HomeMy WebLinkAbout2009-013-02/17/2009-AUTHORIZING THE MAYOR TO ENTER INTO AN AGREEMENT WITH THE COLORADO DEPARTMENT OF TRANSPORTATION TO E RESOLUTION 2009-013
OF THE COUNCIL OF THE CITY OF FORT COLLINS
AUTHORIZING THE MAYOR TO ENTER INTO AN AGREEMENT WITH
THE COLORADO DEPARTMENT OF TRANSPORTATION TO ENABLE
THE CITY TO RECEIVE ENHANCEMENT FUNDING FOR
THE LINDEN STREET STREETSCAPE PROJECT
WHEREAS,Linden Street serves as the link between Old Town Square and the area known
as the Downtown River District; and
WHEREAS, the portion of Linden Street between Walnut Street and Jefferson Street was
previously improved and serves as an inviting extension of downtown, while Linden Street to the
northeast of its intersection with Jefferson Street is in need of enhancement by the addition of
functional sidewalks, bike lanes, landscaping, street trees, and on-street parking areas; and
WHEREAS, $250,000 in "Transportation Enhancement" funding has been made available
to the City by the Colorado Department of Transportation ("CDOT") for improvements to be
constructed as a part of the Linden Street Streetscape Project; and
WHEREAS, the City is providing an additional $250,000 in local matching funds from the
City's Building on Basics Pedestrian Plan program,and the Downtown Development Authority(he
"DDA")has approved an additional$500,000 in funding to help fund the improvements envisioned
in the Downtown River District Project,so that the combined funding from CDOT,the City,and the
DDA will total$1,000,000,which amount is intended to cover the cost of design,engineering,right-
of-way, and construction for Phase 1 of the Linden Street Streetscape Project; and
WHEREAS, the City Council has determined that it is in the best interests of the City that
the City enter into an agreement with CDOT to provide $250,000 in funding for the Linden Street
Streetscape Project.
NOW, THEREFORE, BE IT RESOLVED BY THE COUNCIL OF THE CITY OF FORT
COLLINS that the Mayor is hereby authorized to execute an agreement with CDOT for the purpose
of the City's receipt of CDOT "Transportation Enhancement" funding for the Linden Street
Streetscape Project in the sum of $250,000 which agreement shall be in substantially the form
attached hereto and incorporated herein as Exhibit "A," subject to such modifications in form or
substance as the City Manager, in consultation with the City Attorney, may deem necessary to
effectuate the purposes of this Resolution or to protect the interests of the City.
Passed and adopted at a regular meeting of the CoynciTjof the City of Fort Collins this 17th
day of February, A.D. 2009.
Mayor
A TEST:
— VLL W . �� ,". —
City Clerk
i
(FMLAWRK) Rev 09/03
PROJECT STE M455-093, (16938) 09 HA4 00036
REGION 4/(bh) SAP ID 271000855
CONTRACT
THIS CONTRACT made this_day of 20� by and between the State of
Colorado for the use and benefit of the Colorado Department of Transportation hereinafter referred to
as the State and the Cit of Fort Collins Y.O.Box 580,Fort Collins,Colorado,80522,CDOT Vendor#:
2000023, hereinafter referred to as the"Contractor"or the"Local Agency."
RECITALS
1. Authority exists in the law and funds have been budgeted, appropriated and otherwise made
available and a sufficient uncommitted balance thereof remains available for payment of project and
Local Agency costs in Fund Number 400, Function 3020, GL Acct.4231200011, WBS Element
16938.10.30,(Contract Encumbrance Amount: $200,000.00).
2. Required approval,clearance and coordination have been accomplished from and with appropriate
agencies.
3. Pursuant to Title I,Subtitle A,Section 1108 of the"Transportation Equity Act for the 21"Century'
of 1998 (TEA-21) and/or the "Safe, Accountable, Flexible, Efficient"transportation Equity Act: A
Legacy for Users" (SAFETEA-LU) of 2005 and to applicable provisions of Title 23 of the United
States Code and implementing regulations at Title 23 of the Code of Federal Regulations,as may be
amended,(collectively referred to hereinafter as the"Federal Provisions"),certain federal funds have
been and will in the future be allocated for transportation projects requested by Local Agencies and
eligible under the Surface"Transportation Improvement Program that has been proposed by the State
and approved by the Fuleral Highway Administration ("FHWA"), hereinafter referred to as the
"Program."
4. Pursuant to § 43-1-223, C.R.S. and to applicable portions of the Federal Provisions,the State is
responsible for the general administration and supervision of performance ofprojects in the Program,
including the administration of federal funds for a Program project performed by a Local Agency under
a contract with the State.
5. The Local Agency has requested that a certain local transportation project be funded as part ofihe
Program,and by the date o f execution o f this contract,the focal Agency and/or the State has completed
and submitted a preliminary version of CDOT form #463 describing the general nature of the Work.
The Local Agency understands that before the Work begins, the Local Agency roust receive an
official written"Notice to Proceed"prior to commencing any part of the Work.The Local Agency
further understands, before the Work begins, the form #463 may be revised as a result of design
changes made by CDOT, in coordination with the Local Agency, in its internal review process. The
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Local Agency desires to perform the Work described in form H463, as it may be revised.
6. Federal-aid funds have been made available for project STE M455-093 (16938), which shall
consist of Design, ROW, and Construction of a pedestrian, bicycle, and streetscape improvements
along Linden Street from Jefferson Sl114 to the Pouder River.,referred to as the"Project" or the
"Work" Such Work will be performed in Fort Collins,Colorado,specifically described in Exhibit
A.
7. The matching ratio for this federal aid project is 80%federal-aid funds to 20%Local Agency funds,
it being understood that such ratio applies only to such costs as are eligible for federal participation,it
being further understood that all non-participating costs shall be borne by the Local Agency at 100%.
S. The Local Agency desires to comply with the Federal Provisions and other applicable requirements,
including the State's general administration and supervision of the Project through this contract, in
order to obtain federal funds.
9. The Local Agency has estimated the total cost of the Work and is prepared to provide its match share
of the cost,as evidenced by an appropriate ordinancehesolution or other authority letter which expressly
authorizes the Local Agency the authority to enter into this contract and to expend its match share of the
Work. A copy of such ordinance/resolution or authority letter is attached hereto as Exhibit B.
10. This contract is executed under the authority of§§29-1-203,43-1-110;43-1-116,43-2-101(4)(c)
and 43-2-144, C.R.S.and Exhibit B.
I I- 71re Local Agency is adequately staffed and suitably equipped to undertake and satisfactorily
complete some or all of the Work.
12. The Local Agency can more advantageously perform the Work.
TIIE PARTIES NOW AGREE THAT:
Section 1. Scope of Work
The Project or tine Work under this contract shall consist of Design, ROW,and Construction of
a pedestrian,bicycle, and streetscape improvements along Linden Street from Jefferson Sl114 to the
Pouder River, in Fort Collins,Colorado,as more specifically described in Exhibit A.
Section 2. Order of Precedence
In the event ofcwnflicts or inconsistencies between this contract and its exhibits,such conflicts
or inconsistencies shall be resolved by reference to the documents in the following order of priority:
I. Special Provisions contained in section 29 of this contract
2. This contract
3. Exhibit A (Scope of Work)
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4. Exhibit C(Funding Provisions)
5. Exhibit D (Certification for Federal-Aid Contracts)
6. Exhibit E(DBE Requirements)
7. Exhibit F(Contract Modification Tools)
8. Other Exhibits in descending order of their attachment.
Section 3. Term
This contract shall be effective upon approval of the State Controller or designee,or on the
date made,whichever is later. The term of this contract shall continue through the completion and
final acceptance of the Project by the State, FHWA and the Local Agency.
Section 4. Project Funding Provisions
The Local Agency has estimated the total cost of the Work and is prepared to provide its match
share of the cost, as evidenced by an appropriate ordinance/resolution or other authority letter which
expressly authorizes the Local Agency the authority to enter into this contract and to expend its match
share of the Work. A copy of such ordinance/resolution or authority letter is attached hereto as Exhibit B.
The funding provisions for the Project are attached hereto as Exhibit C. The Local Agency
shall provide its share of the funds for the Project as outlined in Exhibit C.
Section 5. Project Payment Provisions
The maximum amount payable to the Local Agency under this contract shall be
$250,000.00.
A. The State will reimburse the Local Agency for the federal-aid share of the project charges
after the State's review and approval of such charges, subject to the terms and conditions of this
contract. However, any charges incurred by the Local Agency prior to the date of FHWA
authorisation forthc Project and prior to the date this contract is executed by the State Controller or
his designee will not be reimbursed absent specific FHWA and State Controller approval thereof.
B. The State will reimburse the Local Agency's reasonable, allocable, allowable costs of
performance of the Work, not exceeding the maximum total amount described in Exhibit C. The
applicable principles described in 49 C.F.R. 18 Subpart C and 49 C.P.R. 18.22 shall govern the
allowability and allocability of costs under this contract. The Local Agency shall comply with all
such principles. To be eligible for reimbursement, costs by the Local Agency shall be:
1. in accordance with the provisions of Exhibit C and with the terms and conditions of
this contract;
2. necessary for the accomplishment of the Work;
3. reasonable in the amount for the goods and services provided;
4. actual net cost to the Local Agency(i.e.the price paid minus any refunds,rebates,or
other items of value received.by the Local Agency that have the effect of reducing the
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cost actually incurred);
5. incurred for Work performed after the effective date of this contract;
6. satisfactorily documented.
C. The Local Agency shall establish and maintain a proper accounting system in accordance
with generally accepted accounting standards(a separate set of accounts,or as a separate and integral
part of its current accounting scheme)to assure that project funds are expended and costs accounted
for in a manner consistent with this contract and project objectives.
1. All allowable costs charged to the project, including any approved services
contributed by the Local Agency or others, shall be supported by properly executed
payrolls,time records,invoices,contracts or vouchers evidencing in detail the nature
of the charges.
2. Any check or order drawn up by the Local Agency, including any item which is or
will be chargeable against the project account shall be drawn up only in accordance
with a properly signed voucher then on file in the office of the Local Agency,which
will detail the purpose for which said check or order is drawn. All checks,payrolls,
invoices,contracts, vouchers,orders or other accounting documents shall be clearly
identified,readily accessible,and to the extent feasible,kept separate and apart from
all other such documents.
D. Upon execution of this contract, the State is authorized, in its discretion, to perform any
necessary administrative support services pursuant to this contract. These services may be performed
prior to and in preparation for any conditions or requirements of this contract,including prior FHWA
approval of Work. The Local Agency understands and agrees that the State may perform such
services,and that payments for such services shall be at no cost to the State but shall be as provided
for in Exhibit C. At the request of the Local Agency, the State shall also provide other assistance
pursuant to this contract as may be agreed in writing. In the event that federal-aid project funds
remain available for payment, the Local Agency understands and agrees the costs of any such
services and assistance shall be paid to the State from project funds at the applicable rate. However,
in the event that such funding is not made available or is withdrawn for this contract,or if the Local
Agency terminates this contract prior to project approval or completion for any reason,then all actual
incurred costs of such services and assistance provided by the State shall be the sole expense of the
Local Agency.
E. If the Local Agency is to be billed for CDOT incurred costs,the billing procedure shall be as
follows:
1. Upon receipt of each bill from the Stale,the Local Agency will remit to the State the
amount billed no later than 60 days after receipt of each bill. Should the Local
Agency fail to pay moneys due the State within 60 days of demand or within such
other period as may be agreed between the parties hereto, the Local Agency agrees
that, at the request of the State, the State Treasurer may withhold an equal amount
from future apportionment due the Local Agency from the 1-lighway Users Tax Fund
and to pay such funds directly to the State. Interim funds, until the State is
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reimbursed, shall be payable from the State Highway Supplementary Fund (400).
2. if the Local Agency fails to make timely payment to the State as required by this
section (within 60 days after the date of each bill), the Local Agency shall pay
interest to the State at a rate of one percent per month on the amount of the payment
which was not made in a timely manner, until the billing is paid in full. The interest
shall accrue for the period from the required payment date to the date on which
payment is made.
F. The Local Agency will prepare and submit to the State, no more than monthly, charges for
costs incurred relative to the project. The Local Agency's invoices shall include a description of the
amounts of services performed, the dates of performance and the amounts and description of
reimbursable expenses. The invoices will be prepared in accordance with the State's standard
policies, procedures and standardized billing format to be supplied by the State.
G. To be eligible for payment, billings must be received within 60 days after the period for
which payment is being requested and final billings on this contract must be received by the State
within 60 days after the end of the contract term.
1. Payments pursuant to this contract shall be made as earned, in whole or in part, from
available funds,encumbered for the purchase of the described services. The liability
of the State,at any time, for such payments shall be limited to the amount remaining
ofsuch encumbered funds.
2. In the event this contract is terminated, final payment to the Local Agency may be
withheld at the discretion of the State until completion of final audit.
3. Incorrect payments to the Local Agency due to omission,error, fraud or defalcation
shall be recovered from the Local Agency by deduction from subsequent payment
under this contract or other contracts between the State and Local Agency,or by the
State as a debt due to the State.
4- Any costs incurred by the Local Agency that are not allowable under 49 C.F-R. 18
shall be reumbursed by the Local Agency,or offset against current obligations due by
the State to the Local Agency, at the State's election.
Section 6. State and Local Agency Commitments
The Local Agency Contract Administration Checklist in Exhibit G describes the Work to be
perfanned and assigns responsibility of that Work to either the Local Agency or the State. The
"Responsible Party" referred to in this contract means the Responsible Party as identified in the
Local Agency Contract Administration Checklist in Exhibit G.
A. Design [if applicable]
1. If the Work includes prelimi nary design or final design(the"Construction Plans"),or
design work sheets,or special provisions and estimates(collectively referred to as the"Plans"), the
responsible party shall comply with the following requirements, as applicable:
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a. perform or provide the Plans, to the extent required by the nature of the
Work.
b. prepare final design(Construction Plans)in accord with the requirements of
the latest edition of the American Association of State Highway
Transportation Officials (AASIITO) manual or other standard, such as the
Uniform Building Code,as approved by CDOT_
C. prepare special provisions and estimates in accord with the State's Roadway
and Bridge Design Manuals and Standard Specifications for Road and Bridge
Construction or Local Agency specifications if approved by CDO"I'.
d. include details of any required detours in the Plans, in order to prevent any
interference of the construction work and to protect the traveling public.
e. stamp the Plans produced by a Colorado Registered Professional Engineer.
f. provide final assembly of Plans and contract documents.
g1 be responsible for the Plans being accurate and complete.
h. make no further changes in the Plans following the award of the construction
contract except by agreement in writing between the parties. The Plans shall
be considered final when approved and accepted by the parties hereto, and
when final they shall be deemed incorporated herein.
2. If the Local Agency is the responsible party:
a. The local agency shall comply with the requirements of the Americans
With Disabilities Act(ADA), and applicable federal regulations and
standards as contained in the document"ADA Accessibility Requirements
in CDO'I"Transportation Projects".
b. It shall afford the State ample opportunity to review the Plans and make
any changes in the Plans that are directed by the State to comply with
FIIWA requirements.
C. It may enter into a contract with a consultant to do all or any portion of the
Plans and/or of construction administration. Provided, however, that if
federal-aid funds are involved in the cost of such work to be done by a
consultant, that consultant contract(and the performance/provision of the
Plans under the contract) must comply with all applicable requirements of
23 CFR Part 172 and with any procedures implementing those
requirements as provided by the State, including those in Exhibit H
attached hereto. If the Local Agency does enter into a contract with a
consultant for the Work:
(1) it shall subnut a certification that procurement of any design
consultant contract complied with the requirements of23 CFR 172.5(l)prior
to entering into contract. The State shall either approve or deny such
procurement. If denied, the Local Agency may not enter into the contract.
(2) it shall ensure that all changes in the consultant contract have prior
approval by the State and FI IWA. Such changes in the contract shall be by
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written supplement agreement. As soon as the contract with the consultant
has been awarded by the Local Agency, one copy of the executed contract
shall be submitted to the State. Any amendments to such contract shall also
be submitted.
(3) it shall require that all consultant billings under that contract shall
comply with the State's standardized billing format. Examples of the billing
formats are available from the CDOT Agreements Office.
