
b. If bids are to be let for the construction of the project, it shall advertise the
call for bids upon approval by the State and award the construction
contract(s) to the low responsible bidder(s) upon approval by the State.
(1) In advertising and awarding the bid for the construction of afederal-
aid project, the Local Agency shall comply with applicable
requirements of 23 USC § 112 and 23 CFR Parts 633 and 635 and
C.R.S. § 24-92-101 et seq. Those requirements include, without
limitation, that the Local Agency/contractor shall incorporate Form
1273 (Exhibit I) in its entirety verbatim into any subcontract(s) for
those services as terms and conditions therefore, as required by 23
CFR 633.102(e).
(2) The Local Agency has the option to accept or reject the proposal of
the apparent low bidder for work on which competitive bids have
been received. The Local Agency must declare the acceptance or
rejection within 3 working days after said bids are publicly opened.
(3) By indicating its concurrence in such award, the Local Agency,
acting by or through its duly authorized representatives, agrees to
provide additional funds, subject to their availability and
appropriation for that purpose, if required to complete the Work
under this project if no additional federal-aid funds will be made
available for the project. This paragraph also applies to projects
advertised and awarded by the State.
If all or part of the construction work is to be accomplished by Local Agency
personnel (i.e. by force account), rather than by a competitive bidding
process, the Local Agency will ensure that all such force account work is
accomplished in accordance with the pertinent State specifications and requirements
with 23 CFR 635, Subpart B, Force Account Construction.
Page 8 of 19
(1) Such work will normally be based upon estimated quantities and firm
unit prices agreed to between the Local Agency, the State and FHWA
in advance of the Work, as provided for in 23 CFR 635.204(c). Such
agreed unit prices shall constitute a commitment as to the value of the
Work to be performed.
(2) An alternative to the above is that the Local Agency may agree to
participate in the Work based on actual costs of labor, equipment
rental, materials supplies and supervision necessary to complete the
Work. Where actual costs are used, eligibility of cost items shall be
evaluated for compliance with 48 CFR Part 31.
(3) Rental rates for publicly owned equipment will be determined in
accordance with the State's Standard Snecifications for Road and
Bridge Construction § 109.04.
(4) All force account work shall have prior approval of the State and/or
FHWA and shall not be initiated until the State has issued a written
notice to proceed.
D. State's obligations
1. The State will perform a final project inspection prior to project acceptance as a
Quality Control/Assurance activity. When all Work has been satisfactorily
completed, the State will sign the FHWA Form 1212.
2. Notwithstanding any consents or approvals given by the State for the Plans, the State
will not be liable or responsible in any manner for the structural design, details or
construction of any major structures that are designed by or aze the responsibility of
the Local Agency as identified in the Local Agency Contract Administration
Checklist, Exhibit G, within the Work of this contract.
Section 7. ROW Acquisition and Relocation {Not Applicable to this Agreement}
If Right of Way is applicable, prior to this project being advertised for bids, [he Responsible
Party will certify in writing to the State that all right of way has been acquired in accordance with
the applicable State and federal regulations, or that no additional right of way is required.
Any acquisition/relocation activities must comply with all federal and state statutes,
regulations, CDOT policies and procedures, 49 CFR Part 24, the government wide Uniform Act
regulation, the FHWA Project Development Guide and CDOT's Right of Way Operations Manual.
Allocation of Responsibilities can be as follows:
• Federal participation in right of way acquisition (3111 charges), relocation (3109
charges) activities, if any, and right of way incidentals (expenses incidental to
acquisition relocation of right of way - 3114 charges);
• Federal participation in right of way acquisition (3111 charges), relocation (3109
Page 9 of 19
charges) but no participation in incidental expenses (3 ] 14 charges); or
• No federal participation in right of way acquisition (3111 charges) and relocation
activities (3109 expenses).
Regardless of the option selected above, the State retains oversight responsibilities. The Local
Agency's and the State's responsibilities for each option is specifically set forth in CDOT's Right of
Way Operation Manual. The manual is located at htto://www.dot.state.co.us/ROW Manual/.
Section 8. Utilities {Not Applicable to this Agreement}
If necessary, the Responsible Parry will be responsible for obtaining the proper clearance or
approval from any utility company which may become involved in this Project. Prior to this Project
being advertised for bids, the Responsible Party will certify in writing to the State that all such
clearances have been obtained.
Section 9. Railroads {Not Applicable to this Agreement}
In the event the Proj ect involves modification of a railroad company's facilities whereby the
Work is to be accomplished by railroad company forces, the Responsible Party shall make timely
application to the Public Utilities Commission requesting its order providing for the installation of
the proposed improvements and not proceed with that part of the Work without compliance. The
Responsible Party shall also establish contact with the railroad company involved for the purpose of
complying with applicable provisions of 23 CFR 646, subpart B, concerning federal-aid projects
involving railroad facilities, including:
1. Executing an agreement setting out what work is to be accomplished and the
location(s) thereof, and that the costs of the improvement shall be eligible for federal
participation.
2. Obtaining the railroad's detailed estimate of the cost of the Work.
3. Establishing future maintenance responsibilities for the proposed installation.
4. Proscribing future use or dispositions of the proposed improvements in the event of
abandonment or elimination of a grade crossing.
5. Establishing future repair and/or replacement responsibilities in the event of
accidental destruction or damage to the installation.
Section 10. Environmental Obligations
The Local Agency shall perform all Work in accordance with the requirements of the current
federal and state environmental regulations including the National Environmental Policy Act of
1969 (NEPA) as applicable.
Section 11. Maintenance Obligations {Not Applicable to this Agreement}
The Local Agency will maintain and operate the improvements constructed under this
contract at its own cost and expense during their useful life, in a manner satisfactory to the State and
FHWA. The Local Agency will make proper provisions for such maintenance obligations each year.
Such maintenance and operations shall be conducted in accordance with all applicable statutes,
Page 10 of 19
ordinances and regulations which define the Local Agency's obligations to maintain such
improvements. The State and FHWA will make periodic inspections of the project to verify that
such improvements are being adequately maintained.
Section 12. Federal Requirements
The Local Agency and/or their contractor shall at all times during the execution of this
contract strictly adhere to, and comply with, all applicable federal and state laws, and their
implementing regulations, as they currently exist and may hereafter be amended. The contractor
shall also require compliance with these statutes and regulations in subgrant agreements permitted
under this contract. A listing of certain federal and state laws that maybe applicable are described
in Exhibit J.
Section 13. Record Keeping
The Local Agency shall maintain a complete file of all records, documents, communications,
and other written materials which pertain to the costs incurred under this contract. The Local
Agency shall maintain such records for a period of three (3) years after the date of termination of
this contract or final payment hereunder, whichever is later, or for such further period as may be
necessary to resolve any matters which may be pending. The Local Agency shall make such
materials available for inspection at all reasonable times and shall permit duly authorized agents and
employees ofthe State and FHWA to inspect the project and to inspect, review and audit the project
records.
Section 14. Termination Provisions
This contract may be terminated as follows:
A. Termination for Convenience. The State may terminate this contract at any time the State
determines that the purposes of the distribution of moneys under the contract would no longer be
served by completion of the project. The State shall effect such termination by giving written notice
of termination to the Local Agency and specifying the effective date thereof, at least twenty (20)
days before the effective date of such termination.
B. Termination for Cause. If, through any cause, the Local Agency shall fail to fulfill, in a timely
and proper manner, its obligations under this contract, or if the Local Agency shall violate any of the
covenants, agreements, or stipulations of this contract, the State shall thereupon have the right to
terminate this contract for cause by giving written notice to the Local Agency of its intent to
terminate and at least ten (10) days opportunity to cure the default or show cause why termination is
otherwise not appropriate. In the event of termination, all finished or unfinished documents, data,
studies, surveys, drawings, maps, models, photographs and reports or other material prepared by the
Local Agency under this contract shall, at the option of the State, become its property, and the Local
Agency shall be entitled to receive just and equitable compensation for any services and supplies
delivered and accepted. The Local Agency shall be obligated to return any payments advanced
under the provisions of this contract.
Page 11 of 19
Notwithstanding the above, the Local Agency shall not be relieved of liability to the State for
any damages sustained by the State by virtue of any breach of the contract by the Local Agency, and
the State may withhold payment to the Local Agency for the purposes ofmitigating its damages until
such time as the exact amount of damages due to the State from the Local Agency is determined.
If after such termination it is determined, for any reason, that the Local Agency was not in
default or that the Local Agency's action inaction was excusable, such termination shall be treated
as a termination for convenience, and the rights and obligations of the parties shall be the same as if
the contract had been terminated for convenience, as described herein.
C. Termination Due to Loss of Fundine. The parties hereto expressly recognize that the Local
Agency is to be paid, reimbursed, or otherwise compensated with federal and/or State funds which
are available to the State for the purposes of contracting for the Project provided for herein, and
therefore, the Local Agency expressly understands and agrees that all its rights, demands and claims
to compensation arising under this contract are contingent upon availability of such funds to the
State. In the event that such funds or any part thereof are not available to the State, the State may
immediately terminate or amend this contract.
Section 15. Legal Authority
The Local Agency warrants that it possesses the legal authority to enter into this contract and
that it has taken all actions required by its procedures, by-laws, and/or applicable law to exercise that
authority, and to lawfully authorize its undersigned signatory to execute this contract and to bind the
Local Agency to its terms. The person(s) executing this contract on behalf of the Local Agency
warrants that such person(s) has full authorization to execute this contract.
Section 16. Representatives and Notice
The State will provide liaison with the Local Agency through the State's Region Director, Region 3,
222 South Sixth Street, Room 317, Grand Junction, Colorado, 81501-2769. Said Region Director
will also be responsible for coordinating the State's activities under this contract and will also issue a
"Notice to Proceed" to the Local Agency for commencement of the Work. All communications
relating to the day-to-day activities for the work shall be exchanged between representatives of the
State's Transportation Region 3 and the Local Agency. All communication, notices, and
correspondence shall be addressed to the individuals identified below. Either party may from time
to time designate in writing new or substitute representatives.
If to State:
Roland Wagner
CDOT Region 3
Resident Engineer
202 Centennial
Glenwood Springs, CO 81601
(970)945-8187
If to the Local Agency:
Lynn Rumbaugh
City of Aspen
Transportation Programs Manager
130 South Galena
Aspen, CO 81611
(970)920-5038
Page 12 of 19
Section 17. Successors
Except as herein otherwise provided, this contract shall inure to the benefit of and be binding
upon the parties hereto and their respective successors and assigns.
Section 18. Third Party Beneficiaries
It is expressly understood and agreed that the enforcement of the terms and conditions of this
contract and all rights of action relating to such enforcement, shall be strictly reserved to the State
and the Local Agency. Nothing contained in this contract shall give or allow any claim or right of
action whatsoever by any other third person. It is the express intention of the State and the Local
Agency that any such person or entity, other than the State or the Local Agency receiving services or
benefits under this contract shall be deemed an incidental beneficiary only.
Section 19. Governmental Immunity
Notwithstanding any other provision of this contract to the contrary, no term or condition of
this contract shall be construed or interpreted as a waiver, express or implied, of any of the
immunities, rights, benefits, protection, or other provisions of the Colorado Governmental Immunity
Act, § 24-10-101, et seq., C.R.S., as now or hereafter amended. The parties understand and agree
that liability for claims for injuries to persons or property arising out of negligence of the State of
Colorado, its departments, institutions, agencies, boards, officials and employees is controlled and
limited by the provisions of § 24-10-101, et seq., C.R.S., as now or hereafter amended and the risk
management statutes, §§ 24-30-1501, et seq., C.R.S., as now or hereafter amended.
Section 20. Severability
To the extent that this contract maybe executed and performance of the obligations of the
parties may be accomplished within the intent of the contract, the terms of this contract are
severable, and should any term or provision hereof be declared invalid or become inoperative for
any reason, such invalidity or failure shall not affect the validity of any other term or provision
hereof.
Section 21. Waiver
The waiver of any breach of a term, provision, or requirement of this contract shall not be
construed or deemed as a waiver of any subsequent breach of such term, provision, or requirement,
or of any other term, provision or requirement.
Section 22. Entire Understanding
This contract is intended as the complete integration of all understandings between the
parties. No prior or contemporaneous addition, deletion, or other amendment hereto shall have any
force or effect whatsoever, unless embodied herein by writing. No subsequent novation, renewal,
addition, deletion, or other amendment hereto shall have any force or effect unless embodied in a
writing executed and approved pursuant to the State Fiscal Rules.
Page 13 of 19
Section 23. Survival of Contract Terms
Notwithstanding anything herein to the contrary, the parties understand and agree that all
terms and conditions ofthis contract and the exhibits and attachments hereto which may require
continued performance, compliance or effect beyond the termination date of the contract shall
survive such termination date and shall be enforceable by the State as provided herein in the event of
such failure to perform or comply by the Local Agency.
Section 24. Modification and Amendment
This contract is subject to such modifications as may be required by changes in federal or
State law, or their implementing regulations. Any such required modification shall automatically be
incorporated into and be part of this contract on the effective date of such change as if fully set forth
herein. l;xcept as provided above, no modification ofthis contract shall be effective unless agreed to
in writing by both parties in an amendment to this contract that is properly executed and approved in
accordance with applicable law.
Section 25. Option Letters
Option Letters may be used to extend Agreement term, change the level of service within the current
term due to unexpected overmatch, add a phase without increasing contract dollars, or increase or
decrease the amount of funding. These options are limited to the specific scenarios listed below.
The Option Letter shall not be deemed valid until signed by the State Controller or an authorized
delegate.
Following are the applications for the individual options under the Option Letter form:
Option 1 - Option to extend or renew (this option applies to Highway and Signal maintenance
contracts only). In the event the State desires to continue the Services and a replacement
contract has not been fully approved by the termination date ofthis contract, the State, upon
written notice to Contractor, may unilaterally extend this contract for a period of up to one (1)
year. The contract shall be extended under the same terms and conditions as the original
contract, including, but not limited to prices, rates and service delivery requirements. This
extension shall terminate at the end of the one (1) year period or when the replacement contract
is signed by the Colorado State Controller or an authorized delegate.
The State may exercise this option by providing a fully executed option to the contractor,
within thirty (30) days prior to the end of the current contract term, in a form substantially equivalent
to Exhibit F. If the State exercises this option, the extended contract will be considered to include
this option provision. The total duration of this contract, including the exercise of any options under
this clause, shall not exceed five (5) years.
Option 2 -Level of service chanee within current term due to unexpected overmatch in an
overbid situation only. In the event the State has contracted all project funding and the Local
Agency's construction bid is higher than expected, this option allows for additional Local
Page 14 of 19
Overmatch dollars to be provided by the Local Agency to be added to the contract. This option
is only applicable for Local Overmatch on an overbid situation and shall not be intended for any
other Local Overmatch funding.
The State may unilaterally increase the total dollars of this contract as stipulated by the executed
Option Letter (Exhibit F), which will bring the maximum amount payable under this contract
to the amount indicated in Exhibit C-I attached to the executed Option Letter (future changes to
Exhibit C shall be labeled as C-2, C-3, etc, as applicable). Performance of the services shall
continue under the same terms as established in the contract. The State will use the Financial
Statement submitted by the Local AQencv for "Concurrence to Advertise " as evidence o the
Local A¢ency's intent to award and it will also provide the additional amount required to
exercise this option. If the State exercises this option, the contract will be considered to include
this option provision.
Option 3 -Option to add overlapping phase without increasing contract dollars. The State may
require the contractor to begin a phase that may include Design, Construction, Environmental,
Utilities, ROW Incidentals or Miscellaneous (this does not apply to Acquisition/Relocation or
Railroads) as detailed in Exhibit A and at the same terms and conditions stated in the original
contract with the contract dollars remaining the same. The State may exercise this option by
providing a fully executed option to the contractor within thirty (30) days before the initial targeted
start date of the phase, in a form substantially equivalent to Exhibit F. If the State exercises this
option, the contract will be considered to include this option provision.
Option 4 - To update fundine (increases and/or decreases) with a new Exhibit C. This option
can be used to increase and/or decrease the overall contract dollars (state, federal, local match,
local agency overmatch) to date, by replacing the original funding exhibit (Exhibit C) in the
Original Contract with an updated Exhibit C-1 (subsequent exhibits to Exhibit C-1 shall be
labeled C-2, C-3, etc).
The State may have a need to update changes to state, federal, local match and local agency
overmatch funds as outlined in Exhibit C- 1, which will be attached to the option form. The State
may exercise this option by providing a fully executed option to the contractor within thirty (30)
days after the State has received notice of funding changes, in a form substantially equivalent to
Exhibit F.
If the State exercises this option, the contract will be considered to include this option provision.
Section 26. Disadvantaged Business Enterprise (DBE)
The Local Agency will comply with all requirements of Exhibit E and the Local Agency
Contract Administration Checklist regarding DBE requirements for the Work, except that if the
Local Agency desires to use its own DBE program to implement and administer the DBE provisions
of 49 CFR Part 26 under this contract, it must submit a copy of its program's requirements to the
State for review and approval before the execution of this contract. If the Local Agency uses its
program for this contract, the Local Agency shall be solely responsible to defend that DBE 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
Page 15 of 19
eligibility requirements and certification, adequate legal and factual bases for DBE goals and good
faith efforts. State approval (if provided) of the Local Agency's DBE program does not waive or
modify the sole responsibility of the Local Agency for its use as described above.
Section 27. Disputes
Except as otherwise provided in this contract, any dispute concerning a question of fact
arising under this contract which is not disposed of by agreement, will be decided by the Chief
Engineer of the Department of Transportation. The decision of the Chief Engineer will be final and
conclusive unless, within 30 calendar days after the date of receipt of a copy of such written
decision, the Locat Agency mails or otherwise furnishes to the State a written appeal addressed to
the Executive Director of the Department of Transportation. In connection with any appeal
proceeding under this clause, the Local Agency shall be afforded an opportunity to be heard and to
offer evidence in support of its appeal. Pending final decision of a dispute hereunder, the Local
Agency shall proceed diligently with the performance of the contract in accordance with the Chief
Engineer's decision. The decision of the Executive Director or his duly authorized representative
for the determination of such appeals will be final and conclusive and serve as final agency action.
This dispute clause does not preclude consideration of questions of law in connection with decisions
provided for herein. Nothing in this contract, however, shall be construed as making final the
decision of any administrative official, representative, or board on a question of law.
Section 28. Single Audit Act Amendment
All state and local government and non-profit organization Sub-Grantees receiving more than
$500,000 from all funding sources, that are defined as federal financial assistance for Single Audit Act
Amendment purposes, shall comply with the audit requirements of OMB Circular A-133 (Audits of
States, Local Governments and Non-Profit Organizations) see also, 49 CFR 18.20 through 18.26. The
Single Audit Act Amendment requirements that apply to Sub-Grantees receiving federal funds are as
follows:
a) If the Sub-Grantee expends less than $500,000 in Federal funds (all federal sources, not just
Highway funds) in its fiscal year then this requirement does not apply.
b) If the Sub-Grantee expends more than $500,000 in Federal funds, but only received federal
Highway funds (Catalog of Federal Domestic Assistance, CFDA 20.205) then a program specific
audit shall be performed. This audit will examine the "financial" procedures and processes for
this program area.
c) If the Sub-Grantee expends more than $500,000 in Federal funds, and the Federal funds are
from multiple sources (FTA, HUD, NPS, etc.) then the Single Audit Act applies, which is an
audit on the entire organization/entiry.
Page 16 of 19
d) Single Audit can only be conducted by an independent CPA, not by an auditor on staff.
e) An audit is an allowable direct or indirect cost.
Page 17 of 19
Section 29.
SPECIAL PROVISIONS
The Special Provisions apply to all contracts except where noted in italics.
1. CONTROLLER'S APPROVAL. CRS §24-30-202(1). This contract shall not be valid until it has been approved by the Colorado State Controller or designee.
2. FUND AVAILABILITY, CRS §2430-202(5.5). Financial obligations of [he State payable a0er the curtent fscal year are contingent upon funds for that purpose being appropriated,
budgeted, and otherwise made available.
3. GOVERNMENTAL IMMUNITY. No tcrtn or condition of this contract shall be consttued or interyreted as a waiver, express or implied, o(any of the immunities, rights, benefits,
protections, or other provisions, of the Colorado Governmental Immunity AcS CRS §24.10.101 et seq., or the Federal Tor[ Claims Ac[, 28 U.S.C. §§ 1346(6) and 2671 et seq-, as applicable now
or hcreaRer amended.
4. INDEPENDENT CONTRACTOR. Contactor shall pcrfovn its duties hereunder as an independem contractor and not as an employee. Neither Contractor nor any agent or employee of
Contractor shall be deemed to be an agent or employee of the States Contactor and its employees and agents are not entitled to unemployment insuance or workers compensation benefits
through [he Stale and the State shall not pay for or otherwise provide such coverage for Conhactor or any of its agents or employees. Unemployment insurance benefits wit l be available to
Contactor and its employees and agents only if such covcrnge is made available by Contractor or a third parry. Contactor shall pay when due all applicable employment [axes and income taxes
and local head taxes incurred pursuant to this contact. Conhactor shell not have authonzanoq express or implied, to bind the State to any agreement, liability or understanding, except as
expressly set Corth herein Contactor shell (e) provide and keep in tome workers compensation and unemployment compensation insurance in the amounts required by law, (b) provide proof
(hereof when requested by the State, and (c) be solely responsible for its acts and those of its employees and agents.
5. COMPLIANCE WITH LAW. Conhactor shall sttictly comply with all applicable federal and Satc laws, rules, and regulations in effect or hereaRer established, including, without
limitation, laws applicable to discrimination and unfair employment practices.
6. CHOICE OF LAW. Coloado law, and rules and regulations issued pursuant [hereto, shall be applied in the interpregtiov, execution, and evforeement of this oontact. 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 [o
negate this or any other Special Provision in whole or in part shall not be valid or enforceable or available in any action a[ law, whether by way of complaint, defense, or otherwise. Any
provision rendered null and void by the opeation of this provision shall not invalidate [he rcmaiuder of [his contract, to tnc extent capable of execution.
7. BINDING ARBITRATION PROHIBITED. The State of Colorado does not agree m binding arbitration by any exha-judicial body or person. Any provision to [he con[ary in this
contactor incorporated herein by reference shall be null and void.
8. SOFTWARE PIRACY PROHIBITION. Governor's Ezecudve Order D 002 00. State or other public funds payable under this contact shall not be used for the acquisition, operation,
or maintenance of computer software in violation of federal copyright laws or applicable licensing resrcidions. Contactor hereby certifies and wanants [ha[, dining the term of this contract and
any extensions, Contractor has and shall maintain in place appropriate systems and controls m prevent such improper use of public (ands. If the State determines that Conhactor is in violation of
this pmvisioq the State may exercise any remedy available at law or in equity or under this eomact, including, without Iimita[ioq immediate termination of this contact and any remedy
consistent with federal copyright laws or applicable licensing resttictiovs.
9. EMPLOYEE FINANCIAL INTEREST/CONFLICT OF INTEREST. CRS §§24-18-201 end 24-50-507. The signatories aver that to [heir knowledge, no employee of the Sta[c has
any personal or beneficial interest whatsoever in the service or property described in this contmct Contracor has no interest and shall not acquire any interest, direct or indirect, that would
conflict in any manner or degree with the performance of Contractor's services and Contractor shall no[ employ any person having such known interests.
10. VENDOR OFFSET. CRS §§2440-202 (I) and 2430-202.4 [Nut Applicaa(e m interyvvernmenral agreements] Subject to CRS §24-30.202.4 (3.5), the State Confioller may withhold
payment under the State's vendor offset intercept system for debts owed ro State egcvciea for. (a) unpaid child support debts or child support arteamgea; (b) unpaid balances of tax, accmed
interest, or other charges specifed in CRS §39-21-101, et seq.; (c) unpaid loans due to the SNdem Loan Division of the Department of Higher Education; (d) amounts required w be paid to the
Unemployment Compensation Fund; and (e) other unpaid debts owing W the State es a result of final agency determination orjudicial action.
11. PUBLIC CONTRACTS FOR SERVICES. CRS §8-17.5-101. (Not Applicable fo agreements relating to the offer, issuance, orsale o/securities, investment advisory
services or fund management services, sponsored projects, intergovernmental agreements, or information technology services or products and servlcesJ Contractor
certifies, warrants, and agrees that it does not knowinglyemploy orconbact with an illegal alien who will peAOmr work underthis contmct and will confirm the employmenteligibilityo/
all employees who are newlyhired /unemployment in the United States to pedorm work under this contract. through participation in the E-Veri/yProgrem orthe Depadmentprogram
establishedpursuanlloGRS §8-17.5-f02(5J(cJ, Contrectorshall not knowingly employ orcontrecf with an illegal alien to perform work underthis contract orenterinto a contract with
a subcontractor that /ails to certify to Contractor that the subcontractorshall not knowingly employ orcontract with an illegal alien to perform workunderthis contrect. Contractor(s)
shall not use E-Veri/yProgrem or Department program procedures to undertake pre-employmentscreening o/job applicants while this conlydctis beingpeAormed, (b) shall notifylhe
subcontractor and the contracting State agency within three days i/Contractor has actual knowledge that a subcontracforis employing or conlracfing with an illegal alien /or work
underthi;contract, (c) shall terminate the subcontract i/a subcontractordoes not stop employing orcontmcting with the illegal alien within three days ofreceiving the notice, and (tlj
shall comply with reasonable requests made in the course ofan investigation, undertaken pursuantto CRS §B-17.5-/02(5J, bythe Colorado Department ofLeborandEmp/oyment. if
Conlrectorparticipates in the Department program, Contractorshalldeliver to the contracting State agency, Institution o/Higher Education orpoliticalsubdivision a whtten, notarized
a~rma[ion, affirming that Contractor has examined the legal work status of such employee, and shall comply with all o/the other requirements o/the Department program. I/
Contractor/ails to comply with anyrequirement o/this provision or CRS §B-17 5-701 of seq., the contracting Stale agency, institution o/higheretluca6on orpoliticalsubdivision may
terminate this contract /or breach and, ifso terminated, Contractor shall be liable for damages.
12. PUBLIC CONTRACTS WITN NATURAL PERSONS.CRS §24-76.5-lOL Con[rncmr, ifana[ual person eighteen(IS)years ofagc oroldcq hereby swears andaRirms under
penalty of perjury that heor she (a) is a citizen or otherwise lawfully present in the United States pursvam to federal law, (b) shall comply with the provisions ofCRS §24-76.5-101 e[ seq.,
and (e) has produced ovc form of identification required by CRB §24-76.5-103 prior to the effective dale of tltis connect.
Revised t-1-09
Page 18 of 19
THE PARTIES HERETO HAVE EXECUTED THIS CONTRACT
LOCAL AGENCY:
Citv of Aspen
Legal Name of Contracting Entity
2000009
CDOT Vendor Number
Signature of Authorized Officer
STATE OF COLORADO:
BILL BITTER, JR. GOVERNOR
By
Executive Director
Department of Transportation
LEGAL REVIEW:
JOHN W.SUTHERS
ATTORNEY GENERAL
Print Name & Title of Authorized Officer
LOCAL AGENCIES:
(A Local Agency attestation is required.)
Attest (Seal) By
(Town/City/County Clerk)
(Place Agency seal here, if available)
ALL CONTRACTS MUST BE APPROVED BY THE STATE CONTROLLER
CRS 24-30-202 requires that the State Controller approve all state contracts. This contract is not valid until the State
Controller, or such assistant as he may delegate, has signed it. The contractor is not authorized to begin performance
until the contract is signed and dated below. If performance begins prior to the date below, the State of Colorado
may not be obligated to pay for the goods and/or services provided.
STATE CONTROLLER:
DAVID J. MC DERMOTT, CPA
By
By,
Page 19 of 19
Exhibit A
FORM 463
or
SCOPE OF WORK
Page 1 of 19
Exhibit B
LOCAL AGENCY
ORDINANCE
or
RESOLUTION
EXHIBIT C FUNDING PROVISIONS
A. The Local Agency has estimated the total cost the Work to be $150,000.00 which is to be
funded as follows:
1 BUDGETED FUNDS
a. Federal Funds $124,185.00
(82.79% of Participating Costs)
b. Local Agency Matching Funds $25,815.00
(17.21% of Participating Costs)
Local Agency Matching for CDOT -
c. Incurred Non-Participating Costs $0.00
(Including Non-Participating Indirects)
TOTAL BUDGETED FUNDS $150,000.00
2 ESTIMATED CDOT-INCURRED COSTS
a. Federal Share $0.00
(82.79% of Participating Costs)
b. Local Share
Local Agency Share of Participating Costs $0.00
Non-Participating Costs (Including Non-
participating Indirects) $0.00
Estimated to be Billed to Local Agency $0.00
TOTAL ESTIMATED CDOT-INCURRED COSTS $0.00
3 ESTIMATED PAYMENT TO LOCAL AGENCY
a. Federal Funds Budgeted (1a) $124,185.00
b. Less Estimated Federal Share of CDOT-Incurred Costs (2a) $0.00
TOTAL ESTIMATED PAYMENT TO LOCAL AGENCY $124,185.00
FOR CDOT ENCUMBRANCE PURPOSES
Total Encumbrance Amount
(82.79% of $150,000.00 )
$124,185.00
Local Agency Matching Funds (1b) $25,815.00
Net to be encumbered as follows:
WBS Element 17336.10.50 Misc. 3404 $150,000.00
Exhibit C -Page 1 of 2
B. The matching ratio for the federal participating funds for this project is 82.79% federal-aid
funds (CFDA #20 2050) to 17.21 % Local Agency funds, it being understood that such ratio
applies only to the $150,000.00 that is eligible for federal participation, it being further
understood that all non-participating costs are borne by the Local Agency at 100%. If the
total participating cost of performance of the Work exceeds $150,000.00, and additional
federal funds are made available for the project, the Local Agency shall pay 17.21% of all
such costs eligible for federal participation and 100% of all non-participating costs; if
additional federal funds are not made available, the local agency shall pay all such excess
costs. If the total participating cost of performance of the Work is less than $150,000.00,
then the amounts of Local Agency and federal-aid funds will be decreased in accordance
with the funding ratio described herein. The performance of the Work shall be at no cost to
the State.
C. The maximum amount payable to the Local Agency under this contract shall be $124,185.00
(For CDOT accounting purposes, the federal funds of $124,185.00 and local matching funds
of $25,815.00 will be encumbered for a total encumbrance of $150,000.00), unless such
amount is increased by an appropriate written modification to this contract executed before
any increased cost is incurred. It is understood and agreed by the parties hereto that the total
cost of the Work stated hereinbefore is the best estimate available, based on the design data
as approved at the time of execution ofthis contract, and that such cost is subject to revisions
(in accord with the procedure in the previous sentence) agreeable to the parties prior to bid
and award.
