HomeMy WebLinkAbout2014-09-15 (Regular) Meeting Agenda Packet1. Call to Order.
2. Invocation.
3. Pledge of Allegiance.
4. Roll Call.
Agenda for the
Regular Meeting of the
Englewood City Council
Monday, September 15, 2014
7:30 pm
Englewood Civic Center -Council Chambers
1000 Englewood Parkway
Englewood, CO 80110
5. Consideration of Minutes of Previous Session.
a. Minutes from the Regular City Council Meeting of September 2, 2014.
b. Introduction of Englewood City Manager Eric A. Keck and family.
c. The newly appointed City Manager, Eric A. Keck, will be sworn in by the Honorable Judge
David A. Sprecace.
d. Brief Reception.
6 . Recognition of Scheduled Public Comment. (This is an opportunity for the public to address City
Council. There is an expectation that the presentation will be conducted in a respectful manner.
Council may ask questions for clarification, but there w ill not be any dialogue. Please limit your
presentation to fi v e minutes.)
a. Representatives from the American Council of the Blind and Visually Impaired of Colorado
(Tom Christner, Director of Development and Jim Stevens, Board Member) will be present to
address Council regarding an upcomin g ev ent.
Please note: If you have a disability and need auxiliary aids or services , please notify the City of Englewood
(303-762-2405) at least 48 hours in advance of when services are needed.
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Englewood City Council Agenda
September 15 , 2014
Page 2
7. Recognition of Unscheduled Public Comment. (This is an opportunity for the public to address City
Council. There is an expectation that the presentation will be conducted in a respectful manner.
Council may ask questions for clarification, but there will not be any dialogue. Please limit your
presentation to three minutes. Time for unscheduled public comment may be limited to 45 minutes,
and if limited, shall be continued to General Discussion.)
Council Response to Public Comment.
8. Communications, Proclamations, and Appointments.
a. Email from Allie Moore announcing her resignation from the Keep Englewood Beautiful
Commission.
9. Consent Agenda Items
a. Approval of Ordinances on First Reading.
b. Approval of Ordinances on Second Reading.
i. Council Bill No. 49, amending the NonEmergency Retirement Plan document to
correctly define "spouse" for the purpose of complying with federal tax laws and the
Colorado Civil Union Act.
ii. Council Bill No. 50, authorizing an intergovernmental agreement with the U .S.
Geological Survey to conduct mineralogical characterization and metal-recovery
leaching studies on wastewater biosolids.
c. Resolutions and Motions.
10. Public Hearing Items .
a. A Public Hearing to gather input on the proposed 2015 City of Englewood Budget. (Please
note a copy of the proposed 2015 City of Englewood Budget is available for review on the
City website http://www.englewoodgov .org /budget and the Englewood Public Library during
regular business hours)
11. Ordinances, Resolutions and Motions.
a. Approval of Ordinances on First Reading.
b. Approval of Ordinances on Second Reading.
Please note: If you have a disability and need auxiliary aids or services, please notify the City of Englewood
(303-762-2405) at least 48 hours in advance of when services are needed.
Englewood City Council Agenda
September 15, 2014
Page 3
c. Resolutions and Motions.
i. Recommendation from the Finance and Administrative Services Department to
approve a resolution for a supplemental appropriation for the purchase of console
radios for Police and Fire dispatch . Staff Source: Frank Gryglewicz, Director of
Finance and Administrative Services.
ii. Recommendation from the Police Department to approve, by motion, the contract for
the replacement of Police and Fire console radios . Staff further recommends awarding
the contract to Motorola in the amount of $355,922. Staff Source: Tim Englert,
Commander.
iii . Recommendation from the Community Development Department to approve, by
motion, a professional services agreement for the Englewood Comprehensive Plan
Update. Staff further recommends awarding the contract Logan Simpson Design. The
amount budgeted for this project is $150,000 in the Community Development
Budget. Staff Source: John Voboril, long Range Planner II.
iv. Recommendation from the Community Development Department to approve, by
motion, a professional services agreement for the Englewood Light Rail Corridor Next
Steps Study. Staff further recommends awarding the contract to Felsburg Holt and
Ullevig. Staff Source: John Voboril, long Range Planner II.
v. Recommendation from the Community Development Department to approve, by
motion, a professional services agreement for the Englewood Walk and Wheel Master
Plan and Program. Staff further recommends awarding the contract to OV Consulting.
The funding for this project is provided in $99, 999 in grant funds from Kaiser
Permanente. Staff Source: John Voboril, long Range Planner II.
12. General Discussion .
a. Mayor's Choice.
b. Council Members' Choice .
13. City Manager's Report.
14. City Attorney's Report.
15. Adjournment.
Please note: If yo u have a disability and n e ed auxiliary aids or services, please notify the City of Englewood
(303-762-2405) at least 48 hours in advance of when services are needed.
Lou Ellis
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m:
t:
To:
Cc:
Subject:
Lou Ellis
Monday, September 15, 2014 9:08 AM
Tamara Wolfe
Kerry Bush; emcgarry@englewoodgov.org
Oath
Attachments: Scanned from a Xerox Multifunction Device .pdf
Tracking:
Loucrishia A. Ellis, MMC
City Clerk, The City of Englewood
1000 Englewood Parkway
Englewood, Colorado 80110
303-762-2407
Recipient
Tamara Wolfe
Kerry Bush
emcgarry@englewoodgov.org
Delivery
Delivered: 9/15/2014 9:08 AM
Delivered: 9/15/2014 9:08 AM
Delivered : 9/15/2014 9:08 AM
Sender and receiver should be mindful that all of my incoming and outgoing e-mails may be subject to the Colorado Open
Records Act, §24-72-100.1, et seq
• From : Tamara Wolfe
Sent: Monday, September 15, 2014 8 :22 AM
To: Lou Ellis; Kerry Bush
Subject: Swearing in text
Good Morning ,
The associate judge for tonight has asked for the text he will be using to swear in the new city manager tonight. Would
one of you mind emailing me a version so that I can forward that to him? Thank you so much! t.
Tamara D Wolfe
Municipal Court Administrator
Englewood Municipal Court
1000 Englewood Parkway
Englewood, CO 80110
303-762-2587
twolfe@eng lewoodgov. org
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State of Colorado }
County of Arapahoe ) S.S.
City of Englewood )
OATH OR AFFIRMATION
I, Eric A. Keck, do solemnly swear or affirm that I will support the
Constitution of the United States, the Constitution of the State of
Colorado, and the Charter and Ordinances of the City of Englewood;
• and that I will, to the best of my ability, faithfully perform the duties of
office as the City Manager during my continuance therein .
Subscribed and sworn to before me this __ day of ____ , 2014.
Attest:
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Lou Ellis
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t:
To:
Cc:
Subject:
Leigh Ann Hoffhines
Monday, September 15, 2014 10:45 AM
Randy Penn
Lindsay Von Colditz; Lou Ellis; Kerry Bush; Eric Keck; Michael Flaherty; Dan Brotzman
Tonight's scheduled speakers cancelled
Good morning, Mayor Penn-Representatives from the American Council of the Blind and Visua lly Impaired were
scheduled to address City Council at tonight's meeting. They just called to say they will not be in attendance after all.
Leigh Ann
Leigh Ann Hoffhines
Communications Coordinator
City of Eng lew ood
1000 Englewood Parkw ay
Engle wood , CO 80110
303-762-2316
lhoffhines@englewoodgov .org
www.englewoodgov .org I Facebook
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PUBLIC COMMENT ROSTER
AGENDA ITEM 7
UN CHEDULED PUBLIC COMMENT
September 15, 2014
P[ ASE [IMIT YOURr>RESENTATION TO THREE MINUTES
PLEASE PRINt
NAME ADDRESS (TOPIC r
Nancy Fenton
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To:
Cc:
Subject:
Hi Audra-
Allie Moore <alliemmoore@gmail.com>
Thursday, September 04, 2014 9:01 AM
Audra Kirk
Nancy Fenton; Bob Mccaslin
Stepping down from KEB
Ba
! am sorry to say that I feel the need to resign from KEB, effective immediately . I think KEB does some great
projects, but I don't have time in my schedule to attend the monthly meetings .
I know I have shared this idea with you before, but wanted to suggest one more time that given the agenda each
month, I think city volunteers could accomplish a lot of these great projects just by working with a volunteer
coordinator and without monthly meetings. I would be glad to be involved in the future in volunteer efforts, if
you maintain a list of volunteers beyond KEB members please keep me included.
Thanks for your work on the commission and I wish you guys the best moving forward.
Allie Moore
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ORDINANCE NO.
SERIES OF 2014
BY AUTHORITY
COUNCIL BILL NO. 49
INTRODUCED BY COUNCIL
MEMBER GILLIT
AN ORDINANCE AMENDING TITLE 3, CHAPTER 4, SECTION 2, SUBSECTION 2, OF
THE ENGLEWOOD MUNICIPAL CODE 2000 PERTAINING TO THE CITY OF
ENGLEWOOD NONEMERGENCY EMPLOYEES RETIREMENT PLAN AND TRUST AS
AMENDED AND RESTATED EFFECTIVE DECEMBER 31, 2012.
WHEREAS, the Nonemergency Employees Retirement Plan changes were recommended by
the Nonemergency Employees Retirement Board on August 12, 2014; and
WHEREAS, changes need to be made to the Nonemergency Employees Retirement Plan
(NERP) to clarify language defining "spouse"; and
WHEREAS, the Nonemergency Employees Retirement Plan (NERP) must correctly define
"spouse" for the purposes of complying with federal tax laws and the Colorado Civil Union Act;
and
WHEREAS, the effective date of May 1, 2013 for the amendment allows the Nonemergency
Employees Retirement Plan to comply with the necessary effective dates for federal tax laws and the
Colorado Civil Union Act.
NOW, THEREFORE, BE IT ORDAINED BY THE CITY COUNCIL OF THE CITY OF
ENGLEWOOD, COLORADO, THAT:
Section 1. The City Council of the City of Englewood, Colorado hereby authorizes amending
Title 3, Chapter 4, Section 2, Subsection 2, entitled Definitions of the Englewood Municipal
Code 2000, by the addition of a new paragraph CC, to read as follows:
3-4-2-2: Definitions.
Unless the context otherwise requires, the definitions and general provisions contained in this
Subsection govern the construction of this restated Plan.
A. Accrued Benefit means the benefit determined in accordance with Section 3-4-7 hereof.
B. Accumulated Contributions means the sum of the Member's contributions to this Plan,
credited with interest thereon at the rate of three and one-half percent (3.5%) per annum to
the date payment of the Member's benefit commences.
C. Actuarial (or Actuarially) Equivalent means equality in value of the aggregate amounts
expected to be received under different forms of payment based on interest rate and
mortality assumptions as defined below unless otherwise specifically provided in the Plan:
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1. Interest Rate Assumption for Alternative Periodic Benefits. The interest rate used for
purposes of computing alternative periodic forms of benefits shall be seven and one-
half percent (7 .5%) effective January 1, 1986 .
2. Interest Rate Assumption for Single-Sum Payments. Effective for the calendar year
beginning on January 1, 1986, and for each calendar year following sequentially
thereafter, the interest rate used for purposes of computing single-sum payments
shall be the immediate annuity rate (subject to adjustment as required for deferred
annuities) used by the Pension Benefit Guaranty Corporation as of the January 1
coincident with or preceding the date as of which the amount of the alternative form
of benefit is being determined hereunder.
3. Mortality Assumption.
a. Effective January 1, 2012, the mortality assumption for calculation shall be a
unisex rate that is fifty percent (50%) male, fifty percent (50%) female, taken
from the 1994 group annuity mortality table. For the period July 1, 1999 to
December 31, 2011, such mortality assumption shall be a unisex rate that is
fifty percent (50%) male, fifty percent (50%) female, taken from the 1983
group annuity mortality table. Prior to July 1, 1999, such mortality assumption
shall be a unisex rate that is fifty percent ( 50%) male, fifty percent ( 50%)
female , taken from the 1971 group annuity mortality table.
b. Solely for purposes of Section 3-4-16-2, hereof, on and after January 1, 2012,
the mortality assumption for calculation shall be a unisex rate that is fifty
percent (50%) male, fifty percent (50%) female, taken from the 1994 group
annuity mortality table. In the case of distribution with annuity starting dates
on or after December 31, 2002, the mortality table used to adjust any benefit or
limitation under Code Section 415(b)(2)(B), (C), or (D) as set forth in Section
3-4-16-3 of the Plan is the table prescribed by Rev. Rul. 2001-62.
D. Beneficiary means the person or persons who are so designated by the Member, or Vested
Member, in accordance with Section 3-4-8-7, to receive any payment to which a
Beneficiary may become entitled under this Plan.
E. Board or Retirement Board means the Board appointed by the City Council and charged
with the general administration of the Plan as set forth in Section 3-4-11-1 hereof.
F. City means the City of Englewood, State of Colorado.
G. City Council means the City Council of the City.
H. Code or Internal Revenue Code means the Internal Revenue Code of 1986 26 USC (1986),
as amended from time to time.
I . Compensation means the total cash remuneration paid to a Member for a calendar year by
the City for personal services while earning Credited Service as reported on the Member's
income tax withholding statement or statements (Form W-2, or its subsequent equivalent),
including longevity pay and excluding bonuses, extra pay, compensation time, overtime,
lump-sum payments in lieu of accrued vacation time, sick leave, or personal leave, worker's
compensation and any contribution by the City under this Plan, or the like, but including
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any compensation that the Member has elected to have deferred under Section 457 and
Section 125 of the Internal Revenue Code. Effective January 1, 1989, the amount of a
Member's compensation for the purposes of the Plan during any Plan Year shall not exceed
two hundred thousand dollars ($200,000.00) subject to cost-of-living adjustments in
accordance with Code Section 415(d).
In addition to other applicable limitations set forth in the Plan, and notwithstanding any
other provision of the Plan to the contrary, for Plan Years beginning on or after January 1,
1996, the annual compensation of each "noneligible member" taken into account under the
Plan shall not exceed the Omnibus Budget Reconciliation Act '93 annual compensation
limit. The OBRA '93 annual compensation limit is one hundred fifty thousand dollars
($150,000.00), as adjusted by the commissioner for increases in the cost ofliving in
accordance with Code Section 401(a)(l 7)(b). The cost of living adjustment in effect for a
calendar year applies to any period, not exceeding twelve (12) months, over which
compensation is determined (determination period) beginning in such calendar year. If a
determination period consists off ewer than twelve (12) months, the OBRA '93 annual
compensation limit will be multiplied by a fraction, the numerator of which is the number
of months in the determination period, and the denominator of which is 12. A "noneligible
member" is any Member who first became a Member in the Plan during a Plan Year
beginning on or after January 1, 1996.
Effective January 1, 1989, through December 31, 1996, in determining the compensation
of a Member for purposes of this limitation, the rules of Code Section 414( q)( 6), shall
apply, except in applying such rules, the term "family" shall include only the spouse of the
Member and any lineal descendants of the Member who have not attained age 19 before
the close of the year, effective January 1, 1989 through December 31, 1996, if, as a result
of the application of such rules the adjusted annual compensation limitation is exceeded
then the limitation shall be prorated among the affected individuals in proportion to each
such individual's compensation as determined under this Subsection 2-10-2-2(i), of the
Englewood Municipal Code prior to the application of this limitation. For purposes of
calculating Compensation on or after January 1, 2002, the limitation under Code Section
401(a)(l 7) is increased to two hundred thousand dollars ($200,000 .00), as adjusted.
Credited Service means the period of Service rendered by an Employee as a Member for
which credit is allowed.
Disability means a physical or mental condition which entitles the Member to receive a
disability income under the long-term disability insurance contract maintained by the City.
Effective Date This Plan was originally effective January 1, 1970 and has been amended
and restated from time to time.
M . Employee means any person employed by the City as a full-time, non-exempt, non-
confidential, non-supervisory (hourly) employee who is covered by the overtime provisions
of the Fair Labor Standards Act. For the purposes of this retirement Plan, police officers,
paid firefighters, elected officials and temporary employees shall not be considered to be
Employees . If a person who was excluded from this definition of Employee is later
determined to have been misclassified or is reclassified, the person shall continue to be
treated as not an Employee for all Plan purposes for periods prior to the date the person's
classification is revised.
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N. Exempt Employee means an Employee having one of the following titles as defined by City
Personnel Policies and Procedures: City Manager, Deputy City Manager, any Department
Directors, Municipal Court Judge, City Attorney, and Assistant City Attorney. Effective
January 1, 1988, "Exempt Employee" shall also include any managerial, supervisory or
confidential employee as defined by City Personnel Policies and Procedures .
0. Final Average Monthly Compensation means 1/36 of a Member's total Compensation
during the thirty-six (36) consecutive full calendar months (determined without the
inclusion of any Break in Service) within the last one hundred twenty (120) completed full
calendar months of employment with the City which yield the highest average
Compensation. In the event the Member was employed for fewer than thirty-six (36)
consecutive full calendar months, such average monthly compensation shall be based on
his Compensation for the thirty-six (36) successive full months during his last one hundred
twenty (120) full calendar months of employment with the City that would yield the
highest average, or his full period of such employment, if less than thirty-six (36) months.
For purposes of calculating Final Average Monthly Compensation, a retroactive increase in
a Member's Compensation shall be considered Compensation only for the calendar month
for which the increase is paid (not for the month in which the payment occurs).
P. Insurance Company means any insurance company or companies appointed by the City for
long-term disability coverage, or as provided in Subsection 3-4-12-3 hereof.
Q. Leave of Absence means any absence authorized by the Employer under such Employer's
standard personnel practices, provided that all persons under similar circumstances must be
treated alike in the granting of such Leave of Absence, and provided further that the
Employee returns or retires within the period specified in the authorized Leave of Absence .
R . Member means any person included in the membership of this Plan as provided in Section
3-4-3 hereof.
S. Normal Retirement Age means age sixty-five (65).
T. Normal Retirement Date means the first day of the calendar month coincident with or next
following the sixty-fifth (65th) birthday of the Member.
U. Plan means City of Englewood Nonemergency Employees Retirement Plan and Trust, as
amended from time to time.
V. Plan Administrator means the Retirement Board of the City.
W. Plan Year means the calendar year starting January 1 and ending December 31.
X. Previous Plan means the Plan (including the City of Englewood Retirement Plan and any
predecessor plan(s) thereto) in force and effect for the period prior to December 31, 2012.
Any reference herein to the Previous Plan as of a certain date or for a certain period shall
be deemed a reference to the Previous Plan as then in effect.
Y. Retired Member means a former Member whose employment terminated by reason of
retirement according to Section 3-4-6-1, 3-4-6-2 or 3-4-6-3 and who is receiving or is
entitled to receive, or whose Beneficiary or estate is entitled to receive, benefits under this
Plan.
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z. Retirement Benefit or Pension means any Retirement Benefit provided for in Section 3-4-7
hereof.
AA. Retirement Fund or Fund means the "City of Englewood Nonemergency Employees
Retirement Fund," maintained by the Retirement Board or in accordance with the
terms of the Trust Agreement, amended from time to time, which constitutes a part of
this Plan.
BB. Service means a person's period or periods of employment as an Employee used in
determining eligibility or the amount of benefits as described in Section 3-4-4 hereof.
CC. Spouse. Effective May 1. 2013. spouse is defined as follows: (a) for purposes of
federal tax laws applicable to this Plan. spouse is defined according to federal tax laws.
including Rev. Rul. 2013-17 and subsequent regulations and rulings. and includes a
spouse lawfully married under the laws of one of the 50 states. the District of
Columbia. a U.S. territory or a foreign jurisdiction. regardless of whether the spouses
remain residents of the state. territory or jurisdiction in which they were married: Q?)
for all other purposes. spouse is defined according to federal tax laws and. in addition.
spouse is defined to include parties to a Colorado civil union.
GG DD. Trustee means any qualified and acting Trustee appointed by the City Council as
Named Fiduciary for the investment and management of Plan assets, as provided in
Section 3-4-12 hereof.
OOEE. Vested Member means a former Member whose Credited Service has terminated by
reason other than retirement or Disability, who has completed at least five (5) years of
Credited Service and who is entitled to receive, or whose Beneficiary or estate is
entitled to receive, benefits under this Plan. A Vested Member shall become a Retired
Member upon the actual commencement of benefit payments.
Section 2. Safety Clauses . The City Council hereby finds, determines, and declares that this
Ordinance is promulgated under the general police power of the City of Englewood, that it is
promulgated for the health, safety, and welfare of the public, and that this Ordinance is necessary
for the preservation of health and safety and for the protection of public convenience and
welfare . The City Council further determines that the Ordinance bears a rational relation to the
proper legislative object sought to be obtained.
Section 3. Severability. If any clause, sentence, paragraph, or part of this Ordinance or the
application thereof to any person or circumstances shall for any reason be adjudged by a court of
competent jurisdiction invalid, such judgment shall not affect, impair or invalidate the remainder
of this Ordinance or it application to other persons or circumstances.
Section 4. Inconsistent Ordinances. All other Ordinances or portions thereof inconsistent or
conflicting with this Ordinance or any portion hereof are hereby repealed to the extent of such
inconsistency or conflict.
Section 5 . Effect of repeal or modification. The repeal or modification of any provision of
the Code of the City of Englewood by this Ordinance shall not release, extinguish, alter, modify,
or change in whole or in part any penalty, forfeiture, or liability, either civil or criminal, which
shall have been incurred under such provision, and each provision shall be treated and held as
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still remaining in force for the purposes of sustaining any and all proper actions, suits,
proceedings, and prosecutions for the enforcement of the penalty, forfeiture, or liability, as well
as for the purpose of sustaining any judgment, decree, or order which can or may be rendered,
entered, or made in such actions, suits, proceedings, or prosecutions.
Section 6. Penalty. The Penalty Provision of Section 1-4-1 EMC shall apply to each and
every violation of this Ordinance.
Introduced, read in full , and passed on first reading on the 2nd day of September, 2014.
Published by Title as a Bill for an Ordinance in the City's official newspaper on the 5th day of
September, 2014.
Published as a Bill for an Ordinance on the City's official website beginning on the 3rd day of
September, 2014 for thirty (30) days.
Read by title and passed on final reading on the 15th day of September, 2014 .
Published by title in the City's official newspaper as Ordinance No._, Series of 2014, on
the 19th day of September, 2014.
Published by title on the City's official website beginning on the 17th day of
September, 2014 for thirty (30) days.
This Ordinance shall take effect thirty (30) days after publication following final
passage.
Randy P . Penn, Mayor
ATTEST:
Loucrishia A. Ellis, City Clerk
I, Loucrishia A. Ellis , City Clerk of the City of Englewood, Colorado, hereby certify that the
above and foregoing is a true copy of the Ordinance passed on final reading and published by
title as Ordinance No ._, Series of 2014.
Loucrishia A. Ellis
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ORDINANCE NO.
SERIES OF 2014
BY AUTHORITY
COUNCIL BILL NO. 50
INTRODUCED BY COUNCIL
MEMBER OLSON
AN ORDINANCE AUTHORIZING AN INTERGOVERNMENTAL AGREEMENT
BETWEEN THE U.S. GEOLOGICAL SURVEY, UNITED STATES DEPARTMENT OF THE
INTERIOR AND THE CITY OF ENGLEWOOD, COLORADO ENTITLED USGS FACILITY
USE/SERVICE AGREEMENT AUTHORIZED BY 15 USC 3710(A) AS AMENDED FOR
WATER RESOURCES INVESTIGATIONS.
WHEREAS, the Wastewater biosolids are known to contain a variety of chemical elements
produced from domestic, commercial and industrial sources in the Littleton/Englewood service
area; and
WHEREAS, biosolids contain various metals which are monitored on a routine basis,
following EPA regulations; and
WHEREAS, the LIE Wastewater Treatment Plant wishes to cooperate in a test ofbiosolids to
evaluate whether these metals can be reclaimed and/or recycled; and
WHEREAS, the Project needs to characterize biosolids samples from a variety oflocations,
different treatment plants, to evaluate the samples of metal recovery potential; and
WHEREAS, USGS personnel will conduct chemical characterization and perform
mineralogical characterizations and metal-recovery leaching studies on these samples; and
WHEREAS, the USGS Energy and Minerals Mission Area provides impartial science and
information for understanding the occurrence and distribution of national and global energy and
mineral resources that may contribute to supplies, the potential environmental and other effects
stemming from resource use, and the global supply and flow of non-fuel mineral commodities;
and
WHEREAS, this work is supported by the USGS Mineral Resources Program metal and
Mineral Commodities in the Build and Waste Stream Environments Project; and
WHEREAS, the proposed ordinance authorizes an intergovernmental agreement entitled USGS
Facility Use/Service Agreement Authorized by 15 USC 371 O(A) As Amended between the U.S.
Geological Survey (USGS) and the City to conduct mineralogical characterization and metal-
recovery leaching studies (Project) on wastewater biosolids.
NOW, THEREFORE, BE IT ORDAINED BY THE CITY COUNCIL OF THE CITY OF
ENGLEWOOD, COLORADO, AS FOLLOWS:
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Section 1. The intergovernmental agreement "USGS Facility Use/Service Agreement
Authorized By 15 USC 3710(A) As Amended", attached hereto as "Exhibit A," is hereby accepted •
and approved by the Englewood City Council.
Section 2. The Mayor is authorized to execute and the City Clerk to attest and seal the
intergovernmental agreement "USGS Facility Use/Service Agreement Authorized By 15 USC
3710(A) As Amended", for and on behalf of the City of Englewood, Colorado.
Introduced, read in full, and passed on first reading on the 2nd day of September, 2014 .
Published by Title as a Bill for an Ordinance in the City's official newspaper on the 5th day of
September, 2014.
Published as a Bill for an Ordinance on the City's official website beginning on the 3rd day of
September, 2014 for thirty (30) days.
Read by title and passed on final reading on the 15th day of September, 2014 .
Published by title in the City's official newspaper as Ordinance No._, Series of 2014, on
the 19th day of September, 2014.
Published by title on the City's official website beginning on the 17th day of
September, 2014 for thirty (30) days .
Randy P. Penn, Mayor
ATTEST:
Loucrishia A. Ellis, City Clerk
I, Loucrishia A. Ellis, City Clerk of the City of Englewood, Colorado, hereby certify that the
above and foregoing is a true copy of the Ordinance passed on final reading and published by
title as Ordinance No ._, Series of 2014.
Loucrishia A. Ellis
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USGS Agreement#: 14SWfUSAEWJPKS
OPA File#: FUSAl4-3812
USGS FACILITY USE/SERVICE AGREEMENT
AUTHORIZED BY 15 USC 3710 (A) AS AMENDED
Name & Address USGS Facility:
Kathleen Smith
U.S. Geological Survey
Crustal Geophysics and Geochemistry Science Center (GGCMRPOOOO)
PO Box 25046, Denver Federal Center, MS 964D
Denver, CO 80225-0046
Name & Address of Collaborator:
Littleton/Englewood Wastewater Treatment Plant (LEWWTP)
2900 S. Platte River Drive
Englewood, CO 80110
Tax ID Number (TIN): 84-6000583
Describe type of technical assistance to be furnished by USGS:
Personnel from the LEWWTP will provide three Class B biosolids samples to the USGS. USGS personnel will
conduct chemical characterization, and perform mineralogical characterization and metal-recovery leaching
studies on selected samples of interest. The USGS will provide a compilation of the data to the LEWWTP.
Data gathered on the samples by the USGS will be published, but not necessarily during the time period of this
agreement. The samples will be picked up by USGS personnel from LEWWTP. The USGS will not be
reouired to return the samples once the study has been completed .
Benefit of project work to USGS missions:
This collaboration supports the mission of the USGS Energy and Minerals Mission Area to provide impartial
science and information for understanding the occurrence and distribution of national and global energy and
mineral resources that may contribute to supplies, the potential environmental and other effects stemming from
resource use, and the global supply and flow of non-fuel mineral commodities. This work is supported by the
USGS Mineral Resources Program Metal and Mineral Commodities in the Built and Waste Stream
Environments Project. The Project needs to characterize biosolids samples from a variety of locations to
evaluate the samples for metal recovery potential.
Collaborator explanation of how the specified research activity assists your company, program or
project work:
Biosolids are known to contain a variety of chemical elements, and the collaborator has the need to
characterize concentrations of chemical elements in their biosolids. Data generated by the USGS can be used
to inform the characterization and evaluation of potential recovery of valuable metals.
Project Term: Delivery Date:
The project will begin on the date of the final si1mature and end on September 30, 2015 .
Reimbursement/Cost Share:
There is no funding involved in this agreement. The USGS is providing in-kind services valued at $450 . The
Collaborator is providing in-kind services valued at $100.
USGS Contacts:
Technical POC Financial POC
Kathleen Smith Stacy Briles, AO
303-236-5788 303-236-1705
ksmi thlalusll'S. ll'OV sbrileslaluse:s.e:ov
Collaborator Contacts
Technical POC Financial POC
Jim Tallent Alicia Stutz, Procurement Specialist
Littleton/Englewood WWTP Finance/Admin Services, City of Englewood
E
)(
I-
I e
I
T
A
. .
303-762-2610 303-762-2412
jtallent@englewoodgov.org astutz@englewoodgov .org • 2900 S. Platte River Drive l 000 Englewood Parkway
En1dewood, CO 80110 En~lewood, CO 80110
10. Terms of Agreement:
a) The Collaborator has determined that the capabilities of the above listed facility are unique and not readily
available from the private sector.
b) Scientific results will be provided on a "best efforts" basis by the USGS.
c) The USGS MAKES NOW ARRANTIES ABOUT THE INFORMATION IT DELIVERS OR ITS
USEFULNESS FOR AP ARTICULAR PURPOSE.
d) The parties do not anticipate the development of any intellectual property (IP) as part of this agreement.
However in the event that IP, which is defined as patents, copyrights, new inventions, or discoveries, is
created in the course of the technical assistance, such IP shall be the property or joint property of the
organization employing the respective individual(s) who made the invention or discovery. Any IP
developed will be reported by the developer to his/her Technical Contact who will in turn notify the other
party's Technical Contact.
e) Collaborator/User understands that Government work will have priority over this project in the event that
a scheduling conflict develops in the laboratory.
f) Both the USGS and the Collaborator may utilize the generated information developed by the USGS in
databases, papers, or as part of other scientific information.
g) This Agreement may be cancelled on 30 days written notice by either party to the other.
h) The Technical Contacts listed herein shall attempt to jointly resolve any disputes arising from the
Agreement. Any dispute that they are unable to resolve shall be submitted to the Director of the USGS or
his designee and the President or his designee of the Collaborator, for final resolution.
i) The purposes of this Agreement and all services to be provided hereunder, each party shall be, and shall
be deemed to be, an independent entity and not an agent or employee of the other party.
j) The terms of this Facility Use Agreement are the only terms that govern the parties' agreement and the
research/technical work to be completed by the USGS. The USGS is not bound by and does not accept
any additional or supplemental terms or conditions contained in any Purchase Order or other document
used by the Collaborator to order or pay for research services. Such documents are accepted by the USGS
solely as a convenience to the Collaborator and are not intended to modify or expand the terms of the • parties' a~reement.
U.S. Geolo1dcal Survey Collaborator
Name Name
Randy P. Penn
Signature Date Signature Date
Title Title
Mayor
•
PLEASE PRINT
NAME
City of Englewood
AGENDA ITEM 10 (a)
PUBLIC HEARING ROSTER
DATE: September 15, 2014
A Public Hearing to gather input on the
proposed 2015 City of Englewood Budget.
ADDRESS
~rado Community Media ~7 S Ridgeline Blvd Suite 210
Highlands Ranch, Co 80112
AFFIDAVIT OF
PUBLICATION
State of Colorado
County of Arapahoe
)ss
This Affidavit of Publication for the ENGLEWOOD HERALD, a weekly
newspaper, printed and published for the County of Arapahoe, State of Colorado,
hereby certifies that the attached legal notice was published in said newspaper once
in each week, for 3 successive week(s), the last of which publication was made the
12th day of September A.O., 2014, and that copies of each number of said paper in
which said Public Notice was published were delivered by carriers or transm it ted by
mail to each of the subscribers of said paper, according to their accustomed mode of
~~
For the Englewood Herald
State of Colorado
County of Arapahoe )ss
The above Affidavit and Certificate of Pub I ication was subscribed and sworn to
before me by the above-named GERARD HEALEY, publisher of said newspaper,
who is personally known to me to hrs 1he identical person in the above certificate on
this 12th day of September A.O., 2014.
Notary Public, 9137 S Ridgeline Blvd Suite 2 IO
Highlands Ranch, CO 80129
•
My Commission Expires 10/12/16
PllbllcNoUce
crry Of E/fil!,llWOOO
tlOUt!i OF P,uBUC ~Alttt&
Of!,2Jlt&P~~,t ,
I Snf'1~.~~•~' ;0·1~
· Legal Notice No.: 321 7
First Puolicat 1on August 29, 20 14
Last Pu bi1ca 1ian. Se p!em t>er 12 20 14
Publ isher: Tile Englewood He raf\1
• PROOF OF PUBLICATION
City of Englewood, Colorado
Official Website
www.englewoodgov.org
I, Loucrishia A Ellis, City Clerk, for the City of Englewood, do solemnly swear
that the attached legal notice (Notice of Public Hearing September 15, 2014
on the 2015 Proposed Budget) was published on the Official City of
• Englewood Website from August 20, 2014 through
State of Colorado )
) SS
County of Arapahoe )
Subscribed and sworn to before me on this 15th day of September, 2014.
My Commission Expires: 'Jv0i \ l 17-011-
SEAL
ERIN McGARRY
NOTARY PUBLIC
STATE OF COL~2 NOTARY ID 2013404_.. M'f COMMSSION EXPIRES JULY 11, 2017
•
•
•
CITY OF ENGLEWOOD
NOTICE OF PUBLIC HEARING
on 2015 Proposed Budget
SEPTEMBER 15, 2014
Notice is hereby given that the City
Council of the City of Englewood,
Colorado will hold a Public Hearing
on the 2015 Proposed Budget on
Monday, SEPTEMBER 15, 2014, at
7:30 p.m., in the City Council
Chambers at Englewood Civic
Center, 1000 Englewood Parkway,
Englewood, Colorado. The purpose
of the hearing is to receive citizen
input concerning the 2015 Proposed
Budget.
Interested parties may express
opinions in person at the Public
Hearing, or in writing, to be received
by the City Clerk by 5:00 p.m. on
September 15, 2014. Anyone wishing
to speak at the Public Hearing may
call the City Clerk's Office,
303.762.2407 or 303.762.2405, to
schedule their presentation or a sign-
up sheet will be available at the door.
By order of the Englewood City
Council
Loucrishia A. Ellis, MMC
City Clerk, City of Englewood
1000 Englewood Parkway
Englewood, Colorado 80110
PUBLISHED: August 20, 2014
Official Website of the
City of Englewood, Colorado
City of Englewood, Colorado
2015 Proposed Budget Overview
January 1,
2015
Est Fund
Balance
Sources of
Funds Uses of Funds
December 31,
2015
Est Fund
Balance
• GOVERNMENTAL FUND TYPES
General Fund is the operating fund of the City. It is used to account for all financial resources except for
those required to be accounted in another fund.
General Fund 10,416,386 41,869,711 44,342,218 7,943,879
Special Revenue Funds account for the proceeds of specific revenue sources that are legally restricted to
expenditure for specified purposes.
Conservation Trust 88 ,094 310,000 3~\9Q.0 23,094 ---~·---
Community Develop_!!lent _369,000 ~~0,00_0 ---· -·
Donor's 350,233 88,_5~0 ~83 "QOO ~~773_ ---
~all~)'._-~ente!" !rust 188,088 7!0Q__O 75,0QO ~_Q,O~~-
Parks and Recreation Trust 457,711 16,300 ~?5 ,0Q.9 . 109!_0_!_1 ---
9pen Space 63,177 665,000 6~3,0Q!) 65,17]_
N5!igh~9!~~od Stabiliz:~_tion P~_?gram ------·
Debt Service Fund accounts for the accumulation and payment of long-term debt principal and interest
other than long-term debt accounted for in enterprise funds .
General Obli ation Bond Fund 46,876 1,107,000 1,110,313 43,563
• Capital Project Funds account for financial resources to be used for the acquisition and/or construction of
major capital facilities (other than those financed by proprietary funds or special revenue funds).
•
Publi~ Improvement
Capital Projects
PROPRIETARY FUND TYPES
171 ,857
23,018
3,!09,000
703,000
3,244,326
704,602
36 ,5} l
21,416
Enterprise Funds account for operations financed and operated in a manner similar to private business
enterprises.
Water 9,121,504 8,519,956 9 ,808 ,593 7,832 ,867 -
Sewer 1,639,312 16,207,602 16,927,366 919,~~! -
_ ~~-12!1 Qrai nage 1,030,219 329 ,0 13 340,614 l ,OJ 81 6l !L_
Golf Course 448,750 1,968,498 2,230,778 186,470
Concrete Utility 329,851 884,200 880,493 333,558
Housing Reha_bilitation 1,570,415 1,000,000 1,000~000 __ _1,57_Q!~l5
Internal Service Funds account for the financing of goods or services provided by one department or
agency to other departments or agencies of the government, and to other governmental units, on a cost
reimbursement basis.
Central Services 67,141 _316,900 341,307 42 ,?}~ -----·-
Servi Center 1,171,256 2,?81,23~ 3,389,622 3~2!86_2_
--~ ---·----Capit~l Equipment Replacement 1,5 75 ,032 998,000 1,§41,449 731 ,~83 -
Risk l\!anagement 26,288 1,535,568 1,531,899 ~9,9~7
~mp}oyee Benefits Fund 42,335 6,~53,501 6,553 ,7!4 42 ,_1 _~2
All Funds Total 28,827,543 89 ,130 ,022 96,368 ,2 94 21,589,271
2% 0 3% 1 ~/o
~
General Fund Sources
Rev enu e
D Sales & Use Taxes
• Charges for Services
D Franchise Fees
D Property Tax
•Cultural & Recreation Program Fees
Intergovernmental Revenue
• Fines & Forfeitures
D Specific Ownership & Cigarette Taxes
• Licenses & Permits
Component Units Contribution
•Other
0 Interest
Total Revenue
D Other Financing Sources
Total Sources of Funds
•
City of Englewood, Colorado
2015 Proposed Budget Overview
General Fund
4%
Amount O/o General Fund Uses
Expenditure
$ 24,200,000 58% D Police Services
3,318,899 8°/o • Fire Services
3,017,550 7% D Park s & Recreation Services
2,900,000 7°/o D Public Works
2,556,900 6% • Debt Service
1,350,611 3°/o El Finance & Administrative Services
1,396,844 3% • Community Development
451,000 16/o D Information Technology
1,107 ,122 3% • Library Services
858,882 2°/o •Municipal Court
329,413 1% D City Attorney's Office
88,164 0°/o a City Manager's Office
41 ,575,385 •Human Resources
294,326 1 6/o • Legislation-City Council & Boards
• Contingencies
Total Expe nditure
D Other Financing Uses
$ 41,869,711 100% Total Uses of Funds
Net Sources (Uses) of Funds
Es timated Fund Balance -January I , 2015
Es tim ated Fund Balance Before Reserves
•
10 a
Amount O/o
$ 12 , 157 , 100 28%
8,917,066 20%
6,053 ,116 14%
5,790,091 13%
1,863,3 14 4%
1,805,052 4°/o
1,288,781 3%
1,425,389 3°/o
1,317 ,65 7 3%
1,085,494 2°/o
869 , 106 2%
731,307 2°/o
482,893 1%
355,852 16/o
200,000 0%
44 ,3 42 ,2 18
$ 44,342,218 100%
$ (2,472,507)
10 ,416 ,386
7,943 ,8 79
( 4,003,099)
$ 3,940,780
•
• COUNCIL COMMUNICATION
Date: Agenda Item: Subject:
September 15, 2014 11 c i Resolution for a supplemental appropriation of funds
for the purchase of Police Department radios
Initiated By: Staff Source:
Finance and Administrative Services Department Frank Gryglewicz, Director
COUNCIL GOAL AND PREVIOUS COUNCIL ACTION
City Council has discussed Police Department operations/communications on numerous occasions; the
most recent discussion was at the July 28, 2014 Study Session. Commander Tim Englert discussed police
console radio replacements and the 911 Authority Agreement (to reimburse the majority of the purchase
price)
This action supports the outcome "A safe, clean, healthy and attractive City" by providing police officers
with state-of-the-art, quality communications equipment.