(4) it (or its consultant) shall use the CDOT procedures described in
Exhibit H to administer that design consultant subcontract,to comply with 23
CFR 172.5(b) and (d).
(5) it may expedite anyCDOT approval of its procurement process and/or
consultant contract by submitting a letter to CDOT from the certifying Local
Agency's attorney/authorized representative certifying compliance with
Exhibit tl and 23 CPR 172.5(b)and (d).
(6) it shall ensure that its consultant contract complies with the
requirements of 49 CFR 18.36(i) and contains the following language
verbatim:
(a) "The design work under this contract shall be compatible with
the requirements of the contract between the Local Agency and the
State (which is incorporated herein by this reference) for the
design/construction of the project. The State is an intended third
party beneficiary of this contract for that purpose."
(b) "Upon advertisement of the project work forconstruction,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 Bridec Construction,in connection with
this work."
d. The State,in its discretion,will review construction plans,special provisions
and estimates and will cause the Local Agency to make changes therein that
the State determines are necessary to assure compliance with State and
FH W A requirements.
B. Construction [if applicable]
1. If the Work includes construction, the responsible party shall perform the
construction in accordance with the approved design plans and/or administer the
construction all in accord with the Local Agency Contract Administration Checklist.
Such administration shall include project inspection and testing;approving sources of
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materials;performing required plant and shop inspections;documentation of contract
payments, testing and inspection activities;preparing and approving pay estimates;
preparing, approving and securing the funding for contract modification orders and
minor contract revisions;processing contractor claims;construction supervision;and
meeting the Quality Control requirements of the FHWA/CDOT Stewardship
Agreement, as described in the Local Agency Contract Administration Checklist.
2. The State shall have the authority to suspend the Work, wholly or in part, by giving
written notice thereof to the Local Agency,due to the failure of the Local Agency or
its contractor to correct project conditions which are unsafe for workers or for such
periods as the State may deem necessary due to unsuitable weather, or for conditions
considered unsuitable for the prosecution of the Work,or for any other condition or
reason deemed by the State to be in the public interest.
3. If the Local Agency is the responsible party:
a, it shall appoint a qualified professional engineer, licensed in the State of
Colorado, as the Local Agency Project Engineer (LAPS), to perform that
administration. The LAPS shall administer the project in accordance with
this contract, die requirements of the construction contract and applicable
State procedures.
b. if bids are to be let for the construction of the project, it shall advertise the
call for bids upon approval by the State and award the construction
contract(s) to the low responsible bidder(s) upon approval by the State.
(1) in advertising and awarding the bid for the construction of a federal-
aid project, the Local Agency shall comply with applicable
requirements of 23 USC § 112 and 23 CFR Parts 633 and 635 and
C.R.S. § 24-92-101 et seq. Those requirements include, without
limitation, that the Local Agency/contractor shall incorporate Fomn
1273 (Exhibit 1) in its entirety verbatim into any subcontract(s) for
those services as terms and conditions therefore, as required by 23
CFR 633.102(c).
(2) the Local Agency has the option to acceptor reject the proposal of the
apparent low bidder for work on which competitive bids have been
received. The Local Agency must declare the acceptance or rejection
within 3 working days after said bids are publicly opened.
(3) by indicating its concurrence in such award,the Local Agency,acting
by or through its duly authorized representatives, agrees to provide
additional funds, subject to their availability and appropriation for
that purpose,if required to complete the Work under this project if no
additional federal-aid funds will be made available for the project.
This paragraph also applies to projects advertised and awarded by the
State.
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C. If all or part of the construction work is to be accomplished by Local Agency
personnel (i.e. by force account), rather than by a competitive bidding
process, the Local Agency will ensure that all such force account work is
accomplished in accordance with the pertinent State specifications and
requirements with 23 CFR 635, Subpart B, Force Account Construction.
(1) Such work will normallybe based upon estimated quantities and firm
unit prices agreed to between the Local Agency,the State and FHWA
in advance of the Work,as provided for in 23 CFR 635.204(c). Such
agreed unit prices shall constitute a commitment as to thevalue of the
Work to be performed.
(2) An alternative to the above is that the Local Agency may agree to
participate in the Work based on actual costs of labor, equipment
rental, materials supplies and supervision necessary to complete the
Work. Where actual costs are used, eligibility of cost items shall be
evaluated for compliance with 48 CFR Part 31.
(3) Rental rates for publicly owned equipment will be determined in
accordance with the State's Standard Specifications for Road and
Bridge Construction § 109.04.
(4) All force account work shall have prior approval of the State and/or
FHWA and shall not be initiated until the State has issued a written
notice to proceed.
D. State's obligations
I. The State will perform a final project inspection prior to project acceptance as a
Quality Control/Assurance activity. When all Work has been satisfactorily
completed, the State will sign the FHWA Form 1212.
2. Notwithstanding any consents or approvals given by the State for the Plans,the State
will not be liable or responsible in any manner for the structural design, details or
construction of any major structures that are designed by or are the responsibility of
the Local Agency as identified in the Local Agency Contract Administration
Checklist, Exhibit G, within the Work of this contract.
Section 7. ROW Acquisition and Relocation
Prior to this project being advertised for bids,the Responsible Party will certify in writing to
the State that all right of way has been acquired in accordance with the applicable State and federal
regulations, or that no additional right of way is required.
Any acquisition/relocation activities must comply with all federal and state statutes,
regulations, CDOT policies and procedures, 49 CFR Part 24, the government wide Uniform Act
regulation,the FHWA Project Development Guide and CDOT's Right of Way Operations Manual.
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Allocation of Responsibilities can be as follows:
• Federal participation in right of way acquisition(3111 charges),relocation(3109
charges) activities, if any, and right of way incidentals (expenses incidental to
acquisition/relocation of right of way—3114 charges);
• Federal participation in right of way acquisition(31 1 1 charges),relocation(3109
charges)but no participation in incidental expenses (3114 charges); or
• No federal participation in right of way acquisition(3 11 l charges)and relocation
activities(3109 expenses).
Regardless of the option selected above, the State retains oversight responsibilities. The
Local Agency's and the State's responsibilities for each option is specifically set forth in CDOT's
Right of Way Operation Manual:The manual is located at littp://wwna,.dot.state.co.us/ROW Manual/.
Sections. Utilities
If necessary,the Responsible Party will be responsible for obtaining the proper clearance or
approval from any utility company which may become involved in this Project. Prior to this Project
being advertised for bids, the Responsible Party will certify in writing to the State that all such
clearances have been obtained.
Section 9. Railroads
In the event the Project involves modification of a railroad company's facilities whereby the
Work is to be accomplished by railroad company forces, the Responsible Party shall make timely
application to the Public Utilities Commission requesting its order providing for the installation of
the proposed improvements and not proceed with that part of the Work without compliance. The
Responsible Party shall also establish contact with the railroad company involved for the purpose of
complying with applicable provisions of 23 CPR 646, subpart B, concerning federal-aid projects
involving railroad facilities, including:
1. Executing an agreement setting out what work is to be accomplished and the
location(s)thereof,and that the costs of the improvement shall be eligible for federal
participation.
2. Obtaining the railroad's detailed estimate of the cost of the Work.
3. Establishing future maintenance responsibilities for the proposed installation.
4. Proscribing future use or dispositions of the proposed improvements in the event of'
abandonment or elimination of a grade crossing.
5. Establishing future repair and/or replacement responsibilities in the event of
accidental destruction or damage to the installation.
Section 10. Environmental Obligations
The Local Agency shall perform all Work in accordance with the requirements of the current
federal and state environmental regulations including the National Environmental Policy Act of 1969
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(NEPA) as applicable.
Section 11. Maintenance Obligations
The Local Agency will maintain and operate the improvements constructed under this
contract at its own cost and expense during their useful life, in a manner satisfactory to the State and
FHWA. The Local Agency will make proper provisions for such maintenance obligations each year.
Such maintenance and operations shall be conducted in accordance with all applicable statutes,
ordinances and regulations which define the Local Agency's obligations to maintain such
improvements. The State and FHWA will make periodic inspections of the project to verify that
such improvements are being adequately maintained.
Section 12. Federal Requirements
The Local Agency and/or their contractor shall at all times during the execution of this
contract strictly adhere to, and comply with, all applicable federal and state laws, and their
implementing regulations, as they currently exist and may hereafter be amended. The contractor
shall also require compliance with these statutes and regulations in subgrant agreements permitted
under this cxmtract. A listing of certain federal and state laws that may be applicable are described in
Exhibit J.
Section 13. Record Keeping
The Local Agency shall maintain a complete file of all records,documents,communications,
and other written materials which pertain to the costs incurred under this contract. The Local
Agency shall maintain such records for a period of three(3)years after the date of termination of this
contract or final payment hereunder, whichever is later, or for such further period as may be
necessary to resolve any matters which may be pending. The Local Agency shall make such
materials available for inspection at all reasonable times and shall permit dulyauthorized agents and
employees of the State and Fli WA to inspect the project and to inspect,review and audit the project
records.
Section 14. Termination Provisions
'this contract may be terminated as follows:
A. Termination for Convenience. The State may tenninate this contract at any time the State
determines that the purposes of the distribution of moneys under the contract would no longer be
served by completion of the project. The State shall effect such termination by giving written notice
of termination to the Local Agency and specifying the effective date thereof,at least twenty(20)days
before the effective date of such termination.
B. Termination for Cause. If, through any cause, the Local Agency shall fail to fulfill, in a timely
and proper manner,its obligations under this contract,or ifthe Local Agency shall violate any of the
covenants, agreements, or stipulations of this contract, the State shall thereupon have the right to
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terminate this contract for cause by giving written notice to the Local Agency of its intent to
terminate and at least ten(10)days opportunity to cure the default or show cause why termination is
otherwise not appropriate. In the event of termination, all finished or unfinished documents, data,
studies,surveys,drawings,maps,models,photographs and reports or other material prepared by the
Local Agency under this contract shall,at the option of the State,become its property,and the Local
Agency shall be entitled to receive just and equitable compensation for any services and supplies
delivered and accepted. The Local Agency shall be obligated to return any payments advanced under
the provisions of this contract.
Notwithstanding the above,the Local Agency shall not be relieved of liability to the State for any
damages sustained by the State by virtue of any breach of the contract by the Local Agency,and the
State may withhold payment to the Local Agency for the purposes of mitigating its damages until
such time as the exact amount of damages due to the State from the Local Agency is determined.
If after such termination it is determined,for any reason,that the Local Agency was not in default
or that the Local Agency's action/inaction was excusable, such termination shall be treated as a
termination for convenience, and the rights and obligations of the parties shall be the same as if the
contract had been terminated for convenience, as described herein.
C. Termination Due to Loss of Funding. The parties hereto expressly recognize that the Local
Agency is to be paid,reimbursed,or otherwise compensated with federal and/or State funds which
are available to the State for the purposes of contracting for the Project provided for herein, and
therefore,the Local Agency expressly understands and agrees that all its rights,demands and claims
to compensation arising under this contract are contingent upon availability of such funds to the
State. In the event that such funds or any part thereof are not available to the State, the State may
immediately terminate or amend this contract.
Section 15. Legal Authority
The Local Agency warrants that it possesses the legal authority to enter into this contract and that
it has taken all actions required by its procedures, by-laws, and/or applicable law to exercise that
authority,and to lawfully authorize its undersigned signatory to execute this contract and to bind the
Local Agency to its terms. The person(s) executing this contract on behalf of the Local Agency
warrants that such person(s)has full authorization to execute this contract.
Section 16. Representatives and Notice
The State will provide liaison with the Local Agency through the State's Region Director,Region 4,
1420 2nd Street Greeley, Colorado 80631. Said Region Director will also be responsible for
coordinating tine State's activities under this contract and will also issue a"Notice to Proceed"to the
Local Agency for commencement of the Work. All communications relating to the day-to-day
activities for the work shall be exchanged between representatives of the State's Transportation
Region 4 and the Local Agency. All communication,notices,and correspondence shall be addressed
to the individuals identified below. Either party may from time to time designate in writing new or
substitute representatives.
Page 12 of 19
If to State: If to the Local Agency:
Tim Tuttle Kathleen Bracke
CDOT Region 4 City of Fort Collins
1420 2nd Street 220 N. Mason Street
Greeley,Colorado 80631 Fort Collins, CO 80522
(970) 350-2211 970) 224-6140
Section 17. Successors
Fxcept as herein otherwise provided,this contract shall inure to the benefit of and be binding
upon the parties hereto and their respective successors and assigns.
Section 18. Third Party Beneficiaries
It is expresslyunderstood and agreed that the enforcement of the terms and conditions of this
contract and all tights of action relating to such enforcement, shall be strictly reserved to the State
and the Local Agency. Nothing contained in this contract shall give or allow any claim or right of
action whatsoever by any other third person. It is the express intention of the State and the Local
Agency that any such person or entity,other than the State or the Local Agency receiving services or
benefits under this contract shall be deemed an incidental beneficiary only.
Section 19. Governmental lmmunity
Notwithstanding any other provision of this contract to the contrary,no term or condition of
this contract shall be construed or interpreted as a waiver, express or implied, of any of the
immunities,rights,benefits,protection,or other provisions of the Colorado Governmental Immunity
Act, § 24-10-101,et seq., C.R.S., as now or hereafter amcnded. The parties understand and agree
that liability for claims for injuries to persons or property arising out of negligence of the State of
Colorado, its departments, institutions,agencies,boards,officials and employees is controlled and
limited by the provisions of§ 24-10-101,et scq.,C.R.S.,as now or hereafter amended and the risk
management statutes, §§ 24-30-1501, et seq., C.R.S., as now or hereafter amended.
Section 20. Severability
To the extent that this contract may be executed and performance of the obligations of the
parties maybe accomplished within the intent of the contract,the terms ofthis contract are severable,
and should any term or provision hereof be declared invalid or become inoperative for any reason,
such invalidity or failure shall not affect the validity of any other term or provision hereof
Section 21. Waiver
The waiver of any breach of a term,provision, or requirement of this contract shall not be
construed or deemed as a waiver of any subsequent breach of such term,provision,or requirement,
Page 13 of 19
or of any other term, provision or requirement.
Section 22. Entire Understanding
This contract is intended as the complete integration of all understandings between the
parties. No prior or contemporaneous addition,deletion,or other amendment hereto shall have any
force or effect whatsoever, unless embodied herein by writing. No subsequent novation, renewal,
addition, deletion, or other amendment hereto shall have any force or effect unless embodied in a
writing executed and approved pursuant to the State Fiscal Rules.
Section 23. Survival of Contract Terms
Notwithstanding anything herein to the contrary, the parties understand and agree that all
terms and conditions of this contract and the exhibits and attachments hereto which may require
continued performance, compliance or effect beyond the tennination date of the contract shall
survive such termination date and shall be enforceable by the State as provided herein in the event of
such failure to perform or comply by the Local Agency.
Section 24. Modification and Amendment
This contract is subject to such modifications as may be required by changes in federal or
State law,or their implementing regulations. Any such required modification shall automatically be
incorporated into and be part of this contract on the effective date of such change as if fully set forth
herein. Except as provided above,no modification of this contract shall be effective unless agreed to
in writing by both parties in an amendment to this contract that is properly executed and approved in
accordance with applicable law.
Section 25. Option Letters
Option Letters may be used to extend Agreement term,change the level of service within the current
term due to unexpected overmatch, add a phase without increasing contract dollars,or increase or
decrease the amount of funding. These options are limited to the specific scenarios listed below.
The Option Letter shall not be deemed valid until signed by the State Controller or an authorized
delegate. Following are the applications for the individual options under the Option Letter form:
Option 1 - Option to extend or renew (thus option applies to Highway and Signal maintenance;
contracts only). In the event the State desires to continue the Services and a replacement contract
has not been fully approved by the termination date of this contract, the State, upon written notice
to Contractor,may unilaterally extend this contract for a period of up to one(1)year. The
contract shall be extended wider the same terms and conditions as the original contract,
including,but not limited to prices, rates and service delivery requirements. This extension shall
terminate at the end of the one(1)year period or when the replacement contract is signed by the
Colorado State Controller or an authorized delegate.
Page 14 of 19
The State may exercise this option by providing a fully executed option to the contractor,
within thirty(30)days prior to the end of the current contract term,in a form substantially equivalent
to Exhibit F. If the State exercises this option,the extended contract will be considered to include
this option provision. The total duration of this contract,including the exercise of any options under
this clause, shall not exceed five(5)years.
