HomeMy WebLinkAbout2014-077-09/02/2014-AUTHORIZING THE EXECUTION OF A PROJECT CONSTRUCTION GRANT AGREEMENT BETWEEN THE CITY AND THE COLORAD RESOLUTION 2014-077
OF THE COUNCIL OF THE CITY OF FORT COLLINS
AUTHORIZING THE EXECUTION OF A PROJECT CONSTRUCTION GRANT
AGREEMENT BETWEEN THE CITY AND THE COLORADO
DEPARTMENT OF TRANSPORTATION
WHEREAS, the Safe Routes to School Program established by the Colorado Department
of Transportation (CDOT) is designed to promote the safety of students traveling to and from
school and to encourage more students to choose walking or bicycling to and from school; and
WHEREAS, the City of Fort Collins Safe Routes to School Program has received a
federal grant through the Colorado Department of Transportation (CDOT) in the amount of
$244,903 for a Safe Routes to School Project; and
WHEREAS, this grant requires a minimum 20% local match which has been paid for by
Poudre School District (PSD) in the amount of$70,000; and
WHEREAS, the grant and matching funds will be used to construct a new multi-use path
and signalized crosswalk serving Tavelli Elementary School and to provide events and
programming to teach the Tavelli community about the benefits of walking and biking to school
as well as safety precautions; and
WHEREAS, the total amount of this appropriation request, including the CDOT grant and
matching funds, is $314,903; and
WHEREAS, $3,149, which represents one percent of the appropriation for the
construction project, must be transferred to the Cultural Services and Facilities fund for a
contribution to the Art in Public Places (APP) program, with $2,456 reserved for the APP artwork
project and $693 reserved for the maintenance of the artwork and operations of the APP program;
and
WHEREAS, the proposed project directly supports City Plan Policy SW 2.3 and
Transportation Master Plan Policy T 8.1 and the goals of the Center for Disease Control and
Prevention by promoting physically active transportation; and
WHEREAS, following extensive public outreach with the PSD Safe Routes to School
Steering Committee and PSD administration, and presentation to the Transportation Board and its
Bicycle Advisory Committee of the Transportation Board, favorable recommendations have been
received and the City Council has determined that it is in the best interests of the City that the
Mayor be authorized to enter into the Project Construction Grant Agreement.
NOW, THEREFORE, BE IT RESOLVED BY THE COUNCIL OF THE CITY OF
FORT COLLINS that the Mayor is hereby authorized to execute a Project Construction Grant
Agreement between the City and CDOT for the construction of a new multi-use path and
signalized crosswalk serving Tavelli Elementary School and for providing events and
programming to teach the Tavelli community about the benefits of walking and biking to school
as well as safety precautions, which project shall also include the required contribution to the Art
- I -
in Public Places program, which Project Construction Grant Agreement is attached hereto as
Exhibit "A" subject to such minor modifications as the Mayor, in consultation with the City.
Attorney, may determine to be necessary and appropriate to protect the interests of the City or to
effectuate the purposes of this Resolution.
Passed and adopted at a regular meeting of the Council of the City of Fort Collins this
2nd day of September, A.D. 2014.
Ma�or
ATTEST: OF FORTOO
`�• ..... ....`�i
u SEAL y
Chief Deputy City Clerk
vok ORAOO
- 2
EXHIBIT A
(FMLAWRK) Rev. 718/09
Project: 19595 Tavelli Elementary SRS-Ft Collins(SAR M455-112) Routing#: 15 HA4 71250
Region: 04 (rp/jg) SAP ID#:471000436
STATE OF COLORADO
Department of Transportation
Agreement
with
CITY OF FORT COLLINS
TABLE OF CONTENTS
1. PARTIES.................................................................................................................................................2
2. EFFECTTVE DATE AND NOTICE OF NONLIABILITY....................................................................2
3. RECITALS..............................................................................................................................................2
4. DEFINITIONS........................................................................................................................................2
5. TERM AND EARLY TERMINATION..................................................................................................3
6. SCOPE OF WORK.................................................................................................................................3
7. OPTION LETTER MODIFICATION....................................................:................................................7
8. PAYMENTS............................................................................................................................................7
9. ACCOUNTING.......................................................................................................................................9
10. REPORTING-NOTIFICATION.........................................................................................................10
1. LOCAL AGENCY RECORDS.............................................................................................................10
12. CONFIDENTIAL INFORMATION-STATE RECORDS....................................................................I I
13. CONFLICT OF INTEREST..................................................................................................................I I
14. REPRESENTATIONS AND WARRANTIES......................................................................................11
15. INSURANCE........................................................................................................................................12
16. DEFAULT-BREACH...........................................................................................................................13
17. REMEDIES...........................................................................................................................................14
18. NOTICES and REPRESENTATIVES...:.................................. .................................. ..........................15
19. RIGHTS IN DATA,DOCUMENTS,AND COMPUTER SOFTWARE.............................................16
20. GOVERNMENTAL IMMUNITY........................................................................................................16
21. STATEWIDE CONTRACT MANAGEMENT SYSTEM....................................................................16
22. FEDERAL REQUIREMENTS.............................................................................................................16
23. DISADVANTAGED BUSINESS ENTERPRISE(DBE).....................................................................17
24. DISPUTES............................................................................................................................................17
25. GENERAL PROVISIONS....................................................................................................................17
26. COLORADO SPECIAL PROVISIONS ...............................................................................................20
27. SIGNATURE PAGE.............................:....................................................................:..........................22
28. EXHIBIT A-SCOPE OF WORK
29. EXHIBIT B-LOCAL AGENCY RESOLUTION
30. EXHIBIT C-FUNDING PROVISIONS
31. EXHIBIT D-OPTION LETTER
32. EXHIBIT E-LOCAL AGENCY CONTRACT ADMINISTRATION CHECKLIST
33. EXHIBIT F-CERTIFICATION FOR FEDERAL-AID CONTRACTS
34. EXHIBIT G-DISADVANTAGED BUSINESS ENTERPRISE
35. EXHIBIT H-LOCAL AGENCY PROCEDURES FOR CONSULTANT SERVICES
36. EXHIBIT I-FEDERAL-AID CONTRACT
37. EXHIBIT I-FEDERAL REQUIREMENTS
38. EXHIBIT K-SUPPLEMENTAL FEDERAL PROVISIONS
( t
1. PARTIES
THIS AGREEMENT is entered into by and between CITY OF FORT COLLINS (hereinafter called the"Local
Agency"), and the STATE OF COLORADO acting by and through the Department of Transportation
(hereinafter called the"State"or"CDOT").
2. EFFECTIVE DATE AND NOTICE OF NONLIABILITY
This Agreement shall not be effective or enforceable until it is approved and signed by the Colorado State
Controller or their designee (hereinafter called the "Effective Date"). The State shall not be liable to pay or
reimburse the Local Agency for any performance hereunder, including, but not limited to costs or expenses
incurred,or be bound by any provision hereof prior to the Effective Date.
3. RECITALS
A. Authority,Appropriation,and Approval
Authority exists in the law and funds have been budgeted,appropriated and otherwise made available and a
sufficient unencumbered balance thereof remains available for payment and the required approval,
clearance and coordination have been accomplished from and with appropriate agencies.
I. Federal Authority
Pursuant to Title I,Subtitle A, Section 1108 of the"Transportation Equity Act for the 21st 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 are expected to continue to be allocated for transportation projects requested by the Local
Agency and eligible under the Surface Transportation Improvement Program that has been proposed
by the State and approved by the Federal Highway Administration("FHWA").
ii. State Authority
Pursuant to CRS §43-1-223 and to applicable portions of the Federal Provisions, the State is
responsible for the general administration and supervision of performance of projects in the Program,
including the administration of federal funds for a Program project performed by a Local Agency
under a contract with the State. This Agreement is executed under the authority of CRS §§29-1-203,
43-1-110;43-1-116,43-2-101(4)(c)and 43-2-104.5.
B. Consideration
The Parties acknowledge that the mutual promises and covenants contained herein and other good and
valuable consideration are sufficient and adequate to support this Agreement.
C. Purpose
The purpose of this Agreement is to disburse Federal funds to the Local Agency pursuant to CDOT's
Stewardship Agreement with the FHWA.
D. References
All references in this Agreement to sections (whether spelled out or using the § symbol), subsections,
exhibits or other attachments, are references to sections, subsections, exhibits or other attachments
contained herein or incorporated as a part hereof,unless otherwise noted.
4. DEFINITIONS
The following terms as used herein shall be construed and interpreted as follows:
A. Agreement or Contract
"Agreement" or"Contract" means this Agreement, its terns and conditions, attached exhibits, documents
incorporated by reference under the terns of this Agreement, and any future modifying agreements,
exhibits, attachments or references that are incorporated pursuant to Colorado State Fiscal Rules and
Policies.
B. Agreement Funds
"Agreement Funds"means funds payable by the State to Local Agency pursuant to this Agreement.
C. Budget
"Budget"means the budget for the Work described in Exhibit C.
Document Builder Generated Page 2 of 22
D. Consultant and Contractor
"Consultant" means a professional engineer or designer hired by Local Agency to design the Work and
"Contractor"means the general construction contractor hired by Local Agency to construct the Work.
E Evaluation
"Evaluation" means the process of examining the Local Agency's Work and rating it based on criteria
established in§6 and Exhibits A and E.
F. Exhibits and Other Attachments
The following exhibit(s) are attached hereto and incorporated by reference herein: Exhibit A (Scope of
Work), Exhibit B (Resolution), Exhibit C (Funding Provisions), Exhibit D (Option Letter), Exhibit E
(Checklist), Exhibit F (Certification for Federal-Aid Funds), Exhibit G (Disadvantaged Business
Enterprise),Exhibit H(Local Agency Procedures), Exhibit I(Federal-Aid Contract Provisions), Exhibit J
(Federal Requirements)and Exhibit K(Supplemental Federal Provisions).
G. Goods
"Goods"means tangible material acquired,produced,or delivered by the Local Agency either separately or
in conjunction with the Services the Local Agency renders hereunder.
H. Oversight
"Oversight"means the term as it is defined in the Stewardship Agreement between CDOT and the Federal
Highway Administration("FHWA")and as it is defined in the Local Agency Manual.
I. Party or Parties
"Party"means the State or the Local Agency and`Parties"means both the State and the Local Agency
J. Work Budget
Work Budget means the budget described in Exhibit C.
IC. Services
"Services"means the required services to be performed by the Local Agency pursuant to this Contract.
L. Work
"Work" means the tasks and activities the Local Agency is required to perform to fulfill its obligations
under this Contract and Exhibits A and E, including the performance of the Services and delivery of the
Goods.
M. Work Product
"Work Product" means the tangible or intangible results of the Local Agency's Work, including, but not
limited to, software,research, reports,studies,data,photographs, negatives or other finished or unfinished
documents,drawings,models,surveys,maps,materials,or work product of any type,including drafts.
5. TERM AND EARLY TERMINATION
The Parties' respective performances under this Agreement shall commence on the Effective Date. This
Agreement shall terminate after five (5) years of state controllers signature in section 27, unless sooner
terminated or completed as demonstrated by final payment and final audit.
6. SCOPE OF WORK
A. Completion
The Local Agency shall complete the Work and other obligations as described herein in Exhibit A. Work
performed prior to the Effective Date or after final acceptance shall not be considered part of the Work.
B. Goods and Services
The Local Agency shall procure Goods and Services necessary to complete the Work. Such procurement
shall be accomplished using the Contract Funds and shall not increase the maximum amount payable
hereunder by the State.
C. Employees
All persons employed hereunder by the Local Agency, or any Consultants or Contractors shall be
considered the Local Agency's,Consultants',or Contractors' employee(s)for all purposes and shall not be
employees of the State for any purpose.
D. State and Local Agency Commitments
i. Design
Document Builder Generated Page 3 of 22
1
If the Work includes preliminary design or final design or design work sheets, or special provisions
and estimates (collectively referred to as the "Plans"), the Local Agency shall comply with and be
responsible for satisfying the following requirements:
a) Perform or provide the Plans to the extent required by the nature of the Work.
b) Prepare final design in accordance with the requirements of the laiest edition of the American
Association of State Highway Transportation Officials (AASHTO)manual or other standard,such
as the Uniform Building Code,as approved by the State.
c) Prepare provisions and estimates in accordance with the most current version of the State's
Roadway and Bridge Design Manuals and Standard Specifications for Road and Bridge
Construction or Local Agency specifications if approved by the State.
d) Include details of any required detours in the Plans in order to prevent any interference of the
construction Work and to protect the traveling public.
e) Stamp the Plans produced by a Colorado Registered Professional Engineer. .
0 Provide final assembly of Plans and all other necessary documents.
g) Be responsible for the Plans'accuracy and completeness.
h) Make no further changes in the Plans following the award of the construction contract to
contractor unless agreed to in writing by the Parties. The Plans shall be considered final when
approved in writing by CDOT and when final they shall be incorporated herein.
ii. Local Agency Work
a) 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) Local Agency shall afford the State ample opportunity to review the Plans and make any changes
in the Plans that are directed by the State to comply with FHWA requirements.
c) Local Agency may enter into a contract with a Consultant to perform all or any portion of the
Plans and/or of construction administration. Provided, however, if federal-aid funds are involved
in the cost of such Work to be done by such Consultant, such Consultant contract (and the
performance/provision of the Plans under the contract) must comply with all applicable
requirements of 23 CYR. Part 172 and with any procedures implementing those requirements as
provided by the State, including those in Exhibit H.If the Local Agency enters into a contract with
a Consultant for the Work:
(1) Local Agency shall submit a certification that procurement of any Consultant contract
complies with the requirements of 23 C.F.R. 172.5(1) prior to entering into such Consultant
contract,subject to the State's approval. If not approved by the State,the Local Agency shall
not enter into such Consultant contract.
(2) Local Agency shall ensure that all changes in the Consultant contract have prior approval by
the State and FHWA and that they are in writing. Immediately after the Consultant contract
has been awarded,one copy of the executed Consultant contract and any amendments shall be
submitted to the State.
(3) Local Agency shall require that all billings under the Consultant contract comply with the
State's standardized billing format. Examples of the billing formats are available from the
CDOT Agreements Office.
(4) Local Agency(and any Consultant)shall comply with 23 C.F.R. 172.5(b)and(d)and use the
CDOT procedures described in Exhibit H to administer the Consultant contract.
(5) Local Agency may expedite any CDOT approval of its procurement process and/or
Consultant contract by submitting a letter to COOT from the Local Agency's
attomey/authorized representative certifying compliance with Exhibit H and 23 C.F.R.
172.5(b)and(d)..
(6) Local Agency shall ensure that the Consultant contract complies with the requirements of 49
CFR 18.36(i)and contains the following language verbatim:
(a) The design work under this Agreement shall be compatible with the requirements of the
contract between the Local Agency and the State (which is incorporated herein by this
reference) for the design/construction of the project. The State is an intended third-party
beneficiary of this agreement for that purpose.
Document Builder Generated Page 4 of 22
� r
(b) Upon advertisement of the project work for construction, the consultant shall make
available services as requested by the State to assist the State in the evaluation of
construction and the resolution of construction problems that may arise during the
construction of the project.
(c) The consultant shall review the Construction Contractor's shop drawings for
conformance with the contract documents and compliance with the provisions of the
State's publication, Standard Specifications for Road and Bridge Construction, in
connection with this work.
(d) The State, in its sole discretion, may review construction plans, special provisions and
estimates and may require the Local Agency to make such changes therein as the State
determines necessary to comply with State and FHWA requirements.
iii. Construction
If the Work includes construction,the Local Agency shall perform the construction in accordance with
the approved design plans and/or administer the construction in accordance with Exhibit E. Such
administration shall include Work inspection and testing; approving sources of materials; performing
required plant and shop inspections; documentation of contract payments, testing and inspection
activities; preparing and approving pay estimates; preparing, approving and securing the funding for
contract modification orders and minor contract revisions;processing Construction Contractor claims;
construction supervision; and meeting the Quality Control requirements of the FHWA/CDOT
Stewardship Agreement,as described in the Local Agency Contract Administration Checklist.
a) If the Local Agency is performing the Work, the State may, after providing written notice of the
reason for the suspension to the Local Agency, suspend the Work, wholly or in part, due to the
failure of the Local Agency or its Contractor to correct conditions which are unsafe for workers or
for such periods as the State may deem necessary due to unsuitable weather, or for conditions
considered unsuitable for the prosecution of the Work, or for any other condition or reason
deemed by the State to be in the public interest.
b) The Local Agency shall be responsible for the following:
(1) Appointing a qualified professional engineer, licensed in the State of Colorado, as the Local
Agency Project Engineer (LAPE), to perform engineering administration. The LAPE shall _
administer the Work in accordance with this Agreement,the requirements of the construction
contract and applicable State procedures.
(2) For the construction of the Work,advertising the call for bids upon approval by the State and
- awarding the construction contract(s)to the low responsible bidder(s).
(a) All advertising and bid awards, pursuant to this agreement, by the Local Agency shall
comply with applicable requirements of 23 U.S.C. §112 and 23 C.F.R.Parts 633 and 635
and C.R.S. § 24-92-101 et seq. Those requirements include, without limitation, that the
Local Agency and its 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 C.F.R.633.102(c).
(b) The Local Agency may accept or reject the proposal of the apparent low bidder for Work
on which competitive bids have been received. The Local Agency must accept or reject
such bid within three(3)working days.after they are publicly opened.
(c) As part of accepting bid awards,the Local Agency shall provide additional funds,subject
to their availability and appropriation, necessary to complete the Work if no additional
federal-aid funds are available.
(3) The requirements of this §6(1))(iii)(c)(2) also apply to any advertising and awards made by
the State.
(4) If all or part of the Work is to be accomplished by the Local Agency's personnel(i.e.by force
account)rather than by a competitive bidding process, the Local Agency shall perform such
work in accordance with pertinent State specifications and requirements of 23 C.F.R. 635,
Subpart B,Force Account Construction.
(a) Such Work will normally be based upon estimated quantities and firm unit prices agreed
to between the Local Agency,the State and FHWA in advance of the Work, as provided
for in 23 C.R.F. 635.204(c). Such agreed unit prices shall constitute a commitment as to
the value of the Work to be performed.
Document Builder Generated Page 5 of 22
r
(b) An alternative to the preceding subsection 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 C.F.R.Part 31. ,
(c) If the State provides matching funds under this Agreement, rental rates for publicly
owned equipment shall be determined in accordance with the State's Standard
Specifications for Road and Bridge Construction §109.04.
(d) All Work being paid under force account 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.
E. State's Commitments
a) The State will perform a final project inspection of the Work as a quality control/assurance activity.
When all Work has been satisfactorily completed,the State will sign the FHWA Form 1212.
b) Notwithstanding any consents or approvals given by the State for the Plans,the State shall not be liable
or responsible in any manner for the structural design, details or construction of any major structures
designed by, or that are the responsibility of, the Local Agency as identified in the Local Agency
Contract Administration Checklist,Exhibit E.
F. ROW and Acquisition/Relocation
a) If the Local Agency purchases a right of way for a State highway, including areas of influence, the
Local Agency shall immediately convey title to such right of way to CDOT after the Local Agency
obtains title.
b) Any acquisition/relocation activities shall comply with all applicable federal and state statutes and
regulations, including but not limited to the Uniform Relocation Assistance and Real Property
Acquisition Policies Act of 1970 as amended and the Uniform Relocation Assistance and Real
Property Acquisition Policies for Federal and Federally Assisted Programs as amended(49 C.F.R.Part
24),CDOT's Right of Way Manual,and CDOT's Policy and Procedural Directives.
c) The Parties' respective compliance responsibilities depend on the level of federal participation;
provided however,that the State always retains Oversight responsibilities.
d) The Parties' respective responsibilities under each level in CDOT's Right of Way Manual (located at
http://www.dot.state.co.us/ROW—Manual/) and reimbursement for the levels will be under the
following categories:
(1) Right of way acquisition(3111)for federal participation and non-participation;
(2) Relocation activities,if applicable(3109);
(3) Right of way incidentals, if applicable (expenses incidental to acquisition/relocation of right of
way—3114).
G. Utilities
If necessary,the Local Agency shall be responsible for obtaining the proper clearance or approval from any
utility company which may become involved in the Work.Prior to the Work being advertised for bids,the
Local Agency shall certify in writing to the State that all such clearances have been obtained.
a) Railroads
If the Work involves modification of a railroad company's facilities and such modification will be
accomplished by the railroad company,the Local Agency 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 Local Agency shall also establish
contact with the railroad company involved for the purpose of complying with applicable provisions of
23 C.F.R.646,subpart B,concerning federal-aid projects involving railroad facilities and:
b) Execute an agreement setting out what work is to be accomplished and the location(s) thereof, and
which costs shall be eligible for federal participation.
c) Obtain the railroad's detailed estimate of the cost of the Work.
d) Establish future maintenance responsibilities for the proposed installation.
e) Proscribe future use or dispositions of the proposed improvements in the event of abandonment or
elimination of a grade crossing.
f) Establish future repair and/or replacement responsibilities in the event of accidental destruction or
damage to the installation.
Document Builder Generated Page 6 of 22
H. 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.
1. Maintenance Obligations
The Local Agency shall maintain and operate the Work constructed under this Agreement at its own cost
and expense during thew useful life,in a manner satisfactory to the State and FHWA,and the Local Agency
shall provide for such maintenance and operations obligations each year. Such maintenance and operations
shall be conducted in accordance with all applicable statutes, ordinances and regulations pertaining to
maintaining such improvements. The State and FHWA may make periodic inspections to verify that such
improvements are being adequately maintained.
7. OPTION LETTER MODIFICATION
An option letter may be used to add a phase without increasing total budgeted funds, increase or decrease the
encumbrance amount as shown on Exhibit C, and/or transfer funds from one phase to another. Option letter
modification is 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.
A. Option to add a phase and/or increase or decrease the total encumbrance amount.
The State may require the Local Agency 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
Agreement, with the total budgeted funds remaining the same. The State may simultaneously increase
and/or decrease the total encumbrance amount by replacing the original funding exhibit (Exhibit C) in the
original Agreement with an updated Exhibit C-1 (subsequent exhibits to Exhibit C-1 shall be labeled C-2,
C-3, etc). The State may exercise this option by providing a fully executed option to the Local Agency
within thirty(30)days before the initial targeted start date of the phase, in a form substantially equivalent to
Exhibit D. If the State exercises this option, the Agreement will be considered to include this option
provision.
B. Option to transfer funds from one phase to another phase.
The State may require or permit the Local Agency to transfer funds from one phase(Design,Construction,
Environmental, Utilities, ROW Incidentals or Miscellaneous) to another as a result of changes to state,
federal, and local match. The original funding exhibit (Exhibit C) in the original Agreement will be
replaced with an updated Exhibit C-1 (subsequent exhibits to Exhibit C-1 shall be labeled C-2,C-3,etc.)
and attached to the option letter. The funds transferred from one phase to another are subject to the same
terms and conditions stated in the original Agreement with the total budgeted funds remaining the same.