RECOMMENDED ACTION
Staff recommends City Council approve a supplement appropriation as follows:
• SOURCES AND USES OF FUNDS:
•
GENERAL FUND:
SOURCE OF FUNDS:
Fund Balance
Police Department -Operating Machines and Equipment
Total
USE OF FUNDS:
Police Radio Console Replacement
BACKGROUND, ANALYSIS, AND ALTERNATIVES IDENTIFIED
$350,000
$5,922
$355,922
$355,922
Arapahoe County E911 Authority Board approved partial funding of radio consoles for the seven Public
Safety Answering Points (PSAPs) in Arapahoe County. The Board authorized $50,000 per position in the
PSAPs. The Englewood Dispatch Center has four positions, equaling $200,000. The Authority also
provides each PSAP with an annual Agency Operating Fund (AOF) to fund PSAP needs. The City receives
$100,000 allotment per year; which can be carried over year-to-year. Englewood has an AOF balance of
$150,000. The total of the AOF and PSAP funds is $350,000.
The proposal from Motorola for the replacement of the City's console radios is $355,922. The Motorola
consoles are compatible with the State Digital Trunked Radio System and associated software . This
compatibility supports a sole source purchase from Motorola .
Replacing the consoles is required per Federal Communication Commission (FCC) mandates and Motorola
ending support of the Department's current consoles. •
The Arapahoe County E911 Agreement requires the City of Englewood make the "upfront" purchase and
request reimbursement after the Motorola contract is signed . The City is responsible for amounts
exceeding $350,000.
FINANCIAL IMPACT
The Unassigned Fund Balance in the General Fund will show a temporary reduction of $350,000 as the
Arapahoe County E911 Authority will reimburse the City $350,000. The remaining $5 ,922 will be absorbed
by the 2014 Police Department Budget.
LIST OF ATTACHMENTS
Proposed Resolution
•
•
RESOLUTION NO.
• SERIES OF 2014
•
•
A RESOLUTION APPROPRIATING FUNDS FOR THE PURCHASE OF POLICE
DEPARTMENT RADIOS.
WHEREAS, the City of Englewood is required by City Charter to ensure expenditures do not
exceed legally adopted appropriations; and
WHEREAS , the 2014 Budget was submitted and approved by the Englewood City Council on
October 21 , 2013 ; and
WHEREAS , Arapahoe County E911 Authority Board approved partial funding ofradio
consoles for the seven Public Safety Answering Points (PSAPs) in Arapahoe County; and
WHEREAS , Englewood Dispatch Center has four positions with the Arapahoe County E911
Authority Board funding $50 ,000 per position which equals $200 ,000 funded; and
WHEREAS , the Authority also provides each Public Safety Answering Points with an annual
Agency Operating Fund (AOF) with Englewood receiving $100 ,000 allotment per year; and
WHEREAS , Motorola proposal for the replacement of the City 's console radios is $355,922,
and the Motorola consoles are compatible with the State Digital Trunked Radio System and
associated software; and
WHEREAS , amounts spent over $350 ,000 are the responsibility of the City; and
WHEREAS , replacing the consoles is required per Federal Communication Commission
(FCC) mandates and Motorola ending support of the Department's current consoles; and
WHEREAS, the Arapahoe County E911 Agreement requires the City of Englewood make the
"upfront" purchase and request reimbursement after the Motorola contract is signed; and
WHEREAS , the passage of this Resolution appropriates the funds for the purchase of the
Police Department Radios .
NOW, THEREFORE, BE IT RESOLVED BY THE CITY COUNCIL OF THE CITY OF
ENGLEWOOD, COLORADO, AS FOLLOWS:
Section 1. The Budget for the General Fund of the City of Englew ood, Colorado, is hereby
amended for the year 2014 as follows:
GENERAL FUND :
SOURCE OF FUNDS:
Fund Balance
Police Department Operating Machines and Equipment
Total
USE OF FUNDS:
Police Radio Console Replacement
$350 ,000
$ 5,922
$355,922
$355 ,922
Section 2. The City Manager and the Director of Finance and Administrative Services are
hereby authorized to make the above changes to the 2014 Budget for the City of Englewood.
ADOPTED AND APPROVED this 15th day of September, 2014.
ATIEST:
Randy P. Penn, Mayor
Loucrishia A. Ellis, City Clerk
I, Loucrishia A. Ellis , City Clerk for the City of Englewood, Colorado, hereby certify the
above is a true copy of Resolution No. __ , Series of 2014.
Loucrishia A. Ellis, City Clerk
•
•
•
September 15 , 2014
Initiated By:
Police Department
COUNCIL COMMUNICATION
Agenda Item:
11 c ii
Subject:
Police/Fire Dispatch console radio
replacement contract with Motorola
Staff Source:
Commander Tim Englert
COUNCIL GOAL AND PREVIOUS COUNCIL ACTION
During the July 28, 2014 Stud y Session City Council was presented with information regarding the replacement
of the Police/Fire Dispatch Center console radios by taking advantage of funding available through the
. Arapahoe County E911 Authority. The contract with Motorola has been reviewed and approved by the City
Attorney's Office.
This action supports the outcome of "A safe , clean , healthy and attractive City" by providing police officers and
firefighters with state-of-the-art, quality communications equipment.
RECOMMENDED ACTION
The Police Department is recommending that City Council approve, by Motion, authorizing the contract with
Motorola for the replacement of the console radios , which will be reimbursed by the Arapahoe E911 Authority.
-ACKGROUND, ANALYSIS, AND ALTERNATIVES IDENTIFIED
The Arapahoe County E911 Authority Board approved partial funding of radio consoles for the seven Public
Safety Answering Points (PSAPs) in Arapahoe County. The Board authorized $50,000 per position in the PSAPs.
The Englewood Dispatch Center has four positions, equaling $200,000. The Authority also provides each PSAP
with an annual Agency Operating Fund (AOF) to fund PSAP needs. Englewood has an AOF balance of
$150,000. The total of the AOF and the Board approved funds is $350,000.
The proposal from Motorola for the replacement of the City's console radios is $355,922. The Motorola
consoles are compatible with the State Digital Trunked Radio System (DTRS) and associated software. All seven
PSAPs in Arapahoe County use Motorola equipment. This compatibility supports a sole source purchase from
Motorola .
. Replacing the consoles is required per Federal Communications Commission (FCC) mandates, future software
updates to the DTRS system, and the current equipment reaching end of life and no longer being supported by
Motorola.
The Arapahoe County E911 agreement requires the City of Englewood make the "upfront" purchase and
request reimbursement after the contract is signed and equipment is installed. The City is responsible for any
. costs exceeding $350,000. The remaining $5,922 will be taken from the 2014 Police budget.
LIST OF ATTACHMENTS
.emorandum from the City Attorney dated August 14, 2014
Motorola Communications System Agreement
·/
•
•
•
MEMORANDUM
TO:
FROM:
DATE:
REGARDING:
Tim Englert, EPD _,,,
John Collins, Chief of Police ~
Jeff Sanchez, Deputy Chief of Police
Nancy Reid, Deputy City Attorney . /tJ;~
August 14, 2014
Motorola proposed communications system agreement with Motorola
Solutions, Inc. -200 Review.
The majority of my prior concerns pertaining to this agreement have been fixed. The only
remaining items are to insure the exhibits are all there before the City signs this agreement.
• There are still only 2 exhibits attached and make sure the blanks in all the exhibits and
the amount of the agreement are all filled in.
With that this agreement is legally acceptable .
Attachment
NNR/nf
•
•
Communications System Agreement
Motorola Solutions, Inc. ("Motorola") and City of Englewood , a Colorado Municipal Corporation
("Customer") enter into this "Agreement," pursuant to which Customer will purchase and Motorola will sell
the System , as described below. Motorola and Customer may be referred to individually as a "Party " and
collectively as the "Parties." For good and valuable consideration, the Parties agree as follows :
Section 1 EXHIBITS
The exhibits listed below are incorporated into and made a part of this Agreement. In interpreting th is
Agreement and resolving any ambiguities, the main body of this Agreement takes precedence over the
exhibits and any inconsistency between Exhibits A through E will be resolved in their listed order.
Exhibit A
Exhibit B
Exhibit C
C-1
C-2
C-3
C-4
2014
Exhibit D
Exhibit E
Section 2
Motorola "Software License Agreement"
"Payment Schedule"
"Technical and Implementation Documents"
"System Description" which is Section _1_ of Motorola's proposal dated 5-14-2014
"Equipment List" which is Section_§_ of Motorola's proposal dated 5-14-2014
"Statement of Work" which is Sect ion _l_ of Motorola 's proposal dated 5-14-2014
"Acceptance Test Plan " or "ATP" which is Section -1_ of Motorola 's proposal dated 5-14-
Service Statement(s) of Work and "Service Terms and Conditions" (if applicable)
"System Acceptance Certificate "
DEFINITIONS
Capitalized terms used in this Agreement have the following meanings:
2.1. "Acceptance Tests" means those tests described in the Acceptance Test Plan .
2.2. "Administrative User Credentials " m.eans an account that has total access over the operating
system, files , end user accounts and passwords at either the System level or box level. Customer's
personnel with access to the Administrative User Credentials may be referred to as the Administrative
User.
2 .3 . "Beneficial Use " means when Customer first uses the System or a Subsystem for operational
purposes (excluding training or test ing).
2.4. "Confidential Information" means all information consistent with the fulfillment of this agreement
that is (i) disclosed under this agreement in oral, written, graphic, machine recognizable , and/or sample
form, being clearly designated , labeled or marked as confidential or its equivalent or (ii) obtained by
examination , testing or analysis of any hardware, software or any component part thereof provided by
discloser to recipient. The nature and existence of this agreement are considered Confidential
Information. Confidential information that is d isclosed orally must be identified as confidential at the time
of disclosure and confirmed by the discloser by subm itting a written document to the recipient within th irty
(30) days after such disclosure. The written document must contain a summary of the Confidential
Information disclosed with enough specificity for identification purpose and must be labeled or marked as
confidential or its equivalent.
2.5 . "Contract Price" means the price for the System, excluding applicable sales or similar taxes and
freight charges.
2.6 . "Effective Date" means that date upon which the last Party executes this Agreement.
2.7 . "Equipment" means the equipment that Customer purchases from Motorola under this
• Agreement. Equipment that is part of the System is described in the Equipment List.
Motorola .CSA.revision .6.16 .13 .doc
Motorola Contract No . Englewood
2.8. "Force Majeure" means an event, circumstance, or act of a third party that is beyond a Party's
reasonable control (e .g., an act of God, an act of the public enemy, an act of a government entity, strikes
or other labor disturbances, hurricanes, earthquakes, fires, floods, epidemics, embargoes, war, and riots). •
2 .9. "Infringement Claim" means a third party claim alleging that the Equipment manufactured by
Motorola or the Motorola Software directly infringes a United States patent or copyright.
2.10 . "Motorola Software" means Software that Motorola or its affiliated company owns.
2.11. "Non-Motorola Software" means Software that another party owns .
2.12. "Open Source Software" (also called "freeware" or "shareware") means software with either freely
obtainable source code, license for modification, or permission for free distribution.
2 .13. "Proprietary Rights " means the patents, patent applications, inventions, copyrights, trade secrets,
trademarks, trade names, mask works, know-how, and other intellectual property rights in and to the
Equipment and Software, including those created or produced by Motorola under this Agreement and any
corrections, bug fixes, enhancements, updates or modifications to or derivative works from the Software
whether made by Motorola or another party .
2.14 . "Software" means the Motorola Software and Non-Motorola Software, in object code format that
is furnished with the System or Equipment.
2.15. "Specifications" means the functionality and performance requirements that are described in the
Technical and Implementation Documents.
2.16 . "Subsystem" means a major part of the System that performs specific functions or operations .
Subsystems are described in the Technical and Implementation Documents.
2.17. "System" means the Equipment, Software, and incidental hardware and materials that are •
combined together into an integrated system ; the System is described in the Technical and
Implementation Documents.
2.18. "System Acceptance " means the Acceptance Tests have been successfully completed .
2.19 . "Warranty Period" means one (1) year from the date of System Acceptance or Beneficial Use,
whichever occurs first.
Section 3 SCOPEOFAGREEMENTANDTERM
3.1 . SCOPE OF WORK. Motorola will provide, install and test the System, and perform its other
contractual responsibilities, all in accordance with this Agreement. Customer will perform its contractual
responsibilities in accordance with this Agreement.
3.2. CHANGE ORDERS. Either Party may request changes within the general scope of this
Agreement. If a requested change causes an increase or decrease in the cost or time required to
perform this Agreement, the Parties will agree to an equitable adjustment of the Contract Price,
Performance Schedule, or both, and will reflect the adjustment in a change order. Neither Party is
obligated to perform requested changes unless both Parties execute a written change order.
3.3. TERM . Unless terminated in accordance with other provisions of this Agreement or extended by
mutual agreement of the Parties, the term of this Agreement begins on the Effective Date and continues
until the date of Final Project Acceptance or expiration of the Warranty Period, whichever occurs last.
3.4 . ADDITIONAL EQUIPMENT OR SOFTWARE. For three (3) years after the Effective Date,
Customer may order additional Equipment or Software if it is then available. Each order must refer to this •
Agreement and must specify the pricing and delivery terms . Notwithstanding any additional or contrary
Motorola .CSA.revision .6.16.13 .doc
Motorola Contract No . Englewood
2
•
•
•
terms in the order, the applicable provisions of this Agreement (except for pricing, delivery, passage of
title and risk of loss to Equipment, warranty commencement, and payment terms) will govern the
purchase and sale of the additional Equipment or Software. Title to additional Equipment will pass at
shipment, warranty will commence upon delivery, and payment is due within twenty (20) days after the
invoice date. Risk of loss will pass to Customer upon delivery of the Equipment to the Customer.
Motorola will send Customer an invoice as the additional Equipment is sh ipped or Software is licensed .
Alternatively, Customer may register with and place orders through Motorola Online ("MOL"), and this
Agreement will be the "Underlying Agreement" for those MOL transactions rather than the MOL On-Line
Terms and Conditions of Sale . MOL registration and other information may be found at
https ://businessonline.motorola .com and the MOL telephone number is (800) 814-0601 .
3.5. MAINTENANCE SERVICE. During the Warranty Period, in addition to warranty services,
Motorola will provide maintenance services for the Equipment and support for the Motorola Software
pursuant to the Statement of Work set forth in Exhibit D. Those services and support are included in the
Contract Price. If Customer wishes to purchase additional maintenance and support services for the
Equipment during the Warranty Period, or any maintenance and support services for the Equipment
either during the Warranty Period or after the Warranty Period, the description of and pricing for the
services will be set forth in a separate document. If Customer wishes to purchase extended support for
the Motorola Software after the Warranty Period, it may do so by ordering software subscription services .
Unless otherwise agreed by the parties in writing, the terms and conditions applicable to those
ma intenance, support or software subscription services will be Motorola's standard Service Terms and
Conditions, together with the appropriate statements of work .
3.6 . MOTOROLA SOFTWARE. Any Motorola Software, including subsequent releases, is licensed to
Customer solely in accordance with the Software License Agreement. Customer hereby accepts and
agrees to abide by all of the terms and restrictions of the Software License Agreement.
3.7. NON-MOTOROLA SOFTWARE . Any Non-Motorola Software is licensed to Customer in
accordance with the standard license, terms, and restrictions of the copyright owner on the Effective Date
unless the copyright owner has granted to Motorola the right to sublicense the Non-Motorola Software
pursuant to the Software License Agreement, in which case it applies and the copyright owner will have
all of Licensor's rights and protections under the Software License Agreement. Motorola makes no
representations or warranties of any kind regarding Non-Motorola Software . Non -Motorola Software may
include Open Source Software. All Open Source Software is licensed to Customer in accordance with ,
and Customer agrees to abide by, the provisions of the standard license of the copyright owner and not
the Software License Agreement. Upon request by Customer, Motorola will use commercially reasonable
efforts to determine whether any Open Source Software will be provided under this Agreement; and if so,
identify the Open Source Software and provide to Customer a copy of the applicable standard license (or
specify where that license may be found); and provide to Customer a copy of the Open Source Software
source code if it is publicly available without charge (although a distribution fee or a charge for related
services may be appl icable).
3.8. SUBSTITUTIONS. At no additional cost to Customer, Motorola may substitute any Equipment,
Software , or services to be provided by Motorola, if the substitute meets or exceeds the Specifications
and is of equivalent or better quality to the Customer. Any substitution will be reflected in a change order.
Section 4 PERFORMANCE SCHEDULE
The Parties will perform their respective responsibilities in accordance with the Performance Schedule.
By executing this Agreement, Customer authorizes Motorola to proceed with contract performance.
Section 5 CONTRACT PRICE, PAYMENT AND INVOICING
5.1. CONTRACT PRICE. The Contract Price in U.S. dollars is $355,922 . If applicable, a pricing
summary is included with the Payment Schedule. Motorola has priced the services, Software, and
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Equipment as an integrated system . A reduction in Software or Equipment quantities , or services, may
affect the overall Contract Price , including discounts if applicable .
5.2 . INVOICING AND PAYMENT. Motorola will submit invoices to Customer according to the
Payment Schedule . Except for a payment that is due on the Effective Date, Customer will make
payments to Motorola within twenty (20) days after the date of each invoice. Customer will make
payments when due in the form of a wire transfer , check , or cashier's check from a U.S. financial
institution. Overdue invoices will bear simple interest at the maximum allowable rate . For reference , the
Federal Tax Identification Number for Motorola Solutions, Inc. is 36-1115800 .
5.3 . FREIGHT, TITLE , AND RISK OF LOSS . Motorola will pre-pay and add all freight charges to the
invo ices . Title to the Equ ipment will pass to Customer upon shipment. Title to Software will not pass to
Customer at any time . Risk of loss will pass to Customer upon delivery of the Equipment to the
Customer. Motorola will pack and ship all Equipment in accordance with good commercial practices .
5.4 . INVOICING AND SHIPPING ADDRESSES . Invoices will be sent to the Customer at the follow ing
address :
3615 Elati St
Englewood, CO 80110
The address which is the ultimate destination where the Equipment will be delivered to Customer is :
3615 Elati St
Englewood , CO 8011 O
The Equipment will be shipped to the Customer at the following address (insert if this information is
known):
3901 West Service Road
Evans, CO 80620
Customer may change this information by giv ing written notice to Motorola.
Section 6 SITES AND SITE CONDITIONS
6.1. ACCESS TO SITES . In addition to its responsibilities described elsewhere in this Agreement,
Customer will provide a designated project manager; all necessary construction and building perm its,
zoning variances, licenses, and any other approvals that are necessary to develop or use the sites and
mounting locations; and access to the work sites or veh icles identified in the Technical and
Implementation Documents as reasonably requested by Motorola so that it may perform its duties in
accordance with the Performance Schedule and Statement of Work . If the Statement of Work so
ind icates, Motorola may assist Customer in the local building permit process.
6.2. SITE CONDITIONS . Customer will ensure that all work sites it provides will be safe, secure, and
in compliance with all applicable industry and OSHA standards . To the extent applicable and unless the
Statement of Work states to the contrary, Customer will ensure that these work sites have adequate :
physical space; air conditioning and other environmental conditions ; adequate and appropriate elect rical
power outlets, distribution , equipment and connections ; and adequate telephone or other communication
lines (including modem access and adequate interfacing networking capabilities), all for the installation,
use and maintenance of the System . Before install ing the Equipment or Software at a work site, Motorola
may inspect the wo r k site and advise Customer of any apparent deficiencies or non-conformities with the
requirements of this Section. This Agreement is predicated upon normal soil conditions as defined by the
version of E.l.A. standard RS-222 in effect on the Effective Date.
6 .3. SITE ISSUES . If a Party determines that the sites ident ified in the Technical and Implementation
Documents are no longer available or desired , or if subsurface , structural , adverse environmental or
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latent condit ions at any site differ from those indicated in the Technical and Implementation Documents, •
the Parties will promptly investigate the conditions and will select rep lacement sites or adjust the
installation plans and specifications as necessary . If change in sites or adjustment to the installation
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• plans and specifications causes a change in the cost or time to perform, the Parties will equitably amend
the Contract Price, Performance Schedule, or both, by a change order .
Section 7 TRAINING
Any training to be provided by Motorola to Customer will be described in the Statement of Work.
Customer will notify Motorola immediately if a date change for a scheduled training program is required.
If Motorola incurs additional costs because Customer reschedules a training program less than thirty (30)
days before its scheduled start date, Motorola may recover these additional costs.
Section 8 SYSTEM ACCEPTANCE
8.1. COMMENCEMENT OF ACCEPTANCE TESTING. Motorola will provide to Customer at least ten
(10) days notice before the Acceptance Tests commence . System testing will occur only in accordance
with the Acceptance Test Plan.
8.2. SYSTEM ACCEPTANCE. System Acceptance will occur upon successful completion of the
Acceptance Tests. Upon System Acceptance, the Parties will memorialize this event by promptly
executing a System Acceptance Certificate . If the Acceptance Test Plan includes separate tests for
individual Subsystems or phases of the System, acceptance of the individual Subsystem or phase will
occur upon the successful completion of the Acceptance Tests for the Subsystem or phase, and the
Parties will promptly execute an acceptance certificate for the Subsystem or phase . If Customer believes
the System has failed the completed Acceptance Tests, Customer will provide to Motorola a written notice
that includes the specific details of the failure . If Customer does not provide to Motorola a failure notice
within thirty (30) days after completion of the Acceptance Tests, System Acceptance will be deemed to
have occurred as of the completion of the Acceptance Tests. Minor omissions or variances in the System
that do not materially impair the operation of the System as a whole will not postpone System Acceptance
or Subsystem acceptance, but will be corrected according to a mutually agreed schedule.
• 8.3. BENEFICIAL USE. Customer acknowledges that Motorola's ability to perform its implementation
and testing responsibilities may be impeded if Customer begins using the System before System
Acceptance. Therefore, Customer will not commence Beneficial Use before System Acceptance without
Motorola's prior written authorization, which will not be unreasonably withheld . Motorola is not
responsible for System performance deficiencies that occur during unauthorized Beneficial Use . Upon
commencement of Beneficial Use, Customer assumes responsibility for the use and operation of the
System.
•
8.4 FINAL PROJECT ACCEPTANCE. Final Project Acceptance will occur after System Acceptance
when all deliverables and other work have been completed . When Final Project Acceptance occurs, the
parties will promptly memorialize this final event by so indicating on the System Acceptance Certificate.
Section 9 REPRESENTATIONS AND WARRANTIES
9.1. SYSTEM FUNCTIONALITY. Motorola represents that the System will perform in accordance
with the Specifications in all material respects . Upon System Acceptance or Beneficial Use, whichever
occurs first, this System functionality representation is fulfilled . Motorola is not responsible for System
performance deficiencies that are caused by ancillary equipment not furnished by Motorola which is
attached to or used in connection with the System or for reasons or parties beyond Motorola's control,
such as natural causes; the construction of a building that adversely affects the microwave path reliability
or radio frequency (RF) coverage; the addition of frequencies at System sites that cause RF interference
or intermodulation; or Customer changes to load usage or configuration outside the Specifications.
9.2 . EQUIPMENT WARRANTY. During the Warranty Period, Motorola warrants that the Equipment
under normal use and service will be free from material defects in materials and workmanship. If System
Acceptance is delayed beyond six (6) months after shipment of the Equipment by events or causes within
Customer's control, this warranty expires eighteen (18) months after the shipment of the Equipment.
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9.3. MOTOROLA SOFTWARE WARRANTY. Unless otherwise stated in the Software License
Agreement, during the Warranty Period, Motorola warrants the Motorola Software in accordance with the •
terms of the Software License Agreement and the provisions of this Section 9 that are applicable to the
Motorola Software. If System Acceptance is delayed beyond six (6) months after shipment of the
Motorola Software by events or causes within Customer's control, this warranty expires eighteen (18)
months after the shipment of the Motorola Software . TO THE EXTENT, IF ANY, THAT THERE IS A
SEPARATE LICENSE AGREEMENT PACKAGED WITH, OR PROVIDED ELECTRONICALLY WITH, A
PARTICULAR PRODUCT THAT BECOMES EFFECTIVE ON AN ACT OF ACCEPTANCE BY THE END
USER, THEN THAT AGREEMENT SUPERCEDES THIS SOFTWARE LICENSE AGREEMENT AS TO
THE END USER OF EACH SUCH PRODUCT.
9.4. EXCLUSIONS TO EQUIPMENT AND MOTOROLA SOFTWARE WARRANTIES. These
warranties do not apply to : (i) defects or damage resulting from: use of the Equipment or Motorola
Software in other than its normal, customary, and authorized manner; accident, liquids, neglect, or acts of
God; testing, maintenance, disassembly, repair, installation, alteration, modification, or adjustment not
provided or authorized in writing by Motorola ; Customer's failure to comply with all applicable industry and
OSHA standards; (ii) breakage of or damage to antennas unless caused directly by defects in material or
workmanship; (iii) Equipment that has had the serial number removed or made illegible; (iv) batteries
(because they carry their own separate limited warranty) or consumables; (v) freight costs to ship
Equipment to the repair depot; (vi) scratches or other cosmetic damage to Equipment surfaces that does
not affect the operation of the Equipment; and (vii) normal or customary wear and tear.
9.5. WARRANTY CLAIMS. To assert a warranty claim, Customer must notify Motorola in writing of
the claim before the expiration of the Warranty Period . Upon receipt of this notice, Motorola will
investigate the warranty claim. If this investigation confirms a valid warranty claim, Motorola will (at its
option and at no additional charge to Customer) repair the defective Equipment or Motorola Software,
replace it with the same or equivalent product, or refund the price of the defective Equipment or Motorola
Software. That action will be the full extent of Motorola's liability for the warranty claim. If this
investigation indicates the warranty claim is not valid, then Motorola may invoice Customer for responding •
to the claim on a time and materials basis using Motorola's then current labor rates . Repaired or replaced
product is warranted for the balance of the original applicable warranty period. All replaced products or
parts will become the property of Motorola .
9.6 . ORIGINAL END USER IS COVERED . These express limited warranties are extended by
Motorola to the original user purchasing the System for commercial, industrial, or governmental use only,
and are not assignable or transferable.
9.7 . DISCLAIMER OF OTHER WARRANTIES . THESE WARRANTIES ARE THE COMPLETE
WARRANTIES FOR THE EQUIPMENT AND MOTOROLA SOFTWARE PROVIDED UNDER THIS
AGREEMENT AND ARE GIVEN IN LIEU OF ALL OTHER WARRANTIES. MOTOROLA DISCLAIMS
ALL OTHER WARRANTIES OR CONDITIONS, EXPRESS OR IMPLIED, INCLUDING THE IMPLIED
WARRANTIES OF MERCHANTABILITY AND FITNESS FOR A PARTICULAR PURPOSE.
Section 10 DELAYS
10.1. FORCE MAJ EURE. Neither Party will be liable for its non-performance or delayed performance if
caused by a Force Majeure. A Party that becomes aware of a Force Majeure that will significantly delay
performance will notify the other Party promptly (but in no event later than fifteen days) after it discovers
the Force Majeure. If a Force Majeure occurs, the Parties will execute a change order to extend the
Performance Schedule for a time period that is reasonable under the circumstances.
10 .2. PERFORMANCE SCHEDULE DELAYS CAUSED BY CUSTOMER. If Customer (including its
other contractors) delays the Performance Schedule, it will make the promised payments according to the
Payment Schedule as if no delay occurred; and the Parties will execute a change order to extend the
Performance Schedule and, if requested, compensate Motorola for all reasonable charges incurred
because of the delay. Delay charges may include costs incurred by Motorola or its subcontractors for •
additional freight, warehousing and handling of Equipment; extension of the warranties; travel;
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suspending and re-mobilizing the work; additional engineering, project management, and standby time
calculated at then current rates; and preparing and implementing an alternative implementation plan .
Section 11 DISPUTES
The Parties will use the following procedure to address any dispute arising under this Agreement (a
"Dispute").
11.1. GOVERNING LAW. This Agreement will be governed by and construed in accordance with the
laws of the State in which the System is installed .
11 .2. NEGOTIATION. Either Party may initiate the Dispute resolution procedures by sending a notice
of Dispute ("Notice of Dispute"). The Parties will attempt to resolve the Dispute promptly through good
faith negotiations including 1) timely escalation of the Dispute to executives who have authority to settle
the Dispute and who are at a higher level of management than the persons with direct responsibility for
the matter and 2) direct communication between the executives. If the Dispute has not been resolved
within ten (10) days from the Notice of Dispute, the Parties may proceed to litigation .
11 .3. LITIGATION, VENUE and JURISDICTION. If a Dispute remains unresolved for sixty (60) days
after receipt of the Notice of Mediation, either Party may then submit the Dispute to a court of competent
jurisdiction in the state in which the System is installed . Each Party irrevocably agrees to submit to the
exclusive jurisdiction of the courts in such state over any claim or matter arising under or in connection
with this Agreement.
11 .4. CONFIDENTIALITY. All communications pursuant to subsections 11.2 and 11.3 will be treated
as compromise and settlement negotiations for purposes of applicable rules of evidence and any
additional confidentiality protections provided by applicable law. The use of these Dispute resolution
procedures will not be construed under the doctrines of laches, waiver or estoppel to affect adversely the
rights of either Party .
Section 12 DEFAULT AND TERMINATION
12.1 DEFAULT BY A PARTY. If either Party fails to perform a material obligation under this
Agreement, the other Party may consider the non-performing Party to be in default (unless a Force
Majeure causes the failure) and may assert a default claim by giving the non-performing Party a written
and deta iled notice of default. Except for a default by Customer for failing to pay any amount when due
under this Agreement which must be cured immediately, the defaulting Party will have thirty (30) days
after receipt of the notice of default to either cure the default or, if the default is not curable within thirty
(30) days, provide a written cure plan. The defaulting Party will begin implementing the cure plan
immediately after receipt of notice by the other Party that it approves the plan. If Customer is the
defaulting Party, Motorola may stop work on the project until it approves the Customer's cure plan.
12.2. FAILURE TO CURE . If a defaulting Party fails to cure the default as provided above in Section
12 .1, unless otherwise agreed in writing, the non-defaulting Party may terminate any unfulfilled portion of
this Agreement. In the event of termination for default , the defaulting Party will promptly return to the non-
defaulting Party any of its Confidential Information. If Customer is the non-defaulting Party, terminates
this Agreement as permitted by this Section, and completes the System through a third Party, Customer
may as its exclusive remedy recover from Motorola reasonable costs incurred to complete the System to
a capability not exceeding that specified in this Agreement less the unpaid portion of the Contract Price.
Customer will mitigate damages and provide Motorola with detailed invoices substantiating the charges .
Section 13 INDEMNIFICATION
13 .1. GENERAL INDEMNITY BY MOTOROLA. Motorola will indemnify and hold Customer harmless
from any and all liability, expense, judgment, suit, cause of action, or demand for personal injury, death,
or direct damage to tangible property which may accrue against Customer to the extent it is caused by
the negligence of Motorola, its subcontractors, or their employees or agents, while performing their duties
\
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under this Agreement, if Customer gives Motorola prompt, written notice of any claim or suit. Customer
will cooperate with Motorola in its defense or settlement of the claim or suit. This section sets forth the full •
extent of Motorola's general indemnification of Customer from liabilities that are in any way related to
Motorola's performance under this Agreement.
13.2. [reserved]
13.3. PATENT AND COPYRIGHT INFRINGEMENT.
13 .3.1. Motorola will defend at its expense any suit brought against Customer to the extent it is based on
a third-party claim alleging that the Equipment manufactured by Motorola or the Motorola Software
("Motorola Product") directly infringes a United States patent or copyright ("Infringement Claim").
Motorola's duties to defend and indemnify are conditioned upon : Customer promptly notifying Motorola in
writing of the Infringement Claim; Motorola having sole control of the defense of the suit and all
negotiations for its settlement or compromise; and Customer providing to Motorola cooperation and, if
requested by Motorola, reasonable assistance in the defense of the Infringement Claim. In addition to
Motorola's obligation to defend, and subject to the same conditions, Motorola will pay all damages finally
awarded against Customer by a court of competent jurisdiction for an Infringement Claim or agreed to, in
writing, by Motorola in settlement of an Infringement Claim.
13.3.2. If an Infringement Claim occurs, or in Motorola's opinion is likely to occur, Motorola may at its
option and expense: (a) procure for Customer the right to continue using the Motorola Product; (b)
replace or modify the Motorola Product so that it becomes non-infringing while providing functionally
equivalent performance; or (c) accept the return of the Motorola Product and grant Customer a credit for
the Motorola Product, less a reasonable charge for depreciation . The depreciation amount will be
calculated based upon generally accepted accounting standards.
13.3.3. Motorola will have no duty to defend or indemnify for any Infringement Claim that is based upon : •
(a) the combination of the Motorola Product with any software, apparatus or device not furnished by
Motorola; (b) the use of ancillary equipment or software not furnished by Motorola and that is attached to
or used in connection with the Motorola Product; (c) Motorola Product designed or manufactured in
accordance with Customer's designs, specifications, guidelines or instructions, if the alleged infringement
would not have occurred without such designs, specifications, guidelines or instructions; (d) a
modification of the Motorola Product by a party other than Motorola; (e) use of the Motorola Product in a
manner for which the Motorola Product was not designed or that is inconsistent with the terms of this
Agreement; or (f) the failure by Customer to install an enhancement release to the Motorola Software that
is intended to correct the claimed infringement. In no event will Motorola's liability resulting from its
indemnity obligation to Customer extend in any way to royalties payable on a per use basis or the
Customer's revenues, or any royalty basis other than a reasonable royalty based upon revenue derived
by Motorola from Customer from sales or license of the infringing Motorola Product.
13.3.4. This Section 13 provides Customer's sole and exclusive remedies and Motorola's entire liability in
the event of an Infringement Claim. Customer has no right to recover and Motorola has no obligation to
provide any other or further remedies, whether under another provision of this Agreement or any other
legal theory or principle, in connection with an Infringement Claim. In addition, the rights and remedies
provided in this Section 13 are subject to and limited by the restrictions set forth in Section 14.
Section 14 LIMITATION OF LIABILITY
Except for personal injury or death, Motorola's total liability, whether for breach of contract, warranty,
negligence, strict liability in tort, indemnification, or otherwise, will be limited to the direct damages
recoverable under law, but not to exceed the price of the Equipment, Software, or services with respect to
which losses or damages are claimed. AL THOUGH THE PARTIES ACKNOWLEDGE THE POSSIBILITY
OF SUCH LOSSES OR DAMAGES, THEY AGREE THAT MOTOROLA WILL NOT BE LIABLE FOR ANY
COMMERCIAL LOSS; INCONVENIENCE; LOSS OF USE, TIME, DATA, GOOD WILL, REVENUES,
PROFITS OR SAVINGS; OR OTHER SPECIAL, INCIDENTAL, INDIRECT, OR CONSEQUENTIAL
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DAMAGES IN ANY WAY RELATED TO OR ARISING FROM THIS AGREEMENT, THE SALE OR USE
OF THE EQUIPMENT OR SOFTWARE, OR THE PERFORMANCE OF SERVICES BY MOTOROLA
PURSUANT TO THIS AGREEMENT. This limitation of liability provision survives the expiration or
termination of the Agreement and applies notwithstanding any contrary provision. No action for contract
breach or otherwise relating to the transactions contemplated by this Agreement may be brought more
than one (1) year after the accrual of the cause of action, except for money due upon an open account.
Section 15 CONFIDENTIALITY AND PROPRIETARY RIGHTS
15.1. CONFIDENTIAL INFORMATION.
15.1.1 . Each party is a disclosing party ("Discloser") and a receiving party ("Recipient") under this
agreement. All Deliverables will be deemed to be Motorola's Confidential Information. During the term of
this agreement and for a period of three (3) years from the expiration or termination of this agreement,
Recipient will (i) not disclose Confidential Information to any third party; (ii) restrict disclosure of
Confidential Information to only those employees (including, but not limited to, employees of any wholly
owned subsidiary, a parent company, any other wholly owned subsidiaries of the same parent company),
agents or consultants who must be directly involved with the Confidential Information for the purpose and
who are bound by confidentiality terms substantially similar to those in this agreement; (iii) not copy,
reproduce, reverse engineer, de-compile or disassemble any Confidential Information; (iv) use the same
degree of care as for its own information of like importance, but at least use reasonable care, in
safeguarding against disclosure of Confidential Information; (v) promptly notify Discloser upon discovery
of any unauthorized use or disclosure of the Confidential Information and take reasonable steps to regain
possession of the Confidential Information and prevent further unauthorized actions or other breach of
this agreement; and (vi) only use the Confidential Information as needed to fulfill this agreement.
15.1 .2. Recipient is not obligated to maintain as confidential, Confidential Information that Recipient can
demonstrate by documentation (i) is now available or becomes available to the public without breach of
this agreement; (ii) is explicitly approved for release by written authorization of Discloser; (iii) is lawfully
obtained from a third party or parties without a duty of confidentiality; (iv) is known to the Recipient prior to
such disclosure; or (v) is independently developed by Recipient without the use of any of Discloser's
Confidential Information or any breach of this agreement. Customer is subject to the Colorado Open
Records Act and disclosure by the Customer maybe required under the provisions of the Colorado Open
records Act.
15.1.3. All Confidential Information remains the property of the discloser and will not be copied or
reproduced without the express written permission of the Discloser, except for copies that are absolutely
necessary in order to fulfill this Agreement. Within ten (10) days of receipt of Discloser's written request,
Recipient will return all Confidential Information to Discloser along with all copies and portions thereof, or
certify in writing that all such Confidential Information has been destroyed . However, Recipient may retain
one (1) archival copy of the Confidential Information that it may use only in case of a dispute concerning
this Agreement. No license, express or implied, in the Confidential Information is granted other than to
use the Confidential Information in the manner and to the extent authorized by this Agreement. The
Discloser warrants that it is authorized to disclose any Confidential Information it discloses pursuant to
this Agreement.
15 .2. PRESERVATION OF MOTOROLA'S PROPRIETARY RIGHTS. Motorola, the third party
manufacturer of any Equipment, and the copyright owner of any Non-Motorola Software own and retain
all of their respective Proprietary Rights in the Equipment and Software, and nothing in this Agreement is
intended to restrict their Proprietary Rights . All intellectual property developed, originated, or prepared by
Motorola in connection with providing to Customer the Equipment, Software, or related services remain
vested exclusively in Motorola, and this Agreement does not grant to Customer any shared development
rights of intellectual property . Except as explicitly provided in the Software License Agreement, Motorola
does not grant to Customer, either directly or by implication, estoppel, or otherwise, any right, title or
interest in Motorola's Proprietary Rights. Customer will not modify, disassemble, peel components,
decompile, otherwise reverse engineer or attempt to reverse engineer, derive source code or create
derivative works from, adapt, translate, merge with other software, reproduce, distribute, sublicense, sell
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or export the Software , or permit or encourage any third party to do so . The preceding sentence does not
apply to Open Source Software which is governed by the standard license of the copyright owner.
Section 16 GENERAL
16.1. TAXES . The Contract Price does not include any excise, sales, lease, use, property, or other
taxes, assessments or duties, all of which will be paid by Customer except as exempt by law. If Motorola
is required to pay any of these taxes, Motorola will send an invoice to Customer and Customer will pay to
Motorola the amount of the taxes (including any interest and penalties) within twenty (20) days after the
date of the invoice . Customer will be solely responsible for report ing the Equipment for personal property
tax purposes, and Motorola will be solely responsible for reporting taxes on its income or net worth.