D. The parties hereto agree that this contract is contingent upon all funds designated for the
project herein being made available from federal and/or state and/or Local Agency sources,
as appiicable. Should these sources, either federal or Local Agency, fail to provide
necessary funds as agreed upon herein, the contract may be terminated by either party,
provided that any party terminating its interest and obligations herein shall not be relieved of
any obligations which existed prior to the effective date of such termination or which may
occur as a result of such termination.
Exhibit C -Page 2 of 2
Exhibit D
EXHIBIT D
Certification for Federal-Aid Contracts
The contractor certifies, by signing this contract, to the best of its knowledge and belief, that
1. No Federal appropriated funds have been paid or will be paid, by or on behalf or the
undersigned, to any person for influencing or attempting to influence an officer or employee of any
Federal agency, a Member of Congress, an officer or employee of Congress, or an employee of a
Member of Congress in connection with the awarding of any Federal loan, the entering into of any
cooperative agreement, and the extension, continuation, renewal, amendment, or modification of any
Federal contract, grant, loan, or cooperative agreement.
2. 11' any funds other than Federal appropriated funds have been paid or will be paid to any
person for influencing or attempting to influence an officer or of Congress, or an employee of a
Member of Congress in connection with this Federal contract, grant, loan, or cooperative agreement,
the undersigned shall complete and submit Standard Form-LLL, "Disclosure Form to Report
Lobbying," in accordance with its instructions.
This certification is a material representation of fact upon which reliance was placed when this
transaction was made or entered into. Submission of this certification is a prerequisite for making or
entering into this transaction imposed by Section 1352, Title 31, U. S. Code. Any person who fails to
file the required certification shall be subject to a civil penalty of not less than $10,000 and not more
than $100,000 for each such failure.
The prospective participant also agree by submitting his or her bid or proposal that he or she shall
require that the language of this certification be included in all lower tier subcontracts, which exceed
$100,000 and that all such sub-recipients shall certify and disclose accordingly.
Required by 23 CFR 635.112
Exhibit D -Page 1 of 1
Exhibit E
DISADVANTAGED BUSINESS ENTERPRISE (DBE)
SECTION 1. Policy
It is the policy of the Colorado Department of Transportation (CDOT) that disadvantaged business
enterprises shall have the maximum opportunity to participate in the performance of contracts
financed in whole or in part with Federal funds under this agreement, pursuant to 49 CFR Part 23.
Consequently, the 49 CFR Part IE DBE requirements the Colorado Department of Transportation
DBE Program (or a Local Agency DBE Program approved in advance by the State) apply to this
agreement.
SECTION 2. DBE Oblieation.
The recipient or its contractor agrees to ensure that disadvantaged business enterprises as determined
by the Office of Certification at the Colorado Department of Regulatory Agencies have the maximum
opportunity to participate in the performance of contracts and subcontracts financed in whole or in
part with Federal funds provided under this agreement. In this regard, all participants or contractors
shall take all necessary and reasonable steps in accordance with the CDOT DBE program (or a Local
Agency DBE Program approved in advance by the State) to ensure that disadvantaged business
enterprises have the maximum opportunity to compete for and perform contracts. Recipients and
their contractors shall not discriminate on the basis of race, color, national origin, or sex in the award
and performance of CDOT assisted contracts.
SECTION 3 DBE Program;
The contractor (sub-recipient) shall be responsible for obtaining the Disadvantaged Business
Enterprise Program of the Colorado Department of Transportation, 1988, as amended, and shall
comply with the applicable provisions of the program. (If applicable).
A copy of the DBE Program is available from and will be mailed to the contractor upon request:
Business Programs Office
Colorado Department of Transportation
4201 East Arkansas Avenue, Room 287
Denver, Colorado 80222-3400
Phone: (303) 757-9234
revised 1/22/98 Required by 49 CFR Part 23.41
Exhibit E -Page 1 of 1
Exhibit F
SAMPLE IGA OPTION LETTER
NOTE This option is limited to the specilic contract scenarios listed below AND cannot be used in place of exercising a formal
amendment.
Date: State Fiscal Year: Option Letter No. CLIN Routing #
Contractor /Local Agency:
A. SUBJECT: (Choose applicable options listed below AND in section 8 and delete the rest)
1. Option to renew (for an additional term) applies to Highway and Signal maintenance
contracts ONLY; this renewal
cannot be used to make any change to the original scope of work;
2. Level of service change within current term due to an unexpected Local overmatch on an overbid
situation ONLY;
3. Option to add phasing to include Design, Construction, Environmental, Utilities, ROW incidentals or
Miscellaneous ONLY (does not apply to Acquisition/Relocation or Railroads);
4. Option to update funding (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.)
B. REQUIRED PROVISIONS. All Option Letters shall contain the appropriate provisions set
forth below:
(Insert the followinq lanquage for use with Options #11:
In accordance with Paragraph(s) of contract routing number (insert FY Agencv code. &CLIN
routin # ,between the State of Colorado, Department of Transportation, and (insert contractor's name) the
state hereby exercises the option for an additional term of (insert performance period here) at a cost/price
specified in Paragraph/Section/Provision of the original contract, AND/OR an increase in
the amount ofgoods/services at the same rate(s) as specified in Paragraph of the
original contract.
(Insert the followinq language for use with Option #2):
In accordance with the terms of the original contract (insert FY Agencv code &CLIN routing #1 between the
State of Colorado, Department of Transportation and (insert contractor's name here), the State hereby
exercises the option to record a level of service change due to unexpected overmatch dollars due to an
overbid situation. The contract is now increased by (indicate additional dollars here) specified in
Paragraph/Section/Provision of the original contract.
(Insert the followinq language far use with Option #31:
In accordance with the terms of the original contract (insert FY Agencv code &CLIN routing #) between the
State of Colorado, Department of Transportation and (insert contractor's name here), the State hereby
exercises the option to add an overlapping phase in (indicate Fiscal Year here) that will include describe
which phase will be added and include all that apply- Design. Construction. Environmental. Utilities. ROW
incidentals or Miscellaneous). Total funds for this contract remain the same (indicate total dollars here) as
referenced in Paragraph/Section/Provision/Exhibit of the original contract.
(Insert the followinq lanquage for use with Option #41:
In accordance with the terms of the original contract (insert FY Agencv code &CLIN routing #)
between the State of Colorado, Department of Transportation and (insert contractor's
name here), the State hereby exercises the option to update funding based on changes
from state, federal, local match and/or local agency overmatch funds. The contract is now
(select one: increased and/or decreased) by (insert dollars here) specified in Paragraph/-
Section/-Provision/Exhibit of the original contract. Anew Exhibit C-1 is
made part of the original contract and replaces Exhibit C. (The following is a NOTE only
so please delete when using this option: future changes for this option far Exhibit C shall
be labeled as follows: C-2, C3, C-4, etc.)
Exhibit F -Page 1 of 2
Exhibit F
{The followinst lannuaae must be included on all notions):
The amount of the current Fiscal Year contract value is (increased/decreased) by ($ amount of chanoe) to a
new contract value of ($ ) to satisfy services/goods ordered under the contract for the current
fiscal year (indicate Fiscal Yearl. The first sentence in Paragraph/Section/Provision is hereby
modified accordingly.
The total contract value to include all previous amendments, option letters, etc. is ($ ).
The effective date of this Option Letter is upon approval of the State Controller or delegate, whichever is
later.
APPROVALS:
For the Contractor /Local Aaencv
Legal Name of Contractor / Local Agency
By:
Signature:
Date:
Name of Authorized Individual
Title: Official Title of Authorized Individual
State of Colorado:
Bill Ritter, Jr., Governor
By:
Executive Director, Colorado Department of Transportation
Date:
ALL CONTRACTS MUST BE APPROVED BY THE STATE CONTROLLER
CRS §24-30-202 requires the State Controller to approve all State Contracts. This Contract 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 Contractor begins pertorming prior thereto, the State of
Colorado is not obligated to pay Contractor for such performance or for any goods and/or services
provided hereunder.
State Controller
David J. McDermott, CPA
By:
Date:
Issuance date: July 1, 2008
Exhibit F -Page 2 of 2
Exhibit G
LOCAL AGENCY
CONTRACT ADMINISTRATION
CHECKLIST
Exhibit G
Exhibit H
THE LOCAL AGENCY SHALL USE THESE PROCEDURES TO IMPLEMENT FEDERAL-AID
PROJECT AGREEMENTS WITH PROFESSIONAL CONSULTANT SERV[CES
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 [o ensure that a qualifed 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 [he related operations guidebook titled
"Obtaining Professional Consultant Services". This directive and guidebook incorporate requirements from both Federal
and Stale regulations, i.e., 23 CFR 172 and Colorado Revised Statute (C.R.S.) 24-30-1401 e[ 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 contmc[ing 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 [heir 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 inconformity 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 [o the selection ofthe three
most qualified firms and the advertising should be done in one or more daily newspapers of general circulation.
4. The request for consultant services should include the scope of work, the evaluation fao[ors and their relative
importance, the method of payment, and the goal of ten percent (10%) for Disadvantaged Business Enterprise
(DBE) participation as a minimum for the project.
5. The analysis and selection of the consultants should be done in accordance with C.R.S. 24-30-1403. This section
of the regulation identifies the criteria to be used in the evaluation of CDOTpre-qualified prime consultants and
their team. It also shows which criteria are used to short-list and to make a final selection.
The short-list is based on the following evaluation factors:
a. Qualifications,
b. Approach to the project,
c. Ability [o famish professional services.
d. Anticipated design concepts, and
e. Alternative methods of approach for famishing the professional services.
Evaluation factors for final selection are the consultant's:
a. Abilities of their personnel,
b. Past performance,
Exhibit H -Page 1 of 2
Exhibit H
c. Willingness to meet the time and budge[ requirement,
d. Location,
e. Current and projected work load,
f Volume of previously awarded contracts, and
g. Involvement of minority consultants.
6. Once a consttltan[ is selected, the local agency enters into negotiations with [he consultant to obtain a fair and
reasonable price for the anticipated work. Pre-negotiation audits are prepared for contracts expected to be greater
than $50,000. Federal reimbursement for costs are limited to those costs allowable under [he cos[ principles of48
CFR 31. Fixed fees (profit) are determined with consideration given to size, complexity, duration, and degree of
risk involved in [he work. Profit is in the range of six (6) to fifteen (15) percent of the total direct and indirect
costs.
7. A qualified local agency employee shall be responsible and in charge of the project to ensure that the work being
pursued is complete, accurate, and consistent with the terms, conditions, and specifications of the contract. At the
end ofproject, the local agency prepares a performance evaluation (a CDOT form is available) on the consultant.
8. Each of the steps listed above is to be documented in accordance with the provisions of 49 CFR 18.42, which
provide for records to be kept at least three (3) years from the date that the local agency submits its final
expenditure report. Records of projects under litigation shall be kept a[ least three (3) years after the case has
been settled.
The C.R.S. 24-30-1401 through 24-30-1408, 23 CFR Part 172, and P.D. 400.1, provide additional details for complying
with the eight (8) steps just discussed.
Exhibit H -Page 2 of 2
Exhibit I
FHWA Form 1273
FMWA-12]3 Eledmnic version - Mamh te, 1994
REQUIRED CONTRACT PROVISIONS
FEDERAL-AID CONSTRUCTION CONTRACTS
I. General ...................................................................
II. Nondiscrimination ...................................................
III. Non-segregated Facilities .......................................
IV. Payment of Predetermined Minimum Wage...........
V. Statements and Payrolls .........................................
VI. Record of Matedals, Supplies, and Labor ...............
VII. Subletting or Assigning the Contract .......................
VIII. Safety: Accident Prevention ...................................
IX. False Statements Concerning Highway Projects....
X. Implementation of Clean Air Act and Federal
Water Pollution ConVOI Act .....................................................
XI. Certifcation Regarding Debarment, Suspension,
Ineligibility, and Voluntary Exclusion .......................................
XII. Certification Regarding Use of Contract Funds for
Lobbying ..................................................................................
ATTACHMENTS
A. Employment Preference for Appalachian Contracts
(Included in Appalachian contracts only)
I. GENERAL
1. These contract provisions shall apply to all work performed
on the contract by the contracor's own organization and with the
assistance of workers under the contractors immediate supedn-
tendenceand toall work performed on the contract by piecework,
station work, or by subcontract.
2. Except as otherwise provided for in each section, the
contractor shall insert in each subcontract all of the stipulations
contained in these Required Contract Provisions, and further
require their inclusion in any lower tier subcontract or purchase
order that may in tum be made. The Required Contract Provi-
sions shall not be inwrporated by reference in any case. The
prime contractor shall be responsible for compliance by any
subcontractor or lower tier subcontractor with these Required
Contract Provisions.
3. A breach of any of the stipulations contained in these
Required Contract Provisions shall be suffcient grounds for
termination of the contract.
4. A breach of the following clauses of the Required Contract
Provisions may also be grounds for debarment as provided in 29
CFR 5.12:
Section I, paragraph 2;
Section IV, paragraphs 1, 2, 3, 4, and 7;
Section V, paragraphs 1 and 2a through 2g.
5. Disputes arising out of the labor standards provisions of
Section IV (except paragraph 5) and Section V of these Required
Contract Provisions shall not be subject to the general disputes
clause of this contract. Such disputes shall be resolved in accor-
dancewith the procedures of the U.S. Department of Labor (DOL)
asset forth in 29 CFR 5, 6, and 7. Disputes within the meaning of
this clause include disputes between the contractor (or any of its
subcontractors) and the contracting agency, the DOL, or the
contractor's employees or their representatives.
1 6. Selection of Labor: During the pertormance of this con-
1 tract, the contractor shall not:
3
3 a. discriminate against labor from any other Stale, posses-
6 Sion, or territory of the United States (except for employment
6 preference for Appalachian contracts, when applicable, as
7 specifed in Attachment A), or
7
7 b. employ convict labor for any purpose within the limits of
the project unless it is labor performed by convicts who are on
8 parole, supervised release, or probation.
8 II. NONDISCRIMINATION
(Applicable to all Fedeml-aid wnstruction contracts and to all
related subcontracts of $10,000 or more.)
1. Equal Employment Opportunity: Equal employment
opportunity (EEO) requirements not to discdminate and to take
affirmative action to assure equal opportunity as set forth under
laws, executive orders, rules, regulations (26 CFR 35, 29 CFR
1630 and 41 CFR 60) and orders of the Secretary of Labor as
modifed by the provisions prescribed herein, and imposed
pursuant to 23 U.S.C. 140 shall constitute the EEO and specifc
affrmative action standards for the contractor's project activities
underthis wntract. The Equal Opportunity Construction Contrail
Specif cations set forth under 41 CFR 60-4.3 and the provisions of
the American Disabilities Act of 1990 (42 U.S.C. 12101 et sec .)
set forth under 28 CFR 35 and 29 CFR 1630 are incorporated by
reference in this contract. In the execution of this contract, the
wntractor agrees to comply with the following minimum specifc
requirement activities of EEO:
a. The contractor will work with the State highway agency
(SHA) and the Fedeml Government in carrying out EEO obliga-
tions and in their review of his/her activities under the contract.
b. The contractor will accept as his operating policy the
following statement:
"It is the policy of this Company to assure that applicants are
employed, and that employees are treated during employ-
ment, without regard to their mce, religion, sex, color,
national origin, age or disability. Such action shall incude:
employment, upgrading, demotion, ortransfer; recruitment or
recruitment advertising; layoff or termination; rates of pay or
other forms of compensation; and selection for training,
including apprenticeship, pre-apprenticeship, and/or
on-the-job training."
2. EEO Officer: The contractor will designate and make
known to the SHA contracting offcers an EEO Off cer who will
have the responsibility for and must be capable of effectively
administering and promoting an acfve conVactor program of EEO
and who must be assigned adequate authority and responsibility
to do so.
3. Dissemination of Poficy: All members of the contractor's
staff who are authorized to hire, supervise, promote, and
discharge employees, orwho recommend such action, orwho are
Exhibit I -Page 1 of 9
substantially involved in such action, will be made fully cognizant
ot, and will implement, the contractor's EEO policy and
contractual responsibilities to provide EEO in each grade and
classifcation of employment. To ensure that the above
agreement will be met, the following actions will be taken as a
minimum:
a. Periodic meetings of supervisory and personnel office
employees will be conducted before the start of work and then not
less often than once every six months, at which time the contract-
or's EEO policy and its implementation will be reviewed and
explained. The meetings will be conducted by the EEO Officer.
b. All new supervisory or personnel office employees will be
given a thorough indoctrination by the EEO Offcer, covering all
major aspects of the contractors EEO obligations within thirty
days following their reporting for duty with the contractor.
c. All personnel who are engaged in direct recruitment for
the project will be instructed by the EEO Offcer in the contractor's
procedures for locating and hiring minority group employees.
d. Notices and posters setting forth the contractors EEO
policy will be placed in areas readily accessible to employees,
applicants for employment and potential employees.
e. The contracor's EEO policy and the procedures to
implement such policy will be brought to the ariention of employ-
ees by means of meetings, employee handbooks, or other
appropriate means.
4. Recruitment: When advertising for employees, the
contractor will include in all advertisements for employees the
notation: "An Equal Opportunity Employer." All such
advertisements will be placed in publications having a large
circulation among minority groups in the area from which the
project work force would normally be derived.
a. The contractor will, unless precluded by a valid bargain-
ing agreement, conduct systematic and direct recruitment through
public and private employee referral sources likely to yield
qualified minority group applicants. To meet this requirement, the
contractor will identify sources of potential minority group
employees, and establish with such identified sources procedures
whereby minority group applicants may be referred to the
contractor for employment consideration.
b. In the event the wntractor has a valid bargaining agree-
mentproviding for exclusive hiring hall referals, he is expected to
observe the provisions of that agreement to the extent that the
system permits the contractors compliance with EEO contract
provisions. (The DOL has held that where implementation of
such agreements have the effect of discriminating against
minorities or women, or obligates the contractor to do the same,
such implementation violates Executive Order 11246, as
amended.)
c. The contractor will encourage his present employees to
refer minority group applicants for employment. Information and
procedures with regard to referring minority group applicants will
be discussed with employees.
5. Personnel Actions: Wages, working conditions, and
employee benefits shall be established and administered, and
personnel actions of every type, including hiring, upgrading,
promotion, transfer, demotion, layoff, and termination, shall be
taken without regard to race, color, religion, sex, national odgin,
age or disability. The following procedures shall be followed:
a. The contractorwill conduct periodic inspections of project
sites to insure that working conditions and employee facilities do
not indicate discriminatory treatment of project site personnel.
Exhibit I
b. The contractor will periodically evaluate the spread of
wages paid within each classification to determine any evidence
of discdminatory wage practices.
c. The contractorwill pedodically review selected personnel
actions in depth to determine whether there is evidence of
discrimination. Where evidence is found, the contractor will
promptly take corrective action. If the review indicates that the
discrimination may extend beyond the actions reviewed, such
corrective action shall include all affected persons.
d. The contractor will promptly investigate all complaints of
alleged discrimination made to the contractor in connection with
his obligations under this contract, will attempt to resolve such
complaints, and will take appropriate corrective action within a.
reasonable time. If the investigation indicates that the
discrimination may affect persons other than the complainant,
such conective action shall include such other persons. Upon
completion of each investigation, the contractor will inform every
complainant of all of his avenues of appeal.
6. Training and Promotion:
a. The contractor will assist in locating, qualifying, and
increasing the skills of minority group and women employees, and
applicants for employment.
b. Consistent withthe contractors work force requirements
and as permissible under Federal and State regulations, the
contractor shall make full use of training programs, i.e.,
apprenticeship, and on-the-job training programs for the
geographical area of contract performance. Where feasible, 25
percent of apprentices or trainees in each occupation shall be in
their first year of apprenticeship or training. In the event a special
provision for training is provided under this contract, this subpara-
graph will be superseded as indicated in the special provision.
c. The contractor will advise employees and applicants for
employment of available training programs and entrance
requirements for each.
d. The contractor will periodically review the training and
promotion potential of minority group and women employees and
will encourage eligible employees to apply for such training and
promotion.
7. Unions: If the contractor relies in whole or in part upon
unions as a source of employees, the contractor will use his/her
best efforts to obtain the cooperation of such unions to increase
opportunities for minority groups and women within [he unions,
and to effect referrals by such unions of minority and female
employees. Actions by the contractor either directly orihrougha
contractors association acting as agent will include the
procedures set forth below:
a. The contractor will use best efforts to develop, in
cooperation with the unions, joint training programs aimed toward
qualifying more minodty group members and women for
membership in the unions and increasing the skills of minority
group employees and women so that they may qualify for higher
paying employment.
b. The contractorwill use best efforts to incorporate an EEO
clause into each union agreement to the end that such union will
be contractually bound to refer applicants without regard to their
race, color, religion, sex, national odgin, age or disability.
c. The contractor is to obtain information as to the referral
practices and policies of the labor union except that to the extent
such information is within the exclusive possession of the labor
union and such labor union refuses to furnish such information to
EXlllr-lt i - I~Hge 2 Of 9 REQUIRED HY 23 CFA 633. 102 --
the contractor, the contractor shall so cedity to the SHA and shall
set forth what efforts have been made to obtain such information.
d. In the event the union is unable to provide the contractor
with a reasonable flow of minority and women referrals within the
time limit set forth in the collective bargaining agreement, the
contractor will, through independent recruitment efforts, fill the
employment vacancies without regard to race, color, religion, sex,
national origin, age or disability; making full efforts to obtain
qualified and/or qualifiable minority group persons and women.
(The DOL has held that it shall be no excuse that the union with
which the contractor has a collective bargaining agreement
providing for exclusive referral failed to refer minority employees.)
In the event the union referral practice prevents the contractor
from meeting the obligations pursuant to Executive Order 11246,
as amended, and these special provisions, such contractor shall
immediately notify the SHA.
8. Selection of Subcontractors, Procurement of Materials
and Leasing of Equipment: The contractor shall not
discriminate on the grounds of race, color, religion, sex, national
origin, age nr disability in the selection and retention of
subcontractors, including procurement of materials and leases of
equipment.
a. The contractor shall notify all potential subcontractors
and suppliers of his/her EEO obligations under this contract.
b. Disadvantaged business enterprises (DBE), as defined in
49 CFR 23, shall have equal opportunity to compete for and
perform subcontracts which the contractor enters into pursuant to
this contrail. The centmctor will use his best efforts to solicit bids
from and to utilize DBE subconVactors or subcontractors with
meaningful minoritygroup and female representation among their
employees. Contractors shall obtain lists of DBE construction
firms from SHA personnel.
c. The centractorwill use his best efforts to ensure subcon-
tractor compliance with their EEO obligations.
9. Records and Reports: The contractor shall keep such
records as necessary to document compliance with the EEO
requirements. Such records shall be retained for a period ofthree
years following completion of the contract work and shall be
available at reasonable times and places for inspection by autho-
rized representatives of the SHA and the FHWA.
a. The records kept by the contractor shall document the
following:
(1) The number of minodty and non-minority group
members and women employed in each work classifcation on the
project;
(2) The progress and efforts being made in cooperation
with unions, when applicable, to increase employment opportuni-
ties for minorities and women;
(3) The progress and efforts being made in locating,
hiring, training, qualifying, and upgrading minodty and female
employees; and
(4) The progress and efforts being made in securing
the services of DBE subcontractors or subcontractors with
meaningful minority and female representation among their
employees.
b. The contractors will submit an annual report to the SHA
each July for the duration of the project, indicating the number of
minority, women, and non-minority group employees currently
engaged in each work classification required by the contract work.
This information is to be reported on Form FHWA-1391. Ifon-the
Exhibit I
job training is being required by special provision, the contractor
will be required to collect and report training data.
III. NONSEGREGATED FACILITIES
(Applicable to all Federal-aid construction contracts and to all
related subconracts of $10,000 or more.)
a. By submission of this bid, the execution of this contract
or subcontract, or the consummation of this material supply
agreement or purchase order, as appropriate, the bidder, Federal-
aid construction conVactor, subcontractor, material supplier, or
vendor, as appropriate, certifies that the firm does not maintain or
provide for its employees any segregated facilites at any of its
establishments, and that the firm does not permit its employees to
perform their services at any location, under its control, where
segregated facilities are maintained. The firm agrees that a
breach of this certification is a violation of the EEO provisions of
this contract. The frm further certifies that no employee will be
denied access to adequate facilities on the basis of sex or
disability.
b. As used in this certification, the term "segregated
facilities" means any waiting rooms, work areas, restrooms and
washrooms, restaurants and other eating areas, timeclocks,
locker rooms, and other storage or dressing areas, parking lots,
dunking fountains, recreation or entertainment areas, transpor-
tation, and housing facilities provided for employees which are
segregated by explicit directive, or are, in fact, segregated on the
basis of race, celor, religion, national origin, age or disability,
because of habit, local custom, or otherwise. The only exception
will be for the disabled when the demands for accessibility
override (e.g. disabled parking).
c. The contractor agrees that it has obtained or will obtain
identical certification from proposed subcontractors or material
suppliers prior to award of subcentracts of consummation of
matedal supply agreements of $10,000 or more and that it will
retain such certifications in its files.
IV. PAYMENT OF PREDETERMINED MINIMUM WAGE
(Applicable to all Federal-aid construction contracts exceeding
$2,000 and to all related subcontracts, except for projects located
on roadways classified as local roads or rural minor collectors,
which are exempt.)
1. General:
a. All mechanics and laborers employed or working upon
the site of the work will be paid unconditionally and not less often
than once a week and without subsequent deduction or rebate on
any account [except such payroll deduilions as are permitted by
regulations (29 CFR 3) issued by the Secretary of Labor underthe
Copeland Act (40 U.S.C. 276c)] the full amounts of wages and
bona fide fringe benefits (or cash equivalents thereof) due at time
of payment. The payment shall be computed at wage rates not
less than those contained in the wage determination of the
Secretary of Labor (hereinafter "the wage determination")which is
attached hereto and made a part hereof, regardless of any
contractual relationship which may be alleged to exist between
the contractor or its subcontractors and such laborers and
mechanics. The wage determination (including any additional
classifcations and wage rates conformed under paragraph 2 of
this Section IV and the DOL poster (WH-1321) or Form FHWA-
1495) shall be posted at all times by the contractor and its
subcontractors at the site of the work in a prominent and
accessible place where it can be easily seen by the workers. For
the purpose of this Section, contributions made or vests reason-
ablyanticipated for bona file fringe benefits under Section 1(b)(2)
of the Davis-Bacon Act (40 U.S.C. 276a) on behalf of laborers or
mechanics are considered wages paid to such laborers or
Exhibit I -Page 3 of 9 REQUIRED BY 23 CFR 633.102 --
mechanics, subject fo the provisions of Section IV, paragraph 3b,
hereof. Also, for the purpose of this Section, regularcontributions
made or costs incurred for more than a weekly period (but not
less often than quartedy) under plans, funds, or programs, which
cover the particular weekly period, are deemed to be
constructively made orincumed during such weekly period. Such
laborers and mechanics shall be paid the appropriate wage rate
and fringe benefits on the wage determination for the
classifcation of work actually performed, without regard to skill,
except as provided in paragraphs 4 and 5 of this Section IV.
b. Laborers or mechanics performing work in more than
one classification may be compensated at the rate specifed for
each classification for the time actually worked therein, provided,
that the employers payroll records accurately set forth the time
spent in each classification in which work is pertormed.
c. All rulings and interpretations ofthe Davis-Bacon Act and
related acts contained in 29 CFR 1, 3, and 5 are herein incerpo-
rated by reference in this contract.
2. Classification:
a. The SHA contracting oiFcer shall require that any class
of laborers or mechanics employed under the contract, which is
not listed in the wage determination, shall be classified in
conformance with the wage determination.
b. The conUacting offcer shall approve an additional
classification, wage rate and fringe benefits only when the
following cdteda have been met:
(1) the work to be performed by the additional
classification requested is not performed by a classification in the
wage determination;
(2) the additional classifcation is utilized in the area by
the construction industry;
(3) the proposed wage rate, including any bona fide
fringe benefits, bears a reasonable relationship to the wage rates
contained in the wage determination; and
(4) with respect to helpers, when such a classification
prevails in the area in which the work is pertormed.
c. If the contractor or subcontractors, as appropriate, the
laborers and mechanics (if known) to be employed in the addifion-
al classifcation or their representatives, and the contracting
officer agree on the classification and wage rate (including the
amount designated for fringe benefits where appropdate), a report
of the action taken shall be sent by the contracting officer to the
DOL, Administrator of the Wage and Hour Division, Employment
Standards Administration, Washington, D.C. 20210. The Wage
and Hour Administrator, or an authorized representative, will
approve, modify, or disapprove every additional classification
action within 30 days of receipt and so advise the contracting
officer or will notify the contracting officer within the 30-day period
that additional time is necessary.
d. In the event the contractor or subcontractors, as appro-
priate, the laborers or mechanics to be employed in the additional
classifcation or their representatives, and the contracting officer
do not agree on the proposed classification and wage rate
(including the amount designated for fringe benefts, where
appropriate), the contracting officer shall refer the questions,
including the views of all interested parties and the recommenda-
tion ofthe contracting officer, to the Wage and HourAdministrator
for determination. Said Administrator,oranauthodzedrepresen-
tative, will issue a determination within 30 days of receipt and so
advise the contracting officer or will notify the contracting offcer
within the 30-day pedod that additional lime is necessary
Exhibit I
e. The wage rate (including fringe benefits where appropd-
ate)determined pursuant to paragraph 2c or 2d of this Section IV
shall be paid to all workers performing work in the additional
classification from the first day on which work is performed in the
classification.
3. Payment of Fringe Benefits:
a. Whenever the minimum wage rate prescdbed in the
contract fora class of laborers or mechanics includes a fringe
beneft which is not expressed as an hourly rate, the contractor or
subcontractors, as appropdate, shall either pay the benefit as
stated in the wage determination or shall pay another bona fde
fringe beneft or an hourly rase equivalent thereof.
b. If the contractor or subcontractor, as appropriate, does
not make payments to a trustee or other third person, he/she may
consider as a part of the wages of any laborer or mechanic the
amount of any costs reasonably anticipated in providing bona fide
fdnge benefts under a plan or program, provided, that the Secre-
tary of Labor has found, upon the wdtten request of the centrac-
tor, that the applicable standards of the Davis-Bacon Act have
been met. The Secretary of Labor may require the contractor to
set aside in a separate account assets for the meeting of
obligations under the plan or program.
4. Apprentices and Trainees (Programs of the U.S. DOL)
and Helpers:
a. Apprentices:
(1) Apprentices will be permitted to work at less than
the predetermined rate for the work they pertormed when they are
employed pursuant to and individually registered in a bona fde
apprenticeship program registered with the DOL, Employment
and Training Administration, Bureau of Apprenticeship and
Training, orwith a State apprenticeship agency recognized by the
Bureau, or if a person is employed in his/her first 90 days of
probationary employmentas an apprentice in such an apprentice-
ship program, who is not individually registered in the program,
but who has been certified by the Bureau of Apprenticeship and
Training or a State apprenticeship agency (where appropriate) to
be eligible for probationary employment as an apprentice.