Option 2—Level of service change within current term due to unexpected overmatch in an
overbid situation only. hr the event the State has contracted all project funding and the Local
Agency's construction bid is higher than expected, this option allows for additional Local
Overmatch dollars to be provided by the Local Agency to be added to the contract. This option is
only applicable for Local Overmatch on an overbid situation and shall not be intended for any
other Local Overmatch funding.
The State may unilaterally increase the total dollars of this contract as stipulated by the executed
Option Letter(Exhibit F), which will bring the maximum amount payable under this contract
to the amount indicated in Exhibit C-I attached to the executed Option Letter(future changes to
Exhibit C shall be labeled as C-2, C-3, etc, as applicable). Performance of the services shall
continue under the same terms as established in the contract. The State will use the Financial
Statement submitted by the Local Agency for "Concurrence to Advertise"as evidence of the
Local Agency's intent to award and it will also provide the additional amount required to
exercise this option. If the State exercises this option, the contract will be considered to include
this option provision.
Option 3 — Option to add overlapping phase without increasing contract dollars. The State may
require the contractor to begin a phase that may include Design, Construction, Environmental,
Utilities, ROW Incidentals or Miscellaneous(this does not apply to Acquisition/Relocation or
Railroads) as detailed in Exhibit A and at the same terms and conditions stated in the original
contract with the contract dollars remaining the same. The State may exercise this option by
providing a fully executed option to the contractor within thirty(30)days before the initial targeted
start date of the phase, in a form substantially equivalent to Exhibit F. If the State exercises this
option, the contract will be considered to include this option provision.
Option 4-To update funding(increases and/or decreases) with a new Exhibit C. This option
can be used to increase and/or decrease the overall contract dollars (state, federal, local match,
local agency overmatch) to date, by replacing the original funding exhibit (Exhibit C)in the
Original Contract with an updated Exhibit C-1 (subsequent exhibits to Exhibit C-1 shall be
labeled C-2, C-3, etc).
The State may have a need to update changes to state, federal, local match and local agency
overmatch funds as outlined in Exhibit C- 1, which will be attached to the option form. The State
may exercise this option by providing a fully executed option to the contractor within thirty(30)days
after the State has received notice of funding changes,in a form substantially equivalent to Exhibit
F. If the State exercises this option,the contract will be considered to include this option provision.
Section 26. Disadvantaged Business Enterprise (DBE)
Page 15 of 19
The Local Agency will comply with all requirements of Exhibit E and the Local Agency
Contract Administration Checklist regarding DBE requirements for the Work, except that if the
Local Agency desires to use its own DBE program to implement and administer the DBE provisions
of 49 CFR Part 26 under this contract, it must submit a copy of its program's requirements to the
State for review and approval before the execution of this contract. If the Local Agency uses its
program for this contract,the Local Agency shall be solely responsible to defend that DBE program
and its use of that program against all legal and other challenges or complaints,at its sole cost and
expense. Such responsibility includes,without limitation,determinations concerning DBE eligibility
requirements and certification,adequate legal and factual bases for DBE goals and good faith efforts.
State approval(if provided)of the Local Agency's DBE program does not waive or modify the sole
responsibility of the Local Agency for its use as described above.
Section 27. Disputes
Except as otherwise provided in this contract, any dispute concerning a question of fact
arising under this contract which is not disposed of by agreement, will be decided by the Chief
Engineerof the Department o£Transportation. The decision of the Chief Engineer will be final and
conclusive unless,within 30 calendar days after the date ofreccipt of copy of such written decision,
the Local Agency mails or otherwise furnishes to the State a written appeal addressed to the
Executive Director of the Department of Transportation. In connection with any appeal proceeding
under this clause, the Local Agency shall be afforded an opportunity to be heard and to offer
evidence in support of its appeal. Pending final decision of a dispute hereunder, the Local Agency
shall proceed diligently with the performance of the contract in accordance with the Chief Engineer's
decision. The decision of the Executive Director or his duly authorized representative for the
determination of such appeals will be final and conclusive and serve as fuial agency action. This
dispute clause does not preclude consideration of questions of law in connection with decisions
provided fbr herein. Nothing in this contract, however, shall be construed as making final the
decision of any administrative official, representative, or board on a question of law.
Section 28. Single Audit Act Amendment
All state and local government and non-profit organization Sub-Grantecs receiving more than
$500,000 from all funding sources,that are defined as federal financial assistance for Single Audit Act
Amendment purposes, shall comply with the audit requirements of OMB Circular A-133 (Audits of
States, Local Governments and Non-Profit Organizations)see also, 49 CFR 18.20 through 18.26. The
Single Audit Act Amendment requirements that apply to Sub-Grantecs receiving federal funds are as
follows:
a) If the Sub-Grantce expends less than$500,000 in Federal funds(all federal sources,not just Highway
funds) in its fiscal year then this requirement does not apply.
b) If the Sub-Grantec expends more than$500,000 in Federal funds,but only received federal Highway
funds (Catalog of Federal Domestic Assistance, CFDA 20.205) then a program specific audit shall be
performed. This audit will examine the"financial"procedures and processes for this program area.
b) If the Sub-Grantee expends more than $500,000 in Federal funds, and the Federal funds are from
multiple sources(hfA,MUD,NPS,etc.)then the Single Audit Act applies,which is an audit on the entire
Page 16 of 19
organization/entity.
c) Single Audit can only be conducted by an independent CPA, not by an auditor on staff.
d) An audit is an allowable direct or indirect cost.
Page 17 of 19
Section 29. SPECIAL PROVISIONS
The Special Provisions apply to all contracts except where noted in italics.
1. CONTROLLER'S APPROVAL.CBS 1124-30-202(1).This contract shall not be deemed valid until it has been approved by the Colorado State Controller or
designee.
2. FUND AVAILABH,ITY.CBS§24-30-202(5.5).Financial obligations of the State payable after the current fiscal yes arernntingent upon funds for that purpose
being appropriated,budgeted,and otherwise made available.
7° jM i-crvcu� t-2-[�.J 46Y
3. INDENW IFICATIt2nrrt�Contractor s a indemnify,save,and hold harmless the Slate,its employees and agents,against anyand a8 claims,damages,liability and
court awards including costaArmaxim and attorney fees and relined costs,incurred as a result of any act or omission by Contractor,or its employees,agents,
subcontractors,or assignees pursuant to the terms of this contract
/Applir6le Only to Intergovernmental Contracts/No term Or condition of this contract shall be construed or interpreted as a waiver,express or implied,of any of the
immunities,rights,benefits,protection,or other provisions,of the Colorado Govemnrenlal Immunity Act,CRS§24-10-101 at seq.,or the Federal Tort Claims Act,28
U.S.C.2671 a seq.,as applicable,as now or hena0er amended.
4. H4DEPENDFNT CONTRACTOR.4 CCR 801-2.Contractor shall perform its duties hereunda as an independeal contractor and not as an employee.Neither
contractor nor any agent or employee of contrctor shall he car shall he deemed to he an agent in employee of the state. Contractor shall pay when due all required
employment taxes and income taxes and local head taxes on any monies paid by the state pursuant to this contract. Contractor acknowledges that contractor and its
employees are net entitled to unemployment insurance benefits unless contractar Or a third party provides such coverage and that the suite does not pay for or otherwise
provide such coverage.Contractor shall have no authorization,express or implied,to bind the state to any agreement,liability or understanding,except as expressly set
forth herein.Contractor shall povide and keep in force workers compensation(and provide proof of such insurance when requested by the state)and unemployment
compensation insurance in the amnmtls required by law and shall be solely resporuihle for its acts and those of its employees and agents.
5. NON-DISCRIMINA-rION.Contractor agrees to comply with the letter and the spirit of all applicable Stale and federal laws respecting discrimination and unfair
employment practices.
6. CHOICE OF LAW.The laws of the Sutle of Colorado,and alas and regulations issued pursuant thereto,shall be applied in the interpretation,execution,and
enforwnent ofthis..tied.Any provision of this contract,whether or not incorporated herein by reference,which provides for arbitration by any extrajudicial body or
person or which is Otherwise in conflict with said laws,rules,and regulations shall be considered null and void. Nothing contained in any provision incorporated harein by
reference which purports to negate this or any Other special provision in whole or in part shall he valid or enfmamble,or available in any action at law,whether by way of
complaint,defense,or otherwise. Any provision rendered null and void by the operatim of this provision will not invalidate the remainder of this contract,to die extent
that this contract is capable ofexecution. At all limes during the performance oft is contract,Contractor shall strictly adhere to all applicable federal and State laws,rules,
and regulations that have been or may hereafter be established.
7. VENDOR OFFSET.CRS§§24-30-202(1)and 24-30-202.4.INoI Applicable to Intergovernmental Agreementsl The State Cm"Ifet may withhold payment
of certain debts owed to Smile agencies under die S talc's vendor offset intercept system for:(a)unpaid child support debts or child support armamges;(b)unpaid balaracros
of cox,accrued interest,or other chmgas spceitied in CRS§39-21-101,d.seq.;(c)unpaid loans due to the Student Lnxo Division of the Delmmu mt of Higher Education;
(d)amoamis required to be paid to the Unemployment Compensation Fund;and(a)other mpaid debts certified by the Suite Controller as owing to the State as a result of
final agency determination in-judicial action.
8. SOFTWARE PIRACY PROHIBITION. Governor's Executive Order D 002 00.No State or oilier public funds payable under this contract shall be used fo the
acquisition,operation,or maintenance of computes software in violation of federal copyright laws re applicable licensing restrictions.Contractor hereby certifies that,for
The farm ofthis contract and any extensions,Contractor has in place appropriate systems and controls to prevent such improper use of public funds. ff the State
determines that Contrcor is in violation of this paragraph,the State may exercise any remedy available at law or equity or under this contract,including,without
limitation,immediate Iennination of this emtract mid any remedy cone isicat with federal copyright laws or applicable licensing restrictions.
9. EMPLOYEE FINANCIAL IN'tEREST.CBS§24-I8.291 and§24-50-507.The signatoms aver that to their knowledge,no employee of the Suite has any
personal or beneficial interest wlatsueva in the service or property described in this contract.
10. PUBLIC CONTRACTS FOR SERVICES.CPS§8-17.5-10L[Nat Applicable to agreements relating to rite offer,issuance,or sale ofsecurities,investment
advisoryservicesorfundmanagementservices,sponsoredprojectgintergovernmenmlagreements, or information tecimology services orproducts and services]
Contractor certifies,..at,.and agrees that it does not knowingly employ or contract with an illegal alien who will Perform work under this contact and will confirm din
employment eligibility of all employees who are newly hired for employment in the United States to perform work under this contract,through participation in the I>
Verify Program car the Department prig-am umbiishcd pmsuml to CRS§8-17.5-102(5)(c),Contractor shall net knowingly employ or contract with an illegal alien to
=to.wok under this contract or ceder into a contract with a subcontractor that fails to certify to Contractor that the subcontracto shall nor knowingly employ or
contrxl with an illegal alien to perform work under this contract.Contactor(a)shall runt use F,-Verify Pmgam or Depa rot program procedures to undertake pm-
employment screening ofjob applicants while this contract is being performed,(b)shall ratify die subcontractor and the contracting State agency within three days if
Contractor has actual knowledge that a subcontractor is employing or contracting with an illegal alien for work under this contract.(c)shall terminate the subcontract if a
subcontractor dues not stop employing or contracting with the illegal alien within three days of receiving the notice,and(it)shall comply with reasonable mquests made in
the course of an investigation,undertaken pursuant to CRS§8-1 T5-102(5),by the Colorado Department of labor and Employment: If Contractor participates in die
Deparro ent program.Cmuattor shall delivo to the contracting State agency,institution of higher education car political subdivision a written,nocmized attenuation,
arming that Contractor has examined the legal work status of such employee,and comply with all of theother requirements of the Uctommenl program.If Contractor
fails to comply with any requirement of this pnayisfon or CRS§8-17.5-101 a seq.,the contracting State agency,institution of higher education or political subdivision may
terminate this contract for breach and,if so terminated,Contractor shall he liable for damages.
If. PUBLIC CONTRACTS WITH NATURAL PERSONS.CRS§24-76.5-101.Connector,ifa natural person eighteen(18)years of age or older,hereby swears
and affirms order penalty of perjury that he or she(a)is a citizen or otherwise lawfully present in the United States pursuant in federal law,(b)shall comply with the
provisions of CAS§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 ofthis contract.
Revised May 13,2608
Page 18 of 19
THE PARTIES HERETO HAVE EXECUTED THIS CONTRACT
CONTRACTOR: STATE OF COLORADO:
BILL RITTER,JR.GOVERNOR
City of Fort Collins By -
Legal Name of Contracting Entity Executive Director
Department of Transportation
2000023
CDOT Vendor Number
LEGAL REVIEW:
Signature of Authorized Officer
JOHN W.SLITHERS
ATTORNEY GENERAL
Print Name&Title of Authorized Officer By
CORPORATIONS:
(A corporate attestation is required.)
Attest(Seal)By
(Corporate Secretary or Equivalent,or Town/City/County Clerk) (Place corporate seal here,if available)
ALL CONTRACTS MUST BE APPROVED BY THE STATE CONTROLLER
CRS 24-30-202 requires that the State Controller approve all stale contracts.This contract is not valid until the State Controller,
or such assistant as he may delegate,has signed it.The contractor is not authorized to begin performance until the contract is
signed and dated below. If performance begins prior to the date below, the State of Colorado may not be obligated to pay for
the goods and/or services provided.
STATE CONTROLLER:
Approved S 0 DAVID J. MCDERMOTT, CPA
Deputy City Attorney By
Date
Page 19 of 19
Exhibit A
COLORADOOEPARTAEHT OP TRANSPORTATION Onp.Dalef071082008 Noo Cod,9(SA#):16938 $TIP#:SNF5094
DESIGN DATA Rev.Dde: iba #--S7SM4sSg93
Resizkn#: 0 RE_P.r 'dCda,
Rawl 1*3 Regm#:'DI
Rajad Dpsgiptlm:Unden Slreel Enhancement Project
Status: El Preliminary ❑ Final ❑ Revised
Satimited6 PM;TUTTLET CWny:068
y Approved h Pregem Englnevn
pets - Mud i 7 ips
s dam Cods:Z-Nd nT efry Federal-Ad H) wa
Redsed by: Ovars' Te:A-E(ernt
Nip: - phnned Lan li: '035Q
Gi4.Isbc t«aa,n:LINDEN STREET.FROM SH14 TO THE POUORE RIVER
Type of Teneia Plains
Desddp8enuf Proposatl ConYiirdioMarprwerrient(Marh map shonng R.location)
PEDESTRIAN,BICYCLE.AND STREETSCAPE IMPROVEMENTS.
Project Ch acterlsfics(Proposed) Mvifi tType) ❑ pspro sad ❑ PYrdad ❑ Raised ❑ More
allobb CI Hendc Rams El TmineConfrosioul. Ll Sbgawq
❑ Curbaril CuIbr _Curb Orly ❑ [et4TUm Slots Contim" Not.
El $immitmoti- n e*o way-Wtltlf= tj Ripd Tom Sluts rl CAntinuclia Mob-
❑..:PaiEngLeneWidth= Damdrs .Qgrvn- .. Cadsbdcdan Pelmenem
❑ Lends'capMeiequiemmts(msapum): W ftel(deadpaon):
Pedestrian.Bicycle;end Streelsdepe Improvements
Rign[Of W. Y,s . Est III Miles(kst names of known obey cpnpan¢s)
ROW Bkr Perm.Easembrd Rpdrad Yes
Rddcation ReW"ved No
Tempbmry Ediamont Ragam& No
Changes us .. No
Changes to Coeofding Roads: No
Railroad Crossings #of Crossings:
Rcra.anenmgPna;
Envlrentnental nllzl Approved On: Project Code#Cleared UndeC Projod a Clewed Undr:
None /('
commosts:
C6oYd hatl6n
[] Wildpwn lanes(Power$iteq Reiervoe;Efc)Ckemd Nroogh BUJ of forest SaM,,ORi, Imgxtion Oitb Name:
❑ New TratPsOrdmanceRoyivd ❑ Modly$chevule of Existing Ordinamse Nuncpaary,.FOrl Collins
ONer:
C.ensim-clilon Method Aomryseday: NOAEReisae: fity)Ay,hcycotad Nana: Phone#'
local
SafotyCortsiderations Prdjed Undor: Guardrail meets canon standards: NO
❑ 'VArivnw mNnfmum 0avgt StandardsRaquirad ❑ $ekly prgeono(ellstandgds C.rmnw_s:'
❑ *AT"fim,Akacnm ❑ Beeoesthbasutinine addressed
wiagoodoitamm 8be'Remmks
.❑ Ste CmsWdien m�_nin remerlfs):
,311projeds.