16.2. ASSIGNABILITY AND SUBCONTRACTING. Except as provided herein, neither Party may
assign this Agreement or any of its rights or obligations hereunder without the prior written consent of the
other Party, which consent will not be unreasonably withheld. Any attempted assignment, delegation, or
transfer without the necessary consent will be void . Notwithstanding the foregoing, Motorola may assign
this Agreement to any of its affil iates or its right to receive payment without the prior consent of Customer.
In addition, in the event Motorola separates one or more of its businesses (each a "Separated Business"),
whether by way of a sale, establishment of a joint venture, spin-off or otherwise (each a "Separation
Event"), Motorola may , without the prior written consent of the other Party and at no additional cost to
Motorola, assign this Agreement such that it will continue to benefit the Separated Business and its
affiliates (and Motorola and its affiliates, to the extent applicable) following the Separation Event.
Motorola may subcontract any of the work, but subcontracting will not relieve Motorola of its duties under
this Agreement.
16 .3 WAIVER. Failure or delay by either Party to exercise a right or power under this Agreement will
not be a waiver of the right or power. For a waiver of a right or power to be effective, it must be in a
writing signed by the waiving Party . An effective waiver of a right or power will not be construed as either
a future or continuing waiver of that same right or power, or the waiver of any other right or power.
16.4. SEVERABILITY. If a court of competent jurisdiction renders any part of this Agreement invalid or
unenforceable, that part will be severed and the remainder of this Agreement will continue in full force and
effect.
16 .5. INDEPENDENT CONTRACTORS. Each Party will perform its duties under this Agreement as an
independent contractor. The Parties and their personnel will not be considered to be employees or
agents of the other Party. Noth ing in this Agreement will be interpreted as granting either Party the right
or authority to make commitments of any kind for the other. This Agreement will not constitute, create , or
be interpreted as a joint venture, partnership or formal business organization of any kind .
16 .6 . HEADINGS AND SECTION REFERENCES. The section headings in this Agreement are
inserted only for convenience and are not to be construed as part of this Agreement or as a limitation of
the scope of the particular section to which the head ing refers. This Agreement will be fairly interpreted in
accordance with its terms and conditions and not for or against either Party .
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16 .7. ENTIRE AGREEMENT. This Agreement, including all Exhibits, constitutes the entire agreement
of the Parties regarding the subject matter of the Agreement and supersedes all previous agreements,
proposals , and understandings, whether written or oral, relating to this subject matter. This Agreement
may be executed in multiple counterparts, and shall have the same legal force and effect as if the Parties
had executed it as a single document. The Parties may sign in writing , or by electronic signature,
including by email. An electronic signature , or a facsimile copy or computer image, such as a PDF or tiff
image, of a signature, shall be treated as and shall have the same effect as an original signature . In
addition, an electronic signature, a true and correct facsimile copy or computer image of th is Agreement
shall be treated as and shall have the same effect as an original signed copy of this document. This
Agreement may be amended or modified only by a written instrument signed by authorized
representatives of both Parties . The preprinted terms and conditions found on any Customer purchase •
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• order, acknowledgment or other form will not be considered an amendment or modification of this
Agreement , even if a representative of each Party signs that document.
16 .8. NOTICES. Notices required under this Agreement to be given by one Party to the other must be
in writing and either personally delivered or sent to the address shown below by certified mai l, return
receipt requested and postage prepaid (or by a recognized courier service, such as Federal Express ,
UPS, or DHL}, or by facsimile with correct answerback received, and will be effective upon receipt:
Motorola Solutions, Inc.
Attn : Law Department
1303 E. Algonquin Road
IL01-81h fl
Schaumburg, IL 60196
fax: 847-576 -0721
Customer
Attn: Tim Englert
Englewood Police Department
3615 Elati St
Englewood, CO 80110
Fax :~~~~~~~~~~~~-
16 .9. COMPLIANCE WITH APPLICABLE LAWS . Each Party will comply with all applicable federal ,
state, and local laws, regulations and rules concerning the performance of this Agreement or use of the
System. Customer will obtain and comply with all Federal Communications Commission ("FCC") licenses
and authorizations required for the installation, operation and use of the System before the scheduled
installation of the Equipment. Although Motorola might assist Customer in the preparation of its FCC
license app lications, neither Motorola nor any of its employees is an agent or representative of Customer
in FCC or other matters .
16 .10. AUTHORITY TO EXECUTE AGREEMENT . Each Party represents that it has obtained all
necessary approvals, consents and authorizations to enter into this Agreement and to perform its duties
under this Agreement; the person executing this Agreement on its behalf has the authority to do so; upon
execution and delivery of this Agreement by the Parties, it is a valid and binding contract, enforceable in
accordance with its terms; and the execution, delivery, and performance of this Agreement does not
• violate any bylaw, charter, regulation, law or any other governing authority of the Party .
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16.11 . ADMINISTRATOR LEVEL ACCOUNT ACCESS. Motorola will provide Customer with
Administrative User Credentials. Customer agrees to only grant Administrative User Credentials to those
personnel with the training or experience to correctly use the access. Customer is responsible for
protecting Administrative User Credentials from disclosure and maintaining Credential validity by, among
other things, updating passwords when required . Customer may be asked to provide valid Administrative
User Credentials when in contact with Motorola System support. Customer understands that changes
made as the Administrative User can significantly impact the performance of the System. Customer
agrees that it will be solely responsible for any negative impact on the System or its users by any such
changes . System issues occurring as a result of changes made by an Administrative User may impact
Motorola's ability to perform its obligations under the Agreement or its Maintenance and Support
Agreement. In such cases, a revision to the appropriate provisions of the Agreement, including the
Statement of Work, may be necessary. To the extent Motorola provides assistance to correct any issues
caused by or arising out of the use of or fa ilure to maintain Administrative User Credentials, Motorola will
be entitled to bill Customer and Customer will pay Motorola on a time and materials basis for resolving the
issue.
16.12. SURVIVAL OF TERMS . The following provisions will survive the expiration or termination of this
Agreement for any reason : Section 3.6 (Motorola Software); Section 3.7 (Non-Motorola Software); if any
payment obligations exist, Sections 5.1 and 5.2 (Contract Price and Invoicing and Payment); Subsection
9.7 (Disclaimer of Implied Warranties); Section 11 (Disputes); Section 14 (Limitation of Liability); and
Section 15 (Confidentiality and Proprietary Rights); and all of the General provisions in Section 16 .
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Motorola Contract No. Englewood
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Customer
\. By:_----i~'-'1,.----'--r...""""'rhio~~ By : ___________ _
Name : Name : ~---.,....,i,,......,,...-:---:::--..&.:-----L.--------------~ Title : --=-r-=1~~m:..1:11~~Wrestor Sales Title: ___________ _
Date : Date :------------
Motorola.CSA.revis ion .6 .16 .13.doc
Motorola Contract No. Englewood
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Exhibit A
SOFTWARE LICENSE AGREEMENT
This Exhib it A Software License Agreement ("Agreement") is between Motorola Solutions, Inc .,
("Motorola"), and Englewood Police Department ("Licensee").
For good and valuable consideration, the parties agree as follows :
Section 1 DEFINITIONS
1.1 "Designated Products" means products provided by Motorola to Licensee with which or for wh ich
the Software and Documentation is licensed for use.
1.2 "Documentation " means product and software documentation that specifies technical and
performance features and capabilities , and the user, operation and training manuals for the Software
(includ ing all physical or electronic media upon which such information is provided).
1.3 "Open Source Software " means software with either freely obtainable source code , license for
modification , or pe rmission for free distribution .
1.4 "Open Source Software License " means the terms or conditions under which the Open Source
Software is licensed .
1.5 "Primary Agreement" means the agreement to which this exhibit is attached.
1.6 "Security Vulnerability" means a flaw or weakness in system security procedures , design,
implementation, or internal controls that could be exercised (accidentally triggered or intentionally
exploited) and result in a security breach such that data is compromised, man ipulated or stolen or the
system damaged .
1. 7 "Software" (i) means proprietary software in object code format, and adaptations, translations, de-
comp ilat ions, disassemblies , emulations , or derivative works of such software ; (ii) means any
modifications , enhancements, new versions and new releases of the software provided by Motorola ; and
(iii) may contain one or more items of software owned by a th ird party supp li er. The term "Software" does
not include any third party software provided under separate license or third party software not licensable
under the terms of this Agreement.
Section 2 SCOPE
Motorola and Licensee enter into this Agreement in connection w ith Motorola's del ivery of certain
proprietary Software or products containing embedded or pre-loaded proprietary Software , or both . Th is
Agreement contains the terms and conditions of the license Motorola is providing to Licensee , and
Licensee 's use of the Software and Documentation .
Section 3 GRANT OF LICENSE
3.1. Subject to the prov isions of this Agreement and the payment of applicable license fees, Motorola
grants to Licensee a personal , lim ited , non-transferable (except as perm itted in Section 7) and non-
exclusive license under Motorola's copyrights and Confidential Information (as defined in the Primary
Agreement) embod ied in the Software to use the Software , in object code form , and the Documentation
solely in connection w ith Licensee's use of the Designated Products . Th is Agreement does not grant any
rights to source code .
3.2. If the Software licensed under this Agreement contains or is derived from Open Source Software,
the terms and conditions governing the use of such Open Source Software are in the Open Source
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Motorola Contract No. Englewood
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Software Licenses of the copyright owner and not this Agreement. If there is a conflict between the terms
and conditions of this Agreement and the terms and conditions of the Open Source Software Licenses
governing Licensee's use of the Open Source Software, the terms and conditions of the license grant of •
the applicable Open Source Software Licenses will take precedence over the license grants in this
Agreement. If requested by Licensee, Motorola will use commercially reasonable efforts to : (i) determine
whether any Open Source Software is provided under this Agreement; (ii) identify the Open Source
Software and provide Licensee a copy of the applicable Open Source Software License (or specify where
that license may be found); and, (iii) provide Licensee a copy of the Open Source Software source code,
without charge, if it is publicly available (although distribution fees may be applicable).
Section 4 LIMITATIONS ON USE
4.1 . Licensee may use the Software only for Licensee's internal business purposes and only in
accordance with the Documentation. Any other use of the Software is strictly prohibited. Without limiting
the general nature of these restrictions, Licensee will not make the Software available for use by third
parties on a "time sharing," "application service provider," or "service bureau" basis or for any other
similar commercial rental or sharing arrangement.
4.2. Licensee will not, and will not allow or enable any third party to: (i) reverse engineer,
disassemble, peel components , decompile, reprogram or otherwise reduce the Software or any portion to
a human perceptible form or otherwise attempt to recreate the source code; (ii) modify, adapt, create
derivative works of, or merge the Software; (iii) copy, reproduce, distribute , lend, or lease the Software or
Documentation to any third party, grant any sublicense or other rights in the Software or Documentation
to any third party, or take any action that would cause the Software or Documentation to be placed in the
public domain; (iv) remove, or in any way alter or obscure , any copyright notice or other notice of
Motorola's proprietary rights; (v) provide, copy, transmit, disclose, divulge or make the Software or
Documentation available to, or permit the use of the Software by any third party or on any machine
except as expressly authorized by this Agreement; or (vi) use, or permit the use of, the Software in a
manner that would result in the production of a copy of the Software solely by activating a machine
containing the Software. Licensee may make one copy of Software to be used solely for archival, back-
up, or disaster recovery purposes; provided that Licensee may not operate that copy of the Software at
the same time as the original Software is being operated. Licensee may make as many copies of the
Documentation as it may reasonably require for the internal use of the Software.
4 .3. Unless otherwise authorized by Motorola in writing, Licensee will not, and will not enable or allow
any third party to: (i) install a licensed copy of the Software on more than one unit of a Designated
Product; or (ii) copy onto or transfer Software installed in one unit of a Designated Product onto one other
device. Licensee may temporarily transfer Software installed on a Designated Product to another device
if the Designated Product is inoperable or malfunctioning, if Licensee provides written notice to Motorola
of the temporary transfer and identifies the device on which the Software is transferred. Temporary
transfer of the Software to another device must be discontinued when the original Designated Product is
returned to operation and the Software must be removed from the other device. Licensee must provide
prompt written notice to Motorola at the time temporary transfer is discontinued .
4.4. When using Motorola's Radio Service Software ("RSS"), Licensee must purchase a separate
license for each location at which Licensee uses RSS. Licensee's use of RSS at a licensed location does
not entitle Licensee to use or access RSS remotely . Licensee may make one copy of RSS for each
licensed location . Licensee shall provide Motorola with a list of all locations at which Licensee uses or
intends to use RSS upon Motorola 's request.
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4 .5. Licensee will maintain, during the term of this Agreement and for a period of two years thereafter,
accurate records relating to this license grant to verify compliance with this Agreement. Motorola or an
independent third party ("Auditor") may inspect Licensee's premises, books and records, upon reasonable
prior notice to Licensee, during Licensee's normal business hours and subject to Licensee's facility and
security regulations. Motorola is responsible for the payment of all expenses and costs of the Auditor.
Any information obtained by Motorola and the Auditor will be kept in strict confidence by Motorola and the •
Motorola.CSA.revision .6 .16.1 3 .doc
Motorola Contract No. Englewood
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Auditor and used solely for the purpose of verifying Licensee's compliance with the terms of this
Agreement.
Section 5 OWNERSHIP AND TITLE
Motorola, its licensors, and its suppliers retain all of their proprietary rights in any form in and to the
Software and Documentation, including, but not limited to, all rights in patents, patent applications,
inventions, copyrights, trademarks, trade secrets, trade names, and other proprietary rights in or relating
to the Software and Documentation (including any corrections , bug fixes , enhancements, updates,
modifications, adaptations, translations, de-compilations, disassemblies, emulations to or derivative works
from the Software or Documentation, whether made by Motorola or another party, or any improvements
that result from Motorola 's processes or, provision of information services). No rights are granted to
Licensee under this Agreement by implication, estoppel or otherwise, except for those rights which are
expressly granted to Licensee in this Agreement. All intellectual property developed, originated, or
prepared by Motorola in connection with providing the Software, Designated Products, Documentation or
related services, remains vested exclusively in Motorola, and Licensee · will not have any shared
development or other intellectual property rights .
Section 6 LIMITED WARRANTY; DISCLAIMER OF WARRANTY
6.1. The commencement date and the term of the Software warranty will be a period of ninety (90)
days from Motorola's shipment of the Software (the "Warranty Period"). If Licensee is not in breach of
any of its obligations under this Agreement, Motorola warrants that the unmodified Software, when used
properly and in accordance with the Documentation and this Agreement, will be free from a reproducible
defect that eliminates the functionality or successful operation of a feature critical to the primary
functionality or successful operation of the Software . Whether a defect occurs will be determined by
Motorola solely with reference to the Documentation. Motorola does not warrant that Licensee's use of
the Software or the Designated Products will be uninterrupted, error-free, completely free of Security
Vulnerabilities, or that the Software or the Designated Products will meet Licensee's particular
requirements. Motorola makes no representations or warranties with respect to any third party software
included in the Software.
6.2 Motorola's sole obligation to Licensee and Licensee 's exclusive remedy under this warranty is to
use reasonable efforts to remedy any material Software defect covered by this warranty . These efforts
will involve either replacing the media or attempting to correct significant, demonstrable program or
documentation errors or Security Vulnerabilities. If Motorola cannot correct the defect within a reasonable
time, then at Motorola's option, Motorola will replace the defective Software with functionally-equivalent
Software, license to Licensee substitute Software which will accomplish the same objective, or terminate
the license and refund the Licensee's paid license fee .
6 .3. Warranty claims are described in the Primary Agreement.
6.4 . The express warranties set forth in this Section 6 are in lieu of, and Motorola disclaims , any and
all other warranties (express or implied, oral or written) with respect to the Software or Documentation ,
including, without limitation , any and all implied warranties of condition, title, non-infringement,
merchantability, or fitness for a particular purpose or use by Licensee (whether or not Motorola knows ,
has reason to know, has been advised, or is otherwise aware of any such purpose or use), whether
arising by law, by reason of custom or usage of trade, or by course of dealing . In addition, Motorola
disclaims any warranty to any person other than Licensee with respect to the Software or Documentation .
Section 7 TRANSFERS
Licensee will not transfer the Software or Documentation to any third party without Motorola's prior written
consent. Motorola 's consent may be withheld at its discretion and may be conditioned upon transferee
paying all applicable license fees and agreeing to be bound by this Agreement. If the Designated
Products are Motorola's radio products and Licensee transfers ownership of the Motorola radio products
to a third party, Licensee may assign its right to use the Software (other than RSS and Motorola's
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Motorola Contract No. Englewood
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FLASHport® software) which is embedded in or furnished for use with the radio products and the related
Documentation; provided that Licensee transfers all copies of the Software and Documentation to the •
transferee, and Licensee and the transferee sign a transfer form to be provided by Motorola upon
request, obligating the transferee to be bound by this Agreement.
Section 8 TERM AND TERMINATION
8 .1 Licensee's right to use the Software and Documentation will begin when the Primary Agreement
is signed by both parties and will continue for the life of the Designated Products with which or for which
the Software and Documentation have been provided by Motorola, unless Licensee breaches this
Agreement, in which case this Agreement and Licensee's right to use the Software and Documentation
may be terminated immediately upon notice by Motorola.
8.2 Within thirty (30) days after termination of this Agreement, Licensee must certify in writing to
Motorola that all copies of the Software have been removed or deleted from the Designated Products and
that all copies of the Software and Documentation have been returned to Motorola or destroyed by
Licensee and are no longer in use by Licensee.
8.3 Licensee acknowledges that Motorola made a considerable investment of resources in the
development, marketing, and distribution of the Software and Documentation and that Licensee's breach
of this Agreement will result in irreparable harm to Motorola for which monetary damages would be
inadequate. If Licensee breaches this Agreement, Motorola may terminate this Agreement and be
entitled to all available remedies at law or in equity (including immediate injunctive relief and repossession
of all non-embedded Software and associated Documentation unless Licensee is a Federal agency of the
United States Government).
Section 9 UNITED STATES GOVERNMENT LICENSING PROVISIONS
This Section applies if Licensee is the United States Government or a United States Government agency . •
Licensee 's use, duplication or disclosure of the Software and Documentation under Motorola's copyrights
or trade secret rights is subject to the restrictions set forth in subparagraphs (c)(1) and (2) of the
Commercial Computer Software-Restricted Rights clause at FAR 52 .227-19 (JUNE 1987), if applicable,
unless they are being provided to the Department of Defense. If the Software and Documentation are
being provided to the Department of Defense, Licensee's use, duplication, or disclosure of the Software
and Documentation is subject to the restricted rights set forth in subparagraph (c)(1 )(ii) of the Rights in
Technical Data and Computer Software clause at DFARS 252.227-7013 (OCT 1988), if applicable . The
Software and Documentation may or may not include a Restricted Rights notice, or other notice referring
to this Agreement. The provisions of this Agreement will continue to apply, but only to the extent that they
are consistent with the rights provided to the Licensee under the provisions of the FAR or DFARS
mentioned above, as applicable to the particular procuring agency and procurement transaction .
Section 10 CONFIDENTIALITY
Licensee acknowledges that the Software and Documentation contain Motorola 's valuable proprietary
and Confidential Information and are Motorola's trade secrets, and that the provisions in the Primary
Agreement concerning Confidential Information apply.
Section 11 LIMITATION OF LIABILITY
The Limitation of Liability provision is described in the Primary Agreement.
Section 12 NOTICES
Notices are described in the Primary Agreement.
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Section 13 GENERAL
13.1 . COPYRIGHT NOTICES . The existence of a copyright notice on the Software will not be
construed as an admission or presumption of publication of the Software or public disclosure of any trade
secrets associated with the Software.
13.2. COMPLIANCE WITH LAWS. Licensee acknowledges that the Software is subject to the laws
and regulations of the United States and Licensee will comply with all applicable laws and regulations,
including export laws and regulations of the United States . Licensee will not , without the prior
authorization of Motorola and the appropriate governmental authority of the United States, in any form
export or re-export, sell or resell , ship or reship, or divert, through direct or indirect means, any item or
technical data or direct or indirect products sold or otherwise furnished to any person within any territory
for which the United States Government or any of its agencies at the time of the ac tion, requires an export
license or other governmental approval. Violation of this provision is a material breach of this Agreement.
13 .3. ASSIGNMENTS AND SUBCONTRACTING . Motorola may assign its rights or subcontract its
obligations under this Agreement , or encumber or sell its rights in any Software , w ithout prior notice to or
consent of Licensee.
13.4. GOVERNING LAW. This Agreement is governed by the laws of the United States to the extent
that they apply and otherwise by the internal substantive laws of the State to which the Software is
shipped if Licensee is a sovereign government entity , or the internal substantive laws of the State of
Illinois if Licensee is not a sovereign government entity. The terms of the U.N. Convention on Contracts
for the International Sale of Goods do not apply . In the event that the Uniform Computer Information
Transaction Act, any version of this Act, or a substantially similar law (collectively "UCITA") becomes
applicable to a party's performance under this Agreement, UCITA does not govern any aspect of this
Agreement or any license granted under this Agreement, or any of the parties' rights or obligations under
this Agreement. The governing law will be that in effect prior to the applicability of UCITA.
13 .5. THIRD PARTY BENEFICIARIES. This Agreement is entered into solely for the benefit of
Motorola and Licensee . No third party has the right to make any claim or assert any right under this
Agreement, and no third party is deemed a beneficiary of this Agreement. Notwithstanding the foregoing,
any licensor or supplier of third party software included in the Software will be a direct and intended third
party beneficiary of this Agreement.
13 .6. SURVIVAL. Sections 4, 5, 6.3, 7, 8, 9, 10, 11and13 survive the termination of this Agreement.
13.7. ORDER OF PRECEDENCE. In the event of inconsistencies between this Exhibit and the
Primary Agreement, the parties agree that this Exhibit prevails, only with respect to the specific subject
matter of this Exhibit, and not the Primary Agreement or any other exhibit as it applies to any other
subject matter.
13.8 SECURITY. Motorola uses reasonable means in the design and writing of its own Software and
the acquisition of third party Software to limit Security Vulnerabilities . While no software can be
guaranteed to be free from Security Vulnerabilities, if a Security Vulnerability is discovered, Motorola will
take the steps set forth in Section 6 of this Agreement.
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Motorola Contract No. Englewood
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Exhibit 8
Payment Schedule
Except for a payment that is due on the Effective Date , Customer will make payments to Motorola in
accordance with the contract payment terms . Customer will make payments when due in the form of a
check, cashier's check, or wire transfer drawn on a U .S. financial institution and in accordance with the
following:
25% of the Contract Price upon Contract Execution (Approx. Sept. 16)
50% of the Contract Price upon Equipment Shipment (Approx. Sept 30)
15% of the Contract Price upon Installation (Approx. Dec 1)
5% of the Contract Price upon System Acceptance or start of Beneficial Use (Approx. Dec 8)
5% of the Contract Price upon Final Acceptance (Approx. Dec 15)
Motorola reserves the right to make partial shipments of equipment and to request payment upon
shipment of such equipment. In addition, Motorola reserves the right to invoice for installations or civil
work completed on a site-by-site basis, when applicable .
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See Motorola Proposal Dated May 14 2014 .
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Not applicable to this Contract.
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Exhibit E
System Acceptance Certificate
Customer Name: Englewood Police Department
Project Name: Englewood MCC7500 and MCC7100
This System Acceptance Certificate memorializes the occurrence of System Acceptance . Motorola and
Customer acknowledge that:
1. The Acceptance Tests set forth in the Acceptance Test Plan have been successfully completed.
2 . The System is accepted .
Customer Representative : Motorola Representative :
Signature: Signature :
Print Name: Print Name:
Title: Title:
Date : Date:
FINAL PROJECT ACCEPTANCE:
Motorola has provided and Customer has received all deliverables , and Motorola has performed all other
work required for Final Project Acceptance .
Customer Representative :
Signature:-------------
Print Name :------------
Title : _____________ _
Date :--------------
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Motorola Contract No . Englewood
Motorola Representative :
Signature:------------
Pr int Name : ------------
Ti tie:
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Date :--------------
19
• COUNCIL COMMUNICATION
Date: Agenda Item: Subject:
September 15, 2014 11 c iii Professional Services Agreement for the
Englewood Comprehensive Plan Update:
Logan Simpson Design
Initiated By: Staff Source:
Community Development John Voboril , Long Range Planner II
PREVIOUS COUNCIL ACTION
At the beginning of 2012, City Council arrived at a consensus to step up the City's economic development
efforts. A list of top priority City goals was established . One of these goals was an update of the City's
2003 Comprehensive Plan. Council members favored updating the plan to better reflect the City's
economic circumstances after the severe Great Recession of 2008 so the plan could continue to serve as
the foundational vision for moving the community forward. Three City Council members were appointed
to a Comprehensive Plan Review Committee to identify and outline desired changes to the plan text. The
committee completed the review of the current plan document and submitted the edited version to the full
Council and Community Development staff in February of 2013 .
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Community Development presented the edited version of the plan document to the Englewood Planning
and Zoning Commission for comment and direction at the April 2, 2013 P&Z study session. After
reviewing Council's proposed changes, the Commission concluded that the City would be better served by
undergoing an extensive community visioning process that would lead to a new Comprehensive Plan that
would feature specific strategies and implementation action items. At the June 1 7, 2013 City Council study
session, Commissioners made a recommendation to City Council to begin planning for a major
Comprehensive Plan community engagement and plan development process, which would include
budgeting significant consultant funds essential to the development of the next evolution of the
Comprehensive Plan document. City Council accepted the Commissioner's recommendation and directed
Community Development staff to develop a recommended project timeline and budget. Community
Development presented a project timeline and a consultant budget of $150,000 at the July 8, 2013 Council
study session , which was agreed to by Council. The requested budget of $150,000 was allocated to the
Community Development budget -112 in 2014 and 112 in 2015.
The Comprehensive Plan Update was revisited by City Council at the January 2 7, 2014 Council study
session. Council reconfirmed there was a consensus to move forward with a Comprehensive Plan Update
process. Community Development staff discussed ideas for how the process and final document would be
structured, including the addition of specific strategies and implementation action items for moving the
community forward . Council members asked staff to develop a consultant scope of work, which was
presented at the February 24, 2014 study session.
RECOMMENDED ACTION
Community Development is requesting Council approve, by motion, a contract for professional services for
• the Englewood Comprehensive Plan update. Staff recommends awarding the contract to Logan Simpson
Design, the firm chosen through a competitive Request for Proposal (RFP} process.
BACKGROUND AND ANALYSIS
Community Development released an RFP for the Englewood Comprehensive Plan Update on June 19,
2014. A total of three consulting teams submitted proposals for the project. Each proposal was rated by
Community Development staff in terms of project methodology, firm and staff profiles, capacity to assume
risk, references, and fee schedule. The three consulting teams were interviewed by Community
Development staff members.
Logan Simpson Design and Clarion Associates were the top scoring consulting teams in the RFP review
phase. The two proposals offered similar amounts of consultant labor hours. Both teams did well in the
staff interviews, as well. A final decision to select Logan Simpson Design was made based on Logan
Simpson's sub-consultant partner, Progressive Urban Management Associates {PUMA). PUMA is a highly
regarded consulting firm specializing in economic and business development strategies for downtown and
business improvement districts throughout the United States . PUMA also is very familiar with Englewood,
having put together the business improvement district plan for the former South Broadway BID.
Community Development staff felt that PUMA's expertise and knowledge would strongly benefit the
development of economic development strategies.
FINANCIAL IMPACT
City Council has allocated a budget of $1 50,000 in the Community Development budget for the
completion of this project.
LIST OF ATTACHMENTS
Professional Services Agreement Englewood Comprehensive Plan Update -Logan Simpson Design
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PROFESSIONAL SERVICES AGREEMENT
ENGLEWOOD COMPREHENSIVE PLAN UPDATE
This Professional Services Agreement (the "Agreement'') is made as of this __ day of
______ , 20_, (the "Effective Date") by and between Logan Simpson Design, an Arizona-
based corporation ("Consultant"), and The City of Englewood, Colorado, a municipal corporation
organized under the laws of the State of Colorado ("City").
City desires that Consultant, from time to time, provide certain consulting services, systems
integration services, data conversion services, training services, and/or related services as described
herein, and Consultant desires to perform such services on behalf of City on the terms and conditions
set forth herein.
In consideration of the foregoing and the terms hereinafter set forth and other good and valuable
consideration, the receipt and sufficiency of which are hereby acknowledged, the parties hereto,
intending to be legally bound, agree as follows:
1. Definitions. The terms set forth below
shall be defined as follows:
(a) "Intellectual Property Rights"
shall mean any and all (by whatever name or
term known or designated) tangible and
intangible and now known or hereafter existing
(1) rights associate with works of authorship
throughout the universe, including but not
limited to copyrights, moral rights, and mask-
works, (2) trademark and trade name rights
and similar rights, (3) trade secret rights, (4)
patents, designs, algorithms and other
industrial property rights, (5) all other
intellectual and industrial property rights (of
every kind and nature throughout the universe
and however designated) (including logos,
"rental" rights and rights to remuneration),
whether arising by operation of law, contract,
license, or otherwise, and (6) all registrations,
initial applications, renewals, extensions,
continuations, divisions or reissues hereof now
or hereafter in force (including any rights in any
of the foregoing).
(b) 'Work Product" shall mean all
patents, patent applications, inventions,
designs, mask works, processes,
methodologies, copyrights and copyrightable
works, trade secrets including confidential
information, data, designs, manuals, training
materials and documentation, formulas,
knowledge of manufacturing processes,
methods, prices, financial and accounting data,
products and product specifications and all
other Intellectual Property Rights created,
developed or prepared, documented and/or
delivered by Consultant, pursuant to the
provision of the Services.
2. Statements of Work. During the term
hereof and subject to the terms and conditions
contained herein, Consultant agrees to
provide, on an as requested basis, the
consulting services, systems integration
services, data conversion services, training
services, and related services (the "Services")
as further described in Schedule A (the
"Statement of Work") for City, and in such
additional Statements of Work as may be
executed by each of the parties hereto from
time to time pursuant to this Agreement. Each
Statement of Work shall specify the scope of
work, specifications, basis of compensation
and payment schedule, estimated length of
time required to complete each Statement of
Work, including the estimated start/finish
dates, and other relevant information and shall
incorporate all terms and conditions contained
in this Agreement
3. Performance of Services.
(a) Performance. Consultant shall
perform the Services necessary to complete all
projects outlined in a Statement of Work in a
timely and professional manner consistent with
the specifications, if any, set forth in the
Statement of Work, and in accordance with
industry standards. Consultant agrees to
exercise the highest degree of professionalism,
and to utilize its expertise and creative talents
in completing the projects outlined in a
Statement of Work.
(b) Delays. Consultant agrees to
notify City promptly of any factor, occurrence,
or event coming to its attention that may affect
Consultant's ability to meet the requirements of
the Agreement, or that is likely to occasion any
material delay in completion of the projects
contemplated by this Agreement or any
Statement of Work. Such notice shall be given
in the event of any loss or reassignment of key
employees, threat of strike, or major equipment
failure. Time is expressly made of the essence
with respect to each and every term and
provision of this Agreement.
(c) Discrepancies. If anything
necessary for the clear understanding of the
Services has been omitted from the Agreement
specifications or it appears that various
instructions are in conflict, Vendor shall secure
written instructions from City's project director
before proceeding with the performance of the
Services affected by such omissions or
discrepancies.
4. Invoices and Payment. Unless
otherwise provided in a Statement of Work,
City shall pay the amounts agreed to in a
Statement of Work within thirty (30) days
following the acceptance by City of the work
called for in a Statement of Work by City.
Acceptance procedures shall be outlined in the
Statement of Work. If City disputes all or any
portion of an invoice for charges, then City
shall pay the undisputed portion of the invoice
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by the due date and shall provide the following
notification with respect to the disputed portion
of the invoice. City shall notify Consultant as
soon as possible of the specific amount
disputed and shall provide reasonable detail as
to the basis for the dispute. The parties shall
then attempt to resolve the disputed portion of
such invoice as soon as possible. Upon
resolution of the disputed portion, City shall
pay to Consultant the resolved amount.
5. Taxes. City is not subject to
taxation. No federal or other taxes (excise,
luxury, transportation, sales, etc.) shall be
included in quoted prices. City shall not be
obligated to pay or reimburse Consultant for
any taxes attributable to the sale of any
Services which are imposed on or measured
by net or gross income, capital, net worth,
franchise, privilege, any other taxes, or
assessments, nor any of the foregoing
imposed on or payable by Consultant. Upon
written notification by City and subsequent
verification by Consultant, Consultant shall
reimburse or credit, as applicable, City in a
timely manner, for any and all taxes
erroneously paid by City. City shall provide
Consultant with, and Consultant shall accept in
good faith , resale, direct pay, or other
exemption certificates, as applicable.
6. Out of Pocket Expenses. Consultant
shall be reimbursed only for expenses which
are expressly provided for in a Statement of
Work or which have been approved in advance
in writing by City, provided Consultant has
furnished such documentation for authorized
expenses as City may reasonably request.
7. Audits. Consultant shall provide such
employees and independent auditors and
inspectors as City may designate with
reasonable access to all sites from which
Services are performed for the purposes of
performing audits or inspections of
Consultant's operations and compliance with
this Agreement. Consultant shall provide such
auditors and inspectors any reasonable
assistance that they may require. Such audits
shall be conducted in such a way so that the
Services or services to any other customer of
Consultant are not impacted adversely.
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8. Term and Termination. The term of
this Agreement shall commence on the
Effective Date and shall continue unless this
Agreement is terminated as provided in this
Section 8.
(a) Convenience. City may, without
cause and w ithout penalty, terminate the
provision of Services under any or all
Statements of Work upon thirty (30) days prior
written notice. Upon such termination, City
shall, upon receipt of an invoice from
Consultant, pay Consultant for Services
actually rendered prior to the effective date of
such termination. Charges will be based on
time expended for all incomplete tasks as
listed in the applicable Statement of Work, and
all completed tasks will be charged as
indicated in the applicable Statement of Work.
(b) No Outstanding Statements of
Work. Either party may terminate this
Agreement by providing the other party with at
least thirty (30) days prior written notice of
termination if there are no outstanding
Statements of Work.
(c) Material Breach . If either party
materially defaults in the performance of any
term of a Statement of Work or this Agreement
with respect to a specific Statement of Work
(other than by nonpayment) and does not
substantially cure such default within thirty (30)
days after receiving written notice of such
default, then the non-defaulting party may
terminate this Agreement or any or all
outstanding Statements of Work by providing
ten (10) days prior written notice of termination
to the defaulting party.
(d) Bankruptcy or Insolvency. Either
party may terminate this Agreement effective
upon written notice stating its intention to
terminate in the event the other party: (1)
makes a general assignment of all or
substantially all of its assets for the benefit of
its creditors; (2) applies for, consents to, or
acquiesces in the appointment of a receiver,
trustee, custodian, or liquidator for its business
or all or substantially all of its assets; (3) files ,
or consents to or acquiesces in , a petition
seeking relief or reorganization under any
bankruptcy or insolvency laws; or (4) files a
petition seeking relief or reorganization under
any bankruptcy or insolvency laws is filed
against that other party and ls not dismissed
within sixty (60) days after it was filed.
{e) TABOR. The parties understand
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and acknowledge that each party is subject to
Article X, § 20 of the Colorado Constitution
("TABOR"). The parties do not intend to
violate the terms and requirements of TABOR
by the execution of this Agreement. It is
understood and agreed that this Agreement
does not create a multi-fiscal year direct or
indirect debt or obligation within the meaning of
TABOR and, notwithstanding anything in this
Agreement to the contrary, all payment
obligations of City are expressly dependent
and conditioned upon the continuing
availability of funds beyond the term of City's
current fiscal period ending upon the next
succeeding December 31 . Financial
obligations of City payable after the current
fiscal year are contingent upon funds for that
purpose being appropriated , budgeted, and
otherwise made available in accordance with
the rules , regulations, and resolutions of City
and applicable law. Upon the failure to
appropriate such funds, this Agreement shall
be deemed terminated.
(f) Return of Property. Upon
termination of this Agreement, both parties
agree to return to the other all property
(including any Confidential Information, as
defined in Section 11) of the other party that it
may have in its possession or control.
9. City Obligations. City will provide
timely access to City personnel , systems and
information required for Consultant to perform
its obligations hereunder. City shall provide to
Consultant's employees perform ing its
obligations hereunder at City's premises,
without charge, a reasonable work
environment in compliance with all applicable
laws and regulations, including office space,
furniture, telephone service, and reproduction,
computer, facsimile , secretarial and other
necessary equipment, supplies, and services .
With respect to all third party hardware or
software operated by or on behalf of City, City
shall, at no expense to Consultant, obtain all
consents, licenses and sublicenses necessary
for Consultant to perform under the Statements
of Work and shall pay any fees or other costs
associated with obtaining such consents,
licenses and sublicenses.
10. Staff. Consultant is an independent
consultant and neither Consultant nor
Consultant's staff is, or shall be deemed to be
employed by City. City is hereby contracting
with Consultant for the Services described in a
Statement of Work and Consultant reserves
the right to determine the method, manner and
means by which the Services will be
performed. The Services shall be performed by
Consultant or Consultant's staff, and City shall
not be required to hire, supervise or pay any
assistants to help Consultant perform the
Services under this Agreement. Except to the
extent that Consultant's work must be
performed on or with City's computers or City's
existing software, all materials used in
providing the Services shall be provided by
Consultant.
11. Confidential Information.
(a) Obligations. Each party hereto
may receive from the other party information
which relates to the other party's business,
research, development, trade secrets or
business affairs ("Confidential Information").
Subject to the provisions and exceptions set
forth in the Colorado Open Records Act 1 CRS
Section 24-72-101 et. seq., each party shall
protect all Confidential Information of the other
party with the same degree of care as it uses
to avoid unauthorized use, disclosure,
publication or dissemination of its own
confidential information of a similar nature, but
in no event less than a reasonable degree of
care . Without limiting the generality of the
foregoing, each party hereto agrees not to
disclose or permit any other person or entity
access to the other party's Confidential
Information except such disclosure or access
shall be permitted to an employee, agent,
representative or independent consultant of
such party requiring access to the same in
order to perform his or her employment or
services. Each party shall insure that their
employees, agents, representatives, and
independent consultants are advised of the
confidential nature of the Confidential
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Information and are precluded from taking any
action prohibited under this Section 11 .
Further, each party agrees not to alter or
remove any identification, copyright or other
proprietary rights notice which indicates the
ownership of any part of such Confidential
Information by the other party. A party hereto
shall undertake to immediately notify the other
party in writing of all circumstances
surrounding any possession, use or knowledge
of Confidential Information at any location or by
any person or entity other than those
authorized by this Agreement.
Notwithstanding the foregoing, nothing in this
Agreement shall restrict either party with
respect to information or data identical or
similar to that contained in the Confidential
Information of the other party but which ( 1) that
party rightfully possessed before it received
such information from the other as evidenced
by written documentation; (2) subsequently
becomes publicly available through no fault of
that party; (3) is subsequently furnished
rightfully to that party by a third party without
restrictions on use or disclosure ; or (4) is
required to be disclosed by law, provided that
the disclosing party will exercise reasonable
efforts to notify the other party prior to
disclosure.
(b) Know-How. For the avoidance of
doubt neither City nor Consultant shall be
prevented from making use of know-how and
principles learned or experience gained of a
non-proprietary and non-confidential nature .