The State may unilaterally exercise this option by providing a fully executed option to the Local Agency
within thirty(30)days before the initial targeted start date of the phase,in a form substantially equivalent to
Exhibit D.Any transfer of funds from one phase to another is limited to an aggregate maximum of 24.99%
of the original dollar amount of either phase affected by a transfer. A bilateral amendment is required for
any transfer exceeding 24.99°/a of the original dollar amount of the phase affected by the increase or
decrease.
C. Option to do both Options A and B.
The State may require the Local Agency to add a phase as detailed in Exhibit A, and encumber and
transfer funds from one phase to another. The original funding exhibit (Exhibit C) in the original
Agreement will be replaced with an updated Exhibit C-1 (subsequent exhibits to Exhibit C-1 shall be
labeled C-2, C-3, etc.) and attached to the option letter. The addition of a phase and encumbrance and
transfer of funds are subject to the same terms and conditions stated in the original Agreement with the
total budgeted funds remaining the same. The State may unilaterally exercise this option by providing a
fully executed option to the Local Agency within thirty(30)days before the initial targeted start date of the
phase,in a form substantially equivalent to Exhibit D.
8. PAYMENTS
The State shall, in accordance with the provisions of this§8,pay the Local Agency in the amounts and using the
methods set forth below:
Document Builder Generated Page 7 of 22
1 �
A. Maximum Amount
The maximum amount payable is set forth in Exhibit C as determined by the State from available funds.
Payments to the Local Agency are limited to the unpaid encumbered balance of the Contract set forth in
Exhibit C. The Local Agency shall provide its match share of the costs as evidenced by an appropriate
ordinance/resolution or other authority letter which expressly authorizes the Local Agency the authority to
enter into this Agreement and to expend its match share of the Work. A copy of such ordinance/resolution
or authority letter is attached hereto as Exhibit B.
B. Payment
i. Advance,Interim and Final Payments
- Any advance payment allowed under this Contract or in Exhibit C shall comply with State Fiscal
Rules and be made in accordance with the provisions of this Contract or such Exhibit. The Local
Agency shall initiate any payment requests by submitting invoices to the State in the form and manner,
approved by the State.
ii. Interest
The State shall fully pay each invoice within 45 days of receipt thereof if the amount invoiced
represents performance by the Local Agency previously accepted by the State. Uncontested amounts
not paid by the State within 45 days shall bear interest on the unpaid balance beginning on the 46th day
at a rate not to exceed one percent per month until paid in full; provided, however, that interest shall
not accrue on unpaid amounts that are subject to a good faith dispute.The Local Agency shall invoice
the State separately for accrued interest on delinquent amounts. The billing shall reference the
delinquent payment,the number of days interest to be paid and the interest rate.
iii. Available Funds-Contingency-Termination
The State is prohibited by law from making commitments beyond the term of the State's current fiscal
year.Therefore,the Local Agency's compensation beyond the State's current Fiscal Year is contingent
upon the continuing availability of State appropriations as provided in the Colorado Special Provisions.
The State's performance hereunder is also contingent upon the continuing availability of federal funds.
Payments pursuant to this Contract shall be made only from available funds encumbered for this.
Contract and the State's liability for such payments shall be limited to the amount remaining of such
encumbered funds. If State or federal funds are not appropriated, or otherwise become unavailable to
fund this Contract, the State may terminate this Contract immediately, in whole or in part, without
further liability in accordance with the provisions hereof.
iv. Erroneous Payments
At the State's sole discretion, payments made to the Local Agency in error for any reason, including,
but not limited to overpayments or improper payments, and unexpended or excess funds received by
the Local Agency, may be recovered from the Local Agency by deduction from subsequent payments
under this Contract or other contracts, Agreements or agreements between the State and the Local
Agency or by other appropriate methods and collected as a debt due to the State. Such funds shall not
be paid to any party other than the State.
C. Use of Funds
Contract Funds shall be used only for eligible costs identified herein.
D. Matching Funds
The Local Agency shall provide matching funds as provided in §8.A. and Exhibit C. The Local Agency
shall have raised the full amount of matching funds prior to the Effective Date and shall report to the State
regarding the status of such funds upon request.The Local Agency's obligation to pay all or any part of any
matching funds, whether direct or contingent,only extend to funds duly and lawfully appropriated for the
purposes of this Agreement by the authorized representatives of the Local Agency and paid into the Local
Agency's treasury. The Local Agency represents to the State that the amount designated "Local Agency
Matching Funds" in Exhibit C has been legally appropriated for the purpose of this Agreement by its
authorized representatives and paid into its treasury. The Local Agency does not by this.Agreement
irrevocably pledge present cash reserves for payments in future fiscal years, and this Agreement is not
intended to create a multiple-fiscal year debt of the Local Agency. The Local Agency shall not pay or be
liable for any claimed interest,late charges, fees,taxes or penalties of any nature,except as required by the
Local Agency's laws or policies.
Document Builder Generated Page 8 of 22
t i
E. Reimbursement of Local Agency Costs
The State shall reimburse the Local Agency's allowable costs, not exceeding the maximum total amount
described in Exhibit C and §8. The applicable principles,described in 49 C.F.R. 18 Subpart C and 49
C.F.R. 18.22 shall govern the State's obligation to reimburse all costs incurred by the Local Agency and
submitted to the State for reimbursement hereunder, and the Local Agency shall comply with all such
principles. The State shall reimburse the Local Agency for the federal-aid share of properly documented
costs related to the Work after review and approval thereof, subject to the provisions of this Agreement and
Exhibit C. However,any costs incurred by the Local Agency prior to the date of FHWA authorization for
the Work and prior to the Effective Date shall not be reimbursed absent specific FHWA and State
Controller approval thereof.Costs shall be:
i. Reasonable and Necessary
Reasonable and necessary to accomplish the Work and for the Goods and Services provided.
ii. Net Cost
Actual net cost to the Local Agency(i.e.the price paid minus any items of value received by the Local
Agency that reduce the cost actually incurred).
9. ACCOUNTING
The Local Agency shall establish and maintain accounting systems in accordance with generally accepted
accounting standards (a separate set of accounts, or as a separate and integral part of its current accounting
scheme).Such accounting systems shall,at a minimum,provide as follows:
A. Local Agency Performing the Work
If Local Agency is performing the Work,all allowable costs, including any approved services contributed
by the Local Agency or others, shall be documented using payrolls, time records, invoices, contracts,
vouchers,and other applicable records.
B. Local Agency-Checks or Draws
Checks issued or draws made by the Local Agency shall be made or drawn against properly signed
vouchers detailing the purpose thereof.All checks,payrolls,invoices,contracts,vouchers,orders,and other
accounting documents shall be on file in the office of the Local Agency ,clearly identified, readily
accessible,and to the extent feasible,kept separate and apart from all other Work documents.
C. State-Administrative Services
The State may perform any necessary administrative support services required hereunder. The Local
Agency shall reimburse the State for the costs of any such services from the Budget as provided for in
Exhibit C. If FHWA funding is not available or is withdrawn, or if the Local Agency terminates this
Agreement prior to the Work being approved or completed,then all actual incurred costs of such services
and assistance provided by the State shall be the Local Agency's sole expense.
D. Local Agency-Invoices
The Local Agency's invoices shall describe in detail the reimbursable costs incurred by the Local Agency
for which it seeks reimbursement,the dates such costs were incurred and the amounts thereof,and shall not
be submitted more often than monthly.
E. Invoicing Within 60 Days
The State shall not be liable to reimburse the Local Agency for any costs unless CDOT receives such
invoices within 60 days after the date for which payment is requested, including final invoicing. Final
payment to the Local Agency may be withheld at the discretion of the State until completion of final audit.
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 the State may offset them against any payments due from the State to the Local
Agency.
F. Reimbursement of State Costs
CDOT shall perform Oversight and the Local Agency shall reimburse CDOT for its related costs. The
Local Agency shall pay invoices within 60 days after receipt thereof. If the Local Agency fails to remit
payment within 60 days, at CDOT's request, the State is authorized to withhold an equal amount from
future apportionment due the Local Agency from the Highway Users Tax Fund and to pay such funds
directly to CDOT. Interim funds shall be payable from the State Highway Supplementary Fund(400)until
Document Builder Generated Page 9 of 22
( 1
CDOT is reimbursed.If the Local Agency fails to make payment within 60 days, it shall pay interest to the
State at a rate of one percent per month on the delinquent amounts until the billing is paid in full.CDOT's
invoices shall describe in detail the reimbursable costs incurred,the dates incurred and the amounts thereof,
and shall not be submitted more often than monthly.
10. REPORTING-NOTIFICATION
Reports,Evaluations,and Reviews required under this §10 shall be in accordance with the procedures of and in
such form as prescribed by the State and in accordance with§18,if applicable.
A. Performance,Progress,Personnel,and Funds
The Local Agency shall submit a report to the State upon expiration or sooner termination of this
Agreement, containing an Evaluation and Review of the Local Agency's performance and the final status
of the Local Agency's obligations hereunder.
B. Litigation Reporting
Within 10 days after being served with any pleading related to this Agreement,in a legal action filed with a
court or administrative agency,the Local Agency shall notify the State of such action and deliver copies of
such pleadings to the State's principal representative as identified herein. If the State or its principal
representative is not then serving, such notice and copies shall be delivered to the Executive Director of
CDOT.
C. Noncompliance
The Local Agency's failure to provide reports and notify the State in a timely manner in accordance with
this§10 may result in the delay of payment of funds and/or termination as provided under this Agreement.
D. Documents
Upon request by the State,the Local Agency shall provide the State,or its authorized representative,copies
of all documents,including contracts and subcontracts,in its possession related to the Work.
11. LOCAL AGENCY RECORDS
A. Maintenance
The Local Agency shall make, keep, maintain, and allow inspection and monitoring by the State of a
complete file of all records, documents, communications, notes and other written materials, electronic
media files, and communications, pertaining in any manner to the Work or the delivery of Services
(including, but not limited to the operation of programs) or Goods hereunder. The Local Agency shall
maintain such records until the last to occur of the following: (i) a period of three years after the date this
Agreement is completed or terminated,or(ii)three years after final payment is made hereunder,whichever
is later, or (iii) for such further period as may be necessary to resolve any pending matters, or(iv) if an
audit is occurring, or the Local Agency has received notice that an audit is pending, then until such audit
has been completed and its findings have been resolved(collectively,the"Record Retention Period").
B. Inspection
The Local Agency shall permit the State,the federal government and any other duly authorized agent of a
governmental agency to audit, inspect,examine,excerpt,copy and/or transcribe the Local Agency's records
related to this Agreement during the Record Retention Period to assure compliance with the terms hereof or
to evaluate the Local Agency's performance hereunder. The State reserves the right to inspect the Work at
all reasonable times and places during the term of this Agreement, including any extension. If the Work
fails to conform to the requirements of this Agreement,the State may require the Local Agency promptly to
bring the Work into conformity with Agreement requirements, at the Local Agency's sole expense. If the
Work cannot be brought into conformance by re-performance or other corrective measures,the State may
require the Local Agency to take necessary action to ensure that future performance conforms to
Agreement requirements and may exercise the remedies available under this Agreement at law or in equity
in lieu of or in conjunction with such corrective measures.
C. Monitoring
The Local Agency also shall permit the State,the federal government or any other duly authorized agent of
a governmental agency, in their sole discretion, to monitor all activities conducted by the Local.Agency
pursuant to the terms of this Agreement using any reasonable procedure, including, but not limited to:
Document Builder Generated Page 10 of 22
e 7
i
internal evaluation procedures, examination of program data, special analyses, on-site checking, formal
audit examinations,or any other procedures. All such monitoring shall be performed in a manner that shall
not unduly interfere with the Local Agency's performance hereunder.
D. Final Audit Report
If an audit is performed on the Local Agency's records for any fiscal year covering a portion of the tern of
this Agreement, the Local Agency shall submit a copy of the final audit report to the State or its principal
representative at the address specified herein.
12. CONFIDENTIAL INFORMATION-STATE RECORDS
The Local Agency shall comply with the provisions of this §12 if it becomes privy to confidential information
in connection with its performance hereunder. Confidential information,includes,but is not necessarily limited
to, state records, personnel records, and information concerning individuals. Nothing in this §12 shall be
construed to require the Local Agency to violate the Colorado Open Records Act,C.R.S.§§24-72-1001 et seq.
A. Confidentiality
The Local Agency shall keep all State records and information confidential at all times and to comply with
all laws and regulations concerning confidentiality of information. Any request or demand by a third party
for State records and information in the possession of the Local Agency shall be immediately forwarded to
the State's principal representative.
B. Notification
The Local Agency shall notify its agents, employees and assigns who may come into contact with State
records and confidential information that each is subject to the confidentiality requirements set forth herein,
and shall provide each with a written explanation of such requirements before they are permitted to access
such records and information.
C. Use,Security,and Retention ,
Confidential information of any kind shall not be distributed or sold to any third party or used by the Local
Agency or its agents in any way,except as authorized by the Agreement and as approved by the State. The
Local Agency shall provide and maintain a secure environment that ensures confidentiality of all State
records and other confidential information wherever located. Confidential information shall not be retained
in any files or otherwise by the Local Agency or its agents, except asset forth in this Agreement and
approved by the State.
D. Disclosure-Liability
Disclosure of State records or other confidential information by the Local Agency for any reason may be
cause for legal action by third parties against the Local Agency, the State or their respective agents. The
Local Agency is prohibited from providing indemnification to the State pursuant to the Constitution of the
State of Colorado, Article XI, Section 1, however, the Local Agency shall be responsible for any and all
claims, damages, liability and court awards including costs, expenses, and attorney fees and related costs,
incurred as a result of any act or omission by the Local Agency, or its employees, agents, or assignees
pursuant to this§12.
13. CONFLICT OF INTEREST
The Local Agency shall not engage in any business or personal activities or practices or maintain any
relationships which conflict in any way with the full performance of the Local Agency's obligations hereunder.
The Local Agency acknowledges that with respect to this Agreement even the appearance of a conflict of
interest is harmful to the State's interests. Absent the State's prior written approval, the Local Agency shall
refrain from any practices, activities or relationships that reasonably appear to be in conflict with the full
performance of the Local Agency's obligations to the State hereunder. If a conflict or appearance exists, or if
the Local Agency is uncertain whether a conflict or the appearance of a conflict of interest exists, the Local
Agency shall submit to the State a disclosure statement setting forth the relevant details for the State's
consideration. Failure to promptly submit a disclosure statement or to follow the State's direction in regard to
the apparent conflict constitutes a breach of this Agreement.
14. REPRESENTATIONS AND WARRANTIES
Document Builder Generated Page 11 of 22
r
The Local Agency makes the following specific representations and warranties,each of which was relied on by
the State in entering into this Agreement.
A. Standard and Manner of Performance
The Local Agency shall perform its obligations hereunder, including in accordance with the highest
professional standard of care, skill and diligence and in the sequence and manner set forth in this
Agreement.
B. Legal Authority—The Local Agency and the Local Agency's Signatory
The Local Agency warrants that it possesses the legal authority to enter into this Agreement and that it has
taken all actions required by its procedures, by-laws,and/or applicable laws to exercise that authority, and
to lawfully authorize its undersigned signatory to execute this Agreement, or any part thereof, and to bind
the Local Agency to its terms. If requested by the State, the Local Agency shall provide the State with
proof of the Local Agency's authority to enter into this Agreement within 15 days of receiving such
request.
C. Licenses,Permits,Etc.
The Local Agency represents and warrants that as of the Effective Date it has,and that at all times during
the term hereof it shall have, at its sole expense, all licenses, certifications, approvals, insurance, permits,
and other authorization required by law to perform its obligations hereunder. The Local Agency warrants
that it shall maintain all necessary licenses, certifications, approvals, insurance, permits, and other
authorizations required to properly perform this Agreement, without reimbursement by the State or other
adjustment in Agreement Funds. Additionally, all employees and agents of the Local Agency performing
Services under this Agreement shall hold all required licenses or certifications, if any, to perform their
responsibilities. The Local Agency, if a foreign corporation or other foreign entity transacting business in
the State of Colorado, further warrants that it currently has obtained and shall maintain any applicable
certificate of authority to transact business in the State of Colorado and has designated a registered agent in
Colorado to accept service of process. Any revocation, withdrawal or non-renewal of licenses,
certifications, approvals, insurance, permits or any such similar requirements necessary for the Local
Agency to properly perform the terms of this Agreement shall be deemed to be a material breach by the
Local Agency and constitute grounds for termination of this Agreement.
15. INSURANCE
The Local Agency and its contractors shall obtain and maintain insurance as specified in this section at all times
during the term of this Agreement: All policies evidencing the insurance coverage required hereunder shall be
issued by insurance companies satisfactory to the Local Agency and the State.
A. The Local Agency
i. Public Entities
If the Local Agency is a "public entity" within the meaning of the Colorado Governmental Immunity
Act, CRS §24-10-101, et seq., as amended (the "GIA"), then the Local Agency shall maintain at all
times during the term of this Agreement such liability insurance, by commercial policy or self-
insurance, as is necessary to meet its liabilities under the GIA. The Local Agency shall show proof of
such insurance satisfactory to the State, if requested by the State.The Local Agency shall require each
Agreement with their Consultant and Contractor, that are providing Goods or Services hereunder, to
include the insurance requirements necessary to meet Consultant or Contractor liabilities under the
GIA.
ii. Non-Public Entities
If the Local Agency is not a"public entity"within the meaning of the Governmental Immunity Act,the
Local Agency shall obtain and maintain during the term of this Agreement insurance coverage and
policies meeting the same requirements set forth in§15(B)with respect to sub-contractors that are not
"public entities".
B. Contractors
The Local Agency shall require each contract with Contractors, Subcontractors,or Consultants,other than
those that are public entities, providing Goods or Services in connection with this Agreement; to include
insurance requirements substantially similar to the following:
i. Worker's Compensation
Document Builder Generated Page 12 of 22
Worker's Compensation Insurance as required by State statute, and Employer's Liability Insurance
covering all of the Local Agency's Contractors, Subcontractors, or Consultant's employees acting
within the course and scope of their employment.
ii. General Liability
Commercial General Liability Insurance written on ISO occurrence form CG 00 01 10/93 or
equivalent, covering premises operations, fire damage, independent contractors, products and
completed operations, blanket liability, personal injury, and advertising liability with minimum limits
as follows:(a)$1,000,000 each occurrence;(b)$1,000,000 general aggregate;(c)$1,000,000 products
and completed operations aggregate; and (d) $50,000 any one foe. If any aggregate limit is reduced
below $1,000,000 because of claims made or paid, contractors, subcontractors, and consultants shall
immediately obtain additional insurance to restore the full aggregate limit and furnish to the Local
Agency a certificate or other document satisfactory to the Local Agency showing compliance with this
provision.
iii. Automobile Liability
Automobile Liability Insurance covering any auto(including owned,hired and non-owned autos)with
a minimum limit of$1,000,000 each accident combined single limit.
iv. Additional Insured
The Local Agency and the State shall be named as additional insured on the Commercial General
Liability policies(leases and construction contracts require additional insured coverage for completed
operations on endorsements CG 2010 11/85,CG 2037,or equivalent).
v. Primacy of Coverage
Coverage required of the Consultants or Contractors shall be primary over any insurance or self-
insurance program carved by the Local Agency or the State.
vi. Cancellation
The above insurance policies shall include provisions preventing cancellation or non-renewal without
at least 45 days prior notice to the Local Agency and the State by certified mail.
vii. Subrogation Waiver
All insurance policies in any way related to this Agreement and secured and maintained by the Local
Agency's Consultants or Contractors as required herein shall include clauses stating that each carrier
shall waive all rights of recovery, under subrogation or otherwise, against the Local Agency or the
State,its agencies,institutions,organizations,officers,agents,employees,and volunteers.
C. Certificates
The Local Agency and all Contractors, subcontractors, or Consultants shall provide certificates showing
insurance coverage required hereunder to the State within seven business days of the Effective Date of this
Agreement.No later than 15 days prior to the expiration date of any such coverage,the Local Agency and
each contractor, subcontractor, or consultant shall deliver to the State or the Local Agency certificates of
insurance evidencing renewals thereof. In addition,upon request by the State at any other time during the
tens of this Agreement or any sub-contract, the Local Agency and each contractor, subcontractor, or
consultant shall, within 10 days of such request, supply to the State evidence satisfactory to the State of
compliance with the provisions of this§15.
16. DEFAULT-BREACH
A. Defined -
In addition to any breaches specified in other sections of this Agreement, the failure of either Party to '
perform any of its material obligations hereunder in whole or in part or in a timely or satisfactory manner
constitutes a breach.
B Notice and Cure Period
In the event of a breach,notice of such shall be given in writing by the aggrieved Party to the other Party in
the manner provided in §18.If such breach is not cured within 30 days of receipt of written notice,or if a
cure cannot be completed within 30 days,or if cure of the breach has not begun within 30 days and pursued
with due diligence,the State may exercise any of the remedies set forth in §17. Notwithstanding anything
to the contrary herein,the State, in its sole discretion,need not provide advance notice or a cure period and
may immediately terminate this Agreement in whole or in part if reasonably necessary to preserve public
safety or to prevent immediate public crisis.
Document Builder Generated Page 13 of 22
17. REMEDIES -
If the Local Agency is in breach under any provision of this Agreement,the State shall have all of the remedies
listed in this §17 in addition to all other remedies set forth in other sections of this Agreement following the
notice and cure period set forth in§16(B).The State may exercise any or all of the remedies available to it,in its
sole discretion,concurrently or consecutively.
A. Termination for Cause and/or Breach
If the Local Agency fails to perform any of its obligations hereunder with such diligence as is required to
ensure its completion in accordance with the provisions of this Agreement and in a timely manner,the State
may notify the Local Agency of such non-performance in accordance with the provisions herein. If the
Local Agency thereafter fails to promptly cure such non-performance within the cure period, the State, at
its option,may terminate this entire Agreement or such part of this Agreement as to which there has been
delay or a failure to properly perform.Exercise by the State of this right shall not be deemed a breach of its
obligations hereunder. The Local Agency shall continue performance of this Agreement to the extent not
terminated,if any.