8afel Evaluation Cam kt_e date.
1
Exhibit A—Page 1 of 3
.Paga2013 Prgod Code#(SA#); PiyeIX#t Ravitadate:
!lsk8 S3E;M455�D93
Uis.:Coamnr.�.B C,DeddfohE.lo,ldene htlf desfnbe'dibilW
Teaflc'
Uuaedt:Yeat AD
_..
DFIV�A Tiuck -
DHG .
Feceity Socetion ❑ Ind4slaet [I 'Commarc al; ❑ Industpal'. ❑ Commercial {] Intlystiial' ❑ Commelcial ❑ Indystnel ❑ ComMo(val, ❑ Indushiel 0 Commercial
.❑ Resdental (] Other. ❑' Residegdai ❑ Other [] Residential [] Other '❑ Resklentlal ❑ Othen ResMentml Other
;Cmii
'Roadwey'Class - - - - - - - - - -- - - - - - - -
Route
xRe. r0:000
Z. Endre t
Funationa6Classlficaoon L
D Faci it a URural.Coda, 2
Design.Standards. Step ow �C's:r5 Prepoeea l rtm Small E Xi✓a ?ruP<Sea�IGmp:6 S:O.noac, &l5inf 'F.WPsee L'IWoe;s. Slamem fxe,;B. Propp
Desl n Variance Re tared:sd onclud Items om'Identiffed wMh an"!In 1'I column S crart asldesl n yxiance wnh dt)CYForrn, d)Ndh.ofT�aveC Lanes
shoultlenwbthnkutside .. __ _ __ _Deupn3peedl SIcPe
Mersuptrelavaucn"te.
...
Min.Radius :--
LIkISHodaddtel SSD
MInNedleaISS0
Max,Grade'..
Desln,Dtclstan Letter$eaulted'(sUbstmdafdlttmsamIndentlfled,wlttian*'In lot columnA clar'll 11withdocisibn lattell
T.YprSocdon a
A oLIIavef Lanes.
Side Slo e;Disl;£'aq
Madien'Width
k
Posted Speed C
tS
Exhibit A
Pagi 9o10 Nq.d Cc V(SNaF_ Projetl 115
Revise Dam:
16936 STE'Ma5S093
Major Strictures 3=to stay,R=to ba gem: *d k Pz p,ozed rs ws aCrni
Reference SRPdard SWCWra 6PbGtyfy HCrllental v6WCA Yeat
$hdgere lDtl lm P paht Feature lntQm9dad Mth Rd,. G clearance Gleamnto I suit
f? tootdireament of 0ddgez tdRemdn m.Plece(addrezzbridgeoe,capaiRy:endaiwveLle surb<ing MidbersJ:
Remarks
6+ of FCd"m is rmpCnsibb fa dazyn,ROW,u61tiae,environmamel,ad,ewvd,and Ceng.M.rmnagomenl.
I
Exhibit A—Page 3 of 3
Exhibit B
LOCAL AGENCY
ORDINANCE
or
RESOLUTION
i
EXHIBIT_ . FUNDING PROVISIONS
The Local Agency has estimated the total cost of the Project to be $1,000,000.00,
which is to be funded as follows:
BUDGETED FUNDS
a. Federal Funds $250,000.00
(80%of Participating Costs)FY 2009
b. Local Agency Matching Funds $62,500.00
(20%of Participating Costs) FY 2009
c. Local Agency Overmatch FY 2009 $687,500.00
OTAL BUDGETED FUNDS $1 000,000.00
2 ESTIMATED CDOT-INCURRED COSTS
a. Federal Share $0.00
(0%Participating Costs)
b. Local Share
Local Agency Share of Participating Costs $0.00
Non-Participating Costs (Including Non-Participating
Indirects) $0.00
Estimated to be Billed to Local Agency $0.00
TOTAL ESTIMATED CDOT-INCURRED COSTS $0.00
3 ESTIMATED PAYMENT TO LOCAL AGENCY
a. Federal Funds Budgeted(ta) $250,000.00
b. Less Estimated Federal Share of CDOT-Incurred Costs(2a) $0.00
TOTAL ESTIMATED PAYMENT TO LOCAL AGENCY $250,000.00
4 FOR CDOT ENCUMBRANCE PURPOSES FOR
'Note-Only$200,000.00 in Design Funding is currently available.
Remaining funds and/or Local Agency Overmatch will be added
in the future either by Option Letter or Amendment.
Total Encumbrance Amount ($250,000.00 divided by 80%)
$312,500.00
Local Overmatch Contribution $687,500.00
Net to be encumbered as follows: $200,000.00
WBS Element 16938.10.301 Design 13020 1 $200,000.00
I
B. The matching ratio for the federal participating funds for this project is 80%federal-aid funds
(CFDA#20 2050)to 20%Local Agency funds, it being understood that such ratio applies only
to the $312,500.00 that is eligible for federal participation, it being further understood that all
Exhibit C—Page 1 of 2
non-participating costs are borne by the Local Agency at 100%. If the total participating cost of
performance of the Work exceeds $312,500.00, and additional federal funds are made
available for the project, the Local Agency shall pay 20% 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 $312,500.00, then the amounts of Local Agency and
federal-aid funds will be decreased in accordance with the funding ratio described herein. The
performance of the Work shall be at no cost to the State.
C. The maximum amount payable to the Local Agency under this contract shall be$250,000.00
for Fiscal Year 2009. For CDOT accounting purposes, the federal funds of$250,000.00 and
local matching funds of$62,500.00 and Local Overmatch of$687,500.00will be encumbered
for a total encumbrance of$1,000,000.00 unless such amount is increased by an appropriate
written modification to this contract executed before any increased cost is incurred. *Note-
Only$200,000.00 in Design Funding is currently available. Remaining funds and/or the
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 contract, and that such cost is subject to revisions(in accord with
the procedure in the previous sentence) agreeable to the parties prior to bid and award.
D. The parties hereto agree that this contract is contingent upon all funds designated for the
project herein being made available from federal and/or state and/or Local Agency sources, as
applicable. Should these sources, either federal or Local Agency, fail to provide necessary
funds as agreed upon herein, the contract may be terminated by either party, provided that any
party terminating its interest and obligations herein shall not be relieved of any obligations
which existed prior to the effective date of such termination or which may occur as a result of
such termination-
E. The Local Agency understands and accepts that future reimbursement of the Federal funding
for the Project is contingent upon the FHWA making such funds available to the State in future
fiscal years, and to the budgeting of such funds by the Transportation Commission for
reimbursement to the Local Agency. The Local Agency understands that the FHWA has not
currently obligated all Federal funds for the project. The Local Agency does not by this
Agreement irrevocably pledge present case reserves for payments in future fiscal years, and
this Agreement is not intended to create a multiple-fiscal year debt of the Local Agency.
Exhibit C-Page 2 of 2
Exhibit D
EXHIBIT D
Certification for Federal-Aid Contracts
The contractor certifies, by signing this contract, to the best of its knowledge and belief, that:
1. No Federal appropriated funds have been paid or will be paid, by or on behalf or the
undersigned,to any person for influencing or attempting to influence an officer or employee of any
Federal agency, a Member of Congress, an officer or employee of Congress, or an employee of a
Member of Congress in connection with the awarding of any Federal loan, the entering into of any
cooperative agreement,and the extension,continuation,renewal,amendment,or modification of any
Federal contract, grant, loan,or cooperative agreement.
2. If any funds other than Federal appropriated funds have been paid or will be paid to any
person for influencing or attempting to influence an officer or of Congress, or an employee of a
Member of Congress in connection with this Federal contract,grant,loan,or cooperative agreement,
the undersigned shall complete and submit Standard Form-LLL, "Disclosure Form to Report
Lobbying," in accordance with its instructions.
This certification is a material representation of fact upon which reliance was placed when this
transaction was made or entered into.Submission of this certification is a prerequisite for making or
entering into this transaction imposed by Section 1352,Tide 31,U.S.Code.Any person who fails to
file the required certification shall be subject to a civil penalty of not less than$10,000 and not more
than$100,000 for each such failure.
The prospective participant also agree by submitting his or her bid or proposal that he or she shall
require that the language of this certification be included in all lower tier subcontracts,which exceed
$100,000 and that all such sub-recipients shall certify and disclose accordingly.
Required by 23 CFR 635.112
Exhibit D—Page i of I
Exhibit E
DISADVANTAGED BUSINESS ENTERPRISE(DBE)
SECTION ]. Policy
It is the policy of the Colorado Department of Transportation (CDOT) that disadvantaged business
enterprises shall have the maximum opportunity to participate in the performance of contracts
financed in whole or in part with Federal funds under this agreement, pursuant to 49 CFR Part 23.
Consequently, the 49 CFR Part lE. DBE requirements the Colorado Department of Transportation
DBE Program (or a Local Agency DBE Program approved in advance by the State) apply to this
agreement.
SECTION 2. DBE Obligation.
The recipient or its contractor agrees to ensure that disadvantaged business enterprises as determined
by the Office of Certification at the Colorado Department of Regulatory Agencies have the maximum
opportunity to participate in the performance of contracts and subcontracts financed in whole or in
part with Federal funds provided under this agreement. In this regard,all participants or contractors
shall take all necessary and reasonable steps in accordance with the CDOT DBE program(or a Local
Agency DBE Program approved in advance by the State) to ensure that disadvantaged business
enterprises have the maximum opportunity to compete for and perform contracts. Recipients and
their contractors shall not discriminate on the basis of race,color,national origin,or sex in the award
and performance of CDOT assisted contracts.
SECTION 3 DBE Program.
I'hc contractor (sub-recipient) shall be responsible for obtaining the Disadvantaged Business
Enterprise Program of the Colorado Department of Transportation, 1988, as amended, and shall
comply with the applicable provisions of the program. (If applicable).
A copy of the DBE Program is available from and will be mailed to the contractor upon request:
Business Programs Office
Colorado Department of Transportation
4201 East Arkansas Avenue, Room 287
Denver, Colorado 80222-3400
Phone: (303) 757-9234
revised 1122/98 Acquired by 49 CFR Part 23.41
Exhibit E— Page 1 of I
Exhibit F
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 cannot be used in place of exercising a formal amendment.
Exhibit
Date: Slate Fiscal Year: Option Letter No. CLIN Routing #
Vendor name:
A. SUBJECT: (Choose applicable options listed below AND in section Band delete the rest)
1. Option to renew(for an additional term)applies to Highway and Signal maintenance contracts ONLY; this
renewal cannot be used to make any change to the original scope of work;
2. Level of service change within current term due to an unexpected Local overmatch on an overbid
situation ONLY;
3. Option to add phasing to include Design, Construction, Environmental, Utilities, ROW incidentals or
Miscellaneous ONLY(does not apply to Acquisition/Relocation or Railroads);
4. Option to update funding(a new Exhibit C must be attached with the option letter and shall be labeled
C-1 (future changes for this option shall be labeled as follows: C-2, C-3, CA, etc.)
B. REQUIRED PROVISIONS.All Option Letters shall contain the appropriate provisions set forth
below:
(Insert the following language for use with Options#1):
In accordance with Paragraph(s) of contract routing number(insert FY. Agency code & CLIN
routing#) between the State of Colorado, Department of Transportation, and(insert contractor's name)the
state hereby exercises the option for an additional term of(insert performance period here)at a cosYprice
specified in Paragraph/Section/Provision of the original contract,AND/OR an increase in
the amount of goods/services at the same rate(s)as specified in Paragraph of the
original contract.
(Insert the following language for use with Option#2):
In accordance with the terms of the original contract (insert FY Agency code&CLIN routing#)between the
State of Colorado, Department of Transportation and (insert contractor's name here), the State hereby
exercises the option to record a level of service change due to unexpected overmatch dollars due to an
overbid situation. The contract is now increased by (indicate additional dollars here) specified in
Paragraph/Section/Provision of the original contract.
(Insert the following language for use with Option#3):
In accordance with the terms of the original contract(insert FY.Agency code & CLIN routing#)between the
State of Colorado, Department of Transportation and (insert contractor's name here), the State hereby
exercises the option to add an overlapping phase in (indicate Fiscal Year here)that will include (describe
which phase will be added and include all that apply—Design Construction Environmental Utilities ROW
incidentals or Miscellaneous). Total funds for this contract remain the same(indicate total dollars here)as
referenced in Paragraph/Section/Provision/Exhibit of the original contract.
(Insert the following language for use with Option#4):
In accordance with the terms of the original contract (insert FY.Agency code & CLIN routing#) between
the State of Colorado, Department of Transportation and (insert contractor's name herel, the State hereby
exercises the option to update funding based on changes from state,federal,local match andlor local
agency overmatch funds. The contract is now(select one: increased and/or decreased) by(insert dollars
Exhibit F—Pagc I oft
Exhibit F
here specified in Paragraph/-Section/-Provision/Exhibit of the original contract. A new
Exhibit C-1 is made part of the original contract and replaces Exhibit C. (The following is a NOTE only so
please delete when using this option:future changes for this option for Exhibit C shall be labeled as
follows: C-2,C-3, CA,etc.)
(The following language must be included on all options):
The amount of the current Fiscal Year contract value is(increased/decreased)by($amount of change)to a
new contract value of($ )to satisfy services/goods ordered under the contract for the current
fiscal year(indicate Fiscal Year). The first sentence in Paragraph/Section/Provision is hereby
modified accordingly.
The total contract value to include all previous amendments,option letters, etc. is
The effective dale of this Option Letter is upon approval of the State Controller or delegate,whichever is
later.
APPROVALS:
For the Contractor:
Legal Name of Contractor
By.
Print Name of Authorized Individual
Signature:
Date:
Title: Official Title of Authorized Individual
State of Colorado:
Bill Ritter,Jr., 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 Contract is not
valid until signed and dated below by the State Controller or delegate. Contractor is not authorized
to begin performance until such time.If Contractor begins performing prior thereto,the State of
Colorado is not obligated to pay Contractor for such performance or for any goods and/or
services provided hereunder.
State Controller
David J. McDermott, CPA
By
Date:
Issuance date:July 1,2008 -
Updated: June 12,2008
Exhibit F—Page 2 of 2
Exhibit G
COLORADO DEPARTMENT OF TRANSPORTATION
LOCAL AGENCY CONTRACT ADMINISTRATION CHECKLIST
Project No. STIP No. Project Code Region
STE M455-093
SNF5094.018 16938 04
Project Location Dale
Linden Street,JeffersoNSH14 to the Poudre River 5128108
Project Description
Linden Street Enhancement Project
Local Agency Local Agency Project Manager
City of Fort Collins Kathleen Bracke
COOT Resident Engineer CDOT Project Manager
Pete Graham Tim Tuttle
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 CDOTLocal 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"#"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 COOT.
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
COOT Resident Engineer.in cooperation with the Local Agency Project Manager,will prepare and distribute a revised checklist.