(c) Remedies. Each of the parties
hereto agree that if any of them, their officers ,
employees or anyone obtaining access to the
Confidential Information of the other party by,
through or under them, breaches any provision
of this Section 11, the non-breaching party
shall be entitled to an accounting and
repayment of all profits, compensation ,
commissions, remunerations and benefits
which the breaching party, its officers or
employees directly or indirectly realize or may
realize as a result of or growing out of, or in
connection with any such breach. In addition
to, and not in limitation of the foregoing, in the
event of any breach of this Section 11, the
parties agree that the non-breaching party will
suffer irreparable harm and that the total
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amount of monetary damages for any such
injury to the non-breaching party arising from a
violation of this Section 11 would be impossible
to calculate and would therefore be an
inadequate remedy at law. Accordingly, the
parties agree that the non-breaching party
shall be entitled to temporary and permanent
injunctive relief against the breaching party, its
officers or employees and such other rights
and remedies to which the non-breaching party
may be entitled to at law, in equity or under this
Agreement for any violation of this Section 11.
The provisions of this Section 11 shall survive
the expiration or termination of this Agreement
for any reason .
12. Project Managers. Each party shall
designate one of its employees to be its
Project Manager under each Statement of
Work, who shall act for that party on all matters
under the Statement of Work. Each party shall
notify the other in writing of any replacement of
a Project Manager. The Project Managers for
each Statement of Work shall meet as often as
either one requests to review the status of the
Statement of Work .
13. Warranties.
(a) Authority. Consultant represents
and warrants that: (1) Consultant has the full
corporate right, power and authority to enter
into this Agreement and to perform the acts
required of it hereunder; (2) the execution of
this Agreement by Consultant, and the
performance by Consultant of its obligations
and duties hereunder, do not and will not
violate any agreement to which Consultant is a
party or by which it is otherwise bound under
any applicable law, rule or regulation; (3) when
executed and delivered by Consultant, this
Agreement will constitute the legal, valid and
binding obligation of such party, enforceable
against such party in accordance with its
terms; and (4) Consultant acknowledges that
City makes no representations, warranties or
agreements related to the subject matter
hereof that are not expressly provided for in
this Agreement
(b) Service Warranty. Consultant
warrants that its employees and consultants
shall have sufficient skill, knowledge, and
training to perform Services and that the
Services shall be performed in a professional
and workmanlike manner.
(c) Personnel. Unless a specific
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number of employees is set forth in the
Statement of Work, Consultant warrants it will
provide sufficient employees to complete the
Services ordered within the applicable time
frames established pursuant to this Agreement
or as set forth in the Statement of Work ..
During the course of performance of Services,
City may, for any or no reason, request
replacement of an employee or a proposed
employee. In such event, Consultant shall,
within five (5) working days of receipt of such
request from City, provide a substitute
employee of sufficient skill, knowledge, and
training to perform the applicable Services.
Consultant shall require employees providing
Services at a City location to comply with
applicable City security and safety regulations
and policies.
(d) Compensation and Benefits.
Consultant shall provide for and pay the
compensation of employees and shall pay all
taxes, contributions, and benefits (such as, but
not limited to, workers' compensation benefits}
which an employer is required to pay relating
to the employment of employees . City shall not
be liable to Consultant or to any employee for
Consultant's failure to perform its
compensation, benefit, or tax obligations.
Consultant shall indemnify, defend and hold
City harmless from and against all such taxes ,
contributions and benefits and will comply with
all associated governmental regulations,
including the filing of all necessary reports and
returns.
14. Indemnification.
(a) Consultant Indemnification.
Consultant shall indemnify, defend and hold
harmless City, its directors, officers,
employees, and agents and the heirs,
executors, successors, and permitted assigns
of any of the foregoing (the "City lndemnitees")
from and against all losses, claims , obligations,
demands , assessments, fines and penalties
(whether civil or criminal), liabilities, expenses
and costs (including reasonable fees and
disbursements of legal counsel and
accountants). bodily and other personal
injuries, damage to tangible property, and
other damages, of any kind or nature, suffered
or incurred by a City lndemnitee directly or
indirectly arising from or related to: ( 1) any
negligent or intentional act or omission by
Consultant or its representatives in the
performance of Consultant's obligations under
this Agreement , or (2) any material breach in a
representation, warranty, covenant or
obligation of Consultant contained in this
Agreement.
(b) Infringement. Consultant will
indemnify , defend, and hold City harmless from
all lndemnif iable Losses arising from any third
party claims that any Work Product or
methodology supplied by Consultant infringes
or misappropriates any Intellectual Property
rights of any third party; provided, however,
that the foregoing indemnification obligation
shall not apply to any alleged infringement or
misappropriation based on: ( 1) use of the
Work Product in combination with products or
services not provided by Consultant to the
extent that such infringement or
misappropriation would have been avoided if
such other products or services had not been
used; (2) any modification or enhancement to
the Work Product made by City or anyone
other than Consultant or its sub-consultants; or
(3) use of the Work Product other than as
permitted under this Agreement.
(c) Indemnification Procedures.
Notwith -standing anything else contained in
this Agreement , no obligation to indemnify
which is set forth in this Section 14 shall apply
unless the party claiming indemnification
notifies the other party as soon as practicable
to avoid any prejudice in the claim, suit or
proceeding of any matters in respect of which
the indemnity may apply and of which the
notifying party has knowledge and gives the
other party the opportunity to control the
response thereto and the defense thereof;
provided, however, that the party claiming
indemnification shall have the right to
participate in any legal proceedings to contest
and defend a claim for indemnification
involving a third party and to be represented by
its own attorneys , all at such party's cost and
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expense; provided further, however, that no
settlement or compromise of an asserted third-
party claim other than the payment/money may
be made without the prior written consent of
the party claiming indemnification .
(d) Immunity. City, its officers, and its
employees, are relying on, and do not waive or
intend to waive by any provision of this
Agreement, the monetary limitations or any
other rights, immunities, and protections
provided by the Colorado Governmental
Immunity Act, C.R.S . 24-10-101 et seq ., as
from time to time amended, or otherwise
available to City , its officers, or its employees .
15. Insurance.
(a) Requirements. Consultant agrees
to keep in full force and effect and maintain at
its sole cost and expense the following policies
of insurance during the term of this Agreement:
( 1 ) The Consultant shall comply
with the Workers ' Compensation Act of
Colorado and shall provide compensation
insurance to protect the City from and against
any and all Workers' Compensation claims
arising from performance of the work under
this contract. Workers ' Compensation
insurance must cover obligations imposed by
applicable laws for any employee engaged in
the performance of work under this contract, as
well as the Employers ' Liability within the
minimum statutory limits.
(2) Commercial General Liability
Insurance and auto liability insurance
(including contractual liability insurance)
providing coverage for bodily injury and
property damage with a combined single limit
of not less than four million dollars
($4,000,000) per occurrence.
(3) Professional Liability/Errors and
Omissions Insurance covering acts, errors and
omissions arising out of Consultant 's
operations or Services in an amount not less
than two million dollars ($2,000,000) per
occurrence .
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(4) Umbrella Insurance policy in an
amount not less than five million dollars
($5,000,000) per occurrence.
(b) Approved Companies. All such
insurance shall be procured with such
insurance compan ies of good standing ,
permitted to do business in the country. state
or territory where the Services are being
pertormed.
(c) Certificates. Consultant shall
provide City with certificates of insurance
evidencing compliance with this Section 15
(including evidence of renewal of insurance)
signed by authorized representatives of the
respective carriers for each year that this
Agreement is in effect. Certificates of
insurance will list the City of Englewood as an
additional insured. Each certificate of
insurance shall provide that the issuing
company shall not cancel, reduce, or otherwise
materially change the insurance afforded under
the above policies unless thirty (30) days'
notice of such cancellation, reduction or
material change has been provided to City.
16. Rights in Work Product.
(a) Generally. Except as specifically
agreed to the contrary in any Statement of
Work, all Intellectual Property Rights in and to
the Work Product produced or provided by
Consultant under any Statement of Work shall
remain the property of Consultant. With
respect to the Work Product, Consultant
unconditionally and irrevocably grants to City
during the term of such Intellectual Property
Rights , a non-exclusive, irrevocable, perpetual ,
worldwide, fully paid and royalty-free license,
to reproduce , create derivat ive works of ,
distribute, publicly perform and publicly display
by all means now known or later developed ,
such Intellectual property Rights .
(b) Know·How. Notwithstand ing
anything to the contrary herein, each party and
its respective personnel and consultants shall
be free to use and employ its and the ir general
skills, know-how, and expertise, and to use,
disclose , and employ any generalized ideas,
concepts, know-how , methods, techniques , or
skills gained or learned during the course of
any assignment, so long as it or they acquire
and apply such information without disclosure
of any Confidential Information of the other
party.
17. Relationship of Parties. Consultant is
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acting only as an independent consultant and
does not undertake, by this Agreement, any
Statement of Work or otherwise, to perform
any obligation of City, whether regulatory or
contractual , or to assume any responsibility for
City's business or operations. Neither party
shall act or represent itself, directly or by
implication, as an agent of the other, except as
expressly authorized in a Statement of Work.
18. Complete Agreement. This
Agreement contains the entire agreement
between the parties hereto with respect to the
matters covered herein.
19. Applicable Law. Consultant shall
comply with all applicable laws in performing
Services but shall be held harmless for
violation of any governmental procurement
regulation to which it may be subject but to
which reference is not made in the applicable
Statement of Work. This Agreement shall be
construed in accordance with the laws of the
State of Colorado. Any action or proceeding
brought to interpret or enforce the provisions of
this Agreement shall be brought before the
state or federal court situated in Arapahoe
County , Colorado and each party hereto
consents to jurisdiction and venue before such
courts .
20. Scope of Agreement. If the scope of
any provisions of this Agreement is too broad
in any respect whatsoever to permit
enforcement to its fullest extent, then such
provision shall be enforced to the maximum
extent permitted by law, and the parties hereto
consent to and agree that such scope may be
judicially modified accordingly and that the
whole of such provision of this Agreement shall
not thereby fail, but that the scope of such
provision shall be curtailed only to the extent
necessary to conform to law .
21. Additional Work. After receipt of a
Statement of Work , City, with Consultant's
consent, may request Consultant to undertake
additional work with respect to such Statement
of Work. In such event, City and Consultant
shall execute an addendum to the Statement
of Work specifying such additional work and
the compensation to be paid to Consultant for
such additional work.
22. Sub-consultants. Consultant may not
subcontract any of the Services to be provided
hereunder without the prior written consent of
City. In the event of any permitted
subcontracting , the agreement with such third
party shall provide that, with respect to the
subcontracted work, such sub-consultant shall
be subject to all of the obligations of
Consultant specified in this Agreement.
23. Notices. Any notice provided pursuant
to this Agreement shall be in writing to the
parties at the addresses set forth below and
shall be deemed given (1) if by hand delivery,
upon receipt thereof, (2) three (3) days after
deposit in the United States mails, postage
prepaid, certified mail, return receipt requested
or (3) one ( 1) day after deposit with a
nationally-recognized overnight courier,
specifying overnight priority delivery. Either
party may change its address for purposes of
this Agreement at any time by giving written
notice of such change to the other party
hereto .
24. Assignment. This Agreement may not
be assigned by Consultant without the prior
written consent of City. Except for the
prohibition of an assignment contained in the
preceding sentence, this Agreement shall be
binding upon and inure to the benefit of the
heirs, successors and assigns of the parties
hereto.
25. Third Party Beneficiaries. This
Agreement is entered into solely for the benefit
of the parties hereto and shall not confer any
rights upon any person or entity not a party to
this Agreement.
26. Headings. The section headings in
this Agreement are solely for convenience and
shall not be considered in its interpretation.
The recitals set forth on the first page of this
Agreement are incorporated into the body of
this Agreement. The exhibits referred to
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throughout this Agreement and any Statement
of Work prepared in conformance with this
Agreement are incorporated into this
Agreement.
27. Waiver. The failure of either party at
any time to require performance by the other
party of any provision of this Agreement shall
not effect in any way the full right to require
such performance at any subsequent time; nor
shall the waiver by either party of a breach of
any provision of this Agreement be taken or
held to be a waiver of the provision itself .
28. Force Majeure. If performance by
Consultant of any service or obligation under
this Agreement is prevented, restricted,
delayed or interfered with by reason of labor
disputes, strikes, acts of God, floods, lightning,
severe weather, shortages of materials,
rationing, utility or communications failures,
earthquakes, war, revolution, civil commotion,
acts of public enemies, blockade, embargo or
any law, order, proclamation , regulation,
ordinance, demand or requirement having
legal effect of any governmental or judicial
authority or representative of any such
government, or any other act whether similar
or dissimilar to those referred to in this clause,
which are beyond the reasonable control of
Consultant, then Consultant shall be excused
from such performance to the extent of such
prevention, restriction, delay or interference. If
the period of such delay exceeds thirty (30)
days, City may, without liability, terminate the
affected Statement of Work(s) upon written
notice to Consultant.
29. Time of Performance. Time is
expressly made of the essence with respect to
each and every term and provision of this
Agreement.
30. Permits. Consultant shall at its own
expense secure any and all licenses, permits
or certificates that may be required by any
federal, state or local statute, ordinance or
regulation for the performance of the Services
under the Agreement. Consultant shall also
comply with the provisions of all Applicable
laws in performing the Services under the
Agreement. At its own expense and at no cost
to City, Consultant shall make any change,
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alteration or modification that may be
necessary to comply with any Applicable Laws
that Consultant failed to comply with at the
time of performance of the Services.
31. Media Releases. Except for any
announcement intended solely for internal
distribution by Consultant or any disclosure
required by legal , accounting , or regulatory
requirements beyond the reasonable control of
Consultant, all media releases, public
announcements, or public disclosures
(including, but not limited to, promotional or
marketing material) by Consultant or its
employees or agents relating to this
Agreement or its subject matter, or including
the name, trade mark, or symbol of City, shall
be coordinated with and approved in writing by
City prior to the release thereof . Consultant
shall not represent directly or indirectly that any
Services provided by Consultant to City has
been approved or endorsed by City or include
the name, trade mark, or symbol of City on a
list of Consultant 's customers without City's
express written consent.
32. Nonexclusive Market and Purchase
Rights . It is expressly understood and agreed
that this Agreement does not grant to
Consultant an exclusive right to provide to City
any or all of the Services and shall not prevent
City from acquiring from other suppliers
services similar to the Services . Consultant
agrees that acquisitions by City pursuant to
this Agreement shall neither restrict the right of
City to cease acquiring nor require City to
continue any level of such acquisitions.
Estimates or forecasts furnished by City to
Consultant prior to or during the term of this
Agreement shall not constitute commitments .
33. Survival. The provisions of Sections 5,
8(9), 10, 11, 13, 14 , 16, 17, 19, 23, 25 and 31
shall survive any expiration or termination for
any reason of this Agreement.
34. Verification of Compliance with C.R.$.
8·17.5·101 ET.SEQ . Regarding Hiring of
Illegal Aliens:
(a) Employees, Consultants and
Sub-consultants: Consultant shall not
knowingly employ or contract with an illegal
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alien to perform work under this Contract.
Consultant shall not contract with a sub-
consultant that fails to certify to the Consultant
that the sub-consultant will not knowingly
employ or contract with an illegal alien to
perform work under this Contract. [CRS 8·
17 .5-102(2)(a)(I) & (11).]
(b) Verification: Consultant will
participate in either the E-Verify program or the
Department program, as defined in C.R.S. 8-
17 .5 -101 (3.3) and 8-17 .5-101 (3 .7),
respectively , in order to confirm the
employment eligibility of all employees who are
newly hired for employment to perform work
under this public contract for services.
Consultant is prohibited from using the E-Verify
program or the Department program
procedures to undertake pre-employment
screening of job applicants while this contract
is being performed.
(c) Duty to Terminate a
Subcontract: If Consultant obtains actual
knowledge that a sub-consultant performing
work under this Contract knowingly employs or
contracts with an illegal alien, the Consultant
shall;
( 1) notify the sub-consultant and
the City within three days that the
Consultant has actual knowledge that
the sub-consultant is employing or
contracting with an illegal alien; and
(2) terminate the subcontract
with the sub -consultant if , within three
days of receiving notice required
pursuant to this paragraph the sub -
consultant does not stop employing or
contracting with the illegal alien; except
that the Consultant shall not terminate
the contract with the sub-consultant if
during such three days the sub-
consultant provides information to
establish that the sub-consultant has
not knowingly employed or contracted
with an illegal alien.
( d) Duty to Comply with State
Investigation: Consultant shall comply with
any reasonable request of the Colorado
Department of Labor and Employment made in
the course of an investigation by that the
Department is undertaking pursuant to C .R.S .
8-17.5-102 (5)
(e) Damages for Breach of
Contract: The City may terminate this contract
for a breach of contract, in whole or in part,
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due to Consultant's breach of any section of
this paragraph or provisions requ ired pursuant
to CRS 8-17.5-102. Consultant shall be liable
for actual and consequential damages to the
City in addition to any other legal or equitable
remedy the City may be entitled to for a breach
of this Contract under this Paragraph 34 .
IN WITNESS WHEREOF, the parties to this Agreement have caused it to be executed by their
authorized officers as of the day and year first above written . This Agreement may be executed in
counterparts_ each of which shall be deemed an original , but ail of which together shall constitute one
and the same instrument.
CITY OF ENGLEWOOD, COLORADO
By:~~~~~~~~~~~~~~
(Signature)
(Print Name)
Title: _______________ _
Date: _______________ _
ATTEST:
City Clerk
City, State, Zip Code ( .
By: II---lM&-=--
=ri~atu]lE lJtl
(Print Name)
Title: ~rJ Vt,J>,.YL
Date: =====qr=~=l=1=0 ·=~=======
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SCHEDULE A:
STATEMENT OF WORK AND FEE SCHEDULE •
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Englewood Comprehensive Plan Update
Scope of Work I August 29, 2014
ENGlEWDOD OIVIPH :HEH, I E U\H UPIJAT
, COPE fH WOil l
The Englewood Comprehensive Plan Update offecs a n ex 1m ordim1ry platform fo r the City 's Community Development
Dcparimcnt, key staff :i cross C i1 ~· departments and agencies, Planning Commission, City Council, civic leade rs,
s takeholders, and res idents ro join in a pl aruling dialogue focused on cnhrncing th e long-term vi la li ty of lhc City of
Englewood. E ng lewood has grown exponentially, and the broader community and economic dynamics have changed
:;incc the last comprehensive pfann.ing effort. Englewood's CiryCen tcr h as grown into a imnsit huh as one o f the RTIJ's
lightrnil srops and bus transfer station; Swedish Medical Center :111d Craig Hospital ure recogniud nallonally as premier
medical facilities; and redevelopment p roje c ts M the flood i\h dd le School r111d proposed Acorn~ location art poised Lo
bring life inro th e Histork1ll Downtown. Englt-woud is a highly amenili7.cd, lirs1 -ring D enver suburb with the
opporcunity 1·0 cap italize on great p:irk and recreation facilities; a great loc:aion with access to all modes of
trnnsp ortation; :ind a relatively affordable alternative to D e nver, which is atlrac live ro both a you nger demographic; :md
an aging population .
This comprehensive pl:in will represent these values bo1h in graphic quality and content. i\ comprehensive plan sh o uld
be legally -defensible, forward -thinking, intcrdisdplinarr. a nd communit)'-dtivcn; an effective plan should move beyond
rht: current chall enges facing the Cit)' to id entil)r opportunities :tnd action $lra tegies that will ensure a thriving and
resilient funire . There arc mani• plans that simply meet basic rcquiremen ls, while others are designed to move a
c()mmuniry forw:ud and keep rhc cunversation open as the City exp criellccs growth :mu change. This update is essential
10 fulfilling the fur ure vision fo( E ng lewood . Ir should take advantage of 1imcly opportunities 10 provide th e best quality
of life for i1s citizens, visi1ors, and hl1sim:sscs in the rears to come.
TASK 1. PROJECT MANAGEMENT AND COMMUNITY ENGAGEMENT PlAN
11 tH·WOltlG f-'f\f'IJ[C I I t\N/\Gl:t1r-t-IJ
Ongoing project management activitie s include in-p erson progress mceungs, and bi weckli• phone ca ll s ensuring that the
projccl scope, schcduk\ deli\'erable qu ality, a nd budget arc effecti vely managed 10 your expectations throughou1 the
projccl for o ur team has b<.>th Lived a nd worked in Englewood and will he there regularly. Project l\lanager Bruce
l\Jeighen will br supported hr Assistant Project tllanager Kri s1in;1 Kllchur. both of whom arc available to fully commit lu
this important p rojccl. Bruce rnd Kristina will participate in biwcekJy phone cal.ls and aircnd the regular p rogress
meetings during the course of this projccl. Month ly, the p rojec t princip;1J, manager, and accou n tan t will review the
project management pbn, costs, dclivernhlcs, milestones, and accompli shments for the preceding month, along wil h the
s talus of each major nisk, updating the critical path schedule and m o nl ·hly workload projections as. needed.
Pu blic involvement efforts will build on and compliment efforts from previous and on-going planning projects such as
the Englewood Light Rail Corrid or Plan, the 2014 Citizen Survey, a.nd public uutre;ich efforts from th e Wa lk and Wheel
study. \\fe will ensure that the projecrs arc coordim11 cd and public involvemenr activilies :\re complimentary to avoid
confusion and publir-involvement farig\lc.
l., .._T/\1-f-1<.Kk Of-I-We Rl<~HOI'
t\n in person meeting will occur between Englewood city staff and consultant team members to review project sc hcd11lc,
com1minicalion protocols, review the comnrn nh:y t'ngagemenc p la n, identify key issues, nnd p reparr a list of indiv idunl s
and groups to cont;\ct for stakeholder interviews and the sta keholder com1nittce.
1. 3 t" OHi 1Ut-Jll ' f NG l\uf I-ff ~·H Pl A 11
Durin g the projl,ct initiation phase of the planning process a compl t::te am! ro bust commun ity engagement plan th a l
consolidates public effort efforts bccwecn the rhree planni ng processes will he developed by Fl Jl i. FHU will work in
cuord in ation with the othe r te;uns to combi ne objectives and tools for public outreach efforts along with a master
detailed sc hedule in Excel. FHU will coordinate with o ther teams to sclccr the four public in volvcmem weeks . The pl an
will include public ourrcach goa ls, acU\'itics, venues, and dtr/consuhanr team responsibilities that seek to keep citi7.en;;
informed throughou1 the planning process, gathe r fc.-cdb~ck al critical p oints, and create local champions. This living
document will serve as th e one-srop repository for meetings and a!:t ivities throughout the plan. The pl:tn will
Englewood Compl'ehensive Plan Update
Scope of Work I August 29, 2014
recommend the means of 1nvnlvcmc11t in the study hy the public :111d outline p;lrlicipation methods and objectives. The
Communit)' Engagement Ph1n will form the basis of the first website update . Specific focus will be placed on seeking
regular, broad, representative community partkipation using h.ighly interactive lechrtique~ and a variety of vcmu:s am!
means .
If 1.ksired, the Logan Simpson te<1m can offer innovation 11ppco:ichc:s tu public involvement including keypad polhng at
public event~; 1\limli\Iixc:r, and PhotuVoict' exi:rcises . Further di:tails about commun ity engagement opportunities are
presented in lhe tasks below. We will work with the city to crcati; initial content and updates for a project website to be
hoswd by the city. Project upd;1tcs and meeting notifici1tjons wj)I nlso he ~hared through th e E nglewood Cirizen :ind
socia l media platforms (Faccbook, 'l\viltcr, etc.). \Ve also use our comment tracking tools lo compare our t111:thods and
ad 1ust when neccsSM)'· ln many cases, we find sm:1 ll group meetings in the sc1uarc, coffee shop, school or p11rk n:sulr i11
more participillion than regular meetings , \Ve also use the system to tra(:k if we arc reaching under represented
populations or hearing ju st from the vocal minmity .
Fl JU will produce content for the initial postc;trd mailing. The postc:u:d will introduce the coocdin:1lcd planning efforts
occurring thrriughout Englewood over the next year an<l sobcit rcsidi:nts for email addresses foe future project updaks
and meeting notifications . lfosidents will be directed to sign iip on the website and can select which projects, if not all, in
which they will receive notification . Fl IU will coll ect and manage rhe cont:tct darnbase as des cribed !Jdow. The city will
be responsible for genera ling~ mailing li st based on assessor data :is well as print and mail the postcarcls during the
projt'Ct initiation phase.
To engage and inform the public throughout the planning process, c -ncwslctters and press releases will be produced.
Fl !U will produce and distribute four c newsletters throughout tlw ye;ir long planning proces s. Each fi.rm will provide a
pmjcct update summ~ry paragraph, :1 S)'no psis of public involveme nt, links to ac.lclirional info cm their webp~-1ge, and
dales of 1lw next public evl'nt (if availab le). Drnfr content for four press relea ses will be provided t.o the cit)' by Fl IU for
the cit)' ro finalize, format and distribute. If needed , p;tid advertisements will 11lso be used w promote public cvcms and
key milestones . FH U will determine the format and drnfr content of the advcrt.iscments for the City ru produce :m<l
pla ce with rhc 11ppropcia1e medt:i .
Logan Simpson will ;ict ~is a sub con~ultant to ( >V for the following tasks : branding, logo, website, and survey
dcwlopment.
In coordination with consrruc1ion of the website iu\d logo, templates will be produced tu giw :i simi lar look ;ind fed
herween onLine and print nrntcrinls across all proje([S . Development of the templates will indudt: fonts and color
scheme . Logan Simpson will devdop temp lat es for the websit e , postcard, boarcls, and c -newslcttcr. The wdisirc will be
built using a Cl\lS (Content ~lanagement ~y st cm), such as word press. A tcmphnc that can he modified will be chosen to
Si'nc the wd.1 sitt: with tht: look and fed uf the logo and color scheme. The city wi ll provide a landing page to hos! a short
overview of 1·hc three projcct·s and the link to the website. :\ logo to be med on all onlinc and print ma terials to bt>llld
rhis plai1ning prucc:ss. Logan Simpson will provide InDcsign package files, an .11sc file, 11nd fonts to PHU :rnd OV for use
in creating print materials throughout the project. Logo graphics along wirh the original file s (e.g. lllllsttator files) wi ll be
provided rn Fl !U and O\' for their use in cr:eating materials throughout tht• project.
Survers throughout the plar111ing pn..1ccss G\11 be pn:scntt:d in various forms; virtual workshop ~. data gathering,
quc s1 ionnaircs, altt·rnatives sdectiun , etc. Logan Simpson will construct and m:inagt: the onLinc surveys Surwys are
pLrnncd to ta ke place at three point~ to su pp ort and intcgrnte with the nwjor public outce;1eh evenrs and arc clcscr.ibed in
further detail hclow. ;\ survey li nk will be provided ro post on rhe websites :1.nd e-m:wsletters.
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Englewood Comprehensive Plan Update
Scope of Work I August 29, 2014
Our team will cQnduct two all-day interview sessions with stakeholders or sma lJ groups that have an interest in the stutl}'
area. 'l11e purpose o f our SC$Sio ns will be to ga ther feedback 011 i ~sucs M<l opportunities, generate initial visioning id e.u,
and stimullltc in teres t in the plan update. In an effort to remain informa l and encourage substnnt i;1 I feedba ck, we suggest
holding the interviews at a public location such as The Brew on Broadway or the Copper Pot. City staff will use thl'
stakeholder list prepared in Task 1.1 to schedule meetings with re levant agencies, community leaders, elected o ffici als,
re sid ents, busi n esses, and oth er org:mhiations or juri sdictions to ga in an understanding of htnd use, trnnsporrntion,
economic development, housi ng, and other community trends . Loga n Simpson speciali zes in creative ways to engage
council, such as a logo and bmnding kick off summi t with council and boards or fireside chats with C it}' CoLmci l. Logan
Simpson will prepare matcriab, facilitate all intervie\vs, am! prepare a s takch ()ld cr su mma ry . T he city wiU assist in
assembli ng the Stakeh(Jlder Committee, and memhe rs nf th e public wiU be encouraged to sign up for specifa times. 1\t ~
minimum, 1hc following groups will be intervie wed;
• Phtnning Commission
• City Council
• City boards and commissions (Allian ce for Commerce, Cultural Arts, Housing 1\uthoril)•, Keep Englewoud
Beautifu l, Parks and Recreation Commission, Planning and Zo11ing Commission, Malley Center Trust-rund
Board, Transportation Advisory Board, Vrb;in Re m:.wal Authority, a.nd others a s appropriate)
• Chamhcr of Commerce
• Ar:tp:1hoe County
• Regional 'J'ninsportntion Dis11-ict
• Englewood Sc;hr>0l District
• Swedish 1\ledical Center/Craig Hospital
• Greenway Foundation
• Local rcahurs, re al cstare brokccs, d evelopers and lenders
• Local business owners
• l\fa jor local employers
• i\Iajor property owners
• Neighborhood reprcscntauves
• Englewood I Ji s mrical Preservation Society
• Other locnl le aders
• Service providers for low-income and minorit~· populatio ns
I['. I 1ll-1!1llHITY Vlc..f(ltJlltf, 1-Vt-tll '·
:\ CQm muniry vision event and onlim: survey wou ld be held ro kick off the p l:lll to the community and reaffirm people 's
values .:\ series of "Visioning ll1 the Park" workshops would be held to shape the resulting graphic vision document . Jn
coordination wirh the comn1unity visioning events, a ;oint PI.Inning Commission and City Council \\lork session will l>l·
held .
• Website, Branding, Lngo
• Kick-off meeting agend~. a ttendance, and mi nutes
• Community Engagemen t Plan
• \'\"ebsitl' conten t
• Stakehulder intcrvicw/queslions, facilitation, and summary
• Srxial i\1cdia too ls
• Comment tracking system
• \'1sio ning in the Park serii:s
• Online survey Ul
• ln ·pCrson staff kick -nff meeting
• Sc;tkeholdtc interviews
• PC /CC \'isioni ng Worksession #I
• Biweekly progress calls
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TASK 2: INDICATORS UPDATE
Englewood Comprehensive Plan Updat~
Scope of Work I August 29, 2014
The cornm\lniry indicator upd;Hl' will pro\'ide more th an just :1 summary of the current rl':l lilie s in Englewood . All data
ptcscntcd will he co ntextualized in terms of trends, the greater region, or changing heed s in the commut1ity -making
th<' analysis more relevant w thl' \•ision, opporlllnitics, politics , an<l implcmcntation strategics th :1t will be further
explored in rhc Comprehcmivc Pl an. lnfornrntion wiU be displayed in a graphic, e-.isily digcstible format that clcarlr
communicates Englc:woo<l 's strcngrhs. weaknesses, opportunities, and threats. Logan Simp~on specializes in displaying
complicated informa tion in crc11tive ~nd highli• effective mc :ms , suc h as infographics .
P.U .M.A. will utilize its 2014 G lobal Trends Report to provide both rcgioml and natiom1l context to the Engh:wootl
Indicators Rep ort :ind to help guide the ei1ptc1ed trajt'cl'ory of Englewood's future economic dcvdopment. Developed
in conjunction with the University of Colorado Denver College of Arc hitecture and Pfantling. the 2014 Global Trends
Rep ort anal)•Zcd shifts in demographic s, lifes ty les and global competition and their influence in shaping American cities
and town ;;. \'\'e can utilize the Glob:il Trends research plaifurrn tu inform the Comprehensive Phtn in the following
ways:
• As part of the: Indicators Rc:p ort, we will prcpure a narmll\'c analysis on how Global '!'rends 11re ;1 ffc ct ing
Englewood. lmpo rt:rn tly, we will id eotiCy the trends that Englewood c:1n capitalize upon tlmt could help to
improvt· both the quality oF life and overnll prosperity of the co mmunity.
• GJl)bal Trend~ can be prtscntnl as p<1rt of t ht overall Comprehensive Plan process to stimulate d i~1 l ogue
amnng dvic leaders and the community at -large on oppoctunities that sh0t1ld and ca h be addressnl within the
Ph1n . \'\fe C'nv ision 1ailoring 1hc Glob:1I T n:nds presentation ICl the unique d y namic~ of Englewood and
incorporating it into a variety of forn1;1ts, includ111g community open houses am.I/or work sessions for the
City Council, Planning Commission and other governing boards.
2 l ( 01-Hil lrlll Y l'!lc •I fl f
The Community Pmfilt· will provitle a picruce of 1he soc io -cconomic charactcrimcs Qf tht• Englc:wood population in
19<JO, 2000, and 2010 usi ng United Srntcs Census and American Community Survey 5 Year Est imate s d;Ha . Comparisons
will he m:ildc with ihc Denver i\letropolitan Arca, a s wel l ~\S Englewood's peer mcuo suburbs which include the
communities of Lit 1let on, \Vhca1 Ridge, Northglenn, anti Commerce Ciry, and how each h;1 s changctl over tht' thi.i:tT year
period. Distributions of the d:u:i will be m:1 pped using GIS. Logan Simpson h;i s -:i lso completed demographic anal}'zes
for DRO )G and NFRMPC) and are ahle to model th e physiographic profile of s pecifo: Englewood ndghborhood
residents, along with their spending. housing, and other need:>.
The LS[) team wi.11 frame the demographic within tht· coniext of other forces and ccm:-tdcr;11jons to determin e how
dcrnogrnphic s will factor into future planning o pportunities and decision s, providing th e Cit)' wirh lhe opportunity ltJ
rt•,•valuate its land use mix and ensure that it is targeted toward encouraging employment growth , stirnuh1ting
c:ommcrc ial dcvdoprncnt, and preserving fisc11l sustainability.
Using the he sr a\~li l a blt' darn from the City. Arapahoe County, Colorack1 and national darn sets, and other sourcc:s, the
team will researc h and synthesize informati()tl fot e:1ch pla11ni11g topic into a series of "community indicator snapshots"
th a1 '"ill provide nut only an uver.1icw of baseline co11ditio11s, bu1 also define how those conditions inOucncc the
development of policies, hllld uses, and opportunities for 1hc comrrehensivc plan. In addition , each snapshot will
pmvidi; n comparison tn th e previou s report -The Logan Simpson 1cam will begin initial dat a collection using
immcdiardy available local , state , and national crnnomlc cbta sources. and will review the 2005 Co mmunity lndicalor
Rep oa. The community input and data analysis will ht· plaretl int o a stn1te1:,-ic phinning conrcxt that describes the
strengths, weakne sses, opportunities, ~nd threats related to cco11omic health. TI1is will include thc integration of our
cen ters :rnd corridors pcrfmmance analysis for DH.COG, whk:h addresse s all eco nomic centers u1 rhe region . \Ve are als o
beginning a comp:irison of :ill code~ ;ind plan s in the rcgmn, :1Ilowi ng us tu assess rhesc reports against compnrahle
communides. The snapshots will be avail:tblc onlinc f11r downl rn1d hy inrcrc sted parties.
L.111(/ lht! & Eco11omic De1 'elopmrt1t
Throughout the recess ion , th e City pursued a number of rede\'clopment ittilialivcs and cconomir development
suategics, including the Arapahoe County Enterprise Zone, bu siness in ce ntives , and a Bu >iness Improvement D istrkl
th:11 w:1s eventually dis so lved . Th<" economic-dc\•d o pmrnt cntiucs and the tools and partnerships already underway will
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Englewood Comprehensive Plan Update
Scope of Work I August 29, 2014
be understood and considered in the: ;imilysis . Our team will also conduct targeted analysts of how to reduce commercial
vacancics thmugh analysis of n:tail space, discussion with business owner, and a gc:n crnl and neighborhood m~rket
overview .
I ·:111plQ)'l)H,:(1t
• Total Emp lo ymc!H by N:\ICS Industry
• Emrlormcnr Share by N.-\I C!i lmlmt.ry
• Total Nt1rnber of 13usin c$ses hr NAICS Industry
• . .\vcragc Wage by N.-\ICS Industry
• City of Englewood Largesr l'ri~ttc Empluycr~
• Oi:i:upational Empl ormenr f\lix
• Unemplo)'lnent R:11 c
• Share of House hold s by f\lcd ian Household Income
• Educational .Attainmem
• Professiona l Licenses
Jka l I (~late
• 0:on·resicknrial Building l'crmirs
• Total Offici: Syuarc FeC't
• Office Yacancr Rares
• Average Office Lease Rares
Tm> Rn•c nucs and Ret:t il Saks
• Prupcrty Tax Revenue
• Sale~ T:tx Rt•\•cnuc
• Retail Sales
• Retail Sale s per Capita
Ho11si11g
;\n a1t.raccive a.nd diverse hous in g ~tock is vital to ensuring thar rite City pre&ervcs its po sition :IS an allrnctivc place to
live :iml attain its economic de\•clopmc nl goals. The rccuvc rin g Englewood econum)' and changing demographics arc
significantly altering the d)'namics of the n.:gmnal housing m:irkcr , requiring an updated understanding of lorn] housing
nccds . The Alcxan C ir yCentcr t\p;1rl111cnts, Flo•xl l\liddlc SC'hool PUD, and the phmncd ,\coma Redcvclupmcnt are
changing the face of thc Ci tyCc nter and rhc 1 lis lurirnl Duwntown Distl'ict. Thi s will include a p <1rcel levl'l :111:1l)rs is of
each neighborhood w cleterm.itw which neighborhoods wi ll 1n1n sitiun
!:1.m1si1~
• l\led1an I fousing Price
• Price per Squ:lrc Foot
• Total I l omc Sales
• Home Salt:s by Price R:tngc
• Home :-;ales by Size
• ResiJenti:1l Assessed \':1luati1m
• :\partment Rcn1al Rares
• ..\partrrnmr \'acancy R:11e b
• Number of Homing Units
• Residential Unit s Ly Type
• :\.vcrnge 1 lousehold Size
• Apartment units by 1\gc
Transportation
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Englewood Comprehensive Plan Update
Scope of Work I August 29, 2014
The LSD team will irltegmtt• th e dam with ci.:isting plan s including; l\!astcr 13JCycle Plan, Englewood Comple1e Street s
To1)lbox, and the Englewood I .ight Rail Corridor Plan . The snapshot will dornment opportunities to improve the
vibrancy of key corri<lors an<l iden ti fy th e potential o pporl\anities for the integration of land l!Sl' anti trnn~port:1tion. A
key focus will be on the pctli:stri an environment.
• Traffic Count~
• Comm\lte Tim es
• Drive and Transit Times
• Light !fail Weekly Boardi ngs
• Light Rail park -n -Rid t: C:i pacit)'
• Trnn~it Stop Land Usc:s
• Transit S top Land ll;c Densities
Parks, Recreation, and Open Space
E nglewood's piirks, rccm1tic:m facilities, anti open spact· a n.• essential quality-of-life :unenities for irs re sidents, The
~m1pshot for th is plan di:mc:nt wtll build off the l\uks and Re creatio n l\l a~tcr Plan, South Ph1tte River ( )pi:n Space Plan,
and oth er relevant plan~.
• Am:> uf Parks ;ind Open Sparc Land
• Recreationa l Acri,•itil'S Parucipatio o
• Populntion Base Sraod ards
• Open Space Funding
• Parks and Rec reation Development Charges
• C ulture and Rccre;itirm Expenditures
• Targe re d Propert:ics for < lpcn Space :\cqui~itinn
Community and Environmental Health
Health nnc.l the built environmenl art u1 creasi ng!y connected. Community and e11vironmcn1al health can be mc:isun:d by
rmm y of the indic ators above, such :is acces s to transit, education, and la nd ust mixes. Community health includes thc-
ph:•s ical hc:1lth of the residents in Englewood, a s wl:'IJ as exposur\' to th e ans am! culture .
Environment
• Air Qunlity
• \Xia tcr Usage
• Brownfidds
Culture,;
• SCFD Funding
• Event Ancndancc
• Lil mlt'}' Budget and \' 1s1 r-or s
• Disnctiomuy Culrural Spending by Re side nts
• r\ rr in Public Ph1ces
Com numiry I lq1lrh
• \\;fa(k:1bilit.y
• Bik:ihilit y
• ;\cci:ss Ill health )· foud $
The: GIS Socio-Economic and Cnnsumcr Databa s ~ covers :1 5 mile rn<l1us of U.S. Census block groups around the Ctty
uf Englcwuuc.l. The rnnsult:in1 team will add :1ddJUonal data to this dawba se to include both l 'J90 and 20 JU U.S . Censu ~
Dal :\, and 2012 :\mcril'.an (omn1Uni1y Survey 5.Ycar Estimates. The consultant team will produce a version of the
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Englewood Comprehensive Plan Update
Scope of Work I August 29, 2014
origina l Jntahasc at the hl ock level for th e City of Englewood proper. Data for the City wil l be mapped using UIS in
order to discern signi fi cant <li stril>utional patterns . Loga n Simpson has ex perience compilin g 1.kmogrnphic data fr om
multiple sout"ces tn c r"ente a comprehen sive database. Similar processes were used to inforn1 th e u pdate of the Arvada
;ind Loveland Comprehcn sive Pl;m s .