(2) The allowable ratio of apprentices to journeyman-
level employees on the job site in any craft classifcation shall not
be greater than the ratio permitted to the contractor as to the
entire work force under the registered program. Any employee
listed on a payroll a[ an apprentice wage rate, who is not regis-
tered or otherwise employed as stated above, shall be paid not
less than the applicable wage rate listed in the wage determina-
tion for the classification of work actually pertormed. In addition,
any apprentice performing work on the job site in excess of the
ratio permitted underthe registered program shall be paid not less
than the applicable wage rate on the wage determination for the
work actually pertormed. Where a contractor or subcontractor is
performing constmction on a project in a locality other than that in
which its program is registered, the ratios and wage rates (ex-
pressed in percentages of the journeyman-level hourly rate)
specified in the contractor's orsubcontractor s registered program
shall be observed.
(3) Every apprentice must be paid at not less than the
rate specifed in the registered program for the apprentice's level
of progress, expressed as a percentage of the journeyman-level
hourly rate specified in the applicable wage determination.
Apprentices shall be paid fringe benefits in accordance with the
provisions of the apprenticeship program. If the apprenticeship
program does not specify fdnge benefts, apprentices must be
paid the full amount of fringe benefits listed on the wage determi-
nalionfor the applicable classifcation. If the Administrator for the
E'Xhlblt i - h3ge 4 Of 9 REQOI RED BY 23 CFA 633.102 --
Wage and Hour Division determines that a different practice
prevails for the applicable apprentice classification, fringes shall
be paid in accerdance with that determination.
(4) In the event the Bureau of Apprenticeship and
Training, or a State apprenticeship agency recognized by the
Bureau, withdraws approval of an apprenticeship program, the
contractor or subcontractor will no longer be permitted to utilize
apprentices al less than the applicable predetermined rate for the
comparable work performed by regular employees until an
acceptable program is approved.
b. Trainees:
(1) Except as provided in 29 CFR 5.16, trainees will not
be permitted to work at less than the predetermined rate for the
work performed unless they are employed pursuant to and
individually registered in a program which has received prior
approval, evidenced by formal certifcetion by the DOL,
Employment and Training Administration.
(2) The ratio of trainees to journeyman-level
employees on the job site shall not be greater than permitted
under the plan approved by the Employment and Training
Administration. Any employee listed on the payroll at a trainee
rate who is not registered and participating in a training plan
approved by the Employmentand Training Administration shall be
paid not less than the applicable wage rate on the wage determi-
nation for the classification of work actually performed. In
addition, any trainee pertorming work on the job site in excess of
the ratio permitted under the registered program shall be paid not
less than the applicable wage rate on the wage determination for
the work actually performed.
(3) Everytrainee must be paid al notless than the rate
specified in the approved program for his/her level of progress,
expressed as a percentage of the journeyman-level houry rate
specified in the applicable wage determination. Trainees shall be
paid fringe benefits in accordance with the provisions of the
trainee program. If the trainee program does not mention fringe
benefits, trainees shall be paid the full amount of fringe benefits
listed on the wage determination unless the Administrator of the
Wage and Hour Division determines that there is an apprentice-
ship program associated with the correspondingjoumeyman-level
wage rate on the wage determination which provides for less than
full fringe benefits for apprentices, in which case such trainees
shall receive the same fringe benefts as apprentices.
(4) In the event the Employment and Training
Administration withdraws approval of a training program, the
contractor or subcontractor will no longer be permitted to utilize
trainees at less than the applicable predetermined rate for the
work performed until an acceptable program is approved.
c. Helpers:
Helpers will be permitted to work on a project if the
helper classification is specified and defned on the applicable
wage determination or is approved pursuant to the conformance
procedure set forth in Section IV.2. Any worker listed on a payroll
at a helper wage rate, who is not a helper under a approved
definition, shall be paid not less than the applicable wage rate on
the wage determination for the classification of work actually per-
formed.
5. Apprentices and Trainees (Programs of the U.S. DOT):
Apprentices and trainees working under apprenticeship and
skill training programs which have been certified by the Secretary
of Transportation as promoting EEO in connection with Federal-
aidhighway construction programs are not subject to the require-
ments of paragraph 4 of this Section IV. The straight lime hourly
Exhibit I
wage rates for apprentices and trainees under such programs will
be established by the particular programs. The ratio ofapprentic-
esand trainees tojourneymen shall not be greaterthan permitted
by the terms of the particular program.
6. Withholding:
The SHAshall upon its own action or upon wdtten request
of an authorized representative of the DOL withhold, or cause to
be vdthheld, from the conhactor or subcontractor under this
contract or any other Federal contract with the same prime
contractor, or any other Federally-assisted contrect subject to
Davis-Bacon prevailing wage requirements which is held by the
same prime contractor, as much of the accrued payments or
advances as may be considered necessary to pay laborers and
mechanics, including apprentices, trainees, and helpers, em-
ployed by the contractor or any subcontractor the full amount of
wages required by the contract. In the event of failure to pay any
laborer or mechanic, including any apprentice, trainee, or helper,
employed or working on the site of the work, all or part of the
wages required by the contract, the SHA contracting officer may,
after wdtten notice to the contractor, lake such action as may be
necessary to cause the suspension of any further payment,
advance, or guarantee of funds until such violations have ceased.
7. Overtime Requirements:
No contractor or subcontractor contracting for any part of
the contract work which may require or involve the employment of
laborers, mechanics, watchmen, or guards (including apprentices,
trainees, and helpers described in paragraphs 4 and 5 above)
shall require or permit any laborer, mechanic, watchman, or guard
in any workweek in which he/she is employed on such work, to
work in excess of 40 hours in such workweek unless such laborer,
mechanic, watchman, or guard receives compensation al a rate
not less than one-and-one-half times his/her basic rate of pay for
all hours worked in excess of 40 hours in such workweek.
6. Violation:
Liability for Unpaid Wages; Liquidated Damages: In the
event of any violation ofthe clause set forth in paragraph 7 above,
the contractor and any subcontractor responsible thereof shall be
liable to the affected employee for his/her unpaid wages. In
addition, such contractor and subcontractor shall be liable to the
United States (in the rase of work done under contract for the
District of Columbia or a territory, to such District or to such
territory) for liquidated damages. Such liquidated damages shall
be computed with respect to each individual laborer, mechanic,
watchman, or guard employed in violation of the clause set forth
in paragraph 7, in the sum of $10 for each calendar day on which
such employee was required or permitted to work in excess ofthe
standard work week of 40 hours without payment of the overtime
wages required by the clause set forth in paragraph 7.
9. Withholding for Unpaid Wages and Liquidated
Damages:
The SHA shall upon its own action or upon wdtten request of
any authorized representative oflhe DOL withhold, or cause to be
withheld, from any monies payable on account of work performed
by the contractor or subcontractor under any such contract or any
other Federel contract with the same prime contractor, or any
other Federally-assisted contract subject to the Contract Work
Hours and Safety Standards Act, which is held by the same prime
contractor, such sums as may be determined to be necessary to
satisfy any liabilities of such contractor or subcontractor for unpaid
wages and liquidated damages as provided in the clause set forth
in paragraph 8 above.
V. STATEMENTS AND PAYROLLS
EXYlblt i - PagO 5 Of 9 REQUIRED HY 23 CFR 633.102 --
(Applicable to all Federal-aid construction contracts exceeding
$2,000 and to all related subcontracts, except for projects located
on roadways classifed as local roads or coral collectors, which
are exempt.)
1. Compliance with Copeland Regulations (29 CFR 3):
The contractor shall comply with the Copeland Regulations of
the Secretary of Labor which are herein incorporated by refer-
ence.
2. Payrolls and Payroll Records:
a. Payrolls and basic records relating thereto shall be
maintained by the contractor and each subcontractor during the
course of the work and preserved for a period of 3 years from the
date of esmpletion of the contract for all laborers, mechanics,
apprentices, trainees, watchmen, helpers, and guards working at
the site of the work.
b. The payroll records shall contain the name, social
security number, and address of each such employee; his or her
correct classification; hourly rates of wages paid (including rates
of contributions or costs anticipated for bona fide fdnge benefits or
cash equivalent thereof the types described in Section 1(b)(2)(B)
of the Davis Bacon Act); daily and weekly number of hours
worked; deductions made; and actual wages paid. In addition, for
Appalachian contracts, the payroll records shall contain a notation
indicating whether the employee does, or does not, normally
reside in the labor area as defined in Attachment A, paragraph 1.
Whenever the Secretary of Labor, pursuant to Section IV,
paragraph 3b, has found that the wages of any laborer or
mechanic include the amount of any costs reasonably anticipated
in providing benefts under a plan or program descdbed in Section
1(b)(2)(B) of the Davis Bacon Act, the contractor and each
subcontractor shall maintain reesrds which show that the esmmit-
ment to provide such benefits is enforceable, that the plan or
program is financially responsible, that the plan or program has
been communicated in wdting to the laborers or mechanics
affected, and show the cost anticipated orthe actual cost incurred
in providing benefts. Contractors or subcontractors employing
apprentices or trainees under approved programs shall maintain
written evidence of the registration of apprentices and trainees,
and ratios and wage rates prescribed in the applicable programs.
c. Each contractor and subcontractor shall furnish, each
week in which any contract work is performed, to the SHA
resident engineer a payroll of wages paid each of its employees
(including apprentices, trainees, and helpers, described in Section
IV, paragraphs 4 and 5, and watchmen and guards engaged on
work during the preceding weekly payroll period). The payroll
submitted shall set out accurately and completely all of the
information required to be maintained under paragraph 2b of this
Section V. This information may be submitted in any form
desired. Optional Form WH-347 is available for this purpose and
may be purchased from the Superintendent of Documents
(Federal stock number 029-005-0014-1 ), U.S. Government
Printing Offce, Washington, D.C. 20402. The prime contractor is
responsible for the submission of copies of payrolls by all
subcontractors.
d. Each payroll submitted shall be accompanied by a
"Statement of Compliance," signed by the contractor or subcon-
tractor or his/her agent who pays or supervises the payment of
the persons employed under the contract and shall certify the
following:
(1) that the payroll for the payroll period contains the
information required to be maintained under paragraph 2b of this
Section V and that such information is correct and complete;
(2) that such laborer or mechanic (including each
Exhibit I
helper, apprentice, and trainee) employed on the contract during
the payroll period has been paid the full weekly wages earned,
without rebate, either directly or indirectly, and that no deductions
have been made either directly or indirectly from the full wages
earned, other than permissible deductions as set forth in the
Regulations, 29 CFR 3;
(3) that each laborer or mechanic has been paid not
less that the applicable wage rate and fringe benefts or cash
equivalent for the classification of worked performed, as specified
in the applicable wage determination incorporated into the
contract.
e. The weekly submission of a properly executed certifica-
tion set forth on the reverse side of Optional Form WH-347 shall
satisfy the requirement for submission of the "Statement of
Compliance" required by paragraph 2d of this Section V.
t. The falsifcation of any of the above certifications may
subject the contractor to civil or criminal prosecution under 18
U.S.C. 1001 and 31 U.S.C. 231.
g. The contractor or subcontractor shall make the records
required under paragraph 2b of this Section V available for
inspection, espying, or transcdption byauthorized representatives
of the SHA, the FHWA, or the DOL, and shall permit such repre-
sentatives to interview employees during working hours on the
job. If the contractor or subcontractor fails to submit the required
records or to make them available, the SHA, the FHWA, the DOL,
or all may, after wdden notice to the contractor, sponsor, appli-
cant, or owner, take such actions as maybe necessary to cause
the suspension of any further payment, advance, or guarantee of
funds. Furthermore, failure to submit the required records upon
request or to make such records available may be grounds for
debarment action pursuant to 29 CFR 5.12.
VI. RECORD OF MATERIALS, SUPPLIES, AND LABOR
1. On all Federal-aid contracts on the National Highway
System, except those which provide solely for the installation of
protective devices at railroad grade crossings, those which are
constructed on a force account or direct labor basis, highway
beautifcation contracts, and contracts for which the total final
construction cost for roadway and bridge is less than $1,000,000
(23 CFR 635) the contractor shall:
a. Become familiar with the list of specifc materials and
supplies contained in Form FHWA-47, "Statement of Materials
and Labor Used by Contractor of Highway Constmction Involving
Federal Funds," pdor to the commencement of work under this
contract.
b. Maintain a record of the total cost of all materials and
supplies purchased for and incorporated in the work, and also of
the quantities of those specific materials and supplies listed on
Form FHWA-47, and in the units shown on Form FHWA-47.
c. Furnish, upon the completion of the contract, to the
SHA resident engineer on Form FHWA-47 togetherwith the data
required in paragraph 1b relative to materials and supplies, a final
labor summary of all contract work indicating the total hours
worked and the total amount earned.
2. At the prime contractor's option, either a single report
covering all contract work or separate reports for the contractor
and for each subcontract shall be submitted.
VII. SUBLETTING OR ASSIGNING THE CONTRACT
1. The contractor shall perform with its own organization
contract work amounting to not less than 30 percent (or a greater
percentage if specifed elsewhere in the contract) of the total
Exhibit I -Page 6 of 9 xa4utaen ay za cex s33. ioz --
original contract price, excluding any specialty items designated
by the State. Specialty items may be performed by subcontract
and the amount of any such specialty items pertormed may be
deducted from the total odginal contract pdce before computing
the amount of work required to be pertormed by the contractor's
own organization (23 CFR 635).
a. "Its own organization" shall be construed to include only
workers employed and paid directly by the prime contractor and
equipment owned or rented by the pdme conVailor, with or
without operators. Such term does not include employees or
equipment of a subcontractor, assignee, or agent of the pdme
contractor.
b. "Specialty Items" shall be construed to be limited to
work that requires highly specialized knowledge, abilities, or
equipment not ordinadly available in the type of contracting
organizations qualified and expected to bid on the contrail as a
whole and in general are to be limited to minor components of the
overall contract.
2. The contract amount upon which the requirements set forth
in paragraph 1 of Section VII is computed includes the cost of
material and manufactured products which are to be purchased or
produced by the conVailor under the contract provisions.
3. The contractor shall furnish (a) a competent supedntendent
or supervisor who is employed by the fine, has full authority to
direct pertormance of the work in accordance with the contract
requirements, and is in charge of all construction operations
(regardless of who pertorms the work) and (b) such other of its
own organizational resources (supervision, management, and
engineering services) as the SHA contracting officerdetermines is
necessary to assure the pertormance of the contract.
4. No portion of the contract shall be sublet, assigned or
otherwise disposed of except with the written consent of the SHA
contracting officer, or authorized representative, and such
consent when given shall not be construed to relieve the
contractor of any responsibility for the fulfillment of the contract.
Written consent will be given onlyafier the SHA has assured that
each subcontract is evidenced in writing and that it contains all
pertinent provisions and requirements of the prime contract.
VIII. SAFETY: ACCIDENT PREVENTION
1. In the pertormance of this contract the contractor shall
comply with all applicable Federal, State, and local laws govern-
ing safety, health, and sanitation (23 CFR 635). The contractor
shall provide all safeguards, safety devices and protective
equipment and take any other needed actions as it determines, or
as the SHA contracting officer may determine, to be reasonably
necessary to protect the life and health of employees on the job
and the safety of the public and to protect property in connection
with the pertormance of the work covered by the contract
2. It is a condition of this contract, and shall be made a
condition of each subcontract, which the contractor enters into
pursuant to this contract, that the contractor and any subcontrac-
torshall not permit any employee, in performance of the contract,
to work in surroundings or under conditions which are unsanitary,
hazardous ordangerous tohis/her health or safety, as determined
under construction safety and health standards (29 CFR 1926)
promulgated by the Secretary of Labor, in accordance with
Section 107 of the Contrail Work Hours and Safety Standards
Act (40 U.S.C. 333).
3. Pursuant to 29 CFR 1926.3, it is a condition of this contract
that the Secretary of Labor or authorized representative thereof,
shall have dght of entry to any site of contract performance to
inspect or investigate the matterof compliance with the construc-
tion safety and health standards and to carry out the duties of the
Exhibit I
Secretary under Section 107 of the Contract Work Hours and
Safety Standards Act (40 U.S.C. 333).
IX. FALSE STATEMENTS CONCERNING HIGHWAY
PROJECTS
In order to assure high quality and durable construction in
conformity with approved plans and specifications and a high
degree of reliability on statements and representations made by
engineers, contractors, suppliers, and workers on Federal-aid
highway projects, it is essential that all persons concerned with
the project pertorm their functions as carefully, thoroughly, and
honestly as possible. Willful falsification, distortion, or misrepre-
sentation with respect to any facts related to the project is a
violation of Federal law. To prevent any misunderstanding
regarding the seriousness of these and similar acts, the following
notice shall be posted on each Federal-aid highway project (23
CFR 635) in one or more places where it is readily available to all
persons concerned with the project:
NOTICE TO ALL PERSONNEL ENGAGED ON FEDERAL-AID
HIGHWAY PROJECTS
18 U.S.C. 1020 reads as follows:
"Whoever, being an officer, agent, or employee o(the United
States, or of any Sfafe or Territory, or whoever, whethera person,
association, hrm, or corporation, knowingly makes any false
statement, /else representation, or false report as to the charac-
ter, quality, quantity, or cost o/the material used or to be used, or
the quantity or quality o/the work performed or to be performed,
or the cost thereof in connection with the submission of plans,
maps, specifications, contracts, or costs ofconstruction on any
highway orrelated project submitted forapproval to the Secretary
of Transportation; or
Whoever knowingly makes any false statement, false
representation, /also report or false claim with respect to the
charecfe~ qualify, quantity, or cost ofany work peAOrmed or to be
performed, ormatedals famished orto be famished, in connection
with the construction ofany highway or related project approved
by the Secretary of Transportation; or
Whoever knowingly makes any false statement or false
representation as to material fact in anystatement, certrfcate, or
report submitted pursuant to provisions o/the Federel-aid Roads
Act approved July 1, 1916, (39 Stat. 355J, as amended and
supplemented;
Shall be fined not more that $10,000 or imprisoned not more
than 5 years orboth."
X. IMPLEMENTATION OF CLEAN AIR ACT AND FEDERAL
WATER POLLUTION CONTROL ACT
(Applicable to all Federal-aid construction contracts and to all
related subcontracts of $100,000 or more.)
By submission of this bid or the execution of this contract, or
subcontract, as appropriate, the bidder, Federal-aid construction
contractor, or subcontractor, as appropriate, will be deemed to
have stipulated as follows:
1. That any facility that is or will be utilized in the pertormance of
this contract, unless such contract is exempt under the Clean Air
Act, as amended (42 U.S.C. 1857 et sett ., as amended by Pub.L.
91-604), and under [he Federal Water Pollution Control Act, as
amended (33 U.S.C. 1251 et sec ., as amended by Pub.L. 92-
500), Executive Order 11738, and regulations in implementation
thereof (40 CFR 15) is not listed, on the date of contract award,
on the U.S. Environmental Protection Agency (EPA) List of
Violating Facilities pursuant to 40 CFR 15.20.
ExhibitI -Page 7 of 9 ae0uxaan sy za cea 633.toz --
2. That the firm agrees to comply and remain in compliance with
all the requirements of Section 114 of the Clean Air Act and
Section 3g8 of the Federal Water Pollution Control Act and all
regulations and guidelines listed thereunder.
3. Thatthe firm shall promptly notify the SHA of the receipt of any
communication from the Director, Offce of Federal Activities,
EPA, indicating that a facility that is or will be utilized for the
contract is under consideration to be listed on the EPA Lisl of
Violating Facilities.
4. That the frm agrees to include or cause to be included the
requirements of paragraph 1 through 4 of this Section X in every
nonexempt subcontract, and further agrees to take such action as
the government may direct as a means of enforcing such
requirements.
XI. CERTIFICATION REGARDING DEBARMENT,
SUSPENSION,
INELIGIBILITY AND VOLUNTARY EXCLUSION
1. Instructions for Certification - Primary Covered
Transactions:
(Applicable to all Federal-aid contracts - 49 CFR 29)
a. By signing and submitting this proposal, the prospective
primary participant is providing the certification set out below.
b. The inability of a person to provide the certification set
out below will not necessarily result in denial of participation in
this covered transaction. The prospective participant shall submit
an explanation of why it cannot provide the certification set out
below. The certification or explanation will be considered in
connection with the department or agencys determination
whether to enter into this transaction. However, failure of the
prospective pdmary participant to furnish a certification or an
explanation shall disqualify such a person from participation in
this transaction.
c. The certification in this clause is a maledal representation
of fact upon which reliance was placed when the department or
agency determined to enter into this transaction. If it is later
determined that the prospective primary participant knowingly
rendered an erroneous certifcalion, in addition to other remedies
available to the Federal Govemment, the department or agency
may terminate this transaction for cause of default.
d. The prospective primary participant shall provide immedi-
ate written notice to the department or agency to whom Nis
proposal is submitted if any time the prospective primary partici-
pantlearns that its certification was ertoneous when submitted or
has become erroneous by reason of changed circumstances.
e. The terms "covered transaction," "debarred;'
"suspended," "ineligible," "lower tier covered transaction,"
"participant," "person; "'primary covered transaction," "principal,"
"proposal;' and "voluntarily excluded," as used in this clause,
have the meanings set out in the Definitions and Coverage
sections of rules implementing Executive Order 12549. You may
contact the department or agency to which this proposal is
submitted for assistance in obtaining a copy of those regulations.
t. The prospective primary participant agrees by submitting
this proposal that, should the proposed covered transaction be
entered into, it shall not knowingly enter into any lower tier
covered transaction with a person who is debarred, suspended,
declared ineligible, or voluntarily excluded from participation in
this covered transaction, unless authorized by the department or
agency entering into this transaction.
Exhibit I
g. The prospective primary participant further agrees by
submitting Nis proposal that it will include the clause titled
"Certification Regarding Debarment, Suspension, Ineligibility and
Voluntary Exclusion-Lower Tier Covered Transaction," provided
by the department or agency entering into this covered transao-
lion, without modifcation, in all lower tier covered transactions
and in all solicitations for lower tier covered transactions.
h. A participant in a covered transaction may rely upon a
certification of a prospective participant in a lower tier covered
transaction that is not debarred, suspended, ineligible, or volun-
tarilyexcluded from the covered transaction, unless it knows that
the certification is erroneous. A participant may decide the
method and frequency by which it determines the eligibility of its
pdncipals. Each participant may, but is not required to, check the
non-procurement portion of the "Lists of Parties Excluded From
Federal Procurement or Non-procurement Programs" (Non-
procurement Lisl) which is compiled by the General Services
Administration.
I. Nothing contained in the foregoing shall be construed to
require establishment of a system of records in orderto render in
good faith the certifcation required by this clause. The
knowledge and information of participant is not required to exceed
that which is normally possessed by a prudent person in the
ordinary course of business dealings.
j. Except for transactions authodzed under paragraph f of
these instructions, if a participant in a covered transaction
knowingly enters into a lower tier covered transaction with a
person who is suspended, debarred, ineligible, or voluntarily
excluded from participation in Nis transaction, in addition to other
remedies available to the Federal Govemment, the department or
agency may terminate this transaction for cause or default.
Certification Regarding Debarment, Suspension,
Ineligibility and Voluntary Exclusion--Primary Covered
Transactions
1. The prospective pdmary participant certifies to the best of its
knowledge and belief, that it and its principals:
a. Are not presently tlebared, suspended, proposed for
debarment, declared ineligible, or voluntarily excluded from
covered transactions by any Federal department or agency;
b. Have not within a 3-year period preceding this proposal
been convicted of or had a civil judgment rendered against them
for commission of fraud or a criminal offense in connection with
obtaining, attempting to obtain, or pertorming a public (Federal,
State or local) transaction or contract under a public transaction;
violation of Federal or State antitrust statutes or commission of
embeulement, theft, forgery, bdbery, falsification ordestruction of
records, making false statements, or receiving stolen property;
c. Are not presently indicted for or otherwise criminally or
civilly charged by a governmental entity (Federal, Slate or local)
with commission of any of the offenses enumerated in paragraph
1 b of this certification; and
d. Have not within a 3-year period preceding this
application/proposal had one or more public transactions
(Federal, State or local) terminated for cause or default.
2. Where the prospective primary participant is unable to
certify to any of the statements in this certifcation, such
prospective participant shall attach an explanation to this
proposal.
EX}llblt I - PBgB c4 Of 9 REQUIRED eY 23 CFR 633.102 --
2. Instructions for Certification -Lower Tier Covered
Transactions:
(Applicable to all subcontracts, purchase orders and other
lower tier transactions of $25,000 or more - 49 CFR 29)
a. By signing and submitting this proposal, the prospective
lower tier is providing the certification set out below.
b. The certification in this clause is a material
representation of fact upon which reliance was placed when this
transaction was entered into. If it is later determined that the
prospective lower tier participant knowingly rendered an
erroneous certification, in addition to other remedies available to
the Federal Govemment, the department, or agency with which
this transaction orginaled may pursue available remedies,
including suspension and/or debarment.
c. Tha prospective lower tier participant shall provide
immediate wrttten notice to the person to which this proposal is
submitted if at any time the prospective lower tier participant
teams that its certification was erroneous by reason of changed
circumstances.
d. The terms "covered transaction," "debarred,"
"suspended," "ineligible," "primary covered transaction,"
"participant" "person," "principal," "proposal," and "voluntadly
excluded," as used in this clause, have the meanings set out in
the Definitions and Coverage sections of roles implementing
Executive Order 12549. You may contact the person to which this
proposal is submitted for assistance in obtaining a copy of those
regulations.
e. The prospective lower tier participant agrees by
submitting this proposal that, should the proposed covered
transaction be entered into, it shall not knowingly enter into any
lower tier covered transaction with a person who is debarred,
suspended, declared ineligible, or voluntadly excluded from
participation in this covered transaction, unless authorized by the
department or agency with which this transaction odginaled.
f. The prospective lower tier participant further agrees by
submitting this proposal that it will include this clause titled
"Certification Regarding Debarment, Suspension, Ineligibility and
Voluntary Exclusion-Lower Tier Covered Transaction;' without
modification, in all lower tier covered transactions and in all
solicitations for lower tier covered transactions.
g. A participant in a covered transaction may rely upon a
certifcation of a prospective participant in a lower tier covered
transaction that is not debarred, suspended, ineligible, or volun-
tarily excluded hom the covered transaction, unless it knows that
the certification is erroneous. A participant may decide the
method and frequency by which it determines the eligibility of its
principals. Each participant may, but is not required to, check the
Non-procurement List.
h. Nothing contained in the foregoing shall be construed to
require establishment of a system of records in order to render in
good faith the certification required by this clause. The knowl-
edge and information of participant is not required to exceed that
which is normally possessed by a prudent person in the ordinary
course of business dealings.
I. Except for transactions authorized under paragrapheof
these instructions, if a participant in a covered transaction
knowingly enters into a lower tier covered transaction with a
person who is suspended, debarred, ineligible, or voluntadly
excluded from participation in this transaction, in addition to other
Exhibit I
remedies available to the Federal Government, the department or
agency with which this transaction originated may pursue
available remedies, including suspension and/or debarment.
Certification Regarding Debarment, Suspension,
Ineligibility and Voluntary Exclusion--Lower Tier Covered
Transactions:
1. The prospective lower tier 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 participation in
this transaction by any Federal department or agency.
2. Where the prospective lower tier participant is unable to
certify to any of the statements in this certification, such prospec-
tive participant shall attach an explanation to this proposal.
XII. CERTIFICATION REGARDING USE OF CONTRACT
FUNDS OR LOBBYING
(Applicable to all Federal-aid construction contracts and to all
related subcontracts which exceed $100,000 - 49 CFR 20)
1. The prospective participant certifies, by signing and submit-
ting this bid or proposal, to the best of his or her knowledge and
belief, that:
a. No Federal appropriated funds have been paid or will be
paid, by or on behalf of the undersigned, to any person for
influencing or attempting to influence an officer or employee of
any Federal agency, a Member of Congress, an officer or employ-
ee of Congress, or an employee of a Member of Congress in
connection with the awarding of any Federal contrail, the making
of any Federal grant, the making of any Federal loan, the entedng
into of any opopemtive agreement, and the eMension, continua-
tion, renewal, amendment, or modification of any Federal
contract, grant, loan, or cooperative agreement.
b. If any funds other than Federal appropdated funds have
been paid or will be paid to any person for influencing or attempt-
ing to influence an officer or employee of any Federal agency, a
Member of Congress, an officer or employee of Congress, or an
employee of a Member of Congress in connection with this
Federal contract, grant, loan, or cooperative agreement, the
undersigned shall complete and submit Standard Form-LLL,
"Disclosure Form to Report Lobbying," in accordance with its
instructions.
2. This certification is a material representation of fact upon
which reliance was placed when this transacion was made or
entered into. Submission of this certification is a prerequisite for
making or entedng into this transaction imposed by 31 U.S.C.
1352. Any person who fails to file the required certification shall
be subject to a civil penalty of not less than $10,000 and not more
than $100,000 for each such failure.
3. The prospective participant also agrees by submitting his or
her bid or proposal that he or she shall require that the language
of this certification be included in all lower tiersubcontracts, which
exceed $100,000 and that all such recipients shall certify and
disclose accordingly.
EX}tlbll i - P8g0 9 Of 9 REQUIRED BY 23 CFR 633. 102 --
Exhibit J
FEDERAL REQUIREMENTS
Federal laws and regulations that may be applicable to [he Work include
A. The "Uniform Administrative Requirements for Grants and Cooperative Agreements to State and Local
Governments (Common Rule), at 49 Cade ofFederal Regulations, Part 18, except to the extent that other applicable
federal requirements (including the provisions of 23 CFR Parts 172 or 633 or 635) are more specific than
provisions of Part 18 and therefore supersede such Part 18 provisions. The requirements of 49 CFR 18 include,
without limitation:
1. the Local Agency/Contractor shall follow applicable procurement procedures, as required by section 18.36(d);
2. the Local Agency/Contractor shall request and obtain prior CDOT approval of changes to any subcontracts in the
manner, and to the extent required by, applicable provisions of section 18.30;
3. [he Local Agency/Contractor shall comply with section 18.37 concerning any sub-grants;
4. to expedite any CDOT approval, the Local Agency/Contractor's attorney, or other authorized representative, shall
also submit a letter to CDOT certiY'ying Local Agency/Contractor compliance with section 18.30 change order
procedures, and with 18.36(d) procurement procedures, and with 18.37 sub-grant procedures, as applicable;
5. the Local Agency/Contractor shall incorporate the specific contract provisions described in 18.36(1) (which are also
deemed incorporated herein) into any subcontract(s) for such services as terms and conditions of those subcontracts.