RESPONSIBLE
NO. DESCRIPTION OF TASK PARTY
LA CDOT
PIP/STIP AND LONG-RANGE PLANS
2-1 Review Project to ensure consistency with STIP and amendments thereto X
FEDERAL FUNDING OBLIGATION AND AUTHORIZATION
4-1 Authorize funding by phases(CDOT Form 418-Federal-aid Program Data-Requires FHWA X
conourrencefinvolvemenl
PROJEC'I'DEVELOPMENT
5-1 Prepare Design Data-CDOT Form 463 X X
5-2 Prepare Local Agency/CDOT Inter-Governmental Agreement(see also Chapter3) X
5-3 Conduct Consultant Selection/Execute Consultant Agreement X #
5-4 Conduct Design Seeping Review meeting X
5-5 Conduct Public Involvement X
5-6 Conduct Field Inspection Review(FIR) X X
5-7 Conduct Environmental Processes(may require FHWA concunencerinvolvement) X X _
5-8 Acquire Right-of-Way(my require FHWA concurrence/Involvement) X #
5-9 Obtain Utility and Railroad Agreements X
5-10 Conduct Final Office Review(FOR) X 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 #
5-14 Prepare Plans,Specifications and Construction Cost Estimates X #
5-15 Ensure Authorization of Funds for Construction X
i
PROJECT DEVELOPMENT CIVIL RIGHTS AND LABOR COMPLIANCE
6-1 Set Underutilized Disadvantaged Business Enterprise(UBDE)Goals for Consultant and X
Exhibit G—Page I of 4
Exhibit G
Construction Contracts CDOT Region EEO/Civil Rights Specialist)
6-2 Determine Applicability of Davis Bacon Act
This projects Is X is noF exempt from Daws Bacon requirements as:determined by X
functional classification of the project location(P_iojects located on Iocal roads and'ruai
minor collectors maybe exempt:`)
Pete Graham 5/28/08
CDOT Resident En inee Si nature on File Date
6-3 Set On-the-Job Training Goals.Goal is zero if total construction is less than$1 million X
CDOT Region EEO/Civil Rights Specialist)
6-4 Title VI Assurances X
Ensure the correct Federal Wage Decision,all required Disadvantaged Business
Enterprise/On-the-Job Training special provisions and FHWA Form 1273 are included in the X
Contract(CDOT Resident Engineer)
ADVERTISE BID AND AWARD
7-1 Obtain Approval for Advertisement Period of Less Than Three Weeks X IY
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
Check CDOT Form 715-Certificate of Proposed Underutilized DBE Participation when the
---- low bidder meets UDBE goals X
Evaluate CDOT Form 718-Underutilized DBE Good Faith Effort Documentation and
Tdetermine if the Contractor has made a good faith effort when the low bidder does not meet X
DBE goals
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 X
CONSTRUCTION MANAGEMEN'r
8-1 Issue Notice to Proceed to the Contractor X
8-
Project Safety X q
8-3 Conduct Conferences:
I
re-construction Conference(Appendix B) X
resurvey
ConsWction staking X
Monumentation X
artnering(Optional) X
tructural Concrete Pre-Pour(Agenda is in CDOT Construction Manual) X
oncrete Pavement Pre-Pavin Agenda is in CDOT Construction Manual) X
MA Pre-Paving(Agenda is in CDOT Construction Manual) X
evelop and distribute Public Notice of Planned Construction to media and local residents X
u ervise Construction
Professional Engineer(PE)registered in Colorado, who will be"in
sponsible charge of construction supervision."
X
Mike970-221605 ocal Agency Professional Engineer or Phone number
DOT Resident Engineer
- Provide competent,experienced staff who will ensure the Contract work is constructed in
accordance with the plans and specifications X
�. Construction inspection and documentation X
8-6 Approve Shop Drawings X
8-7 Perform Traffic Control Inspections X X
8-8 Perform Construction Surveying X
8-9 Monument Right-of-Way X
f8j:O8-10 Prepare and Approve Interim and Final Contractor Pay Estimates X
Exhibit G—Page 2 of 4
Exhibit G
Provide the name and phone number of the person authorized for this task.
Kathleen Bracke 970-224-6140
Local Agency Representative Phone number
8-11 Prepare and Approve Interim and Final Utility/Railroad Billings X
8-12 Prepare Local Agency Reimbursement Requests X
8-13 Prepare and Authorize Change Orders X
8-14 Approve All Change Orders X
8-15 Monitor Project Financial Status X
8-16 Prepare and Submit Monthly Progress Reports X X
8-17 Resolve Contractor Claims and Disputes X.
8-19 Conduct Routine and Random Project Reviews
Provide the name and phone number of the person responsible for this task. X
Pete Graham 970-350-2126
COOT Resident Engineer Phone number
` MATERIALS
9-1 Conduct Materials Preconstruction Meeting X
9-2 Complete CDOT Form 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
94 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 X
• Generate IAT schedule X
• Schedule and provide notification X
• Conduct IAT X
9-8 Approve Mix Designs
X
• Concrete X
• Hot Mix Asphalt
9-9 Check Final Materials Documentation X
9-10 Complete and Distribute Final Materials Documentation X
CONSTRUCTION CIVIL RIGD'FS AND LABOR COMPLIANCE
10-1 Fulfill Project Bulletin Board and Pre-construction Packet Requirements X
10-2 Process CDOT Form 205-Sublet Permit Application
Review and sign completed COOT Form 205 for each subcontractor,and submit to X X
EEO1Civil Rights Specialist
10-3 Conduct Equal Employment Opportunity and Labor Compliance Verification Employee X
Interviews. Complete CDOT Form 280
10-4 Monitor Disadvantaged Business Enterprise Participation to Ensure Compliance with the X
"Commercially Useful Function"requirements
10-5 Conduct Interviews When Project Utilizes On-the-Job Trainees.Complete CDOT Form 200- X
OJT Training Questionnaire
10-6 Check Certified Payrolls(Contact the Region EEO/Civil Rights Specialists for training requirements.) X
10-7 1 Submit FHWA Form 1391-Highway Construction Contractors Annual EEO Report X
Exhibit 6 —Page 3 of 4
Exhibit G
FINALS
11-1 Conduct Final Project Inspection. Complete and submit COOT Form 1212-Final 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
11-4 Prepare and Distribute Final As-Constructed Plans X
11-5 Prepare EEO Certification X
11-6 Check Final Quantifies, Plans and Pay Estimate;Check Project Documentation;and submit X
Final Certifications
11-7 Check Material Documentation and Accept Final Material Certification(See Chapter 9) X
11-8 Obtain COOT Form 17-Contractor DBE Payment Certification from the Conlactor and X
submit to the Resident Engineer
11-9 Obtain FMNA Form 47-Statement of Materials and Labor Used... from the Contractor NA
11-10 Process Final Payment x
11-11 Complete and Submit CDOT Form 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 AgencyContract Administration Checklist X X
Exhibit G—Page 4 oF4
Exhibit H
THE LOCAL AGENCY SHALL USE THESE PROCEDURES TO IMPLEMENT FEDERAL-AID
PROJECT AGREEMENTS WITH PROFESSIONAL CONSULTANT SERVICES
Tide 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 tilled
"Obtaining Professional Consultant Services". This directive and guidebook incorporate requirements front both Federal
and State regulations,i.e.,23 CFR 172 and Colorado Revised Statute(C.R-S.)24-30-1401 et seq. Copies of the directive
and the guidebook may be obtained upon request from CDOTS Agreements and Consultant Management Unit. [Loral
agencies should have their own written procedures on file for each method of procurement that addresses the items in 23
CPR 1721.
Because the procedures and laws described in the Procedural Directive and the guidebook are quite lengthy, die
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 ofevaluation 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 most 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 IS days prior to the selection of the three
most qualified forms and the advertising should be,done in one or more daily newspapers ofgeneral circulation.
4. The request for consultant services should include the scope of work,the evaluation factors and their relative
importance,the method of payment,and the goal often percent(10%) for Disadvantaged Business Enterprise
(DBE)participation as a minimum for the project.
S. The analysis and selection of the consultants should be done in accordance with C.R.S.24-30-1403. This section
of the regulation identifies the criteria to be used in the evaluation of 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 project,
c.Ability to famish professional services.
d.Anticipated design concepts,and
e.Alternative methods of approach for furnishing the professional services.
Evaluation factors for final selection are the consultant's:
a.Abilities of their personnel,
b.Past performance,
Exhibit II—Page 1 of 2
Exhibit H
c.Willingness to meet the time and budget requirement,
d. Location,
e.Current and projected work load,
f.Volume of previously awarded contracts,and
g.Involvement of minority consultants.
6. Once a consultant is selected,the local agency enters into negotiations with the consultant to obtain a fair and
reasonable price for the anticipated work. Pre-negotiation audits are prepared for contracts expected to be greater
than$50,000. Federal reimbursements forcosts are limited to those costs allowable under the cost principles of
48 CFR 31. Fixed fees(profit)arc determined with consideration given to size,complexity,duration,and degree
of risk involved in the work. Profit is in the range of six(6)to fifteen(15)percent of the total direct and indirect
costs.
7. A qualified local agency employee shall be responsible and in charge of the project to ensure that the work being
pursued is complete,accurate,and consistent with the terms,conditions,and specifications of the contract. At the
end of project,the local agency prepares a performance evaluation(a CDOT form is available)on the consultant.
8. Each of the steps listed above is to be documented in accordance with the provisions of 49 CFR 18.42,which
provide for records to be kept at least three (3) years from the date that the local agency submits its final
expenditure report. Records of projects under litigation shall be kept at least three(3)years after the case has
been settled.
The C.R.S.24-30-1401 through 24-30-1408,23 CFR Part 172,and P.D.400.1,provide additional details for complying
with the eight(8)steps just discussed.
Exhibit H—Page 2 of 2
Exhibit I
MWA-12n Electronic version—Wy 10.1994
FHWA Form 1273
REQUIRED CONTRACT PROVISIONS
FEDERAL-AID CONSTRUCTION CONTRACTS
L General..................................................................... 1 5. Selection of Labor: During the performance of this con-
11. Nondiscrimination..................................................... 1 tract,the contractor shall not:
III. Non-segregated Facilities................____............ 3
IV. Payment of Predetermined Minimum Wage............ 3 a.discriminate against labor from any other State.posses-
V. Statements and Payrolls.......................................... 6 lion, or territory of the United States (except for employment
M. Rocord of Materials,Supplies,and Labor............... 6 preference for Appalachian contracts, when applicable, as
mi. Subletting or Assigning the Contract.................._.. 7 specified in Attachment A),or
VIll- Safely. Accident prevention.................................... 7
IX. False Statements Concerning Highway Projects.... 7 b employ convict labor for any purpose within the limits of
X. Implementation of Clean Air Act and Federal the project unless it is labor performed by convicts who are on
Water Pollution Control Act...................................................... 8 parole.supervised release,or probation.
XI. Certification Regarding Debarment,Suspension,
Ineligibility,and Voluntary Exclusion......................................... 8 11. NONDISCRIMINATION
XII. Certification Regarding Use of Contract Funds for
Lobbying....................................................... ----- 9 (Applicable to an Federal-aid construction contracts and to all
related subcontracts of$10,000 or more.)
ATTACHMENTS
1. Equal Employment Opportunity: Equal employment
A. Employment Preference for Appalachian Contracts opportunity(EEO)requirements not to discriminate and to lake
(included in Appalachian contracts only) affirmative action to assure equal opportunity as set forth under
laws executive orders, rules, regulations(28 CFR 35.29 CFR
1. GENERAL 1630 and 41 CFR 60)and orders of the Secretary of Labor as
modified by the provisions prescribed herein, and imposed
1. These contract provisions shall apply to all work performed pursuant to 23 U.S.C. 140 shall constitute the EEO and spec
on the contract by the contractors own organization and with the affirmative action standards for the contractor's project activities
assistance of workers under the contractors immediate superin- under this contract. The Equal Opportunity Construction Contract
tondence and to all work performed on the contract by piecework, Specifications set forth under 41 CFR 60-4.3 and the provisions of
station work,or by subcontract. the American Disabilities Act of 1990(42 U.S.C. 12101 at sea.)
set forth under 28 CFR 35 and 29 CFR 1630 are incorporated by
2. Except as otherwise provided for in each section, the reference in this contract. In the execution of this contract,the
contractor shall insert in each subcontract all of the stipulations contractor agrees to comply with the following minimum specific
contained in these Required Contract Provisions, and further requirement activities of EEO:
require their inclusion in any lower liar subcontract or purchase
order that may in turn be made. The Required Contract Provi- a.The contractor will work with the Stale highway agency
sions shall not be incorporated by reference in any case. The (SHA)and the Federal Government in carrying out EEO obtiga-
prime contractor shall be responsible for compliance by any lions and in their review of his/her activiltes under the contract.
subcontractor at lower tier subcontractor with these Required
Contract Provisions. Is. The contractor will accept as his operating policy the
following statement:
3. A breach of any of the stipulations contained in these
Required Contract Provisions shall be sufficient grounds for "It is the policyof this Companyto assure that applicants are
termination of the contract. employed,and that employees are treated during employ-
ment, without regard to their race, religion, sex. color,
4. A breach of the following clauses of the Required Contract national origin,age or disability. Such action shall include:
Provisions may also be grounds for debarment as provided in 29 employment.upgrading.demotion.or transfer;redruilmentor
CFR 5.12: recruitment advertising;layoff or termination;rates of payer
other forms of compensation; and selection for training,
Section I,paragraph 2; including apprenticeship, pre-apprenticeship, and/or
Section IV,paragraphs 1,2,3,4,and 7; on-thejob training."
Section V.paragraphs 1 and 2a through 2g.
2- EEO Officer: The contractor will designate and make
5. Disputes arising out of the labor standards provisions of known to the SHA contracting officers an EEO Officer who will
Section IV(except paragraph 5)and Section V of these Required have the responsibility for and must be capable of effectively
Contract Provisions shall not be subject to the general disputes administering and promoting an active contractor program of EEO
clause of this contract. Such disputes shall be resolved in actor- and who must be assigned adequate authority and responsibility
dance with the procedures of the U.S.Department of Labor(DOL) to do so.
as set forth in 29 CFR 5,6,and 7. Disputes within the meaning of
this clause include disputes between the contractor(or any of its 3. Dissemination of Policy: An members of the contractor's
subcontractors) and the contracting agency, the DOL, or the staff who are authorized to hire, supervise, promote, and
contractors employees or their representatives. discharge employees,orwho recommend such action,orwho are
substantially involved in such action,will be made fully cognizant
I
Bilibit 1- Pagel of 9
Exhibit I
of,and will implement,the contracloes EEO policy and contractual discriminatory wage practices.
responsibilities to provide EEO in each grade and classification of
employment To ensure that the above agreement will be met.the c.The contractor will periodically review selected personnel
following actions will be taken as a minimum: actions in depth to determine whether there is evidence of
discrimination. Where evidence is found, the contractor will
a. Periodic meetings of supervisory and personnel office promptly take corrective action. If the review indicates that the
employees will be conducted before the start of work and than not discrimination may extend beyond the actions reviewed, such
less often than once every six months,at which time the contract- corrective action shall include all affected persons.
ors EEO policy and its implementation will be reviewed and
explained. The meetings win be conducted by the EEO Officer. d.The contractorwill promptlyinvestigate all complaints of alleged
discrimination made to the contractor in connection with his
b.All new supervisoryor personnel office employeeswill be obligations under this contract, will attempt to resolve such
given a thorough indoctrination by the EEO Officer,covering all complaints, and will take appropriate corrective action within a.
major aspects of the contractor's EEO obligations within thirty reasonable time. If the investigation indicates that the
days following their reporting for duty with the contractor. discrimination may affect persons other than the complainant,
such corrective action shall include such other persons. Upon
c.All personnel who are engaged in direct recruitment for completion of each investigation,the contractor will inform every
the project will be instructed by the EEO Officer in the contractor's complainant of all of his avenues of appeal.
procedures for locating and Nring minority group employees.
6. Training and Promotion:
d.Notices and posters setting forth the contractor's EEO
policy will be placed in areas readily accessible to employees, a. The contractor will assist in locating, qualifying, and
applicants for employment and potential employees. increasing the skills of minority group and women employees,and
applicants for employment.
e. The contractors EEO policy and the procedures to
implement such policy will be brought to the attention of employ- b. Consistent with the contractors work force requirements
ees by means of meetings, employee handbooks, or other and as permissible under Federal and State regulations, the
appropriate means. contractor shall make full use of training programs, i.e.,
apprenticeship, and on-the-job training programs for the
4. Recruitment: When advertising far employees,thecontrac- geographical area of contract performance. Where feasible,25
for will include in all advertisements for employees the notation: perennial apprentices or trainees in each occupation shall be in
"An Equal Opportunity Employer."All such advertisements will be their first year of apprenticeship or training. in the event a special
placed in publications having a large circulation among minority provision for training is provided under this contract,this subpam-
groups in the area from which the project work force would graph will be superseded as indicated in the special provision.
normally be derived.
c.The contractor will advise employees and applicants for
a.The contractor will,unless precluded by a valid bargain- employment of available training programs and entrance
ing agreement conduct systematic and direct reaultrnent through requirements for each.
public and private employee referral sources likely to yield
qualified minority group applicants. To meet this requirement,the d. The contractor will periodically review the training and
contractor will identify sources of potential minority group promotion potential of minority group and women employees and
employees,and establish with such identified sources procedures will encourage eligible employees to apply for such training and
whereby minority group applicants may be referred to the promotion.
contractor for employment consideration.