.-\ G IS Hous in g Tn<licarors Datau;1se will include various artril>uh:s at th e property pnrct'l levcl t;ike n from th e Arapahoe
Cou nty Assessor darnb:1 se and various C ity cl ata b;i ses. Arrr i buce~ coukl .include c1ualit>• gmde, condition, yea r built , owner
v s. re nter occ upied, va lua tio n, s~1nare footage, anJ noncon formities. l11e GJS Housing Database wi ll be used to identify
housing iS$llCS and oppmtunitics in order to crafr strategics designed to address cert:tin geogrnphica l areas of the City .
D ara for the City will be mapped using G IS in ordcr to discern significant distrib11tiom1l pa1rem s.
Ddin·r:rblcs:
• Community Pwlilc Report ancl ~laps
• Community Indicator Snapshut~: Land L:5c & Economic Development; Housing; Trnnsporm1ion; P:1rk s ,
Recreation & Open Space; and Commurliry & Envimnmcnt;il l k a lth
• Sl)cto-economic, Consumer, an d Housing Geod11tab11ses and map;;
lltfcctings:
• Bi -weekly progress calls
• Sraff work se ssion tu review gn>datahascs and 111:1ps
TASK 3: STATE OF THE CITY NEEDS ASSESSMENT AND PRIORITY RECOMMENDATIONS
~ 1 ~l A l l (I~ lltE 111 \ f<Lf't')(<I nrVL I Uf'l ·ff t·n
The data collect ions listed ahovc, along with <1dditiona l information provided h)' the Cit!'· wi ll lie u sed to p rcp~re the
St;irc o[ the Cicy Needs Assessment :ind Priorit y Recommendations Report. This rcporr will serve as the foundation for
the dt"velopmrnt of s trategics des igned to iinplt>men t tlw Coinprt"hcnsivl' Plan goals and o bjectives . The Logan Simpson
team will analyze the colkcti:d data in order to assess the Ciry's s t rcn~1-hs, weaknesses, opportuni ties, and threats. \\!C"
ant icip;1tc that thi ~ wi ll mimi c the brochure Lik e gr~1 phi c duality of the communiry profile sna p shots . 1\ se l of prio ri ty
rccommendatiuos w ill be included .
.\I embers of thl' Logan Simpson tcatn rccentll' t• >ok O\'Cr the Jackson/Teton W}'oming Comprehensive Plan fr o m
another consulting firm nfrer i1 fa iled to gain adop1io11following40 planning cumrnissiun meetings . The original plan
attempted fl) force co1w1:11tiom1I hind u ses on a com m1111 ity with stro ng values. O u r sraff rep laced thi s plan with nnc
hasc:cl nn th e c:ommuni ty 's vi~ion, and developed a series of character di s tri c ts. The result ing compreh ensive plan and 14
sub:ircas were unanimously adopted, and this succes~ h as yielded rhc o pportunity for our staff to assist in d cvelopmc111
nf th eir llln d use cock, ~ housing assessment, :i.nd transportatio n plan ,
\'(le propose to use thi s chnracier district approach with )'OU instead of a traditional future land use m ap. In addition to
looking al the City as a whole , the coosulta111 will analyze specific geogmphi cal areas of the C ity and d c \•e loping
recomrncndauo n s fo r each arC'a. Opportunities wi ll be gro unded in charnc.:ter preservation and plat·cmaki ng , focusing on
Englc:wood's u111yue qualities and as pi ra ti ons . The dt)' wi ll be J iv id cJ int o Character Di stri cts -subareas wi th common
clrnrnc1e ri st 1t·s and goa ls -so that tht• vi sion and opportunities can be spe cifi call y tailored to the activiry centers and
neighbor hoo ds of the commu11 iry. These charnctcr·oricnted opp ort unities w ill form the basis of the futun:
compn::hensivc pla n . \'(le avoid technical jargon :1 nd "planner-csc,'' instt:ad focu sing on h ow to make cl1;1oge work :\t th e
neighborhood level while accomplishing the community 's vision.
We h ave a rcspon ~ihiliry to pres e rve rhe ~ssence and ch:1ra c tcr of wlrnt ma kes eac h place specia l and uni.que . The next
roun d o f lo ng -rnngt: pl:11111ing can s h ape and solidify rhc Ciry's identity a nd protect the desired character of the
comJmini t}' movu1g forward . Working doscl)' with residents and stakeho ld ers, we will identify authentic characteristics
of E nglewood and irs sub· cfo;trict~ -utifo:ing a character-based ;1ppwach to in tcgrn tc:d land use planning.
T a rgt:rt.'d pbn ning ar the n eighborhood ~nd hu ,incss d i ~1rict lcvcl will help the C ity clar ify am.I di:l1n~ the charnctcr of
each subarc:1 in order to prnt1:ct thl' iJentity of the City a ~ a whole. T hese ''Ch11r.i1cter Distric.:t" plans will direct th e form,
7
Englewood Comprehensive Plan Update
Scope of Work I Augu s t 29, 2014
archi tecture and d esign, h o using, 1ransport:11ion. parks a nd o pen s pace and other el e men ts of thl' urban fabri c for e1ch
di s ti nct $til mrca of the community.
The C harac ter District plans, along with the idc ntificatinn of catalyst si te p rojects, will form the basis of the land me
po li cy 1111d implem en rnti on compo nen ts or th e comprd1cn:1iv c plan . Riith c r tha n creating a m:1p or drawings that simply
denote intentions fo r the future, rhc m a p s and g ra ph k> in rhc pbn will focus o n targ eted projects for eac:h d istrict that
cont:rihurc to rhc community's vision .
ft is essential rhar future growth o r cha nge in Englewood serves a purpm c and meets rhe c ommunity's vision . ;\
responsive, ada ptive g ro \vth management program can guide t hi; amoum , ry pc an<l locatiun o f growrh throughout
Englewood, as well as ensure gmwth contri butes lo tht' C ity's dl·sired ch:traclcr, e conomr, im d sustain abili ty.
The s p ecific gco~ra phi ca l an:as inclu<le the following:
A ctii-ily Ct•riter.'>
• C ityCt:ntcr Englewood
• 1-Ji storirnl Downtown Dist 1:ict
• 1\lcdic:al Di strict
• Gateway Dis I ric1 (Broadwar)
• Cherrelyn Oistricr (Broadway)
• Bmokridgc District (Broadway)
• Lighr R.'lil Corridor
• Eva ns r\vc nue Corri dor
• South Platte Riv <:r
• College View lndu srrfo l Arca
Ncig/Jbor/Joocls
• Bak1:r Puk
• C ushing Park /Bish op E lc ment:tf)'
• Bares Loga n Park
• Roman s Park/Charles I. lay Elementary
• Englewood I lig h School/i\liddlc SchM I C ampu s
• Jason Pa rk /i\laddox Elcmcntarr
• Belleview Park/Ch1yton E lemcnlary
• Duncan Park /Chcrrelyn E lem entary
• Centc nn.i a l Park
Us ing the st ructui·c of th e c h;1nu;rer dis tricts, ;ire.i rc:;idcms would he a sknl a t ;1 ~c rie s of small m eeting what c hanges
would be nefit them a nd the cndre community. Thes e will help inform the final recommendations.
Dt>lin-rabll!s:
• St :ttc of the C ity Need s :\ssess m cnt and l'ric1rity Recommendatm n s
• C harac ter District Plans
• Summar y pac ket for distribu11 9n w Ctty Coun cil, b oard s , commissions, and committees
Me eti11gs:
• Bi -wee kly progress calls
• Neig hborhood C hoi1;e;; p11hhc m eetings
• Online s u rvey ti'!.
TASK 4: REVIEW OF CURRENT COMPREHENSIVE PlAN GOALS AND OBJECTIVES AND
RElATED PlANS
•'I l ll~Vl:: f ,tf 01•:' Af W l<L VII:: W
8
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Englewood Comprehensive Plan Update
Scope of Work I August 29, 2014
Log:io Simpson will create an invtn tury o f releva nt city polides, plans, $land:1rtls, and guidel in es . The exis tfog pl<1n s,
go:t ls, an<l o bjec ti ves prepared hr the ciry, county, sta te , or pri,•:ttc c nriries will be assessed to un<le rst:i nd how
Englewood's poli cit;s upcrntc t o day a nd what needs a11d contlicts exist under c urrent regulatory guidance in rdation to
expected fu h.1 rc demands. The consul tant ttam will make recommendations to sttt"rt gthcn each topical goR I nnd
objective nre;1, t:1k1ng s pcti:t l care to make s uggestions to s trengthen aclive liv ing, hea lthy liv ing, and sustainahil ity.
Building o ff t htc p mposcd edits from the City Council Comp rehensive Pl:u1 Re"iew Committee, the Logan Simpson
te:tm wiU compile 1hc above invt;ntory, n~v icws and as.scssmcnts o f existing pl nns, and srnkeholde r fccJback. This
in fom1:ltion will be used lo highlight th1: big issues and prese nt recommended ch anges to ki:y Cit)' Hoards, commissions ,
and City Council. New p lan elcmcnrs will b e d etermined for inclusion in the pla n dcvdopmcnt, plan clement Hra tcgie s,
and m1plt.>mc11t:Hio11 wo.rk program in Tnsk S .. \survey ttml will be used to invl.'11tory policies that need to Le <l rop p cd,
c hanged, ur added.
Delkcmblcs:
• Audit of current comprehens ive plan goals a nd objective~ rckv;incc matrii; .relat ive ro the iss ues, prelimina ry
vis ion, and are~s of fonirc concern
• Pn:scntation of rccomnwndcd c hanges
t.lec.•tit1gs:
• Bi -weekly progress ca ll s
• Pfonni1tg Commi ssion a nd Citr Council Prcscntauons
• C ity Boards Presentations
TASK 5: PlAN ELEMENT STRATEGIES ANO IMPLEMENTATION WORK PROGRAM
'1 1 s 11-</\ I L(il[::., !..i.l'm IM I I. H'fet·n I\ TIOr~ m ( \)I tl·1~ I Ht/\ l IU!·b
Thi~ cnicial task Is the bridge between vision and implernc11t;t1ion, during whic h the p ro ject te;1m will dl•fine va rious
~'.om p um:n ts o f the plan rh;ll w ill requirr :tctions and define strnleg1cs to employ in their implementation . Cornpc nenrs
that rc,1uirc funding and coordination will be idcutific J . Strategics wi ll include programs :tnd ac tfon items that the City
curn:ntly pro~·ides the community, as well :1s ~u ggcHed addirion;tl s tmLcgies for C ity Counc;il conside ration. The
sugges ted srrnicgies will be caregorized as m{)dest, mmlcrnrc, and aggressive. Tht' consult1mt will present the various
level s of srrategies as o ptions for Ciry Council ro consider for muving the City forw:1rd O\"er the next n:n years . r\ join1
workshop will be held with City Council and Planning Comnussion to re\•ic:w suggested strategies. The workshop will be
intcr.ic tiw anJ require di;1l ogue between m embers of the council and commission.
To guide economic dcvd o pmcol in the communJty, we will drnw from uur trends a nal i·s i ~ and local marker d:tta to
provide strategies to help artrnct investment to each o f the Ci ty's ;1Clivil)• centers. \'Ve will d efine a market niche thai is
unique tu each activi ty t·cntcr and connects to ch c ovt:rnll visiun of E ngkwood. Business recruitment and .retention
srrntcgies will be tailort·d Cur each activity center alo ng wirh economic development tactics to help guide implcmcntat1on
uvcr short anti lo ng term planni ng horizons. \Ve will also provide s uggestions to c rea te new and/or stre ng th en existing
public/private partners hips to enhance c<.:onc)m.k devcl upmcnt invcscmcnt in cac;h llctivit:y center. Fin:indng strareg1cs
w ill he ido;ntified to help lcvcrag<· c ity resources ~ r imp rovemcncs ;ind to susta in lu ng term ccononiic development
progrn mming.
St r:itegies and the plan will he tied to council s trategic goals an <l bucl~ct. An annual work plan will be crcmcd to c n sur~
that the comprehensive pla11 .is cl os ely linked to the c ity's budget and capil;\l 1mpmvcm cn t plan (CI P). The adaptive
m:tn<tgctrn:nt ac ti on pl:in wi U include a serie s o f checks :and hal;mccs to m:ike sure th a t the plan is implemented in a way
tlrnt contri bt1tes to the vtsion for Engkwood. Tlus will include recommended indk:irors and corrective atlio ns , if
necessary. I n devcloprng strategic s , successful models fr om o ther communities, cost ·effcctivcness, and implcmentarion
bes t pr:tcLiees will all be considcrcd.
,\ 1actkal urbanism event th:tt brings people out of the trad1t1on meeting spKt:$ wi ll he u~e<l to dcmonsrm1c and co ll ect
fcctlb tK k frnm the publi c on s trategies mid implemcntalion.
Delivt:n 1b/es:
9
Englewood Comprehensive Phm Update
Scope of Work I Augus t 29, 2014
• Plan element st rateg ic s and impkmcniation work program, including ;1 mat rix of rccnm1m:ndations p h>1sed by
timing
• Publi c eve nt notification mate rial s foe Ci ty di stribu tio n
• Public l'Vc nt materials, facilit atio n, and summary
• Online survey # 3
Meetings:
• Bi -wecklr pmgrc~,; ca lls
• Tactical Urbanism Event
• Staff Work Sessio n
• Pl~nnin g Commission/City Cuunciljuint Work Session t/2
TASK 6: PREPARE DRAFT COMPREHENSIVE PLAN UPDATE DOCUMENT FOR FINAL
ADOPTION
(, 1 llHAI I l 'l i\11
Tlw resulting plan will be hi ghl y grap hic :1nd embody the v:\lu cs of th l' community. The pl:tn may cent er on the prim:1ry
values by character dis tricts and resulting irnplememation tied to th e City 's CI P. The public and stakeholders wi ll be
g-ivcn !In opportunity 10 review and providc frcdback on the dra ft plan during a mo nth -lung review period. Comments
will be reviewed and incorporated in thc fim1l revi sio ns to th e ph111. The draft pl:tn will be 11v:lifable onl in e for download
hy interested p arties.
Sta ff and the consultmr tei1m will present th e fi11 ;1 ) draft plan to rhe Planning and Zon in g Commiss ion and City Council
in for mal sn1dy session s. The consultant will make revi~ions or edits to the draft plan at the direct io n of rh e C ity project
m:u1agc£. Thc finali zed plan documt·nt will then be adv~1nccd thcough ~1 traditional publi c hearing and rcsolt1t.ion process.
The final pbn will h e ava ilable online fnr download by interested parties.
Ddii·t·mbles:
• Dn1ft comprehe nsive plan, including graphics/renderings , maps, and ap pend ices
• Pn:se nta ti ons on drafl plan
• Rev is ed fin al comprchcnsivc plan
11/cctings:
• Bi wee kly progress calls
• Planning Commission and C it y Cou11ci l Study Scssiom
• l'hinn ing Commission an d City Council Hearings
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1.2 Stall K1ck-<lfl Workshop
1.3 Community Engagement Plan
1.4 Brandino and Website
1.5 Stakeholder Interviews
&i. PC/CC
• Publi cEvcm * Staff won.session
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1st 1287:!1
'" 10 1a1··-n,:500 •• .. 231SD7S , .. ,, .. ,,. ,,. .. 30 151TS4)
Community Development Projects:
Labor Hours Allocated and Proposed Bid Amounts
Comprehensive Plan Update Hours Allocated Logan
and Proposed Bid Amounts Simpson
Total Labor Hours 1385
Proposal Bid Amount $149,919 .00
Light Rail Corridor Next Steps Study Hours
Allocated and Proposed Bid Amounts
Total Hours
Proposal Bid Amount
Walk and Wheel Master Plan and Program
Hours Allocated and Proposed Bid Amounts
Total Hours
Proposal Bid Amount
URS
2138
$289,396
Fehrand
Peers
743
$100,000
Clarion Orion
1280 1004
$149,359 .00 $149,640 .00
Fehrand
Peers
1870
$288,974
Steer Davies
Gleave
761
$99,988
Parsons
Brinkerhoff
1891
$289,890
ov
Consulting
904
$99,954
lie.iii
II r! 1iJ
i1e-v
Felberg
Holt Ulevig
2115
$289,876
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COUNCIL COMMUNICATION
Date: Agenda Item: Subject:
September 1 5, 2014 11 c iv Professional Services Agreement for the Englewood Light
Rail Corridor Next Steps Study: Felsburg Holt and Ullevig
Initiated By: Staff Source:
Community Development John Voboril, Long Range Planner II
PREVIOUS COUNCIL ACTION
At the July 8, 2013 City Council study session, Community Development informed Council of the Denver
Regional Council of Governments (DRCOG) call for applications for 2014-15 Station Area Master Plan
projects, and received permission to apply for a "Next Steps Study" as a follow up to the recently
completed Englewood Corridor Light Rail Station Area Master Plan. As the grant deadline was fast
approaching in September of 2013, DRCOG asked Englewood to partner with the City of Sheridan in order
to include the study of station enhancements and connections from the west. At the April 21, 2014 City
Council study session, Community Development informed Council concerning the details of the
partnership with the City of Sheridan, and the upcoming Intergovernmental Agreements between
Englewood and the Regional Transportation District (RTD) and between the City of Englewood and the City
of Sheridan. IGA's with RTD and the City of Sheridan were approved on first reading (May 19, 2014), and
second reading (June 2, 2014) .
RECOMMENDED ACTION
Community Development is requesting Council approve, by motion, a contract for professional services to
conduct the Englewood Light Rail Corridor Next Steps Study, in the amount of $289,876. Staff recommends
awarding the contract to Felsburg Holt and Ullevig, the firm chosen through a competitive Request for
Proposal (RFP) process .
BACKGROUND AND ANALYSIS
Community Development released an RFP for the Englewood Light Rail Corridor Next Steps Study on June
19, 2014. A total of four consulting teams submitted proposals for the Next Steps Study. Each proposal
was rated by Community Development staff in terms of project methodology, firm and staff profiles,
capacity to assume risk, references, and fee schedule ur consulting teams were interviewed by
Community Development staff members, as well ssistant ity Manager Mike Flaherty, and Sheridan
City Planner Jennifer Henninger.
Felsburg Holt and Ullevig (FHU), a local transportation planning firm, was the top scoring consulting team
in the RFP review phase. The FHU proposal offered the most labor consultant labor hours for the contract
budget amount, and the FH U personnel, task, and fee schedule most closely met the needs of the City as
outlined in the RFP scope. The selection committee's initial findings were confirmed in the interview
process .
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FINANCIAL IMPACT
DRCOG has committed $250,000 of Congestion Mitigation and Air Quality (CMAQ) funds to the
Englewood Light Rail Corridor Next Steps Study, with a requirement for a minimum local match of twenty
percent of the total project cost. The Englewood local match for this project ($40,000) is budgeted in the
Public Improvement Fund. An additional $10,000 local match of in-kind staff project management time will
be tracked based on hourly salary compensation and contributed to the project. The City of Sheridan is
contributing $10,000 in local matching funds in order to participate in the project.
LIST OF ATTACHMENTS
Professional Services Agreement Englewood Light Rail Corridor Next Steps Study -Felsburg Holt and
Ullevig
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PROFESSIONAL SERVICES AGREEMENT
ENGLEWOOD LIGHT RAIL CORRIDOR NEXT STEPS STUDY
This Professional Services Agreement (the "Agreement") is made as of this day of
_____ , 20_, (the "Effective Date") by and between Felsburg Holt and Ullevig, a Colorado-
based corporation ("Consultant"), and The City of Englewood, Colorado, a municipal corporation
organized under the laws of the State of Colorado .("City'').
City desires that Consultant, from time to time, provide certain consulting services, systems
integration services, data conversion services, training services, and/or related services as described
herein, and Consultant desires to perform such services on behalf of City on the terms and conditions
set forth herein.
In consideration of the foregoing and the terms hereinafter set forth and other good and valuable
consideration, the receipt and sufficiency of which are hereby acknowledged, the parties hereto,
intending to be legally bound, agree as follows:
1. Definitions. The terms set forth below
shall be defined as follows:
(a) "Intellectual Property Rights"
shall mean any and all (by whatever name or
term known or designated) tangible and
intangible and now known or hereafter existing
(1) rights associate with works of authorship
throughout the universe, including but not
limited to copyrights, moral rights, and mask-
works, (2) trademark and trade name rights
and similar rights, (3) trade secret rights, (4)
patents, designs, algorithms and other
industrial property rights, (5) all other
intellectual and industrial property rights (of
every kind and nature throughout the universe
and however designated) (including logos,
"rental" rights and rights to remuneration),
whether arising by operation of law, contract,
license, or otherwise, and (6) all registrations,
initial applications, renewals, extensions,
continuations, divisions or reissues hereof now
or hereafter in force (including any rights in any
of the foregoing).
(b) 'Work Product'' shall mean all
patents, patent applications, inventions,
designs, mask works, processes,
methodologies, copyrights and copyrightable
works, trade secrets including confidential
information, data, designs, manuals, training
materials and documentation, formulas,
knowledge of manufacturing processes,
methods, prices, financial and accounting data,
products and product specifications and all
other Intellectual Property Rights created,
developed or prepared, documented and/or
delivered by Consultant, pursuant to the
provision of the Services.
2. Statements of Work. During the term
hereof and subject to the terms and conditions
contained herein, Consultant agrees to
provide, on an as requested basis, the
consulting services, systems integration
services, data conversion services, training
services, and related services (the "Services")
as further described in Schedule A (the
"Statement of Work") for City, and in such
additional Statements of Work as may be
executed by each of the parties hereto from
time to time pursuant to this Agreement. Each
Statement of Work shall specify the scope of
work, specifications, basis of compensation
and payment schedule, estimated length of
time required to complete each Statement of
Work, including the estimated start/finish
dates, and other relevant information and shall
incorporate all terms and conditions contained
in this Agreement
3. Performance of Services.
(a) Performance. Consultant shall
perform the Services necessary to complete all
projects outlined in a Statement of Work in a
timely and professional manner consistent with
the specifications, if any, set forth in the
Statement of Work, and in accordance with
industry standards. Consultant agrees to
exercise the highest degree of professionalism,
and to utilize its expertise and creative talents
in completing the projects outlined in a
Statement of Work.
(b) Delays. Consultant agrees to
notify City promptly of any factor, occurrence,
or event coming to its attention that may affect
Consultant's ability to meet the requirements of
the Agreement, or that is likely to occasion any
material delay in completion of the projects
contemplated by this Agreement or any
Statement of Work. Such notice shall be given
in the event of any loss or reassignment of key
employees, threat of strike, or major equipment
failure. Time is expressly made of the essence
with respect to each and every term and
provision of this Agreement.
(c) Discrepancies. If anything
necessary for the clear understanding of the
Services has been omitted from the Agreement
specifications or it appears that various
instructions are in conflict, Vendor shall secure
written instructions from City's project director
before proceeding with the performance of the
Services affected by such omissions or
discrepancies.
4. Invoices and Payment. Unless
otherwise provided in a Statement of Work,
City shall pay the amounts agreed to in a
Statement of Work within thirty (30) days
following the acceptance by City of the work
called for in a Statement of Work by City.
Acceptance procedures shall be outlined in the
Statement of Work. If City disputes all or any
portion of an invoice for charges, then City
shall pay the undisputed portion of the invoice
by the due date and shall provide the following
notification with respect to the disputed portion
of the invoice. City shall notify Consultant as
soon as possible of the specific amount
disputed and shall provide reasonable detail as
to the basis for the dispute. The parties shall
then attempt to resolve the disputed portion of
such invoice as soon as possible. Upon
resolution of the disputed portion, City shall
pay to Consultant the resolved amount.
5. Taxes. City is not subject to
taxation. No federal or other taxes (excise,
luxury, transportation, sales, etc.) shall be
included in quoted prices. City shall not be
obligated to pay or reimburse Consultant for
any taxes attributable to the sale of any
Services which are imposed on or measured
by net or gross income, capital, net worth,
franchise, privilege, any other taxes, or
assessments, nor any of the foregoing
imposed on or payable by Consultant. Upon
written notification by City and subsequent
verification by Consultant, Consultant shall
reimburse or credit, as applicable, City in a
timely manner, for any and all taxes
erroneously paid by City. City shall provide
Consultant with, and Consultant shall accept in
good faith, resale, direct pay, or other
exemption certificates, as applicable.
6. Out of Pocket Expenses. Consultant
shall be reimbursed only for expenses which
are expressly provided for in a Statement of
Work or which have been approved in advance
in writing by City, provided Consultant has
furnished such documentation for authorized
expenses as City may reasonably request.
7. Audits. Consultant shall provide such
employees and independent auditors and
inspectors as City may designate with
reasonable access to all sites from which
Services are performed for the purposes of
performing audits or inspections of
Consultant's operations and compliance with
this Agreement. Consultant shall provide such
auditors and inspectors any reasonable
assistance that they may require. Such audits
shall be conducted in such a way so that the
Services or services to any other customer of
Consultant are not impacted adversely.
8. Term and Termination. The term of
this Agreement shall commence on the
Effective Date and shall continue unless this
Agreement is terminated as provided in this
Section 8.
(a) Convenience. City may, without
cause and without penalty, terminate the
provision of Services under any or all
Statements of Work upon thirty (30) days prior
written notice. Upon such termination, City
• •
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• shall, upon receipt of an invoice from understood and agreed that this Agreement
Consultant, pay Consultant for Services does not create a multi-fiscal year direct or
•
actually rendered prior to the effective date of indirect debt or obligation within the meaning of
such termination. Charges will be based on TABOR and, notwithstanding anything in this
time expended for all incomplete tasks as Agreement to the contrary, all payment
listed in the applicable Statement of Work, and obligations of City are expressly dependent
----~~.ga-e-s-----____,,a ... 1,,...i1df-rc...-o.n11ridi+iitilnon;11e01d+Trupniomr..--1 ttttmrerrc...-umnmtirnrmniinngn----------
•
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indicated in the applicable Statement of Work. availability of funds beyond the term of City's
(b) No Outstanding Statements of
Work. Either party may terminate this
Agreement by providing the other party with at
least thirty (30) days prior written notice of
termination if there are no outstanding
Statements of Work.
(c) Material Breach. If either party
materially defaults in the performance of any
term of a Statement of Work or this Agreement
with respect to a specific Statement of Work
(other than by nonpayment) and does not
substantially cure such default within thirty (30)
days after receiving written notice of such
default, then the non-defaulting party may
terminate this Agreement or any or all
outstanding Statements of Work by providing
ten (10) days prior written notice of termination
to the defaulting party.
(d) Bankruptcy or Insolvency. Either
party may terminate this Agreement effective
upon written notice stating its intention to
terminate in the event the other party: (1)
makes a general assignment of all or
substantially all of its assets for the benefit of
its creditors; (2) applies for, consents to, or
acquiesces in the appointment of a receiver,
trustee, custodian, or liquidator for its business
or all or substantially all of its assets; (3) files,
or consents to or acquiesces in, a petition
seeking relief or reorganization under any
bankruptcy or insolvency laws; or (4) files a
petition seeking relief or reorganization under
any bankruptcy or insolvency laws is filed
against that other party and is not dismissed
within sixty (60) days after it was filed.
(e) TABOR. The parties understand
and acknowledge that each party is subject to
Article X, § 20 of the Colorado Constitution
("TABOR"). The parties do not intend to
violate the terms and requirements of TABOR
by the execution of this Agreement. It is
current fiscal period ending upon the next
succeeding December 31. Financial
obligations of City payable after the current
fiscal year are contingent upon funds for that
purpose being appropriated, budgeted, and
otherwise made available in accordance with
the rules, regulations, and resolutions of City
and applicable law. Upon the failure to
appropriate such funds, this Agreement shall
be deemed terminated.
(f) Return of Property. Upon
termination of this Agreement, both parties
agree to return to the other all property
(including any Confidential Information, as
defined in Section 11) of the other party that it
may have in its possession or control.
9. City Obligations. City will provide
timely access to City personnel, systems and
information required for Consultant to perform
its obligations hereunder. City shall provide to
Consultant's employees performing its
obligations hereunder at City's premises,
without charge, a reasonable work
environment in compliance with all applicable
laws and regulations, including office space,
furniture, telephone service, and reproduction,
computer, facsimile, secretarial and other
necessary equipment, supplies, and services.
With respect to all third party hardware or
software operated by or on behalf of City, City
shall, at no expense to Consultant, obtain all
consents, licenses and sublicenses necessary
for Consultant to perform under the Statements
of Work and shall pay any fees or other costs
associated with obtaining such consents,
licenses and sublicenses.
10. Staff. Consultant is an independent
consultant and neither Consultant nor
Consultant's staff is, or shall be deemed to be
employed by City. City is hereby contracting
with Consultant for the Services described in a
Statement of Work and Consultant reserves
the right to determine the method, manner and
means by which the Services will be
pertormed. The Services shall be pertormed by
Consultant or Consultant's staff, and City shall
not be required to hire, supervise or pay any
assistants to help Consultant pertorm the
Services under this Agreement. Except to the
extent that Consultant's work must be
pertormed on or with City's computers or City's
existing software, all materials used in
providing the Services shall be provided by
Consultant.
11. Confidential Information.
(a) Obligations. Each party hereto
may receive from the other party information
which relates to the other party's business,
research, development, trade secrets or
business affairs ("Confidential Information").
Subject to the provisions and exceptions set
forth in the Colorado Open Records Act, CRS
Section 24-72-101 et. seq., each party shall
protect all Confidential Information of the other
party with the same degree of care as it uses
to avoid unauthorized use, disclosure,
publication or dissemination of its own
confidential information of a similar nature, but
in no event less than a reasonable degree of
care. Without limiting the generality of the
foregoing, each party hereto agrees not to
disclose or permit any other person or entity
access to the other party's Confidential
Information except such disclosure or access
shall be permitted to an employee, agent,
representative or independent consultant of
such party requiring access to the same in
order to perform his or her employment or
services. Each party shall insure that their
employees, agents, representatives, and
independent consultants are advised of the
confidential nature of the Confidential
Information and are precluded from taking any
action prohibited under this Section 11.
Further, each party agrees not to alter or
remove any identification, copyright or other
proprietary rights notice which indicates the
ownership of any part of such Confidential
Information by the other party. A party hereto
shall undertake to immediately notify the other
party in writing of all circumstances
surrounding any possession, use or knowledge
of Confidential Information at any location O'r by
any person or entity other than those
authorized by this Agreement.
Notwithstanding the foregoing, nothing in this
Agreement shall restrict either party with
respect to information or data identical or
similar to that contained in the Confidential
Information of the other party but which (1) that
party rightfully possessed before it received
such information from the other as evidenced
by written documentation; (2) subsequently
becomes publicly available through no fault of
that party; (3) is subsequently furnished
rightfully to that party by a third party without
restrictions on use or disclosure; or (4) is
required to be disclosed by law, provided that
the disclosing party will exercise reasonable
efforts to notify the other party prior to
disclosure.
(b) Know-How. For the avoidance of
doubt neither City nor Consultant shall be
prevented from making use of know-how and
principles learned or experience gained of a
non-proprietary and non-confidential nature.
(c) Remedies. Each of the parties
hereto agree that if any of them, their officers,
employees or anyone obtaining access to the
Confidential Information of the other party by,
through or under them, breaches any provision
of this Section 11, the non-breaching party
shall be entitled to an accounting and
repayment of all profits, compensation,
commissions, remunerations and benefits
which the breaching party, its officers or
employees directly or indirectly realize or may
realize as a result of or growing out of, or in
connection with any such breach. In addition
to, and not in limitation of the foregoing, in the
event of any breach of this Section 11, the
parties agree that the non-breaching party will
suffer irreparable harm and that the total
amount of monetary damages for any such
injury to the non-breaching party arising from a
violation of this Section 11 would be impossible
to calculate and would therefore be an
inadequate remedy at law. Accordingly, the
parties agree that the non-breaching party
shall be entitled to temporary and permanent
injunctive relief against the breaching party, its
officers or employees and such other rights
and remedies to which the non-breaching party
may be entitled to at law, in equity or under this
• •
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• Agreement for any violation of this Section 11.
The provisions of this Section 11 shall survive
•
the expiration or termination of this Agreement
for any reason.
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12. Project Managers. Each party shall
designate one of its employees to be its
Project Manager under each Statement of
Work, who shall act for that party on all matters
under the Statement of Work. Each party shall
notify the other in writing of any replacement of
a Project Manager. The Project Managers for
each Statement of Work shall meet as often as
either one requests to review the status of the
Statement of Work.
13. Warranties.
(a) Authority. Consultant represents
and warrants that: (1) Consultant has the full
corporate right, power and authority to enter
into this Agreement and to perform the acts
required of it hereunder; (2) the execution of
this Agreement by Consultant, and the
performance by Consultant of its obligations
and duties hereunder, do not and will not
violate any agreement to which Consultant is a
party or by which it is otherwise bound under
any applicable law, rule or regulation; (3) when
executed and delivered by Consultant, this
Agreement will constit~te the legal, valid and
binding obligation of such party, enforceable
against such party in accordance with its
terms; and (4) Consultant acknowledges that
City makes no representations, warranties or
agreements related to the subject matter
hereof that are not expressly provided for in
this Agreement
(b) Service Warranty. Consultant
warrants that its employees and consultants
shall have sufficient skill, knowledge, and
training to perform Services and that the
Services shall be performed in a professional
and workmanlike manner.
(c) Personnel. Unless a specific
number of employees is set forth in the
Statement of Work, Consultant warrants it will
provide sufficient employees to complete the
Services ordered within the applicable time
frames established pursuant to this Agreement
or as set forth in the Statement of Work.
During the course of performance of Services,
City may, for any or no reason, request
replacement of an employee or a proposed
employee. In such event, Consultant shall,
within five (5) working days of receipt of such
request from City, provide a substitute
employee of sufficient skill, knowledge, and
training to perform the applicable Services.
Consultant shall require employees providing
Services at a City location to comply with
applicable City security and safety regulations
and policies.
(d) Compensation and Benefits.
Consultant shall provide for and pay the
compensation of employees and shall pay all
taxes, contributions, and benefits (such as, but
not limited to, workers' compensation benefits)
which an employer is required to pay relating
to the employment of employees. City shall not
be liable to Consultant or to any employee for
Consultant's failure to perform its
compensation, benefit, or tax obligations.
Consultant shall indemnify, defend and hold
City harmless from and against all such taxes,
contributions and benefits and will comply with
all associated governmental regulations,
including the filing of all necessary reports and
returns.
14. Indemnification.
(a) Consultant Indemnification.
Consultant shall indemnify, defend and hold
harmless City, its directors, officers,
employees, and agents and the heirs,
executors, successors, and permitted assigns
of any of the foregoing (the "City lndemnitees")
from and against all losses, claims, obligations,
demands, assessments, fines and penalties
(whether civil or criminal), liabilities, expenses
and costs (including reasonable fees and
disbursements of legal counsel and
accountants), bodily and other personal
injuries, damage to tangible property, and
other damages, of any kind or nature, suffered
or incurred by a City lndemnitee directly or
indirectly arising from or related to: (1) any
negligent or intentional act or omission by
Consultant or its representatives in the
performance of Consultant's obligations under
this Agreement, or (2) any material breach in a
representation, warranty, covenant or
obligation of Consultant contained in this
Agreement.
(b) Infringement. Consultant will
indemnify, defend, and hold City harmless from
all lndemnifiable Losses arising from any third
party claims that any Work Product or
methodology supplied by Consultant infringes
or misappropriates any Intellectual Property
rights of any third party; provided, however,
that the foregoing indemnification obligation
shall not apply to any alleged infringement or
misappropriation based on: (1) use of the
Work Product in combination with products or
services not provided by Consultant to the
extent that such infringement or
misappropriation would have been avoided if
such other products or services had not been
used; (2) any modification or enhancement to
the Work Product made by City or anyone
other than Consultant or its sub-consultants; or
(3) use of the Work Product other than as
permitted under this Agreement.
(c) Indemnification Procedures. Not
with-standing anything else contained in this
Agreement, no obligation to indemnify which is
set forth in this Section 14 shall apply unless
the party claiming indemnification notifies the
other party as soon as practicable to avoid any
prejudice in the claim, suit or proceeding of any
matters in respect of which the indemnity may
apply and of which the notifying party has
knowledge and gives the other party the
opportunity to control the response thereto and
the defense thereof; provided, however, that
the party claiming indemnification shall have
the right to participate in any legal proceedings
to contest and defend a claim for
indemnification involving a third party and to be
represented by its own attorneys, all at such
party's cost and expense; provided further,
however, that no settlement or compromise of
an asserted third-party claim other than the
payment/money may be made without the prior
written consent of the party claiming
indemnification.
(d) Immunity. City, its officers, and its
employees, are relying on, and do not waive or
intend to waive by any provision of this
Agreement, the monetary limitations or any
other rights, immunities, and protections
provided by the Colorado Governmental
Immunity Act, C.R.S. 24-10-101 et seq., as
from time to time amended, or otherwise
available to City, its officers, or its employees.
15. Insurance.
(a) Requirements. Consultant agrees
to keep in full force and effect and maintain at
its sole cost and expense the following policies
of insurance during the term of this Agreement:
(1) The Consultant shall comply
with the Workers' Compensation Act of
Colorado and shall provide compensation
insurance to protect the City from and against
any and all Workers' Compensation claims
arising from performance of the work under
this contract. Workers' Compensation
insurance must cover obligations imposed by
applicable laws for any employee engaged in
the performance of work under this contract, as
well as the Employers' Liability within the
minimum statutory limits.
(2) Commercial General Liability
Insurance and auto liability insurance
(including contractual liability insurance)
providing coverage for bodily injury and
property damage with a combined single limit
of not less than two million dollars ($2,000,000)
per occurrence.
(3) Professional Liability/Errors and
Omissions Insurance covering acts, errors and
omissions arising out of Consultant's
operations or Services in an amount not less
than one million dollars ($1,000,000) per
occurrence.
(4) Umbrella Insurance policy in an
amount not less than four million dollars
($4,000,000) per occurrence.
(b) Approved Companies. All such
insurance shall be procured with such
insurance companies of good standing,
permitted to do business in the country, state
or territory where the Services are being
performed.
(c) Certificates. Consultant shall
provide City with certificates of insurance
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• 'd . 1· . h h' S . 1 ev1 enc1ng comp 1ance wit t 1s ect1on 5
(including evidence of renewal of insurance)
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signed by authorized representatives of the
respective carriers for each year that this
Agreement is in effect. Certificates of
insurance will list the City of Englewood as an
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additional insured. Each certificate of
insurance shall provide that the issuing
company shall not cancel, reduce, or otherwise
materially change the insurance afforded under
the above policies unless thirty (30) days'
notice of such cancellation, reduction or
material change has been provided to City.
16. Rights in Work Product.
(a) Generally. Except as specifically
agreed to the contrary in any Statement of
Work, all Intellectual Property Rights in and to
the Work Product produced or provided by
Consultant under any Statement of Work shall
remain the property of Consultant. With
respect to the Work Product, Consultant
unconditionally and irrevocably grants to City
during the term of such Intellectual Property
Rights, a non-exclusive, irrevocable, perpetual,
worldwide, fully paid and royalty-free license,
to reproduce, create derivative works of,
distribute, publicly perform and publicly display
by all means now known or later developed,
such Intellectual property Rights.