B. Executive Order 11246 of September 24, 1965 entitled "Equal Employment Opportunity," as amended by
Executive Order 11375 of October 13, 1967 and as supplemented in Department of Labor regulations (41 CFR
Chapter 60) (All construction contracts awarded in excess of $10,000 by grantees and their contractors or sub-
grantees).
C. The Copeland "Anti-Kickback" Act (18 U.S.C. 874) as supplemented in Department of Labor regulations (29
CFR Part 3) (All contracts and sub-grants for construction or repair).
D. The Davis-Bacon Act (40 U.S.C. 276a to a-7) as supplemented by Department of Labor regulations (29 CFR
Part 5) (Construction contracts in excess of $2,000 awarded by grantees and subgrantees when required by Federal
grant program legislation. This act requires that all laborers and mechanics employed by contractors or sub-
contractors to work on construction projects financed by federal assistance must be paid wages not less than those
established for the locality of the project by the Secretary of Labor).
E. Sections 103 and 107 of the Contract Work Hours and Safety Standards Act (40 U.S.C. 327-330) as
supplemented by Department of Labor regulations (29 CFR Part 5). (Construction contracts awarded by grantees and
sub-grantees in excess of $2,000, and in excess of $2,500 for other contracts which involve [he employment of
mechanics or laborers).
F. Standards, orders, or requirements issued under section 306 of the Clear Air Act (42 U.S.C. ] 857(h), section
508 of the Clean Water Act (33 U.S.C. 1368). Executive Order 11738, and Environmental Protection Agency
regulations (40 CFR Part 15) (contracts, subcontracts, and sub-grants of amounts in excess of $100,000).
G. Mandatory standards and policies relating to energy efficiency which are contained in the state energy
conservation plan issued in compliance with the Energy Policy and Conservation Act (Pub. L. 94-]63).
H. Office of Management and Budget Circulars A-87, A-21 or A-122, and A-102 or A-110, whichever is
applicable.
The Hatch Act (5 USC 1501-1508) and Public Law 95-454 Section 4728. These statutes state that federal
Exhibit J -Page 1 of 3
Exhibit J
funds cannot be used for partisan political purposes of any kind by any person or organization involved in the
administration of federally-assisted programs.
J. 42 USC 6101 et sea• 42 USC 2000d, 29 USC 794, and implementing regulation, 45 C.F.R. Part 80 et. sea..
These acts require that no person shall, on the grounds of race, color, national origin, age, or handicap, be excluded
from participation in or be subjected to discrimination in any program or activity funded, in whole or part, by federal
funds;
K. The Americans with Disabilities Act (Public Law 101-336; 42 USC 12101, 12102, 121 ] 1-12117, 12131-
12134, 12141-12150, 12161-12165, ]2181-12189, 12201-12213 47 USC 225 and 47 USC 611.
L. The Uniform Relocation Assistance and Real Property Acquisition Policies Act, as amended (Public Law 91-
646, as amended and Public Law 100-17, 101 8tat. 246-256). (If the contractor is acquiring real property and
displacing households or businesses in the performance of this contract.)
M. The Drug-Free Workplace Act (Public Law 100-690 Title V, subtitle D, 41 USC 701 et seg•).
N. The Age Discrimination Ac[ of 1975, 42 U.S.C. Sections 6101 et. sea• and its implementing regulation, 45
C.F.R. Part 91; Section 504 of the Rehabilitation Act of 1973, 29 U.S.C. 794, as amended, and implementing
regulation 45 C.F.R. Part 84.
O. 23 C.F.R. Part 172, concerning "Administration of Engineering and Design Related Contracts".
P. 23 C.F.R Part 633, concerning "Required Contract Provisions for Federal-Aid Construction Contracts".
Q. 23 C.F.R. Part 635, concerning "Construction and Maintenance Provisions".
R. Title VI of the Civil Rights Act of 1964 and 162(a) of the Federal Aid Highway Act of 1973. The
requirements for which are shown in the Nondiscrimination Provisions, which are attached hereto and made a part
hereof.
S. Nondiscrimination Provisions:
Incompliance with Title VI of the Civil Rights Act of 1964 and with Section 162(a) of the Federal Aid Highway Act
of ] 973, the Contractor, for itself, its assignees and successors in interest, agree as follows:
1. Compliance with Regulations. The Contractor will comply with the Regulations of the Department of
Transportation relative to nondiscrimination in Federally assisted programs of the Department of Transportation
(Title 49, Code of Federal Regulations, Part 21, hereinafter referred to as the "Regulations"), which are herein
incorporated by reference and made a part of this contract.
2. Nondiscrimination. The Contractor, with regard to the work performed by it after awazd and prior to
completion of the contract work, will not discriminate on the ground of race, color, sex, mental or physical handicap
or national origin in the selection and retention of Subcontractors, including procurement of materials and leases of
equipment. The Contractor will not participate either directly or indirectly in the discrimination prohibited by Section
21.5 of the Regulations, including employment practices when the contract covers a program set forth in Appendix C
of the Regulations.
Solicitations for Subcontracts Includine Procurement of Materials and Equinmen[ In all solicitations
Exhibit J -Page 2 of 3
Exhibit J
either by competitive bidding or negotiation made by the Contractor for work to be performed under a subcontract,
including procurement of materials or equipment, each potential Subcontractor or supplier shall be notified by the
Contractor of the Contractor's obligations under this contract and the Regulations relative to nondiscrimination onthe
ground of race, color, sex, mental or physical handicap or national origin.
4. Information and Reports. The Contractor will provide all information and reports required by the
Regulations, or orders and instructions issued pursuant thereto and will permit access to its books, records, accounts,
other sources of information and its facilities as may be determined by [he State or [he 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 [his information, the Contractor
shall so certify to the Stale, or the FHWA as appropriate and shall sct forth what efforts have been made to obtain the
information.
5. Sanctions for Noncomnliance. In the event of the Contractor's noncompliance with [he
nondiscrimination provisions of this contract, the State shall impose such contract sanctions as it or the FHWA may
determine to be appropriate, including, but not limited to:
a. Withholding of payments to the Contractor under the contract until the Contractor complies, and/or;
b. Cancellation, termination or suspension of the contract, in whole or in part.
6. Incorooration ofProvisions. The Contractor will include the provisions ofpazagraphs A through F in
every subcontract, including procurement of materials and leases of equipment, unless exempt by the Regulations,
orders, or instructions issued pursuant thereto. The Contractor will take such action with respect to any subcontractor
procurement as the State or the FHWA may direct as a means of enforcing such provisions including sanctions for
noncompliance; provided, however, that, in the event the Contractor becomes involved in, or is threatened with,
litigation with a Subcontractor or supplier as a result of such direction, the Contractor may request the State to enter
into such litigation to protect the interest of the State and in addition, the Contractor may request the FHWA to enter
into such litigation to protect the interests of the United States.
Exhibit J -Page 3 of 3
~~
MEMORANDUM
TO: Mayor and City Council
FROM: Kathryn Koch, City Clerk
DATE: July 22, 2009
RE: Board Appointments
By adopting the consent calendar, Council is appointing Nikolas
Erickson as student representative to the Wheeler Opera House.
vu a.
MEMORANDUM
TO: Mayor~jIJreland and Aspen City Council
FROM: Errin Evans, Current Planner ~//
THRU: Chris Bendon, Community Development Director/ !Ui/n,
DATE OF MEMO: July 14, 2009 l~b/-''
MEETING DATE: July 27, 2009
RE: 500 Doolittle Drive, City of Aspen Water Treatment Plant -
Specially Planned Area Amendment and Growth Management
Quota System Review
First Reading of Ordinance No. ~ 8 ,Series of 2009
Planning and Zoning Resolution No. 10, Series of 2009
APPLICANT /OWNER:
Water Department, City of Aspen
REPRESENTATIVE:
Mitch Haas, Haas Land Planning, LLC
LOCATION:
Civic Address - 500 Doolittle Drive;
Legal Description -Lot 25, Water
Plant Affordable Housing, City of
Aspen;
Parcel Identification Number - 2735-
132-04-825
CURRENT ZONING aS[ IISE
Located in the Public (PUB) zone
district with a Specially Planned Area
(SPA) overlay containing the City of
Aspen Water Treatment Plant facility.
PROPOSED LAND USE:
The Applicant is requesting to remodel
the main office building while adding
a carport to a second building.
STAFF RECOMMENDATION:
Staff recommends that the Aspen City Council approve
the request for a Specially Planned Area Amendment
and Growth Management Review.
SUMMARY:
On June 16`h, this application was presented to the
Planning and Zoning Commission, who approved the
8040 Greenline Review and made a recommendation to
Council to approve the SPA Amendment and the
Growth Management Quota System Review. Now
before the Council are the SPA Amendment and the
Growth Management Review for Council approval
Revised 7/20/2009
Page 1 of 5
Photo of the subject property
E
n zsesta t.ozn ts3o zow
Feet
BACKGROUND: The City Water Treatment Plant is located at the end of Doolittle Drive off
of Castle Creek Road. Currently the facility is comprised of several buildings and ponds that
comprise of the City's water treatment plant. The applicant, the City of Aspen Utilities
Department, proposes to remodel the administrative building and add a roof extension to create a
carport on an existing building at the facility located at 500 Doolittle Drive (See Application -
Exhibit B). Please note when you review the application, you will notice that the applicant
would like to expand the existing office space by 1,200 square feet. This issue and the relevant
reviews will be explored at a later date. Staff requests that the application be bifurcated and the
approvals for the additional office space will be heard at a later date.
The Water Treatment Plant SPA originally received approval by Council on July 22, 1996 by
Ordinance No. 23 of Series 1996. Eazlier, on June 16th, the Planning and Zoning Commission
approved the 8040 Greenline Review for the project and recommended that the Council approve
the Specially Planned Area Amendment and the Growth Management Review. For the proposal
before the Council at this time, two approvals aze required. The required approvals for this
proposal include a Specially Planned Area (SPA) Amendment and Growth Management Quota
System Review.
Revised 7/20/2009
Page 2 of 5
Figure 1: Vicinity Map
LAND USE REQUEST AND REVIEW PROCEDURES: The applicant is requesting the
following land use approvals from the City Council to remodel the administrative building and a
carport:
• SPA Amendment pursuant to Land Use Code Section 26.440.050 (A) Review Standards
for a development in a Specially Planned Area. This application does not qualify for an
administrative amendment. All modifications shall be approved by the Planning and
Zoning Commission and Council. This proposal does qualify for Consolidated Review.
In this case, the conceptual and final plans may be combined based on the limited scope
of the project. The Planning and Zoning Commission, at a public hearing, may make a
recommendation to the City Council for approval, approval with conditions or
disapproval of the SPA amendment. The City Council is the final authority. The
Planning and Zoning Commission made a recommendation to Council on June 16`n to
approve the amendment.
• Growth Management Ouota System -Essential Public Facilities pursuant to Land Use
Code Section 26.470.090 4. Any development to an essential public facility requires the
Planning and Zoning Commission, at a public hearing, to make a recommendation to the
City Council for approval, approval with conditions or disapproval of the Growth
Management Review. The City Council is the final authority. The Planning and Zoning
Commission made a recommendation to Council on June 16`n to approve the review.
• 8040 Greenline Review for any development located at or above 8040 feet above mean
sea level as pursuant to Land Use Code Section 26.435.030 (C) 8040 Greenline Review
Standards. The Planning and Zoning Commission is the final review authority, who
may approve, approve with conditions, or deny the request. The Planning and Zoning
Commission approved the 8040 Greenline Review on June 16`n
SPECIALLY PLANNED AREA DEVELOPMENT AMENDMENT REVIEW:
The applicant proposes to remodel the entrance to the building by extending the roof over the
ramps and changing the configuration of the ramps. The Community Development staff believes
that the proposed remodel and the carport extension are consistent with the intent of the approved
final development plan for the Water Treatment Facilities. The changes proposed aze relatively
minor. The remodel to the front of the administrative building will be an improvement over the
existing entrance. The accessibility ramps will be easier to use. No changes are proposed to the
floor azea at this time. The existing administrative building is shown below in Figure 2: Existing
Administrative Building as seen when approaching the site through the gate from Doolittle Drive.
Revised 7/20/2009
Page 3 of 5
GROWTH MANAGEMENT REVIEW:
This application also requires growth management review for the new carport. The extension of
the eaves of an existing building will not create any new employee generation. The carport will
not be enclosed and will be used to store a crane. The carport is intended for storage purposes
only. No new employees will be generated as a result.
This application is required to undergo review under Growth Management because it is an
addition to an essential public facility. Essential Public Facilities are assessed based on its
unique employee needs. As an Essential Public Facility, staff recommended that the Planning
and Zoning Commission determine that no new employees are generated with the addition of the
carport. The Planning and Zoning did, in fact, determine that no new employees were generated.
It is the authority of the City Council to confirm that finding.
STAFF REFERRALS:
Only a few departments provided a response to this application. This project was reviewed by
the Engineering Department, the Environmental Health Department, the Parks Department and
the Fire Department. The Engineering Department found that the application did not have the
information that they require for a complete review. The applicant will be required to submit a
Drainage and Erosion Control Plan and Report stamped by a Colorado Professional Engineer
when the building permit is submitted. The report must be approved by the City Engineer to
meet approval conditions. The Environmental Health Department nor the Aspen/Pitkin Housing
Authority have concerns with the remodel or the carport. They do have comments regarding the
second portion of the application and the comments will be included at that time.
RECOMMENDATION: Staff believes that the application is generally minor in nature. It is
consistent with the final development approval of the Water Treatment Plant. It does not
substantially change the exterior of the buildings and the same materials will be used. No
employees are generated as a result of the new carport. Staff recommends that the City Council
approve the Specially Planned Area Amendment and the Growth Management Review.
Revised 7/20/2009
Page 4 of 5
Figure l: Existing Administrative Building
CITY MANAGER'S COMMENTS:
RECOMMENDED MOTION: "I move to approve Ordinance No. ~, Series of 2009, on first
reading.
ATTACHMENTS:
Exhibit A -Staff Findings
Exhibit B -Resolution No. 10, Series of 2009, Planning and Zoning Commission
Exhibit C -Application
Revised 7/20/2009
Page 5 of 5
ORDINANCE N0. ~,
(SERIES OF 2009)
AN ORDINANCE OF THE ASPEN CITY COUNCIL APPROVING A GROWTH
MANAGEMENT REVIEW AND A SPECIALLY PLANNED AREA AMENDMENT FOR
THE REMODEL AND ADDITION OF A CARPORT TO THE CITY OF ASPEN
WATER TREATMENT PLANT, LEGALLY DESCRIBED AS LOT 25, WATER PLANT
AFFORDABLE HOUSING AND COMMONLY DESCRIBED AS 500 DOOLITTLE
DRIVE
ParcellD: 2735-132-04-825
WHEREAS, the Community Development Department originally received an
application from the City of Aspen Water Treatment Plant, represented by Mitch Haas of Haas
Land Planning, requesting the City Council to approve Growth Management Review and a
Specially Planned Area (SPA) amendment and requests for approval of Special Review and 8040
Greenline Review from the Planning and Zoning Commission for the minor addition and
remodeling of the Water Treatment Plant. The applicant proposed to remodel the fagade and add
an additional 1,200 square feet of office space to the administrative building and extend the eave
of an existing building to create a carport; and,
WHEREAS, the applicant has requested to bifurcate the application into two phases. As
a result, the first phase of the application will include review for the remodel of the fagade of the
administrative building and the carport. The applicant requested that the City Council approve
Growth Management Review and a Specially Planned Area (SPA) amendment and that the
Planning and Zoning Commission approve 8040 Greenline Review for the minor addition of the
carport and remodeling of the facade of the Water Treatment Plant; and,
WHEREAS, Phase 2, which consists of constructing 1,200 square feet of additional
office space will be reviewed at a later date; and,
WHEREAS, the Community Development Department received referral comments from
the Aspen/Pitkin County Housing Authority, Consolidated Sanitation District, City Engineering,
Fire Protection District, Parks Department, as a result of the Development Review Committee
meeting; and,
WHEREAS, said referral agencies and the Aspen Community Development Department
reviewed the proposed SPA amendment, Growth Management Review, and 8040 Greenline
Review and recommended approval; and,
WHEREAS, the Planning and Zoning Commission approved Resolution No. 10, Series
of 2009 to approve the 8040 Greenline Review and made a recommendation to Council to
approve the SPA Amendment and the Growth Management Review on June 16`h, 2009; and,
WHEREAS, the subject property is located in the Public (P) Zone District with an SPA
overlay and requires a amendment to make changes to the Final Development Order, pursuant to
Section 26.440.090; and,
WHEREAS, pursuant to Section 26.440 and 26.470 of the Land Use Code, Growth
Management Review and Specially Planned Area amendment approvals may be granted by the
Page I of 3
City Council at a duly noticed public hearing after considering recommendations by the Planning
and Zoning Commission, the Community Development Director, and relevant referral agencies;
and,
WHEREAS, Growth Management Review and Specially Planned Area amendment
review requires a recommendation to Council by the Planning and Zoning Commission at a
public heazing and this application was reviewed at a public hearing on June 16`h, 2009 where the
recommendations of the Community Development Director and comments from the public were
heard; and,
WHEREAS, the Aspen City Council finds that the development application as proposed
and identified as Exhibit C of the July 14`h staff memo meets the review standazds for a Growth
Management Review and a Specially Planned Area amendment to remodel the fa9ade and to
extend the eave of another building to create a carport if certain conditions are adhered to.
NOW, THEREFORE BE IT ORDAINED that the Aspen City Council approves the Growth
Management Review and the Specially Planned Area Amendment Review for the City of Aspen
Water Treatment Plant subject to the conditions listed in Section 3 below.
Section 1: Growth ManaEement Review
Pursuant to the procedures and standards set forth in Title 26 of the Aspen Municipal Code, the
City Council approves Growth Management Review for the project located at 500 Doolittle
Drive, Aspen, Pitkin County, Colorado and determines that the scope of this approval: new
carport and fagade remodel generates zero employees.
Section 2: Specially Planned Area Amendment
Pursuant to the procedures and standards set forth in Title 26 of the Aspen Municipal Code, the
City Council approves the SPA amendment to remodel the facade of the administrative building
and add a carport by extending an eave on an existing building for the project located at 500
Doolittle Drive, Aspen, Pitkin County, Colorado with the following conditions:
The applicant is required to apply for a building permit and shall meet adopted building
codes and requirements if and when a building permit is submitted.
Section 4•
This Ordinance shall not affect any existing litigation and shall not operate as an abatement of
any action or proceeding now pending under or by virtue of the ordinances repealed or amended
as herein provided, and the same shall be conducted and concluded under such prior ordinances.
Section 5•
If any section, subsection, sentence, clause, phrase, or portion of this Ordinance is for any reason
held invalid or unconstitutional in a court of competent jurisdiction, such portion shall be
deemed a separate, distinct and independent provision and shall not affect the validity of the
remaining portions thereof.
Section 6•
All material representations and commitments made by the Applicant pursuant to the approvals as
herein awazded, whether in public hearing or documentation presented before the Planning and
Page 2 of 3
Zoning Commission or City Council, aze hereby incorporated in such approvals and the same shall
be complied with as if fully set forth herein, unless amended by an authorized entity.
Section 7:
A public hearing on this ordinance shall be held the day of , 2009, in the City Council
Chambers, 130 S. Galena, 15 days prior to which public notice shall be published in a newspaper
of general circulation within the City of Aspen.
INTRODUCED, READ AND ORDERED PUBLISHED as provided by law, by the City
Council of the City of Aspen on the day of , 2009.
Michael C. Ireland, Mayor
Attest:
Kathryn S. Koch, City Clerk
FINALLY adopted, passed and approved this day of , 2009 by a - vote.
Michael C. Ireland, Mayor
Attest:
Kathryn S. Koch, City Clerk
Approved as to form:
John P. Worcester, City Attorney
Page 3 of 3
EXHIBIT A
26.470.090 Growth Manaeement Review Standards for Development of Essential Public
Facilities
The development of an essential public facility, upon a recommendation from the Planning and
Zoning Commission, shall be approved, approved with conditions, or denied by the City Council
based on the following criteria:
a. The Community Development Director has determined the primary use and/or
structure to be an essential public facility (see definition). Accessory uses may also
be part of an essential public facility project.
Staff Findings: The carport and remodel are proposed to the City Water Treatment Plant
City which is considered to be an essential public facility. The City Water Treatment
Plant meets the water needs of the City. The carport will be used to store the city crane
and the remodel the fagade will improve the use of the accessibility ramps. Staff finds
this criterion to be met.
b. Upon a recommendation from the Community Development Director, the City
Council may assess, waive or partially waive affordable housing mitigation
requirements as is deemed appropriate or warranted for the purpose of promoting
civic uses and in consideration of broader community goals. The employee
generation rates may be used as a guideline, but each operation shall be analyzed
for its unique employee needs, pursuant to Section 26.470.100, Calculations.
Staff Findings: No mitigation is required for Phase 1 of this application. The remodel
and the carport do not create any net leasable space nor generate any new employees.
Phase 2 will be reviewed at a later date. Staff finds this criterion to be met.
EXHIBIT A (Continued)
26.440.050 Review Standards for development in a Specially Planned Area
In the review of a development application for a conceptual development plan and a final
development plan, the Planning and Zoning Commission and Citv Council must consider the
following:
1. Whether the proposed development is compatible with or enhances the mix of
development in the immediate vicinity of the parcel in terms of land use, density,
height, bulk, architecture, landscaping and open space.
Staff Findings: Currently, the site consists of an administrative building, storage
buildings, plant buildings and ponds. The site is located beyond the Water Plant
Affordable Housing and is isolated from other development by topographical features.
The addition to the City Water Treatment Plant is a minor in nature relative to the size of
the facilities. The additions consist of extending the roof eave on another building to
create a carport to protect a crane and remodeling the front entry of the administration
building.
The Specially Planned Area (SPA) reflects the long term plans for the site and this
proposal is consistent with the future goals. The original SPA allows for over 104,549
more square feet of buildings for this facility. The project meets the requirements for
land use, height, density, architecture and landscaping. Staff feels that this proposal is
compatible with the existing facilities, the intent of the SPA and the surrounding area.
Staff finds this criterion to be met.
2. Whether sufficient public facilities and roads exist to service the proposed
development.
Staff Findings: No increased impacts on the public facilities or roads are predicted
Stafffnds this criterion to be met.
3. Whether the parcel proposed for development is generally suitable for development,
considering the slope, ground instability and the possibility of mud flow, rock falls,
avalanche dangers and flood hazards.
Staff Findings.• The parcel is suitable for development. The area where the buildings are
situated is mostly level. There are no environmental constraints that would limit the
construction of the carport or the faFade remodel. The parcel is not Zocated in the
floodplain area or an area that is particularly steep. Staff finds this criterion to be met.
4. Whether the proposed development creatively employs land planning techniques to
preserve significant view planes, avoid adverse environmental impacts and provide
open space, trails and similar amenities for the users of the project and the public
space.
Staff Findings: The proposed development will not have any impacts on the view planes
or adverse environmental impacts. The carport will be located under an extension of an
existing eave. The remodel of the facade will be ftnished with exterior treatments and
rooflines to match the existing buildings. Because of the nature of the topography, the
new additions will not be visible from adjacent properties. Staff finds this criterion to be
met.
5. Whether the proposed development is in compliance with the Aspen Area
Comprehensive Plan.
Staff Findings: The remodel and the addition of the carport do not contravene any of the
goals or policies of the Aspen Area Comprehensive Plan. Staff finds this criterion to be
met.
6. Whether the proposed development will require the expenditure of excessive public
funds to provide public facilities for the parcel, or the surrounding neighborhood.
Staff Findings: The Water Department has the funds to remodel the facade and construct
the carport at this time. Staff fords this criterion to be met.
7. Whether proposed development on slopes in excess of twenty percent meet the slope
reduction and density requirements of Section 26.445.040 (B)(2).
Staff Findings.• There are no slopes in excess of twenty percent where the addition is to be
located. The increase in density is not applicable. Staff finds this criterion met.
8. Whether there are sufficient GMQS allotments for the proposed development.
Staff Findings: GMQS allotments are not required for Essential Public Facilities. Phase
1 of this application does not require any mitigation for the remodel or the carport as
they do not increase net leasable space or generate new employees. This project requires
growth management review. Stafffinds this criterion met.
~x~(Q~r 3
RESOLUTION N0. 10,
(SERIES OF 2009)
A RESOLUTION OF THE CITY OF ASPEN PLANNING AND ZONING COMMISSION
RECOMMENDING CITY COUNCIL APPROVE A GROWTH MANAGEMENT
REVIEW AND A SPECIALLY PLANNED AREA AMENDMENT AND APPROVING
8040 GREENLINE REVIEW FOR THE REMODEL AND ADDITIONS TO THE CITY
OF ASPEN WATER TREATMENT PLANT, LEGALLY DESCRIBED AS LOT 25,
WATER PLANT AFFORDABLE HOUSING AND COMMONLY DESCRIBED AS 500
DOOLITTLE DRIVE
ParcellD: 2735-132-04-825
WHEREAS, the Community Development Department originally received an
application from the City of Aspen Water Treatment Plant, represented by Mitch Haas of Haas
Land Planning, requesting the Planning and Zoning Commission recommend approval of
Growth Management Review and a Specially Planned Area (SPA) amendment and requests for
approval of Special Review and 8040 Greenline Review for the minor addition and remodeling
of the Water Treatment Plant. The applicant proposed to remodel the facade and add an
additional 1,200 squaze feet of office space to the administrative building and extend the eave of
an existing building to create a carport; and,
WHEREAS, the applicant has requested to bifurcate the application into two phases. As
a result, the first phase of the application will include review for the remodel of the faFade of the
administrative building and the carport. The applicant requesting the Planning and Zoning
Commission recommend approval of Growth Management Review and a Specially Planned Area
(SPA) amendment and a request for approval of 8040 Greenline Review for the minor addition
of the carport and remodeling of the facade of the Water Treatment Plant; and,
WHEREAS, Phase 2, which consists of constructing 1,200 square feet of additional
office space will be reviewed at a later date; and,
WHEREAS, the Community Development Department received referral comments from
the Aspen/Pitkin County Housing Authority, Consolidated Sanitation District, City Engineering,
Fire Protection District, Parks Department, as a result of the Development Review Committee
meeting; and,
WHEREAS, said referral agencies and the Aspen Community Development Department
reviewed the proposed SPA amendment, Growth Management Review, and 8040 Greenline
Review and recommended approval; and,
WHEREAS, the subject property is located in the Public (P) Zone District with an SPA
overlay and requires a amendment to make changes to the Final Development Order, pursuant to
Section 26.440.090; and,
WHEREAS, the proposed development is located at an elevation of approximately 8,150
- 8,170 feet above sea level and is subject to 8040 Greenline Review, pursuant to Land Use Code
Section 26.435.020, Environmentally Sensitive Areas; and
Page 1 of 3
WHEREAS, pursuant to Section 26.440 and 26.470 of the Land Use Code, Growth
Management Review and Specially Planned Area amendment approvals may be granted by the
City Council at a duly noticed public heazing after considering recommendations by the Planning
and Zoning Commission, the Community Development Director, and relevant referral agencies;
and,
WHEREAS, pursuant to Section 26.430 and 26.435 of the Land Use Code, 8040
Greenline Review approvals may be granted by the Planning and Zoning Commission at a duly
noticed public heazing after considering recommendations by the Community Development
Director, and relevant referral agencies; and,
WHEREAS, Growth Management Review and Specially Planned Area amendment
review for a recommendation to Council by the Planning and Zoning Commission requires a
public heazing and this application was reviewed at a public hearing on June 16`", 2009 where the
recommendations of the Community Development Director and comments from the public were
heazd; and,
WHEREAS, 8040 Greenline review for approval by the Planning and Zoning
Commission requires a public heazing and this application was reviewed at a public hearing on
June 16s', 2009 where the recommendations of the Community Development Director and
comments from the public were heard; and,
WHEREAS, an application was submitted for the City of Aspen Water Treatment Plant,
which proposed on Lot 25, a remodel of the facade of the administrative building for
accessibility and an extension of a roof eave on an existing building to create a carport.
WHEREAS, the Commission finds that the development application as proposed and
identified as Exhibit A of the June 16`h staff memo meets the review standards for a Growth
Management Review, a Specially Planned Area amendment, and 8040 Greenline Review if
certain conditions are adhered to.
NOW, THEREFORE BE IT RESOLVED that the Planning and Zoning Commission
recommends that the City Council approve the Growth Management Review and the Specially
Planned Area Amendment Review for the City of Aspen Water Treatment Plant and that the
Planning and Zoning Commission approves the 8040 Greenline Review, subject to the
conditions listed in Section 3 below.
Section 1: Growth Mana¢ement Review
Pursuant to the procedures and standazds set forth in Title 26 of the Aspen Municipal Code, the
Planning and Zoning Commission hereby recommends that the City Council approve Growth
Management Review for the project located at 500 Doolittle Drive, Aspen, Pitkin County,
Colorado and determines that the scope of this approval: new carport and facade remodel
generates zero employees.
Section 2: Specially Planned Area Amendment
Pursuant to the procedures and standards set forth in Title 26 of the Aspen Municipal Code, the
Planning and Zoning Commission hereby recommends that the City Council approve the SPA
amendment to remodel the facade of the administrative building and add a carport by extending
Page 2 of 3
an eave on an existing building for the project located at 500 Doolittle Drive, Aspen, Pitkin
County, Colorado with the following conditions:
The applicant is required to apply for a building permit and shall meet adopted building
codes and requirements if and when a building permit is submitted.
Section 3: 8040 Greenline Review
Pursuant to the procedures and standards set forth in Title 26 of the Aspen Municipal Code, the
Planning and Zoning Commission hereby approves the request for 8040 Greenline Review to
remodel the fapade of the administrative building and add a carport by extending an eave on an
existing building for the project located at 500 Doolittle Drive, Aspen, Pitkin County, Colorado
subject to the following condition:
a) A Drainage and Erosion Control Plan and Report stamped by a Colorado Professional
Engineer. On-site drainage is to be designed in accordance with the City of Aspen
Engineering Design and Construction Standards. IBC Section 3307.1 requires that
provisions be made to control erosion. The City requires a plan that shows the
location of erosion control measures, drainage patterns, and details of erosion control
structures. The plan must include notes that describe how erosion control measures
will be regularly maintained. The erosion control plan must show the location of mud
racks, the location of water for washing tires and the retention of the wash water.
Section 4:
This Resolution shall not affect any existing litigation and shall not operate as an abatement of
any action or proceeding now pending under or by virtue of the ordinances repealed or amended
as herein provided, and the same shall be conducted and concluded under such prior ordinances.
Section 5•
If any section, subsection, sentence, clause, phrase, or portion of this Resolution is for any reason
held invalid or unconstitutional in a court of competent jurisdiction, such portion shall be
deemed a separate, distinct and independent provision and shall not affect the validity of the
remaining portions thereof.