7. Unions: If the contractor relies in whole or in part upon
to In the event the contractor has a valid bargaining agree- unions as a source of employees,the contractor will use his/her
ment providing for exclusive hiring hall referrals,he is expected to best efforts to obtain the cooperation of such unions to increase
observe the provisions of that agreement to the extent that the opportunities for minority groups and women within the unions,
system permits the contractor's compliance with EEO contract and to effect referrals by such unions of minority and female
provisions. (The DOL has held that where implementations of employees. Actions by the contractor either directly or through a
such agreements have the effect of discriminating against contractor's association acting as agent will include the
minorities or women,or obligates the contractor to do the same, procedures set forth below:
such implementation violates Executive Order 11246, as
amended.) a. The contractor will use best efforts to develop, In
cooperation with the unions.joint training programs aimed toward
c.The contractor will encourage his present employees to qualifying more minority group members and women for
refer minority group applicants for employment. Information and membership in the unions and increasing the skills of minority
procedures with regard to referring minority group applicants will group employees and women so that they may quality for higher
be discussed with employees. paying employment
5. Personnel Actions: Wages, working conditions, and b.The contractorwill use best efforts to incorporatean EEO
employee benefits shag be established and administered, and clause into each union agreement to the end that such union will
personnel actions of every W. including hiring, upgrading, be contractually bound to refer applicants without regard to their
promotion, transfer, demotion, layoff,and termination, shall be race,color,religion,sex,national origin,age or disability.
taken without regard to race,color,religion,sex,national origin,
age or disability. The following procedures shag be followed: c.The contractor is to obtain information as to the referral
practices and policies of the labor union except that to the extent
a.The contractor will conduct periodic inspections of project such information is within the exclusive possession of the labor
sites to insure that working conditions and employee facilities do union and such labor union refuses to furnish such information to
not indicate discriminatory treatment of project site personnel. the contractor,the contractor shall so certify to the SHIA and shall
set forth what efforts have been made to obtain such information.
b. The contractor will periodically evaluate the spread of
wages paid within each classification to determine any evidence of d.In the event the union is unable to provide the contractor
Exhibit I - Page 2 of 9 REQUIRED BY 23 CPR 633.102 --
Exhibit I
With a reasonable tow of minority and women referrals within the (Applicable to all Federal-aid construction contracts and to all
time limit set forth in the collective bargaining agreement. the related subcontracts of$10.000 or more.)
contractor will, through independent recnlftment efforts, fill the
employment vacancies without regard to race,color.religion,sex, a. By submission of this bid,the execution of this contract
national origin, age or disability; making full efforts to obtain or subcontract,or the consummation of this material supplyagree-
qualified and/or qualifiable minority group persons and women. ment or purchase order,as appropriate,the bidder-Federal-aid
(The DOL has held that it shall be no excuse that the union with construction contractor, subcontractor, material supplier, or
which the contractor has a collective bargaining agreement vendor,as appropriate,certifies that the firm does not maintain or
providing for exclusive referral failed to refer minority employees.) provide for its employees any segregated facilities at any of its
In the event the union referral practice prevents the contractor establishments,and that the firm does not permit its employees to
from meeting the obligallons pursuant to Executive Order 11246, perform their services at any location, under its control,where
as amended,and these special provisions,such contractor shall segregated facilities are maintained. The firm agrees that a
immediately nofify the SHA. breach of this certification is a violation of the EEO provisions of
this contract. The firm further certifies that no employee will be
6. Selection of Subcontractors,Procurement of Materials denied access to adequate facilities on the basis of sex or
and Leasing of Equipment: The contractor shall notdiscriminate disability.
on the grounds of race,color,religion,sex,national origin,age or
disability,in the selection and retention ofsubconbactors,inducting b. As used in this certification, the term "segregated
procuremenlof materials and leases of equipment. facilities"means any waiting moms,wore areas,restrooms and
washrooms,restaurants and other eating areas,fimerlocks,locker
a.The contractor shall notifyall potential subcontractors and rooms,and other storage or dressing areas.parking lots,drinking
suppliers of hisrher EEO obligations under this contact. fountains,recreation or entertainment areas,transportation,and
housing facilities provided for employees which are segregated by
b.Disadvantaged business enterprises(OBE),as defined in explicit directive,or are,in fact.segregated on the basis of race,
49 CFR 23, shall have equal opportunity to compete for and color,religion,national origin,age or disability,because of habit,
perform subcontracts which the contractor enters into pursuant to local custom,or otherwise. The only exception will be for the
' thiscontract. The contractor will use his best efforts to solicit bids disabled when the demands for accessibility override (e.g.
born and to utilize DBE subcontractors or subcontractors with disabled parking).
meaningful minority group and female representation among their
employees. Contractors shall obtain lists of DBE construction c. The contractor agrees that it has obtained or will obtain
firms from SHA personnel. identical certification from proposed subcontractors or material
suppliers prior to award of subcontracts or consummation of
c.The contractorwill use his best efforts to ensure subcon- material supply agreements of$10,000 or more and that it will
trader compliance with their EEO obligations. retain such certifications in its files.
9. Records and Reports: The contractor shall keep such IV.PAYMENT OF PREDETERMINED MINIMUM WAGE
records as necessary to document compliance with the EEO
requirements. Such records shall be retained fora period of three (Applicable to all Federal-aid construction contracts exceeding
years following completion of the contract work and shall be $2,000 and to all related subcontracts,except for projects located
available at reasonable times and places for Inspection by autho- on roadways classified as local roads or rural minor collectors,
rized representatives of the SHA and the FHWA. which are exempt.)
a.The records kept by the contractor shall document the 1. General:
following:
a.All mechanics and laborers employed or working upon
(1) The number of minority and non-minority group the site of the work will be paid unconditionally and not less often
members and women employed in each work classification on the than once a week and without subsequent deduction or rebate on
project any account(except such payroll deductions as are permitted by
regulations(29 CFR 3)issued by the Secretary of Laborunder the
(2)The progress and efforts being made in cooperation Copeland Act(40 U.S.C.276c))the full amounts of wages and
with unions,when applicable,to increase employment opportuni- bona fide fringe benefits(or cash equivalents thereef)due at toe
ties for minorities and women; of payment The payment shall be computed at wage rates not
less than those contained in the wage determination of the
(3) The progress and efforts being made in locating, Secretaryof Labor(hereinafter"the wage determination")which is
hiring, training, qualifying, and upgrading minority and female attached hereto and made a part hereof, regardless of any
employees;and contractual relationship which may be alleged to exist between the
contractor or its subcontractors and such laborers and mechanics.
(4) The progress and efforts being made in securing The wage determination(including any additional classifications
the services of DBE subcontractors or subcontractors with and wage rates conformed under paragraph 2 of this Section IV
meaningful minority and female representation among their and the DOL poster(WH-1321)or Form FHWA-1495)shall be
employees. posted at all limes by the contractor and its subcontractors at the
site of the work in a prominent and accessible place where it can
b.The contractors will submit an annual report to the SHA be easily seen by the workers. For the purpose of this Section,
each July for the duration of the project,indicating the number of contributions made or costs reasonably anticipated for bona fide
minority,women, and non minority group employees currently fringe benefits under Section 1(b)(2)of the Davis-Bacon Act(40
engaged in each work classification required by the conlraclwork. U.S.C.276a)on behalf of laborers or mechanics are considered
Thisinformation is to be reported on Form FHWA-1391. Ifon4he wages paid to such laborers or mechanics,subject to the provi-
job training is being required by special provision,the contractor sions of Section IV,paragraph 3b,hereof. Also,for the purpose of
will be required to collect and report training data. this Section,regular contributions made or costs incurred for more
Than a weekly period(but not less often than quarterly)under
Ill.NONSEGREGATED FACILITIES plans, funds. or programs, which cover the particular weekly
Period,are deemed to be constructively made or incurred during
such weekly period. Such laborers and mechanics shall be paid
Exhibit I - Page 3 of 9 RLQUTRRn BY 23 CFR 633.102
Exhibit I
the appropriate wage rate and fringe benefits on the wage 3. Payment of Fringe Benefits:
detenninafon for the classification of work actually performed,
without regard Io skill,except as provided in paragraphs 4 and 5 a. Whenever the mimmum wage rate prescribed in the
of this Section IV. contract for a class of laborers or mechanics includes a fringe
benefit which is not expressed as an houdy rate,the contractor or
b. Laborers or mechanics performing work in more than subcontractors, as appropriate, shall either pay the benefit as
one classification may be compensated at the rate specified for stated in the wage determination or shall pay another bona fide
each classification for the time actually worked therein,provided, fringe benefit or an hourly case equivalent thereof.
that the employees payroll records accurately set forth the time
spent in each dassification In which work is performed. b. If the contractor or subcontractor,as appropriate,does
not make payments to a trustee or other third person,he/she may
c-All rulings and interpretations of the Davis-Bacon Act and consider as a part of the wages of any laborer or mechanic the
related acts contained in 29 CFR 1,3,and 5 are herein mcorpo- amount of anycosts reasonablyanfiripated in providing bona fide
rated by reference in this contract fringe benefits under a plan or program,provided,thattheSecre-
lary of Labor has found,upon the written requeslof the contractor,
2. Classification: that the applicable standards of the Davis-Bacon Act have been
met. The Secretary of Labor may require the contractor to set
a.The SHA contracting officer shall require thatany class of aside in a separate accountassets for the meeting of obligations
laborers or mechanics employed under the contract,which is not under the plan or program.
listed in the wage determination, shall be classified in
conformance with the wage determination. 4. Apprentices and Trainees(Programs of the U.S.DOL)
and Helpers:
b. The contracting officer shaft approve an additional
classification, wage rate and fringe benefits only when the a.Apprentices:
following criteria have been met:
(1) Apprentices will be permitted to work at less than
(1) the work to be performed by the additional the predetermined rate for the work theyperfonned when theyare
dassific ttion requested is act performed by classification in the employed pursuant to and individually registered in a bona fide
wage delenninalion; apprenticeship program registered with the DOL,Employmentand
Training Administration,Bureau of Apprenticeship and Training,or
(2) the additional classification is utilized in the area by with a Slate apprenticeship agency recognized bylhe Bureau,or if
the construction industry; a person is employed in his/her first 90 days of probationary
employment as an apprentice in such an apprenticeship program,
(3) the proposed wage rate,including any bona fide who is not individually registered in the program, but who has
fringe benefits.bears a reasonable relationship to the wage rates been certified by the Bureau of Apprenticeship and Training or a
contained in the wage determination;and State apprenticeship agency(where appropriate)to be eligible for
probationary employment as an apprentice.
(4) with respect to helpers,when such a classification
prevails in the area in which the work is performed. (2) The allowable ratio of apprentices to journeyman-
level employees on the Job site in any craft classification shall not
o. If the contractor or subcontractors,as appropriate,the be greater than the ratio permitted to the contractor as to the
laborers and mechanics(if known)to be employed in the additon- entire work force under the registered program. Any employee
al classification or theirrepresentalives.and the contracting officer listed on a payroll at an apprentice wage rate,who is not regis-
agree an the classification and wage rate(including the amount tered or otherwise employed as stated above,shall be paid not
designated for fringe benefits where appropriate),a report of the less than the applicable wage rate listed in the wage determina-
adion taken shall be sent by the contracting officer to the DOL, bon for the classification of work actually performed. In additon,
Administrator of the Wage and Hour Division,Employment Stan- any apprentice performing work on the job site in excess of the
dards Administration.Washington,D.C.20210. The Wage and ratio permitted under No registered program shall be paid not less
Hour Administmtor.oran authorized representative,will approve, than the applicable wage rate on the wage determination for the
modify,or disapprove every additional classification action within work actually performed. Where a contractor or subcontractor is
30 days of receipt and so advise the contracting officer or will performing construction on a project in a locality other than that in
notify the contracting officer within the 30-day period that which its program is registered,the miles and wage rates(ex-
additional time is necessary. pressed in percentages of the journeyman-level hourly rate)
specified in the contractor's or subcontractors registered program
d. In the event the contractor or subcontractors,as appro- shall be observed.
priate,the laborers or mechanics to be employed in the additional
dasslflcaton or their representatives,and the contracting officer (3) Every apprentice must be paid at not less than the
do not agree on the proposed classification and wage rate rate specified in the registered program for the apprentice's level
(including the amount designated for fringe benefits, where of progress,expressed as a percentage of the journeyman-level
appropriate), the contracting officer shall refer the questions, hourly rate specified in the applicable wage determination.
including the views of all interested parties and the recommenda- Apprentices shall be paid fringe benefits in accordance with the
lion of the contracting officer,to the Wage and Hour Administrator provisions of the apprenticeship program. If the apprenticeship
for determination. Said Administrator,or an authorized represen- program does not specify fringe benefits, apprentices must be
talive,will issue a determination within 30 days of receipt and so paid the full amount of fringe benefits listed on the wage determi-
advise the contracting officer or will notify the contracting officer nation for the applicable classification. If the Administrator for the
within the 30-day period that additional time is necessary Wage and Hour Division determines that a different practice
prevails for the applicable apprentice classification,fringes shall
e. The wage rate(including fringe benefits where appropri- be paid in accordance with that determination.
ate)determined pursuant to paragraph 2c or 2d of this Section IV
shall be paid to all workers performing work in the additional (4) In the event the Bureau of Apprenticeship and
classification from the first day on which work is performed in the Training, or a Slate apprenticeship agency recognized by the
classification. Bureau,withdraws approval of an apprenticeship program,the
contractor or subcontractor will no longer be permitted to utilize
Exhibit [ - Page 4 of 9 RF:QUTRP.D by 23 CPR 633102
Exhibit I
apprentices at less than the applicable predetermined rate for the be withheld, from the contractor or subcontractor under this
comparable work performed by regular employees until an accept- contract or any other Federal contract with the same prime
able program is approved. contractor, or any other Federally-assisted contract subject to
Davis-Bacon prevailing wage requirements which is held by the
b.Trainees: same prime contractor, as much of the accrued payments or
advances as may be considered necessary to pay laborers and
(1) Except as provided in 29 CFR 5.16.trainees will not mechanics, including apprentices, trainees, and helpers, em-
be permitted to work at less than the predetermined rate for the ployed by the contractor or any subcontractor the full amount of
work performed unless they are employed pursuant to and wages required by the contracL In the event of failure to pay any
individually registered in a program which has received prior laborer or mechanic,including any apprentice,trainee,or helper,
approval, evidenced by formal certification by the DOL, employed or working on the site of the work.all or part of the
Employment and Training Administration. wages required by the contract,the SHA contracting officer may,
after written notice to the contractor,take such action as may be
(2)The ratio of traineestojoumeyman-level employees necessary to cause the suspension of any further payment,
on the job site shag net be greater than permitted under the plan advance,or guarantee of funds until such violations have ceased.
approved by the Employment and Training Administration. Any
employee listed on the payroll at a trainee rate who is not 7. Overtime Requirements:
registered and participating in a training plan approved by the
Employment and Training Administration shall be paid not less No contractor or subcontractor contracting for any pad of
than the applicable wage rate on the wage determination for the the contract work which may require or involve the employment of
classification of work actually performed. In addifion,any trainee to homrs,mechanics,watchmen,or 9 Bards(including apprentices,
performing work on the job site in excess of the rage permitted trainees,and helpers described in paragraphs 4 and 5 above)
under the registered program shag be paid not less than the shall require or permit any laborer,mechanic,watchman.or guard
applicable wage rate on the wage determination for the work in any workweek in which he/she is employed on such work,to
actually performed. work in excess of 40 hours in such workweek unless such laborer,
mechanic,watchman,or guard receives compensation at a rate
(3) Every trainee must be paid at not less than the rate not less than one-and-one-half times his/her basic rate of pay for
specified in the approved program for hls1her level of progress, all hours worked in excess of 40 hours in such workweek.
expressed as a percentage of the journeyman-level hourly rate
specified in the applicable wage determination.Trainees shall be 8. Violation:
paid forge benefits in accordance with the provisions of the
trainee program. If the trainee pmgmm does not mention fringe Liability for Unpaid Wages; Liquidated Damages: In the
benefits,trainees shall be paid the full amount of fringe benefits event of any violation of the clause set forth in paragraph 7 above,
listed on the wage determination unless the Administrator of the the contractor and any subcontractor responsible thereof shall be
Wage and Hour Division determines that there is an apprentice- liable to the affected employee for hislher unpaid wages. In
ship program associated with the corresponding journeyman-level addition,such contractor and subcontractor shall be liable to the
wage rate on the wage determination which provides for less than United States(in the case of work done under contract for the
full fringe benefits for apprentices,in which case such trainees District of Columbia or a territory, to such District or to such
shall receive the same fringe benefits as apprentices. territory)for liquidated damages. Such liquidated damages shall
be computed with respect to each individual laborer,mechanic,
(4) In the event the Employment and Training watchman,argued employed in violation of the cause set forth in
Administration withdraws approval of a training program, the paragraph 7,in the sum of$10 for each calendar day on which
contractor or subcontractor will no longer be permitted to utilize such employee was required or permitted to work in excess of the
trainees at less than the applicable predetermined rate for the standard work week of 40 hours without payment of the overtime
work performed until an acceptable program is approved. wages required by the clause set forth in paragraph 7.
c.Helpers: 9. Withholding for Unpaid Wages and Liquidated Damages:
Helpers will be permitted to work on a project if the The SHA shall upon its own action or upon written request of
helper classificafion is specified and defined on the applicable anyauthorized representative of the DOL withhold,or cause to be
wage determination or is approved pursuant to the conformance withheld,from any monies payable on account of work performed
procedure set forth in Section IV.2. Any worker listed on a payroll by the contractor or subcontractor under any such contract or any
at a helper wage rate,who is not a helper under a approved other Federal contract with the same prime contractor, or any
definition,shall be paid nolless than the applicable wage rate on other Federally-assisted contract subject to the Contract Work
the wage determination for the classificallon of work actually per- Hours and Safety Standards Act which is held by the same prime
formed. contractor,such sums as may be deteanined to be necessary to
satisfy any fiabifities of such contractor or subcontractor for unpaid
S. Apprentices and Trainees(Programs of the U.S.DOT): wages and liquidated damages as provided in the clause set forth
in paragraph 8 above.