B. Obligations and Rights
To the extent specified in any termination notice, the Local Agency shall not incur further obligations or
render further performance hereunder past the effective date of such notice,and shall terminate outstanding
orders and sub-Agreements with third parties.However,the Local Agency shall complete and deliver to the
State all Work, Services and Goods not cancelled by the termination notice and may incur obligations as
are necessary to do so within this Agreement's terms. At the sole discretion of the State,the Local Agency
shall assign to the State all of the Local Agency's right,title, and interest under such terminated orders or
sub-Agreements. Upon termination,the Local Agency shall take timely,reasonable and necessary action to
protect and preserve property in the possession of the Local Agency in which the State has an interest. All
materials owned by the State in the possession of the Local Agency shall be immediately returned to the
State.All Work Product, at the option of the State,shall be delivered by the Local Agency to the State and
shall become the State's property.
C. Payments
The State shall reimburse the Local Agency only for accepted performance received up to the date of
termination. If, after termination by the State, it is determined that the Local Agency was not in default or
that the Local Agency's action or inaction was excusable,such termination shall be treated as a termination
in the public interest and the rights and obligations of the Parties shall be the same as if this Agreement had
been terminated in the public interest,as described herein.
D. Damages and Withholding
Notwithstanding any other remedial action by the State, the Local Agency also shall remain liable to the
State for any damages sustained by the State by virtue of any breach under this Agreement by the Local
Agency and the State may withhold any payment to the Local Agency for the purpose of mitigating the
State's damages,until such time as the exact amount of damages due to the State from the Local Agency is
determined. The State may withhold any amount that may be due to the Local Agency as the State deems
necessary to protect the State, including loss as a result of outstanding liens or claims of former lien
holders,or to reimburse the State for the excess costs incurred in procuring similar goods or services. The
Local Agency shall be liable for excess costs incurred by the State in procuring from third parties
replacement Work,Services or substitute Goods as cover. - -
E. Early Termination in the Public Interest
The State is entering into this Agreement for the purpose of carrying out the public policy of the State of
Colorado, as determined by its Governor, General Assembly, and/or Courts. If this Agreement ceases to
further the public policy of the State, the State, in its sole discretion, may terminate this Agreement in
whole or in part. Exercise by the State of this right shall not constitute a breach of the State's obligations
hereunder. This subsection shall not apply to a termination of this Agreement by the State for cause or
breach by the Local Agency, which shall be governed by §17(A)or as otherwise specifically provided for
herein.
i. Method and Content
The State shall notify the Local Agency of the termination in accordance with §18, specifying the
effective date of the termination and whether it affects all or a portion of this Agreement.
Document Builder Generated Page 14 of 22
it.Obligations and Rights
Upon receipt of a termination notice,the Local Agency shall be subject to and comply with the same
obligations and rights set forth in§17(A)(i).
iii. Payments
If this Agreement is terminated by the State pursuant to this§17(B),the Local Agency shall be paid an
amount which bears the same ratio to the total reimbursement under this Agreement as the Services
- satisfactorily performed bear to the total Services covered by this Agreement,less payments previously
made. Additionally, if this Agreement is less than 60%completed, the State may reimburse the Local
Agency for a portion of actual out-of-pocket expenses (not otherwise reimbursed under this
Agreement)incurred by the Local Agency which are directly attributable to the uncompleted portion of
the Local Agency's obligations hereunder; provided that the sum of any and all reimbursement shall
not exceed the maximum amount payable to the Local Agency hereunder.
F. Remedies Not Involving Termination
The State, its sole discretion, may exercise one or more of the following remedies in addition to other
remedies available to it:
i. Suspend Performance
Suspend the Local Agency's performance with respect to all or any portion of this Agreement pending
necessary corrective action as specified by the State without entitling the Local Agency to an
adjustment in pricelcost or performance schedule.The Local Agency shall promptly cease performance
and incurring costs in accordance with the State's directive and the State shall not be liable for costs
incurred by the Local Agency after the suspension of performance under this provision.
ii. Withhold Payment
Withhold payment to the Local Agency until corrections in the Local Agency's I performance are
satisfactorily made and completed. _
iii. Deny Payment
Deny payment for those obligations not performed that due to the Local Agency's actions or inactions
cannot be performed or, if performed, would be of no value to the State; provided that any denial of
payment shall be reasonably related to the value to the State of the obligations not performed.
iv. Removal
Demand removal of any of the Local Agency's employees, agents, or contractors whom the State
deems incompetent,careless, insubordinate,unsuitable,or otherwise unacceptable,or whose continued
relation to this Agreement is deemed to be contrary to the public interest or not in the State's best
interest.
v. Intellectual Property
If the Local Agency infringes on a patent, copyright, trademark, trade secret or other intellectual
property right while performing its obligations under this Agreement, the Local Agency shall, at the
State's option(a)obtain for the State or the Local Agency the right to use such products and services;
(b) replace any Goods, Services, or other product involved with non-infringing products or modify
them so that they become non-infringing;or, (c)if neither of the foregoing alternatives are reasonably
available, remove any infringing Goods, Services, or products and refund the price paid therefore to
the State.
18. NOTICES and REPRESENTATIVES
Each individual identified below is the principal representative of the designating Party. All notices required to -
be given hereunder shall be hand delivered with receipt required or sent by certified or registered mail to such
Parry's principal representative at the address set forth below. In addition to but not in lieu of a hard-copy
notice,notice also may be sent by e-mail to the e-mail addresses, if any, set forth below.Either Party may from
time to time designate by written notice substitute addresses or persons to whom such notices shall be sent.
Unless otherwise provided herein,all notices shall be effective upon receipt.
A. If to State: B. If to the Local Agency:
COOT Region:04 CITY OF FORT COLLINS
Jake Schoch Robert Mosbey
Project Manager City of Fort Collins
1420 2nd Street 281 North College
Document Builder Generated Page 15 of 22
t
Greeley,CO 80631 Fort Collins,CO 80524
(970)350-2205 (970)221-6659
19. RIGHTS IN DATA, DOCUMENTS,AND COMPUTER SOFTWARE
Any software, research, reports, studies, data, photographs, negatives or other documents, drawings, models,
materials,or work product of any type,including drafts,prepared by the Local Agency in the performance of its
obligations under this Agreement shall be the exclusive property of the State and all Work Product shall be
delivered to the State by the Local Agency upon completion or termination hereof.The State's exclusive rights
in such Work Product shall include, but not be limited to, the right to copy, publish, display, transfer, and
prepare derivative works. The Local Agency shall not use,willingly allow,cause or permit such Work Product
to be used for any purpose other than the performance of the Local Agency's obligations hereunder without the
prior written consent of the State.
20. GOVERNMENTAL IMMUNITY
Notwithstanding any other provision to the contrary, nothing herein shall constitute a waiver, express or
implied,of any of the immunities,rights,benefits,protection,or other provisions of the Colorado Governmental
Immunity Act, CRS §24-10-101, et seq., as amended. Liability for claims for injuries to persons or property
arising from the negligence of the State of Colorado, its departments, institutions, agencies, boards, officials,
and employees and of the Local Agency is controlled and limited by the provisions of the Governmental
Immunity Act and the risk management statutes,CRS§24-30-1501,et seq.,as amended.
21. STATEWIDE CONTRACT MANAGEMENT SYSTEM
If the maximum amount payable to the Local Agency under this Agreement is$100,000 or greater,either on the
Effective Date or at any time thereafter,this§21 applies.
The Local Agency agrees to be governed, and to abide, by the provisions of CRS §24-102-205, §24-102-206,
§24-103-601, §24-103.5-101 and §24-105-102 concerning the monitoring of vendor performance on state
agreements/contracts and inclusion of agreement/contract performance information in a statewide contract
management system.
The Local Agency's performance shall be subject to Evaluation and Review in accordance with the terms and
conditions of this Agreement, State law, including CRS §24-103.5-101, and State Fiscal Rules, Policies and
Guidance. Evaluation and Review of the Local Agency's performance shall be part of the normal Agreement
administration process and the Local Agency's performance will be systematically recorded in the statewide
Agreement Management System. Areas of Evaluation and Review shall include, but shall not be limited to
quality, cost and timeliness. Collection of information relevant to the performance of the Local Agency's
obligations under this Agreement shall be determined by the specific requirements of such obligations and shall
include factors tailored to match the requirements of the Local Agency's obligations. Such performance
information shall be entered into the statewide Contract Management System at intervals established herein and
a final Evaluation,Review and Rating shall be rendered within 30 days of the end of the Agreement term. The
Local Agency shall be notified following each performance Evaluation and Review,and shall address or correct
any identified problem in a timely manner and maintain work progress.
Should the final performance Evaluation and Review determine that the Local Agency demonstrated a gross
failure to meet the performance measures established hereunder, the Executive Director of the Colorado
Department of Personnel and Administration (Executive Director), upon request by CDOT, and showing of
good cause, may debar the Local Agency and prohibit the Local Agency from bidding on future Agreements.
The Local Agency may contest the final Evaluation,Review and Rating by: (a)filing rebuttal statements,which
may result in either removal or correction of the evaluation(CRS §24-105-102(6)),or(b)under CRS §24-105-
102(6), exercising the debarment protest and appeal rights provided in CRS §§24-109-106, 107, 201 or 202,
which may result in the reversal of the debarment and reinstatement of the Local Agency, by the Executive
Director,upon showing of good cause.
22. FEDERAL REQUIREMENTS
Document Builder Generated Page 16 of 22
The Local Agency and/or their contractors, subcontractors, and consultants shall at all times during the
execution of this Agreement strictly adhere to, and comply with, all applicable federal and state laws, and their
implementing regulations,as they currently exist and may hereafter be amended.
23. DISADVANTAGED BUSINESS ENTERPRISE(DBE)
The Local Agency will comply with all requirements of Exhibit G 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 C.F.R. Part 26 under this
Agreement,it must submit a copy of its program's requirements to the State for review and approval before the
execution of this Agreement. If the Local Agency uses any State-approved DBE program for this Agreement,
the Local Agency shall be solely responsible to defend that DBE program and its use of that program against all
legal and other challenges or complaints, at its sole cost and expense. Such responsibility includes, without
limitation,determinations concerning DBE eligibility requirements and certification, adequate legal and factual
bases for DBE goals and good faith efforts. State approval (if provided) of the Local Agency's DBE program
does not waive or modify the sole responsibility of the Local Agency for use of its program.
24. DISPUTES
Except as otherwise provided in this Agreement, any dispute concerning a question of fact arising under this
Agreement which is not disposed of by agreement shall be decided by the Chief Engineer of the Department of
Transportation. The decision of the Chief Engineer will be final and conclusive unless,within 30 calendar days
after the date of receipt of a copy of such written decision,the Local Agency mails or otherwise furnishes to the
State a written appeal addressed to the Executive Director of CDOT.In connection with any appeal proceeding
under this clause, 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 this Agreement in accordance with the Chief Engineer's decision. The decision of the
Executive Director or his duly authorized representative for the determination of such appeals shall be final and
conclusive and serve as final agency action.This dispute clause does not preclude consideration of questions of
law in connection with decisions provided for herein. Nothing in this Agreement, however,shall be construed
as making final the decision of any administrative official,representative,or board on a question of law.
25. GENERAL PROVISIONS
A. Assignment The Local Agency's rights and obligations hereunder are personal and may not be transferred,assigned or
subcontracted without the prior written consent of the State. Any attempt at assignment, transfer, or
subcontracting without such consent shall be void.All assignments and subcontracts approved by the Local
Agency or the State are subject to all of the provisions hereof. The Local Agency shall be solely
responsible for all aspects of subcontracting arrangements and performance.
B. Binding Effect
Except as otherwise provided in §25(A), all provisions herein contained, including the benefits and
burdens,shall extend to and be binding upon the Parties'respective heirs,legal representatives,successors,
and assigns.
C. Captions
The captions and headings in this Agreement are for convenience of reference only,and shall not be used to
interpret,define,or limit its provisions.
D. Counterparts
This Agreement may be executed in multiple identical original counterparts, all of which shall constitute
one agreement.
E. Entire Understanding
This Agreement represents the complete integration of all understandings between the Parties and all prior
representations and understandings,oral or written, are merged herein. Prior or contemporaneous addition,
deletion,or other amendment hereto shall not have any force or affect whatsoever,unless embodied herein.
F. Indemnification-General
Document Builder Generated Page 17 of 22
If Local Agency is not a"public entity" within the meaning of the Colorado Governmental Immunity Act,
CRS §24-10-101, et seq., the Local Agency shall indemnify, save, and hold harmless the State, its
employees and agents, against any and all claims, damages, liability and court awards including costs,
expenses, and attorney fees and related costs, incurred as a result of any act or omission by the Local
Agency, or its employees, agents, subcontractors or assignees pursuant to the terms of this Agreement.
This clause is not applicable to a Local Agency that is a"public entity"within the meaning of the Colorado
Governmental Immunity Act,CRS§24-10-101,et seq.
G. Jurisdiction and Venue
All suits, actions, or proceedings related to this Agreement shall be held in the State of Colorado and
exclusive venue shall be in the City and County of Denver.
H. Limitations of Liability
Any and all limitations of liability and/or damages in favor of the Local Agency contained in any document
attached to and/or incorporated by reference into this Agreement, whether referred to as an exhibit,
attachment, schedule, or any other name, are void and of no effect. This includes, but is not necessarily
limited to, limitations on(i)the types of liabilities,(ii)the types of damages, (iii)the amount of damages,
and(iv)the source of payment for damages.
I. Modification '
I. By the Parties
Except as specifically provided in this Agreement, modifications of this Agreement shall not be
effective unless agreed to in writing by both parties in an amendment to this Agreement, properly
executed and approved in accordance with applicable Colorado State law, State Fiscal Rules, and
Office of the State Controller Policies, including, but not limited to, the policy entitled
MODIFICATIONS OF AGREEMENTS-TOOLS AND FORMS.
ii. By Operation of Law
This Agreement is subject to such modifications as may be required by changes in Federal or Colorado
State law, or their implementing regulations. Any such required modification automatically shall be
incorporated into and be part of this Agreement on the effective date of such change, as if fully set
forth herein
J. Order of Precedence
The provisions of this Agreement shall govern the relationship of the State and the Local Agency. In the
event of conflicts or inconsistencies between this Agreement and its exhibits and attachments, such
conflicts or inconsistencies shall be resolved by reference to the documents in the following order of
priority:
i. Colorado Special Provisions, ,
ii. The provisions of the main body of this Agreement,
iii. Exhibit A(Scope of Work),
iv. Exhibit B(Local Agency Resolution),
V. Exhibit C(Funding Provisions),
vi. Exhibit D(Option Letter),
vii. Exhibit E(Local Agency Contract Administration Checklist),
viii. Other exhibits in descending order of their attachment.
K. Severability
Provided this Agreement can be executed and performance of the obligations of the Parties accomplished
within its intent,the provisions hereof are severable and any provision that is declared invalid or becomes
inoperable for any reason shall not affect the validity of any other provision hereof.
L. Survival of Certain Agreement Terms
Notwithstanding anything herein to the contrary, provisions of this Agreement requiring continued
performance, compliance, or effect after termination hereof, shall survive such termination and shall be
enforceable by the State if the Local Agency fails to perform or comply as required.
M. Taxes
The State is exempt from all federal excise taxes under IRC Chapter 32 (No. 84-730123K) and from all
State and local government sales and use taxes under CRS §§39-26-101 and 201 et seq. Such exemptions
Document Builder Generated Page 18 of 22
apply when materials are purchased or services rendered to benefit the State;provided however,that certain
political subdivisions (e.g., City of Denver) may require payment of sales or use taxes even though the
product or service is provided to the State.The Local Agency shall be solely liable for paying such taxes as
the State is prohibited from paying for or reimbursing the Local Agency for them
N. Third Party Beneficiaries
Enforcement of this Agreement and all rights and obligations hereunder are reserved solely to the Parties,
and not to any third party. Any services or benefits which third parties receive as a result of this Agreement
are incidental to the Agreement,and do not create any rights for such third parties.
O. Waiver
Waiver of any breach of aterm, provision, or requirement of this Agreement, or any right or remedy
hereunder,whether explicitly or by lack of enforcement, 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.
THE REST OF THIS PAGE INTENTIONALLY LEFT BLANK
Document Builder Generated Page 19 of 22
26. COLORADO SPECIAL PROVISIONS
The Special Provisions apply to all Agreements except where noted in italics.
1. CONTROLLER'S APPROVAL.CRS§24-30-202(1).
This Agreement shall not be deemed valid until it has been approved by the Colorado State Controller or
designee.
2. FUND AVAILABILITY.CRS§24-30-202(5.5).
Financial obligations of the State payable after the current fiscal year are contingent upon funds for that
purpose being appropriated,budgeted,and otherwise made available.
3. GOVERNMENTAL IMMUNITY.
No tens or condition of this Agreement shall be construed or interpreted as a waiver,express or implied,of
any of the immunities, rights, benefits, protections, or other provisions, of the Colorado Governmental
Immunity Act, CRS §24-10-101 et seq:, or the Federal Tort Claims Act,28 U.S.C. §§1346(b) and 2671 et
seq.,as applicable now or hereafter amended.
4. INDEPENDENT CONTRACTOR.
The Local Agency shall perform its duties hereunder as an independent contractor and not as an employee.
Neither The Local Agency nor any agent or employee of The Local Agency shall be deemed to be an agent
or employee of the State.The Local Agency and its employees and agents are not entitled to unemployment
insurance or workers compensation benefits through the State and the State shall not pay for or otherwise
provide such coverage for The Local Agency or any of its agents or employees. Unemployment insurance
benefits shall be available to The Local Agency and its employees and agents only if such coverage is made
available by The Local Agency or a third party. The Local Agency shall pay when due all applicable
employment taxes and income taxes and local head taxes incurred pursuant to this Agreement. The Local
Agency shall not have authorization, express or implied, to bind the State to any Agreement, liability or
understanding, except as expressly set forth herein. The Local Agency shall (a) provide and keep in force
workers' compensation and unemployment compensation insurance in the amounts required by law, (b)
provide proof thereof when requested by the State,and(c)be solely responsible for its acts and those of its
employees and agents.
5. COMPLIANCE WITH LAW.
The Local Agency shall strictly comply with all applicable federal and State laws, rules,and regulations in
effect or hereafter established, including, without limitation, laws applicable to discrimination and unfair
employment practices.
6. CHOICE OF LAW.
Colorado law, and rules and regulations issued pursuant thereto, shall be applied in the interpretation,
execution,and,enforcement of this Agreement.Any provision included or incorporated herein by reference
which conflicts with said laws, rules, and regulations shall be null and void. Any provision incorporated
herein by reference which purports to negate this or any other Special Provision in whole or in part shall
not be valid or enforceable or available in any action at law, whether by way of complaint, defense, or
otherwise. Any provision rendered null and void by the operation of this provision shall not invalidate the
remainder of this Agreement,to the extent capable of execution.
7. BINDING ARBITRATION PROHIBITED.
The State of Colorado does not agree to binding arbitration by any extra-judicial body or person. Any
provision to the contrary in this contact or incorporated herein by reference shall be null and void.
S. SOFTWARE PIRACY PROHIBITION.Governor's Executive Order D 002 00.
State or other public funds payable under this Agreement shall not be used for the acquisition,operation,or
maintenance of computer software in violation of federal copyright laws or applicable licensing
restrictions. The Local Agency hereby certifies and warrants that, during the term of this Agreement and
any extensions, The Local Agency has and shall maintain in place appropriate systems and controls to
prevent such improper use of public funds.If the State determines that The Local Agency is in violation of
this provision, the State may exercise any remedy available at law or in equity or under this Agreement,
Document Builder Generated Page 20 of 22
including, without limitation, immediate termination of this Agreement and any remedy consistent with
federal copyright laws or applicable licensing restrictions. _
9. EMPLOYEE FINANCIAL INTEREST.CRS§§24-18-201 and 24-50-507.
The signatories aver that to their knowledge, no employee of the State has any personal or beneficial
interest whatsoever in the service or property described in this Agreement. The Local Agency has no
interest and shall not acquire any interest, direct or indirect, that would conflict in any manner or degree
with the performance of The Local Agency's services and The Local Agency shall not employ any person
having such known interests.
10. VENDOR OFFSET.CRS§§24-30-202(1)and 24-30-202.4.
[Not Applicable to intergovernmental agreements]. Subject to CRS §24-30-202.4 (3.5), the State
Controller may withhold payment under the State's vendor offset intercept system for debts owed to State
agencies for:(a)unpaid child support debts or child support arrearages;(b)unpaid balances of tax,accrued
interest, or other charges specified in CRS §39-21-101, et seq.; (c) unpaid loans due to the Student Loan
Division of the Department of Higher Education; (d) amounts required to be paid to the Unemployment
Compensation Fund;and(e)other unpaid debts owing to the State as a result of final agency determination
or judicial action.
11. PUBLIC CONTRACTS FOR SERVICES.CRS§8-17.5-101.
[Not Applicable to Agreements relating to the offer, issuance, or sale of securities, investment advisory
services .or fund management services, sponsored projects, intergovernmental Agreements, or
information technology services or products and services]. The Local Agency certifies, warrants, and
agrees that it does not knowingly employ or contract with an illegal alien who shall perform work under
this Agreement and shall confirm the employment eligibility of all employees who are newly hired for
employment in the United States to perform work under this Agreement, through participation in the E-
Verify Program or the State program established pursuant to CRS §8-17.5-102(5)(c), The Local Agency
shall not knowingly employ or contract with an illegal alien to perform work under this Agreement or enter
into a contract with a subcontractor that fails to certify to The Local Agency that the subcontractor shall not
knowingly employ or contract with an illegal alien to perform work under this Agreement. The Local
Agency (a) shall not use E-Verify Program or State program procedures to undertake pre-employment
screening of job applicants while this Agreement is being performed,(b)shall notify the subcontractor and
the contracting State agency within three days if The Local Agency has actual knowledge that a
subcontractor is employing or contracting with an illegal alien for work under this Agreement, (c) shall
terminate the subcontract if a subcontractor does not stop employing or contracting with the illegal alien
within three days of receiving the notice,and(d)shall comply with reasonable requests made in the course
of an investigation,undertaken pursuant to CRS §8-17.5-102(5),by the Colorado Department of Labor and
Employment.If The Local Agency participates in the State program,The Local Agency shall deliver to the
contracting State agency, Institution of Higher Education or political subdivision, a written, notarized
affirmation, affirming that The Local Agency has examined the legal work status of such employee, and
shall comply with all of the other requirements of the State program. If The Local Agency fails to comply
with any requirement of this provision or CRS §8-17.5-101 et seq.,the contracting State agency,institution
of higher education or political subdivision may terminate this Agreement for breach and, if so terminated,
The Local Agency shall be liable for damages.
12. PUBLIC CONTRACTS WITH NATURAL PERSONS.CRS§24-76.5-101.
The Local Agency, if a natural person eighteen(18)years of age or older,hereby swears and affirms under
penalty of perjury that he or she (a)is a citizen or otherwise lawfully present in the United States pursuant
to federal law,(b)shall comply with the provisions of CRS §24-76.5-101 et seq.,and(c)has produced one
form of identification required by CRS §24-76.5-103 prior to the effective date of this Agreement.