APPROVED by the Commission at its regular meeting on June 16`h, 2009 by a 5 - 0 vote.
APPROVED AS TO FORM: PLANNING AND ZONING COMMISSION:
Jim True, Special Counsel
ATTEST:
Jackie Lothian, Deputy City Clerk
Stan Gibbs, Vice-Chair
EXHIBIT I: Approved Building Elevations
Page 3 of 3
Memorandum
TO: Mayor and Members of Council
FROM: James R. True
DATE: July 20, 2009
RE: Aspen Local Marketing District
Attached for your consideration and review is a proposed Ordinance which, if adopted, would
organize the Aspen Local Marketing District and submit to the voters of the District a question
for the approval of the organization of the District as well an approval of a one percent (1 %)
lodge tax.
The statute that authorizes the creation of a marketing district requires 50% of the owners of
commercial real estate within a district to submit a petition to City Council for the creation of the
district. The City Council must then determine the sufficiency of the petitions then approve the
organization of the district. The organization of the district is specifically contingent upon the
approval of the registered voters within the district. The Ordinance attached addresses the
specific requirements of counsel and submits the matter of the organization and the tax to the
voters.
Staff as well as representatives of ACRA and the proposed district will be available for any
questions.
ACTION REQUESTED: A Motion to approve Ordinance No. ~, Series of 2009.
CITY MANAGER'S COMMENTS:
cc: City Manager
ORDINANCE N0.
(Series of 2009)
AN ORDINANCE OF THE CITY COUNCIL OF THE CITY OF ASPEN,
COLORADO, ORGANIZING THE ASPEN LOCAL MARKETING DISTRICT;
APPOINTING THE INITIAL MEMBERS OF THE BOARD OF DIRECTORS OF
THE DISTRICT; AND APPROVING THE INITIAL OPERATING PLAN AND
BUDGET FOR THE DISTRICT; AND SETTING AN ELECTION AND BALLOT
QUESTION THEREFOR
WHEREAS, the City Clerk of the City of Aspen, Colorado (the "Cit}~'), has received a
petition for the organization of the Aspen Local Marketing District within the City (the
"District")" and
WHEREAS, based upon the petition for organization (the "Petition") and other evidence
presenting to the City Council at a public hearing held on , 2009 and a subsequent
public hearing held on , 2009, which public hearings were concerned with determin-
ing the sufficiency of the Petition, the Petition has been determined to have been signed in
conformity with the Local Marketing District Act, C.R.S. Section 29-25-101, et seq., (the
"Act"), in that the signature on the Petition are genuine, and the signatures ofpetitioners repre-
sentthe persons who own commercial real property in the service area ofthe proposed District
having a valuation for assessment of not less than fifty percent of the valuation fro assessment
of all commercial real property in the service area of the proposed District; and
WHEREAS, C.R.S. Section 29-25-102(2), states that the creation of local marketing
districts are essential to the continued economic growth of the State of Colorado; and
WHEREAS, the Petitioners have also caused a copy of the District's preliminary Op-
eratingPlan and 2010 Budget (the "Initial Operating Plan") to be submitted to the City, which
plan and budget are attached hereto as Exhibit "A"; and
WHEREAS, the Petition sets forth, among other things:
a) The name of the proposed District, which is "Aspen Local Marketing District";
b) A general description ofthe boundaries and service area ofthe proposed District,
which is to wit: the area generally bounded by Main Street to the north, 5"'
Street to the west, Cleveland Street to the east, and Aspen Mountain to the south,
including the commercial areas of the Aspen Meadows Resort and the Aspen
Highlands Ski Area;
c) A description of the types of services to be provided by the proposed District;
d) A description of the marketing and promotion tax proposed to be levied by the
District pursuant to C.R.S. Section 29-25-112, being one percent (1%);
e) The names of three persons to represent the petitioners, who have the power to
enter into agreement relating to the organization of the District;
f) A request that the City Council appoint the initial members of the Board of Di-
rectors of the District pursuant to C.R.S. Section 29-25-108(1)(b);
g) A request that City Council approve the Initial Operating Plan;
h) A request that City Council approve the organization of the District conditioned
on the outcome of an election held for that purposes; and
WHEREAS, City Council has determined that it appears that the allegations ofthe Petition
are true; and
WHEREAS, City Council has determined that the types of services to be provided by the
proposed District, as further set forth and described in the Initial Operating Plan, aze those
services which best satisfy the purposes of the Act; and
WHEREAS, the Petition was filed with a cash deposit in such amount determined sufficient
to cover all municipal expenses associated with these proceedings in case the organization ofthe
proposed District in not effected; and
WHEREAS, the service azea of the proposed District is entirely within the City; and
WHEREAS, a map ofthe boundaries of the proposed District is attached hereto as Exhibit
"B" and is incorporated herein by this reference.
NOW, THEREFORE, BE IT ORDAINED BY THE CITY COUNCIL OF THE CITY
OF ASPEN, COLORADO, THAT:
Section 1: Pursuant to its authority to organize local marketing districts under the Act, and
specifically C.R.S. Sections 29-25-105(3) and 29-25-106, the City Council, as the govern-
ingbody ofthe City, hereby adjudicates all questions of jurisdiction to find that jurisdiction
is vested in the City Council to organize the local marketing district described in the Petition
submitted by the petitioners for the Aspen Local Marketing District.
Section 2: Subject to the outcome of the election provided for in Section 12 hereof, the City
Council hereby declares the organization of the Aspen Local Marketing District. The bounda-
ries and service area of the District shall be as set forth in Exhibit "B", which exhibit is at-
tached hereto and incorporated herein by this reference.
Section 3: The District shall be a separate political subdivision and body corporate of the
State of Colorado an shall have all of the duties, privileges, immunities, rights, liabilities and
disabilities of a public bode politic and corporate. The District shall hereafter have the corpo-
rate name specified in the Petition: Aspen Local Marketing District.
Section 4: The purpose ofthe District shall be to provide the services set forth in C.R.S. Sec-
tion 29-25-111(1)(e)(I)(A), (B) and (C), and to exercise all other powers of a local marking
district in accordance with the Act.
Section 5: Pursuant to C.R.S. Section 29-25-108(1)(b), the City Council may appoint initial
members of the Board of Directors of the District (the "Board"). The Board shall have five (5)
members, and each member shall be an elector of the District. The City Council hereby ap-
points the following five (5) initial members of the Board:
(1) Warren Klug
(2) Casandra Foister
(3) Tim Clark
(4) Dale Paas
(5) Eva Peron
Section 6: In accordance with C.R.S. Section 29-25-105(4)(b), which requires City Council
to specify the voting requirements for District elections, an "elector" of the District shall mean
a natural person who is legally qualified to vote in the State of Colorado, who has complied
with the registration requirements of the Uniform Election Code, and the Colorado Municipal
Election Code and who resides within the boundaries of the proposed district.
Section 7: In accordance with C.R.S. Section 29-25-108(1)(b), members of the Board of
Directors of the District shall serve at the pleasure of the City Council. Within thirty (30) days
after a vacancy occurs, a successor shall be appointed by resolution.
Section 8: Within thirty (30) days of the execution date of this Ordinance, or within thirty
(30) days of each subsequent appointment to the Board of Directors by the City Council by
resolution, each member of the Board shall appear before an officer authorized to administer
oaths and take an oath that he or she will faithfully perform the duties of his or her office as
required bylaw and will support the constitution of the United States, the Constitution of the
State of Colorado, and laws made pursuant thereto. A majority of the members of the Board
shall constitute a quorum. The Board shall elect one of its members as presiding officer, one
of its members as secretary, and one of its members as treasures. The office ofboth secretary
and treasurer maybe filled by one person. The Board shall carry out the responsibilities re-
quired of such Board by the Act and other applicable law.
Section 9: The Initial Operating Plan is hereby approved in accordance with C.R.S. Section
29-25-110.
Section 10: The ballot issue shall be substantially as set forth below:
SHALL THE ASPEN LOCAL MARKETING DISTRICT BE ORGANIZED
AND SHALL TAXES BE INCREASED $1.0 MILLION ANNUALLY IN
THE FIRST FULL FISCAL YEAR AND BY WHATEVER ADDITIONAL
AMOUNTS ARE RAISED ANNUALLY IN EACH SUBSEQUENT YEAR
BY THE LEVYING OF A ONE PERCENT (1%) MARKETING AND
PROMOTION TAX ON THE PURCHASE PRICE PAID OR CHARGED TO
PERSONS FOR ROOMS OR ACCOMMODATIONS WITHIN THE
DISTRICT AS INCLUDED IN THE DEFINITION OF "SALE" IN C.R.S.
SECTION 39-26-102(11), COMMENCING IN 2010 AND CONTINUING IN
EACH YEAR THEREAFTER; AND SHALL THE DISTRICT BE
AUTHORIZED TO COLLECT, RETAIN AND SPEND ALL REVENUES
RECEIVED IN 2010 AND EACH YEAR THEREAFTER WITHOUT
REGARD TO ANY SPENDING, REVENUE-RAISING, OR OTHER
LIMITATION CONTAINED IN ARTICLE X, SECTION 20 OF THE
COLORADO CONSTITUTION OR ANY OTHER LAWS OF THE STATE
OF COLORADO?
The District is authorized to proceed with an election on November 3, 2009. As set forth in
C.R.S. Sections 29-25-105(6) and 29-25-112(1), the City Clerk shall assist the District with
conducting the election.
Section 11: The Board shall file its future operating plans and budgets and any amendments
thereto, if necessary, with the City Clerk for the approval of the City Council as provided in
C.R.S. Section 29-25-110. City Council may require the District to supplement its operating
plan or budget in any year where necessary.
Section 12: The actions of the City Clerk, petitioners, and petition representatives insetting
and providing public notice of the public hearings on the sufficiency of the Petitions, in setting
and providing public notice of the date of the public hearings at which this Ordinance was con-
sidered, and in furtherance of the November 3, 2009 election are hereby ratified and con-
firmed.
Section 13: In accordance with C.R.S. Section 29-25-105(6), this Ordinance shall not be
effective unless first submitted to a vote of the electors of the District. The District shall not be
established unless a majority of said electors voting on the establishment of the District at the
election vote in favor of such establishment.
Section 14: The District shall continue to exist for a period of five years, unless otherwise
extended by a vote of the electors of the District. This Ordinance may not be repealed, termi-
nated, or rescinded so long as the District has any outstanding financial obligations.
Section 15: If the District is dissolved in accordance with C.R.S. Section 29-25-115, any
funds or assets of the District remaining after the District has satisfied any outstanding finan-
cial obligations existing as of the date of dissolution, shall be remitted to the City and the City
shall use said funds for tourism promotion activities and/or to provide substantially the ser-
vicesoutlines inthe District's last Operating Plan filed with the City in accordance with C.R.S.
Section 29-25-110.
Section 16: If any section, subsection, sentence, clause, phrase or portion of this ordinance is
for any reason held invalid or unconstitutional in a court of competent jurisdiction, such
portion shall be deemed a separate, distinct and independent provision and shall not affect the
validity of the remaining portions thereof.
Section 17. This ordinance shall not have any effect on existing litigation and shall not operate
as an abatement of any action or proceeding now pending under or by virtue of the ordinances
amended as herein provided, and the same shall be construed and concluded under such prior
ordinances.
Section 18. A public hearing on the ordinance was held on 2009 and on
2009, fifteen (15) days prior to which hearing a public notice of the same was
published in a newspaper of general circulation within the City of Aspen.
INTRODUCED, READ AND ORDERED PUBLISHED as provided by law, by the City
Council of the City of Aspen on the day of July 2009.
ATTEST:
Michael C. Ireland, Mayor
Kathryn Koch, City Clerk
FINALLY, adopted, passed and approved this day of August 2009.
ATTEST:
Kathryn Koch, City Clerk
Michael C. Ireland, Mayor
APPROVED AS TO FORM:
John Worcester, City Attorney
OPERATING PLAN AND BUDGET
FOR THE
ASPEN LOCAL MARKETING DISTRICT
in the City of Aspen, State of Colorado
(2010)
Submitted:
June 30, 2009
TABLE OF CONTENTS
I.0 PURPOSE AND SCOPE OF THE DISTRICT ......................................... ................................1
2.0 COMPOSITION OF THE BOARD OF DIRECTORS ............................. ................................2
3.0 DESCRIPTION OF DISTRICT SERVICES ............................................. ................................3
4.0 FINANCIAL PLAN AND BUDGET ....................................................... ................................4
5.0 ADMINISTRATION AND OPERATION ................................................ ................................4
6.0 MUNICIPAL OVERSIGHT OF DISTRICT ACTNITIES ...................... ................................4
7.0 CONCLUSION .......................................................................................... ................................5
EXHIBIT A
Legal Description of Territory Within District
EXHIBIT B
Map
EXHIBIT C
District Services
EXHIBIT D
Proposed 2010 Budget
i
_. _.
OPERATING PLAN AND BUDGET FOR THE
ASPEN LOCAL MARKETING DISTRICT
1.0 PURPOSE AND SCOPE OF THE DISTRICT
1.1 Introduction and Purpose. This Operating Plan and Budget for the Aspen Local
Marketing District (the "District") has been prepared and submitted in accordance with the
provisions of the Local Marketing District Act, Sections 29-25-101 et seq., C.R.S. (the "Act").
The main purpose of the District is to promote the continued vitality of commercial
businesses within the service area of the District (the "Service Area") by focusing on providing
services in the following three main areas: (a) organization, promotion, marketing, and
management of public events; (b) activities in support of business recruitment, management, and
development; and (c) coordinating tourism promotion activities (collectively, the "District
Services").
The District, acting by and through its appointed Board of Directors, will work closely
with those groups which currently perform marketing activities in and around the Service Area,
including but not limited to the City of Aspen (the "City"), the Aspen Chamber Resort
Association ("ACRA"), the Aspen Ski Company ("ASC"), Stay Aspen Snowmass ("SAS"), and
the Town of Snowmass Village ("TOSV").
The Service Area of the District consists of approximately 186 acres and is located
entirely within the City.
The District is a Title 29, Article 25, Part 1 Local Marketing District, and will be utilized
to provide the District Services identified in this Operating Plan. The District Services will not
be provided unless and until voters approve a one percent (1%) marketing and promotion tax (the
"District Tax") at an election held for that purpose. Currently, it is anticipated that voters will
vote on the question of the formation of the District and the authorization of the District Tax at
an election to beheld on November 3, 2009.
1.2 Background. The formation of the District is a critical step toward
expanding and enhancing the current marketing activities undertaken by ACRA, ASC, SAS,
TOSV, and other groups. Section 29-25-102(2), C.R.S. states that the creation of local marketing
districts is a key component in ensuring the continued economic growth of the State of Colorado.
The Service Area of the District, and the Aspen-Snowmass area, is the premier resort destination
for visitors from within the State of Colorado, across the United States, and internationally. The
creation of the District establishes a vehicle through which the Service Area and surrounding
region is assured of visibility in an increasingly competitive international tourism marketplace.
1
1.3 District Service Area. A description of the boundaries of the Service Area of the
District (the "Service Area") is attached hereto as Exhibit A. A map depicting the boundaries of
the Service Area is attached hereto as Exhibit B.
1.4. Operating Plan Contents. Pursuant to the provisions of the Local Marketing
District Act, Section 29-25-101, et seq., Colorado Revised Statutes, as amended, this Operating
Plan specifically identifies (a) the District Services to be provided by the District, (b) the District
Tax to be imposed by the District, and (b) such other additional information as the City may
require.
2.0 COMPOSITION OF THE BOARD OF DIRECTORS
2.1 Anointed Board, Electors. The Board of Directors of the District shall have five
(5) members, all of whom shall be appointed by the City, pursuant to and in accordance with
Section 29-25-108(1)(b), C.R.S. All Board members must, by law, be electors of the District.
As set forth in the resolution organizing the District, an "elector" of the District shall mean a
natural person who is legally qualified to vote in the State of Colorado, who has complied with
the registration requirements of the Uniform Election Code, and who:
(I) Makes his primary dwelling place in the District; or
(II) Owns commercial real property within the boundaries of the District; or
(III) Is the natural person designated by an owner of commercial real property in
the District which is not a natural person to vote for such owner. Such
designation must be in writing and filed with the City Clerk and the secretary of
the District. Only one such person maybe designated by an owner.
2.2 Initial Board. The individuals who are to be appointed to the initial Boazd of
Directors of the District are:
1) Casandra Foister
2) Tim Clark
3) Dale Paas
4) Warren Klug
5)
2
3.0 DESCRIPTION OF DISTRICT SERVICES
3.1 District Services. As set forth in Section 1.1 above, the District Services consist
of services to be provided by the District in the following categories: (a) organization, promotion,
marketing, and management of public events; (b) activities in support of business recruitment,
management, and development; and (c) coordinating tourism promotion activities. The District
Services are more particularly described in Exhibit C attached hereto and incorporated herein by
reference. The Board of Directors of the District will, to the extent practicable, coordinate the
District Services with ACRA, ASC, ASA and TOSV in order to avoid the duplication of
services.
3.2 District Powers. In addition to the District Services described in Section 3.1, the
District shall have all of the powers of a local marketing district as described in the Act.
4.0 FINANCIAL PLAN AND BUDGET
4.1 General Matters, Budget. The District's preliminary 2010 budget is attached
hereto as Exhibit D, and is incorporated herein by reference. The specific line items identified in
the budget, including "basic marketing activities," "related marketing activities," "winter
marketing campaign," and "group sales initiative" are further described in Exhibit C.
Following organization of the District by resolution of the City Council and approval of
the formation of the District and District Tax by voters at the November 3, 2009 election, the
Board of Directors of the District will formally adopt a budget for 2010 in compliance with the
Colorado Local Government Budget Law, including the required public notice and hearing
before the Board of Directors of the District. The Board shall take no formal action on the final
2010 budget unless and until voters have approved the formation of the District. The budgets for
2011 and subsequent years shall be incorporated into the District's annual Operating Plan
submitted to the City for review and approval as required by Section 29-25-110, C.R.S.
4.2 Initial Election. The District shall hold an election on November 3, 2009 for the
purpose of authorizing the formation of the District and authorizing the imposition of the District
Tax.
4.3 District Tax. Contingent on the favorable outcome of the November 3, 2009
election, funding for the District Services will be provided through the imposition of a one
percent (1%) marketing and promotion tax on the purchase price paid or charged to persons for
rooms or accommodations as included in the definition of "sale" in Section 39-26-102(11),
C.R.S., and as further set forth and authorized pursuant to Section 29-25-112, C.R.S.
Notwithstanding the foregoing, the definition of "sale" shall not include "the exchange of
property as well as the sale thereof for money," as referenced in Section 39-26-102(10), C.R.S.
3
Revenues generated by the District Tax will be collected by the Colorado Department of
Revenue (the "Department of Revenue") in a timely fashion, pursuant to and in accordance with
Section 29-2-106, C.R.S., in order that the District Services identified in this Operating Plan may
be funded and operational beginning as early as calendar year 2010. In accordance with Section
29-25-112(1)(b)(II), C.R.S., the Department of Revenue shall perform an annual analysis to
determine the net incremental cost of the collection, administration and enforcement of the
marketing and promotion tax, and shall retain an amount determined to be necessary to offset
said incremental costs, except that such amount may not exceed three and one-third percent
(3.33%) of the amount collected in any year.
5.0 ADMINISTRATION, OPERATION AND MAINTENANCE
5.1 General. The District shall be responsible for providing its own administrative
operations and the District Services. District Services will be performed by District personnel or
by contract or agreement with other governmental or non-governmental entities. Pursuant to
Section 29-25-111(1)(j), C.R.S., the District shall be authorized to exercise all rights and powers
necessary or incidental to or implied from the specific powers granted to local marketing districts
by the Act.
5.2 Funding of Administrative and Operating Costs. The District's administrative and
operating costs, including accounting and legal services, will be funded through the District Tax.
As set forth in the preliminary budget attached hereto as Exhibit D, administrative and operating
costs are expected to comprise a maximum of 5% of the District's overall budget. The majority
of District funds raised by the District Tax will be spent on the provision of District Services.
6.0 MUNICIPAL OVERSIGHT OF DISTRICT ACTNITIES
6.1 Annual Operatine Plan and Budget. The District shall submit to the City by
September 30th of each year, an annual operating plan and budget describing its proposed budget
for the next fiscal year in accordance with Section 29-25-110, C.R.S. This Operating Plan shall
constitute the District's Operating Plan and Budget for 2010. The District shall submit its next
operating plan and budget to the City on or before September 30, 2010, and by September 30th
of each year thereafter.
6.2 Inclusions and Exclusions. Any proposed inclusions or exclusions of territory
into or from the District shall be accomplished pursuant to and in accordance with Section 29-25-
113, C.R.S.
4
7.0 CONCLUSION
It is submitted that this Operating Plan for the Aspen Local Marketing District meets the
requirements of the Local Marketing District Act and that the District Services identified in this
Operating Plan are those services which best satisfy the purposes of Part 1 of Article 25 of Title
29, C.R.S., as required by Section 29-25-107(4), C.R.S.
It is further submitted that the formation of the Aspen Local Marketing District has a
demonstrable public purpose, in that it will support and promote the continued vitality of the
commercial interests located within the boundaries of the Service Area by providing a vehicle
through which tourism promotion activities and related District Services may be funded on an
annual basis moving forwazd. The creation and continued existence of the District will ensure
that the Service Area and the related region remains a visible world class destination and remains
competitive in terms of capturing tourist revenue in an increasingly competitive global tourism
marketplace.
5
EXHIBIT A
General Description of District Boundaries
The Aspen Local Marketing District is bounded by Main Street running east from Fifth
Street to Monarch, but including half of the blocks north of Main Street between
Garmisch and Second streets; then north on Monarch past Clark's Market and including
the Puppy Smith commercial buildings; then up Mill Street to the alley between Hopkins
and Hyman, east down the alley to Original Street, south to Hyman and east again to West
End, then north to Hopkins, east to Cleveland Street then south to Cooper Avenue. The
Boundary runs west on Cooper to Original, up to Ute Avenue to include the Aspen
Silverglow and Gant properties, then south to include the Aspen Alps properties, west
along Aspen Mountain to include the Lift 1 area and the Shadow Mountain
Condominiums, then north along Garmisch to Hyman, east along Hyman to include the
St. Moritz Lodge, north on Third Street to Hopkins, west again to Fifth Street and north to
Main Street.
The Aspen Local Marketing District also includes the commercial buildings at the Aspen
Meadows and Aspen Institute, and the commercial buildings and lodging at the base of
Aspen Highlands.
The area included approximates 186 acres. A specific map of the District Boundaries is
attached.
EXHIBIT B
Map of District Service Area Boundaries
EXHIBIT C
District Services
The services to be provided by the Aspen Local Marketing District are those certain services
described in Section 29-25-11 I(1)(e), C.R.S., as more particularly described below:
A. Organization, promotion, marketing and management of public events
1. Public and Special Events. The District may assist with funding special events in
the Aspen downtown core aimed at adding vibrancy to the community and enhancing the visitor
experience. The District may assist existing special events with organization, promotion,
marketing, and management.
B. Activities in support of business recruitment, management, and development
1. Public Relations. The District will focus on increasing the travel budget to host
more journalists and television crews in and around the City of Aspen for targeted stories. The
District will also focus on increasing participation in the Colorado Tourism Office ("CTO") and
other media events in key markets, which events are deemed to support business development
within the service area of the District.
2. Business Development, Film Commission. The District will consider developing
a local film commission aimed at providing resources and support for companies interested in
filming in and around Aspen, which will develop business within the service area of the District
by generating revenue for local businesses and hotels.
C. Coordinating tourism promotion activities
1. Basic Marketing Activities. The primary purposes of the District will be to assist
and interface with the Aspen Chamber Resort Association ("ACRA") to coordinate tourism
promotion activities, including but not limited to the following:
• Increase advertising budget (print and online) within targeted media outlets in both the
Denver Front Range mazket and other key feeder mazkets such as Houston/Dallas, Los
Angeles, New York, Chicago and Atlanta.
• To the extent practicable, advertising funds will be allocated to maximize effectiveness by
complementing advertising done by CTO and ACRA.
• Direct mail and email marketing campaign - to past visitors to the City of Aspen and
surrounding area from the database of the Aspen Skiing Company ("ASC"), the Town of
Snowmass Village ("TOSV"), Stay Aspen Snowmass ("SAS") and ACRA.
• Further participation in CTO cooperative advertising opportunities and travel trade-show
program.
• Utilize additional media outlets that have been out of reach due to limited budget (radio, TV,
Comcast, mobile applications).
• Increase presence in the Denver/Front Range markets and other "driver" markets through
advertising at existing Colorado Welcome Centers, AAA and other drive market providers
and increased distribution of collateral materials. To the extent practicable, the District may
consider funding billboard, direct mail and Internet campaigns.
• Basic marketing activities of the District will consist of a combination of print advertising,
online and email advertising, cooperative advertising, radio, television and mobile phone
applications, public relations and special promotional efforts.
2. Related Marketine Activities. In order to complement and support the above
basic marketing activities, the District may purchase high-end photography of spring, summer
and fall images for website and mazketing materials, may increase the travel budget for industry
events and trade shows, and may consider the sponsorship of special events, public events, group
business initiatives, production crews, or other complementary activities. The District will also
focus on increasing the web presence of marketing efforts through targeted email campaigns,
database management and strengthening web based tracking mechanisms. All related marketing
activities of the District will be aimed at promoting and attracting more visitors to the Aspen
area.
3. Winter Marketing CamyaiQn. ACRA has historically focused on non-winter
marketing due to its limited budget. The District will focus on tourism promotion activities
aimed at including a "winter component" to current mazketing efforts. The District will work
with ASC, SAS, TOSV and ACRA to complement current campaigns and will focus outreach on
increasing the visibility of winter activities (other than skiing) that take place in and around the
service area of the District during the ski season.
4. Group Sales Initiative. The District will focus on increasing the marketing budget
for Aspen groups to include strategic mazketing campaigns aimed at corporate, association, group
travel, and destination weddings, including but not limited to the following: (a) increase presence
and sponsorship at meeting industry events and trade shows; (b) fund the development and
distribution of additional collateral marketing materials to include wedding planner and meeting
planner guide; and (c) funding additional advertising in meeting media.
Pursuant to Section 29-25-111(1)(d), C.R.S., the District may enter into contracts or agreements
with ACRA or other third parties to provide, or assist with providing, any of the services outlined
in this Exhibit C.
Note: No revenue collected from the marketing and promotion tax levied under Section 29-25-
112, C.R.S. may be used for capital expenditures, with the exception of tourist information
centers.
EXHIBIT D
2010 Budget (preliminary)
ASPEN LOCAL MARKETING DISTRICT
2009
YTD 2010
Revenues and Budget
Projected
Marketing and promotion 0 1,000,000
taxes
Other 0 0
Total:
Expenditures
Marketing Programs
(Basic Marketing
Activities and Related
Marketing Activities)
Public and Special Events,
Public Relations
Winter Marketing
Campaign
Group Sales Initiative
Miscellaneous
Management /
Administrative and
Operating Costs
Legal
Accounting /Audit
Insurance
Contingency
Emergency Reserve
0 1,000,000
0 513,500
0 100,000
0 200,000
0 75,000
10,000
50,000
0 8,000
0 8,000
0 500
0 5,000
0 30,000
Total
0 1,000,000
' Estimated revenue based on proposed one percent (1%) marketing and promotion tax imposed and collected in
accordance with Section 29-25-112, C.R.S.
vu~a.
The City of Aspen
City timprner~ Ctfice
MEMORANDUM
T0: Mayor and Members of Council
FROM: John P. Worcester, City Attorney
DATE OF MEMO: July 6, 2009
MEETING DATE: Jully 13, 2009
RE: Ordinance No. t Series 2009
REQUEST OF COUNCIL: Attached for your consideration and review is a proposed ordinance
that, if approved, would change the fee structure for the Aspen Gymnastics Program and the
Environmental Health Department. t:.
Tim Anderson, Recreation Director, is proposing this fee change pursuant to a new gymnastics
service agreement with John Bakken d/b/a Aspen Gymnastics, LLC. Recreation has provided a
memorandum and a spreadsheet depicting gymnastics price comparisons taken from
comparable gyms in other locations.
CJ Oliver, Environmental Health Department Senior Environmental Health Specialist, has
provided a memorandum outlining the amended fees for increased food service license and
plan review.
The Fee Ordinance maintains the City's policy of requiring consumers and users of its programs
and services to pay fees that are deemed fair and appropriate for the costs of providing such
programs and services.
DISCUSSION: Please see attached Recreation Department and Environmental Health staff
memorandums.
FINANCIAL/BUDGET IMPACTS:
PROPOSED MOTION: I move to approve Ordinance #J 2009
CITY MANAGER COMME
~xq -?~ PARRS & RECREATION
`CG. .'x.
MEMORANDUM
TO: MAYOR & CITY COUNCIL
FROM: TIM ANDERSON, RECREATION DIRECTOR
MEETING DATE: JULY 27, 2009
RE: INCREASE OF GYMNASTICS FEES
P
Summary:
At the July 13, 2009 Council meeting following the first reading of Ordinance #15, Fees, Council asked
staff to come back with information regarding the current gymnastics fees, the proposed fees, and the %
of increase to each of these fees.
Council will find in their packet attachment "B", a list of the program fees being changed, the current
price and the proposed fee and percentage of increase/decrease. Staff feels these fees are fair and
reasonable, especially when compared to other programs as in attachment "A". Due to budget cuts in
this economy, the Recreation Division and John Bakken have negotiated a new contract. The
administration of the gymnastics program will now be handled by John Bakken; the contracted vendor.
The City has reduced expenditures by over $60,000 in labor, materials, and administrative support to
the Gymnastics program, which must now be picked up by John Bakken and Aspen Gymnastics LLC.
These fee increases are minimal at this time to cover the cost of doing business and the computers,
software, and support materials John has had to invest to take over administration of this program.
With current budget reductions the City can no longer to afford to subsidize the program to degree it
has in the past. In order to maintain the high level of professionalism and safety John Bakken brings to
the program, these fees must be approved. Staff, the parents, and John have no desire to see the
quality or the safety of the program diminish, thus a portion of the real cost of doing business must be
passed along to the patrons. At the same time the City is charging Aspen Gymnastics $25.00/hr. for the
use of the Red Brick Gym; minimal by Aspen standards and affordable to the program. In 2008 the City
collected $25,000 in enrollment revenue, under the new rent arrangement the City will collect $30,000.