Apprentices and trainees working under apprenticeship and
skill Veining programs which have been certified by the Secretary V. STATEMENTSAND PAYROLLS
of Transportation as prorating EEO in connection with Federal-
aid highway construction programs are not subject to the require- (Applicable to all Federal aidconstruction contracts exceeding
meats of paragraph 4 of this Section IV. The straight time hourly $2.000 and to all related subcontracts,except for projects located
wage rates for apprentices and trainees under such programs will on roadways classified as local roads or rural col lectors,which are
be established by the particular programs. Theratioolapprenfic- exempt.)
es and trainees to journeyman shall not be greater than permitted
by the terms of the particular program. 1. Compliance with Copeland Regulations(29 CFR 3):
6. Withholding: The contractor shall comply with the Copeland Regulations of
The SHA shall upon its own action or upon written request the Secretary of tabor which are herein incorporated by reference.
of an authorized representative of the DOL withhold,or cause to
Exhibit 1 -Page 5 of 9 RFQUIRRD BY 23 CFR 633.102
Exhibit T
2. Payrolls and Payroll Records:
e.The weekly submission of a property executed certifica-
a. Payrolls and basic records relating thereto shall be lion set forth on the reverse side of Optional Form WH-347 shall
maintained by the contractor and each subcontractor during the satisfy the requirement for submission of the 'Statement of
course of the work and preserved for a period of 3 years from the Compliance'required by paragraph 2d of this Section V.
date of completion of the contract for all laborers, mechanics,
apprentices,trainees,watchmen,helpers,and guards working at L The falsification of any of the above certifications may
the site of the work. subject the contractor to civil or criminal prosecution under 18
U.S.C.1001 and 31 U.S.C.231.
b. The payroll records shall contain the name, social
security number,and address of each such employee;his or her g. The contractor or subcontractor shall make the records
correct classification;hourly rates of wages paid(including rates of required under paragraph 2b of this Section V available for
contributions or costs anticipated for bona fide fringe benefits or inspection,copying,or transcription by authorized representatives
cash equivalent thereof the types described in Section 1(b)(2)(B) of the SHA,the FHWA,or the DOL,and shall permit such repre-
of the Davis Bacon Act); daily and weekly number of hours sentatives to interview employees duringworking hours on lhejob.
worked;deductions made;and actual wages paid. In addition,for If the contractor or subcontractor fails to submit the required
Appalachian contracts,the payroll records shall contain a notation records or to make them available,the SHA,the FHWA,the DOL,
indicating whether the employee does, or does not, normally or all may,after written notice to the contractor,sponsor,applicant
reside in the labor area as defined in Attachment A.paragraph 1. or owner,take such actions as may be necessary to cause the
Whenever the Secretary of Labor, pursuant to Section IV. suspension of any further payment advance, or guarantee of
paragraph 3b, has found that the wages of any taborer or funds. Furthermore,failure to submit the required records upon
mechanic include the amount of anycosls masonabtyanticlpated request or to make such records available may be grounds for
in providing benefits under a plan or program described in Section debarment action pursuant to 29 CFR 5.12.
1(b)(2)(8) of the Davis Bacon Act, the contractor and each
subcontractor shall maintain records which show that the commit- VI.RECORD OF MATERIALS,SUPPLIES,AND LABOR
ment to provide such benefits is enforceable, that the plan or
program is financially responsible,that the plan or program has 1. On all Federal-aid contracts on the National Highway
been communicated in writing to the laborers or mechanics System,except those which provide solely for the installation of
affected,and show the costan6cpated orthe actual cost incurred protective devices at railroad grade crossings, those which are
in providing benefits. Contractors or subcontractors employing constructed on a farce account or direct tabor basis, highway
apprentices or trainees under approved programs shall maintain beautification contracts, and contracts for which the total final
written evidence of the registration of apprentices and trainees, construction cost for roadway and bridge is less than$1.000,000
and ratios and wage rates prescribed in the applicable programs. (23 CFR 635)the contractor shall:
c. Each contractor and subcontractor shall furnish,each a. Become familiar with the list of specific materials and
week in which any contract work is performed,to the SHAresident supplies contained in Form FHWA-47,'Statement of Materials
engineera payroll ofwages paid eachof its employees(including and Labor Used by Conlractorof Highway Construction Involving
apprentices,trainees,and helpers,described in Section IV,para- Federal Funds,'prior to the commencement of work under this
graphs 4 and 5, and watchmen and guards engaged on work contract.
during the preceding weekly payroll period).The payroll submitted
shall set out accurately and completely ail of the information b. Maintain a record of the total cost of all materials and
required to be maintained under paragraph 2b of this Section V. supplies purchased for and incorporated in the work,and also of
This information may be submitted in any form desired. Optional the quantities of those specific materials and supplies listed on
Form WH-347 is available for this purpose and may be purchased Form FHWA-47,and in the units shown on Form FHWA-47.
from the Superintendent of Documents(Federal stock number
029-005-0014-1),U.S.Government Printing Office.Washington, c. Furnish.upon the completion of the contract to the SHA
D.C.20402. The prime contractor is responsible for the submis- resident engineer on Form FHWA-47 together with the data
Sion of copies of payrolls by all subcontractors. required in paragraph 1 b relative to materials and supplies.a final
labor summary of all contract work indicating the total hours
d. Each payroll submitted shalt be accompanied by a worked and the total amount eamed.
'Statement of Compliance,'signed by the contractor or subcon-
tractor or his/her agent who pays or supervises the payment of the 2. At the prime contractor's option, either a single report
persons employed under the contract and shall certify the follow. covering all contract work or separate reports for the contractor
ing: and for each subcontract shall be submitted.
(1)that the payroll for the payroll period contains the Vll.SUBLETTING OR ASSIGNING THE CONTRACT
information required to be maintained under paragraph 2b of this -
Section V and that such information is correct and complete; 1. The contractor shall perform with its own organization
contract work amounting to not less than 30 percent(or a greater
(2) that such laborer or mechanic (including each percentage if specified elsewhere in the contract) of the total
helper,apprentice,and trainee)employed on the contract during original contract price,excluding anyspecially itemsdesignated by
the payroll period has been paid the full weekly wages earned, the State. Specialty items may be performed by subcontract and
withoutrebale.either directly or indirectly,and thalno deductions the amount of any such specialty items performed may be
have been made either directly or indirectly from the full wages deducted from the total original contract price before computing
eamed, other [ban permissible deductions as set forth in the the amount of work required to be performed by the contractor's
Regulations.29 CFR 3; awn organization(23 CFR 635).
(3)that each laborer or mechanic has been paid not a. 'Its own organizalion'shall be construed to include only
less that the applicable wage rate and fringe benefits or cash workers employed and paid directly by the prime contractor and
equivalentfor the classifipUon of worked performed,as specified equipment owned or rented by the prime contractor, with or
in the applicable wage delemdnalion incorporated into [he without operators. Such term does not include employees or
contract. equipment of a subcontractor, assignee,or agent of the prime
contractor.
Exhibit I - Page 6 of 9 REQUIRED By 23 CPR 633-102 --
Exhibit i
violation of Federal law. To prevent any misunderstanding
b. 'Specialty Items"shall be construed to be limited to regarding the seriousness of these and similar acts,the following
work that requires highly specialized knowledge, ablllfles, or notice shall be posted on each Federal-aid higtwrayprzxect(23
equipment not ordinarily available in the type of contracting CFR 635)in oneormore places whereitis readily avai table to all
organizations qualified and expected to bid on the contract as a persons concerned with the project:
whole and In general are to be limited to minorcomponents of the
overall contract NOTICE TO ALL PERSONNEL ENGAGED ON FEDERAL-AID
HIGHWAY PROJECTS
2. The contract amount upon which the requirements set forth
in paragraph 1 of Section VII is computed includes the cost of 18 U.S.C.1020 reads as follows:
material and manufactured products which are to be purchased or
produced by the contractor under the contract provisions. 'Whoever,being an officer,agent,or employee of the United
States,orofany State or Territory,orwhoemr, whethera person,
3. The contractor shall furnish(a)a competent superintendent association, firm, or corporation, knowingly makes any false
or supervisor who is employed by the firm, has full authority to statement,false representation,orfolse report as to the character,
direct performance of the work in accordance with the contract quality,quantity,or cost of the material used or to be used,orthe
requirements, and is in charge of all construction operadons quantity a quality of the work pedamed orb beperkxmed,orthe
(regardless of who performs the work)and(b)such other of its cost thereof in connection with the submission of plans;maps,
own organizational resources (supervision, management, and specifications,contracts,or costs of consfrocffon onanyidghway
engineering services)as the SHA contracting officer determines is or related project submitted fa appmral to the Secretary of
necessary to assure the performance of the contract. Transportation;or
4. No portion of the contract shall be sublet, assigned or
lse
otherwise disposed of except with the written consent of the SHA Whoever knowingly makes any false th rernenl, the
contractingofficer,or authorized representation, /aqua report a false A ywolatin with respect to the
representative,and such consent character,quality,quantity or cast ofenywork perfamedorlobc
when given shall rat be construed to relieve the contractor of any
responsibility for the fulfillment of the contract. Written consent Performed,ormation o famished a to be
alateished,in connectionappro or
will be given or after the SHA has assured that each subcontract by the Secretary
oonofanyhfghwaya re/atedprojeU approved
is evidenced In writing and that it contains all pertinent provisions
by the Secretary ol7mnspatation;or
and requirements of the prime contract. Whoever knowingly makes any false statement or false
Vill.SAFETY:ACCIDENT PREVENTION representation as to material fact in any statement,cer fiicate,or-
report submitted pursuant to provisions of the Federal-aid Roads
1. In the performance of this contract the contractor shall Act approved July 1, t9f6, (39 Slat. 355), as amended and
complywith all applicable Federal,State,and local lawsgoveming supplemented;
safety,health,and sanitation(23 CFR 635). The contractor shall
provide all safeguards.safety devices and protective equipment Shall be fined not mom that$10.009 orimprisoned not rnure
and take any other needed actions as it determines,or as the SHA than 5 years or both.'
contracting officer may determine,to be reasonably necessary to
protect the fife and health of employees on the job and the safety X. IMPLEMENTATION OF CLEAN AIR ACTAND FEDERAL
of the public and to protect property in connection with the WATER POLLUTION CONTROL ACT
performance of the work covered by the contract.
(Applicable to all Federal-aid construction contracts and to all
2. It is a condition of this contract, and shall be made a related subcontracts of$100,000 or more.)
condition of each subconlydct which the contractor enters Into
pursuant to this contract.that the contractor and any subcontractor By submission of this bid or the execution of this contract,a
shall not permit any employee,in performance of the contract,to subcontract,as appropriate,the bidder,Federal-aid construction
work in sumoundings or under conditions which are unsanitary, contractor,or subcontractor,as appropriate,will be deemed to
hazardous or dangerous to his/her health or safety,as determined have stipulated as follows:
under construction safety and health standards(29 CFR 1926)
promulgated by the Secretary of Labor, In accordance with 1. That any facility that is orwill be utilized in the per-10FRlanee Of
Section 107 of the Contract Work Hours and Safety Standards Act this contract,unless such contract is exempt under the Clean Air
(40 U.S.C.333). Act,as amended(42 U.S.C.1857 st seo,as amended byPub.L.
91-604),and under the Federal Water Pollution Control Act,as
3. Pursuant lo,29 CFR 1926.3,it is a condition of this contract amended(33 U.S.C.1251 elsee .,asamelded byPub.L 92-50D).
that the Secretary of Labor or authorized representative thereof, Executive Order 11738,and regulations in implen e,ntationthereof
shall have right of entry to any she of contract performance to (40 CFR 15)is not listed,on the date Df contract award,on the
inspector investigate the matter of compliancewfth theconsWc- U.S. Environmental Protection Agency (EPA)List of Violating
lion safety and health standards and to carryout the duties of the Facilities pursuant to 40 CFR 15.20.
Secretary under Section 107 of the Contract Work Hours and
Safety Standards Act(40 U.S.C.333). 2. That the firm agrees to comply and remain in compliance with
all the requirements of Section 114 of the Clean Atr AG and
IX. FALSE STATEMENTS CONCERNING HIGHWAY Section 308 of the Federal Water Podubon Control Act and all
PROJECTS regulations and guidelines listed thereunder-
In order to assure high quality and durable construction in 3. That the firm shall promptly notify the SHAoilhe receipt of any
conformity with approved plans and specifications and a high communication from the Director. Office of Federal Activities,
degree of rellatA fly on statements and representations made by EPA, indicating that a facility that Is or Wil he utlized for the
engineers, contractors. suppliers. and workers on Federal-aid contract is under consideration to be listed on the EPA List of
highway projects,it is essential that all persons concerned with the Violating Facilities-
project perform their functions as carefully, thoroughly, and
honesty as possible. Willful falsification,distortion,or misrepre- 4. That the firm agrees to include or cause to be included the
sentabon with respect to any facts related to the project is a requirements of paragraph 1 through 4 of this Section X in every
Exhibit I - Page 7 of 9 ae0ulRan HY 23 CFR 633-102
Exhibit I
non exempt subcontract,and further agrees to take such action as Federal Procurement or Non-procurement Programs" (Non-
the government may direct as a means of enforcing such procurement List)which is compiled by the General Services
requirements. Administration.
XI.CERTIFICATION REGARDING DEBARMENT,SUSPENSION, I. Nothing contained in the foregoing shall be construed to
INELIGIBILITY AND VOLUNTARY EXCLUSION require establishment of a system of records in order to render in
good faith the certification required by this clause.The knowledge
1. Instructions for Certification - Primary Covered and Information of participant is not required to exceed that which
Transactions: is normally possessed by a prudent person in the ordinary course
of business dealings.