(b) Know-How. Notwithstanding
anything to the contrary herein, each party and
its respective personnel and consultants shall
be free to use and employ its and their general
skills, know-how, and expertise, and to use,
disclose, and employ any generalized ideas,
concepts, know-how, methods, techniques, or
skills gained or learned during the course of
any assignment, so long as it or they acquire
and apply such information without disclosure
of any Confidential Information of the other
party.
17. Relationship of Parties. Consultant is
acting only as an independent consultant and
does not undertake, by this Agreement, any
Statement of Work or otherwise, to perform
any obligation of City, whether regulatory or
contractual, or to assume any responsibility for
City's business or operations. Neither party
shall act or represent itself, directly or by
implication, as an agent of the other, except as
expressly authorized in a Statement of Work.
18. Complete Agreement. This
Agreement contains the entire agreement
between the parties hereto with respect to the
matters covered herein. ·
19. Applicable Law. Consultant shall
comply with all applicable laws in performing
Services but shall be held harmless for
violation of any governmental procurement
regulation to which it may be subject but to
which reference is not made in the applicable
Statement of Work. This Agreement shall be
construed in accordance with the laws of the
State of Colorado. Any action or proceeding
brought to interpret or enforce the provisions of
this Agreement shall be brought before the
state or federal court situated in Arapahoe
County, Colorado and each party hereto
consents to jurisdiction and venue before such
courts.
20. Scope of Agreement. If the scope of
any provisions of this Agreement is too broad
in any respect whatsoever to permit
enforcement to its fullest extent, then such
provision shall be enforced to the maximum
extent permitted by law, and the parties hereto
consent to and agree that such scope may be
judicially modified accordingly and that the
whole of such provision of this Agreement shall
not thereby fail, but that the scope of such
provision shall be curtailed only to the extent
necessary to conform to law.
21. Additional Work. After receipt of a
Statement of Work, City, with Consultant's
consent, may request Consultant to undertake
additional work with respect to such Statement
of Work. In such event, City and Consultant
shall execute an addendum to the Statement
of Work specifying such additional work and
the compensation to be paid to Consultant for
such additional work.
22. Sub-consultants. Consultant may not
subcontract any of the Services to be provided
hereunder without the prior written consent of
City. In the event of any permitted
subcontracting, the agreement with such third
party shall provide that, with respect to the
subcontracted work, such sub-consultant shall
be subject to all of the obligations of
Consultant specified in this Agreement.
23. Notices. Any notice provided pursuant
to this Agreement shall be in writing to the
parties at the addresses set forth below and
shall be deemed given (1) if by hand delivery,
upon receipt thereof, (2) three (3) days after
deposit in the United States mails, postage
prepaid, certified mail, return receipt requested
or (3) one (1) day after deposit with a
nationally-recognized overnight courier,
specifying overnight priority delivery. Either
party may change its address for purposes of
this Agreement at any time by giving written
notice of such change to the other party
hereto.
24. Assignment. This Agreement may not
be assigned by Consultant without the prior
written consent of City. Except for the
prohibition of an assignment contained in the
preceding sentence, this Agreement shall be
binding upon and inure to the benefit of the
heirs, successors and assigns of the parties
hereto.
25. Third Party Beneficiaries. This
Agreement is entered into solely for the benefit
of the parties hereto and shall not confer any
rights upon any person or entity not a party to
this Agreement.
26. Headings. The section headings in
this Agreement are solely for convenience and
shall not be considered in its interpretation.
The recitals set forth on the first page of this
Agreement are incorporated into the body of
this Agreement. The exhibits referred to
throughout this Agreement and any Statement
of Work prepared in conformance with this
Agreement are incorporated into this
Agreement.
27. Waiver. The failure of either party at
any time to require performance by the other
party of any provision of this Agreement shall
not effect in any way the full right to require
such performance at any subsequent time; nor
shall the waiver by either party of a breach of
any provision of this Agreement be taken or
held to be a waiver of the provision itself.
28. Force Majeure. If performance by
Consultant of any service or obligation under
this Agreement is prevented, restricted,
delayed or interfered with by reason of labor
disputes, strikes, acts of God, floods, lightning,
severe weather, shortages of materials,
rationing, utility or communications failures,
earthquakes, war, revolution, civil commotion,
acts of public enemies, blockade, embargo or
any law, order, proclamation, regulation,
ordinance, demand or requirement having
legal effect of any governmental or judicial
authority or representative of any such
government, or any other act whether similar
or dissimilar to those referred to in this clause,
which are beyond the reasonable control of
Consultant, then Consultant shall be excused
from such performance to the extent of such
prevention, restriction, delay or interference. If
the period of such delay exceeds thirty (30)
days, City may, without liability, terminate the
affected Statement of Work(s) upon written
notice to Consultant.
29. Time of Performance. Time is
expressly made of the essence with respect to
each and every term and provision of this
Agreement.
30. Permits. Consultant shall at its own
expense secure any and all licenses, permits
or certificates that may be required by any
federal, state or local statute, ordinance or
regulation for the performance of the Services
under the Agreement. Consultant shall also
comply with the provisions of all Applicable
Laws in performing the Services under the
Agreement. At its own expense and at no cost
to City, Consultant shall make any change,
alteration or modification that may be
necessary to comply with any Applicable Laws
that Consultant failed to comply with at the
time of performance of the Services.
31. Media Releases. Except for any
announcement intended solely for internal
distribution by Consultant or any disclosure
required by legal, accounting, or regulatory
requirements beyond the reasonable control of
Consultant, all media releases, public
announcements, or public disclosures
(including, but not limited to, promotional or
marketing material) by Consultant or its
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• employees or agents relating to this
Agreement or its subject matter, or including
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the name, trade mark, or symbol of City, shall
be coordinated with and approved in writing by
City prior to the release thereof. Consultant
•
•
shall not represent directly or indirectly that any
Services provided by Consultant to City has
been approved or endorsed by City or include
the name, trade mark, or symbol of City on a
list of Consultant's customers without City's
express written consent.
32. Nonexclusive Market and Purchase
Rights. It is expressly understood and agreed
that this Agreement does not grant to
Consultant an exclusive right to provide to City
any or all of the Services and shall not prevent
City from acquiring from other suppliers
services similar to the Services. Consultant
agrees that acquisitions by City pursuant to
this Agreement shall neither restrict the right of
City to cease acquiring nor require City to
continue any level of such acquisitions.
Estimates or forecasts furnished by City to
Consultant prior to or during the term of this
Agreement shall not constitute commitments.
33. Survival. The provisions of Sections 5,
8(g), 10, 11, 13, 14, 16, 17, 19, 23, 25 and 31
shall survive any expiration or termination for
any reason of this Agreement.
34. Verification of Compliance with
C.R.S. 8-17.5-101 ET.SEQ. Regarding
Hiring of Illegal Aliens:
(a) Employees, Consultants and
Sub-consultants: Consultant shall not
knowingly employ or contract with an illegal
alien to perform work under this Contract.
Consultant shall not contract with a sub-
consultant that fails to certify to the Consultant
that the sub-consultant will not knowingly
employ or contract with an illegal alien to
perform work under this Contract. [CRS 8-
17 .5-102(2)( a)(I) & (II).]
(b) Verification: Consultant will
participate in either the E-Verify program or the
Department program, as defined in C.R.S. 8-
17.5-101 (3.3) and 8-17.5-101 (3.7),
respectively, in order to confirm the
employment eligibility of all employees who are
newly hired for employment to perform work
under this public contract for services.
Consultant is prohibited from using the E-Verify
program or the Department program
procedures to undertake pre-employment
screening of job applicants while this contract
is being performed.
(c) Duty to Terminate a
Subcontract: If Consultant obtains actual
knowledge that a sub-consultant performing
work under this Contract knowingly employs or
contracts with an illegal alien, the Consultant
shall;
(1) notify the sub-consultant and
the City within three days that the
Consultant has actual knowledge that
the sub-consultant is employing or
contracting with an illegal alien; and
(2) terminate the subcontract
with the sub-consultant if, within three
days of receiving notice required
pursuant to this paragraph the sub-
consultant does not stop employing or
contracting with the illegal alien; except
that the Consultant shall not terminate
the contract with the sub-consultant if
during such three days the sub-
consultant provides information to
establish that the sub-consultant has
not knowingly employed or contracted
with an illegal alien.
(d) Duty to Comply with State
Investigation: Consultant shall comply with
any reasonable request of the Colorado
Department of Labor and Employment made in
the course of an investigation by that the
Department is undertaking pursuant to C.R.S.
8-17.5-102 (5)
(e) Damages for Breach of
Contract: The City may terminate this contract
for a breach of contract, in whole or in part,
due to Consultant's breach of any section of
this paragraph or provisions required pursuant
to CRS 8-17.5-102. Consultant shall be liable
for actual and consequential damages to the
City in addition to any other legal or equitable
remedy the City may be entitled to for a breach
of this Contract under this Paragraph 35.
35. Intergovernmental Agreement.
Consultant shall comply with all provisions of
the original Intergovernmental Agreement
between the City of Englewood and the
Regional Transportation District under
Schedule B of this professional services
agreement.
IN WITNESS WHEREOF , the parties to this Agreement have caused it to be executed by their
authorized officers as of the day and year first above written. This Agreement may be executed
in counterparts , each of which shall be deemed an original, but all of which together shall
constitute one and the same instrument.
CITY OF ENGLEWOOD, COLORADO
By: ________________ _
(Signature)
Randy P. Penn
(Print Name)
Title: -----i'M'h:a:t-1}M:'O:ttr=--------------
Date: _______________ _
ATTEST:
City Clerk-Loucrishia A. Ellis
nu~ cJ g,,.. uovr + v<-t.f vie-
(consu1tant Name)
l.30<> £. lYMcO.\f wA~ '-rr6oo
Address \
City, State, Zip Cod
Title: fl I tJc,,t~4L •
Date: f ...... I -f ~
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SCHEDULE A
STATEMENT OF WORK AND FEE
SCHEDULE
11
• Englewood Light Rail Corridor Next Steps Study
Scope of Work
1.0 Project Goals
August 28, 2014
• The key project goals are described as follows:
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• Provide a strategic road map of sequential actions local governments can take to foster
redevelopment as depicted in the vision of the Englewood Light Rail Corridor Station Area
Master Plan.
• Advancing the design of specific transportation improvements in a way that will maximize the
potential for project funding and implementation through the DRCOG TIP process, as well as
other direct federal grant opportunities.
• Complies with and addresses all of the relevant points articulated within the criteria described
by the DRCOG Station Area/Urban Center Studies Eligibility Criteria and the RTD TOD Policy.
2.0 Project Elements
The study will be comprised of the following elements:
• Project Kickoff: Agency Coordination and Public Involvement Plan
• Real Estate Development Feasibility Analysis and Marketing/Implementation Strategy
• Englewood Transportation Improvements: Alternatives Development, Design, and Evaluation
• Sheridan Transportation Improvements: Alternatives Development, Design, and Evaluation
3.0 Scope of Work
This section establishes the Englewood Light Rail Corridor Next Steps Study Consultant's (the
Consultant's) individual task responsibility. A draft schedule of major tasks is attached .
3.1 Project Kickoff: Agency Coordination and Community Engagement Plan
The Consultant shall develop an Agency Coordination and Community Engagement Plan that will
encompass agency coordination and community engagement for the Englewood Comprehensive Plan
Update, Light Rail Corridor Next Steps Study, and Walk and Wheel Master Plan Program. The Consultant
shall work in coordination with the Englewood Comprehensive Plan Update and Walk and Wheel Master
Plan Program Consultants to combine objectives and tools for public outreach efforts along with a
master detailed schedule.
The Agency Coordination and Community Engagement Plan shall at a minimum include:
• Identification of and consultations with agencies having an interest in the study area in order to
identify critical issues and problems in need of resolution
• Identification of community leaders, elected officials, and key community groups and
recommended level and means of involvement in the study by those identified
• Recommendation of the proper level and means of involvement in the study by the public
• Identification of planned community events in the corridor that are scheduled during the study
• Description of participation methods, objectives, and where each fits into the schedule
• Establishment of meeting dates, times, and venues in coordination with City Project Manager
• Establishment of parameters for a project website .
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Englewood Light Rail Corridor Next Steps Study
Scope of Work
August 28, 2014
The Agency Coordination and Community Engagement Plan will be submitted to Englewood and
Sheridan twice (2) (Draft and Final versions) for review and revisions will be made, as appropriate.
Agency Coordination and Community Engagement will consist of the following el~ments:
• Logo/Templates: The Englewood Comprehensive Plan Update Consultant shall produce a logo
and templates to give a similar look and feel between online and print materials across all
projects. Development of the templates will include fonts and color scheme. The Englewood
Comprehensive Plan Update Consultant shall develop templates for the website, postcard,
boards, and electronic newsletter (e-newsletter).
• Website: The Englewood Comprehensive Plan Update Consultant shall support the Consultant
with development of the project website. The website shall be built using a CMS (Content
Management System), such as Word Press. The Consultant shall generate posts on their
individual project page. The Englewood Comprehensive Plan Update Consultant shall set up the
initial base page, set up each project page and a coordinated calendar, and provide general
support. The calendar shall appear on each project page. The City of Englewood will provide a
landing page to host a short overview of the three projects and the link to the website.
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• Postcard: Using the template created, the Consultant shall produce content for the initial
postcard mailing. The postcard will introduce the coordinated planning effort occurring
throughout Englewood over the next year, direct interested parties to the website to provide
contact information for future project updates and meeting notifications. The Consultant shall
collect and manage the contact database as described below. The Cities of Englewood and
Sheridan will be responsible for generating a mailing list based on assessor data as well as print
and mail the postcards during the project initiation phase. The City of Englewood will be
responsible for the printing and mailing of the postcard. •
• Survey Development: The Englewood Comprehensive Plan Update Consultant shall construct
and manage the on line surveys. Content for the on line surveys will be provided by the
Consultant. Three surveys will be conducted for each project over the year with an option to
consolidate surveys especially during the data collection phase. The Englewood Comprehensive
Plan Update Consultant shall coordinate with the other project teams to develop surveys and
provide a report of data at the close of the survey. A survey link will be provided to post on the
websites and e-newsletters.
• E-Newsletter: The Consultant shall produce and distribute four (4) e-newsletters throughout the
year long planning process. Each project team will provide a project update summary paragraph,
a synopsis of public involvement, links to additional info on their project webpage, and dates of
the next public event (if available).
• Public Meeting Logistics: Three consolidated public outreach events will be organized occurring
roughly in November, February and May. The Englewood Comprehensive Plan Update
Consultant, the Walk and Wheel Master Plan Program Consultant, and the Consultant shall each
be responsible for coordinating meeting logistics for one of the public events. The events should
strive to include alternative and interactive methods of public involvement. This shall be the
responsibility of the lead consultant for that meeting. The meeting format shall be shared with
the other Consultants and each Consultant shall develop materials for their project.
• Contact Database-Stakeholder/Public: The Consultant shall establish at the beginning of the
project a contact database in either Excel or Access depending upon the volume of contact
information obtained. E-mail addresses shall be collected from interested parties and residents •
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Englewood Light Rail Corridor Next Steps Study
Scope of Work
August 28, 2014
via the website . The contact database also will consist of key members of the community,
boards and commissions, government agencies, developers, local businesses, etc. The city, as
well as each consultant team, shall aid in developing a complete list of stakeholders and
providing contact information. The Consultant shall provide a link to be posted on the website
and other materials so that interested parties can sign up to receive notifications throughout the
project.
• Press Releases/ Ads: Draft content for four (4) press releases will be provided to the Cities of
Englewood and Sheridan by the Consultant for the city to finalize, format and distribute. If
needed, paid advertisements will also be used to promote public events and key milestones. The
Consultant shall determine the format and draft content of the advertisements for the Cities of
Englewood and Sheridan to produce and place with the appropriate media.
• Neighborhood Outreach/Business Walk-Abouts: The Consultant shall conduct two (2) to three
(3) informal outreach sessions within the adjacent neighborhoods for residents and business
owners/managers. Prior to the sessions, the Consultant shall conduct walk-abouts, visiting
business owner/managers in the study area to. obtain contact information, to provide project
related information and to solicit their input, concerns and suggestions.
• Community Event Participation/Travelling Townhall : The Consultant shall participate in two (2)
to three (3) community events to gather input and opinions on key issues . A presence at various
community events and festivals scheduled during the study will include an eye -catching exhibit
of project maps and displays . The public will also have a chance to weigh -in via a
survey/questionnaire to capture their input and opinions of specific questions that will help
guide plan development.
• Land/Property Owner Outreach: The City of Englewood will provide the contact list of property
owners from the previous station area planning study. The Consultant shall focus on property
owners who own key parcels that may represent redevelopment opportunities in the vicinity of
key focus areas (such as, around the Oxford station, to the west side of Santa Fe across from the
Englewood station, and property owners south and east of Hampden and Santa Fe). The
Consultant will coordinate the Cities of Englewood and Sheridan staff and other contacts (such
as the Chamber of Commerce perhaps) to gain contact information for these individuals. These
individuals will be contacted by phone to set up an in person meeting.
• Developer Roundtable : The Consultant shall convene a roundtable or forum of potential or
prospective developers from around the metro area, as well as developers familiar with the
Englewood market, to discuss the findings of the market study for the four study areas in
Englewood and to gain input on how to potentially move forward with implementation of
development concepts for each of the four study areas.
• Agency Kick-off: The Consultant shall conduct an Agency Kick-off meeting. Agencies with an
interest and/or stake in the project will be identified and contacted with a request for
participation in a project kickoff workshop. Agencies will be involved to ensure: Agencies
participating in the kickoff workshop may include, but are not limited to: City of Englewood
staff, City of Sheridan staff, Elected officials from the cities of Englewood and Sheridan and from
Arapahoe County, Denver Regional Council of Governments (DRCOG), Regional Transit District
(RTD), City of Englewood Transportation Advisory Committee, City of Englewood Urban Renewal
Authority, Arapahoe County staff, Colorado Department of Transportation (COOT), Federal
Highway Administration (FHWA), and Railroad representatives. The Agency Kickoff Workshop
discussions will focus on:
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Englewood Light Rail Corridor Next Steps Study ·
Scope of Work
August 28, 2014
o Site tour for firsthand understanding of the project and key issues
•
o Understanding agency expectations, roles and responsibilities •
o Community values expressed by the agencies
o Project scope and team communications
o Vision statement and objectives
o Major screening criteria
o Identifying recommended implementable projects and phasing
o Community Engagement Plan
• Project Management Team: The Project Management Team, composed of the Cities of
Englewood and Sheridan's technical staff, will meet on a monthly basis for the duration of the
project. There will be twelve (12) meetings that will be the forum for addressing project
challenges and opportunities. Meeting agendas, associated materials and summaries will be
prepared for each meeting.
Deliverables:
• Agency Coordination and Community Engagement Plan
• Documentation of all public inquiries, responses, events, meetings, etc.
3.2 Real Estate Development Feasibility Analysis and Marketing/Implementation Strategy
The Real Estate Development Feasibility Analysis will assess the development potential for transit-
oriented, multi-unit residential development for four distinct areas, taking into consideration the
following items for analysis:
• Economic Overview
• Site and Location Analysis
• Market Assessment (supply, demand, and projected absorption; development concept and
market fit; product mix and positioning; competitive position of project site)
The Consultant shall conduct a market study evaluating the existing and potential market for office,
retail, residential, business park I industrial, lodging, and entertainment land uses within the four
project areas (Englewood Station -West Neighborhood; Englewood Station -CityCenter Englewood
Neighborhood; Oxford Station -South Neighborhood; and Bates Station -North Neighborhood) based
upon an examination of existing demographic and market data and the position of the Englewood area
in the south suburban and greater Denver trade areas. The four project areas include:
• Englewood Station -West Neighborhood: The West Neighborhood is located between
Dartmouth and Hampden Avenue on the north and south, and Santa Fe Drive and Zuni Street on
the east and west, and includes the South Platte River. The area is currently developed with
industrial uses and is not directly connected to the Englewood Station.
• Englewood Station -CityCenter Englewood Neighborhood: The Englewood Light Rail Corridor
Plan envisioned the development of additional multi-unit residential developments immediately
adjacent to the Englewood Station over current RTD and City parking areas.
• Oxford Station -South Neighborhood: The Englewood Light Rail Corridor Plan envisioned the
development of two parks located north and south of Oxford Avenue that would serve to attract
higher quality multi-unit residential housing, including for sale units.
• Bates Station -North Neighborhood : The Bates Station-North Neighborhood primarily consists
of the Winslow Crane and General Iron Works properties. Planned Unit Developments were
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Englewood Light Rail Corridor Next Steps Study
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recently approved for both properties that allow redevelopment for multi-unit residential use,
without establishing site plans .
The findings of the market investigation will inform the resulting marketing and implementation strategy
for the study, and the four distinct study areas. The market investigation will include the following
components:
• Demographic Analysis and Economic Overview: The Consultant shall complete an overview of
the existing demographic and economic factors impacting the future land uses in the four study
areas (including population, household income, psychographics, etc.) in order to inform the
market investigation.
• Site Location and Analysis: The Consultant shall examine and document the site analysis factors
that impact the development potential of each of the four study areas included in the project.
The Consultant shall examine the physical characteristics (slope, grade, aesthetic considerations)
as well as transportation and connectivity factors that impact the viability of each study area. In
addition, the Consultant shall examine the development suitability of each study area in terms
of parcel size and dimension, floodplain and drainage issues, visibility, and related planning
factors. The Consultant shall examine the viability and development potential of each of the four
sites in terms of location, relative to adjacent parcels and areas within Englewood, and in terms
of location in the broader market.
• Land/Property Owner and Private Real Estate Developer Outreach: The Consultants discussions
with these property owners or their representatives will encompass a discussion of local market
conditions, potential opportunities for development or redevelopment of various properties,
and the Strengths, Weaknesses, Opportunities, and Threats (SWOT) for each of the four study
areas .
• Competitive Analysis: The Consultant shall complete an analysis of the competitive districts
impacting the four study areas and Englewood in general (both in terms of retail, office, and
residential land uses in the Englewood area per se, as well as competing districts and sub-areas
elsewhere in metro Denver such as the Downtown Littleton area, Denve;r Tech Center, Belmar,
etc.). The Consultant shall document existing competitors as well as potential competitors in the
local marketplace, based upon discussions with local planning officials and real estate brokers
and developers.
• Comparable Project Analysis: The Consultant shall provide profiles of up to three comparable
districts or projects (primarily in Western U.S . metropolitan markets) that Englewood may use
going forward in planning for the future implementation and marketing of the four study areas.
For each comparable district profile, the Consultant shall highlight recent development
successes, the mix of tenants, the mix of land uses, and how the districts integrated any civic
uses and related amenities in order to drive real estate success.
• Demand, Absorption and Positioning Recommendation: Based upon the findings of the market
investigation, the Consultant will provide a projection of future demand and absorption by land
use in terms of square feet or residential units (for retail, residential, office, lodging, business
park/ industrial, and entertainment uses) for the 5-year, 10-year, and 20-year timeframes, for
each of the four study areas. The Consultant's overall recommendations will provide conclusions
for the City concerning the recommended positioning of the four study areas over the short
term and long term. The findings of the analysis will assist the community and city staff in
positioning the four study areas going forward, as part of implementation. For each of the four
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Englewood Light Rail Corridor Next Steps Study
Scope of Work
August 28, 2014 •
study areas and the various parcels located within the study areas, the Consultant shall outline
recommended development concepts and market fit and recommended product mix and •
positioning (including potential "mixed use" concepts in line with previous plans for the study
area and input from the broader community and stakeholders). The Consultant shall summarize
the competitive positioning of each project site in the Englewood area and the broader
suburban market.
The Real Estate Marketing/Implementation Strategy will evaluate various development strategies for
the four distinct areas, including incremental parcel development by multiple owners versus a master
development by a single owner-developer or joint partnership involving multiple shareholders. The
implementation strategy will also address possible sources of revenue and financing for the key
transportation improvements previously identified, as well as ancillary streets, utilities, and parks.
Finally, the implementation strategy will outline marketing strategies, project triggers, and a realistic
timeline for development.
The Consultant shall examine various development strategy options for the four study areas, ranging
from incremental parcel development by multiple owners, to master development by a single entity, to
a joint venture involving multiple stakeholders (including, potentially, the City). The Consultant shall
identify public investments or actions that will help catalyze development interest. The Consultant shall
outline potential funding and financing strategies for various public improvements identified during the
planning effort, including streets, utilities, and parks. This process will allow the city and stakeholders to
generally compare the costs of key transportation and related improvements with the potential
development that could move forward in each of the four study areas . The Consultant shall also outline
priorities, immediate action items, implementation steps, general marketing strategies, and triggers for
various development components and infrastructure improvements, for each of the four study areas .
The strategy will also outline a realistic timetable for development. •
This market study will not include a detailed tenanting plan. The deliverable will provide estimates of
future demand and provide takeaways for the City from the market investigation that will inform the
overall planning effort.
The Real Estate Development Feasibility Analysis and Marketing/Implementation Strategy will be
conducted for the following transit-oriented development areas envisioned in the Englewood Light Rail
Corridor Station Area Master Plan:
Deliverables
• Market Investigation report documenting research conducted as part of the economic analysis
and providing takeaways and conclusions that inform the development of a
marketing/implementation strategy for the four study areas.
• Memorandums and spreadsheets illustrating the potential viability of various development
scenarios (master developer, JV, etc.) and summarizing the funding and financing sources for
various infrastructure and improvement components included in the plan.
• Memorandum outlining the recommended marketing strategies for the four study areas in
Englewood.
3.3 Study Area Data Collection and Conditions Assessment
The Consultant shall conduct a Study Area Data Collection and Conditions Assessment. Recent aerial
photography (2012 with six-inch pixels) of the study area will be used as base mapping for all physical
analyses. The Cities of Englewood and Sheridan and other GIS database information (right-of-way, • 6
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Englewood Light Rail Corridor Next Steps Study
Scope of Work
August 28, 2014
parcels, land use, contours, flood plains, municipal utilities, pavement and sidewalks, busines.s locations,
electric transmission, and hazardous materials sites) will be field checked by the Consultant .
The Study Area Data Collection and Conditions Assessment shall include a number of the following items
to inform the transportation alternatives development, design, and evaluation process.
• Collection and consolidation of crash data and traffic counts (including truck traffic) to be used
for the safety and operational analyses. Available travel data will be obtained from CDOT,
DRCOG, RTD, Englewood and Sheridan data bases, including traffic counts and transit ridership
data. All Traffic Data Services, Inc . will be engaged to supplement available data with traffic
volume counts (cars, trucks, buses, bicyclist, and pedestrians) for 24-hour periods on major area
roadways and peak-hour turning movements at key intersections.
• Documentation of the existing and planned transportation system in the study area including
highway through and auxiliary lanes, right-of-way and access; arterial lanes and access; transit
types/service levels including station locations, routes and frequency, safety records and
ridership and major concentrations of riders. The document shall also include bicycle and
pedestrian facilities, planned and existing intermodal connection facilities and stations, as well
as major utilities
• Documentation of the travel markets that use the transportation system to establish geographic
locations of trip origins and destinations, trip purpose (Commuter/Non-commuter trips), local
versus regional trips, and average length of trip
• Summarization of land use and modeling data as provided by the DRCOG travel demand model
• Summarization of current and future traffic operations for both the AM and PM peak hours
• • Estimation of future travel demands
•
• Identification of distinct segments of each corridor which share distinguishing urban traits,
adjacent land use characteristics and existing roadway conditions
• Summarization of current roadway features including lane configurations, roadway and right-of-
way widths and adjacent land ownership characteristics, building set-backs, utility and
environmental concerns
• Illustration of the typical existing cross section for each discrete segment of each corridor and an
assessment of the operational and safety adequacy of that cross-section based on both existing
and future (2035) travel demands
• Development of an Environmental Overview. The following environmental resources are
considered as essential resources for study and documentation. The Consultant shall conduct a
"windshield survey" of the project corridor and utilize existing data from previous studies
conducted in the area and readily available environmental data from federal, state, and local
databases. This list is not all-inclusive and is subject to change based on meetings with project
stakeholders
1. Land Use
2. Floodways and 100-year floodplain boundaries
3. Parks and Recreational Resources
4. Historic Resources
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Englewood Light Rail Corridor Next Steps Study
Scope of Work
5.. Hazardous Substances
6. Wetlands and Other Waters of the US
7. Wildlife/Threatened and Endangered Species
August 28, 2014
• Documentation of the list of issues that resulted from contacts with stakeholders and general
knowledge of the study area to identify a list of key needs
• Preparation of a preliminary list of existing and anticipated deficiencies in the study area. The
list should describe the existing or anticipated deficiencies in the transportation system and the
growth or changing needs in the study area along with an estimate as to the timeframe in which
deficiencies will occur
Deliverables:
• Study Area Data Collection and Conditions Assessment and Environmental Scan sections will be
included in the draft and final Englewood Light Rail corridor Next Steps study report.
3.4 Alternatives Development, Evaluation and Design
Key transportation improvement implementation projects identified in the Englewood Light Rail
Corridor Station Area Master Plan for further evaluation are listed below:
• Rail Trail -includes trail alignment and bridges
• Oxford, Dartmouth, Clarkson Protected Bikeway Loop
• Southwest Greenbelt Trail Improvements and Extension
• Floyd Avenue Extension
• Englewood Parkway Extension and Bus Transfer/Piazza Redesign
• Englewood Station Platform Shelter
The neighboring City of Sheridan has requested to participate in the Englewood Light Rail Corridor Next
Steps Study as a secondary partner to the City of Englewood in order to evaluate two additional projects
that were not identified in the original Englewood Light Rail Corridor Station Area Master Plan .
• Oxford Avenue Protected Bikeway -Oxford Station to Fort Logan
• Oxford Station Pedestrian Bridge/Tunnel -Station Connection to west side of Santa Fe Drive
Additional connectivity alternatives may be identified during the study, and they will be evaluated along
with the previously identified projects. Although the Consultant will track the alternative development,
evaluation, and design efforts separately for the City of Englewood and City of Sheridan's projects
separately, both efforts will follow a similar process, as outlined below.
3.4.1 Alternatives Development
This task will focus on developing and evaluating alternatives to resolve four primary challenges: real
estate feasibility, multimodal connectivity to the CityCenter and Oxford Avenue LRT Stations,
engineering feasibility, and urban design/aesthetics.
• Real Estate Feasibility: Based upon the findings of the market investigation, the Consultant shall
evaluate the alternatives to assist the community and city staff in understanding how the
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accessibility, visibility and urban character benefits of various alternatives will spur •
development, posit ioning the four study areas going forward.
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Englewood Light Rail Corridor Next Steps Study
Scope of Work
August 28, 2014
• Multimodal Connectivity: Improvement alternatives will be developed and assessed for their
anticipated benefits to multimodal connectivity and accessibility, both relative to existing land
uses and to desired new development. A series of evaluation measures will be developed and
each alternative will be evaluated and refined based on criteria such as improved accessibility
for pedestrians, bicycles, autos and buses; improved safety, particularly for pedestrians and
bicyclists; anticipated usage level; effect on transit ridership; and travel time reductions for each
travel mode.
• Engineering Constructability: The Consultant shall complete basic engineering for the
alternatives to be evaluated. This basic engineering generally will be to a conceptual level of
design (5 percent), except in the case of the Rail Trail from the Big Dry Creek Trail to the Oxford
Station, which will be to a preliminary level of design (30 percent). No additional survey will be
performed. To minimize cost, the alternatives will be designed using the 2-foot contours
included in the 2010 Denver Regional Aerial Photography Program (DRAPP), which is available
for the Denver metropolitan area.
• Urban Design/ Aesthetics: The Consultant shall outline urban design and general planning
concepts for the various transportation and public improvements outlined in the Next Steps
study, as well as the necessary urban design concepts and strategies underlying the
development of development concepts for each of the four study areas. The Consultant shall
create conceptual urban design and planning recommendations that embody the following
place making principles:
o Pedestrian connections (sidewalks, ramps, crosswalks)
o Streetscape (including, streetscape concepts for retail streets, versus office oriented
streets, versus residential oriented streets)
o Bicycle connections
o Orientation and locations of buildings
o Orientation and locations of parking and connections to and from parking
o Facilities and connections for transit (including bus stops, and connections to light rail
platforms)
3.4.2 Alternatives Evaluation
The Consultant shall conduct the alternatives analysis in a manner that can be easily incorporated into
any future PEL or NEPA documentation for these projects -specifically to be able to facilitate a number
of potential funding sources for these transportation improvements. Since the goal is to avoid having to
redo work, and to facilitate eligibility for federal and state funding sources, such as DRCOG TIP funds,
the Consultant shall complete FHWA's PEL Questionnaire to ensure a smooth transition from the
Englewood Light Rail Corridor Next Steps Study to any future PEL or NEPA work.
The Consultant shall conduct a two-step evaluation process through which the level of analysis detail
will become greater as the number of alternatives for each transportation improvement element is
reduced. Five basic measures are suggested as a starting point to evaluate alternative (multimodal
connectivity effectiveness, land use consequences, economic feasibility, constructability, and
environmental feasibility). This evaluation is intended to identify the challenges and constraints of the
process and provide a coherent basis for selecting alternatives .
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Englewood Light Rail Corridor Next Steps Study
Scope of Work
August 28, 2014
An evaluation process will be developed that documents the analysis and findings for the alternatives
and the extent to which each alternative can achieve the project objectives. The potential impacts of
each alternative on important environmental resources and feasibility regarding environmental issues
and regulations will also be examined. Conceptual avoidance and minimization measures will be
developed following the identification of impacts and concerns. Potential fatal flaws will be analyzed in
detail. Economic development potential, access management possibilities, environmental impacts, as
well as with other qualitative and quantitative measures will be analyzed for each alternative.
3.4.3 Conceptual Design and Cost Estimates
Conceptual design will include roadway horizontal and vertical alignment, grading to determine storm
drainage runoff, and water quality requirements as well as identifying major utility relocates and
locations of any required retaining walls. Design will also identify required right-of-way. Conceptual-level
construction and right-of-way (using assessed values) cost estimates will be prepared for comparison of
selected alternatives, as appropriate. More detailed cost estimates will be prepared for the final,
selected alternatives based on refined conceptual design. Cost estimates will be calculated by
quantifying and applying current unit prices to major construction pay items such as paving, sidewalks,
excavation and backfill, major utility relocation and storm drainage, then applying contingencies for
items such as lighting, storm water management, environmental and construction traffic control. Right-
of-way cost estimates will be developed in close coordination with City staff and will use appraised
values and other data as a basis.
Deliverables:
• Alternatives Development, Evaluation, and Design sections will be included in the draft and final
Englewood Light Rail corridor Next Steps study report.
• Rail Trail -30 percent Preliminary Plans and Cost Estimate
• Oxford, Clarkson, and Dartmouth Protected Bikeway-Five (5) percent conceptual plans and
Cost Estimate
• Oxford Station Pedestrian Bridge/Tunnel -Five (5) percent conceptual plans and Cost Estimate
• Southwest Greenbelt Trail Improvements and Extension -Five (5) percent conceptual plans and
Cost Estimate
• Englewood Parkway/Floyd Avenue Extension -Five (5) percent conceptual plans and Cost
Estimate
• Bus Transfer/Piazza Redesign -Five (5) percent conceptual plans and Cost Estimate
• Englewood Station Platform Shelter -Five (5) percent conceptual plans and Cost Estimate
3.5 Action Plan/Funding Strategy
The Consultant shall work with the Cities of Englewood and Sheridan to identify and prioritize projects
for a range of funding scenarios to ensure that the corridor is getting maximum benefit for the available
dollar and that the transportation improvements in the corridor will serve as a catalyst for other
community investment to create an economically thriving and civically vibrant corridor.
The Consultant shall investigate various federal and state funding mechanisms, such as the
Transportation Alternatives Program (TAP), FASTER, RAMP, STP metro, etc., that can be used in part or
combination to develop larger project packages. Other options, such as BIDS, TIFs, and newer federal
programs, such as Livable Communities, also will be reviewed for applicability on the corridor. In
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Englewood Light Rail Corridor Next Steps Study
Scope of Work
August 28, 2014
addition to transportation focused funding sources, the team will explore and recommend potential
funding sources for urban design and aesthetic enhancement activities including business fac;:ade
improvements, signage, landscaping, benches, etc., in order to complete transportation improvements
being planned in the corridor. COOT enhancement funding, funds generated from urban renewal, City
sources, small business resources, special districts specifically established to fund public improvements
along the corridor, future redevelopment, grants and loan funds are potential mechanisms.
3.6. Englewood Light Rail Corridor Next Steps Study Report
The Consultant shall prepare an Englewood Light Rail Corridor Next Steps Study report with following
sections:
• Study Area Data Collection and Conditions Assessment
• Environmental Scan
• Alternatives Design, Analysis, and Evaluation
• Action Plan
• Funding Strategies
• FHWA PEL Questionnaire
The Agency Coordination and Community Engagement Plan will be submitted to Englewood and
Sheridan twice (2) (Draft and Final versions) for review and revisions will be made, as appropriate.
3.7 Project Control/Design Management Approach
The Consultant shall submit monthly cost and schedule reports to enable project monitoring. The
contract budget and schedule shall be regarded as the baseline against which status and progress are
measured and reported .
The Consultant and the City of Englewood Project Manager shall meet at least monthly to review the
cost, schedule status and progress of the work, as well as address unanticipated problems and potential
solutions. Twelve (12) monthly progress meetings with the City of Englewood Project Manager and the
Consultant will be held.
The Consultant shall submit working and final drafts on all work products in a timely manner to allow for
adequate review and revision prior to final submittal schedules. The Consultant invoices shall be
prepared to show cost against major milestone tasks.
Deliverables:
• Contract budget and schedule
• Monthly progress report
• Payment and review milestones
11
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Project Task
Project Initiation
Joint Agency Coordination and Community Engagement Plan
Project Kick-off Postcard Mailing (Englewood)
Joint Website (Englewood Comp. Plan Update Consultant)
Joint Electronic Newsletters
Joint Contact Database Management
Study Area Data Collection and Conditions Assessment
Agency Kick-Off Meeting
Real Estate Feasibility and Market Analysis
Developers Round Table (OW/Arland)
Joint Neighborhood and Business Outreach/Walkabouts
Marketing Implementation Strategy
Land/Property Owner Outreach
Alternatives Development
Alternatives Evaluation
Alternatives Design
Action Plan
Final Study Report
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Englewood Light Rail Corridor Next Steps Study
COLLABORATIVE SCHEDULE -PRELIMINARY DRAFT
2014
Sept Oct Nov Dec Jan ...
_.,· _.,
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·• ~ .. ........
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.... • .. •
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·•.
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Feb Mar
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tF .; ·• < . . . I •
...
Joint Public Meeting r
Joint Community Event Participation/Travelling Townhall I
*Meeti ng dates are tentative . Actual event date to be determined .