The City will also continue to pick up the replacement costs of equipment, such that we are continuing
our support of an excellent program. John Bakken will be at the Council meeting to answer any
questions Council may have during the public hearing on July 27`h.
u A~~~~~t A~,
May 2009
Gymnastics price comparisons taken from comparable gyms in other locations
Price is based on cost per hour
ASPEN Glenwood Fort Collins Longmont G.Junction Cincinnati
45 min class $18.00 $18.25 $20.00 $22.60 $16.50 $18.30
1 hr class $16.00 $16.00 $18.75 $20.75 $14.00 $16.75
1.5 hr class $15.00 $18.30 $14.60
team per/hr $6.00 $8.00 $8.00
~tTo<~h`iv~`i~ ~ ~ 4
GYMNASTICS Current Proposed % Increase
Gymfants (10 mo - 2 yrs) $ 33.00 $ 36.00 8%
Pazent/Tot (1.5-3 yrs) $ 50.00 $ 54.00 7%
Tots (3-5 yrs) $ 50.00 $ 54.00 7%
Super Tots (4-5 yrs) $ 50.50 $ 54.00 6%
Levell $ 64.00 $ 64.00 0
Level 2 $ 86.00 $ 90.00 4%
Beginner Boys (4-7 yrs) $ 55.50 $ 54.00 -3%
Beginner Boys (7 yrs+) $ 86.50 $ 90.00 4%
Advanced Boys $ 134.00 $ 160.00 16%
Leve13 $ 142.00 $ 160.00 113'0
Level 4, 5 & 6 - 3 days/wk $ 190.00 $ 216.00 12%
Level 4, 5 & 6 - 4 days/wk $ 200.00 $ 230.00 133'0
Level 4, 5 & 6 - 5 days/wk $ 210.00 $ 240.00 12%
Levels 7, 8, 9, 10 $ 230.00 $ 260.00 12%
Big Air (Teens & Adults) $ 67.00 $ 64.00 -5%
MEMORANDUM
TO: MAYOR & CITY COUNCIL
FROM: CJ Oliver, Senior Environmental Health Specialist
MEETING DATE: July 13, 2009
RE: AMENDMENT TO THE 2009 FEES ORDINANCE FOR INCREASED FOOD
SERVICE LICENSES and PLAN REVIEW FEES.
Summary: Council will find a request from staff and the City Attorney's office to
increase Retail Food Service license and Restaurant Plan Review fees.
This fee change is a result of a bill passed by the State that increases the
fees for restaurant licenses and plan reviews beginning July 1, 2009. In
order to cover some overhead costs for the administration of the
program these increases are necessary and reasonable. The Retail Food
Program fees are determined by the State of Colorado and are the same
throughout all State jurisdictions.
MEMORANDUM
TO: Mayor and City Council
FROM: CJ Oliver, Sr. Environmental Health Specialist
THRU: Lee Cassin, Environmental Health Director
DATE OF MEMO: July 17, 2009
MEETING DATE: July 27, 2009
RE: Change to Fee Ordinance for Consumer Protection Fees
DISCUSSION:
Consumer Protection Program fees aze set by the State of Colorado for agencies such as the City
of Aspen and have been increased starting July 1, 2009. Adjustments to fees are made to cover a
greater percentage of the costs of the services provided to customers. The fees are set by State
statute and aze used by all agencies that have a Consumer Protection program. As the fees have
already been established, the City of Aspen must update the Fee Ordinance to match the state
changes.
FINANCIALBUDGET IMPACTS: The increase in fees will generate approximately $7,500
in additional funds and will lessen the tax payer subsidy of the program. There will be no
increase in the City's costs to administer the program.
RECOMMENDED ACTION: Staff recommends that Council approve the change to the Fee
Ordinance.
ALTERNATIVES: There is not an alternative action since the fees aze set by the State and
have been implemented.
PROPOSED MOTION:
ATTACHMENTS:
A- Table of increases in applicable fees for City of Aspen
Page 1 of 1
Cate o Previous Fee New Fee % chnn e
Restnurant 0-100 $154 $255 66%
Bents
Restaurant 101- $175 $285 63%
200 seats
Restnurant over $189 $310 64%
200 cents
Temporary Event $154 $255 66%
Establishment
Mobile Unit $154 $255 66%
Grocery Store $263 $360 37%
w/deli 15,000-
25,000 Sq Ft
Plan Review $75 $100 33%
application fee
Plan Review pre- Up to $280 Up to $580 Up to 107%
opening and (Simple (many will change
inspection fee restaurant would by only 3.5%
be $290) with a new
slidin scale)
No fee licenses for $0 $0 none
school/church/non-
profit
ORDINANCE NO. ~~
Series of 2009
AN ORDINANCE OF THE CITY COUNCIL OF THE CITY OF ASPEN, COLORADO, AMENDING
THE MUNICIPAL CODE OF THE CITY OF ASPEN TO INCREASE CERTAIN MUNICIPAL FEES
WHEREAS, the City Council has adopted a policy of requiring consumers and
users of the miscellaneous City of Aspen programs and services to pay fees that fairly
approximate the costs of providing such programs and services; and
WHEREAS, the City Council has determined that certain fees currently in effect
do not raise revenues sufficient to pay for the attendant costs of providing said
programs and services.
NOW, THEREFORE, BE IT ORDAINED BY THE CITY COUNCIL OF THE CITY OF
ASPEN, COLORADO:
Section 1.
That Section 2.12.040 of the Municipal Code of the City of Aspen, Colorado, which
section sets forth leisure and recreation user fees, is hereby amended to read as
follows:
2.12.040 Miscellaneous leisure and recreation fees
GYMNASTICS
Level 1
$64.00
Level 1- 2 days/week $115.00
Level 2
$90.00
Level 2 - 2 days/week $160.00
Beginner Boys (4-7 yrs) $54.00
G:\Tara\FILES A-L\FEE ORDINANCE\2009\Ord.2009fees.Gymnastics.EH.doc
Beginner Boys (7 yrs+) $90.00
Advanced Boys $160.00
Super Tots (4-5 yrs) $54.00
Level 3 $160.00
Level 4, 5 & 6 - 3 days/wk $216.00
Level 4, 5 & 6 - 4 days/wk $230.00
Level 4, 5 & 6 - 5 days/wk $240.00
Levels 7, 8, 9, 10 $260.00
Big Air (Teens & Adults) $64.00
Parent/Tot (1.5-3 yrs) $54.00
Tots (3-5 yrs) $54.00
Gymfants (10 mo - 2 yrs) $36.00
Section 2.
That Section 2.12.052 of the Municipal Code of the City of Aspen, Colorado, which
section sets forth user fees for the Environmental Health Department, is hereby
amended to read as follows:
Sec. 2.12.052. Environmental Health Department Fees
Special or Temporary Even plan Review fee $47.00
Special or Temporary Event Inspection fee $47.00
Swimming pool plan review fee $79.00
Restaurant site inspection fee $82.00
Food Safety Training $82.00
-1-
Food Service License
(See schedule below)
No fee License (School, Charitable Organization,
Penal Institution, Church, Other) ......................... $ 0.00
Mobile Unit ................................... ..... $225.00
Mobile Unit (Pre-packaged) ................................. $115.00
Temporary/Special Event Establishment .............. $255.00
Temporary/Special Events (Pre-packaged)........... $115.00
Restaurant 0-100 Seats ................ ....................... $255.00
Restaurant 101-200 Seats ................................... $285.00
Restaurant Over 200 Seats .......... $310.00
Grocery Store 0-3,500 Sq Ft ................................ $115.00
Grocery Store 3,501- 15,000 Sq Ft ....................... $180.00
Grocery Store 15,001-25,000 Sq Ft ...................... $200.00
Grocery Store 25,001-45,000 Sq Ft ...................... $235.00
Grocery Store 45,001-65,000 Sq Ft ...................... $290.00
Grocery Store 65,001-85,000 Sq Ft ...................... $415.00
Grocery Store Over 85,000 Sq Ft ......................... $500.00
Grocery w/Deli 0-3,500 Sq Ft .............................. $207.00
Grocery w/Deli 3,501-15,000 Sq Ft ...................... $338.00
Grocery w/Deli 15,001-25,000 Sq Ft .................... $360.00
Grocery w/Deli 25,001-45,000 Sq Ft .................... $395.00
Grocery w/Deli 45,001- 65,000 Sq Ft ................. $450.00
Grocery w/Deli 65,001- 85,000 Sq Ft ................... $575.00
Grocery w/Deli Over 85,000 Sq Ft ....................... $690.00
Oil & Gas Temp. 0-50 (Initial License) ................. $750.00
Oil & Gas Temp. 0-50 (Renewal License)............ $275.00
Oil & Gas Temp. Over 50 (Initial License) ........... $1,250.00
Oil & Gas Temp. Over 50 (Renewal License)....... $500.00
Plan Review Application Fees ............................. $100.00
Plan Review &Pre-opening Inspection (Not to exceed) $580.00
Equipment Review Application Fee ..................... $100.00
Equipment Review Fee (Not to exceed) .............. $500.00
HACCP Plan (Written) (Not to exceed) ................ $100.00
HACCP Plan (On-site Eval.)(Not to exceed).......... $400.00
Real Estate Review of Property (Not to exceed) . $ 75.00
Other Services for which fees have been established Established Fee
2-
A public hearing on the ordinance shall be held on the day of
2009, in the City Council Chambers, Aspen City Hall, Aspen, Colorado.
INTRODUCED, READ AND ORDERED PUBLISHED as provided bylaw by the City
Council of the City of Aspen on the day of , 2009.
Michael C. Ireland, Mayor
ATTEST:
Kathryn S. Koch, City Clerk
FINALLY adopted, passed and approved this _ day of June, 2009.
Michael C. Ireland, Mayor
ATTEST:
Kathryn S. Koch, City Clerk
-3-
~/ ~'
MEMORANDUM
TO:
FROM:
THRU:
DATE:
RE:
Mayor and Council
Tom McCabe, Executive Director, Housing~~1'V\
Barry Crook, Assistant City Manager
July 27, 2009
Ordinance # 17 (Series 2009) Adopting Amendments to the Aspen/Pitkin
County Employee Housing Guidelines
SUMMARY: To approve four Guideline changes requested by the Housing Boazd: 1)
addition of an owner's responsibility to maintain eligibility for ownership of affordable
housing; 2) disposition of single deed-restricted units in free-mazket complexes; 3) allowing
qualified retirees to rent their deed-restriction units for up to six months to qualified
employees; and 4) redefine the Roaring Fork Valley.
PREVIOUS COUNCIL ACTION: City Council approved the requested changes at First
Reading on July 8, 2009.
BACKGROUND: The BOCC reviewed the policy changes at first reading on July 8, 2009
whereby minor changes were made that were requested by the BOCC. Second reading is
scheduled for July 22, 2009. The City Council reviewed the policy changes at first reading
held July 13, 2009 and approved for second reading with the changes recommended by the
BOCC.
One of the major complaints that Housing receives from Homeowner Associations is
a household not paying their dues. Language has been inserted into new deed
restrictions that states if a homeowner does not pay the required dues and/or
assessments, they aze in violation of the deed restriction and must sell their home.
This provision was added to the Guidelines within the last yeaz; therefore, deed
restrictions in existence prior to that change aze not covered by this language . By
adding the recommended language in Exhibit A, the majority of those older deed
retrictions would be covered by the same requirement. Staff will set up a procedure
for Homeowners Associations to contact APCHA with a request for this type of
compliance enforcement. APCHA will review the owners' deed restriction and
covenants; set up a meeting between the alledged non-compliant owner and HOA
Board members and come up with a plan to resolve the issue. Should the owner not
participate in the meeting or come into compliance as agreed to by the terms of the
meeting, the normal Notice of Violation process will be adhered to. See Exhibit A for
the language to be incorporated into the Guidelines.
2. The disposition of single deed-restricted units in free-mazket complexes deals with 12
units. The attached memo goes into detail for this request; however, staff is
recommending that there be no RO option for the deed-restricted unit. If APCHA
reviews all aspects of the unit, e.g., location, special assessment issues in the past,
etc., and feel that the unit should be classified as RO, then the unit will be marketed
as a RO unit and an updated deed restriction will be placed on the unit. Under this
circumstance, the additional revenue generated by the sale of the unit under the RO
designation, will be deposited to either the city or county housing development fund.
See Exhibit B for the language to be incorporated into the Guidelines.
3. The third policy request was approved unanimously at the Joint Meeting held April
14, 2009. This policy would allow for a qualified retiree as stipulated in the
Guidelines to rent out their unit for up to six months. The owner would still be
required to utilize the unit as their primary residence (live in it for at least six months
and one day) which would require the filing of a Colorado Income Tax Return. An
updated Colorado Income Tax Return will be required once the owner returns. See
Exhibit C for the language to be incorporated into the Guidelines.
The fourth item expands the definition of the area whereby an owner or tenant of
deed-restricted property can own other residential developed property. The APCHA
has not only modified the area, but the name as well. A map will be provided that
entails the azea where other residential property cannot be owned -and this azea will
now be known as the Ownership Exclusion Zone and it's definition will be added to
the definitions section of the Guidelines. If an owner or tenant purchased property
within those azeas that would now be disallowed prior to this language being adopted,
said owner/tenant would be able to continue to own that specific property; however,
at such time that the property was sold, said owner/tenant could not buy another
property within the azea stipulated in the revised definition. See Exhibit D for the
language to be incorporated into the Guidelines.
DISCUSSION:
1. The Housing Office will only respond to non-payment issues when a Homeowners'
Association contacts APCHA in writing. Most homeowners aze working with their
HOA if they are unable to pay at a certain time and working on payment plans. The
Housing Office will ask the HOA to provide information in a written request as to the
length of time the HOA dues have not been paid, if there has been any contact with
that owner as to the non-payment of dues, and how far in aneazs. A meeting will be
convened with the owner, two members of the HOA Board and APCHA staff to
discuss a resolution. If the owner does not participate in this meeting or does not
comply with the aggreed upon resolution reached at the meeting, the normal Notice of
Violation procedure will be adhered to. During the discussion between the HOA and
APCHA, an agreement will be signed that will enable APCHA to recoup legal fees if
the HOA receives payment from the owner.
2. Buying out of the single deed-restricted units in free-market complexes will no longer
place a burden on an owner when a major assessment is approved by the majority of
the homeowners nor require a subsidy to be paid by APCHA, the City or the County.
The replacement of these units back into the free mazket will also provide additional
funds which could be used for production of new, lower category units.
3. The Guidelines allow for an employee to retire and maintain ownership or tenancy in
the unit as long as the unit is their primary residence. By allowing a retiree who is not
working to rent to a qualified employee, the retiree can still remain in the community
along with providing workforce housing at a higher level.
4. Expansion of the azea of non-ownership free-market housing will provide the deed-
restrictedunits to those who do not have the financial ability to buy within
commuting distance and are in greater need ofdeed-restricted housing.
FINANCIAL IMPLICATIONS:
This change would have no financial implications to the City; however, there are
many small homeowners association that rely on all homeowners dues to pay every
day expenses. This will become more important when major repairs will need to be
done and certain households fail to pay their dues.
2. The loss of inventory puts the program further behind in the goal that is stipulated in
the Aspen Area Community Plan (AACP). However, financially it is better to utilize
the funds that are made upon the sale of the free-market unit to develop other housing
and not have additional funds go to help the homeowner with high assessments.
3. This change has no financial implications to the City. By allowing a retiree to rent the
unit to a qualified employee, the home is being utilized for the purpose that it is
intended -providing housing to employees.
4. This change has no financial implications to the City. People who otherwise might
qualify for housing in New Castle, Rifle and No Name communities will be forced to
sell their homes or forego entering into the deed-restricted housing market.
ENVIRONMENTAL IMPLICATIONS: None of the recommended policy changes
have any environmental implications.
RECOMMENDATION: To approve four Guideline changes requested by the Housing
Board: 1) addition of an owner's responsibility to maintain eligibility for ownership of
affordable housing; 2) disposition of single deed-restricted units in free-mazket complexes; 3)
allowing qualified retirees to rent their deed-restriction units for up to six months to qualified
employees; and 4) redefine and expand the ownership exclusion zone whereby an owner or
tenant would be unable to own other developed residential property.
PROPOSED MOTION: Approve Ordinance No. -2009, Adopting Amendments to
the Aspen/Pitkin County Employee Housing Guidelines.
ATTACHMENTS:
Memo dated May 20, 2009, regazding Regulatory Changes Necessitated by Special Assessment
Issues at Selected Properties
Ordinance No. (Series 2009), Adopting Amendments to the Aspen/Pitkin County Housing
Authority Employee Housing Guidelines
Exhibit A -Part III, Section 4, addition to the Aspen/Pitkin County Housing Authority Employee
Housing Guidelines
Exhibit B -Part III, Section 5, addition to the Aspen/Pitkin County Housing Authority Employee
Housing Guidelines
Exhibit C -Part V, Section 12, addition to the Aspen/Pitkin County Housing Authority Employee
Housing Guidelines
Exhibit D -Part X, Defmitions, addition to the Aspen/Pitkin County Housing Authority Employee
Housing Guidelines
MEMORANDUM
TO: Mayor and Council
Boazd of County Commissioners
FROM: The Aspen/Pitkin County Housing Authority (APCHA)
THRU: Tom McCabe~~~
t ~j ~
THRU: ~arry Crook, Phylis Mattice L~/
DATE: May 20, 2009
RE: Regulatory changes necessitated by special assessment issues at selected
properties. ,
REQUEST OF COUNCIL: Consider changing appropriate regulations of City of Aspen, Pitkin
County, and the APCHA guidelines, to:
a) discontinue approval of deed restricted units in existing free market complexes,
b) permit the removal of the deed restrictions on certain units,
c) permit the free market sale of the same deed restricted units,
d) and/or, to re-classify certain category units to the RO designation.
PREVIOUS COUNCIL ACTION: This idea was discussed at the Joint CounciUCommission
meeting of April 14, 2009,. without the inclusion of the RO component which, the staff has since
agreed, is another approach to consider.
BACKGROUND: Over time, a variety of approvals were granted which let some developers
satisfy their housing mitigation requirements by purchasing one or two units in an existing free
market Home Owners Association (HOA) complex and deed restricting them. It later became
apparent that such deed restricted. units do not have a meaningful voice about the actions of the
HOA. This is a significant issue when the wealthier, free market owners decide to make extensive
improvements beyond the ability of the deed restricted owners to afford.
APCHA has helped some owners of such units with their special assessments and has spent over
$16,426 out of pocket doing so. Additionally, in two instances approvals were granted to allow
the listed category increase to category three to compensate for assessments of $38,500 at Aspen
West and $16,775 at Winfield Arms. Currently APCHA is being asked to pay for a special
assessment for a complete remodel estimated to cost $193,139.00. The APCHA board has voted
to discontinue all such bailouts regazdless of the amount and not to consider "adjusting" categories
to offset lazge special assessments because that action is in fundamental conflict with the mission of
the APCHA.
The affected properties are as follows:
Alpine Crrove
Aspen West
E. Cooper Court
Little Victorian
Pazk Avenue Townhome
Pazk Circle
Sagewood Condominium
Shadow Condominium
Villas at Elk Run
Water View
Winfield Arms
420B Pacific Avenue, AABC
104 West Cooper Avenue #5
939 E. Cooper # C
634 West Main #2
170 Park Avenue #B
425 Pazk Circle A-1
910 West Hallam #11
605 West Main #OOA
7202 Elk Lane & 8208 Elk Run, Basalt
301 Water View
119 East Cooper # 1
DISCUSSION: City Council and the BOCC have believed that having a mix of affordable
housing and free market housing would make for a more diverse community and that lights
would always be on in a specific neighborhood. No one foresaw what the long term
ramifications would be for the one or two deed-restricted homeowners in an otherwise free
market complex. The deed restricted owners inability to have a meaningful influence in the votes
for special assessments puts such deed restricted units all in an ultimately untenable situation.
The City Land Use Code's off-site mitigation option requires APCHA approval of such a unit.
However, in order for APCHA to accept the unit in a free-mazket complex, under APCHA
policy, the applicant would be required to have the existing homeowner's association change
their assessment schedule among all the association units to APCHA's satisfaction. The
likelihood of the free mazket HOA agreeing to do so is extremely remote.
Newly constructed complexes, where free mazket and deed restricted units are co-mingled, aze
now structured to have special assessments apportioned to reflect the very different valuations
between free mazket and deed restricted units. It is hoped that this arrangement will assure the
affordability of the deed restricted units going forwazd through time.
FINANCIAL IMPACTS: The ability of APCHA to purchase the units being discussed is
adequate unless several occur at the same time. In that circumstance APCHA would ask for a
short term loan from the city or county. As soon as the unit is sold the loan would be repaid. The
extent and duration of such a loan would be specific to the unit.
ENVIRONMENTAL IMPACTS: None
RECOMMENDED ACTION: APCHA is asking the City Council and the County
Commission to discontinue approvals that permit the buying out anoff--site unit in an existing
free-mazket complex as a way of satisfying mitigation requirements. This request affects certain
documents in city, county and APCHA regulations. The changes would be coordinated among
the appropriate city, county and APCHA documents as needed.
Because there is no legal remedy available to protect the deed restricted owner in older free
mazket complexes, the Housing Boazd is also asking for the ability to purchase the identified
units at the time of their next resale, then release the deed restriction, and then to sell them as
free-mazket units. The seller would receive the normal return consistent with the guidelines, and
the proceeds above that amount would be added to the City Development Fund, if in the City or
the County Housing Fund, if in the County.
If an existing deed restricted owner's unit is required to be changed by the HOA, to an extent
that cannot be afforded, or that aze deemed otherwise onerous by APCHA, that APCHA will
work with each owner to try and find the least disruptive solution, realizing that re-categorization
and bail-outs aze not an option.
In order to help offset the disruption (under this circumstance) of the seller's life and facilitate a
rapid relocation, the seller would have the highest priority in the next deed restricted lottery in
the category they originally qualified for and that they find desirable. Additionally, the sale of
their unit to the Housing Authority would not require the owner to pay the customary 2% sales
fee to APCHA. While this "solution" is less than ideal, it avoids foreclosure and re-locates the
owner in a compazable unit as soon as possible.
ALTERNATIVES: An alternative approach, but not one enthusiastically supported by the
APCHA boaid, would be to re-classify an at-risk deed restricted unit upon its next sale, to the
RO designation. This "solution" may not completely avoid similaz problems, depending on the
scale of future HOA approved special assessments. It still displaces the current category owners
and it increases the already substantial supply of RO units when the overwhelming demand is
consistently demonstrated to be for category 2, 3, and 4 units.
On the other hand it is azgued by some staff that conversion to RO units would maintain the goal
of inclusionary workforce housing and avoid any loss of workforce housing inventory at a time
when replacing such inventory is more challenging than ever.
Ordinance No. 17
(Series of 2009)
AN ORDINANCE ADOPTING AMENDMENTS TO THE
ASPEN/PITHIN COUNTY EMPLOYEE HOUSING GUIDELINES
WHEREAS, pursuant to the Municipal Code of the City of Aspen, as amended, the
housing income, eligibility guidelines and housing price guidelines are established by the City
Council; and
WHEREAS, pursuant to prior resolutions and ordinances of the City, the City Council
established employee housing income eligibility guidelines and housing price guidelines for
prior years; and
WHEREAS, the Adopting Amendments to the Employee Housing Guidelines (hereinafter
"Guidelines") has been recommended by the Boazd of Directors of the Aspen/Pitkin County
Housing Authority, a copy of which is annexed hereto and incorporated herein, has been
submitted to City Council which Guidelines set forth the employee housing qualification
guidelines for Category 1 through 7 and RO ownership, rental housing projects, lodge and
commercial development, and development of residential housing units; and
WHEREAS, the City Council desires to adopt said Amendments to the Guidelines, and
by virtue of the enactment of this Ordinance to supersede and amend all prior resolutions and
ordinances of the City pertaining to housing guidelines, but only to the extent inconsistent with
the provisions of this Ordinance.
NOW, THEREFORE, BE IT ORDAINED BY THE CITY COUNCIL OF THE
CITY OF ASPEN, COLORADO:
Ordinance No. (Series2009)
Section 1
That the City Council of the City of Aspen hereby adopts the Amendments to the Employee
Housing Guidelines, as recommended by the Board of Directors of the Aspen/Pitkin County
Housing Authority, a copy of said amendments is annexed hereto and incorporated herein as
Exhibits A, B, C and D.
Section 2
That the regulations and Guidelines set forth and adopted herein shall supersede, to the
extent inconsistent with the provisions of this Ordinance, all prior resolutions and ordinances of the
City of Aspen; provided further that the provisions of resolutions and ordinance pertaining to
employee housing guidelines shall remain in full force and effect to the extent not inconsistent with
the regulations and guidelines adopted herein.
Section 3
If any section, subsection, sentence, clause, phrase or portion of this Ordinance is for any
reason held invalid or unconstitutional in a court of competent jurisdiction, such portion shall be
deemed a separate, distinct and independent provision and shall not affect the validity of the
remaining portions thereof.
Section 4
Nothing in this Ordinance shall be construed to affect any right, duty or liability under any
ordinance in effect prior to the effective date of this Ordinance, and the same shall be continued
and concluded under such prior ordinances.
Section 5
A public hearing on the Ordinance shall be held on the l0a' date of April 2006, in the City
Council Chambers, City Hall, Aspen, Colorado.
INTRODUCED, READ, AND ORDERED PUBLISHED as provided by law by the City
Council of the City of Aspen on the day of July 2009.
Michael C. Ireland, Mayor
ATTEST:
Kathryn S. Koch, City Clerk
Ordinance No. (Series2009) 2
FINALLY adopted, passed and approved this day of July 2009.
Michael C. Ireland, Mayor
ATTEST:
Kathryn S. Koch, City Clerk
Ordinance No. (Series2009)
EXHIBIT A
PART III
PURCHASING AFFORDABLE HOUSING
SECTION 4
MAINTAINING ELIGIBILITY FOR OWNERSHIP
OF AFFORDABLE HOUSING
Owner's Resuonsibilities:
1. Owner must meet and maintain all of the initial qualifications previously stated in Section 1 except
for the income/asset qualification and the minimum occupancy requirement.
2. Owner must make timely payment of all regular and special assessments duly imposed upon
the property by the applicable homeowners' association.
Once an owner receives a Notice of Violation letter from the Housing Office, the owner must
provide the documentation requested by the deadline stated in the letter.
EXHIBIT B
PART III
PURCHASING AFFORDABLE HOUSING
EXCEPTIONS TO PRIORITIES SUBJECT TO (SPECIAL REVIEW):
4. It is within the discretion of APCHA to determine that any deed-restricted unit located in a
condominium or subdivision, which also includes free-market units, has been rendered
unaffordable as adeed-restricted unit as a result of general or special assessments. The
owner(s) of the deed-restricted unit will have the highest priority to move into a like unit at
the same category of the unit currently owned. The APCHA, City of Aspen, or Pitkin
County will have the highest priority to purchase the unit that the owner is currently in at
the maximum resale price according to the deed-restriction recorded on said property and
subject to the provisions of these Guidelines. The APCHA may release the deed-restriction
on said property and sell the property at fair-mazket value as afree-mazket property. The
APCHA will be reimbursed the amount of the purchase price of said unit plus a 2% sales
fee with the balance of the funds going to the City or County for future development of
deed-restricted housing. If the APCHA, City or County paid in any additional assessments,
those funds shall also be reimbursed to APCHA, City or County. The APCHA shall only
approve deed-restricted units in mixed projects IF the condominium declazations include
adequate provisions limiting assessments on the deed-restricted units so that they will
remain affordable.
EXHIBIT C
PART V
PURCHASING AFFORDABLE HOUSING
SECTION 12
LEASING POLICY FOR QUALIFIED RETIREES
An owner of adeed-restricted property who has retired consistent with the definition of
retirement in the Guidelines, may apply at the APCHA to lease their unit for up to six months
(less one day in order to maintain the unit as their principal residence) out of each calendar year.
To obtain the benefits of this APCHA program the owner and prospective tenant must complete
the following:
• The owner must complete a leave of absence form at the APCHA and qualify for the leave of
absence as provided in these Guidelines.
• The owner and tenant must complete and sign a lease agreement with terms acceptable to
APCHA.
• The owners Homeowner Association (if applicable) shall be notified of the rental and tenant
information.
• The owner must continue to use the APCHA deed restricted unit as their primary place of
residence as evidenced by filing a Colorado Income Tax Return at that address.
• The owner shall provide proof of adequate owners insurance covering the period of the lease.
• The owner must designate a responsible person or entity to act as the owner's agent in the
owner's absence.
• The owner has the right to choose the tenant; however, the tenant must be a qualified employee as
specified in the Guidelines, except the tenant does not have to comply with the income or asset
limitations. If an owner wishes to lease the property to a qualified Pitkin County employer, then
the employer who rents the unit shall pay an additional surcharge to the owner of $100 per month.
The employer cannot pass this surcharge on to the tenant. The tenant must, however, meet all
applicable requirements as stated in these Guidelines.
• The tenant must work for 750 hours during the six month lease period.
• The tenant must complete a rental application at the APCHA_
For the purpose of this program neither the minimum occupancy nor the category requirements
in the APCHA Guidelines will apply. The permitted rental rate and security deposit will be
determined by the APCHA and recorded in the lease. This procedure must be followed for
each request for asix-month leave of absence. At no time shall a retiree be allowed to be
absent for more than six months out of any calendar year, unless they have received
approval from the APCHA.
EXHIBIT D
PART X
DEFINITIONS
Ownership Exclusion Zone -Any developed residential property that has an address within the Roaring
Fork River Drainage situated in Eagle, Pitkin, Garfield or Gunnison Counties, or within the Colorado River
Drainage from and including the unincorporated No Name area to and including Rifle, and including, but
not limited to, the towns of Aspen, Basalt, Carbondale, El Jebel, Glenwood Springs, Marble, Meredith, New
Castle, No Name, Redstone, Rifle, Snowmass, Snowmass Village, Woody Creek.
VI~Ic
MEMORANDUM
TO: Mayor Ireland and Aspen City Council
FROM: Errin Evans`; L;urrent Planner ~~~~
THRU: Chris Bendon, Community Development Director 11111,
DATE OF MEMO: July 20, 2009 V"~
MEETING DATE: July 27, 2009
RE: Jerome Professional Building - 201 North Mill Street -Vested
Rights Extension
Continued -Public Hearing of Resolution No. 42 Series of 2009
SUMMARY:
The Applicant requests of the Cotmci] to
approve the extension of vested rights of
an approval. The current approval is
vested through February 4`", 2011. A
three year extension would vest the
approval through February 4`h, 2014. The
project consists of demolishing the
existing building and constructing
commercial/office space, sub grade
parking, five affordable housing units and
five free market units.
APPLICANT /OWNER:
Jerome Professional Building
Condominium Owners Association
REPRESENTATIVE:
Herb Klein, Klein, Cote, & Edwards, LLC
LOCATION:
201 North Mill Street; Legal Description -
Jerome Professional Building, Parcel
Identification Numbers - 2737-073-17-
O10 - 2737-073-17-028
CURRENT ZONING & USE
Located in the Mixed-Use (MU) zone
district with a building containing mixed
office and commercial uses.