(Applicable to all Federal-aid contracts-49 CFR 29)
J.Except for transactions authorized under paragraph f of
a.By signing and submitting this proposal,the prospective these instructions, if a participant in a covered transaction
primary participant is providing M certification set out below. knowingly enters into a lower fier covered transaction with a
person who is suspended, debarred, ineligible, or voluntarily
b.The inabilityof a person to provide the certification setout excluded from participation in this transaction,in addition to other
below will riot necessarily result In denial of participation in this remedies available to the Federal Government,the depart mentor
covered transaction. The prospective participant shall submit an agency may terminate this transaction for cause or default.
explanation of why it cannot provide the certificalion set out below.
The certification or explanation will be considered in connection
with the department or agencys determination whether to enter ....
into this transaction. However,failure of the prospective primary
participant to furnish a codification or an explanation shall Certification Regarding Debarment,Suspension,
disqualify such a person from participation in this transaction. Ineligibility and Voluntary Exclusion--Primary Covered
Transactions
C.The certifiwton in this dause is a material representation
of fact upon which reliance was placed when the department or 1.The prospective primary participant certifies to the best of its
agency determined to enter into this transaction. If it is later knowledge and belief,that it and its principals:
determined that the prospective primary participant knowingly
rendered an erroneous certification,in addition to other remedies a. Are not presently debarred, suspended, proposed for
wettable to the Federal Government,the department or agency debarment, declared ineligible, or voluntarily excluded from
may terminate this transaction for cause of default. covered transactions by any Federal department or agency,
d.The prospecive primary participant shall provide rmmedi- b. Have not within a 3-year period preceding this proposal
ate written notice to the department or agency to whom this been convicted of or had a civil judgment rendered against them
proposal is submitted if any lime the prospective primary partici- for commission of fraud or a criminal offense in connection with
pant learns that its certification was erroneous when submitted or obtaining,attempting to obtain,or performing a public(Federal,
has become enoTteous by reason of changed circumstances. State or local)transaction or contract under a public transaction;
violation of Federal or State antitrust statutes or commission of
e- The terms "covered transaction; "debarred; embezzlement,theft,forgery.bribery,falsification or destruction of
"suspended," -ineligible,' "lower tier covered transaction," records,making false statements,or receiving stolen property,
"participant,"person;"primary covered transaction.""principal,'
proposal,"and boluntarilyexduded;'as used in this clause,have C. Are not presentlymclicted for orolherwise criminallyor
the meanings set out in the Definitions and Coverage sections of civilly charged by a governmental entity(Federal,Stale or local)
rules Implementing Executive Order 12549. You may contact the with commission of anyof the offenses enumerated in paragraph
department or agency to which this proposal is submitted for I of this certification;and
assistance in obtaining a copy of dose regulations.
d. Have not within a 3-year period preceding this
I. The prospective primary participant agrees by submitting appficationtproposal had oneormore public transactions(Federal.
this proposal that should the proposed covered transaction be State or local)terminated for cause or default
entered into,it shall not knowingly enter into any lower fief covered
transaction with a person who Is debarred,suspended,declared 2. Where the prospective primary participant is unable to certify
ineligible,or voluntarily excluded from participation in this covered to any of the statements in this certification, such prospective
transaction, unless authorized by the department or agency participant shall attach an explanation to this proposal.
entering into this transaction.
g. The prospective primary participant further agrees by
submitting this proposal that it will include the clause titled
"Certification Regarding Debarment,Suspension,Ineligibility and 2. Instructions for Certification - Lower Tier Covered
Voluntary Exclusion-Lower Tier Covered Transaction."provided by Transactions:
the department a agency entering into this covered transaction,
without modification,in all lower fier covered transactions and in (Applicable to all subcontracts,purchase orders and other lower
all solicitations for lower tier covered transactions. tier transactions of$25,000 or more-49 CFR 29)
h.A participant in a covered transaction may rely upon a a.By signing and submitting this proposal,the prospective
certification of a prospective participant in a lower tier covered lower tier is providing the certification set out below.
transaction that is not debarred,suspended,ineligible,or volun-
tarily excluded from the covered Vansac6on,unless it knows that b.The certification in this clause is a material representation
the certification is erroneous. A participant may decide the offactuponwhich reliance was placed when this transaction was
method and frequency bywhich it determines the eligibility of its enteredinto. If it is laterdetemnined that the prospective lower tier
principals. Each participant may,but is not required to,check the participant knowingly rendered an erroneous certification, In
ran-procurement portion of the"Lists of Parties Excluded From addition to other remedies available to the Federal Government,
Exhibit 1 - Page 8 of 9 REQUIRED BY 23 CPR 633.102
Exhibit I
the department,or agency with which this transaction originated certly to any of the statements in this certification,such prospec-
may pursue available remedies, including suspension and/or tive participant shall attach an explanation to this proposal.
debarment
c. The prospective lower her participant shall provide '
immediate written notice to the person to which this proposal is XII.CERTIFICATION REGARDING USE OF CONTRACT FUNDS
submitted if at any time the prospective lower tier participant OR LOBBYING
learns that its certification was erroneous by reason of changed
circumstances. (Applicable to all Federal-aid construction contracts and to all
related subcontracts which exceed$100,000-49 CFR 20)
d. The terms "covered transaction;' 'debarred;'
"suspended,' ineligible,' 'primary covered transaction;' 1. The prospective participant certifies,by signing and submit-
"pariicipant," "person," "principal' 'proposal," and 'voluntarily ling this bid of proposal,to the best of his or her knowledge and
excluded,"as used in this clause,have the meanings set out in belief,that:
tire Definitions and Coverage sections of rules implementing
Executive Order 12549. You may contact the person to which this a. No Federal appropriated funds have been paid orwill be
proposal is submitted for assistance in obtaining a copy of those paid, by or on behalf of the undersigned, to any person for
regulations. influencing or attempting to influence an officer or employee of
any Federal agency,a Member of Congress,an officeror employ-
e. The prospective lower Get participant agrees by ee of Congress, or an employee of a Member of Congress in
submitting this proposal that, should the proposed covered connectionwith lheawarding of any Federal contract.themaking
transaction be entered into,it shall not knowingly enter into any of any Federal grant,the making of any Federal loan,the entering
lower tier covered transaction with a person who is debarred, into of any cooperative agreement,and the extension,continua-
suspended, declared ineligible, or voluntarily excluded from lion,renewal,amendment,or modification of any Federal contract,
padicpation in this covered transaction,unless authorized by the grant,loan,or cooperative agreement.
department or agency with which this transaction originated.
b. If any funds other than Federal appropriated funds have
f. The prospective lower Ver participant further agrees by been paid or will be paid to any person for influencing or attempt-
submitting this proposal that it will include this clause tilled ing to influence an officer or employee of any Federal agency,a
"Certification Regarding Debarment,Suspension,Ineligibility and Member of Congress,an officer or employee of Congress,or an
Voluntary Exclusion-Lower Tier Covered Transaction," without employee of a Member of Congress in connection with this
modification, in all lower fler covered transactions and in all Federal contract, grant, loan, of cooperative agreement, the
solicitations for lower tier covered transactions. undersigned shall complete and submit Standard Form-LLL,
"Disclosure Form to Report Lobbying' in accordance with its
g.A participant in a covered transaction may rely upon a instructions.
certification of a prospective participant in a lower tier covered
transaction that is not debarred,suspended,ineligible,or volun- 2. This certification is a material representation of fact upon
larllyexcluded from the covered transaction,unless it knows that which reliance was placed when this transaciion was made or
the certi0cation is erroneous. A participant may decide the entered into. Submission of this certification is a prerequisite for
method and frequency by which it determines the eligibility of its making or entering into this transaction imposed by 31 U.S.C.
principals. Each participant may,but is not required to,check the 1352 Any person who fails to file the required certification shall
Non-procurement LisL be subject to a civil penalty of not less than$10,000 and not more
than$100,000 lot each such failure.
h.Nothing contained in the foregoing shall be construed to
require establishment of a system of records In order to render in 3.The prospective participant also agrees by submitting his or
good faith the certification required by this clause. The knowledge her bid or proposal that he or she shall require that the language
and information of participant is not required to exceed that which of this certification be Included in all lower tier subcontracts,which
is normally possessed by a prudent person in the ordinary course exceed $100,000 and that all such recipients shall certify and
of business dealings. disclose accordingly.
I. Except for transactions authorized under paragraph a of
these instructions, if a participant in a covered transaction
knowingly enters into a lowor bet covered transaction with a
person who is suspended, debarred, ineligible, or voluntarily
excluded from participation in this transaction,in addition to other
remedies available to the Federal Government,the department or
agency with which this transaction originated may pursue
available remedies,including suspension and/or debarment.
Certification Regarding Debarment,Suspension,
Ineligibility and Voluntary Exclusion--Lower Tier Covered
Transactions:
1. The prospective lower bet partidpan(certifies,by submission
of this proposal, that neither it nor its principals is presently
debarred, suspended, proposed for debarment, declared
ineligible, or voluntarily excluded from participation in this
transaction by any Federal department or agency.
2. Where the prospective lower get participant is unable to
Exhibit I - Page 9 of 9 REQUIRED BY 23 CFR 633.102
Exhibit J
FEDERAL REQUIREMENTS
Federal laws and regulations that may be applicable to the Work include:
A. The "Uniform Administrative Requirements for Grants and Cooperative Agreements to State and Local
Governments(Common Rule),at 49 Codc of Federal Regulations,Part 18,except to the extent that other applicable
federal requirements (including the provisions of 23 CFR Parts 172 or 633 or 635) are more specific than
provisions of Part 18 and therefore supersede such Part 18 provisions. The requirements of 49 CPR 18 include,
without limitation:
1. the Local Agency/Contractor shall follow applicable procurement procedures,as required by section 18.36(d);
2. the Local Agency/Contractor shall request and obtain prior CDOT approval of changes to any subcontracts in the
manner, and to the extent required by,applicable provisions of section 18.30;
3. the Local Agency/Contractor shall comply with section 18.37 concerning any sub-grants;
4. to expedite any CDOT approval, the Local Agency/Contractor's attorney,or other authorized representative,shall
also submit a letter to MOT certifying Local Agency/Contractor compliance with section 18.30 change order
procedures,and with 18.36(d)procurement procedures,and with 18.37 sub-grant procedures, as applicable;
5.the Local Agency/Contractor shall incorporate the specific contract provisions described in 18.36(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 of September 24, 1965 entitled "Equal Employment Opportunity," as amended by
Executive Order 11375 of October 13, 1967 and as supplemented in Department of Labor regulations(41 CFR Chapter
60)(All construction contracts awarded in excess of$10,000 by grantees and their contractors or sub-grantees).
C_ The Copeland"Anti-Kickback"Act(18 U.S.C.874)as supplemented in Department of Labor regulations(29
CPR Part 3)(All contracts and sub-grants for construction or repair).
D. The Davis-Bacon Act(40 U.S.C.276a to a-7)as supplemented by Department of Labor regulations(29 CPR
Part 5)(Construction contracts in excess of$2,000 awarded by grantees and sub-grantees when required by Federal
grant program legislation. This act requires that all laborers and mechanics employed by contractors or sub-contractors
to work on construction projects financed by federal assistance must be paid wages not less than those established for
the locality of the project by the Secretary of Labor).
E. Sections 103 and 107 of the Contract Work Hours and Safety Standards Act (40 U.S.C. 327-330) as
supplemented by Department of Labor regulations(29 CFR Part 5). (Construction contracts awarded by grantees and
sub-grantees in excess of$2,000, and in excess of$2,500 for other contracts which involve the employment of
mechanics or laborers).
F. Standards,orders,or requirements issued under section 306 of the Clear Air Act(42 U.S.C. 1857(h),section
508 of the Clean Water Act (33 U.S.C. 1368). Executive Order 11738, and Environmental Protection Agency
regulations(40 CPR Part 15)(contracts, subcontracts,and sub-grants of amounts in excess of$100,000).
G. Mandatory standards and politics relating to energy efficiency which are contained in the state energy
conservation plan issued in compliance with the Energy Policy and Conservation Act(Pub. L.94-163).
H. Office of Management and Budget Circulars A-87, A-21 or A-122, and A-102 or A-110, whichever is
i applicable.
I
1. The Hatch Act(5 USC 1501-1508)and Public Law 95-454 Section 4728. These statutes state that federal
Exhibit)—Page I of 3
Exhibit J
funds cannot be used for partisan political purposes of any kind by any person or organization involved in the
administration of federally-assisted programs.
J. 42 USC 6101 et seg. 42 USC 2000d,29 USC 794,and implementing regulation,45 C.F.R.Part 80 et.seg..
These acts require that no person shall,on the grounds of race,color,national origin, age,or handicap,be excluded
from participation in or be subjected to discrimination in any program or activity funded, in whole or part,by federal
funds;
K. The Americans with Disabilities Act(Public Law 101-336; 42 USC 12101, 12102, 12111-12117, 12131-
12134, 1 21 41-1 2150, 12161-12165, 12181-12189, 12201-12213 47 USC 225 and 47 USC 611.
L. The Uniform Relocation Assistance and Real Property Acquisition Policies Act,as amended(Public Law 91-
646, as amended and Public Law 100-17, 101 Stat. 246-256). (If the contractor is acquiring real property and
displacing households or businesses in We performance of this contract.)
M. The Drug-Free Workplace Act(Public Law 100-690 Title V, subtitle D,41 USC 701 et sen,).
N. The Age Discrimination Act of 1975,42 U.S.C. Sections 6101 et. seq. and its implementing regulation, 45
C.F.R. Part 91; Section 504 of the'Rehabilitation Act of 1973, 29 U.S.C. 794, as amended, and implementing
regulation 45 C.P.R.Part 84.
O. 23 C.F.R.Part 172,concerning"Administration of Engineering and Design Related Contracts".
P. 23 C.F.R Part 633,concerning"Required Contract Provisions for Federal-Aid Construction Contracts".
Q. 23 C.F.R. Part 635,concerning"Construction and Maintenance Provisions".
R. Title VI of the Civil Rights Act of 1964 and 162(a)of the Fcdcral Aid Highway Act of 1973. The
requirements for which are shown in the Nondiscrimination Provisions,which are attached hereto and made a part
hereof.
S. Nondiscrimination Provisions:
In compliance with Title VI of the Civil Rights Act of 1964 and with Section 162(a)of the Federal Aid Highway Act of
1973,the Contractor, for itself, its assignees and successors in interest,agree as follows:
1. ComnliancewithReeulations. 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 hicorporated
by reference and made a part of this contract.
2. Nondiscrimination. The Contractor,with regard to the work performed by it after award and prior to
completion of the contract work,will not discriminate on the ground of race,color,sex,mental or physical handicap or
national origin in the selection and retention of Subcontractors, including procurement of materials and leases of
equipment. The Contractor will not participate either directly or indirectly in the discrimination prohibited by Section
21.5 of the Regulations,including employment practices when the contract covers a program set forth in Appendix C of
the Regulations.
Exhibit J—Page 2 of 3
Exhibit J
3. 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 contract and the Regulations relative to nondiscrimination on the
ground of race,color,sex,mental or physical handicap or national origin.
4. Information and Reports. The Contractor will provide all information and reports required by the
Regulations,or orders and instructions issued pursuant thereto and will permit access to its books,records,accounts,
other sources of information and its facilities as may be determined by the State or the FHWA to be pertinent to
ascertain compliance with such Regulations,orders and instructions. Where any information required of the Contractor
is in the exclusive possession of another who fails or refuses to furnish this information,the Contractor shall so certify
to the State, or the FHWA as appropriate and shall set forth what efforts have been made to obtain the information.
5. Sanctions for Noncompliance. In the event of the Contractor's noncompliance with the
nondiscrimination provisions of this contract, the State shall impose such contract sanctions as it or the FHWA may
determine to be appropriate,including, but not limited to:
a.Withholding of payments to the Contractor under the contract until the Contractor complies,and/or;
b.Cancellation,termination or suspension of the contract, in whole or in part.
6. Incorporation of Provisions. The Contractor will include the provisions 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. Tlie Contractor will take such action with respect to any subcontractor
procurement as the State or the FIIWA may direct as a means of enforcing such provisions including sanctions for
noncompliance; provided, however, that, in the event the Contractor becomes involved in, or is threatened with,
litigation with a Subcontractor or supplier as a result of such direction,the Contractor may request the State to enter into
such litigation to protect the interest of the State and in addition,the Contractor may request the FHWA to enter into
such Litigation to protect the interests of the United States.
Exhibit J — Page 3 of 3