SPs Effective 1/1/09
THE REMAINDER OF THIS PAGE INTENTIONALLY LEFT BLANK
Document Builder Generated Page 21 of 22
I
27. SIGNATURE PAGE
Agreement Routing Number: 15 HA4 71250
THE PARTIES HERETO HAVE EXECUTED THIS AGREEMENT
*Persons signing for The Local Agency hereby swear and affirm that they are authorized to act on The Local
Agency's behalf and acknowledge that the State is relying on their representations to that effect.
THE LOCAL AGENCY STATE OF COLORADO
CITY OF FORT COLLINS John W.Hickenlooper,GOVERNOR
Colorado Department of Transportation
Print: Karen Weitkunat Donald E.Hunt,Executive Director
Title: Mayan
By:Joshua Laipply,PE,Chief Engineer
*Signature _ Date:
Date:
2nd Local Agency Signature if needed LEGAL REVIEW
John W.Suthers,Attorney General
Print:
By:
Title: Signature-Assistant Attorney General
*Signature Date:
Date:
ALL AGREEMENTS REQUIRE APPROVAL BY THE STATE CONTROLLER
CRS§24-30-202 requires the State Controller to approve all State Agreements.This Agreement is not valid until signed
and dated below by the State Controller or delegate.The Local Agency is not authorized to begin performance until such
time.If The Local Agency begins performing prior thereto,the State of Colorado is not obligated to pay The Local
Agency for such performance or for any goods and/or services provided hereunder.
STATE CONTROLLER
Robert Jaros,CPA,MBA,JD
By:
Colorado Department of Transportation
Date:
Document Builder Generated Page 22 of 22
28. EXHIBIT A—SCOPE OF WORK
The design and construction of a multi-use path connecting Tavelli Elementary School and the adjacent Lindenmeier Lake
neighborhood.This path will be beneficial to the area by providing a safe path for children to walk to and from Tavelli
Elementary School.
Preliminary design indicates that the path will be 10 feet wide and will utilize a currently existing pedestrian bridge
crossing as well as creating a roadway crossing of Lemay Avenue.
All applicable federal rules and regulations apply to this federal aid project.
THE REST OF THIS PAGE INTENTIONALLY LEFT BLANK
Page 1 of 3
e
29. EXHIBIT B-LOCAL AGENCY RESOLUTION
LOCALAGENCY
ORDINANCE
or
RESOLUTION
Page 1 of 1
29. EXHIBIT C— FUNDING PROVISIONS
A. Cost of Work Estimate
The Local Agency has estimated the total cost the work which is to be funded as follows:
1 BUDGETED FUNDS
a. Federal Funds
(80%of Participating Costs—SAR) $244,903.00
b. Local Matching Funds $61,226.00
(20%of Participating Costs—SAR)
OTAL BUDGETED FUNDS $366,129.00
2 ESTIMATED CDOT-INCURRED COSTS
a. Federal Share $0.00
(0%of Participating Costs)
b. Local Share
Local Agency Share of Participating Costs $0.00
Local Agency Share of Non-Participating Costs $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 (ta) $244,903.00
b. Less Estimated Federal Share of CDOT-Incurred Costs (2a) $0.00
c. State Funds Budgeted (1c) $0.00
TOTAL ESTIMATED PAYMENT TO LOCAL AGENCY $244,903.00
FOR CDOT ENCUMBRANCE PURPOSES
'Note-$28,976.00 is currently available. Funds and/or Local
Agency Overmatch will be added in the future either by Option
Letter or Amendment.
Net to be encumbered as follows: $28,9 r6.00
WBS Element 19595.10.301 Design 30, $28,976.00
WBS Element 19595.20.101 Construc. 33( $0.00
B. Matching Funds
The matching ratio for the federal participating funds for this Work is 80.00% federal-aid funds
(CFDA #20 2050) to 20.00% Local Agency and State funds, it being understood that such ratio
applies only to the $306,129.00 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 $306,129.00 and additional federal funds
are made available for the Work, the Local Agency shall pay 20.00% 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 $306,129, then the amounts of State and federal-aid
funds will be decreased in accordance with the funding ratio described herein. The
performance of the Work shall be at no cost to the State.
C. Maximum Amount Payable
The maximum amount payable to the Local Agency under this Agreement shall be $244,903.00
(For CDOT accounting purposes, the federal funds of $244,903.00, and Local Agency matching
funds of $61,226.00 will be encumbered for a total encumbrance of $306,129.00), unless such
amount is increased by an appropriate written modification to this Agreement executed before
any increased cost is incurred. •`•Note -$28,976.00 is currently available. Funds and/or
Local Agency Overmatch will be added in the future either by Option Letter or
Amendment *" It is understood and agreed by the parties hereto that the total cost of the
Work stated hereinbefore is the best estimate available, based on the design data as approved
at the time of execution of this Agreement, and that such cost is subject to revisions (in accord
with the procedure in the previous sentence) agreeable to the parties prior to bid and award.
D. Single Audit Act Amendment
All state and local government and non-profit organization Sub-The Local Agencys receiving
more than $500,000 from all funding sources 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 C.F.R.
18.20 through 18.26. The Single Audit Act Amendment requirements applicable to Sub-The
Local Agencys receiving federal funds are as follows:
1. Expenditure less than $500,000
If the Sub-The Local Agency 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.
ii. Expenditure exceeding than $500,000-Highway Funds Only
If the Sub-The Local Agency 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.
iii. Expenditure exceeding than $500,000-Multiple Funding Sources
If the Sub-The Local Agency expends more than $500,000 in Federal funds, and the Federal
funds are from multiple sources (FTA, HUD, NPS, etc.) then the Single Audit Act applies,
which is an audit on the entire organization/entity.
iv. Independent CPA
Single Audit shall only be conducted by an independent CPA, not by an auditor on staff. An
audit is an allowable direct or indirect cost.
l i
31. EXHIBIT D— OPTION LETTER
SAMPLE IGA OPTION LETTER
(This option has been created by the Office of the State Controller for CDOT use only)
NOTE: This option is limited to the specific contract scenarios listed below
AND may be used in place of exercising a formal amendment.
Date: State Fiscal Year: Option Letter No. Option Letter CMS Routing#
Option Letter SAP#
Original Contract CMS# Original Contract SAP#
Vendor name:
SUBJECT:
A. Option to unilaterally authorize the Local Agency to begin a phase which may include Design,
Construction, Environmental, Utilities, ROW incidentals or Miscellaneous ONLY (does not apply to
Acquisition/Relocation or Railroads) and to update encumbrance amounts(a new Exhibit C must be
attached with the option letter and shall be labeled C-1, future changes for this option shall be
labeled as follows: C-2, C-3, C-4, etc.).
B. Option to unilaterally transfer funds from one phase to another phase (a new Exhibit C must be
attached with the option letter and shall be labeled C-1,future changes for this option shall be
labeled as follows: C-2, C-3, C-4, etc.).
C. Option to unilaterally do both A and B (a new Exhibit C must be attached with the option letter and
shall be labeled C-1, future changes for this option shall be labeled as follows: C-2, C-3, C-4, etc.).
REQUIRED PROVISIONS:
Option A (Insert the following language for use with the Option A):
In accordance with the terms of the original Agreement (insert CMS routing#of the original
Agreement) between the State of Colorado, Department of Transportation and (insert the Local
Agency's name here), the State hereby exercises the option to authorize the Local Agency to begin a
phase that will include(describe which phase will be added and include all that apply—Design,
Construction, Environmental, Utilities, ROW incidentals or Miscellaneous) and to encumber previously
budgeted funds for the phase based upon changes in funding availability and authorization. The
encumbrance for(Design, Construction, Environmental, Utilities, ROW incidentals or Miscellaneous)is
(insert dollars here). A new Exhibit C-1 is made part of the original Agreement and replaces Exhibit
C. (The following is a NOTE only, please delete when using this option. Future changes for this option
for Exhibit C shall be tabled as follows: C-2, C-3, C-4, etc.).
Option B (Insert the following language for use with Option B):
In accordance with the terms of the original Agreement (insert CMS#of the original Agreement)
between the State of Colorado, Department of Transportation and (insert the Local Agency's name
here), the State hereby exercises the option to transfer funds from (describe phase from which funds
will be moved)to (describe phase to which funds will be moved) based on variance in actual phase
costs and original phase estimates. A new Exhibit C-1 is made part of the original Agreement and
replaces Exhibit C. (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.;and no more than
24.99% of any phase may be moved using this option letter. A transfer greater than 24.99% must be
Page 1 of 2
,
made using an formal amendment)..
Option C (Insert the following language for use with Option C):
In accordance with the terms of the original Agreement(insert CMS routing#of original Agreement)
between the State of Colorado, Department of Transportation and (insert the Local Agency's name
here), the State hereby exercises the option to 1) release the Local Agency to begin a phase that will
include (describe which phase will be added and include all that apply— Design, Construction,
Environmental, Utilities, ROW incidentals or Miscellaneous); 2) to encumber funds for the phase
based upon changes in funding availability and authorization; and 3) to transfer funds from (describe
phase from which funds will be moved) to (describe phase to which funds will be moved) based on
variance in actual phase costs and original phase estimates. A new Exhibit C-1 is made part of the
original Agreement and replaces Exhibit C. (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.;and no more than 24.99% of any phase may be moved using this option letter. A transfer
greater than 24.99% must be made using an formal amendment).
(The following language must be included on ALL options):
The total encumberance as a result of this option and all previous options and/or amendments is now
(insert total encumberance amount), as referenced in Exhibit(C-1, C-2, etc., as appropriate). The
total budgeted funds to satisfy services/goods ordered under the Agreement remains the same:
(indicate total budgeted funds) as referenced in Exhibit(C-1, C-2, etc., as appropriate) of the original
Agreement.
The effective date of this option letter is upon approval of the State Controller or delegate.
APPROVALS:
State of Colorado:
John W. Hickenlooper, Governor
By: Date:
Executive Director, Colorado Department of Transportation
ALL CONTRACTS MUST BE APPROVED BY THE STATE CONTROLLER
CRS§24-30-202 requires the State Controller to approve all State Contracts. This Agreement is not valid
until signed and dated below by the State Controller or delegate.Contractor is not authorized to begin
performance until such time. If the Local Agency begins performing prior thereto,the State of Colorado
is not obligated to pay the Local Agency for such performance or for any goods and/or services
provided hereunder.
State Controller
Robert Jaros, CPA, MBA, JD
By:
Date:
Form Updated:December 19,2012
Page 2 of 2
32. EXHIBIT E—LOCAL AGENCY CONTRACT ADMINISTRATION CHECKLIST
Page 1 of 1
COLORADO DEPARTMENT OF TRANSPORTATION r
LOCAL AGENCY CONTRACT ADMINISTRATION CHECKLIST
Project No. STIP No. Project Code Region
SAR M455-112 SR47001.019 19595
. 04
Project Location Date
Fort Collins-Lemay Avenue,Tavelli Elementary School 6/9/2014
Project Description
Safe Routes to School—Sidewalk Construction
Local Agency Local Agency Project Manager
Fort Collins Robert Mosbey
CDOT Resident Engineer CDOT Project Manager
Long Nguyen Jake Schuch
INSTRUCTIONS:
This checklist shall be utilized to establish the contract administration responsibilities of the individual parties to this agreement.
The checklist becomes an attachment to the Local Agency agreement. Section numbers correspond to the applicable chapters
of the CDOT Local Agency Manual.
The checklist shall be prepared by placing an"X"under the responsible party, opposite each of the tasks. The'X"denotes the
party responsible for initiating and executing the task. Only one responsible party should be selected.When neither CDOT nor
the Local Agency is responsible for a task,not applicable(NA)shall be noted. In addition,a W will denote that CDOT must
concur or approve.
Tasks that will be performed by Headquarters staff will be indicated. The Regions,in accordance with established policies and
procedures,will determine who will perform all other tasks that are the responsibility of CDOT.
The checklist shall be prepared by the CDOT Resident Engineer or the CDOT Project Manager, in cooperation with the Local
Agency Project Manager,and submitted to the Region Program Engineer. If contract administration responsibilities change,the
CDOT Resident Engineer, in cooperation with the Local Agency Project Manager,will prepare and distribute a revised checklist.
RESPONSIBLE
NO. DESCRIPTION OF TASK PARTY
LA COOT
TIP/STIP AND LONG-RANGE PLANS
2-1 1 Review Project to ensure consistency with STIP and amendments,thereto X
FEDERAL FUNDING OBLIGATION AND AUTHORIZATION
'4-1 Authonze funding by phases(CDOT Forn 418-Federal-aid Program Data.Requires FHWA X
concurrennvolvement
PROJECT DEVELOPMENT
5-1 Prepare Design Data-CDOT Form 463 # X
5-2 Prepare Local Agency/COOT Inter-Governmental Agreement see also Chapter 3 X
5-3 Conduct Consultant Selection/Execute Consultant Agreement X #
5A Conduct Design Scaping Review meeting X X
5-5 Conduct Public Involvement X
5-6 Conduct Field Inspection Review FIR X X
5-7 Conduct Environmental Processes(may require FHWA concurrencelinvolvement X X
5-8 Acquire Right-of-Way may require FHWA concurrencefinvolvement X #
5-9 1 Obtain Utility and Railroad Agreements X
5-10 Conduct Final Office Review FOR X #
5-11 Justify Force Account Work by the Local Agency X #
5-12 Justify Proprietary, Sole Source or Local Agency Furnished items X #
5-13 Document Design Exceptions-CDOT Form 464 X
6-14 Prepare Plans Specifications and Construction Cost Estimates X #
5-15 Ensure Authorization of Funds for Construction X
CDOT Form 1243 09/06 Page t of 4
Previous edldons are obsolete and may not be used
RESPONSIBLE
NO. DESCRIPTION OF TASK PARTY
LA CDOT
PROJECT DEVELOPMENT CIVIL RIGHTS AND LABOR COMPLIANCE
6-1 Set Underutilized Disadvantaged Business Enterprise(UBDE)Goals for Consultant and NA
Construction Contracts COOT Region EEO/Civil Rights Specialist)
6-2 Determine Applicability of Davis-Bacon Act
This project❑is®is not exempt from Davis-Bacon requirements as determined by the X
functional classification of the project location(Projects located on local roads and rural
minor collectors may be exempt.)
Long Nguyen 6/9/2014
CDOT Resident En ineer Si nature on File Date
6-3 Set On-the-Job Training Goals. Goal is zero if total construction is less than$1 million(CDOT X
Region EEO/Civil Rights Specialist)
64 Title VI Assurances X
Ensure the correct Federal Wage Derision,all required Disadvantaged Business
Enterprise/On-the-Job Training special provisions and FHWA Form 1273 are included in the X
Contract COOT Resident Engineer)
ADVERTISE, BID AND AWARD
7-1 Obtain Approval for Advertisement Period of Less Than Three Weeks X p
7-2 Advertise for Bids X
7-3 Distribute"Advertisement Set"of Plans and Specifications X
7-4 Review Worksite and Plan Details with Prospective Bidders While Project is Under X
Advertisement
7-5 Open Bids X
7-6 Process Bids for Compliance X
Check CDOT Form 1415-Certificate of Proposed Underutilized DBE Participation when the
;e low bidder meets UDBE goals X
Evaluate CDOT Forth 1416-Underutilized DBE Good Faith Effort Documentation and
M determine if the Contractor has made a good faith effort when the low bidder does not meet X
'DBE Qoals
it Submit required documentation for CDOT award concurrence X
7-7 Concurrence from CDOT to Award X
7-8 Approve Rejection of Low Bidder X
7-9 Award Contract X #
7-10 Provide"Award"and"Record"Sets of Plans and Specifications I X
CONSTRUCTION MANAGEMENT
8-1 1 Issue Notice to Proceed to the Contractor X
8-2 Project Safe X
8-3 Conduct Conferences:
Pre-construction Conference(Appendix B X X
Presurvey
• Construction staking X
• Monumentation X
Partnering O tiona X
MORN Structural Concrete Pre-Pour(Agenda is in CDOT Construction Manual X
Concrete Pavement Pre-Paving(Agenda is in CDOT Consiniction Manuel X
BEAWAM HMA Pre-Paving (Agenda Is In CDOT Construction Manuao X
84 Develop and distribute Public Notice of Planned Construction to media and local residents X
8-5 Supervise Construction
�, A Professional Engineer(PE)registered in Colorado,who will be"in responsible charge of
'o'
x� construction supervision."
X
Dean Klinger 970-221-6511
Local Agency Professional Engineer or Phone number
2' >/ CDOT Resident Engineer
CDOT Form 1243 09106 Page 2 of 4
Previous editions are obsolete and may not be used
RESPONSIBLE
NO. DESCRIPTION OF TASK PARTY
LA CDOT
Provide competent, experienced staff who will ensure the Contract work is constructed in
accordance with the plans and specifirations X
Construction inspection and documentation X
8-6 Approve Shop Drawings X
8-7 Perform Traffic Control Inspections X
B� Perform Construction Surve i X
8-9 Monument Right-of-Way X
B-10 Prepare and Approve Interim and Final Contractor Pay Estimates X
Provide the name and phone number of the person authorized for this task.
Robert Mosbey 970-221-6659
Local Aqency Representative Phone number
8-11 Prepare and Approve Interim and Final Utility/Railroad Billings X
B-12 Prepare Local Agency Reimbursement Requests X
B-13 Prepare and Authorize Change Orders X #
B-14 Approve All Change Orders X
8-15 Monitor Project Financial Status X
8-16 Prepare and Submit Monthly Progress Reports X
8-17 Resolve Contractor Claims and Disputes X
8-18 Conduct Routine and Random Project Reviews
Provide the name and phone number of the person responsible for this task. X
James Flohr 970-622-1268
CDOT Resident Engineer Phone number
MATERIALS
9-1 Conduct Materials Preconstruction Meeting X
9-2 Complete CDOT Forth 250-Materials Documentation Record
• Generate form,which includes determining the minimum number of required tests and X
applicable material submittals for all materials placed on the project
• Update the form as work progresses X
• Complete and distribute form after work is completed X
9-3 Perform Project Acceptance Samples and Tests X
9-4 Perform Laboratory Verification Tests X
9-5 Accept Manufactured Products X
Inspection of structural components:
• Fabrication of structural steel and pre-stressed concrete structural components X
• Bridge modular expansion devices(0'to 6'or greater) X
• Fabrication of bearing devices X
9-6 Approve Sources of Materials X
9-7 Independent Assurance Testing(IAT), Local Agency Procedures ®CDOT Procedures❑
• Generate IAT schedule X
• Schedule and provide notification X
• Conduct IAT X
9-8 Approve Mix Designs
• Concrete X
• Hot Mix As haft X
9-9 Check Final Materials Documentation X
9-10 1 Complete and Distribute Final Materials Documentation X
CDOT Form 1243 09109 Page 7 of 4
Previous editions are obsolete and may not be used
, J
CONSTRUCTION CIVIL RIGHTS AND LABOR COMPLIANCE
F
Fulfill Prc'ect Bulletin Board and Preconstruction Packet R uirements x
Process CDOT Forth 205b-Sublet Permit Application
Review and sign completed CDOT Form 205 for each subcontractor, and submit to X x
EEO/Civil Ri hts S ecialist
Conduct Equal Employment Opportunity and Labor Compliance Verification Employee x
Interviews. Complete CDOT Forth 280
Monitor Disadvantaged Business Enterprise Participation to Ensure Compliance with the x
'Commercial) Useful Function' uirements
Conduct Interviews When Project Utilizes On-the-Job Trainees. Complete CDOT Form 200- x
OJT Training Questionnaire
10.8 Checc Certified Payrolls Contact the Region EEO/Civil Rights Specialists for trainingrequirements.) x
10-7 Submit FHWA Forth 1391 -Highway Construction Contractor's Annual EEO Report x
FINALS
11-1 Conduct Final Project Inspection. Complete and submit CDOT Form 1212-Final X x
Acceptance Report(Resident Engineer with mandatory Local Agency participation.)
11-2 Write Final Project Acceptance Letter x
11-3 Advertise for Final Settlement x
11-3 Prepare and Distribute Final As-Constructed Plans x
11-5 Prepare EEO Certification x
11-6 Check Final Quantities, Plans and Pay Estimate;Check Project Documentation; and submit x
Final Certifications
11-7 1 Check Material Documentation and Accept Final Material Certification See Chapter 9 x
11-8 Obtain CDOT Form 1419-Contractor DBE Payment Certification from the Contactor and x
submit to the Resident Engineer(Quarterly)
11-9 Obtain FHWA Form 47-Statement of Materials and labor Used ... from the Contractor NA
11-10 Process Final Payment X x
11-11 Complete and Submit CDOT Forth 950-Project Closure x
11-12 Retain Project Records for Six Years from Date of Project Closure X x
11-13 Retain Final Version of Local Agency Contract Administration Checklist x x
cc: CDOT Resident Engineer/Project Manager
CDOT Region Program Engineer
CDOT Region EEO/Civil Rights Specialist
CDOT Region Materials Engineer
CDOT Contracts and Market Analysis Branch
Local Agency Project Manager
CDOT Form 1243 .09106 Page 4 of 4
Previous editions are obsolete and may not be used
33. EXHIBIT F—CERTIFICATION FOR FEDERAL-AID CONTRACTS
The Local Agency certifies, by signing this Agreement, to the best of its knowledge and belief, that:
No Federal appropriated funds have been paid or will be paid, by or on behalf 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,
Agreement, loan, or cooperative agreement.
If any funds other than Federal appropriated funds have been paid or will be paid to any person for
influencing or attempting to influence an officer or of Congress, or an employee of a Member of
Congress in connection with this Federal contract, Agreement, loan, or cooperative agreement, the
undersigned shall complete and submit Standard Form-LLL, "Disclosure Form to Report Lobbying," in
accordance with its instructions.
This certification is a material representation of fact upon which reliance was placed when this
transaction was made or entered into. Submission of this certification is a prerequisite for making or
entering into this transaction imposed by Section 1352, Title 31, U.S. Code. Any person who fails to
file the required certification shall be subject to a civil penalty of not less than $10,000 and not more
than $100,000 for each such failure.
The prospective participant also agree by submitting his or her bid or proposal that he or she shall
require that the language of this certification be included in all lower tier subcontracts, which exceed
$100,000 and that all such sub-recipients shall certify and disclose accordingly.
Required by 23 CFR 635.112
Page 1 of 1
34. EXHIBIT G—DISADVANTAGED BUSINESS ENTERPRISE
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 26.
Consequently, the 49 CFR Part IE DBE requirements the Colorado Department of Transportation DBE
Program (or a Local Agency DBE Program approved in advance by the State) apply to this agreement.