PROPOSED LAND USE:
The Applicant proposes to demolish the existing
building and construct a new building containing
commercial/office space, five affordable housing
units, five free market units and sub grade parking.
The applicant requests that Council approve an
extension of vested rights.
STAFF RECOMMENDATION:
Staff recommends that the Mayor and City Council
approve the request to extend vested rights to
construct the new building.
Revised 7/20/2009
Page 1 of 4
Photo of subject property.
STAFF COMMENTS:
The applicant requested the meeting to be continued because one Council member was absent.
This land use case is continued from the June 22"d Aspen City Council meeting. Please note the
original staff memo incorrectly listed the number of approved housing units. The project was
actually approved for five free market units and five affordable housing units. The memo that
was provided from the meeting on June 22"d has been included.
INFORMATION FOR NNE 22nd MEMO:
LAND USE REQUEST AND REVIEW PROCEDURES: The applicant is requesting the
following land use approvals from the City Council:
• Extension or Reinstatement of Vested Riehts The City Council may by resolution at a
public hearing noticed by publication, mailing and posting (see section
26.304.060(E)(3)(a)(b)(c) approve an extension or reinstatement of expired vested rights
or a revoked development order in accordance with this section. City Council is the final
review authority who may approve or deny the proposal.
PROJECT SUMMARY:
The applicant has requested an extension of their vested rights for the project approved by
Ordinance No. 25, Series of 2007, which allows for the demolition of the existing
commercial/office building to construct a new building consisting of mixed commercial/office
space, five affordable housing units, five free market units and sub grade parking (See Figure 1
for Vicinity Map).
Revised 7/20/2009
Page 2 of 4
`v`
N'~?E
sueiea Parcel * 0°®iee~ 5
Figure 1: Vicinity Map
The applicant has not yet begun construction of the project. Due to the current economic
climate, the applicant states that they would be more successful in securing financial
commitments to assist with the project if the vested rights expiration date was extended. The
applicant's architect estimates that it will take 18 - 24 months to complete plans, obtain permits,
and construction bids. Potential lenders are concerned about pre-sales and securing permits
during the vested rights period. The applicant has not yet applied for a building permit because
of the cost to complete construction plans. The ordinance vested the approval until February 4`h,
2011. The applicant requests that the Council extend the approval for an additional three yeazs.
This would vest the approval through February 4`h, 2014.
STAFF COMMENTS:
Vested Rights Extension:
The applicant is requesting an extension of their vested rights until March 20, 2012 pursuant to
Section 26.308.010 C. of the Land Use Code.
The applicant is requesting the extension of the vested rights because they believe that several
financial factors are an issue and the extension of the expiry period will assist them with securing
financial commitments. Staff believes that the project is suitable for the proposed location, close
to pedestrian amenities, the commercial core and mass transit.
Figure 2: East Elevation Drawing
The total floor azea ratios for the project meet requirements for this zone district with Special
Review. The floor area ratio for commercial uses are the same as the zone district requirements.
At the time of the original approvals, the applicant was permitted under Special Review to
negotiate those numbers and maintained numbers below the negotiable threshold. If this project
proceeded again through the land use process, it would again be required to receive the same
approvals for the commercial/office space. Because of changes to the Land Use Code the
applicant would now be permitted 14,433 square feet of net livable azea for free market housing.
The free market floor area requirements were changed from a 1:1 ratio to 150% of the
commercial space. This would allow the applicant to have 14,433 square feet of free market net
Revised 7/20/2009
Page 3 of 4
MILL S"I"BEET VIEW
livable area as long as the cap for the entire lot is not exceeded. The application proposes 9,622
squaze feet of floor area for commercial/office uses and 10,442 squaze feet of floor azea for free
mazket uses. Affordable housing has no restrictions for floor area.
The height restrictions have also been changed. At the time of approvals, mixed use buildings
were permitted to be up to 32 feet high. Under the current Code, mixed use buildings can be 32
feet high through Commercial Design Review.
RECOMMENDATION: While reviewing the proposal, staff believes that the application
provides a project that will make a good transition from the historic commercial district to the
Service Commercial Industrial (S/C/I) district. By 2009 Land Use Code standards, the total floor
azea ratios for the project meet requirements for this zone district with Special Review for the
commercial space and the net livable space for free market uses aze now slightly lower than the
zone district requirements. The project also supplies more affordable housing than what is
required for mitigation. The only significant changes that have been made to the zoning or
review process that would affect this proposal since the original approval in 2006 are the floor
area requirements and height. The moratorium has since expired. Community Development
Department staff recommends that the City Council approve the request to extend the
vested rights for an additional three years with the following condition:
That the establishment herein of a vested property right shall not
preclude the application or regulations which are general in nature and
aze applicable to all property subject to the land use regulation by the
City of Aspen including, but not limited to, building, fire, plumbing,
electrical, and mechanical codes, and all adopted impact fees that aze in
effect at the time of building permit, unless an exemption is granted in
writing.
CITY MANAGER'S COMMENTS:
RECOMMENDED MOTION: "I move to adopt Resolution No. ~7r, Series of 2009."
ATTACHMENTS:
Exhibit A -Staff Findings duplicated from the packet provided for the meeting on June 22, 2009
Exhibit B -Application (Provided for the meeting on June 22, 2009)
Revised 7/20/2009
Page 4 of 4
RESOLUTION NO.~~
(SERIES 2009)
A RESOLUTION OF THE CITY COUNCIL OF THE CITY OF ASPEN TO APPROVE AN
EXTENSION OF VESTED RIGHTS GRANTED BY ORDINANCE N0.25 OF 2007 BY THE
CITY OF ASPEN COUNCIL FOR THE PROPOERTY COMMONLY DESCRIBED AS 201
NORTH MILL STREET, LEGALLY DESCRIBED AS JEROME PROFESSIONAL
BUILDING, CITY OF ASPEN, PITHIN COUNTY, COLORADO
Parcel Identification Number 2737-073-17-010 - 2737-073-17-028
WHEREAS, the Community Development Department received an application from Herb
Klein, requesting a Vested Rights Extension for three years pursuant to Ordinance No. 25, Series of
2007; and
WHEREAS, The City Council adopted Ordinance No. 25, Series of 2007, which
approved a Subdivision Review and Vested Property Rights for the Jerome Professional Building
Redevelopment Vested Property Rights status for the demolition of the existing building and the
construction of a new building that consists of commercial/office space, three affordable housing
units and six free market units until February 4`s, 2011; and,
WHEREAS, the applicant submitted the application for extension of vested property
rights on March 24`h, 2009 before the vested rights expired in on February 4`h, 2011. The
property rights were approved via Ordinance No.25, Series of 2007; and,
WHEREAS, pursuant to Section 26.308.010 Vested Property Rights of the Land Use Code,
City Council may grant an extension of vested rights after a public hearing is held and a resolution
is adopted; and,
WHEREAS, the Community Development Director has reviewed the application and
recommended approval of an extension of vested rights for the 201 North Mill Street
Development under the City Council; and
Page 1 of 3
WHEREAS, the Aspen City Council has reviewed and considered the request of vested
rights extension for the 201 North Mill Street Jerome Professional Building Development approval
under the provisions of the Municipal Code as identified herein, has reviewed and considered the
recommendation of the Community Development Director, and has taken and considered public
comment at a public hearing; and,
WHEREAS, the City Council finds that the extension of the vested rights proposal meets or
exceeds all applicable land use standards and that the approval of the extension of vested rights with
conditions, is consistent with the goals and elements of the Aspen Area Community Plan; and,
WHEREAS, the City Council finds that this resolution furthers and is necessary for the
promotion of public health, safety, and welfaze.
NOW, THEREFORE, BE IT RESOLVED BY THE CITY OF ASPEN COUNCIL AS
FOLLOWS:
Section 1•
Pursuant to the procedures and standards set forth in Section 26 of the City of Aspen Municipal
Code, the City Council hereby approves the request for an extension of vested rights for the
Jerome Professional Building until Februazy 4, 2014 that were approved by Ordinance No. 25,
Series of 2007 by the City Council with the following conditions:
1. That the establishment herein of a vested property right shall not preclude the
application or regulations which are general in nature and aze applicable to all
property subject to the land use regulation by the City of Aspen including, but not
limited to, building, fire, plumbing, electrical, and mechanical codes, and all adopted
impact fees that aze in effect at the time of building permit, unless an exemption
granted in writing.
Section 2•
All material representations and commitments made by the Applicant pursuant to the development
proposal approvals as herein awazded, whether in public hearing or documentation presented before
the City Council, are hereby incorporated in such plan development approvals and the same shall be
complied with as if fully set forth herein, unless amended by an authorized entity.
Section 3:
This resolution shall not affect any existing litigation and shall not operate as an abatement of any
action or proceeding now pending under or by virtue of the resolutions repealed or amended as
herein provided, and the same shall be conducted and concluded under such prior resolutions.
Page 2 of 3
Section 4•
If any section, subsection, sentence, clause, phrase, or portion of this resolution is for any reason
held invalid or unconstitutional in a court of competent jurisdiction, such portion shall be deemed a
separate, distinct and independent provision and shall not affect the validity of the remaining
portions thereof.
Section 5:
A public hearing on this resolution was held the day of _, 2009, in the City Council
Chambers, 130 S. Galena, 15 days prior to which public notice was published in a newspaper of
general circulation within the City of Aspen.
FINALLY adopted, passed and approved this
day of March, 2009 by a - _ vote.
Attest:
Kathryn S. Koch, City Clerk
Michael C. Ireland, Mayor
Approved as to form:
John P. Worcester, City Attorney
Page 3 of 3
EXHIBIT A
26.440.050 Review Standards for development in a Specially Planned Area
In reviewing a request for the extension or reinstatement of vested rights the City Council shall
consider, but not limited to, the following criteria:
a. The applicant's compliance with any condition requiring performance prior to the date of
application for extension or reinstatement;
To date, the applicant has completed the conditions of approval required for Ordinance
25, Series of 2007. The applicant has entered into a subdivision improvement agreement
with the City and recorded the document. The conditions will still apply when the
applicant submits the building permit. Staff finds this criterion to be met.
b. The progress made in pursuing the project to date including the effort to obtain any other
permits, including a building permit, and the expenditures made by the applicant in
pursuing the project;
The applicant has spent approximately $150,000 on architectural, planning and
engineering fees to date. The applicant has been working to secure financing, working
with brokers, engineers and architects to keep the project moving forward. Building
permit fees will be collected when the applicant submits the building permit. Staff finds
this criterion to be met.
c. The nature and extent of any benefits already received by the City as a result of the
project approval such as impact fees or dedications;
Not applicable. Stafffrnds this criterion to be met.
d. The needs of the City and the applicant would be served by the approval of the extension
or reinstatement request.
The applicant, staff, Planning and Zoning Commission, and Council have spent countless
hours arranging for the approvals of this project. The project is a worthy project,
supplies affordable housing and a good transition from the historic district to the service
commercial industrial district. Staff finds this criterion to be met.
Revised 7/20/2009
Page 1 of 1
v~i~e
MEMORANDUM
TO: Mayor Ireland and Aspen City Council
FROM: Chris Bendon, Development Deputy Director '/~n
RE: Lift One Conceptual PUD/Timesbare Review -Public Hearing
DATE: July 27, 2009.
SUMMARY:
The Lift One area has had multiple development applications proceeding through development
review during the past few yeazs. The owners of the Lodge at Aspen Mountain project, the Lift
One Lodge project, the Aspen Skiing Company, and the City of Aspen jointly initiated a master
planning process in eazly 2008 -the Lift One Neighborhood Master Plan COWOP. That process
incorporated a citizen task force and developed a master plan for the entire neighborhood. The
master plan was not adopted and that process has been terminated.
Prior to entering into the master planning process, the Lift One Lodge project had received
positive recommendations for the Planning and Zoning Commission and the Historic
Preservation Commission for their Conceptual PUD application. The Conceptual application
was not forwarded to City Council, but rather tolled for the term of the master planning effort.
Resolution No. 13, Series of 2008, maintained the Lift One Lodge application as "active" and
preserved the land owner's ability to renew the review if the master planning effort terminated.
The Conceptual PUD application for the Lift One Lodge does not incorporate the newer ideas of
the master planning exercise (as it was prepared prior to that effort). Some of the ideas were for
items off this property and may not be accommodated on the smaller land area. But, some of the
ideas may still be valid and worth pursuing. The applicant has indicated a willingness to pursue
concepts from the master planning effort and amendments to the application.
Staff suggests that this heazing be used for orientation to the application and a discussion of the
ideas and elements from the master planning process that may be worth pursuing. Some ideas
may require trade-offs and the following hearing on August 10~' can be used to understand and
evaluate those trade-offs. Upon direction on changes to the project, the applicant would likely
need some additional time for redesign. Subsequent hearings this fall will be scheduled
accordingly.
CONCEPTUAL REVIEW:
Conceptual Review is an opportunity to determine if a project meets the basic parameters
expected of new development. It is also an opportunity to determine what changes aze necessary
to the project and the submission requirements for final review. Although conceptual approval
does not guazantee a final approval, there is a tacit expectation that the fundamental aspects of a
proposal are acceptable and the remaining reviews aze for detailed issues.
Page 1 of 3
PLANNING AND ZONING COMMISSION REVIEW:
Below, the concerns voiced by the Planning and Zoning Commission during their review in
2007. These are also included in the proposed Resolution:
a. Overall Site Plan. Evaluate the feasibility of increasing the setback of the lodge's east wing
location in relation to the eastern property line and the Caribou Condominiums for skier
access to the condominiums by potentially allowing a zero lot line along Lift 1 Park to
provide a greater setback adjacent to the property line shared with the Caribou
Condominiums. Consider additional ways to incorporate the history and significance of Lifr
1 into the site.
b. Architecture and Neighborhood Compatibility. Sketch-up or similar three-dimensional
modeling is required of the entire site to provide additional perspectives of the project.
Specifically, the Commission is interested in seeing the relationship of the lodge component
and its neighbors at the east and the relationship of the site to the immediate neighborhood.
The Commission would like to see the following perspectives: looking up towards the lodge
from Lifr 1 and looking down to Lift 1.
c. Park Sites. The museum location should be evaluated to consider a transit drop-off/group
gathering area near the museum. It is important to promote Willoughby Pazk as an active
rather than passive park. Advantageous uses associated with the museum to energize the park
should be evaluated: a restaurant or cafe at the museum may be an opportunity for added
vitality. The Applicant will need to successfully address how the existing volleyball courts
will be accommodated either on-site (to retain some active use of the pazk) or off-site, as
well as the timing of the court replacement, with concurrence from the Parks Department.
d. Maintenance & Storage for City Parks Equipment. Parks staff requests that the Applicant
consider the feasibility of a maintenance/storage facility for the use by the Department in the
Willoughby pazking garage design.
e. fordable Housing. The proposal meets the requirements for affordable housing mitigation
based on proposed type and intensity of uses. A recommendation from the Housing Board is
required during final review. Housing staff recommends that the affordable units at the lodge
have assigned parking.
f Deen Powder Cabins. Evaluate additional affordable housing opporhrnities on-site (in excess
of what is already provided and code compliant) by potentially using the Deep Powder
cabins as affordable housing and consider funding options, including funds from the
Aspen/Pitkin County Housing Authority, for their rehabilitation.
REFERRAL AGENCY ISSUES:
The proposed application was referred to the City Engineering Deparment, Parks Department,
Public Works Department, Environmental Health Department, Building Department, Aspen
Consolidated Sanitation District, Transportation Department, and Aspen Fire Protection District
for comments on technical issues.
Page 2 of 3
Initial general comments from the referral agencies have been incorporated into the proposed
conditions of approval as appropriate and detailed requirements will be part of any final
ordinance.
STAFF RECOMMENDATION:
Staff recommends City Council receive an overview presentation of the project, discuss ideas
and elements of the Lift One Neighborhood Master Plan that could potentially be incorporated
into this project, and continue the hearing to August lOs'.
RECOMMENDED MOTION:
"I move to continue Resolution No. S~Series of 2009, to August l0a'."
ALTERNATE MOTION:
"I move to approve Resolution No. Series of 2009."
ATTACHMENTS:
Exhibit A: July 10 Memorandum from Bob Daniel
Exhibit B: Application
Page 3 of 3
RESOLUTION N0. S~
(SERIES OF 2009)
A RESOLUTION OF THE CITY OF ASPEN CITY COUNCIL APPROVING A
CONCEPTUAL PLANNED UNIT DEVELOPMENT AND A CONCEPTUAL
TIMESHARE APPLICATION FOR THE LIFT ONE LODGE ON PROPERTY
COMMONLY KNOWN AS 233 GILBERT STREET, 710 SOUTH ASPEN STREET, AND
720 SOUTH ASPEN STREET, CITY OF ASPEN, PITKIN COUNTY, COLORADO
Parcel ID:
2735-131-168-51, 2735-131-210-01, 2735-131-210-02,
2735-131-198-S1, 2735-131-190-01, 2735-131-260-01
WHEREAS, the Community Development Department received an application (the
Application) from the Roaring Fork Mountain Lodge -Aspen, LLC (Applicant), represented by
Sunny Vann of Vann Associates, and with consent from the Aspen Skiing Company, the City of
Aspen, and the Historical Society of Aspen, for approval of a Conceptual Development Plan for
a Planned Unit Development (PUD) and a Conceptual Timeshare for the Lift One Lodge; and,
WHEREAS, the Property is commonly known as Willoughby Park, Lift One Park, 233
Gilbert Street, 710 South Aspen Street, and 720 South Aspen Street, City of Aspen, Colorado,
and as more fully described in Exhibit A, attached hereto; and,
WHEREAS, the Application for the Lift One Lodge proposes on Parcel 1:
• A multi-story structure consisting of 32 timeshare lodging units divided into one-
eighth (1/8) interests with a total of 256 member interests. With "lock-off'
capability, the 32 units represent a total of 97 keys.
• Five (5) affordable housing units.
• A sub-grade parking garage with approximately 216 spaces.
• A public restaurant and apres ski area.
• Fitness facilities.
• Aspen Skiing Company facilities and Guest Services.
On Parcel 2:
• 6 affordable housing units within the historic portion of the Skiers Chalet
Steakhouse.
• One lift tower of the historic Lift One apparatus.
On Parcel 3 (Lift One Park):
• A public park.
• One lift tower of the historic Lift One apparatus.
• Underground parking (part of the 216 spaces on Lot 1)
On Parcel 4 (Willoughby Park):
• A public park.
City Council Reso No.
Series of 2009
Page 1 of 7
• A Historical Society Ski Museum (the Skiers Chalet Lodge will be relocated for
this purpose).
• The Deep Powder cabins will be retained on Willoughby Pazk.
• The historic Lift One and original ticket office will be refurbished.
• A shuttle stop will be developed.
• A sub-grade parking garage with approximately 115 spaces (to replace lost
parking on South Aspen Street and the current Willoughby Park surface pazking).
and,
WHEREAS, pursuant to Section 26.415.070.D., Certificate of Appropriateness for
Major Development, of the Land Use Code, Conceptual approval may be granted by the Historic
Preservation Commission (HPC) at a duly noticed public heazing and was granted for the review
of Willoughby Pazk, Lift 1 Park, and Skier's Chalet Steakhouse by the HPC on August 9, 2006,
via Resolution No. 21, Series of 2006; and,
WHEREAS, the Community Development Department received referral comments from
the Aspen Consolidated Sanitation District, City Engineering, Building Depaztment, Fire
Protection District, Envirorunental Health Department, Pazks Department, Pazking Department ,
Aspen/Pitkin County Housing Authority, Public Works Department and Transportation
Depaztment as a result of the Development Review Committee meeting; and,
WHEREAS, pursuant to Section 26.470.040.0.7, Affordable Housing, of the Land Use
Code, a recommendation from the Aspen/Pitkin County Housing Authority is required and a
recommendation for approval by the boazd was provided at their June 20, 2007, regular meeting;
and,
WHEREAS, said referral agencies and the Aspen Community Development Department
reviewed the proposed Conceptual PUD and Conceptual Timeshaze and recommended approval
with conditions; and,
WHEREAS, pursuant to Chapter 26.445 of the Land Use Code, Conceptual PUD
approval may be granted by the City Council at a duly noticed public hearing after considering
recommendations by the Planning and Zoning Commission, the Community Development
Director, and relevant referral agencies; and,
WHEREAS, pursuant to Chapter 26.590 of the Land Use Code, Conceptual Timeshare
approval may be granted by the City Council at a duly noticed public heazing after considering
recommendations by the Planning and Zoning Commission, the Community Development
Director, and relevant referral agencies; and,
WHEREAS, Conceptual PUD and Conceptual Timeshaze review by the Planning and
Zoning Commission requires a public heazing and this application was reviewed at multiple
public heazings where the recommendations of the Community Development Director and
comments from the public were heazd; and,
WHEREAS, during a regulaz meeting on June 19, 2007, the Planning and Zoning
Commission opened a duly noticed public hearing to consider the project and continued the
public heazing to July 10, 2007 for further discussion. At the July 10, 2007 public hearing, the
Planning and Zoning Commission opened a duly noticed public heazing to consider the project
City Council Reso No. _
Series of 2009
Page 2 of 7
and continued the hearing until July 17, 2007 for further discussion. At the July 17, 2007 public
hearing, the Planning and Zoning Commission opened a duly noticed public hearing to consider
the project and continued the project to July 24, 2007 for further discussion. At the July 24,
2007 public hearing, the Planning and Zoning Commission opened a duly noticed public hearing
to consider the project and continued the project to August 7, 2007 for fitrther discussion. At the
August 7, 2007, public heazing the Planning and Zoning Commission opened a duly noticed
public hearing to consider the project and recommended City Council approve the Conceptual
Planned Unit Development and Conceptual Timeshaze application by a three to one (3-1) vote,
with the findings and conditions listed hereinafter; and,
WHEREAS, after the recommendations from the City of Aspen Planning and Zoning
Commission and the Historic Preservation Commission were obtained and prior to City Council
reviewing the Application, City Council adopted Resolution No. 13, Series of 2008, initiating a
master plazming effort known as the Lift One Neighborhood Master Plan involving properties
within this Application, properties held by the City of Aspen, and properties held by others; and,
WHEREAS, the Applicant entered into the master planning process willingly with
certain conditions regazding the continued "active" status of the Lift One Lodge Application and
the potential withdrawal from the master planning process among other conditions memorialized
in Resolution No. 13, Series of 2008; and,
WHEREAS, the City of Aspen, the other parties, and the Applicant all actively pursued
the master planning effort with the assistance of a citizen task force throughout 2008 and early
2009 although the master plan was never adopted; and,
WHEREAS, pursuant to Resolution No 13, Series of 2008, Section 10 "Master Planning
Process may be Terminated," the Applicant withdrew from the master planning process and the
City renewed review of the Lift One Lodge Application; and,
WHEREAS, pursuant to Resolution No. 13, Series of 2008, Section 12 "Lifr One Lodge
Application on Hold," for the purposes of Section 26.304.070(f) of the Land Use Code, the
Application for Lift One Lodge remained "active" during the Lift One Neighborhood Master
Plan COWOP process and any and all deadlines or expiration dates associated with the Lift One
Lodge Application were tolled until the date on which processing of the Application was
resumed. All previously obtained consents and all previously obtained approvals or
recommendations of approval, in particular the approvals of the Planning and
Zoning Commission and the Historic Preservation Commission remain in effect. The
Application will continue to be processed and considered pursuant to the City's Land Use
Regulations in place on the date that the Application to the Historic Preservation Commission
was deemed complete in Mazch of 2006; and,
WHEREAS, pursuant to Resolution No. 13, Series of 2008, Section 13 "Holland House
Redevelopment Credits," the time period for utilization of replacement credits for employees,
lodging and other pertinent matters related to the former Holland House Lodge have been
extended to 24 months after final approval, denial, or withdrawal of the current Application for
Lift One Lodge; and,
WHEREAS, Conceptual PUD and Conceptual Timeshare approval shall only grant the
ability for the applicant to submit a Final PUD and Timeshare application and the proposed
development is further subject to Final PUD review, Conditional Use, Special Review, GMQS
City Council Reso No. _
Series of 2009
Page 3 of 7
Allotment, Mountain View Plane Review, Subdivision, Subdivision Exemption, Rezoning,
Timeshare and aright-of--way vacation approval pursuant to the Municipal Code; and,
WHEREAS, the City Council of the City of Aspen finds that the Application meets or
exceeds the development review standards for a Conceptual PUD and Conceptual Timeshaze, is
consistent with the goals and elements of the Aspen Area Community Plan, that this Resolution
furthers and is necessazy for the promotion of public health, safety, and welfaze as long as certain
conditions are implemented.
NOW, THEREFORE BE IT RESOLVED that the City Council of the City of Aspen hereby
grants Conceptual Planned Unit Development Review Approval and Conceptual Timeshare
Review Approval to the Lift One Lodge Application, subject to the conditions listed hereinafter:
Section 1-Amendments:
The applicant shall make the following revisions to the development proposal:
a. Overall Site Plan. Evaluate the feasibility of increasing the setback of the lodge's east wing
location in relation to the eastern property line and the Caribou Condominiums for skier
access to the condominiums by potentially allowing a zero lot line along Lift 1 Park to
provide a greater setback adjacent to the property line shazed with the Caribou
Condominiums. Consider additional ways to incorporate the history and significance of Lift
1 into the site.
b. Architecture and Neighborhood Compatibility. Sketch-up or similar three-dimensional
modeling is required of the entire site to provide additional perspectives of the project.
Specifically, the Commission is interested in seeing the relationship of the lodge component
and its neighbors at the east and the relationship of the site to the immediate neighborhood.
The Commission would like to see the following perspectives: looking up towards the lodge
from Lift 1 and looking down to Lift 1.
c. Park Sites. The museum location should be evaluated to consider a transit drop-off/group
gathering area neaz the museum. It is important to promote Willoughby Park as an active
rather than passive pazk. Advantageous uses associated with the museum to energize the park
should be evaluated: a restaurant or cafe at the museum may be an opportunity for added
vitality. The Applicant will need to successfully address how the existing volleyball courts
will be accommodated either on-site (to retain some active use of the pazk) or off-site, as
well as the timing of the court replacement, with concurrence from the Pazks Department.
d. Maintenance & Storage for City Parks Equipment. Pazks staff requests that the Applicant
consider the feasibility of a maintenance/storage facility for the use by the Department in the
Willoughby parking garage design.
e. Affordable Housing. The proposal meets the requirements for affordable housing mitigation
based on proposed type and intensity of uses. A recommendation from the Housing Board is
required during final review. Housing staff recommends that the affordable units at the lodge
have assigned pazking.
f Deep Powder Cabins. Evaluate additional affordable housing opportunities on-site (in excess
of what is already provided and code compliant) by potentially using the Deep Powder
City Council Reso No. _
Series of 2009
Page 4 of 7
cabins as affordable housing and consider funding options, including funds from the
Aspen/Pitkin County Housing Authority, for their rehabilitation.
Section 2: Final PUD Application
The Final PUD application shall include:
a. An application for Final PUD and Timeshaze application and the proposed development is
further subject to Final PUD review, Conditional Use, Special Review, GMQS Allotment,
Mountain View Plane Review, Subdivision, Subdivision Exemption, Rezoning, Timeshaze,
and aright-of--way vacation approval pursuant to the Municipal Code. Apre-application
conference with a member of the Community Development Department is required prior to
submitting an application.
b. Delineation of all dimensional provisions to become requirements of the PUD.
c. A proposed subdivision and vacation plat and PUD plans.
d. A proposed PUD Agreement.
e. A detailed timeshare/membership operational plan.
f An architectural character plan showing the character and materials of proposed buildings. This
may be a model, digital model, detailed elevations, or renderings. A sketch-up 3-D model is
recommended.
g. A landscape plan. A formal vegetation protection plan shall be required with building permit
application. An approved tree permit will be required before any demolition or access
infrastructure work takes place. A detailed excavation plan may be required for work in the
vicinity of certain lazge trees. Further review and detail of excavation distances is necessary.
All right-of way improvements shall meet city codes. Final layout of the plantings and pazk
designs require Pazk Department approval. Additional detailed comments are included in the
Development Review Committee minutes of April 11, 2007.
h. A plan for the replacement of the volley-ball courts, which may include off-site options.
i. A drainage report and grading & drainage plan developed using the criteria and specifications of
the City Engineer. This analysis must account for all uphill off site basins and must consider
downstream facilities and whether these facilities aze sized appropriately. Attention should
be paid to the design of surface drainage from the snowmelt system where it transitions to
Durant Avenue to avoid any water runoff to non-snow melted surfaces at the intersection of
Durant and Aspen Streets. A system development fee for stormwater may be required.
j. A detailed civil plan showing the geometric design for grading improvements to Lift lA and
South Aspen Street, including an accessible path to primary lodging, commercial and restaurant
uses, and the snow surface, vehicle fuming radii, shuttle staging and skier drop-off azeas.
k. A detailed operational plan for the pazking garage including ownership of the facility,
pazking hours and fees.
1. A detailed operation plan of the rubber fire shuttle shall be submitted as part of the final PUD
application. The operation plan should include the information listed in the Development
Review Committee minutes of April 11, 2007. The rubber fire shuttle proposed should be an
electric or hybrid type vehicle.
m. The Applicant shall comply with the City of Aspen Water System Standazds, with Title 25,
and with the applicable standards of Title 8 (Water Conservation and Plumbing Advisory
City Council Reso No. _
Series of 2009
Page 5 of 7
Code) of the Aspen Municipal Code, as required by the City of Aspen Water Department.
Utility placement and design shall meet adopted City of Aspen standards. Special
consideration for utilities in relation to snowmelt shall be considered prior to final approval
as indicated in the Development Review Committee minutes of April 11, 2007.
n. Additional information regarding the energy requirements for the snowmelt proposal for
South Aspen Street and strategies to mitigate such energy usage.
o. Additional information regarding the creation of a Special Improvement District.
p. A draft construction schedule and Construction Mitigation Plan.
Section 3: Ground Stability Monitoring
An inclinometer shall be installed within 6 months of the conceptual approval and bi-monthly
readings shall be provided to the City through the review of a final application to analyze any
slope movement. The final approval may require continuation of the monitoring until or past
issuance of a Certificate of Occupancy. The Final application shall include additional
information and evaluation on uphill conditions including: off-site drainage, geo hazards,
stability issues and groundwater mitigation. Additional detailed comments are included in the
Development Review Committee minutes of April 11, 2007.
Section 4: Sanitation District Requirements
Service is contingent upon compliance with the District's rules, regulations, and specifications,
which aze on file at the District office. An upgraded main sanitary sewer line is necessary to
serve the proposed development, therefore a "Collection System Agreement" is required.
Section 5: Environmental Health Department
The state of Colorado mandates specific mitigation requirements with regazd to asbestos.