• •
2015
Apr May June July Aug
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*• • 1• • . • '. .. ~
•
Task
gency Coordination/Community
Engagement
Real Estate Market and
De velopment Implementation
Strategies
Study Area Data Collection and
Conditions Assessment
Alternatives Development and
Design
Alternatives Evaluation
Action Plan I Funding Strategy
Station Area Master Plan: Englewood Light Rail Corridor Next Steps Study
Felsburg Holt and Ullevig
Fee Schedule
Company Title Individual Rate Hours Cost
Bachman PR Principal Lisa Bachman 150 185 $27,750
. .sulitcital . . '·'$27,75(
Arland LLC Principal Arleen Taniwaki 155 130 $20,15(
Desi gn Workshop Associate Britt Palmberg 150 180 $27,000
Design Workshop Principal Jim MacRae $ 250 12 $3 ,00(
Felsburg Holt & Ullevig Principal II Elliot Sulsky $ 19S 8 $ 1,560
Felsburg Holt & Ullevig Associate Kevin Maddoux $ 165 40 $ 6,6 00
Felsburg Holt & Ullevig Trans Planner II Shea Suski $ 95 80 $ 7,600
Felsburg Holt & Ullevig Trans Planner IV Cady Dawson $ 125 40$ 5,000
Felsburg Holt & Ullevig Engineer II Gabrielle Renner $ 95 40 $ 3,800
Felsburg Holt & Ullevig GIS Specialist Todd Lebov $ 80 40 $ 3,200
Felsburg Holt & Ullevig Env Scientist IV Laura Haas $ 125 40$ 5,000
Felsburg Holt & Ullevig Env Scientist V Jessica Myklebust $ 140 16 $ 2,240
Felsburg Holt & Ullevig Env Scientist V Allison Samba! $ 125 16 $ 2,000
City of Sheridan Alternatives Evaluation
Design Workshop Principal Jim MacRae $ 250 8 $ 2,000
Design Workshop Associate Britt Palmberg $ 150 $ 1,200
Design Workshop Planner Anna Cawrse $ 90 24 $ 2,160
Toole Design Group Senior Eng ineer Jessica Juriga/Bill Schultheiss $ 147 16 $ 2,352
Toole Design Group Landscape Architect Anthony Pratt $ 90 28 $ 2,520
Toole Design Group Engineer Jessica Mortell $ 75 so $ 3,750
Felsburg Hoit & Ullevig Principal II Elliot Sulsky $ 195 20 $ 3,900
Felsburg Holt & Ullevig Associate Kevin Maddoux $ 165 20 $ 3,300
Felsburg Holt & Ullevig Engineer IV Kat Duitsman $ 125 80 $ 10,000
Felsburg Holt & Ullevig Senior Engineer Bill Marcato $ 160 20 $ 3,200
Felsburg Holt & Ullevig Senior Engineer Stephanie Sangal ine $ 160 8 $ 1,280
-~Af~l.~~~k) ~"i~~~€.~i~I ~};ii&~~?1..t>C'~~~~~ .~~~~:t~~~~~i ,;f;~~Si!:itO,,t~I :~~~~~_Sj6_62}
City of Englewood Alternatives Development and Design
Design Workshop Principal Jim MacRae $ 250 32 $ 8,000
Design Workshop Associate Britt Palmberg $ 150 16 $ 2,400
Design Workshop Planner Anna Cawrse $ 90 40 $ 3,600
Toole Design Group Senior Engineer Jessica Juriga/Bill Schultheiss $ 147 22 $ 3,234
Toole Design Group Landscape Architect Anthony Pratt $ 90 100 $ 9,000
Toole Design Group Engineer Jessica Mortell $ 75 106 $ 7,950
Walker Parking Consultants Parking Consultant Steffen Turoff $ 185 40$ 7,400
Felsburg Holt & Ullevig Principal II Elliot 5ulsky $ 195 20 $ 3,900
Fels burg Holt & Ullevig Associate Kevin Maddoux $ 165 20 $ 3,300
Felsburg Holt & Ullevig Engineer IV Kat Duitsman $ 125 160 $ 20,000
Felsburg Holt & Ullevig Senior Engineer Bill Marcato $ 160 60 $ 9,600
Felsburg Holt & Ullevig Senior Engineer Stephanie Sangaline $ 160 32 $ 5,120
City of Sheridan Alternatives Evaluation
Design Workshop Principal Jim MacRae $ 250 4 $ 1,000
Design Workshop Associate Britt Palmberg $ 150 5 $ 750
Design Workshop Planner Anna Cawrse $ 90 8 $ 720
Felsburg Holt & Ullevig Principal Elliot Sulsky 195 8 $ 1,560
Felsburg Holt & Ullevig Associate Kevin Maddoux 165 24 $ 3,960
Felsburg Holt & Ullevig Trans Planner ii Shea Suski s 95 40 $ 3,800
/" "Subfotal $ .. 11,790
City of Englewood Alternatives Evaluation
Design Workshop Principal Jim MacRae $ 250 12 $ 3,000
Design Workshop Associate Britt Palmberg $ 150 $ 750
Design Workshop Planner Anna Cawrse $ 90 12 $ 1,080
Felsburg Holt & Ullevig Principal Elliot Sulsky $ 195 8 $ 1,560
Felsburg Holt & Ullevig Associate Kevin Maddoux $ 165 56 $ 9,240
Felsburg Holt & Ullevig Trans Planner II Shea Suski s 95 80 $ 7,600
Design Workshop Associate Britt Palmberg $ 150 16 $2,40(
Felsburg Holt & Ullevig Principal Jenny Young $ 175 40 $7,00C
Felsburg Holt & Ullevig Env Scientist IV Laura Haas $ 125 40 $5,00C
.. .. r,;·.··->_:.:-
Labor Total $283,486
Plots/sq ft $ 0.24 500 $12C
Prints (Color) $ 0.19 2000 $38C
Presentation Boards/sq ft $ 1.22 500 $61C
~-.~~~~~~~...-.. -.. -.. ~~~-.. -._~,.~.-.,~,~...-~~ .. -.~,~~;~.~c',..-.-,-~-~-,,.~::-•.• ~;,:-:;~_,~~~:n~::~;~;~~)~~e~~~i~~~.:~'~-.~-a~.~~ .. ~-.""""'~-.-~-~-,.""""';_O~th_e_r-~~;~~~~6 ~'C-.o-s~.....,.(T-o-::~~~)~::~,~-~ .. ~-.:~6~~~~,.,-i:
Total $289 ,87 6
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SCHEDULE B
INTERGOVERNMENTAL AGREEMENT
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SCHEDULE B
STATION AREA MASTER PLAN:
ENGLEWOOD LIGHT RAIL CORRIDOR NEXT STEPS STUDY
CITY OF ENGLEWOOD, COLORARDO
INTERGOVERNMENTAL AGREEMENT
by and between
CITY OF ENGLEWOOD
1000 Englewood Parkway
Englewood, CO 8011 O
and
REGIONAL TRANSPORTATION DISTRICT
1600 Blake Street
Denver, Colorado 80202
This Intergovernmental Agreement, made this _ .. _· __ · day of . .. ~·-, 2014 (the
Agreement), between the Regional Transportation District (RTD), a political subdivision of the
State of Colorado, and City of Englewood, a Colorado home rule municipality (City), collectively
referred to as the "Parties" or individually as "Party", is to provide funding assistance for the
development of a Station Area Master Plan Next Steps Study (Plan) for the area designated as
the Bates, Englewood, and Oxford Station areas located adjacent to the Southwest Light Rail
Transit Line. The project area is identified in Exhibit A.
RECITALS:
The context for this Agreement is established in the Denver Regional Council of
Governments (DRCOG) FY14-15 Station Area/Urban Center Studies Eligibility & Evaluation
Criteria, attached hereto as Exhibit B, and the RTD TOD Policy dated September 21, 2010,
attached hereto as Exhibit C.
This Plan needs to be practical, feasible, and satisfy the following key objectives:
• Provides a strategic road map of sequential actions local governments can
take to foster redevelopment as depicted in the vision of the Englewood Light
Rail Corridor Plan.
• Advances the design of specific transportation improvements in a way that
will maximize the potential for project funding and implementation through the
DRCOG TIP process, as well as other direct federal grant opportunities.
• Complies with and addresses all of the relevant points articulated within the
criteria described by the DRCOG Station Area/Urban Center Studies
Eligibility Criteria and the RTD TOD Policy.
Generally, the Parties wish to promote regional sustainability by contributing to transit
oriented development sites that collectively will reduce regional per capita vehicle miles
traveled, air pollution, greenhouse gas emissions, and water consumption.
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49 U.S.C. §5307 (Section 5307), provides funding for federal grants to assist states and
local governmental authorities in financing capital and planning projects, job access and reverse
commute projects, associated transit improvements, and certain operating costs. See generally
Federal Transit Administration (FTA) Circular 9030.1E (effective 1/16/14). The FTA has
designated RTD as a recipient for Section 5307 funds. DRCOG has managed the competitive
process for the award of Section 5307 funds to eligible subrecipients including the City. The City
has agreed to receive Section 5307 funds for fiscal year 2014 to provide Section 5307 eligible
services pursuant to this Agreement. The City is a public entity otherwise eligible to become a
direct recipient under Section 5307. The Plan is an eligible project under Section 5307 and FTA
Circular 9030.1 E.
As the Designated Recipient for Section 5307 funds, RTD is responsible for submitting a
grant application to the FTA, contracting with Subrecipients for projects selected through
DRCOG's competitive selection process, and ensuring that Subrecipients comply with FTA
requirements. RTD and the City therefore desire to enter into this Agreement for RTD to pass
through Section 5307 funding to the City as Subrecipient, and for the City to use such funding in
full and complete accordance with all federal requirements and all other provisions of this
Agreement, and with full, timely and accurate accounting and reporting by the City of such use.
1.
NOW, THEREFORE, it is hereby agreed that:
Recitals, Exhibits. The Recitals set forth above and all exhibits attached hereto are
incorporated herein by this reference.
2. Funding. Funding for the development of the Plan shall be provided through a
Congestion Mitigation and Air Quality (CMAQ) grant (Grant) from the Federal
Highway Administration (FHWA) through the FT A and administered by RTD. It is
anticipated that the Grant available to RTD for the development of the Plan will be
Two Hundred and Forty Thousand Dollars ($240,000). In no event shall RTD be
responsible for payment of funds for the development of the Plan in any amount
greater than that received through the Grant. In no event shall federal funding
exceed 80 percent of the net project cost. If the amount of Grant funds received
by RTD is less than Two Hundred Forty Thousand Dollars ($240,000), the City
may, at its discretion, (i) pay additional local match funds; (ii) reduce the scope of
work for the development of the Plan; or (iii) terminate the Plan and this
Agreement as set forth below. Unless the City determines to expend additional
funds for the development of the Plan, the City shall contribute Fifty Thousand
Dollars ($50,000) in local match funds for the Plan, plus Ten Thousand Dollars
($10,000) of in-kind project management billable hours. All local match funds
must be provided from sources other than federal Department of Transportation
(DOT) funds. Any additional funds required for the development of the Plan over
and above the Grant funds received by RTD and committed local match funds
shall be the responsibility of the City. The City shall use the funds solely for
eligible purposes defined under Section 5307 and FTA Circular 9030.1 E, as they
may be amended, promulgated or updated from time to time during the term of
this Agreement.
Englewood Light Rail Corridor Next Steps Study Project Funding Summary:
Funding Source Amount
Federal Grant Share $ 240,000
City Local Match Share $ 50,000
City Local In-Kind Project Management Share $ 10,000
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3.
I Total I$ aoo,ooo
Citv Local In-Kind Project Management Share Accounting. The City Project Manager
will track hours spent managing the project calculated by the City Project Manager's
hourly salary and benefit rate of $42.90 per hour, in order to account for the City Local
In-Kind Project Management Share contribution of Ten Thousand Dollars ($10,000) to
the Project.
4. Project Accounting. Expenditure of funds from the Grant will be documented separately
by the City and Consultant (as defined in Section 5) to ensure dollars spent coincide with
task deliverables assignable to each funding source.
5. Scope of Work. The scope of work (Scope) and cost for the development of the Plan
are shown in Exhibit D. No changes to the Scope shall be made without prior written
agreement between the Parties.
6. Consultant. The City shall issue a Request for Proposals to engage one or more
consultants (Consultant) to develop the Plan. The City shall choose the Consultant after
considering the recommendation of a committee consisting of representatives from the
Parties. (Committee). The Parties shall each be entitled to review the form of
Consultant's contract prior to award, and RTD shall advise the City of changes
necessary to comply with the Grant or other RTD requirements; including but not limited
to required contract clauses for federally assisted subcontracts and third party contracts
as shown in Exhibit E. Compliance by City, Consultant and any other Plan contractors
and subcontractors with RTD required contract clauses for federally assisted
subcontracts and third party subcontracts, and other requested changes by RTD, shall
be a condition of receipt of Grant funding through RTD for the development of the Plan .
The City and Consultant shall be the parties to the consulting contract; and the City, as
the contracting agency, shall have authority for administration of the Consultant's
contract.
7. Review. The City shall manage all work performed by any Consultant for the
development of the Plan. RTD shall have the opportunity to review and comment upon
all documents, drawings, exhibits, etc., produced by the Consultant as part of the Plan,
including preliminary drafts. RTD shall withhold payment of the last ten percent (10%) of
the Grant funding until it has had an opportunity to provide comments on the final draft of
the Plan, prior to adoption by the City. Any property or information provided by RTD for
the Plan remains the property of RTD and shall be returned to RTD upon completion of
the development of the Plan. RTD shall be entitled to receive electronic copies of all
reports, drawings, data, and other material produced or collected in electronic format by
the Consultant at no additional cost.
8. Meetings. RTD shall have the right to attend and shall receive notice of all formal
meetings with the Consultant not less than forty-eight ( 48) hours in advance. RTD shall
not give direction to the Consultant but shall submit all comments on the Consultant's
work through the City.
9. Reporting Requirements. RTD shall be responsible for all Grant reporting for the
development of the Plan. The City shall cooperate with RTD in providing information
required by RTD for Grant reporting, and shall also require its Consultant and any other
Plan contractors and subcontractors to provide such cooperation with RTD. The City
shall be responsible for providing data to support the calculation of air quality benefits
derived from the Plan which is required as part of the federal CMAQ process. The
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10.
methodology for the data collection on the air quality benefits will be provided by RTD in
sufficient time in advance of the reporting deadline to allow the City to prepare the data
for submission .
Invoices. The City shall invoice RTD for Consultant's work up to a maximum amount of
Two Hundred and Forty Thousand Dollars ($240,000) (if the Grant is in that amount as
anticipated; otherwise up to the actual Grant amount). Such invoices shall only be for
verified, eligible expenses consistent with the Grant award. City invoices may be
submitted to RTD on a monthly basis effective June 1, 2014. Such invoices shall include
the Consultant's invoice and other available background information regarding the work
being invoiced. RTD shall reimburse the City only for actual Consultant work. Prior to
utilizing the value of City staff time to meet the local match requirements contained
herein, RTD shall review and approve the methodology for calculation of such utilization.
RTD shall pay all approved invoices within thirty (30) days of receipt. If RTD disputes
any invoice or portion thereof, it shall provide written notice to the City of the dispute
within fourteen (14) calendar days of receipt of the invoice; otherwise the invoice is
deemed to be approved by RTD. RTD shall not be liable for any financial contribution to
the Plan funded pursuant to this IGA other than as set forth herein, unless previously
authorized in writing. RTD shall not be responsible for paying Consultant bills directly.
11. Civil Rights Small Business Office.
a. It shall be the responsibility of the Parties to ensure that the compliance and
implementation of Disadvantaged Business Enterprise (DBE) requirements are in
accordance with 49 CFR Part 26 and RTD's FTA approved DBE Plan and
Program. RTD shall be responsible for administering its own DBE program to set
and monitor compliance with the goals on this project.
b. The RTD Small Business Office (SBO) has established a DBE goal of Twelve
Percent (12%) of the total Agreement amount for this project, for a total of Thirty-
Six Thousand Dollars ($36,000).
c. It shall be the responsibility of the City to provide a DBE Liaison (Liaison) for the
RTD Small Business Office which can be a collateral duty. The Liaison will be
responsible for contact information, submittals, invoicing/payment information,
federal reporting information and interfacing with the SBO to address various
issues or concerns related to compliance with the DBE Program requirements.
d. It shall be the responsibility of the City to provide RTD's Small Business
Opportunity Office with a copy of all proposals received in response to the
Request for Proposals at least two weeks in advance of selection of the
successful Consultant.
e. It shall be the responsibility of the City to include the RTD Attachment A, included
herewith as Exhibit F, in the RFP and in all executed contracts for Consultant
services. The proposers must complete and submit all forms to the City for the
City to return to RTD's Small Business Office. All forms from the Attachment A
must be submitted to the Small Business Office prior to execution of the
Consultant contract to ensure compliance with regard to RTD's DBE Plan and
Program. Failure to submit completed forms may result in a proposer being
deemed non-responsive. The prime Consultant must provide documented proof
of good faith efforts using the RTD Small Business Office documentation process
should it be unable to meet the DBE goal.
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12.
f. Immediately upon execution of the Consultant contract, the City shall provide a
copy of the contract to RTD's Small Business Office. It shall be the responsibility
of the City's DBE Liaison to ensure that RTD's Small Business Office reviews all
amendments and change orders prior to their execution.
g. The selected proposer must submit to the City's DBE Liaison Officer, a copy of
all DBE subcontracts and/or purchase orders within thirty (30) days of Notice to
Proceed. Under no circumstances shall a DBE begin work without an executed
subcontract or purchase order.
h. No DBE shall be replaced, removed, substituted or terminated without good
cause as set forth in 49 CFR Part 26.53 (f) and pre-approval by ·RTD's SBO.
This includes reductions to scopes of services and/or subcontract values.
i. RTD's Small Business Office will directly contact the Prime Consultant and Sub-
consultants for compliance monitoring, reviews and/or auditing purposes.
j. The City will withhold payment from the Prime Consultant for non-compliance
with the DBE Program requirements as directed by RTD's Small Business Office.
Plan Recommendations. The Parties acknowledge this Agreement is for the
development of the Plan only. The Parties commit that they will make reasonable efforts
to secure approvals from their respective governing bodies to implement needed
infrastructure improvements within their capital improvements program; adopt
appropriate zoning code, master plan and other regulatory changes; and incorporate
Plan recommendations into local ordinances, regulations or requirements governing
development of the Plan area. Nothing herein commits either governing body to grant
such approvals, and nothing herein commits either Party to fund any improvements
identified in the Plan or any other adopted plans.
13. Third Parties. No person or entity not a party to this Agreement shall have rights
hereunder.
14. Conflicts. No officer, member, or employee of RTD or the City, no members of the
respective governing bodies of RTD or the City, and no other public officials or
employees of RTD or the City during his or her tenure, or for one year thereafter, shall
have any personal interest, direct or indirect, in any solicitation for services made
pursuant to this Agreement or the proceeds thereof.
15. Termination; Suspension of Work. This Agreement may be terminated for any of the
following reasons:
a. Funds not Available. In the event that Grant funds required for funding of
b.
this Agreement are not made available, this Agreement shall terminate unless
the City elects to pay additional local match funds or reduce the Scope of Work
for development of the Plan as set forth above. Whether or not Grant funds are
available, or whether or not City local match funds are sufficient to pay for the
Plan costs, RTD is under no obligation to provide any funds for the Plan other
than Grant funds actually received by RTD.
Termination for Mutual Convenience. The Parties may terminate this
Agreement and terminate the development of the Plan if both Parties agree in
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c.
writing that the continued development of the Plan would not produce beneficial
results commensurate with the further expenditure of funds.
Termination of Contract for Cause. If through any cause, either Party
should fail to fulfill in a timely and proper manner its obligations under this
Agreement, or violate any of the covenants, agreements, or stipulations of this
Agreement, the other Party has the right to terminate this Agreement by giving
written notice of its intent to terminate. Said notice shall be delivered to the
notified Party a minimum of seven (7) days in advance of the date set for
termination. The notified Party shall have five (5) days after receipt of said
notice of intent to terminate to respond with a proposal to cure the failure or
violation. Approval of the proposal shall not be unreasonably withheld. This
Agreement shall not so terminate if the proposal is accepted and the failure or
violation is fully cured within a thirty (30)-day period after receipt of said notice of
intent to terminate.
d. RTD's Right to Terminate Contract for Convenience or Default. RTD
shall also have the right to terminate this Agreement for convenience or default,
and the right to suspend the work, in accordance with provision FTA 8,
Termination, of the FTA contract provisions attached as Exhibit E.
e. City's Right to Terminate Contract for Convenience. The City shall also
f.
have the right to terminate this Agreement for convenience by giving fourteen
(14) calendar days written notice to RTD.
In the event this Agreement is terminated, RTD shall pay the City for all
work previously authorized and satisfactorily performed up to and including the date
of receipt by the City of the termination notice. If, however, the City has
substantially or materially breached the standards and terms of this Agreement,
RTD shall have any remedy or right of set-off available at law and equity.
16. Compliance with Federal Grant Requirements. The Parties acknowledge that
development of the Plan will be partially federally funded . This Agreement and all
subgrants, third party contracts and subcontracts are therefore subject to the FTA
Master Agreement and all other applicable federal transit regulations, and all subgrants,
third party contracts, and subcontracts must include as flow down provisions the FT A
contract provisions attached as Exhibit E.
a. City shall at all times comply with all applicable FTA regulations, policies,
procedures, reporting requirements, and directives, including without limitation
those in FTA Circular 9070.1F, 49 C.F.R. part 19, and those listed directly or by
reference in the current Master Agreement between RTD and FT A, as they may
be amended or promulgated from time to time during the term of this Agreement.
In addition to all such requirements imposed directly upon City, those
requirements imposed upon RTD as a grantee or recipient are also hereby
imposed upon City, and those rights reserved by DOT, FTA or any other
applicable agency are hereby reserved by RTD. City's failure to comply with any
and all such requirements shall constitute a material breach of this Agreement.
City may contact either RTD or FT A for a copy of the current FT A Master
Agreement.
b . Without limiting the foregoing, the following are specifically incorporated herein
by this reference and shall govern this Agreement: (i) 49 CFR Part 18, "Uniform
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Administrative Requirements for Grants and Cooperative Agreements to State
and Local Governments"; (ii) 49 CFR Part 19, "Uniform Administrative
Requirements for Grants and Agreements with Institutions of Higher Education,
Hospitals, and Other Non-Profit Organizations" (parts 18 and 19 are collectively
known as the "common rule" or "common grant rule"); (iii) FT A Circular 9030 .1 E,
Urbanized Area Formula Program: Program Guidance and Application
Instructions; (iv) FTA Circular 5010.D, Grants Management -General; and (v)
FT A Master Agreement. Those requirements imposed upon RTD as a grantee or
recipient are hereby imposed upon City to the fullest extent permitted by law, and
those rights reserved by DOT, FT A or any other applicable agency are hereby
reserved by RTD.
c. All DOT-required contractual provisions as stated in FT A Circular 4220.1 F are
hereby incorporated by reference. City will adhere to FT A's third-party
procurement requirements as set out in FT A Circular 4220.1 F and shall include
contractual provisions as stated in FTA Circular 4220.1 F in contracts funded in
whole or in part by this Agreement for all such contracts as specified in FT A
Circular 4220.1 F. The incorporation of FT A-required terms has unlimited flow
down.
d. All FT A-mandated terms will be deemed to control in the event of a conflict with
other provisions contained in this Agreement. City shall not perform any act, fail
to perform any act, or refuse to comply with any RTD requests which would
cause RTD to be in violation of the FT A terms and conditions.
e. City shall not assign, transfer, or convey this Agreement, or any part thereof,
without the prior written consent of RTD.
f. The Federal Certifications and Assurances applicable to this Agreement are
attached and fully incorporated by reference herein as Exhibit G. Such
certifications, assurances and terms are subject to updating by FT A; City shall
timely provide and comply with any additional FT A-required certifications and
assurances. City shall comply with all applicable requirements of such
certifications, assurances and terms, and shall extend and require its contractors
to extend all such requirements to each of City's contractors, subcontractors, and
any other third party participants whose work is funded in whole or in part by the
Grant.
17. Audits. RTD, FHWA, FTA, or any auditor or contractor acting on their behalf shall have
the right to audit the City's books and records and . the books and records of the
Consultant(s) performing the work for the Plan, and the contracts awarded for this Plan
shall provide that RTD, FHWA and/or FTA shall have the right to audit the Consultant's
and all of Consultant's subcontractors' books and records as they pertain to the
development of the Plan for a period of three (3) years from the date of completion of the
Consultant's work to develop the Plan.
18. Merger. This Agreement represents the entire agreement between the Parties and may
be amended only in writing, signed by the Parties .
19. Disputes. Disputes shall initially be resolved by the Party Liaisons defined as: (i) first,
RTD's Assistant General Manager for Planning and Development and the City's
Community Development Director and (ii) second, RTD's General Manager and the City
Manager if the Party Liaisons set forth in subsection (i) above are unable to resolve the
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dispute. If none of the Party Liaisons are able to resolve the dispute, they shall agree to
an impartial mediator to resolve the dispute.
Notices. All contacts, communications, and data required to be performed or exchanged
pursuant to this Agreement will be sent to the following persons or their successors
designated in writing:
For RTD:
Bill Sirois
Manager of Transit Oriented Development
Regional Transportation District
1560 Broadway, Suite 700
Denver, Colorado 80202
For the City of Englewood:
Alan White
Community Development Director
City of Englewood
1000 Englewood Parkway
Englewood, CO 80110
21. Term. This Agreement shall become effective upon the date of execution and will
terminate upon completion and final acceptance of the Plan by the City, unless sooner
terminated as provided in section 14.
22. Further Cooperation. The Parties agree that they will cooperate with one another in
accomplishing the terms, conditions, and provisions of this Agreement, and will execute
such additional documents as necessary to effectuate the same.
23. No Joint Venture. Nothing contained in this Agreement is intended to create a partnership,
joint venture or joint enterprise between the Parties, and any implication to the contrary is
hereby disavowed. This Agreement does not authorize any Party hereto to act as an agent
of the other Party hereto for any purpose .
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IN WITNESS WHEREOF, the Parties hereto have executed this Agreement on the •
___ day of , 2014.
REGIONAL TRANSPORTATION
DISTRICT
By:
Phillip A. Washington
General Manager
Approved as to legal form for the Regional
Transportation District:
Rolf G. Asphaug
Deputy General Counsel
CITY OF ENGLEWOOD
By: ____________ _
Randy P. Penn
City Mayor
ATIEST:
Loucrishia Ellis, City Clerk •
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Exhibit A -Project Area Maps
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Exhibit A -Englewood Light Rail Corridor Plan
Preferred Development Scenario and Fundamental Concept Maps
ENGLEWOOD
LIGHT RAIL CORRIDOR PLAN
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ENGLEWOOD
LIGHT RAIL CORRIDOR PLAN
MrlilyH.itij¢M!42'•J.l'iijiQfi•li}ij
.······················
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W Oxford Ave
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Exhibit B -DRCOG FY14-15 Station
Area/Urban Center Studies Eligibility & e
Evaluation Criteria
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FY 14-15 Station Area/Urban Centers Studies -Project Eligibility
Rules
Station Area Master Plans or Urban Center Studies further implementation of the Tier 1
Base Rapid Transit System (Figure 16: 2035 RTP) at existing or future rapid transit
station locations OR further implementation of urban centers identified in the Metro
Vision 2035 plan. Such studies include the four types of planning studies described
below. Sponsors are limited to two studies per fiscal year (i.e. each sponsor could have
as many as two studies in FY14 and two studies in FY15). ·
1.) Corridor-wide studies focusing on:
• Maximizing multi-modal connectivity within transit corridors (including high
frequency bus corridors that serve one or more urban centers -high frequency
bus corridors have headways of 15 minutes or less) and at individual station
areas/urban centers along the corridor
• Identifying barriers to station area development and increased transit use along
the corridor -barriers could include current land use, zoning and development
standards; parking availability and cost; inadequate supportive infrastructure, etc.
• Creating corridor-wide implementation strategies and/or an action plan identifying
such things as needed plan updates, code revisions, and financial or regulatory
incentive
• Corridor-wide studies must involve all the local jurisdictions and other major
stakeholders along the corridor
2.) Creation and adoption of an "original" or updated station area master plan or
urban center study. The scope for such a plan/study must include:
Stakeholder Engagement
• Outreach and engagement process that promotes the involvement of
stakeholders in the study area, with efforts and accommodations made to include
low to moderate income, minority, and elderly or disabled citizens.
• Active involvement by DRCOG, any relevant transit agency, and the public in the
development of the plan.
Placemaking
• Identification (map) of type and density of future land uses, including public
spaces
• Internal circulation plan(s) (maps or graphics) for motor vehicles, transit, bicycle
and pedestrian and strategies to increase multi-modal connections with the larger
region
• Identifying barriers (e.g. parking, zoning, infrastructure, etc.) to station area
and/or urban center development
• Detailed development strategies that allow people of all ages, incomes and
abilities the opportunity to access a range of housing, employment, and services
• A market or fiscal feasibility analysis that assesses plan recommendations and
ensures the proposed plan is realistic and/or efforts to market the area to the
development community in cases where a traditional market might not yet exist
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Action Plan and Implementation Strategies
• A clear and realistic action plan to address key findings, including identification of
necessary policy or regulatory changes (e.g. comprehensive plan, zoning, etc.);
infrastructure improvements, and housing strategies.
• An implementation strategy that describes the organizational structure and
process that will be used to ensure the action plan is implemented
Assessment and Impacts
• Indicators or metrics related to key strategies (e.g. housing affordability, multi-
modal connectivity, leveraging private investment, environmental quality, etc.)
• Identification of the transportation impacts and air quality benefits of the
proposed plan ·
• Current and future population, housing units, and employment estimates to the
year 2040 (in five-year increments), including distribution of planned housing
units by type and square feet of future non-residential development
3.) Additional "Next Step" plans/studies to further the development of the area if a
station area master plan or urban center study was previously developed and
adopted. Such plans/studies are only eligible if they:
• Are for planning activities that are clearly and unambiguously related to
transportation infrastructure for use by the general public, AND
• Are for planning/design activities that do not conflict with any relevant transit
agency's planning/design activities as demonstrated by a letter of concurrence
from the agency.
Next Step studies should be identified in an existing plan for the area and must further
the existing plan -potential Next Step projects could include:
• Parking management studies
• Access management plans
• Corridor redevelopment plans
• Design studies and concepts for multi-modal infrastructure projects
• Street design standards/manuals
• Regional multi-use trail feasibility study
• Multi-use Trail/Bike Facilities plan
• Urban design and development guidelines
• Targeting housing strategies (e.g. to facilitate jobs-housing balance, affordable
housing, etc.)
• Comprehensive wayfinding plans and strategies
• Traffic circulation studies (including traffic simulation model development)
• First/Last-mile mobility implementation, financing, partnership studies
• Transit circulator feasibility
• Transportation demand management studies and implementation activities
4.) Area Planning and Implementation Activities
Area Implementation Activities will promote innovative planning activities that can be
replicated throughout the Denver region. Eligible projects will include multiple
jurisdictions, station areas and urban centers aiming to study a common issue while
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focusing on local context and implementation strategies -the projects could include: •
• Electric or natural gas-fueled vehicles facility planning
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• Parking management planning and strategies
• Development and TOD financing strategies
• Workforce and affordable housing tools
• First/last-mile mobility implementation and financing studies
FY 14-15 Station Area/Urban Centers Studies -Evaluation Criteria
Metro Vision establishes the importance of urban centers in transit station areas in the
region's efforts to reach regional goals and describes a desired future that includes
healthy, livable communities connected by a robust multi-modal transportation network.
These communities will have high levels of internal connectivity and be well-connected
to the region at large. Additionally, they will support housing suitable for a wide range of
incomes and the full spectrum of life stages; and use innovative planning, zoning and
urban design strategies to promote higher density, mixed-use development, and
transportation options.
DRCOG staff will determine eligibility based on the Project Eligibility Rules. The
following evaluation criteria will be applied to all eligible submittals.
Project Evaluation -Regional Priorities
DRCOG staff will conduct an evaluation to identify priority projects in each eligible study
type (i.e. corridor-wide, original studies, next steps, and area planning and
implementation activities). A second evaluation (Project Impact) will also be conducted
as described below. Regional priorities for studies are as follows:
1. Corridor-wide studies: Priority will be given to existing transit corridors and
corridors included in the Tier 1 Base Rapid Transit System (Figure 16: 2035
RTP) that are not receiving corridor planning funds through the region's
Sustainable Communities Initiative (SCI). Planned transit corridors included in
the Tier 1 Base Rapid Transit System that are not receiving SCI corridor planning
funds include:
• 1-225 LRT Corridor
• North Metro Rail Line
• Southeast Rail Extension
• Southwest Rail Extension
• Central Corridor Extension
2. "Original" or major updates to Urban Center/Station Area Plans:
• Proposed study areas include a rapid transit station and include an urban
center designated in Metro Vision will be given priority.
• Urban centers designated as "existing" or "emerging" will be prioritized over
"planned" urban centers.
3. Next Steps Studies
• Next steps studies that support completed station area plans for stations
along the Tier 1 Base Rapid Transit System will be given priority.
29
4. Area Planning and Implementation Activities
• Studies, plans, tools plans or programs that directly advance Metro Vision,
including RTP, policies (e.g. Urban Centers and Transportation policies)
through regional/multi-jurisdictional planning and implementation will be given
priority.
Project Evaluation -Project Impact
In addition to the Regional Priorities Evaluation a second evaluation criteria will be
applied to proposed, eligible projects. Proposals will be evaluated by a project
recommendation committee comprised of DRCOG staff, selected regional stakeholders
with a variety of interests and expertise (e.g. transportation, design, environment,
housing, etc.), RTD and local governments that have previously received funds, but are
not seeking funds in FY14 or FY15. The committee will submit recommendations to the
appropriate DRCOG committees and Board of Directors. Recommendations will reflect
the regional priority evaluation described above and the project impact criteria described
below.
Study Need (20%) -Application will include an issue statement that clearly identifies
the local !regional need of the study along with the desired outcomes.
Potential of Study Area to Contribute to the vision, goals and policies embodied
in Metro Vision (60%), including:
•
•
• Be active, pedestrian-, bicycle-, and transit-friendly places that are more
dense and mixed in use than surrounding areas •
• Promote regional sustainability by reducing per capita VMT, air pollution and
greenhouse gas emissions
• Provide reliable mobility choices to all users: residents and visitors of all ages,
incomes and abilities, as well as businesses that provide services and
produce or sell goods.
Local Commitment and Ability to Implement (10% -proposed) -Urban
Center/Station Area studies are the first step in a larger commitment to implement the
plan and create positive changes at the local level that contribute to regional goals.
Applicants will describe prior activities in support of quality growth projects in the study
area as well as the sponsor's ability to successfully complete the project in a timely
fashion while involving project area stakeholders. Sponsor overmatch will also be
considered.
Innovation and Feasibility (10% -proposed) -Proposed studies will be evaluated on
project applicability, feasibility and innovation. Project evaluation will focus on:
• Innovation in project scope
• Practicality/feasibility of scope of work and budget
• Coordination with other local governments, organizations, and non-profits
• Applicability and transferability of project outcomes locally and regionally •
30
•
•
•
•
Exhibit C -RTD TOD Policy
31
Exhibit C
RTD TOD Policy
Policy Adoption
The RTD Board of Directors passed and adopted the following Transit Oriented Development
Policy on the 18th day of April 2006 (amended September 16, 2008 and September 21, 2010)
as the framework to support TOD planning and development at existing and future stations
throughout the district.
Definition of TOD
While TOD can have many physical forms, it generally includes the following design principles:
• More compact and dense development within a 5-to 10-minute walk around transit
facilities compared to existing development patterns in the same area;
• A mix of uses-either horizontal or vertical-usually including residential, retail, and
office employment;
• High-quality, pedestrian-oriented urban design and streetscapes.
By focusing compact development around transit stations, TOD capitalizes on the value of
public infrastructure investments and promotes sustainability. These development synergies
promote increased transit ridership and an integrated station environment with more passenger
amenities. In addition to increased ridership and more passenger amenities, TOD is also a
•
•
successful tool for promoting local economic development, helping communities plan for •
sustainable growth, and increasing the overall quality of life in a region.
Basis for TOD Policy
TOD's ability to increase transit usage while achieving valuable ancillary benefits for the region
means that it plays a crucial role in fulfilling RTD's organizational mission: "To meet our
constituents' present and future public transit needs by offering safe, clean, reliable, courteous,
accessible and cost-effective service throughout the district."
RTD's mission is to provide transit service, and RTD recognizes that other public agencies and
private developers are responsible for the region's built environment. However, RTD believes
that increased coordination among public and private organizations in promoting TOD through
land use planning, zoning, and the development process will result in higher-quality, sustainable
communities that meet the varying objectives of all parties .
The Federal government has provided direction by recognizing livable communities and the
importance of partnerships through the Partnership for Sustainable Communities, which
includes the Department of Transportation (DOT), the Environmental Protection Agency (EPA),
and the Department of Housing and Urban Development (HUD). The mission of the Partnership
for Sustainable Communities is to provide citizens with access to affordable housing, more
transportation options, and lower transportation costs, while protecting the environment in
communities nationwide. Specifically, the Partnership for Sustainable Communities identified
the following guiding principles in a June 161h, 2009 joint press release from DOT, EPA and
HUD:
1. Provide more transportation choices: Develop safe, reliable and economical •
transportation choices to decrease household transportation costs, reduce our nation's
32
•
•
•
•
dependence on foreign oil, improve air quality, reduce greenhouse gas emissions and
promote public health.
2. Promote equitable and affordable housing: Expand location-and energy-efficient
housing choices for people of all ages, incomes, races and ethnicities to increase
mobility and lower the combined cost of housing and transportation.
3. Enhance economic competitiveness: Improve economic competitiveness through
reliable and timely access to employment centers, educational opportunities, services
and other basic needs by workers as well as expanded business access to markets.
4. Target resources to existing communities: Target federal funding toward existing
communities through such strategies as transit-oriented, mixed-use development and
land recycling to increase community revitalization, improve the efficiency of public
works investments, and safeguard rural landscapes.
5. Coordinate and leverage federal policies and investments: Align federal policies
and funding to remove barriers to collaboration, leverage funding and increase the
accountability and effectiveness of all levels of government to plan for future growth,
including making smart energy choices such as locally generated renewable energy.
6. Value unique characteristics of communities, no matter their size: Enhance the
unique characteristics of all communities by investing in healthy, safe and walkable
neighborhoods -rural, urban or suburban.
These federal livability principles provide a policy framework which helps guide federal funding
decisions. As such, they provide important insight as to what RTD's federal partners consider
to be important in fashioning better integration among land use, transportation and the
environment.
RTD has the power of eminent domain, or condemnation, to carry out the purposes set forth in
its enabling act (C.R.S. 32-9-161 ). Pursuant to its enabling act, RTD is authorized to operate a
mass transportation system (C.R.S. 32-9-107). Therefore, RTD may exercise the power of
eminent domain as necessary for the operation of its mass transportation system. RTD does not
have authority to exercise its power of eminent domain for any other use, even if it serves a
public purpose.
TOD Vision
RTD's vision for TOD is to encourage compact, mixed-use, pedestrian-oriented, high-quality
development at and around transit stations consistent with federal requirements, regional goals,
and community objectives-including sustainable growth-in partnership with stakeholders
while operating an attractive, comfortable, and convenient transit system for the residents of the
district.
Since there is no one-size-fits-all approach to TOD, RTD has identified four key goals to best
achieve success:
1. Promoting multi-sector, cross-jurisdictional partnerships ;
2. Encouraging livable communities and sustainable development that support the
transit system;
3. Ensuring a hierarchy of multimodal access; and
4. Protecting and enhancing RTD's transit assets.
33
2.5 Goals and Strategies
Goal 1: RTD will foster relationships with local jurisdictions, regional agencies, private
developers, local residents and businesses, and other stakeholders to support transit
station area planning and TOD implementation.
Strategies to achieve this goal include:
• Providing RTD staff expertise and resources to local jurisdictions for station area
planning and zoning
• Supporting efforts to encourage TOD by DRCOG, which include conducting research,
sharing information, and providing planning assistance to connect transit service
expansion to economic and community development that supports sustainable growth
consistent with the DRCOG Metro Vision Plan
• Working with trade and advocacy organizations-such as the Urban Land Institute (ULI)
-to promote TOD education and best practices
• Promoting and developing partnerships with private developers, public agencies and
other stakeholders to advance TOD beyond planning to implementation
Goal 2: RTD will encourage livable communities and sustainable development that
support the transit system.
Strategies to achieve this goal include:
• Collaborating with local jurisdictions on station area planning and TOD for areas within
up to a 1 a-minute walk of stations
• · Advocating for new development which generally meets the following characteristics in
support of federal livability principles :
o It is denser than existing development patterns in the surrounding area
o It contains a mix of uses
o It has a compact and attractive urban design
o It promotes multimodal access so individuals need not rely on single
occupant vehicles and allows easy pedestrian access to transit facilities
o It supports a diversity of housing choices, including choices for low and
moderate income individuals
o It incorporates sustainable development strategies such as renewable
energy, sustainable building materials, stormwater management, and
comprehensive parking management.