SECTION 2. DBE Obligation.
The recipient or its the Local Agency 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 Local Agency (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 Local Agency 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 26
Page 1 of 1
35. EXHIBIT H—LOCAL AGENCY PROCEDURES FOR CONSULTANT SERVICES
THE LOCAL AGENCY SHALL USE THESE PROCEDURES TO IMPLEMENT FEDERAL-AID
PROJECT AGREEMENTS WITH PROFESSIONAL CONSULTANT SERVICES
Title 23 Code of Federal Regulations (CFR) 172 applies to a federally funded local agency project
agreement administered by CDOT that involves professional consultant services. 23 CFR 172.1
states "The policies and procedures involve federally funded contracts for engineering and design
related services for projects subject to the provisions of 23 U.S.C. 112(a) and are issued to ensure
that a qualified consultant is obtained through an equitable selection process, that prescribed work
is properly accomplished in a timely manner, and at fair and reasonable cost" and according to 23
CFR 172.5 "Price shall not be used as a factor in the analysis and selection phase."Therefore, local
agencies must comply with these CFR requirements when obtaining professional consultant
services under a federally funded consultant contract administered by CDOT.
CDOT has formulated its procedures in Procedural Directive (P.D.) 400.1 and the related
operations guidebook titled "Obtaining Professional Consultant Services". This directive and
guidebook incorporate requirements from both Federal and State regulations, i.e., 23 CFR 172 and
CRS §24-30-1401 et seq. Copies of the directive and the guidebook may be obtained upon request
from CDOT's Agreements and Consultant Management Unit. [Local agencies should have their own
written procedures on file for each method of procurement that addresses the items in 23 CFR 172].
Because the procedures and laws described in the Procedural Directive and the guidebook are
quite lengthy, the subsequent steps serve as a short-hand guide to CDOT procedures that a local
agency must follow in obtaining professional consultant services. This guidance follows the format
of 23 CFR 172. The steps are:
1. The contracting local agency shall document the need for obtaining professional services.
2. Prior to solicitation for consultant services, the contracting local agency shall develop a
'detailed scope of work and a list of evaluation factors and their relative importance. The
evaluation factors are those identified in C.R.S. 24-30-1403. Also, a detailed cost estimate
should be prepared for use during negotiations.
3. The contracting agency must advertise for contracts in conformity with the requirements of
C.R.S. 24-30-1405. The public notice period, when such notice is required, is a minimum of
15 days prior to the selection of the three most qualified firms and the advertising should be
done in one or more daily newspapers of general circulation.
4. The request for consultant services should include the scope of work, the evaluation factors
and their relative importance, the method of payment, and the goal of 10% for Disadvantaged
Business Enterprise (DBE) participation as a minimum for the project.
5. The analysis and selection of the consultants shall be done in accordance with CRS §24-30-
1403. This section of the regulation identifies the criteria to be used in the evaluation of CDOT
pre-qualified prime consultants and their team. It also shows which criteria are used to short-
list and to make a final selection.
The short-list is based on the following evaluation factors:
a. Qualifications,
b. Approach to the Work,
c. Ability to furnish professional services.
d. Anticipated design concepts, and
e. Alternative methods of approach for furnishing the professional services.
Page 1 of 2
Evaluation factors for final selection are the consultant's:
a. Abilities of their personnel,
b.,Past performance,
c. Willingness to meet the time and budget requirement,
d. Location,
e. Current and projected work load,
f. Volume of previously awarded contracts, and
g. Involvement of minority consultants.
6. Once a consultant is selected, the local agency enters into negotiations with the consultant to
obtain a fair and reasonable price for the anticipated work. Pre-negotiation audits are
prepared for contracts expected to be greater than $50,000. Federal reimbursements for
costs are limited to those costs allowable under the cost principles of 48 CFR 31. Fixed fees
(profit) are determined with consideration given to size, complexity, duration, and degree of
risk involved in the work. Profit is in the range of six to 15 percent of the total direct and
indirect costs.
7. A qualified local agency employee shall be responsible and in charge of the Work to ensure
that the work being pursued is complete, accurate, and consistent with the terms, conditions,
and specifications of the contract. At the end of Work, the local agency prepares a
performance evaluation (a CDOT form is available) on the consultant.
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 years from the date that the
local agency submits its final expenditure report. Records of projects under litigation shall be
kept at least three years after the case has been settled.
CRS §§24-30-1401 through 24-30-1408, 23 CFR Part 172, and P.D. 400.1, provide additional
details for complying with the preceeding eight (8) steps.
Page 2 of 2
36. EXHIBIT I—FEDERAL-AID CONTRACT PROVISIONS
FHWA-1273— Revised May 1,2012
REQUIRED CONTRACT PROVISIONS
FEDERAL-AID CONSTRUCTION CONTRACTS
I. General 3. A breach on any or the stipulations contained In them
II. Nordbolmhudi Required Contract Previsions may be m Adent pounds for
III. Nonsegn gataC Fadlites Wtbctding of progress payments.N(Dtolcrp of"
At Davis4lacah and Related Act Provisions, payment,termination of line contnacy suspension I debanm od
V. Contract Work Hours and Safety Standards Act cr any career Ram determined to be'sppropdats by the
Provisons - cori4'adhp agency and FHWA
VI. Subletting or Assigning the Contract
'Al. 'Sdety.Accident Prevention 4, Selecilmof Labor:OWN the per tam ace ofTls contras
'All. False ShWnents Concerning Hlghaay,Projects the contractor&hall not use convict labor for any purpose
UL Implanentaam of Clean Air Act and Federal Water were,fie lkrtts of a construction project on a Fedend-dd
PoAWon Control Act highway ualese It Is labor performed by comsiicb who are on
X Complanca with Govemmantwide Suspension and paroe.supervised release,or probston. The term Federdakt
Debarment Requirements highway does not Include roadways functionally daunted as
)0. CeMcatim Regarding Use of Coned Funds for local roads or rural minor collsctoe.
Lobbying
ATTACHMENTS Il. NONDISCRIMINATION
A Emplgment and Materials Preference for Appalachian The Provisions of this section related to 23 CFR Pad 230 are
Development Highway System or Appalachian Local Access apPAcabe to all Fedral-ald construction conbads and W all
Road Contacts Qnduded In AppelaUtah contracts orty) ndaed cant u tm eubcmbads a$10,000 ormae. The
provisions of 23 CFR Part 230 ere not applicable In metedal
supply.engineering,or arWbcarnd service cmbacis.
1. GENERAL
In addition.the corrector and all m6cmtredars must=ply
1. Form FRWA-1273 nest be physbdty bcorpaaed In each wth tine foflowi g pdidac Emadlve Order 11246,41 CFR an,
construction coned ended under Tit 23(s%dumhg 29 CFR 1625-1627.Title 23 USC Section 140,to
emergency canb soby Intended for debris removal) The Rehabilitation Act of 1973,as amended(29 USC 794):Tide VI
conacer(or albcaa9cta)mud knelt the farm In each of the Chi Rights Act a 1964,as amended,and nlded
subcontract and A=require be Incrmbn In all lower tier regulations,Inducing 49 CFR Pare 21.26 and 27.and 23 CFR
subcanbacts(atghdng pudase arch&,reed agreamernts Pee 200.230.and 633.
and other agreements for supples cr eavices).
Theaentractar and all subcontractors must comply With! the
The applicable requirements of Form FHWA-1273 are requirements of to Equal Opportunity pause in 41 CFR 60.
Incorporated by refamnca for work done under any purchase 1.4(b)and.for all consmadbn sonata warding 510,000,
order,rental agreement or agreement for other servkea. The the Standard Federal Equal Employment OpportWy
Firms contractor shall be respahtlale for comptance by any CornWdlm Conbecl Spscill 11 sin41CFR604.3.
subcontractor,lowartler subcontractor or service provldea.
Nate:The U.S.Department of labor has exclusive sWcrdyto
Form FHWA.1273 must be Included in at Federeleld design. detemine compliance With Executive Order 11246 and the
build contracts,in al s bcmtrads and In ewer am policies of the Secrelsry of Laboriresn&g 41 CFR 60,ad 29
abmrweds(axWuarg anbraritrada for design services. CFR 16251627. The cuNecYng agency and the FHWA Mee
purchase ardoe,rental agreements and o0neragnemets for the euthody and the responsibility to ensure compliance with
h supplies or services). The deslpMuilder shall be responsible Tile 23 USC Section 140,are,Ratabltleton Ad of 1973,as
for compliance by any subcontractor,trator,kmer4lan sibco,b r amended(29 USC 794),and Title VI of the Civil Al"Ad of
or service provider. 1964.as mended,and related r"Watios,indudlog 49 CFR
Pats 21,28 and 27:Arid 23 CFR Parts 200,230,and Sm.
Contracting agencies may refererce Form FHWA-12731n bid
proposal or request for proposal documents,however,the The ta0o si g provision Is adopted from 23 CFR 230,'Appenda
Form FHWA-1273 must be physically bcorpoaed(not A,Wth apprate ste revisor;to conform to the U.S.
refinanced)In all cabacts,subcontracts and lower-der Department of Iabor(US DOL)and FHWA requirements.
subcontracts(esduding purchase area:rental agrrments
and other apeamenL for sup Aes or services related to a 1.Equal Employment Opportunsy Equal employment
aagtruWon contact). oppabady(EEO)requirements not to decrsnlrate eon to take
alternative action to assure equal opporaaty as sad end
2. Subject to the applicability critea noted In the following _ mhrtaws;amcutve adere,nAez.nagMcs(28CFR35,
sections,apse cabal proNsoru mall apply to an wok 29 CFR 1630.20 CFR 1625-1627,41 CFR 60 and 49 CFR 27)
perfamad on the forest by the tW1UBdoye own apmdratlm and odes of the Seaetwy a taboas modited by tm
and W9n the assistance of workers under the contractors pravitlans prescribed larch,and imposed pursuant to 23
Immediate superintendence and to all work performed m the U.S.C.140 shag cor;tlbde the EEO and specific a4matve
contract by placework,stalon wgrR or by subco ima action standards for the cmtradors project sdMtes ureter
1
Page 1 of 12
this contract The proniom of the Americans with Dhabllisa e.Recruitment:When advettlnFlg M employees.the
Act of 19W(42 U.S.C.12101 at seq.)set forth under 28 CFR oontred"will bhWde In as adwrGamenb for employees the
35 and 29 CFR 1830 are Incorporated by reference In this natedoe'An Equal Opportunity Emplyw.'All such
contract In the execution of cop corhbact the cmtredoi advertisements will be placed in publications-Inswing a large
agna to comply with the following minimum specific drNdm along minorities"women Irma me from
reµ iremant adaftla of EEO: which the project work face wmdd normally be derived.
a.The Cohtreco will work with me oembecdng agency and a The calib or will.union precluded by a valld
the Federal Gowmmend to ensue that If has made awry bargaining agreemerd,conduct systenelk and direct
god hint attd to provide equal oppaturitywin respect to all maullment through public and pyate employee ef'nat
of No tame and conditions of employment end In their review sources Maly to yield quaffed minorities and women. To
• of acU Abn under the contras. meet We requirement,the contractawgl Identify sources of
potential moody group empbyas,end establish with such
b.The contractor WII accept ace operating Posey she idenUMd sources procedures whereby mmdty and woman
following statement applicants may be radicand to the contractor for aimpbymem
h consideration.consideration.on.
'It a ma Posey of this Company to ague that spplloso
an employed.and that employees are treated during b. In the ewnt the cmbada hea a voOd bare Wrg
emplyount without regard totheir race,religion.no,Color. agreement prodding fa eulutha hiring has reforNa.are
national origin.ape or dlsebpty. Such action Me0 trdede contractor is evpecnd to tbsenw tie profloris of Out
employment upgrading,demotion,or tmufer,recruitment or agreement tothe extant that the system macro the contractors
noultmo d advarlsi g:layoff orteralma rt rates of pay or canpseo,Wm EEO contract provisions. Where
other forms of compensation:and selection fortrelmng, Implernmason of such an agreement has to effect of
Including apprenticeship,proahprensreshhlp.endfor on4thhs dkafrnlnatinp against minorities or woman.or oMgates the
job training.' contractor to do the same,such Implementation viciates
Federal mndisammaon provisions.
2. EEO Officer:The conbada Ms designate and make
known to the cadredbg oNcers w EEO Onion who will haw a The contrasor Mll maemge gel p rt employees to
the responelbllty for ond must be capable of effectively refer minorites and woman as applicants for employment.
administering and promoting an aosw EEO program and who mfermasm and procedures with regard to referirg such
mud be assigned adequate authority and responsibility to do applicants will be diacus d Wm employees.
S.Personnel Miens:Wages,Womdrg conditions,and
3. Dtesemimtten of Peiky.Al member of ae connactora employee betelih ones be established and adminlsteed,end
fries who an adherbs d to hire,supervise,promote.and personnel actions of ovary type,Including hiring.upgrading,
discharge employee,or who recanmerd such action or who promotlat traneer,demotion,nyaff.and termination.mill be
are sibstentiaily Implved In such action.Ws be made Nly taken witlxM regard to race,cola,religion,am national
Cognizant of,ed Wti Implement the cmbadoes EEO policy origin,age or dbabstty. The following procdses shay be
and catbeduai responsibilities to prnvlde EEO In each grade followed:
lad daetl8otlm ofemployment To mum that the above
agreement will be met the following so"will be taken a a a The cmtWwvAn codu d pdodic hspactlan of pojed
minimum: sffes to Insure met working cadPoan wd employe facilities
d net Indicate discriminatory treatment of project site
a. Periodic meetings of supeMsory and pesalnel office personnel.
employees will be conducted before the start of wens and men
not lose den than area,wary sin maths,it Mich time the It. The cont eelm Ms Peridcally evaluate me spread of
axdradoes EEO policy and Its Implementation will be wages paid WNn each daaffloatlm to determine any
reviewed and asodnd. The meetings WIN be conducted by evidence of discriminatory wage practices.
the EEO Officer.
c. The contractorwN pddasyrMewaafecad personnel
b. At new supeMsay a personnel office employees Ms be set"In dapm to Memina whether sore is evidence of
given a thorough indocbm"on by lie EEO Offcer,covering dlestminston. Wise evidence is found,the cornhedor will
oil meta aspects of the contratMS EEO ablfgaons within promptly boom conatNe action. If Use review Indicates gel Use
miry days following their reporting for duty Mon the comrades. diaaomnstion may extend beyond the adlons reviewed,such
cormosve action shall Include d erected persons.
c. All psreonrel Who ere egepadIndinas reauhnantfa
the project will be Instructed by the EEO Officer In she d. The contractor will promptly lnve dgate oil complaints of
co bee pro procedures faloretlrg and hiring mtrerities end alleged deWninstlon made to the cae9elorkn cannectim
warm. wish its oosgasae code Ws contract will attempt torewihm
such canplabnb,and will talks appropriate carec9w action
d. Nation;and paten aping forth m6 cantrettera EEO within a reasonable lime. If me 4hwstlpa0on Indicates that one
Posey will be placed In was,redly accessible to employees, discrimination niey affect pon i n oar man se carplanant
applicants fa employment and poterttld employee such corrective actim shell Induda with other persona. Upon
mmpletlan of each bmallgatlon,that co,traclo MII Imonn
a. The casecea EEO policy and me procedures to wery complainant of a0 of mace evenues of appal.
Implement such porky Wd be brought tome eltetion of
employees by moans of maetirga,employee handbooks,ar 6.Training and Promotion:
other appropriate mean.
a. The CMIMC10'WII eacst In Iocfrd%que8fying,and
increasing to class of minorities and women who an
2
Page 2 of 12
applicants for employment or current employess_ Such eRorb Win to raalremords for and campy wild the Americans Wh
should be earned st developing hA Journey level status Dlsablltias Act and as Nes and regu a0au established these
employees In the type of trade or Job dasellcatlon involved, under. Employers mud proVlde reasonable accammdatim In
. an employment empties unbas to do so would muss an
b. Camisbrd wih the contractors work face rerrlrerrenb ,rid*hardship.
and as permissible untie Fedad and Stab regilellom,the
contractor Nell make full use of banhg prognma,Le. 9.Selection of Subcontractors,procurement of Material
apprenticeship,and on4he-Jub training programer for he and Leasing of Equipment The contractor Melt not
geographical me of contract parpmoaoe. In the evert a diammin ste on he grounds duce,cola,Migio,,"K
special provision for training Is provided Larder t7N contract, national origin,age on disability In he selection and retention
this subparagraph will be superseded as Indicated In the of subcontractor,Including protvemem of materials and
spatial provision. The contracting agency may reserve leases of equipmem. The contractor shati take all necessary
baking positions for person*who receive welfare assistance and reasonable reps to ensure noncirsomination in the
in accordance with 2311.S.C.140(a} admlNstraeon of his contract.
c. The contractorwill advise employs"and applicants for a. The contractor shall notify all palatial Subcontractors and
employment of"table training programs and entrance suppliers and lesson of their EEO obligations vow Via
reg rstrunb for each. owdract.
d. The contractor will periodically revtew the Wring and b. The cadrecla WII use good faith efforts to antra
promotion potential of employees who era MnaAties mid subcontractor compliance Wth their EEO abigatiaa.
women and WI encourage eligible employees to apply for
won training and pronolon .
10.Assurance Required by 49 CFR 26.13(b):
7,Unions:If the contractor rdlm In whole or In pat upon
mime as a source of employees,the contractor will use good a The regWrem ms of 49 CFR Pert 26 and the Side
faith efforts to obtain the coupe rtion of such rims to DOTS U.S.DOT-approved DSE program are Incorporated by
Incresas opporWntias for mmmaes and wornan. Actions by reference.
the connector,ether directly or though a contractors
associallon stung as agent Wit include the pr0cedres out b. The contractor or abcontr8tipr dreg rot discdelmta on
fond below. he basis of race color,national origin,or sirs In he
psrfmmrece of era contract TM contractor et*6 terry old
a. The contractor wit use good fdh efforts to develop,in applicable regorran*nb of 49 CM Pat 261n the award and
cooperation Wh D*unions.Joint training program rimed a/mNstruflm of DOT-assided contracts. Future by ti,e
toward qualifying more mnortles real woman formambwship contractor10 wry M tease requirements Is a numbal breach
In he midis end ha, rig he skills of minoXbs and worries, of this connect.which may result in the lamination of06
so hd they may quality for high paying employment contract or such other remedy as he contracting agency
desmeapproprists.
b. The contractor WA use good laid,efforts to Incorporate an
EEO deuce Into each union agues nerht to the and that such 11.Records and Reports:The contractor Mall keep rich
Won Wll be cohtactuW band to refer applleams without mcade as necaasay,to doarrhent compganm with the EEO
regard to halrrae.color.religion.sable,national origin,age or regdnmmb. Such records stall be retdned for a period of
diseblllty, three yeah fe0owing the date of the and payorent to he
co rib err for all contract work and shill be evelMle d
c. The contractor is to obtain lmomatim as to the referral reaeoratls team end plecas forbged*n by auhodrad
practices and polldes of he labor Won amrpt that to the' repreuna9ves of the contracting agency old he FHWA.
axiom such Mwnadon Is within the erdushe pomeadm of
he labor union and such labor union Muses to furnish such a The records kept by he contractor shill doamam the
I io nalfon to he contactor,he contractor and eo omit to following:
he contracting agency ad WWI set forh what efforts have
bean made to obtain eel,Infomatlm. (1)The number and work hours or minority and non.
minority group members and women employed In each work
d. Into Nero he urion Is MONS to provide he cc nmctm dassMmtion on the pmlect
with a reasonable flow of mfwMe wihh he tine Iona pit fond
In the Idle rive bargaining agreement,the ca*ector will, (2)The progress and efforts being made In cooperation
through I,dspanterd recruitment a0ms,till the employment wish unions,When applicable.to Increase wMisiment
vacandas without regard to ram.cdor.religion,m;rational opportunities for Mnodtbs and warren;and
origin,age or dbabMty making AA efforts to obtain qua0fled
andbr gWdlable minorities and woman. The figure of a won (3)The progress and efforts bWhp made In locating,being,
to provide aumdam Morels(even though it Is obligated to training.qualifying.end tptyadrhg m1nmees and woman:
provide soihNve -to a urderm*team of a colecOve
bargaining ogreernerd)does not rdlays he contractor from he b. The conbectos ad"contractors witi Sbmlt an annual
reglrernenbd06paegraph. IntheNantmeundon Menai report tope contrasting agency each Jdyfortha dvellonof
practice provers he contractor Born meeting he obliga0ons he project Indicating the numer of minority.women and
pr srdl to Fxaadive Omer 11240.as amended,and these mn-mhamy grail employees cunardy engaged In each work
special provisions,such contractor dull emedataly,mtly the dasa flcetion required by the contract wok. This niormation is
corlow&0 agency. W be reparbd on Form FHWA-1391. The staffing date Mould
represent the project work form on board In all or any pan of
9. Reasonable Accommodation for Applicants the last payroll period preceding the and ofhly. nonftAob
Employees with Dh abllRaa: The contractor mud be familiar IrWring Is being mgUmd by spacial provision,he contractor
3
Page 3 of 12
Wt be opted b ca0ed rid report bdMp data. The pipe reph i.d.of Ns swlcn:also.regrtr amrlbAmn
rnpb b ymrd data at M rated wak bra m board daft made or arts bcured for then a ewpy period(bd not ed .
or rry patron prod pmoealnt tta end of last often ter patedy)wdr lien,hods,or program
Ally. Mardi aver We pamdaweskiyprted,ans deemed to be
mrmTCUMy made araeaned dwtrlt arch wwby period.
Such lebaere and msdmma Nail be paid the appropriate
lit NONSEONEOATED FACILffIES wets rate and 1WW bereft m 4e wage determfam for
the deseNMlcn of work aably,performed,wHnad regard to
THs provision Is applicable to a0 Federal-old caatrudw skill,except as poAded In 29 CFR 5.5(ax4).tabaen or
aI I - - and b at related ccretrutim subanfich or m due aPadmninglvakinmMilmnandesclOCIS in
$10,000 ormM. may be a n"msied at to rats specified for awh
daadfiaom fortw line sadly waked mrsin:PnrAded.