Additionally, code requirements to be aware of when filing a building permit include: a
prohibition on engine idling, regulation of fireplaces, fugitive dust requirements, noise abatement
and pool designs. Additional detail is provided in the Development Review Committee minutes
of April 11, 2007.
Section 6: School Lands Dedication and Imnact Fees
The Applicant shall pay all impact fees and the school lands dedication assessed at the time of
building permit application submittal and paid at building permit issuance.
Section 7: Conceptual Approval
Approval of this conceptual development plan does not constitute final approval or permission to
proceed with any aspect of the development. Approval of this conceptual development plan
authorizes the Applicant to submit an application for a final PUD development plan in accordance
with the City Council Resolution granting conceptual PUD approval. A final PUD application
shall be submitted within one year of the adoption of this resolution, unless otherwise extended or
exempted.
Section 8•
City Council Reso No. _
Series of 2009
Page 6 of 7
This Resolution shall not affect any existing litigation and shall not operate as an abatement of
any action or proceeding now pending under or by virtue of the ordinances repealed or amended
as herein provided, and the same shall be conducted and concluded under such prior ordinances.
Section 9•
If any section, subsection, sentence, clause, phrase, or portion of this Resolution is for any reason
held invalid or unconstitutional in a court of competent jurisdiction, such portion shall be
deemed a separate, distinct and independent provision and shall not affect the validity of the
remaining portions thereof.
FINALLY, adopted, passed and approved this day of , 2009.
Attest:
Kathryn S. Koch, City Clerk
Michael C. Ireland, Mayor.
Approved as to form:
John P. Worcester, City Attorney
ExhibitA -Property Descriptions
Exhibit B -Site Plan and renderings of Application
City Council Reso No. _
Series of 2009.
Page 7 of 7
Roaring Fork Lodging Company
MEMORANDUM
TO:
FROM:
RE:
DATE:
Chris Bendon, Commtulity Development Director
Mayor Ireland and Aspen City Council Members
Bob Daniel, Roaring Fork Lodging Company
Lift One Conceptual PUD/Timeshare Review
July 10, 2009
Since our land use application was submitted to the Historic Preservation commission in March of
2006, we have worked with neighbors, City staff and boards, and with a COWOP task force created by
the City to master plan the area at the base of Lift One. While our project team has learned something
from each of these efforts, we appreciate the opportunity to present to the City Council the project and
master plan reviewed and recommended for approval by the Historic Preservation Commission and
Planning and Zoning Commission for the east side of Aspen St.
Below is a brief overview of events and activities to date:
2005 Land Assemblage and initial master planning
March 2006 Submitted Land Use application for Conceptual Approval to HPC
August 2006 Conceptual Approval by HPC
November 2006 Submitted for Conceptual Approval to P & Z
August 2007 Conceptual Approval by P & Z
October 2007 City Council Denial of Lodge at Aspen Mountain PUD application
February 2008 City Council approves Resolution 13 establishing COWOP
April 2008 COWOP Task Force begins work
October 2008 COWOP completes work and approves Master Plan
January 2009 Ciry Counci] votes 2-2 on Master Plan
June 2009 Lift One Lodge Terminates COWOP in order to pick up PUD Application processing
Resolution 13 directed that Council would initiate review of the PUD application for the Lift One
Lodge upon COWOP termination. For a variety of technical reasons, the appropriate mechanism to
reinitiate the review of the Lift One Lodge PUD application was through the termination of the
COWOP process as allowed in Resolution 13.
The attached letter and site plan were originally prepared for the City in 2006 as an introduction to the
Lift One Lodge project and to establish an overview of the key issues identified during the planning
process. I recognize that once we have presented our original plan there will be questions and
comments related to ideas that emerged from the COWOP process. Based upon Council direction, our
team will use future meetings to continue to present our original application or discuss Council
priorities about ideas from the COWOP plan. The Conceptual PUD Approval process gives the City
and applicant the opportunity to discuss community goals for the base of Lift One and we look
forward to discussing the collective four years of planning work in this area.
0027 Burnt Mountain Cirele ~ P.O. Box 6237 ~ Snowmass Village, Colorado 8'1615 G 9701923.4500 phone -. 9701923.450'1 ja
No~arilxi~?2,z006
Paget of 9
November 22, 2006
City of Aspen, Mayor and City Council
City of Aspen, Planning and Zoning Commission
130 S. Galena St.
Aspen, CO 81611
Dear Mayor, Council Members, and Planning Commissioners:
Please consider this a letter an introduction and executive summary for the Lift One Lodge.
I am writing this based upon my experience at one of the Town Meetings on growth at the Hotel
Jerome this past summer and the subsequent discussion at my table about development proposals. I
was struck by the voting on one of the questions in which participants seemed to think that applicants
submitted projects that included much more than they wanted and then expected to get an approval for
something smaller that would still meet their needs.
Based upon the work over the last year to understand the opportunities and constraints related to our
redevelopment plans, I did not want you or the public to think that our application was submitted with
such an approach. We have worked hard to put together a proposal that optimizes benefits, implements
City planning goals, addresses neighborhood impacts, and will result in a project with long-term
benefits.
We initially completed the information required for submittal last April. After review of that submittal
we realized as a project team that we could step back and spend more time working in order to propose
a project that was more in keeping with the specific stated goals of the community and was more
sensitive to potential neighbor impacts. The last six months have been spent revising and reducing our
project and meeting with neighbors and City staff to resolve as many impacts as possible prior to
submission. The project that we are submitting is the project that we hope to build rather than a "straw
man" that we are offering up for sacrifice.
About Us
The principals in the project aze Jim Light, Jim Chaffin, and David Wilhelm. The principals are
responsible for the Roazing Fork Club in Basalt, which has been recognized for innovations related to
green golf course management and for the voluntary real estate transfer fee that created and has
provided ongoing financial support for the Roaring Fork Conservancy. Chaffin and Light were eazly
developers at Snowmass Village and have resort community experience around the country. I am
working with them on this project and have been a member of the community and involved in
engineering, construction and development related activities in Aspen and the Roaring Fork Valley
since 1988.
The business plan for this project calls for constructing, owning, and operating the lodge over the long
term. The financial plan is based on long-term returns derived from the sale of membership interests,
similar to the long-term perspective used by lodges that have operated in Aspen over the last 50 years.
rr~~~n,zoob
Page3 of 9
Our planning approach began with an understanding of what the Lodge zone district would allow,
reviewing City plans for the area, talking with adjacent property owners, and conducting detailed
market analysis to determine the financial viability of the Lodge. All of these influences have resulted
in a project that we are very proud to the present to the City.
Lift One Lodge Overview
The lodge concept for Lift One Lodge is relatively simple; replace the dilapidated Skiers Chalet Lodge
and Holland House with updated and market appropriate beds at the base of a new high speed ski lift.
The assemblage of land included acquisition of the two lodges and a parcel from the Aspen Skiing
Company that includes the location of the existing lift. Lift One is due to be replaced slightly uphill of
its current location.
Aspen has experienced a net loss of more than 1,000 visitor rooms since 1991 and has tried vazious
approaches to increase its bed base and to encourage the upgrade of older lodges. The Lift One Lodge
program will increase "hot beds" and offers significant community assets in order to rejuvenate the
Lift One area.
The site is currently occupied by the former Holland House, which included twenty lodge units, the
Skier Chalet Lodge, which included ten lodge units and the Skier Chalet Restaurant, which included
the restaurant and eight lodge units.
The proposed Lift One Lodge includes thirty-two "lodge suites" which will contain a total of ninety-
seven keys of separately rentable rooms. The lodge rooms will be made available to the general public
when not in use by members. Other facilities in the lodge include a new public restaurant and apr8s ski
deck to serve skiers and lockers, spa and fitness facilities for lodge members and guests. The Aspen
Skiing Company will also have space within the lodge for ticket sales, public restrooms, and lockers
for Skico workers.
Our first iteration of the plan was based on what the underlying Lodge zoning allows without any
deviations to the underlying dimensional requirements. After meeting with neighbors, we reduced the
building height and set the building further back from the eastern property line than required to reduce
impacts to our most immediate neighbors. In order to maximize the number of beds and minimize
impacts to the area, we are not proposing to utilize the 25% free market component offered under the
Lodge zoning.
As part of the approval process for the Lodge at Aspen Mountain, a new high-speed lift was proposed
for Lift One that would allow greater access to Aspen Mountain from this location. The Lift One azea
serves local residents and visitors to area rental properties, serves as focus for azea ski racers and the
Aspen Valley Ski Club racing program, hosts World Cup competitions, and provides a second
entrance to Aspen Mountain during busy periods.
r ~ zaob
Pa~4 of 9
Review Process
A four-step review process will be required for the project. The public pazking facility, ski museum,
and other improvements at Willoughby Pazk require action by the Historic Preservation Commission
(HPC). The Planned Unit Development (PUD) and associated requests require City Planning and
Zoning Commission and Council action.
On August 9, 2006, we were pleased to receive unanimous Conceptual Approval from the HPC to our
proposal related to the historic museum, undergound parking, and other site improvements at
Willoughby and Lift One parks.
The attached application is for Conceptual Approval of the Lift One Lodge PUD and associated
requests. If the City approves the concept, then final applications to the HPC and City Council will be
submitted in the future.
We have identified several key issues associated with the Aspen Area Community Plan that have been
addressed in the application. I would like to highlight the specific components of character,
neighborhood impacts, energy consumption greenhouse gases, transportation, and affordable housing.
Character '
There is no one meaning to the concept of Aspen's chazacter. It maybe that chazacter is tied to the
context of a specific site in addition to the City as a whole. Our project focuses on character through
its relationship to skiing history and specifically to implementing the community's goal for a museum
at Willoughby Park in partnership with the Aspen Historical Society. The Lift One Lodge also focuses
on implementing City transportation improvement goals for South Aspen and Dean Streets and
addressing neighborhood impacts.
The area is evolving toward an interesting mix of historic and contemporary uses and the Lift One
Lodge will contribute to that evolution. We have made a major commitment to working with the City
and Aspen Historical Society to create and implement a historic park. Ina 1991 vote, the citizens of
Aspen overwhelmingly supported the use of Willoughby Park for a ski museum, however to date the
Historical Society has been unable to establish this facility. We have committed to move the Skier
Chalet Lodge to Willoughby Pazk and rehabilitate/renovate it for use as the Ski Museum. After
rehabilitation and relocation are complete, we will donate the facility to the Historical Society. In
addition, at our expense, the original Lift One towers will be refurbished and the original ticket booth
rehabilitated so that these pieces of Aspen ski history are preserved for the future.
The City has been pursuing improvements along Dean Street to establish a link between the two
access points to Aspen Mountain. The Gondola Plaza would anchor one end of the link and the
proposed ski museum at Willoughby Park would anchor the other end. Pedestrian-friendly
improvements along Dean Street have been under consideration by the City and would create an
enjoyable walking experience that might include some interpretive elements about Aspen's skiing
history.
rr~„t~2z,zoo6
Pa~eS of 9
Through time spent at the site and discussions with area residents and long-time skiers, another aspect
to the character of the azea was discovered. Some skiers enjoy skiing to points along Aspen Street, to
their adjacent property, or to Dean Street. This informal ski route crossed private and public property,
including Lift One Park and Willoughby Pazk.
Instead of stopping use of the private property for such activities, we believe that the chazacter of the
area can be honored while embracing new development. In response to these informal traditions in the
area, the Lift One Lodge was redesigned to create a "ski through" lodge that will allow skiing through
the center of the project. Skiers will ski through the property and along the towers of the original Lift
One to the pazk, ski museum, and the underground parking gazage.
Neighborhood Impacts
The neighborhood generally enjoys good ski access and the properties immediately adjacent to the Lift
One Lodge are largely used for ski rental or second homes. Many of the owners in the area have
owned their property for more than a decade and aze regular visitors. With the exception of the
Dolinseks along the eastem boundary of the Skier's Chalet Steakhouse, there are virtually no full-time
residents immediately adjacent to the property.
Over the last year, project team members have met with property owners, Homeowner Board
representatives, and property managers to better understand the context for our project and to better
understand neighbor issues. These discussions helped to shape our proposal for Willoughby Park,
South Aspen Street, the underground parking gazage, skier access through the property, and building
setbacks.
We believe that neighbors and the entire community will enjoy safety improvements to South Aspen
Street, sidewalk and streetscape improvements to South Aspen and Dean Streets, park improvements
to Willoughby and Lift One parks and proposed ski access through the property.
While there is no way to develop the site in an economically viable manner without having some
impact to units at the Cascade, Silver Shadow, Shadow Mountain and Caribou condominium
buildings, we have made significant changes to our proposal in order to accommodate concerns
expressed to date. The primary issues expressed included: maintaining ski access to units, minimizing
impacts on views to town, Shadow Mountain and Red Butte, and minimizing the impact of roof
mounted mechanical systems.
While the City's code is not designed to protect the views from every property, the neighbors to the
east of our property have enjoyed the benefits of the lack of expansion of the existing structures. The
primary views from the living rooms of a majority of the units along the east side of the property are
toward Monarch Street rather than Aspen Street, however each unit enjoys a view towazd Shadow
Mountain, Red Butte, or the ski area. There aze also several units that look directly towazd the Lift One
Lodge site. Team members have had discussions with property owners of every property along the
eastern boundary and have been inside most of the units in order to better understand the unique
characteristics of each unit and how owners use their unit.
xo~,t~zz,zaob
Page6 of 9
Based on those visits and discussions, the Lodge was redesigned from the initial concepts. These
changes allowed the building to move farther from the adjacent properties than the five-foot setback
required by code to over ten feet from the property line. Additionally the building was articulated
along the southern edge to create a viable ski access to southernmost adjoining properties.
The expanded setback shrinks the building footprint and allows adjacent property owners to continue
skiing to a location between the Silver Shadow and Cazibou that serves as access to several owners
and to the ski gate at Caribou. In addition, there has been a focus on the architecture along the eastern
portion of the building. The design and materials were selected to make sure that this does not appear
as the `back of the building'.
In addition to shrinking the building footprint, great caze was given to establishing the roofline for the
lodge. The northernmost section of the building has a roof that is similaz in height to the existing
Skiers Chalet Lodge. While other sections of the roofline are higher than adjacent properties, the
building footprint and lower roofline toward Gilbert Street will allow preservation of some vistas.
The Lodge was redesigned to allow public access to the lobby from the eastern boundary of the
property. This will allow convenient access from Monazch Street and adjacent property owners to the
Lodge, the public restaurant, and ski lift.
The property owners to the north (Lift One, South Point, Telemazk, etc.) maintain all of the current
benefits enjoyed by skier access while also enjoying significant park area, road and pedestrian
improvements. Owners of these units will also enjoy convenient ski access to the new lift via the
proposed shuttle stop at Willoughby Park.
The entire terminus of South Aspen Street is being improved to address several significant issues in
front of the Shadow Mountain complex. Currently there is an unsightly mixture of pazking, equipment
storage and dilapidated structures in this area. With no appropriate cul-de-sac, there is not adequate
fire access to the properties at the end of South Aspen Street. The right-of--way for South Aspen Street
does not provide adequate space to accommodate these improvements, so these improvements have
been designed to extend onto the Lift One Lodge property. The lack of road definition and
improvements creates impacts for the Shadow Mountain residents during the ski season. From a
building perspective, the rooflines and improvements along the southern edge of Lift One Lodge are
set back significantly from the property line and articulated down the hill to minimize the visual
impact of the project on the Shadow Mountain units.
The Mountain Queen and Shadow Mountain complexes will experience some changes when Lift One
moves uphill. The location of the new lift has been established by lift engineering and operational
requirements. Ski-in access has been maintained to all units and changes to ski-out accesses aze
triggered by the change in lift location.
Energy/Greenhouse Gases
Energy consumption and greenhouse gas emissions aze important community and Global issues. The
City of Aspen has taken a leadership role on this issue through its Canary Initiative. Addressing these
issues in a new development works best when energy efficiency is addressed at every stage, from the
initial conceptualization of the building through construction and operation.
N~„t~zz,~
Pa~7 of 9
The Lift One Lodge team includes engineer David Houghton of Resource Engineering Group, who has
extensive experience in designing mechanical systems that exceed City energy code requirements.
David is leading our effort to implement a renewable energy approach for the project that allows for
the snowmelt of South Aspen Street, by minimizing the carbon footprint of the Lodge using
geothermal exchange energy for heating and cooling.
We are also proposing "green roofs" on a large portion of the lodge to reduce energy consumption,
minimize storm water runoff and pollution, and to soften views from properties above our site, such as
the Shadow Mountain units and the ski azea. To date there is only one other development (the EPA
headquarters in Denver) in Colorado that has included this innovative rooftop approach.
In addition to these active efforts in the design and operation of the Lodge, we are making the
commitment to purchase renewable energy and/or renewable energy credits for the operation of the
Lodge to assist in offsetting the remaining energy demand from heating, cooling, and normal electric
uses. These energy credits and energy sources will be sought from reliable sources to insure that we
are providing the greatest benefit possible for this project.
Transportation
It often seems that transportation issues dominate discussion of land use applications. Even though the
Lift One Lodge is only expected to generate about 36 peak winter hour trips, major transportation
improvements are proposed to address existing deficiencies in the neighborhood. The current winter
road conditions, lack of sidewalks, and lack of transit access limit the use of one of the two gateways
to skiing on Aspen Mountain.
Users currently experience dangerous walking and driving conditions along South Aspen Street due to
the average grade of 14% between Durant Street and the current lift location. The conditions aze so
severe that the City changes stop signs in the winter to stop cazs on Durant Street to avoid vehicles
sliding down Aspen Street and striking cars on Durant Street. In addition, there are stories about
vehicles parked along Aspen Street suddenly sliding downhill into other parked cazs.
While the grades along Aspen Street are fixed, the City has identified employing snowmelt as a
potential tool for improving public safety. In addition, the lack of sidewalks in the area forces skiers to
walk in South Aspen Street, thereby creating additional safety hazazds for both pedestrians and
vehicles.
Finally, there is currently no transit service to Lift One, forcing locals, visitors, and participants in
Aspen Valley Ski Club racing programs to drive to the site. A parent cannot currently send their child
to the ski club program unless they drive up the hill or have their child walk in the road. During drop-
off and pick-up times, the azea near the base of the lift is snarled with traffic, while South Aspen Street
and the pazking lot of the Shadow Mountain Townhomes becomes a staging area for pazents.
The Lift One Lodge, in conjunction with the Lodge at Aspen Mountain is proposing a series of
improvements to address the safety and accessibility issues in the azea. The revised roadway will be
reconstructed to two traffic lanes with no on-street parking. New improvements include sidewalks,
landscaping and the aforementioned snowmelt system.
rr~gzz,x~o~
Pa~B of 9
Deane Street will also be improved in accordance with the Dean Street Improvement Plan, which
includes an improved roadway, curb and gutter, stormwater improvements, and new sidewalks along
the perimeter of Willoughby Park. All of these improvements will make this section of Aspen safer
and more pedestrian friendly.
Another significant improvement to the area is a proposed transit service. A shuttle system could
connect Rubey Park, Lifr One, and the walkway to the Gondola Plaza at Dean St. during the winter
months with a level of service similaz to the Galena Street Shuttle. The service would be funded by an
improvement district made of area lodge properties, including the Lift One Lodge and Lodge at Aspen
Mountain.
The final significant transportation improvement in the area is a proposed 75-space underground
parking garage to replace the on-street parking along South Aspen Street and the unsightly surface
parking in the lot that currently dominates Willoughby Park. This is a safer and more aesthetically
pleasing alternative to the current pazking conditions.
We believe that the combination of transportation improvements described above will serve the
community at-large and provide a viable alternative to the gondola for accessing Aspen Mountain,
which will benefit all area property owners. These public improvements, which typically require major
public investment aze community benefits offered by the redevelopment of lodging properties in the
area.
Affordable Housing
All of the Lodge employee housing requirements will be met on-site and all of the units will be above
grade. The Skiers Chalet Restaurant, which has historic designation, will be renovated and converted
into six one-bedroom employee housing units. The building will benefit from the renovation and
workers will enjoy the historic nature of the building in a great ski-in location. Three one-bedroom and
two, two-bedroom units are be included in the lodge building. The eleven units will house over 20
employees, more than the required mitigation under the code requirements. All but one of the units
are Category 2, offering truly affordable rental rates in a great location. Due to the significant subsidy
required to provide lower Category housing, it is notable for a private sector project to supply
Category 2 units to the housing inventory.
Closing
While the application for the Lift One Lodge is relatively complex, including rezoning, rights-of--way
vacations, and improvements to public parks, the core idea is relatively simple; lodging at the base of
Aspen Mountain coupled with numerous community benefits. Our project team has taken care to meet
all of the dimensional requirements and height limitations of the Lodge zone district and to address
many neighborhood and community issues. I look forward to presenting this project to the Planning
and Zoning Commission and City Council for Conceptual Review and appreciate you taking the time
to consider the work that we have put into bringing forward the best project possible.
r~» t~ n, zaob
Page9 of 9
Sincc~ly,
k6b~'rt ~. Dvnicl, ?r.
Roaring Fork I~dging i:ompany
~- --
-~ -~ o s
:°
i _
.i ( _ ~ _ ,
J.-~ L--~ !' i
I ~ ~ ~ ~~- ~
u~
_ ____ .:
- ~ r . - ,-----
`.~ ~,
II j !rte -
ii --
~ !/ -~
~ L
l~i
_ L_
i~
``i
/\
\l
~$
- ~ ti`'_
~a 1~. ' _
~-. s ;~
4
'~ ti~: ~,.
~~: '~ ~ `~
~~ a
~; *~,
`~`~,~.
~ ~~
0
z
a
z
0
z
c~_,,
~~;, .
I z~
0
gm
+i ~<g
a~~
'~'_~_
~ a
a
c~
O a
w ~a
U
Q
Y
133lLLS Ntl30 ~
w
'~ ws o
~~ 4 o J
_. o
~` ~~ J
~~~~~~ ` ~
iN~ i
__ ~
°o~
--' ~ =N
s~
~~
n3^e ~ ~J
_ -. poi
`~ --
i --~
~ >a~ ~
H$
l-~
i
'\ ~$
~ ~8
\~' 'o
z
~_
Y
W
z
w
a
x
F-
Lift One dodge
-, ; ~ ,,
_,~.:.
poss ~~ft ~,~,.~ ~_~~~",_
LIFT ONE PARTNERS
• Roaring Fork Club
• Snowmass Village
• Record of partnerships and
responsibility to community and
environment
• Long term business plan-plan, build,
& operate properties
pOSS
Lift One Lodge
MASTER PLAN EVOLUTION
• Holland Skiers Chalet
House • Steakhouse
• SkiCo • dodge
Property
• City Parcels
• Willoughby Park
• Lift One Park
PLANNING PROCESS
Discovery:
Learn about the social, physical, and planning environment.
Identify Master Plan Goals:
Establish desired outcomes to assess options.
Build Up Site Plan:
Balance physical, social, and develoQment needs in plan
and test for economic viability.
PQS$ - _ _ _ _ _I ift One Lodge
pQ$$ Lift One Lodge I~
^ AACP
• Economic Sustainability
Report
• Lodge Incentive Zone
District
Ongoing dialogue with
neighbors
^ Lodge development
pattern. Hot beds at
base of mountain.
Lift One Lodge
Transit:
• Regional
• City
• Neighborhood
Pedestrian:
• Sidewalks
• Deane Street Plan
Skiing:
• Through Site
pOSS
Lift One Lodge
DISCOVER COMMUNITY INFLUENCES
DISCOVER CONNECTIVITY INFLUENCES
DISCOVER PLANNING INFLUENCES
,- '~-~,._ ~ History
Proud Past
..;
Q
~ ~ ~`~
.. ' ~ ~ ~• ' I-K
-/, :.
~~
I
.J
~~ !~
---- ---
pUSS I ift One I odye
• Site
Historic Preservation
Ticket Booth
Skiers Chalet Steak House
Deep Powder Cabins
DISCOVER PLANNING INFLUENCES
~..:
'< j ;k
~r
f
.,~ ~ ~ ~ 4.
• Use
Skiing
Evolving Patterns
Unsafe Conditions
Public /Private Use
PUSS Lift One Lodge
PUSS Lift One Lodge
DISCOVER PLANNING INFLUENCES
• Site
Neighborhood Issues
~_ ~~
Ski Access
Views
Public Amenities
Unit Specific Impacts
pOSS
l ift One. Lodge
MASTER PLAN GOALS
History:
Changes will honor the ski heritage and reinforce the role
of skiing in the future
Accessibility:
Changes will lead to increased safety, better connectivity,
and more mobility
~/I tc711 t y
Changes will increase the activities and use of the area for
more residents and visitors. Changes will lead to more hot
beds at base of ski area.
PUSS ~ fi One Lodge
SITE PLANNING
• Vitality and
Connectivity
Points of Interest
Ski Museum
Ticketing /Lift Access
Access
Lift one Lodge
SITE PLANNING
• Affordable Housing
On Site
,AHU _-` ~,
~l .~ ~ ~ -
i i5 ~ AHU- "" ~'
y~~ ;f' .
T ~ ~~».
~ y
~ ~/
~~ ~ ~ % .mil
~ A ` ~~ Apr s _ ift
Ski
Mu m/: X ,. .. Ticketing ~~" : _
I --
. .~ - ~
-----
----- -- AHU- - ~_- Lift
Access
pflSS Lift One Lodge
SITE PLANNING
• Lodge Amenities
Activity Areas
Public Interaction
~= - - Access
Lift One Lodge
Ac~ti~t~jlity
Atlaoo~as~ali®~61i~b~t+~es
~~p .,~ a~ei~~~ioSdeeof
L ~~_-~r
~~''"'=~'-~' morekiasgi~itf~~r~idtuis~tors
~,_- ~ with more hot beds at base
of ski area.
pOSS
Lift One Lodge
History- Willoughby Park -Existing
• Lack of Museum
Funding
• Lift 1 and historic
assets in disrepair
• Parking dominates
site
^ Minimal volleyball
use
pOSS
Lift One Lodge
• New Ski Museum
• Stop deterioration of
historic assets
• Relocated Volleyball
Courts
• Parking Moved
Underground
• Deep Powder and
Skiers Chalet Lodge
adaptive reuse and
Historic Designation
pOSS Lift One Lodge
Skiers Chalet Steakhouse -Existing
Continued
Deterioration of
Historic Structure
pOSS
• Non-Historic Addition
Constrains Skiing
• No Permanent Ski
Access
Lift One Lodge
History- Willoughby Park -Revived
History- Skiers Chalet Steakhouse -Revived
pOSS
• Affordable Housing
• Preservation of
Historic Asset
• Removal of Non-
Historic Addition
Lift One Lodge
Accessibility -Existing
~- r • •=,.
pOSS
• Icy, Dangerous Road
• No Pedestrian Access
• Difficult Mountain
Access
• No Sense of
Destination or Arrival
^ No Transit Service
Lift One Lodge
• Deane and Aspen
Street improvements
• Improved Skiing
Experience
~i''
• Sidewalks for safe
pedestrian access
• Disabled access
• Transit service
• Sense of arrival
pOSS
Accessibility -Revived
• Public Experience
Uti 7 Full C •. .. .
v _. I _..
~i~:;- --~-,-a---n
~~_ 1 ~ _ :. __.
Ticket
SOUTN ~SFEN STREfI
Loi
pOSS
E.i.:,
N.,
_ __
Lift One Lodge
Accessibility -Revived
Accessibility -Revived
I"-- -_ -
r., uNtv.r `'
~,
SCIVTN ASGEN STPEEI - ~~~
poss
• Public Experience
Public Restaurant
and
Apres Ski
Lift One Lodge
• Lost V ita I ity- 3 % of
Aspen Mountain
Skiers
• No Gathering Place
• Dilapidated Facilities
• Racing Headquarters
^ Parking on Aspen St.
pOSS
Lift One Lodge
Vitality- Skiing -Existing
Vitality- Skiing -Revived
~-
,,
.., .
~-~~
pOSS
Lik One Lodge
• Skiers Chalet
Steakhouse and
Lodge
pOSS
• Not Viable
• Formerly Housed
Holland House
• Total of 38 Keys
Lift One Ladge ~'
• Public Restaurant
with Apres Ski Deck
3,850 s.f.
• New High Speed Lift
• Improved World Cup
,, Facilities
• Permanent and
Improved Ski Access
through Site
• Meets Standards of
Lodge Incentive
District
• Hot Beds at Base of
Lift
• Combination of
Fractional and Nightly
Rental
• 97 Keys
pl)$$ Lift One Lodge
Lift 1 Neighborhood -Existing
• Strong • Questions about ^ Lack of
history future gathering
place
• Neglected ' Little connection
present to greater
community
Vitality- Lodging -Revived
~.
p~$$ Lift One Lodge
Lift 1 Neighborhood -Revived
• Integrated Lift 1 'Gathering Places
neighborhood ^ Activity centers
^ Pedestrian, transit, &
street improvements
Lift One Lodge
Lift One Lodge -Conceptual PUD
Community Benefits
Accessibility . Vitalir
Park Improvements Street Improvements Apres Ski
Gathering Place
AHS Museum New High Speed Lift Public Restaurant
Stabilized Historic Assets Safe Accessible Parking public Ski Facilities
Transit Services Lod in Hot Beds
9 9-
Pedestrian Improvements Historical Society
Museum
Dedicated Ski Access On-Site Affordable
Housing
Park Improvements
~OSS Lift One Lodge _
pOSS
Lift One Lodge -Conceptual PUD
Asking:
^ Vacate Unused and Isolated Rights of
Way
^ Rezoning of Parks to Public for Museum
and other Public Facilities
^ Rezoning of Lift 1A Base Area from
Conservation to Lodge to Increase Bed
Base and Public Amenities at the Base
PUSS Lift One Lodge
Lift One Lodge -Conceptual PUD
Not Asking:
^ Free Market Residential Units
^ Height Variance
^ Setback Variance
•(Beyond P&Z Recommended Setback at Lift One Park)
^ Additional FAR
^ Off-Site Employee Housing
pOSS ~ ~1~ cane ~~,i.~e
Recommendations
HPC:
Conceptual Approval for Historic Components: August 2006
P&Z:
Conceptual PUD and Timeshare Approval: August 2007
p U S S ', ift One Lodge
COWOP Concepts
City Creates COWOP:
Unconstrained by Zoning Code
City Assets in Play
_.._ -
pUSS UR One lodge
COWOP Concepts
/ \.
Affordable Housing ~ o~ ~°c~,,
,5~' ~ a~
~ ' 6.~~ \
Skiing ~ 1
l
Site Plan =E5°Rr ~ '
,,
Program \~
G. ,~~~ I
\ `~ ~J5
r , ,.- ~ edge
Next Steps
Continue with Conceptual Review
of Current PUD Plan
or
Amend Current PUD Plan to Incorporate
Council Priorities from COWOP Plan
poss ~~f~ C)~,e ~oage
Lift One Lodge
poss
Lift One Lodge