The aaarecl r must mews td females provided for That the enpoyah psymll records ecaraely set fate the
mpoyees tie provided In auh a mrer boat segregation m Son apord_In Mch'dedtcetian In which walk Is pedamsd.
to basis of ran.N ease,a or,re0ym, natiaW anti crept The wm(p delrmfatim(bWdeq my aaAtimai detsitredon
maA The mntracbrmy nabs era*& such segrepcted and wage rates oonbrmed urdar perapraph t.b.of"a
use by wf0m a wal policies nor dlraia arras mtsy "COW)find the DaNSBaan paper(WH-1321)did be
employes adorn. The owradoya obligation edande hatrw posted at ail&M by Ore contractor and Its artcaroaars at
b rams thaith erplyses are not esslgned b p u b their the site of to wok In a p pound and accessible pace where
aeMCte at any Ioceffm udr fie aaaadaa caned,wNm h can bn eaay sem ytra wnelas .
fie fsdOdu e.wpragebd. The term 7wMae Ind ales
wdap rooms,work areas.rerteaame and oar eawp arose, b.(1)The artemag olticaane0 retire that rry tlaes of
alma,mtroane,wassivoana,lockerrocom,a d olMr freovate datemtetlmwd laborers a meWmIcs,I Msere,wNm Is not lased In
storage r dastlrp ewes,paridag late.ranking/auntaia, W ,am ploypd uoerthe
moma5onmen*Wmerd ess,tram*tatlm,wWtwwtrlp end rlrkh lebbs
prMhdfa rnppys". Them aedor Nell praAde separate will vim be desded In anfalrrrena Wf to wage
ar dnoe msaoaa mdnausay&ouhB a steeptrp dete n rdlm.The carhaNag oNar dull appwaw an .
sees to mare privacy between saw. additional clmtd wtan and mp rote and ante bentib
artfM Only Wnm fire tdbWag atrte Mre been Aral:
N. DAVIS43ACON AND RELATED ACT PROVISIONS Q)The work to be performed ythe classification
rspasted Is not performed by a tlotltiotm In to sage
This semen Is applicable to all Fedemate aoa mictlen detsonlnaft%and
pr4scb esaeedfg$2.000 and to all rented n4antrada and
IaweMle rAcanaads(regadess drOmntrect stzs}.The (0)The dasatikatim Is tfi ted In the are"by to
reptralmb apply to as projects located WMn the riydcf- CnoaInrmon Industry,and
way of a rosemary that Is head naiy dwelled as Fsdwreleld
Nghwy. This a f des roadways MCammy deeaabd as N)The proposed wage rate,trcbtlrp snag bM tide
local made al alai rtmar aescbrs,Wtch M a>mpl
CaWadinp agendas may sled to apply thus rapilmiarda to droe benaRa,beers a maemaise ralstanWp to to
oyir Wtiects wells rates ooraetred In fire wage dgarmaillm.
The following proAsions as from to U.S.Deportment of (!)If M ar Ill ean and the laborers and m Ww*:s to to
Labor reptegaa In 29 CFR 5.5'Contrad powsms and rrpoyed In or dmNWlm Of tow -) al fed
rallied maMrs'wbhniba rewaims to ardam to to FhWA- represeibillm and One coroacWp oAar agree m to
1273 kernel and FHWA program repdmrlb. datsitiadun ad wage rate Qndudlag to oaurt
deslgrobd for Mete bmetite where approprleb),a report of
as octlan taken still ba sae byte anbod, otk:rto Ine
1. afanummiges A&M trebrdthewats and Haar Dlvielm.Pnvioymam
Standards PAntrfsfatim,U.S.Dapamem of tabu,
a. Au isitwin and madllld s empuyed orwaldrp wpm WeYirom.DC 20210.?he A6nfbtata.or an rApdmd
the site of to wok,Wti be paid racarnAtorlsfiY ad not tease mWisental will app n e,modfy.a dsppow eery
men ten ors a week,and Wfad erteeauat dedream a additional classification amen lwten 30 days of retest end
rbas an sysoccut(aoust ouch psyro0 deaumam is sus p adVI"to oawcti omor areas noty tns mpemng
Pamdded by regrlalare baud by to Saaatsy,of later altiw within are 30-day period tot addtlerul tfre Is
under Me Copeland Act(n CFR pot 3)1 the ht amaad or necessary. .
wages and bma fide Tape berrtb(r oN eplvalom -
treol)duselaadpsymartcanµdedatndes not less ({)InteavrdtenMedor,firelabcm crmrhartia
tun ones dInbawagadetemmallondte bbeemployed in the tlwticetm or fair rapueaatlws,
Secretary of LaborwHdi Is attaned herald and made a part and the cantrKllrlg olAar de sal agree m eo prpaed
hared.mgwx%n d sly arlaecbai raiatoWp Wwdi may ch eaNntion ad wale rate(laiumro the want
be alleged to AM between the anaadr and such lebaen desigrfaed forMags brretb,Mum appropriate),to
and merhadn. mrWadlro officer vim rofer to aartiode,Induchp the
wawa of all trdarasbd Pwdn and to reommeddm doe
CaNlbutiore rode roach lseptmbly erAtlpabd for brio Co^tr°dfO oNar,tithe Wage and Her AdmMatratrfor
We MnQO brMb under atcton l(b)(2)or to Dewa43epm detrrawtion.The Wage and How Aordnlsbao, arm
Ad m Wolf d Iaboras amedWa M cmeldred wages INAprired mWesanbove,WO Isaa a debnMalm WMn
pad to suede tainnrere armadrecs.wgard to do provisiro 30 days ofrepifd kid w edwas lie aroacbp ofcarr
s
Page 4 of 12
will MARY the mNnctlng officer within the 30day period that sewn Ad,the contractor shell maintain records which show
additional tinba Is necessary. that the caaemmm to provide such bereft Is enforceable,
fiat the plan a program Is francialN responsible,and that the
(s)The wage rate(mWdirgbingo bereftwhee plan a program has beencommunicated in writing tofie
eppopriet)Mterrnirad pursuant to paragraphs wh1.b.(Z)a laborers or machMln affected,and remrde Mach grow the
t.b.(3)of file aecean,shall be paid to el workers pafomtlnB roar anticipateda bar xtue test Incurred in proddny such ,
work In to classification under No madrec tom the drat mrott.Contractors employing apprentices or mlrlwa under
day on which work Is pertained In the classification, approved programs shell maintain writlen evidence of the
raesmtion of epltr+rNcwhlp programs aid cwnc don of
"me pmgions,the reg strationh of the apprentices and
c.Whenever the minimum wage ate proscribed in the balnew,and Via rebw and wage retos prescribed In the
corned for a close of tboers or mechanics Includes a fringe applicable programs.
benefit which Is rot esprasssd as an houriy rate.the contractor
shall server pay to berafd as stated In the wage deerrninetlon any contract work b.(1)llie contractor Nag chdnli weekly/aeech weekh
e al equivalent
h motherinane brie frire0 benwt or en hourlywN which Is performed a copy of all payrolls toguiui vdem ereof: fie contracting agency. The of the he Information
ohmatlout
da+etetyan er29CFy all ctgeInfinMtlenreg/mdiam
d.f bo caNecta plow not mace y consider
a a trustee e, mairwtrad abet an CFR a addresses;
atropt that eI code
Dine himparson,er r mechanic
may apron f panahbe warily nunbarsebbtameaddewwahw not or included
wager of any Iffiper or meNeic bona
in any coat In weekly IrammMtls.mated to Payrolls Nag w road to
restaubla or manedcipated.ProWed,bona fide Tagtaryoft e.g.Incheds an heIBM fNduefYaofthelrpployea foreedhemplpyea(
Labor a den a progren, wftm r The ra Secretary ct e.g.,the lest four diem print empoyst'6 mocltl sexy b
Labor rear fang upon be wrwhmglee a Ind contractor,cth rumlw).The required weeky Payton optional Form Wn may Is
TaithatThe spplk Sertaryof oboe ayDevis43actinmth Acthave 'sambaed many ram desired.theWag Faun WMwt7II
been met The Secretary a Labor may tsf r t eo swung of Web like,
at hb h~,d tom the Wage arkl HowW0 Olvis .h
m get aside Inarthe la account or program.
for the meeting of Web endsogoor WW The print,co,
obligations undehe plan wpmgrem. area anwewarattar The of psymntraclll Israeparactosbon
the submission a-ofcbplesdpayadbbyail inn t* Lo so.
2. Withholding CoMraaee and wbtmaecad shap mwgein the raid so rk
washy amber and anent antrew of each waved worker,
and shall pert".hem Soon request to the contracting Wage
and
iiwe contracting agency shallupon Its own atom or elan Hour Ohmistlon to the Sate DOT,the FHWA purposes tie Wage end
Depan request a art with hold r caum t be dfie Moor 0lvislon of vie Depertrnem of with pre a a an
Department ofLabor. iscontrac ranmbewlehda from Ims0ywon.iaudit of compliance TNT prevailing ware
Ta contrachrordereprime acL"any rarFederal fl mgtlrsmams.ttsna subotetlenarts pepaah addresses
aaaad cwith onfiecanect to DaraaSor, pent other mdeeity- social security,
regmbesaEwntradorm provide ed6aswaersl
assisted conmdcratedto by theo owns
rims ling;con warp aptleiwWthot weekly foraprime thtradercarits age
mu hemants,writs to ym by the cane prone say bdor,so records,wiTOW weekly wtrewlon m1he caNacpng agog..
more d the xwed payments or advances es rrmy be
considered necessity to paylNaem and macaew. (2)Each payroll submitted shot be accompanied try
Including appnuricw,Vainest,aid helpers.employed by hie •staamhrd a Conrbpllence;signed by Oo wnbactor a
contractor or any subcontrwmr Via full amblsrt of wages 'Utatemeoontet of ornieahe ned try
required by he contract. In the mot of faille m pay anY aga pop a supervises the
Iffiaeror mecank,Irncu9ag eaY epprendw,trstrre,a payment a wu t the per employed sae the contract and Nall
helper,employed or working an bar the of toy work,ail or per cariiy the Yolowtng.
of the wages required by fa cammd,the con0aNrg agency
may,alter written notice to the cormeckr,take such awen as (I)That Via payroll for the perid period contains the
may be necewey to cause the suspension of any brtar Immolation required to be provided Lora 95.5(ex3)(1)of
payment advance,or µarabae of funds until much violatiao Regulations,29 CFR pat 5,the appropriate Information is
have cowed. being matrdrihed under§55(a)(3)(I)of Ragcatlans,29
CFR per S.and that such Information Is correct and
3. Payrolls and bosmrecords complete,
s Poodle and mot records relatingTerem shell be haloes.That each laborer or mechanic(Including sere
ma.
by Ind cormaca aUtng her pane a to walk end haloes.eppranhw,and traInw)employetl an lints combed
aewrnot for a period of Tree years thereafter for all tbprera dudng the payroll period has bosh paid to ail wwty
ebb mechanics waking at the alb of the work Such records ware earned,without rebate,aihm directly or IndlnNy.
Nall contain the name,address.and social security number or and that ro n the bw hem bean mods ache dredty or
won soh worker.ma or her wand desaifiwwn,hasty Mtn trndtrectly Van the to wages awned,COWReg than
of wages paid(Including rats d carributlons a costs pamtrroo dedir.More os get fond m Regulations,29 CFR
anticipated for bone Rh h bereft
fringe bets a rare sgWalems Par 3;
Teed dha types dos~In aecdm i(b)(2XS)of to
Davis-Becon Ad),deity and weekly nmbar of hours waked, (11)That each laborer or meNenic has been paid not
dedotiao made and actual wages paid.Wherever the lass than the amicable wage roes and binge beeft or
Secretary of Labor tin found aide 29 CFR 5.5(8)(J W)that care eglwlels for Ta Classfcafm of work performed,
the wages of cry"barer a mechanic IncWe the enoum of os specified In the applicable wage determination
any cost reasonably anticipated In prodding benaft vide a Incorporated Into the contract
plan or program described In section 1(b)(2)(3)of to Dads-
5
Page 5 of 12
, n r
(3)The we"aWmadon of a propady,eorecmdW rate speUOad In he applicable wape 0etemhaaon
uraAcaEm ast forth on to reverse*We of optional Form Apprentices,dew be paid Mrys bewffb In accordance Mh
WH-3e7 dew stilly the regdrrnrd for sabnaadon of are M provisions;or the apprenticeship proprn.If to
'9blrnhre d Camptiarlce'nagurad by prepaph 3.h(2)o apprardipNp propam does not Wedfy ftW baMts,
his seam: apprentices,mart be paid to Lai wwjt of Maps barstte
sated on ew wags dMarMiwm for applicable .
(4)The faadtitwtlere of shy ofthe above carALcalcrs may classification.If to AONdstrator determines that a efferent
wh)ectew contractor or rEcorwacbr to civil a rdmhai Pie provatie for the applicable apprentice dasllcetion.
prmeDAlm under section 1001 of tie 19 and motion 231 of hinges anal be paid In accordance Mh hat determheaon.
.eras 31 of In Udbd Stubs Cods.
In he event to fM m ofApprsnacesMp Trldng.Employer
c.TM contractor or rdcodmdx shed make to records and Labor SmAcm,or a Stab Apprenticeship Agency
repbW under preprWh3,a of ads esction evemis for recopind by the Office,Weakens approW of an
WpegWm,cap**.ortreneolptim by wAwdmd aPlvellticanp p WM.he co III VM no layer be
representatives of the contracting;agency.an_Sbb DOT.are pehn'd to tgun apprsrlau6 at leas Tenn ew appacew
FHWA,crew Deparmadra Lda,and"pamn wail prWetembwd rate for the work pas fix., utd an eompteds
reprsasdetNu to Immaew erybyesa dung wmdtlg hole prewar Is approved.
m ew)oh Iftlr cvOWv vahbaoroacbx fide te ahhntt the
regaled records or to make then ertlleMe,to FHWA may. b.Trahess prognu. of ew USDO4
afterwlSannakebewomb w.orbwdracanpetrancyor
he Slab DOT,lake such action as may be necessary to
cans ew pnpenbn of my partner payment advance,or Except d oworkprovided h n CFR he p dstrum ne not W
. guarantee of Lewis.Fuahemore,fiskre to eEmltew squired permitted to workeltreeay aerr predabrtnMdrate and
reams upon replant a to mesa won records aysable may work Performed Wes aapnnampbyedasrsrdbaW
be errands for debarment action pursuent to 29 CFR&IZ approvindividually registered Inomal ce osoh has receivedU.S. pew
Danes ardef UadbybrhymardaeambYM U.S.
Oepartrnrd o lffior,Emplgmenl and Trabinp
!. Apprentlts and bides Aerntrllstrson.
a.Apprentices Ovpmns of err USDOL). The MOD of tak n,bpmayrarh on the cab site sirs not be
. peel-Mn prrttlaW under M plan appeared by the
A{prMCa will be penddsd 0 work al bp than to hhhdryment and TmftVAdministration.
pndsta d, rakefatsworkewyperformedwhenteyre
employed purwerdto and lndvldraily registered In a bons ads Every teabra rest be paid at not tees than the rate spedLW
app wdcdhp prepare --I- W with M U.S.Dwo It an of in M Wprwetl propvn fv M tehsds IeM of jwopep.
labor.Employment and Tread*AAddstra tom 011ce of .mpmsed so a parconbgs caw jwrMyman hauty rate
AppradlorMp Trrdrg,Employer and labor services,a with W WLed In M"I cable wags determination.Trainees stall
a Slab Apprenticeship AMM recoptlmd by he ORce,err as bepddmnpebm tsinsocadsncswlalhepraAtlomofhe
perm is eplaysd in his or her and 90 days of psobeAonsy aWsepeopron.lMebah spmpamdoesMmambn
employment a an appr nee in won an appenaoWlp hinge berMps,traft e n shall be pad M MI ammnt of Maps
proprn;Mlo b net IMNOulyreordred In the prtpam,tea banaft sated an he wage de0emhhmibn vies to
Mo has bean cwNW by he Office ofApprenticeship Administrator of M Wails sad Herr Division dater mines Mt
TmIrhla,Employerandtetra Servicesere State ten Is an apprnbcaWp pnprn=added whew
Aipemicaft Agency(whin eppnaprlab)a be tllgibsa for careapmd i;)oamnynen wails nde on ew wage
probationary mpteyment as an apprentice, dsteminatm whim dsAds for lens awh.hd Mnp ba stile
far apprendon.Any employes tiebd on the peyrti at e baps
The tlbweW ratio of apprentices tolranieyman on the job raft who is nctragistered and p-tidpeahg h a bob k plan
ides in try craft classkation dad not be cast-tun he res approved by is Employment ads Trahkp Ad msdssam shal
permitted to to cansda s tots arhre work ksce under be Pad not lens than the wens applicable an on Owwage
ew reystwd prop m Arty worker sated an a payroll at an detemauam IaM ids fcm*g m work a am job
via in .
appramds wags rap.who is hot regisered orothealsa' hedAlofteerytrebse Drfmtdry warkmeweddyplea
employed n slated ebow Wll bs paid not ten there M axces er ew retlD penndted under M ragisW W program
applicable vngs rate on he wags debmintlbn forhe hall be pad nalns han ew appscebte wags rate an hen
classification of work acihely performed.In addbon.arty w'a0adsWrldrtetlonMMwak.aaartiy performed.
appardoe prfan ing wok on the job site In atones of the
rso pwnAW under On ro&twW p agnum Nora be paid not h M awed ew Empbynem and Tabib Admldabason
IsetianM applcehlewatla rteonew wags debmwlsaon wlhdrewe approvai ofe aetring pnPgnem,MmhhWawag rd
for ew work aausy perbnsd.Whore o cutWwis longer be permitted to LOW bebrse at Ws hen the
persons coetuclalonapre)Wbaleralty..agwtan applicable pmdeWrtMW rate brew work performed udsan
DW In which As prapen Is registered.the ratios and wage wosptade pm9wri Is approved.
most,(eximmud In percenta ys of the)raneynrfs hourly
rate)Wedtiad in ew contradoes or ahEcasector s nplderod c EaW rndoym«ht approrady.The utilizationa
praprn she0 bs observed.
amn rdos,brine s and)amsymart wider this cart sW be
In coraornty with to ghrl employment opporenLy
Every appmtice mat be pad at not Ise than the rate nrirernanb of EMOAlve Order l l2a9,n amended.end 2g
WadtiWhewmglstmdproW=fatsoppmaoys Ievaim CFR par 30.
propose,evened as a percedepe of the)olmayman Imply
S
Page 6 of 12
d. Apprentices and Tredrhen(programs or am U.S.DOT).
Apprentices and Vainest,wMdng under epprarnkeshp and V. CONTRACT WORK HOURS AND SAFETY
sldg Vehhng programs which have been caroled by the STANDARDS ACT
Secretary of Trenspodallon as prornotlrg EEO In mnroam
with Federal-add hlglnrey,comall an programs we not The following cl9uses apply to my Federal-old motruotlon
vAedto the requirements of paragraph 4 of Ohls Seam M contract In an Modurd In awns of$100,000 and stated to the
The might time hmriywage riles far apprentices and ovmane proNsioru of the Centred Work Moue and Safety
Valnen under won programs will be established by the Standards Add.These douses Nall be asserted In addition to
particular p mgrenn:Tha ratio of apprentices and tralnaes to the down regured by 29 CFR 5.5(a)or 29 CFR 4.6. As
loumeymm shall nd be greater tmn pe"Nfed by the forma o1 mod In this paragraph,the terms laborers and medmniw
Vie particular program. Indmm watdrnen and guards.
S.Compliance with Copeland Act re tdramens. The 1.OverfanarequMments. Noombldororsubcormacbi
contracor Nall complywtth the reguiremwft of 29 CFR pert cmhtr6ang for any pert of to centred was whldl may MUM
3,which are Inosrporamd by referance In this cmtraL a Imdve the amploymery at labaere a mechanics Hal
require or permit arty such laborer or mechanic In arty
e.SubcorNacte. The con➢'ador a subcorvactor shot ham workweek In which he or she Is employed an such wok to
Forth FNWA-12731n my suboamects and also regulre the work In somas,of forty hours In such wotkwesk Wan such
laborer or modhmc madves comperaatm at a ram not lass
subcmtredons to Include Fan FHWA-12731n any lower Our than one and one-half tones the bask rate of pay for eti hours
auDoontrede The prime mnbatm shot be responsible for ton compliance by any shAcontracbr or lower ter submrmad Masked In same,ofor forty hours In such workweek.
with all to contract dau in In 29 CFR 5.5.
2.Violation;Natality for unpaid wages;liquidated
7.COntred tmminathum dabmment A breach of the damages. In the Hen many violation of On dame set forth
contract clauses In 29 CFR 5.5 may be grounds for tamhVmtm In Paragraph(1.)of this section,to contractor and my
of the contract"fordebarmentes a mntrad_ar and a submntador responsible therefor Wall be gable fa the
wbcordractor as provided In 29 CFR 5.12. - unpaid wages.In eddtm,such contodar ad nAmrNector
Nall be Gable to the United States(h the case of work dorm
cedar corvactfar the District or Columbia or a terttory.te such
B.Compliance with Davl"acon and Related Act O�a'�rt�1d or to such terrhory),for ligddated derrieg h
N es.So
requirements.All rulings and Interpretations of ton Danis- fgllldaly damages Nag be computed With reaped to each
Bacon and Related Ads contained In 29 CFR parts 1,3,and 5 IndMdual lebre r or madman c,el0uding watchmen and
ere herein incorporated by reference In ids aml8d guards;nnployed In Ndation of On douse se-fond In
paragraph(1.)of tell souses.In the rem of$10 for each
9.Disputes concerning tabor standards.Olspdes ertsirp calendar dry an which such ImIM"!was required or
out ease labor standards provisions of this centred Nat red ps...d ed fo Mark In ewess of the sto and workweek d fay
be subted to to ganerel deputes dome of time contract Such hours wlet forrut h In p�or the ovmtlna wean reguned by the
dapmes Nall be moved air scmMahce with to procedures clause eel land h paragraph(1 J d time exam.
of the Department of tabor end fah In 29 CFR pas S.S,and
7.Disputes Wthin to meeting of the blouse Include deputes 3.Withholding far unpaid wage and Dqu" I damages.
between hie contractor(or my of is subcontractors)and the The FHWA or am cordacltrg agency Nag halm is sum od0m
convecting aga,.ry.the U.S.Depebnent of Labor or the or iupah written request of an sutad2ad nphosminva of to
employees a rhea represmfatives. Deperknond of Leborwithhdd or cehae to be wltmald.from
my moneys payable an accent of work padamed by the
it.CertiReetkm of elgthnfty. mmbaaor or eubmrnbcla hndaarry Such oonaed a cry
other Federal contract wth the some palms mntrecmr,or any
COW lamrallyanisted contract subted to the Cavxt Work
a By entering Into this corned,to cmdredar enrages Dud Hours and Safety Standards Act which Is fold by the some
neither it(nor he or end)nor ary person or Arm Who has an prime contractor.such puma as may be dsimnind to be
Interest In to ardrocirs in is a person or den Ineligible to romnery to satisfy any liabilities of such cmtrxtaror
be awarded Govemmad contracts by Arlm of seam 3(e)of wbcontreclar for unpuld warn end 1qudaW da e,es ea
tie Dams-Becan Act or 20 CFR 5.12(ex1). provided In the clause se-forth In paraotwhh(2.)ofine
section.
b.No pen of this carved shall be subcontracted a any parson
a den Ineligible for award of Government contact by virtue 4.Stbcon rade, The contractor or shLmdrectm mod boat
of seam 3(a)of the Danis-Bacon Act or 29 CFR 5.12(a)(1) in ary sibcardncts to down sat Nth In paragraph(1.)
Ovough(4a of this seam and also a dense requiring Via
c.The penally for no"fobs statements Is prescribed in the subcontractors to Include than dowse In my lower der
U.S.Criminal Code,18 U.S.C.1001, subcontracts.The prone cold ecla shd be respmatls far
compliance by any nAcaaacmr or lower ter subomvacta
with to domes se-forth In paragraphs(1.)Through(4)altos
neon.
7
Page 7 of 12
t
evidenced In welting end tot It contains al prtswitprovisions
VL SUMET7ING OR ASSIGNING THE CONTRACT rid rparomerde of On prime onnand
This prcrrblen Is applicable to M Fedemi-end cm*uckn 5.The 30%p8-Pdamence npJromerd of psegrrgh(1)is
corrode on the Na0mel Hghmy System. not epolcable to design4mM contracts;Iwwrew.con"clIng
agencies may ealehllsh their own WI-pertortnspe
1.The contractor shall perform wti Ile own orgariratlm ragdrrmnts:
conlred week amredhg to not less been 30 percent(or s
We"perpnmge Ifspedlle d etseehene In the cmbid)of
the total&WM correct price;excluding any weddH harms VII.SAFETY:ACCIOEM PREVENTION
dsrprhated Maw corracerip epercy. Ep.cwlyttomamaybe
performed by OLcorrect and the arnwd of any arch This provision Is applicable a a0 Fadrtl6d
apadaly Rams Prho mad may be deducted from ns total mrsbuclpn corrects and to as named shbcorracb.
or"cpnectprice Man oompMp to mould of work
wadred to M pnNmedby to mdrecta's own organization 1. in to perioiimance of this contract do corrector son
(23 CFR 635.1101 comply with all applbsCle Federal,Stec,mdlaul awe
governing eatery,Mallh and srda0on(23 CFR 895}The
a.The trm'perfmn work with Its own mprdmtlorn'room contractor shag provide et safeprads,safety devices and
to works employed or lsaW by he Prime mNacar.and paadw eaJpnem sent Yke any obw needed actions pit
epdpnrd owned or Mead by the prime coraador.Will,or detsrmirm,r as the owdrWlry oNar may citaimhe,aim
vAtmirl opewtre.,Such bean does not include employees or weorably rwasry to poled the ale and ywall,of
ettdpnend of a nbcmtracar or loans,ter arbcordrachor rnployass on to job and tie safety of to pinbBe and to
agenda sew PloecorWeco, rayoterealwom. The cooled PWmtytncwrwdmWMftpadrmaraadto
term may trdude payments for to costs of hiring amd, work cowed by me contract
amployss tram an arnployee Arm m meeting ad ralavad
Federal and Sea npWb ry roaWremerb. Lamed 2. 116 a wdtim otale ocrraet end enal M me&a
employees mayonty be bdWed in tide term ttw prime condtlm of each airconMd vMchaw ardredor anew Into
carts oM meets cog of the following condom: pirmtrd to tie antral tatehs Cowarhmrand any
wbeon"do(1)to prime contredor maintain coned over aw of Es,conbadretoo uwklall not ln�lryrip;oyse.hPdomrha
erdwA ordo or tender Nether s
wpeMslorn of the day-to-OaY edMllee of to leased heath or unsanitary.datarallous p d consho to man
ern (2)to prime oweractor remains heaAi a safety.s CFR IS d)prow Wpead b t e Soo end
- ry
d the work d the lmsae employees; etrms Qirry health dam,In acoordencs,w�t Section 1117 m prwd7 of
Contem Wok
(3)the prime contractor reams aspoorer a acoapt or Has aid Sexy Standards Ad(40 U.S.C.370/}
eaAr, ImAsNd employes from work on the project:end
(4)to pram cmita or whim ultimately mpralble for 3.Ppeiwd to 29 CFR 1928.3.it Is a condition of this mMd
M prorwd of predetermined mlranim wages.Do and the Secretary of Labor or sMoraed representative
siAmMsion of payrolls,statements of compliance and al thred,aM0 have right of why to my site of owdred
other Federal regrdatory requirements. Potomac to Inspect or imsatigaa are matter of WmpBripe
with the anstructlm safety end he illn elerdeft well a Carry
b.-Spoddy Itrce'shop be cons0 red to M llmaW to ark wlths dun of the Secretary miner SscOcn 107 of tap
tot rexpams highly apecialmE krowedge,ahOnes,or Coined Work Haas and Safety Standards Act(40
apdpmnt not ordnaNy available In the type of WnbacNiO U.S.C.3704}
wpenzetlwa 0joWad eW upecad to bid or propose on the
centred es a vnde end n owwm eve a M Mot W a minor
crxaporesm date overall trlb V01.FALSE STATEMENTS CONCERNING HIGHWAY
PROJECTS
2 The w bacb amrpd worn which the roWmmw b set fora
a prapopli(1)VfSecdon Vl Is comipdedlncldes the cost of This provision Is appDude a all FW ersiald
' met"and madackred podilcts atdchre to be axa6udlon contract,rd to m related sWcatlntb.
Pdweedorpnodaadythec b crundrtiecpmac+ .
proAsions. In orderto wave high quWV end dwda cm*uden in
coi son,ywon approved plane and wedtlatrr end a high
3.TM cmtlractorshrl funtlN(a)a cdnpetrd eupedrdendem dogma rw0ab0y on aatamms and reprurtleOom made
orM"Mw Who Is amplyed by the trm,rest hill IsAailyto bywigb m.ombwtoiv.*Wpom.mWworkifimFodwW-
drodparb a. of the work In acoorclance vA the contract ad highway pro(Ws.it Is swrAal Ed all person cacenhed
rea4rrsna.send Is In coups of e/oxrtruaon operations well,to project perform Bair Mcbm s candy.tonwyty,
"p rdm dwho po la i tap work)eW(b)such otw dtts and honaay s possible. VANO Iddtcallm,distortion,or
oat organizational nswoes(nprdtlm.m a atemard,and ryi W"ardsm wen nwxtto fir tsde drop tote
anprrartrip uMcs)s tap corradlrig oNcar dNmms b projed Is a Violation of Federal law. To"Art ry
maeseiy a seas the peiormrce of on ttetrad. Mcri0ks p iepenAng to mdous ss d/wM and
strnlr ads.Ftnm FHWA-1022 sM M Petal on each
4.No palm of gap cardrw shag M ehOlet assigned or Feed-end Money project(23 CFR 835)in One tumors
amerwtse disposed of except win tap when amen of the paces where It Is wetly meltable to ell prow msrnad
contracting officer.wadmrizad reposerdatw,and such wl0h to phojad:
conserewiwn given elal not bs curaared to than the
contractor of any rewwn0y for M fiMNrmN of the
aritreri Written craem wen be given only,after to 18 U.S.C.1020 reads as kdknv;
contact agencyhsmieedihateachnroconbldn
e'
Page 8 of 12
wro."r,bevO an oats.agent a employee ofhe United moved o-antadem.The Prapea"kat Nr psrtidperd amo
SMIM. o(ary Stk%WTedtory.awMever,whe0wa sutraanexplsrWbn asfrydaamotprovideMordtiation
puaM assodo5M*m.aarpw$Wn.ImoM m*N wed at out below.The arakdm orrplenation sat be
false statement false raPrNentstlul or false report N In the considered In comedian with are department a agancys
character,guaMy,weedy,a Cod Ofthe material Used a to detamerletionwhathe to order Ire Ws transaction.However.
be Wed.a to army or MOW ofthe wok performed or to failure of to prmpsdive 60tr p>Mpard to hanlsha
be pedemed,ear COM treofh connection WWI to arlica0m or an awleoaon shad dispuNy ash a penal,
aftes0on of plane.maps,spedlkNora,co,it ,or cosh from participation In We baroadtim.
of cnsaudlnn on any hallway or needed project wbwdbd for .
approval bar Saaataryo(TrensportsamKa c.The crtik Bbm In WideWe is a material repiesenation
of fact upon Mot,amerce son placed when the oa@Whia
Vrtrsvr lovoinoy,mobs any few stdrnrd.4W agency determined to order trio fie transaction.If cols War
regaariLtlac false report or fobs down vM reaped to one detemnmdtWarprospra"pwOdpedbrw -kdre0
can dr,gAQy.gWrdy.acost nary work performed a to an amorram rralalM.In addaon b other remade
be pedamed,or materials keals ed orto be smeared.In available to am Federal Oorrmnre,to mr&et*p agency
connection vft to amfirdlon of my Mplavay or related may tmmheds Ws transaction ear Came ofdebdt
Project approved by Or Secretary d Transportation;a
d.The prospective And a
Whoever grw4ry/y,makes any false statement or false Immedets written retie to the vllt�enttlmtl agency
te
iepsrrtNm u b material fact In any statement,coMarte, We Proposal Is a4altlsd If my prosps
a kal sa
a report SWNlbd purWerd to Provisions of the Fedraltld paadpadlao art as artltimtionwN enarouawon
�s�app�eda .Ny 1,1311L(39 Stet 355),N amended aura became enamor by reason of changed
Sod be tined under WiIds or krq,Iweaed rotmo,than 5 0,The terms'Covered trresition.• clsbared,•
yaersarmth.' 1Wpnded.'lrrlldala.'.yatitlprnt•lrrem.•yrincipsl,•
and loWdfly eubked,•N Wed In Wa dame,w daLad
In 2 CFR Parts 180 and 1200. 'First Tor Covered
OL IMPLEMENTATION OF CLEAR AIR ACT AND FEDERAL Transactions' to to any covered transaction between a
WATER POLLUTION CONTROL ACT grant"a sumpardas of Federal hods and a prl dpad(surh
a ale prtms or panned coo rwo:Rower Tier Carved
Tres provision Is applicable to NI Federal-ald cmatuam Transactions'area to any,cowed"reaction ands,a FM
contacts End to all related subcontracts. Tier Covered TramxSon(soh N aabcanh ) 'Poet Tier
Pa ldp rd'refers to In pertitlpsrdwho has earac trio a
By ertrcisslcn of Ws dd/papoaa oritr arartim ofOW cowered hsmam Mhagmtnwe6penbeofFedwO
contract a rDcmtradt N appropriate;Its bidder.Proposer. pads(arch N gal peke or gerral comacbr). lows Ter
Federal-ald construction caaacks.or racontreda.N Paticpea'rsfere a"Wridped Wr how ardred Wo a
epprc"te,will be deemed b have albtlaled as fdlors: awed tamaam w/aa a Fta Tler ParOtlpwe or oar taws
TierParldperds(nrh asaaaorNe to,and atpplba)
1.Tatarrypaaon who b aw0 be alCed In the
padanunce of Ws connect Is not prvadbll from raoelvnnp an L To prospective flat our parocipad pus bysahmdep
award dal to a vladation of Section 508 of err Clean Water Act Ws prtposel seµ enmld the proposed covered transaction be
or Seam 306 of the Clean Air Act. entered Into,It shot not lain nyy eder his my lower ear
2.Tatar contactor agrees to trrLIN ream to be cowed bamectionwNh a person who is debarred.
hck)ded We reGeramente ofperapaph(1)ofOft Section X in sutprrdsd,tls I trrdplMs,or vdudaay,excluded form
sorry suhcaaed,and hrhr apeN b talc such Bl I N prldpetion In No cowered be maaan,anises M*mdad by
the Ca1tr8Lang agency may dud N a means of mb xbV the dspatma a agrLy antah nip ode brmeaal
Win leOdlernenb.
g.The prospect"add tic Participant k~epee by
WW*MV ads proposal that ofwal hales to clause tied
X CERTIFICATION REGARDING DEBARMENT, 'Catltiaaan Regarding DaUenmrd.Suspension,hadyally
SUSPENSION,INELIGIBILRY AND VOLUNTARY and Vaturdry,EukidmA~Tier Covered Taroactioa,
EXCLUSION provided byM deperbmrd o mnfr0rAfp epanq',antahg
trioass coredtrermerdan.passes modaaam,In ad lore
TNs prevision is applicable to all Fedora-end construction tier covered tamectios and In solicitations for lows ore
corsadm.daalgn bAd contacts,subm I , .loch.tier cowed In meld orb exceeding sr a25.a000rNhold.
erAcord'acI ,psetwe orders,lease lWasimants,ansldtent
covered,or any other covered esaacocn regartp FNWA RApertidpsahecovrad►arecgan maymyopme
approval ordW N estimated to cat$25,000 a More-N aaladal ofa pmepsave Participant In a lover tk covered
defined In 2 CFR Parts 180 and 1200, transaction area Is not debarred,r+sDraded,hNdae•or
votednyeoaodsd roan gal corared tramBCtion.ualses a
lanewe ther to caalokan Is creme. A peticperd Is
aspmsfals foremWrg that Its principals an,not ermpanded,
1.brslacUom/or CraBostlon-Flat Tbr ParuclpaMs: debarred,or climates lmllyda to pmticipats In covered
tanexaae. ToverlrythealpbllllyofltsprindpaltNwetise
e.By alpap eat Wbmaap ti4 Proposal,tlr prospective Ter ul gt ty day bwer tic prospeave pwldpads,eam
first tier PW04B rt is PmMrp the aaaation sal an balm. padiclprdmay.bps is rot agllred to.decker Excluded
Parties Ltd Systern weadle Witch Is
b.To i abMy of a person to provide the cadficetlon set ail complied by the Garret Service,AdmhhVatlan.
below wO not necessarily react In dual of paNdpatim In tows
B
Page 9 of 12
I. NoftV contained in Or bragotrp and be conatted to aria traaadkn alplrntW may puma avafiaW rrmadia,
require the nWft no of a system of records In order to nciudrg unposlon Wdra cl*wmem
tender In good mmh fro ceraauem Moked by We clause.
The kcWSEge and h%vination of to prospec9ro pnCtlpnp c.The prospective low dr partldpard al wall provide
Is not fagJrsd k exceed Oat Wdch is normally possessed by Immediate wdRen ad to as person b~No prrpoad is
a pnxW parson In line ordnary course of business dealings. sub fitted O at cry tors Olt prospective lowwtIw participant
Isom that Ion codification wet anmeow by reason of
J.except for iBlfiednrn suftdzed rndr perapsph(l)of draped draandencea-
Ihaea In nmcgme.Oa patiopad in e remand bm d0on
xrowaxOy antra Into loos err cwrsd transaction Wth a d.The toms'm✓ered bsmec0 on''dsbw*d.'
person who is suspended,dsbwW.Inatiable,orvokkorlly 'Upended;9ntiglbe,.'yrtidpan4'-ysmOrt'Vlrcpal,'
excluded from participation in this transaam,in addition to and Sobrtwky sxdWod,to wad In Ms disease,are dated
other rrnadia evasaae toga Federal Government,as in 2 CFR Parts 100 and 1200. You may corsad Os person to
department or agency may tom iras err trarseNon for cause watch"a proposal is srsadaed for assistance In obWr&V a
a defseft copy acme ngwtiorn..'Fader Cowed Tra secum'
refrt to any mvaled bunserlon bO~a Qadee or
'''' sutpada of Federal Ands and a participant(sum a an
2. Certificationprim or gonertl caaad).'lower Tier Coned Tw asction'
Rogwtbg Debarment,SuspsnsbR Wort to my cowed transaction adr a First rear Conrad
ImalNUIty and Vokatery,Exclusion-Fast rev TrantacI (arch a abccaNeds). qbq Tier Peracyanr .
Partlelpnb: revue to she participant Wa ha rdered No a cowedears, I -
a. The proepcaw arattie prOcprd ar"estome bed of arch rQr�apranM asuoprrdee. Federallends
( Pimaorpwddardwhoh 'lair Tie
Nor krxdtidDti and balls/,Val N and Its prircptls: PartldprhT rant rxY pertidpars who has anmrsd Into a
rowed trertexOon WT a First Tier participant or other Lower
(1) Am not pravdiy debarred,eusperded.proposed for Tier Pwldpanb(such as eacoflacto andlsppllers)
debmmrd,dedeed Irdggbo,wyohntrway axdrded tram
pew cr�bavaWms by any Federal M proposal tlw dwrospective law Sw M gs prapmad cipant siNew;by
(2) New rot wtedn aanwyar Tailed pncadtrhg ads shylo v Nramww tray entered Irld, t c0aih wrote a pisahywh~IM
.1
p qmd been caMcted of a had a&A)udgmrd rendered debarred.asps coW.declared ems,or wksdrry,
egal dram for mrealaalenaffax!ore cdnb offenses, excluded fan Pmtidpatim In Oft mend lrrnecOM Wass
connection wisp obtdrag.aarnptng to oblaln,orpedwmhV asAwrized by as deprbrrrd or agency Win vMch No
•PLA kToderal,Stab or local)bmsxam acahbed udr trenedlon odpinebd.
a phblktronsadlon;vlatafion of Federal or Stem test -
staffers oromwftdmofrabezzlemenLTalt.forgery, f.The prospective orator flow participant kw&w eases by
bdoary.falsification or destruction of records,maldrg felt wjbTM q No proposal Tat NwW betide No disease toed
sfdemanm,or rocaWnp Uen properly, TwIlacaaon ReprAng Debarment,Suspension.ntitif UW
and Vduday EocllralandoarTir Cowed Transaction,'
(3) AmnotpmwdlyblddedfarwotwWuc&r*mOym WaoN modification,In all least aar cowed lrrnecaors and
d yclaped M a limmmrrdal mtiry(Fedral State or, In as aOtltations for lower Ow Covered transactions wcoodbg
local)WT cstralsskn of any of the oaernes ruxnaated In is$25,000 aaaNdd.
p @Wph(e)(2)of vas aracaem:and
g.A Iwdrdprd In a cowed toww"Otinn may rely pm a
(e) NaverotWanaTrseyerperiodprecedingads wratedmofaprapocl"pasdpardnalawstter,nvarsd
pplksEadpopwal had one tumors pLbc tansaWona "reaction Tam not dabowed,wapended,helps,or
(Federal,Sam or bcal)tom*wtbd for cause a demur. vokrsrly,excluded from to cowered t ontadlom,tamsat
khan that Oa crtificatiahls emasous.A parOcpa t Is
b. Where the prosWdlve participant is made to caPoy,m sponabo for eravehg 0od lee prndpsbn n aut etmpended,
rya Ts atatrrwM lniNa owlkiflm,wdh pruspsctiva debarred,a oTaWss In oP#ble toprticipas Inmwed
participant shed atlsochin c0oatm lo,Oes proposal lnmec0oa. To vrly,the etidbtiy,as prix"s.a wetia
ea ellowy a orylowar tie prapadive Participants,ash
2.mebudtma for Csrmealbn-dower Tier ParOcIpamb: paradises may,burl Is not ragWad to.Wrk an Excluded
Pala cast System weballs(hft2 lGetiti.0o(t�O.Wald,is
(APp0atlebea ammnatb,Ixadhae adra adages capped by pro Gawal$rwpeAmateba0en
Deer oartransacaon reglAring Ixla FNWA ppmM a
esornaed to cost s25.ORD or more-2 CFR Perb tat and R Nmag cardetrad In one fvapaap Need be canned to
1200) reOWs"Istulsnrd of a systrm ar0001 In Order blends
In good fafT the cvlalrbm reamed by Oh deer at The
a,Bysigning and mAw ag ode proposal.the prospective enseNsdps and Information of pMclpe nt is nal rsgxaed to
lower tar Is OvMdIM as certification set out bebw. exceed Not watch Is normally possessed by a powers parson .
b.The carsficetion In ads clause Is a material roprwmeam In as crdixwy mine of business damage.
of fact upon which reliance was placed Wm Me transaction I.Except fortsnsadbrs earrTorleed andr pereprph e of
was entered Into.If It Is later determined Not as papaw thaa lmatVCtaa.Oa parOopard In e covered trrsedm
loser our participant knowingly rendered on rrorsow kwAn*enters into a lows Or cared tranecfon WTa
nrtiaeetim,In addfikn to cow rerades available to the lesson vfho Is suspended,dented,trhaDy0le,orvoknmrily
Federal Gave m m,On department,a agency WM wNch eadudad fan parscipa9ah In ads transaction.In addition to
other mhW es available to tla Federal Government Or
10
Page 10 of 12
e barmen a evelleae rarediea,IrduBnp wsperaltn aM/ar debarment
CertXkatien Regardlnp Debarment Suspenslon,
Ineffability and Voluntary Ezdusien—Lewaf Tier
participants:
1.The prospeclNe laver tar partdperd corollas,by .
wb mlsom of this proposal,that neither It nor Its principals Is
Waeanty debarred,suspended.proposed for deba nam.
declared Ireligbte,w voluntarily excluded from participating In
mveradimaaplaa by arty Fedora depwtnerd ar epency.
2.Wham the posped"lover ber participant Is made to
rarefy to any of the statements In this certification,such
prospective partdpa t Nat atledh an arplarhaton to thle
pnlposal.
X1.CERTIFICATION REGARDING USE OF CONTRACT
FUNDS FOR LOBBYING
Tins provision Is applicable to NO Federal-red crostrudbn
Me, and to all totaled w1bomoacts W kh exceed
3100,000(49 CFR 20).
1.Thar prowectve participant canes.by aigring and
suareNrg tHs bid a proposal.to to beat of his or her
laewfedge and betef,that
a.No Federal aparoplaed fords hale bean paid or wit be
pald,byor on baled of the utdercined.to any pram for .
InIkentlrp or atanpUng to Intuarce an dfice or employee of
any Federal agency,a Member of Cmpess,an officer or
employse o1 ConVw.or an employ"of a Member of
Conprms In mrseclm with the aware ng of any Federal
corbel,the maitbg awry Federal grant Me making or wry .
Federal loan,the entering into deny coopernM agreement.
and the extension,mrhtrsetion,renewal.anandman•or
madlflratim of any Federal contact.Want Ion,or
oocpemtw agmement
b.N eryhnds other ten Federal appopfated Muds have
bean paid avid be,paid to shy person for Irdluandrhp or
attempting to Inuaca an olXoer or employee of wry Fad"
agency,a Member of Congress,an officer a employee of
Canvass,or an amployae,of,a Member of Congress In
contraction w7M Ws Federal mbecl,pad,low,or
moperatve agreement the tnderaiptad shall omlplate end
wbmt Standard Form-LLL,'DWdosure Form to Report
Lobbying,'In accordance WIM to Instructions.
2.This certticaDm Is a material representation of fad tporn
Ymic h reileca alb placed when this transaction was made or
entered Into. SthWaabn of this caOtratm is a prwagWsie ,
for making or moving Into We tmsac0on empraad by 31
U.S.C.1352. Any parson who falls to Me the ragWred
ceraficallnn"I be weed to a cMI pereity of not less Man -
$10,000 and not man Men$100,000 for anon won fallum-
3.The prospective partdpenalso apses by stArtYthg is
bid or proposal that the participant shall replre that the
Isn"lle of"a cattntm be adtded M all lower tier
subcontetffi,which exceed$100,000 and that at non
redplersa shell rarly and disclose emordnvy.
11
Page 11 of 12
ATTACHMENT A-EMPLOYMENT AND MATERIALS 6.The coreacbr shel WJudethe provisiore of Sodomt
PREFERENCE FOR APPALACHIAN DEVELOPMENT through a of the Attachment A In every"contact for work
HIGHWAY SYSTEM OR APPALACHIAN LOCAL ACCESS which Is,or reeicnady may be,done as matt work
ROAD CONTRACTS
This pmvltlon Is applicable to e0 Federel-Md pro)ects MdaC
under fie Appalachian Regiorrl Development Ad of 1965.
1.Du"fie performance at this contrail,the contractor .
undertaking to do work which Is.or reasonably may be.done
s aide w wk,shall"pralemnce to q mn9ed parser who.
mguiedy reside In to labor sae a9 ded"ed by the DOL .
wherein the contract work Is sitrrted,tithe sub mgion,or to
Appalachian ct nfies of the Stele wherein the contrad work Is
elluebd,extspb
a.To the rodent Ihet WalMed persons moody mal In
the ems are not available.
b.Forthe resoreble needs of to contractor W employ
nrperWory a specia0y experienced paraomal nedsssay to
seas an efficient axecdlm of the contract work
c.Fa the osgaaon of the contractor to after enylloymsrd to
present orfamr employees as the mall of a IewN collective
baryainzV centred,provided tot to nunber of nprredant
persrr wMloyed under Ws subpaagraph(1c)alnall not
exceed 20 percent of the total mmbr of orrployess employed
by ne contractor on to contact work•except as provided In
subparagraph(e)below.
2.The contactor shall place a job order with the State
Employment Service Inkira5ng(a)the dasaRmtlaa dtle
laborers,mededa and over employees required to perform
Me contract work(a)sine nanber or employees re pdred In
each ciasellcetlon,(c)the dam on which the paracperd
estimates won employees will be mghimd,re(d)erhy other
pertmt i ft scion raWked bytle Stab Employment
Srvicetocompletetlepbrderform. The)obonbrmoybe
placed win the Slab Employment SrNce In wring or by
telephone. tdMlngthecaraedthecorosaworkihe
Irdamslion Wbribed by the contactor In the original job order
Is uWar ialy modeled,the par6tlpard shall pmmptly ndlfy
We Site Employment Savice. _
3.The contmcb shall give M crnddretnn to all gnrliaed
Job epplcenb referred to him by the State Employment ..
Service. The contactor Is not regaled to Drd employment to
rnyjob applicants who,n He opinion.are not qualified to
perform the classification of work required.
a.If.within one week following the plecing of a)ob order by
the creector Min 1he StMs Empbyment Sevice,M Stets
Employment Service Is verse to mfr any qulMed)ab
pal®cos to ale oonbactor,orlesa ten ter nunber
regweted.the Slab Empoymet Service w91 toward a
certh ceb to the contactor,bWkatrp the unavailability of
applicants. Such certificates$hall be made a Pan of the .
con racto a parmarrnt project records. upon retells of this
certaeb.the cofeactu may employ persons who a not
rennaly made In the labor ores toil pceHos covered by the
car"calo.notMwtendrp the pmoldons of superprph(1c)
above.
5. The provisions of23CFR693.207(e)oflm Ihs
contac&V agency to provide a contractual pierrence forte
we ofminardmaource matrtet native to the A aachtan
region.
12
Page 12 of 12
EXHIBIT J—FEDERAL REQUIREMENTS
Federal laws and regulations that may be applicable to the Work include:
A. Uniform Administrative Requirements for Agreements and Cooperative Agreements to
State and Local Governments (Common Rule)
The"Uniform Administrative Requirements for Agreements 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 speck than provisions of Part 18 and therefore
supersede such Part 18 provisions. The requirements of 49 CFR 18 include, without limitation:
the Local Agency/Contractor shall follow applicable procurement procedures, as required by
section 18.36(d); 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; the Local Agency/Contractor shall comply with section 18.37 concerning any
sub-Agreements; to expedite any COOT 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-Agreement procedures, as applicable;
the Local Agency/Contractor shall incorporate the speck contract provisions described in
18.36(i) (which are also deemed incorporated herein) into any subcontract(s) for such services
as terms and conditions of those subcontracts.
B. Executive Order 11246
Executive Order 11246 of September 24, 1965 entitled "Equal Employment Opportunity," as
amended by Executive Order 11375 of October 13, 1967 and as supplemented in Department
of Labor regulations(41 CFR Chapter 60) (All construction contracts awarded in excess of
$10,000 by the Local Agencys and their contractors or the Local Agencys).
C. Copeland "Anti-Kickback" Act
The Copeland "Anti-Kickback"Act(18 U.S.C. 874) as supplemented in Department of Labor
regulations (29 CFR Part 3) (All contracts and sub-Agreements for construction or repair).
D. Davis-Bacon Act
The Davis-Bacon Act (40 U.S.C. 276a to a-7) as supplemented by Department of Labor
regulations(29 CFR Part 5) (Construction contracts in excess of$2,000 awarded by the Local
Agencys and the Local Agencys when required by Federal Agreement program legislation. This
act requires that all laborers and mechanics employed by contractors or sub-contractors to work
on construction projects financed by federal assistance must be paid wages not less than those
established for the locality of the project by the Secretary of Labor).
E. Contract Work Hours and Safety Standards Act
Sections 103 and 107 of the Contract Work Hours and Safety Standards Act (40 U.S.C. 327-
330) as supplemented by Department of Labor regulations (29 CFR Part 5). (Construction
contracts awarded by the Local Agency's in excess of$2,000, and in excess of$2,500 for other
contracts which involve the employment of mechanics or laborers).
F. Clear Air Act
Standards, orders, or requirements issued under section 306 of the Clear Air Act (42 U.S.C.
1857(h), section 508 of the Clean Water Act(33 U.S.C. 1368). Executive Order 11738, and
Environmental Protection Agency regulations (40 CFR Part 15) (contracts, subcontracts, and
sub-Agreements of amounts in excess of$100,000).
G. Energy Policy and Conservation Act
Mandatory standards and policies relating to energy efficiency which are contained in the state
energy conservation plan issued in compliance with the Energy Policy and Conservation Act
(Pub. L. 94-163).
H. OMB Circulars
Page 1 of 3
Office of Management and Budget Circulars A-87, A-21 or A-122, and A-102 or A-110,
whichever is applicable.
I. Hatch Act
The Hatch Act (5 USC 1501-1508) and Public Law 95-454 Section 4728. These statutes state
that federal funds cannot be used for partisan political purposes of any kind by any person or
organization involved in the administration of federally-assisted programs.
J. Nondiscrimination
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. ADA
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. Uniform Relocation Assistance and Real Property Acquisition Policies Act
The Uniform Relocation Assistance and Real Property Acquisition Policies Act, as amended
(Public Law 91-646, as amended and Public Law 100-17, 101 Stat. 246-256). (If the contractor
is acquiring real property and displacing households or businesses in the performance of the
Agreement).
M. Drug-Free Workplace Act
The Drug-Free Workplace Act(Public Law 100-690 Title V, subtitle D,41 USC 701 et seg. .
N. Age Discrimination Act of 1975
The Age Discrimination Act of 1975, 42 U.S.C. Sections 6101 et. seg. and its implementing
regulation, 45 C.F.R. Part 91; Section 504 of the Rehabilitation Act of 1973, 29 U.S.C. 794, as
amended, and implementing regulation 45 C.F.R. Part 84.
O. 23 C.F.R. Part 172
23 C.F.R. Part 172, concerning "Administration of Engineering and Design Related Contracts".
P. 23 C.F.R Part 633
23 C.F.R Part 633, concerning 'Required Contract Provisions for Federal-Aid Construction
Contracts".
Q. 23 C.F.R. Part 635
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
Title VI of the Civil Rights Act of 1964 and 162(a) of the Federal Aid Highway Act of 1973. The
requirements for which are shown in the Nondiscrimination Provisions, which are attached
hereto and made a part hereof.
S. Nondiscrimination Provisions:
In compliance with Title VI of the Civil Rights Act of 1964 and with Section 162(a) of the Federal
Aid Highway Act of 1973, the Contractor, for itself, its assignees and successors in interest,
agree as follows:
I. Compliance with Regulations
The Contractor will comply with the Regulations of the Department of Transportation relative
to nondiscrimination in Federally assisted programs of the Department of Transportation
(Title 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 Agreement.
ii. Nondiscrimination
The Contractor, with regard to the work performed by it after award and prior to completion of
the contract work, will not discriminate on the ground of race, color, sex, mental or physical
handicap or national origin in the selection and retention of Subcontractors, including
Page 2 of 3
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.
iii. Solicitations for Subcontracts, Including Procurement of Materials and
Equipment
In all solicitations either by competitive bidding or negotiation made by the Contractor for
work to be performed under a subcontract, including procurement of materials or equipment,
each potential Subcontractor or supplier shall be notified by the Contractor of the
Contractor's obligations under this Agreement and the Regulations relative to
nondiscrimination on the ground of race, color, sex, mental or physical handicap or national
origin.
iv. Information and Reports
The Contractor will provide all information and reports required by the Regulations, or orders
and instructions issued pursuant thereto and will permit access to its books, records,
accounts, other sources of information and its facilities as may be determined by the State or
the FHWA to be pertinent to ascertain compliance with such Regulations, orders and
instructions. Where any information required of the Contractor is in the exclusive possession
of another who fails or refuses to furnish this information, the Contractor shall so certify to the
State, or the FHWA as appropriate and shall set forth what efforts have been made to obtain
the information.
V. Sanctions for Noncompliance
In the event of the Contractor's noncompliance with the nondiscrimination provisions of this
Agreement, the State shall impose such contract sanctions as it or the FHWA may determine
to be appropriate, including, but not limited to: a. Withholding of payments to the Contractor
under the contract until the Contractor complies, and/or b. Cancellation, termination or
suspension of the contract, in whole or in part.
T. Incorporation of Provisions §22
The Contractor will include the provisions of paragraphs A through F in every subcontract,
including procurement of materials and leases of equipment, unless exempt by the Regulations,
orders, or instructions issued pursuant thereto. The Contractor will take such action with respect
to any subcontract or procurement as the State or the FHWA may direct as a means of
enforcing such provisions including sanctions for noncompliance; provided, however, that, in the
event the Contractor becomes involved in, or is threatened with, litigation with a Subcontractor
or supplier as a result of such direction, the Contractor may request the State to enter into such
litigation to protect the interest of the State and in addition, the Contractor may request the
FHWA to enter into such litigation to protect the interests of the United States.
Page 3 of 3
37. EXHIBIT K—SUPPLEMENTAL FEDERAL PROVISIONS
State of Colorado
Supplemental Provisions for
Federally Funded Contracts, Grants, and Purchase Orders
Subject to
The Federal Funding Accountability and Transparency Act of 2006 (FFATA), As Amended
Revised as of 3-20-13
The contract,grant, or purchase order to which these Supplemental Provisions are attached has been funded,
in whole or in part,with an Award of Federal funds. In the event of a conflict between the provisions of these
Supplemental Provisions, the Special Provisions, the contract or any attachments or exhibits incorporated into
and made a part of the contract,the provisions of these Supplemental Provisions shall control.
1. Definitions. For the purposes of these Supplemental Provisions, the following terms shall have the
meanings ascribed to them below.
1.1. "Award" means an award of Federal financial assistance that a non-Federal Entity receives or
administers in the form of:
1.1.1. Grants;
1.1.2. Contracts;
1.1.3. Cooperative agreements,which do not include cooperative research and development
agreements(CRDA) pursuant to the Federal Technology Transfer Act of 1986, as
amended(15 U.S.C. 3710);
1.1.4. Loans;
1.1.5. Loan Guarantees;
1.1.6. Subsidies;
1.1.7. Insurance;
1.1.8. Food commodities;
1.1.9. Direct appropriations;
1.1.10. Assessed and voluntary contributions;and
1.1.11. Other financial assistance transactions that authorize the expenditure of Federal funds by
non-Federal Entities.
Award does not include:
.1.1.12. Technical assistance, which provides services in lieu of money;
1.1.13. A transfer of title to Federally-owned property provided in lieu of money; even if the award
is called a grant;
1.1.14. Any award classified for security purposes; or
1.1.16. Any award funded in whole or in part with Recovery funds,as defined in section 1512 of
the American Recovery and Reinvestment Act(ARRA)of 2009(Public Law 111-5).
1.2. "Contract" means the contract to which these Supplemental Provisions are attached and includes all
Award types in§1.1.1 through 1.1.11 above.
1.3. "Contractor" means the party or parties to a Contract funded, in whole or in part,with Federal
financial assistance, other than the Prime Recipient, and includes grantees, subgrantees,
Subrecipients, and borrowers. For purposes of Transparency Act reporting, Contractor does not
include Vendors.
1.4. "Data Universal Numbering System (DUNS)Number" means the nine-digit number established
and assigned by Dun and Bradstreet, Inc.to uniquely identify a business entity. Dun and Bradstreet's
website may be found at: http://fedgov.dnb.comAvebform.
1.5. "Entity" means all of the following as defined at 2 CFR part 25, subpart C;
1.5.1. A governmental organization, which is a State, local government, or Indian Tribe;
1.5.2. A foreign public entity;
1.5.3. A domestic or foreign non-profit organization;
Page 1 of 4
S
1.5.4. A domestic or foreign for-profit organization; and
1.5.5. A Federal agency, but only a Subrecipient under an Award or Subaward to anon-Federal
entity.
1.6. "Executive" means an officer, managing partner or any other employee in a management position.
1.7. "Federal Award Identification Number(FAIN)" means an Award number assigned by a Federal
agency to a Prime Recipient.
1.8. "FFATA".means the Federal Funding Accountability and Transparency Act of 2006(Public Law 109-
282), as amended by§6202 of Public Law 110-252. FFATA, as amended, also is referred to as the
"Transparency Act."
1.9. "Prime Recipient" means a Colorado State agency or institution of higher education that receives an
Award.
1.10. "Subaward" means a legal instrument pursuant to which a Prime Recipient of Award funds awards
all or a portion of such funds to a Subrecipient, in exchange for the Subrecipient's support in the
performance of all or any portion of the substantive projector program for which the Award was
granted.
1.11. "Subrecipient" means a non-Federal Entity(or a Federal agency under an Award or Subaward to a
non-Federal Entity) receiving Federal funds through a Prime Recipient to support the performance of
the Federal project or program for which the Federal funds were awarded. A Subrecipient is subject to
the terms and conditions of the Federal Award to the Prime Recipient, including program compliance
requirements. The tern "Subrecipient" includes and may be referred to as Subgrantee.
1.12. "Subrecipient Parent DUNS Number" means the subrecipient parent organization's 9-digit Data
Universal Numbering System (DUNS) number that appears in the subrecipient's System for Award
Management(SAM)profile, if applicable.
1.13. "Supplemental Provisions" means these Supplemental Provisions for Federally Funded Contracts,
Grants, and Purchase Orders subject to the Federal Funding Accountability and Transparency Act of
2006,As Amended, as may be revised pursuant to ongoing guidance from the relevant Federal or
State of Colorado agency or institution of higher education.
1.14. "System for Award Management(SAM)" means the Federal repository into which an Entity must
enter the information required under the Transparency Act, which may be found at
htto://www.sam.goy.
1.15. "Total Compensation" means the cash and noncash dollar value earned by an Executive during the
Prime Recipient's or Subrecipient's preceding fiscal year and includes the following:
1.15.1. Salary and bonus;
1.15.2. Awards of stock, stock options,and stock appreciation rights, using the dollar amount
recognized for financial statement reporting purposes with respect to the fiscal year in
accordance with the Statement of Financial Accounting Standards No. 123 (Revised
2005)(FAS 123R), Shared Based Payments;
1.15.3. Earnings for services under non-equity incentive plans, not including group life, health,
hospitalization or medical reimbursement plans that do not discriminate in favor of
Executives and are available generally to all salaried employees;
1.15.4. Change in present value of defined benefit and actuarial pension plans;
1.15.5. Above-market earnings on deferred compensation which is not tax-qualified;
1.16.6. Other compensation, if the aggregate value of all such other compensation (e.g.
severance, termination payments, value of life insurance paid on behalf of the employee,
perquisites or property)for the Executive exceeds$10,000.
1.16. "Transparency Act" means the Federal Funding Accountability and Transparency Act of 2006 (Public
Law 109-282), as amended by§6202 of Public Law 110-252. The Transparency Act also is referred
to as FFATA.
1.17 "Vendor" means a dealer, distributor, merchant or other seller providing property or services required
for a project or program funded by an Award.A Vendor is not a Prime Recipient or a Subrecipient and
Page 2 of 4
is not subject to the terms and conditions of the Federal award. Program compliance requirements do
not pass through to a Vendor.
2. Compliance.Contractor shall comply with all applicable provisions of the Transparency Act and the
regulations issued pursuant thereto, including but not limited to these Supplemental Provisions.Any
revisions to such provisions or regulations shall automatically become a part of these Supplemental
Provisions, without the necessity of either party executing any further instrument. The State of Colorado
may provide written notification to Contractor of such revisions, but such notice shall not be a condition
precedent to the effectiveness of such revisions.
3. System for Award Management(SAM)and Data Universal Numbering System (DUNS)Requirements.
3.1. SAM.Contractor shall maintain the currency of its information in SAM until the Contractor submits the
final financial report required under the Award or receives final payment,whichever is later.
Contractor shall review and update SAM information at least annually after the initial registration, and
more frequently if required by changes in its information.
3.2. DUNS. Contractor shall provide its DUNS number to its Prime Recipient, and shall update
Contractor's information in Dun &Bradstreet, Inc. at least annually after the initial registration, and
more frequently if required by changes in Contractor's information.
4. Total Compensation. Contractor shall include Total Compensation in SAM for each of its five most highly
compensated Executives for the preceding fiscal year if:
4.1. The total Federal funding authorized to date under the Award is$25,000 or more; and
4.2. In the preceding fiscal year, Contractor received:
4.2.1. 80% or more of its annual gross revenues from Federal procurement contracts and
subcontracts and/or Federal financial assistance Awards or Subawards subject to the
Transparency Act; and
4.2.2. $25,000,000 or more in annual gross revenues from Federal procurement contracts and
subcontracts and/or Federal financial assistance Awards or Subawards subject to the
Transparency Act; and
4.3. The public does not have access to information about the compensation of such Executives through
periodic reports filed under section 13(a)or 15(d) of the Securities Exchange Act of 1934(15 U.S.C.
78m(a),78o(d)or§6104 of the Internal Revenue Code of 1986.
5. Reporting.Contractor shall report data elements to SAM and to the Prime Recipient as required in§7
below if Contractor is a Subrecipient for the Award pursuant to the Transparency Act. No direct payment
shall be made to Contractor for providing any reports required under these Supplemental Provisions and the
cost of producing such reports shall be included in the Contract price. The reporting requirements in§7
below are based on guidance from the US Office of Management and Budget(OMB), and as such are
subject to change at any time by OMB. Any such changes shall be automatically incorporated into this
Contract and shall become part of Contractor's obligations under this Contract, as provided in §2 above.
The Colorado Office of the State Controller will provide summaries of revised OMB reporting requirements
at http://www.colorado.gov/dpa/dfp/sco/FFATA.htm.
6. Effective Date and Dollar Threshold for Reporting. The effective date of these Supplemental Provisions
apply to new Awards as of October 1, 2010. Reporting requirements in §7 below apply to new Awards as of
October 1, 2010. if the initial award is $25,000 or more. If the initial Award is below$25,000 but subsequent
Award modifications result in a total Award of$25,000 or more,the Award is subject to the reporting
requirements as of the date the Award exceeds$25,000. If the initial Award is$25,000 or more, but funding
is subsequently de-obligated such that the total award amount falls below$25,000,the Award shall continue
to be subject to the reporting requirements.
7. Subrecipient Reporting Requirements. If Contractor is a Subrecipient, Contractor shall report as set forth
below.
Page 3 of 4
4
7.1 ToSAM. A Subrecipient shall register in SAM and report the following data elements in SAM for each
Federal Award Identification Number no later than the end of the month following the month in which
the Subaward was made:
7.1.1 Subrecipient DUNS Number;
7.1.2 Subrecipient DUNS Number+4 if more than one electronic funds transfer(EFT)account;
7.1.3 Subrecipient Parent DUNS Number;
7.1.4 Subrecipient's address, including: Street Address, City, State, Country, Zip +4, and
Congressional District;
7.1.5 Subrecipient's top 5 most highly compensated Executives if the criteria in§4 above are
met; and
7.1.6 Subrecipient's Total Compensation of top 5 most highly compensated Executives if
criteria in§4 above met.
7.2 To Prime Recipient. A Subrecipient shall report to its Prime Recipient, upon the effective date of the
Contract, the following data elements:
7.2.1 Subrecipient's DUNS Number as registered in SAM.
7.2.2 Primary Place of Performance Information, including: Street Address, City, State,
Country,Zip code +4, and Congressional District.
8. Exemptions.
8.1. These Supplemental Provisions do not apply to an individual who receives an Award as a natural
person, unrelated to any business or non-profit organization he or she may own or operate in his or
her name.
8.2 A Contractor with gross income from all sources of less than $300,000 in the previous tax year is
exempt from the requirements to report Subawards and the Total Compensation of its most highly
compensated Executives.
8.3 Effective October 1,2010, "Award" currently means a grant, cooperative agreement,or other
arrangement as defined in Section 1.1 of these Special Provisions. On future dates"Award"may
include other items to be specified by OMB in policy memoranda available at the OMB Web site;
Award also will include other types of Awards subject to the Transparency Act.
8.4 There are no Transparency Act reporting requirements for Vendors.
Event of Default. Failure to comply with these Supplemental Provisions shall constitute an event of default
under the Contract and the State of Colorado may terminate the Contract upon 30 days prior written notice if
the default remains uncured five calendar days following the termination of the 30 day notice period. This
remedy will be in addition to any other remedy available to the State of Colorado under the Contract, at law
or in equity.
Page 4 of 4