• Promoting the development of "transit oriented communities" which embrace livability
principles and truly integrate transit facilities with the surrounding community
• Promoting workforce development to enhance the strength and competiveness of the
local economy
• Encouraging local jurisdictions to adopt TOD supportive policies, plans and zoning for
•
•
•
areas within a 1 a-minute walk of transit stations within their jurisdiction that provide a •
flexible framework for TOD and prevent development which does not support transit
34
• • Participating in joint development projects which provide the opportunity to preserve
ridership, build or improve infrastructure to support transit, have local jurisdiction support
and embrace the principles of livable communities
• Goal 3: RTD supports multimodal access to the transit system by all users.
•
•
Strategies to achieve this goal include:
• Supporting a hierarchy of access to rapid transit which considers the following modes in
order of priority: pedestrians, bus riders, bicyclists, vehicles (short-term parking), and
vehicles (long-term parking)
• Considering access needs beyond RTD property in the planning and design of transit
stations, including:
o Pedestrian connections to destinations within a 5-to 10-minute walk
o Regional bus transit and bicycle connections
o Vehicular access for the station catchment area
• Strategically managing the use and construction of RTD parking facilities to balance
vehicular access and the opportunity for TOD to maximize ridership at stations and
minimize the need for single-occupancy vehicle trips by transit riders outside of their trips
to stations
• Optimizing RTD parking at stations by considering: proximity to Downtown Denver (less
parking closer in), local feeder bus service (less parking with higher levels of service),
and pedestrian connectivity (less parking with good pedestrian connections)
Goal 4: Protect and enhance RTD's transit assets and investments .
Strategies to achieve this goal include:
• Where appropriate, pursuing TOD as a means to increase the transit value of RTD-
owned land near stations
• Encouraging local jurisdictions to support TOD by:
•
o Utilizing best practices in TOD planning and implementation around transit
stations
o Encouraging station area planning early in the transit planning process,
consistent with the Federal Transit Administration's (FT A) New Starts guidance
for transit-supportive land uses
Leveraging federal investment in the regional transit system, recognizing that there is
significant competition among regions throughout the country for federal transit support,
by:
o Ensuring consistency of local policy with the FT A's guidelines for transit joint
development, which mandate a transit element, economic development, new or
enhanced inter-modal coordination, and non-vehicular capital improvements
resulting in increased transit usage
o Encouraging consistency of local policy with the Federal Partnership for
Sustainable Communities which promotes access to affordable housing, more
transportation options, and lower transportation costs, while protecting the
environment in communities nationwide.
35
• Where appropriate consider transitioning surface parking to structured parking, other
transit-related facilities or TOD (including shared parking with consideration of RTD's
parking management program and governing state legislation on parking) and in doing
so preserve the operational efficiency of the existing transit facility
• Utilizing shared and joint-use parking when available to reduce parking costs and add
ridership, including purchase of parking in private or public parking facilities on a long
term lease or other means through a partnership arrangement with local governments or
private developers. Shared and joint-use parking will be developed in coordination with
the RTD parking management program and state legislation.
• Favoring the acquisition of permanent rights that meet transit requirements to ensure
satisfactory continuing control of RTD property
• Utilizing joint development as a means to protect and enhance station ridership and build
or improve infrastructure needed to support transit and the development of livable
communities.
• Where land sales are pursued for joint development projects, ensuring that there will be
continuing utilization of the land for TOD purposes
• Recognizing that RTD will only acquire property for transit purposes (if opportunities
arise when those transit purposes can be met as required, and the potential for locally
supported and entitled developments at or near RTD stations emerge), RTD will
consider such development provided that the proposed development: (i) meets the
transit purpose for which the property was required; (ii) complies with all federal, state
and local laws; (iii) enhances transit use; and (iv) supports the principles of livable
communities.
36
•
•
•
•
• •
•
•
Exhibit D -Scope of Work
37
Exhibit D
CONSULTANT'S SCOPE OF WORK
Englewood Light Rail Corridor Next Steps Study
· The City of Englewood Community Development Department was successful in applying for a
second round of Station Area Master Plan funding allocated to 'Next Steps' studies. · The
Englewood Light Rail Corridor Next Steps Study is intended to take a closer, more
comprehensive look at various implementation projects identified in the Englewood Light Rail
Corridor Station Area Master Plan.
Project Goals
The key project goals are described as follows:
• Provide a strategic road map of sequential actions local governments can take to foster
redevelopment as depicted in the vision of the Englewood Light Rail Corridor Station
Area Master Plan.
• Advance the design of specific transportation improvements in a way that will maximize
the potential for project funding and implementation through the DRCOG TIP process,
as well as other direct federal grant opportunities.
• Comply with and address all of the relevant points articulated within the criteria
described by the DRCOG Station Area/Urban Center Studies Eligibility Criteria and the
RTD TOD Policy.
Project Elements
The study will be comprised of the following elements:
• Project Kickoff: Agency Coordination And Public Involvement Plan
• Real Estate Development Feasibility Analysis and Marketing/Implementation Strategy
• Englewood Transportation Improvements: Alternatives Development, Design, and
Evaluation
• Sheridan Transportation Improvements: Alternatives Development, Design, and
Evaluation
• Floyd Avenue/Englewood Parkway Extension and Bus Transfer/Piazza Redesign
Planning and Environmental Linkages (PEL) Study
The City of Englewood Community Development Department has developed the following
scope of work based on its understanding of project needs and requirements to advance the
vision outlined in the Englewood Light Rail Corridor Station Area Master Plan. The Next Steps
Study selection committee welcomes and encourages consultants to utilize their past project
• •
•
experience and knowledge of federal planning requirements and processes in developing their •
proposals based on the information presented in the City's envisioned scope of work.
38
• Project Kick Off: Agency Coordination and Public Involvement Plan
• The Agency Coordination and Public Involvement Plan shall at a minimum include:
•
•
• Identification of and consultations with agencies having an interest in the study area in
order to identify critical issues and problems in need of resolution
• Identification of community leaders, elected officials , and key community groups and
recommended level and means of involvement in the study by those identified
• Recommendation of the proper level and means of involvement in the study by the
public
• Identification of planned community events in the corridor that are scheduled during the
study
• Description of participation methods, objectives, and where each fits into the schedule
• Establishment of meeting dates, times, and venues in coordination with City Project
Manager
• Establishment of parameters for a project webs ite.
Real Estate Development Feasibility Analysis and Marketing/Implementation Strategy
The Real Estate Development Feasibility Analys is will assess the development potential for
transit-oriented, multi-unit residential development for four distinct areas, taking into
consideration the following items for analysis:
• Economic Overview
• Site and Location Analysis
• Market Assessment (supply, demand, and projected absorption; development concept
and market fit; product mix and positioning; competitive position of project site)
The Real Estate Marketing/Implementation Strategy will evaluate various development
strategies for the four distinct areas , including incremental parcel development by multiple
owners versus a master development by a single owner-developer or joint partnership involving
multiple shareholders. The implementation strategy will also address possible sources of
revenue and financing for the key transportation improvements previously identified , as well as
ancillary streets, utilities, and parks. Finally, the implementation strategy will outline marketing
strategies, project triggers, and a realistic timeline for development.
The Real Estate Development Feasibility Analysis and Marketing/Implementation Strategy will
be conducted for the following transit-oriented development areas envisioned in the Englewood
Light Rail Corridor Station Area Master Plan:
Englewood Station -West Neighborhood
The West Neighborhood is located between Dartmouth and Hampden Avenue on the north and
south, and Santa Fe Drive and Zuni Street on the east and west, and includes the South Platte
39
River. The area is currently developed with industrial uses and is not directly connected to the
Englewood Station. The Englewood Light Rail Corridor Plan envisions the creation of a key
roadway connection from Englewood Station underneath the existing rail corridor and adjacent
highway (Santa Fe Drive), and continuing westward with a bridge spanning the South Platte
River. This connection would change the potential for attracting transit-oriented multi-unit
housing development to this area. The City is seeking a detailed strategy to facilitate
redevelopment. The consultant will be expected to meet with or interview key property owners
to assess their interests in redevelopment.
Englewood Station -CityCenter Englewood Neighborhood
The Englewood Light Rail Corridor Plan envisioned the development of additional multi-unit
residential developments immediately adjacent to the Englewood Station over current RTD and
City parking areas. The first couple of floors of such developments would continue to serve the
current RTD and City parking demand, and possibly allow for the expansion of the total park-n-
Ride parking supply, which is allocated in RTD's FasTracks plan. The corridor plan also
identified the existing bus turn around south of the station platform as a site for a hotel. The City
is seeking a detailed development strategy for these identified projects.
Oxford Station -South Neighborhood
• •
The Englewood Light Rail Corridor Plan envisioned the development of two parks located north
and south of Oxford Avenue that would serve to attract higher quality multi-unit residential
housing, including for sale units. The City is seeking a detailed strategy to establish the parks
and attract private real estate development. Additionally, the need for a mobility network plan
(streets, alleys, walkways) that serves to density the existing street network grid has recently
been identified. The mobility network plan will create a site plan framework for future residential
development based on street-oriented, form based zoning regulations; provide for multiple direct •
pedestrian connections to the light rail station; and optimize future traffic flow and disbursement.
Bates Station -North Neighborhood
The Bates Station-North Neighborhood primarily consists of the Winslow Crane and General
Iron Works properties. Planned Unit Developments were recently approved for both properties
that allow redevelopment for multi-unit residential use, without establishing site plans. The City
is seeking assistance in identifying public infrastructure needs for the area and developing
detailed strategies for financing and implementation. This includes developing options for a
mobility network plan (streets, alleys, walkways) that serves to density the existing street
network grid. The mobility network plan will create a site plan framework for future residential
development based on street-oriented, form based zoning regulations; provide for multiple direct
pedestrian connections to the light rail station; and optimize future traffic flow and disbursement.
Study Area Data Collection and Conditions Assessment
The Study Area Data Collection and Conditions Assessment shall include a number of the
following items (and any other items not listed) deemed necessary by the consultant to inform
the transportation alternatives development, design, and evaluation process. The data
collection needs for each individual project will vary depending on the extent of analysis and
documentation required. Prospective consultants shall specify a list of items tailored to the
needs of developing, designing, and evaluating each individual transportation project identified
for study in their proposals and budget accordingly.
40 •
• •
•
•
• Collection and consolidation of crash data and traffic counts (including truck traffic) to be
used for the safety and operational analyses
• Documentation of the existing and planned transportation system in the study area
including highway through and auxiliary lanes, right-of-way and access; arterial lanes
and access; transit types/service levels including station locations, routes and frequency,
safety records and ridership and major concentrations of riders. The document shall also
include bicycle and pedestrian facilities, planned and existing intermodal connection
facilities and stations, as well as major utilities
• Documentation of the travel markets that use the transportation system to establish
geographic locations of trip origins and destinations, trip purpose (Commuter/Non-
commuter trips), local versus regional trips, and average length of trip
• Summarization of land use and modeling data as provided by the DRCOG travel
demand model
• Summarization of current and future traffic operations for both the AM and PM peak
hours
• Estimation of future travel demands
• Identification of distinct segments of each corridor which share distinguishing urban
traits, adjacent land use characteristics and existing roadway conditions
• Summarization of current roadway features including lane configurations, roadway and
right-of-way widths and adjacent land ownership characteristics, building set-backs,
utility and environmental concerns
• Illustration of the typical existing cross section for each discrete segment of each corridor
and an assessment of the operational and safety adequacy of that cross-section based
on both existing and future (2035) travel demands
• Development of an Environmental Overview. The following environmental resources are
considered as essential resources for study and documentation. This list is not all-
inclusive and is subject to change based on meetings with project stakeholders
1. Land Use
2. Floodways and 100-year floodplain boundaries
3. Parks and Recreational. Resources
4. Historic Resources
5. Hazardous Substances
6. Wetlands and Other Waters of the US
7. Wildlife/Threatened and Endangered Species
• Documentation of the list of issues that resulted from contacts with stakeholders and
general knowledge of the study area to identify a list of key needs
• Preparation of a preliminary list of existing and anticipated deficiencies in the study area.
The list should describe the existing or anticipated deficiencies in the transportation
system and the growth or changing needs in the study area along with an estimate as to
the timeframe in which deficiencies will occur
41
Englewood Transportation Improvements: Alternatives Development, Design, and
Evaluation
Key transportation improvement implementation projects identified in the Englewood Light Rail •
Corridor Station Area Master Plan for further evaluation are listed below:
• Rail Trail -includes trail alignment and bridges
• Oxford, Dartmouth, Clarkson Protected Bikeway Loop
• Southwest Greenbelt Trail Improvements and Extension
• Floyd Avenue Extension
• Englewood Parkway Extension and Bus Transfer/Piazza Redesign
• Englewood Station Platform Shelter
The Floyd Avenue Extension project is directly linked with the Englewood Parkway
Extension/Bus Transfer and Piazza Redesign project, as both of these projects as currently
envisioned would need to be constructed together. Federal transportation and environmental
regulations for automobile road projects require a more extensive Planning and Environmental
Linkages (PEL) analysis and documentation process for these projects.
The consultant will develop a reasonable range of alternatives for each key near-term
transportation improvement project identified in the Englewood Light Rail Corridor Station Area
Master Plan. The consultant will complete basic engineering for the alternatives to be screened. •
Basic engineering will generally be to a conceptual level of design; however, more detail may be
needed for some projects to support feasibility analysis and screening. The range of
alternatives will be evaluated using a screening process through which the level of analysis
detail becomes greater as the number of alternatives reduces. The consultant will produce an
easy-to-read pictorial summary guide that helps the public evaluate the pros and cons of each
alternative in a creative and meaningful way. This evaluation is intended to illuminate the issues
and provide a coherent discussion prior to selecting preferred strategies. Following screening,
the proposed actions will be documented and the conceptual designs will be further refined as
needed to avoid impacts and/or provide mitigation. The conceptual designs of the proposed
actions will be developed to a 5% design level in order to develop accurate cost estimates for
each project. An exception to the 5% design level specification is desired for the Rail Trail
project, budget permitting. This project is considered to be the City's top near term priority
project. The Rail Trail project is envisioned to serve not only as a means of providing safe and
efficient pedestrian and bicycle access to the stations, but as a signature image enhancement
for the corridor and the City as well. Aesthetic aspects regarding landscaping, lighting, furniture,
and artistic design elements should be considered for incorporation into the conceptual design
process.
Sheridan Transportation Improvements: Alternatives Development, Design, and
Evaluation
The neighboring City of Sheridan has requested to participate in the Englewood Light Rail
Corridor Next Steps Study as a secondary partner to the City of Englewood in order to evaluate
two additional projects that were not identified in the original Englewood Light Rail Corridor •
Station Area Master Plan.
42
• •
• Oxford Avenue Protected Bikeway -Oxford Station to Fort Logan
• Oxford Station Pedestrian Bridge/Tunnel -Station Connection to west side of Santa Fe
Drive
The consultant will develop a reasonable range of alternatives for the City of Sheridan projects.
The consultant will complete basic engineering for the alternatives to be screened. Basic
engineering will generally be to a conceptual level of design; however, more detail may be
needed in some areas to support feasibility analysis and screening . The range of alternatives
will be evaluated using a screening process through which the level of analysis detail becomes
greater as the number of alternatives reduces. The consultant will produce an easy-to-read
pictorial summary guide that helps the public evaluate the pros and cons of each alternative in a
creative and meaningful way. This evaluation is intended to illuminate the issues and provide a
coherent discussion prior to selecting preferred strategies. Following screening, the proposed
actions will be documented and the conceptual designs will be further refined as needed to
avoid impacts and/or provide mitigation. The conceptual designs of the proposed actions will be
developed to a 5% design level in order to develop accurate cost estimates for each project.
Floyd Avenue/Englewood Parkway Extension and Bus Transfer/Piazza Redesign
Planning and Environmental Linkages Study
The City of Englewood anticipates the need to apply for Transportation Investment Generating
Economic Recovery (TIGER) grant funds in order to implement the Floyd Avenue/Englewood
Parkway Extension and Bus Transfer/Piazza Redesign project, which is subject to National
Environmental Policy Act (NEPA) review. In order to facilitate the NEPA review process for the
Floyd Avenue/Englewood Parkway Extension and Bus Transfer/Piazza Redesign project, a
• Planning and Environmental Linkages (PEL) document will be completed by the consultant.
•
A project Purpose and Need statement for the Floyd Avenue/Englewood Parkway Extension
and Bus Transfer/Piazza Redesign will be developed based primarily on the vision, goals, and
objectives found in the Englewood Light Rail Corridor Station Area Master Plan document, as
well as the Real Estate Development Feasibility and Marketing/Implementation Strategy report.
As a part of the Purpose and Need development process, the consultant will formally determine
the project extent based on a preliminary analysis of the independent utility and logical termini
for the project. Additionally, the consultant will conduct a review of all state, regional, and local
plans and capital improvements programs, which will inform the context of the Purpose and
Need Statement. Finally, the consultant will select the most appropriate travel demand models
for use in evaluating project design alternatives.
The Con~ultant will prepare a PEL Study that includes an Executive Summary and the following
chapters: Purpose and Need Statement, Proposed Actions, No-Action Alternative, Other
Alternatives Considered and Alternative Screening, Affected Environment and Environmental
Consequences, Agency Coordination and Public Involvement, and Implementation, as well as
all associated technical reports and the completion of the FHWA PEL Questionnaire .
43
Exhibit E -FTA Terms
44
• •
•
•
,\--.,
• Exhibit E to Section 5307 Agreement
FEDERAL TRANSIT ADMINISTRATION (FTA) TERMS
ALL FTA ASSISTED THIRD PARTY CONTRACTS AND SUBCONTRACTS
•
•
32
• Exhibit E -Table of Contents
FTA 1 NO FEDERAL GOVERNMENT OBLIGATIONS TO THIRD PARTIES ..................................... 35
FTA 2 FALSE OR FRAUDULENT STATEMENTS OR CLAIMS-CIVIL AND CRIMINAL FRAUD .... 35
FTA 3 ACCESS TO THIRD PARTY CONTRACT RECORDS .............................................................. 35
FTA 4 CHANGES TO FEDERAL REQUIREMENTS ............................................................................ 36
FTA 5 CIVIL RIGHTS ............................................................................................................................. 36
FTA 6 DISADVANTAGED BUSINESS ENTERPRISES (DBE)s .......................................................... 37
FTA 7 INCORPORATION OF FTA TERMS .......................................................................................... 38
FTA 8 TERMINATION ........................................................................................................................... 39
FTA 9 DEBARMENT AND SUSPENSION ............................................................................................ 40
FTA 10 BUY AMERICA ........................................................................................................................... 41
FTA 11 RESOLUTION OF DISPUTES, BREACHES, OR OTHER LITIGATION ................................... 41
FTA 12 LOBBYING .................................................................................................................................. 42
FTA13 CLEANAIR ................................................................................................................................. 42
FTA 14 CLEAN WATER .......................................................................................................................... 42
FTA 15 CARGO PREFERENCE ............................................................................................................. 43
• FTA 16 FLY AMERICA ............................................................................................................................ 43
FTA 17 CONSTRUCTION EMPLOYEE PROTECTIONS-DAVIS-BACON ACT ................................ 44
FTA 18 CONSTRUCTION EMPLOYEE PROTECTIONS-CONTRACT WORK HOURS & SAFETY
STANDARDS ACT ..................................................................................................................... 50
FTA 19 CONSTRUCTION EMPLOYEE PROTECTIONS-COPELAND ANTI-KICKBACK ACT ........ 50
FTA 20 BONDING FOR CONSTRUCTION ACTIVITIES EXCEEDING $100,000 ................................. 51
FTA 21 SEISMIC SAFETY ...................................................................................................................... 52
FTA 22 NONCONSTRUCTION EMPLOYEE PROTECTION -CONTRACT WORK HOURS & SAFETY
STANDARDS ACT ..................................................................................................................... 53
FTA 23 TRANSIT EMPLOYEE PROTECTIVE ARRANGEMENTS ........................................................ 54
FTA 24 CHARTER BUS OPERATIONS ................................................................................................. 55
FTA 25 SCHOOL BUS OPERATIONS .................................................................................................... 55
FTA 26 DRUG USE AND TESTING ........................................................................................................ 55
FTA 27 ALCOHOL MISUSE AND TESTING .......................................................................................... 56
FTA 28 PATENT RIGHTS ....................................................................................................................... 57
FT A 29 RIGHTS IN DATA AND COPYRIGHTS ..................................................................................... 57
FTA 30 SPECIAL NOTIFICATION REQUIREMENT FOR STATES ...................................................... 61 • FTA 31 ENERGY CONSERVATION ....................................................................................................... 61
33
• FTA32
FTA33
RECYCLED PRODUCTS ........................................................................................................... 61
CONFORMANCE WITH NATIONAL ITS ARCHITECTURE ..................................................... 61
FTA34 ADA ACCESS ............................................................................................................................. 62
FTA35 ASSIGNABILITY CLAUSE ......................................................................................................... 62
FTA36 BUS TESTING ............................................................................................................................ 63
FTA37 PRE-AWARD AND POST-DELIVERY AUDIT REQUIREMENTS ............................................. 63
FTA38 TVM CERTIFICATION ................................................................................................................ 63
•
•
34
•
•
•
•
Provisions 1 through 7 apply to ALL CONTRACTS
FTA 1 NO FEDERAL GOVERNMENT OBLIGATIONS TO THIRD PARTIES
A. RTD and Contractor acknowledge and agree that, notwithstanding any concurrence by the
Federal Government in or approval of the solicitation or award of the underlying Contract,
absent the express written consent by the Federal Government, the Federal Government is
not a party to this Contract and shall not be subject to any obligations or liabilities to RTD,
Contractor, or any other party (whether or not a party to that Contract) pertaining to any
matter resulting from the underlying Contract.
B. Contractor agrees to include the above clause in each subcontract financed in whole or in
part with Federal assistance provided by FT A. It is further agreed that the clause shall not
be modified, except to identify the subcontractor who will be subject to its provisions.
FTA2 FALSE OR FRAUDULENT STATEMENTS OR CLAIMS -CIVIL AND CRIMINAL
FRAUD
A. Contractor acknowledges that the provisions of the Program Fraud Civil Remedies Act of
1986, as amended, 31 U.S.C. § 3801 et seq. and U.S. DOT regulations, "Program Fraud
Civil Remedies," 49 CFR Part 31, apply to its actions pertaining to this Project. Upon
execution or performance of the underlying Contract, Contractor certifies or affirms the
truthfulness and accuracy of any statement it has made, it makes, it may make, or causes to
be made, pertaining to the underlying Contract or the FT A assisted project for which this
Contract work is being performed. In addition to other penalties that may be applicable,
Contractor further acknowledges that if it makes, or causes to be made, a false, fictitious, or
fraudulent claim, statement, submission , or certification, the Federal Government reserves
the right to impose the penalties of the Program Fraud Civil Remedies Act of 1986 on
Contractor to the extent the Federal Government deems appropriate.
B. Contractor also acknowledges that if it makes, or causes to be made, a false, fictitious, or
fraudulent claim, statement, submission, or certification to the Federal Government under a
Contract connected with a project that is financed in whole or in part with Federal assistance
originally awarded by FTA under the authority of 49 U.S.C. § 5307, the Government
reserves the right to impose the penalties of 18 U.S.C. § 1001 and 49 U.S.C. § 5307(n)(1)
on Contractor, to the extent the Federal Government deems appropriate.
C. Contractor agrees to include the above two clauses in each subcontract financed in whole or
in part with Federal assistance provided by FTA. It is further agreed that the clauses shall
not be modified, except to identify the subcontractor who will be subject to the provisions.
FTA3 ACCESS TO THIRD PARTY CONTRACT RECORDS
A. For a period of three years following Contract closing, the Contractor shall maintain,
preserve and make available to RTD, the FTA Administrator, the Comptroller General of the
United States, and any of their authorized representatives, access at all reasonable times to
any books, documents, papers and records of Contractor which are directly pertinent to this
Contract for the purposes of making audits, examinations, excerpts and transcriptions.
Contractor also agrees, pursuant to 49 CFR 633.17, to provide the FT A Administrator or his
or her authorized representatives, including any project management oversight contractor,
access to Contractor's records and sites pertaining to a major capital project, defined at 49
U .S.C. § 5302(a)1, which is receiving federal financial assistance through the programs
described at 49 U.S.C. §§ 5307, 5309 or 5311 .
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B. The Contractor shall maintain and RTD shall have the right to examine and audit all records
and other evidence sufficient to reflect properly all prices, costs or rates negotiated and •
invoiced in performance of this Contract. This right of examination shall include inspection at
all reasonable times of the Contractor's offices engaged in performing the Contract.
C. If this Contract is completely or partially terminated, the Contractor shall make available the
records relating to the work terminated until 3 years after any resulting final termination
settlement. The Contractor shall make available records .relating to appeals under the
Disputes clause or to litigation or the settlement of claims arising under or relating to this
Contract until such appeals, litigation, or claims are finally resolved.
D. "Access to Records and Reports" applies with equal force and effect to any subcontractors
hired by the Contractor to perform Work under this Contract. The Contractor shall insert this
provision in all subcontracts under this Contract and require subcontractor compliance
therewith.
FTA4 CHANGES TO FEDERAL REQUIREMENTS
Contractor shall at all times comply with all applicable FTA regulations, policies, procedures and
directives, including without limitation those listed directly or by reference in the current Master
Agreement between RTD and FTA, as they may be amended or promulgated from time to time
during the term of this Contract. Contractor's failure to so comply shall constitute a material
breach of this Contract. Contractor may contact either RTD or FT A for a copy of the current
FT A Master Agreement.
FTAS CIVIL RIGHTS (TITLE VI, ADA, EEO)
The following requirements apply to the underlying Contract:
A. Nondiscrimination-In accordance with Title VI of the Civil Rights Act, as amended, 42
U.S.C. § 2000d, section 303 of the Age Discrimination Act of 1975, as amended, 42 U.S.C.
§ 6102, section 202 of the Americans with Disabilities Act of 1990, 42 U.S.C. § 12132, and
Federal transit law at 49 U.S.C. § 5332, Contractor agrees that it will not discriminate
against any employee or applicant for employment because of race, color, creed, national
origin, sex, age, or disability. In addition, Contractor agrees to comply with applicable
Federal implementing regulations and other implementing requirements FT A may issue.
B. Equal Employment Opportunity -The following equal employment opportunity requirements
apply to the underlying Contract:
1. Race. Color, Creed, National Origin, Sex-In accordance with Title VII of the Civil Rights
Act, as amended, 42 U.S.C. § 2000e, and Federal transit laws at 49 U.S.C. § 5332,
Contractor agrees to comply with all applicable equal employment opportunity
requirements of U.S. Department of Labor (U.S. DOL) regulations, "Office of Federal
Contract Compliance Programs, Equal Employment Opportunity, Department of Labor,"
41 CFR Parts 60 et seq., (which implement Executive Order No. 11246, "Equal
Employment Opportunity," as amended by Executive Order No. 11375, "Amending
Executive Order 11246 Relating to Equal Employment Opportunity," 42 U.S.C. § 2000e
note), and with any applicable Federal statutes, executive orders, regulations, and
Federal policies that may in the future affect activities undertaken in the course of this
Contract. Contractor agrees to take affirmative action to ensure that applicants are
employed, and that employees are treated during employment, without regard to their
race, color, creed, national origin, sex, or age. Such action shall include, but not be
limited to, the following: employment, upgrading, demotion or transfer, recruitment or
recruitment advertising, layoff or termination; rates of pay or other forms of
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compensation; and selection for training, including apprenticeship. In addition,
Contractor agrees to comply with any implementing requirements FT A may issue .
2. Age-In accordance with section 4 of the Age Discrimination in Employment Act of 1967,
as amended, 29 U.S.C. § 623 and Federal transit law at 49 U.S.C. § 5332, Contractor
agrees to refrain from discrimination against present and prospective employees for
reason of age. In addition, Contractor agrees to comply with any implementing
requirements FT A may issue.
3. Disabilities-In accordance with section 102 of the Americans with Disabilities Act, as
amended, 42 U.S.C. § 12112, Contractor agrees that it will comply with the requirements
of U.S. Equal Employment Opportunity Commission, "Regulations to Implement the
Equal Employment Provisions of the Americans with Disabilities Act," 29 CFR Part 1630,
pertaining to employment of persons with disabilities. In addition, Contractor agrees to
comply with any implementing requirements FT A may issue.
C. Contractor also agrees to include these requirements in each subcontract financed in whole
or in part with Federal assistance provided by FT A, modified only if necessary to identify the
affected parties.
FT A 6 DISADVANTAGED BUSINESS ENTERPRISES (DBE)s
A. This Contract is subject to the requirements of Title 49, Code of Federal Regulations, Part
26, Participation by Disadvantaged Business Enterprises (DBEs) in Department of
Transportation Financial Assistance Programs. The national goal for participation of DBEs
is 10%.
8. The Contractor shall not discriminate on the basis of race, color, national origin, or sex in the
performance of this contract. The Contractor shall carry out applicable requirements of 49
CFR Part 26 in the award and administration of this DOT-assisted Contract. Failure by the
Contractor to carry out these requirements is a material breach of this Contract, which may
result in the termination of this contract or such other remedy as RTD deems appropriate.
Each subcontract the Contractor signs with a subcontractor must include the assurance in
this paragraph (see 49 CFR 26.13(b)).
C. The Contractor is required to pay its subcontractors performing Work related to this Contract
for satisfactory performance of that Work no later than 5 days after the Contractor's receipt
of payment for that Work from RTD. In addition, the Contractor shall return any retainage
payments to subcontractors within 5 days after incremental acceptance of the
subcontractor's Work by RTD and Contractor's receipt of the partial retainage payment
related to the subcontractor's Work.
D. The Contractor must promptly notify RTD, whenever a DBE subcontractor performing Work
related to this Contract is terminated or fails to complete its Work, and must make good faith
efforts to engage another DBE subcontractor to perform at least the same amount of Work.
The contractor may not terminate any DBE subcontractor and perform that Work through its
own forces or those of an affiliate without prior written consent of RTD.
E. RTD sets an annual overall goal for the participation of disadvantaged business enterprises.
This Contract contains a minimum level of DBE participation, and is awarded in reliance
upon the Contractor's representations that it can attain such DBE participation levels in
addition to all other of Contractor's representations, certifications and submittals as required
by Section IV, Attachment A, of this Contract.
The Contractor shall cooperate with RTD with regard to maximum utilization of DBEs and
will use its best efforts to insure that DBEs shall have the maximum practicable opportunity
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to compete for subcontract work under this Contract. The Contractor shall assist RTD in
verifying compliance with the DBE requirements of this Contract, if any, by submitting status •
reports itemizing payments to all DBE subcontractors with each monthly request for
payment. Upon Contract completion, the Contractor shall submit a summary of payments,
by subcontract, made to all subcontractors to RTD's Business Opportunity and Outreach
Officer.
FTA7 INCORPORATION OF FTA TERMS
The provisions of this Contract include, in part, certain Standard Terms and Conditions
required by DOT, whether or not expressly set forth in the Contract provisions. All contractual
provisions required by DOT, as set forth in FTA Circular 4220.1 F, dated November 1, 2008, as
may be amended, are hereby incorporated by reference. Anything to the contrary herein
notwithstanding, all FTA mandated terms shall be deemed to control in the event of a conflict
with other provisions contained in this Agreement. Contractor shall not perform any act, fail to
perform any act, o.r refuse to comply with any RTD requests which would cause RTD to be in
violation of the FT A terms and conditions. The incorporation of FT A terms has unlimited flow
down.
Provision 8 applies to AWARDS EXCEEDING $10,000
FTA8 TERMINATION
A. For Convenience. RTD may, by giving at least
14 days' written notice to the Contractor, terminate this Contract, or suspend performance •
hereunder, in whole or in part and at any time for RTD's convenience. The Contractor shall
be compensated solely for Work satisfactorily performed prior to the effective date and time
of termination or suspension. The Contractor shall have no right to recover lost profits on the
balance of the Work, or any other measure of damages.
B. For Default. RTD may declare default in the
Contractor's performance of any term of this Contract by giving seven days' written notice to
the Contractor specifying with particularity the basis for such default. The Contractor shall
deliver a response in writing to RTD within five days of Contractor's receipt of RTD's default
notice setting forth a reasonable proposal to cure or to prevent repetition of the default. If the
Contractor fails to timely respond to the notice of default, fails to cure the default, or if the
default occurs again on any Work performed (or which should have been performed) during
the remainder of the ·Contract term (including options), RTD shall have the right to terminate
this Contract for default by written notice. RTD is not required to provide subsequent written
notices of default for recurring instances of default already brought to the attention of the
Contractor in a written notice. In the event of such termination for default, the Contractor
shall be compensated solely for Work satisfactorily performed prior to the effective date and
time of termination. RTD may proceed with the Work by contract or otherwise and the
additional cost to RTD of completing the Work shall be deducted from any sum due the
Contractor. If after termination for default it is determined that the Contractor was not in
default, the rights and obligations of the parties shall be the same as if the termination had
been issued for RTD's convenience. The foregoing shall be in addition to any other legal or
equitable remedies available to RTD .
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C. Suspension of Work. RTD may suspend the
performance of the Contractor by giving the Contractor seven days' written notice. Upon
Contractor's receipt of notice of suspension of Work, the Contractor shall perform no further
Work and RTD will not be required to reimburse the Contractor for any costs incurred
subsequent to Contractor's receipt of notice of suspension and prior to notice to resume
Work, if any. Suspension of Work may be in whole or in part, as specified by RTD. The
Contractor shall continue to submit invoices for Work performed. If after six months of
suspension, RTD has not given the Contractor notice to resume Work, the Contractor is
entitled to request in writing that RTD either (1) amend the Statement of Contract Cost or (2)
terminate the Contract pursuant to ''Termination for Convenience." If suspension for more
than six months is not due in any part to the fault of the Contractor, RTD shall be required to
amend or terminate the Contract. No amendment to the Statement of Contract Cost shall be
made under this Article if suspension, delay, or interruption is due to the fault or negligence
of the Contractor, or for which an equitable adjustment is provided for or excluded under any
other term or condition of this Contract.
Provision 9 applies to AWARDS EXCEEDING $25,000
FT A 9 DEBARMENT AND SUSPENSION
A. If this Contract is valued · at $25,000 or greater, it is a covered transaction for purposes of
49 CFR Part 29. As such, Contractor is required to verify that none of Contractor, its
principals, as defined at 49 CFR 29.995, or affiliates, as defined at 49 CFR 29.905, are
excluded or disqualified as defined at 49 CFR 29.940 and 29.945.
B. Contractor is required to comply with 49 CFR 29, Subpart C and must include the
requirement to comply with 49 CFR 29, Subpart C in any lower tier covered transaction it
enters into.
C. By accepting this Contract, Contractor is certifying as follows:
1. The certification in this clause is a material representation of fact relied upon by RTD. If it
is later determined that Contractor knowingly rendered an erroneous certification, in
addition to remedies available to RTD, the Federal Government may pursue available
remedies, including but not limited to suspension and/or debarment. Contractor agrees
to comply with the requirements of 49 CFR 29, Subpart C throughout the period of this
Contract.
2. Contractor further agrees to include a provision requiring such compliance in its lower
tier covered transactions.
Provisions 10 through 11 apply to AWARDS EXCEEDING THE SIMPLIFTED ACQUISTION
THRESHOLD ($100,000)
FTA 10 BUY AMERICA
(for Rolling Stock, Construction and Materials/Supplies)
The Buy America requirements apply to all contracts for construction, the acquisition of goods,
or the acquisition of rolling stock that are valued at more than $100,000.
The Contractor agrees to comply with 49 USC 5323U) and 49 CFR Part 661, which provide that
Federal funds may not be obligated unless steel, iron, and manufactured products used in FT A-
funded projects are produced in the United States, unless a waiver has been granted by FT A or
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the product is subject to a general waiver. General waivers are listed in 49 CFR 661.7, and
include final assembly in the United States for 15 passenger vans and 15 passenger wagons •
produced by Chrysler Corporation, and microcomputer equipment and software. Separate
requirements for rolling stock are set out at 49 USC 5323U)(2)(C) and 49 CFR 661.11. Rolling
stock must be assembled in the United States and have a 60 percent domestic content. The
Contractor shall be responsible for ensuring that lower tier contractors and subcontractors are in
compliance with these requirements.
FTA 11 RESOLUTION OF DISPUTES, BREACHES, OR OTHER LITIGATION
A. Except as otherwise provided in this Contract, any dispute arising hereunder concerning a
question of fact that is not disposed of by agreement shall be decided by RTD 's General
Manager, or his or her delegate. Contractor will be notified of the decision in writing . To the
extent allowable by law, any such decision shall be final, conclusive, and not subject to judicial
review unless shown to be fraudulent, capricious, arbitrary, or so grossly erroneous as to imply
bad faith.
B. This Article does not preclude judicial consideration of questions of law. Nothing in this
Contract shall be construed as making final the decision of any administrative official,
representative, or board on a question of law.
C. All costs, expenses and attorney fees incurred by the Contractor in connection with any
appeal, suit or claim regarding a dispute that is brought by the Contractor shall be paid by the
Contractor.
D. The duties, obligations, rights, and remedies provided by the Contract shall be in addition to
and not a limitation of any duties, obligations, rights and remedies otherwise imposed or
available by law.
E. Unless otherwise directed by RTD, the Contractor shall continue performance under this
Contract while matters in dispute are being resolved.
Provisions 12 through 14 apply to AWARDS EXCEEDING $100,000 BY STATUTE
FTA 12 LOBBYING
Contractors and all subcontractors who apply or bid for an award of $ 100,000 or more shall
file the certification required by 49 CFR Part 20, "New Restrictions on Lobbying." Each tier
certifies to the tier above that it will not use and has not used Federal appropriated funds to pay
any person or organization for influencing or attempting to influence an officer or employee of
any agency, a member of Congress, officer or employee of Congress, or an employee of a
member of Congress in connection with obtaining any Federal contract, grant or any other
award covered by 31 U.S.C. § 1352. Each tier shall also disclose the name of any registrant
under the Lobbying Disclosure Act of 1995 who has made lobbying contacts on its behalf with
non-Federal funds with respect to that Federal contract, grant or award covered by 31
U.S.C. § 1352. Such disclosures are forwarded from tier to tier up to RTD. Contractor should
contact RTD for the appropriate certification or retrieve a copy from the FT A Best Practices
Manual at http://www.fta.dot.gov/librarv/admin/BPPM/.
FT A 13 CLEAN AIR
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A. Contractor agrees to comply with all applicable standards, orders or regulations issued •
pursuant to the Clean Air Act, as amended, 42 U.S.C. §§ 7401 et seq. Contractor agrees to
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report each violation to RTD and understands and agrees that RTD will, in turn, report each
violation as required to assure notification to FTA and the appropriate EPA Regional Office .
8. Contractor also agrees to include these requirements in each subcontract exceeding
$100,000 financed in whole or in part with Federal assistance provided by FTA.
FTA 14 CLEAN WATER
A. Contractor agrees to comply with all applicable standards, orders or regulations issued
pursuant to the Federal Water Pollution Control Act, as amended, 33 U.S.C. § 1251 et seq.
Contractor agrees to report each violation to RTD and understands and agrees that RTD
will, in turn, report each violation as required to assure notification to FT A and the
appropriate EPA Regional Office.
8. Contractor also agrees to include these requirements in each subcontract exceeding $
100,000 financed in whole or in part with Federal assistance provided by FT A.
Provisions 15 and 16 apply for the TRANSPORT OF PROPERTY OR PERSONS
FTA 15 CARGO PREFERENCE
(Rolling Stock, Construction and Materials/Supplies)
The Cargo Preference requirements apply to all contracts involving equipment, materials, or
commodities which may be transported by ocean vessels.
The Contractor agrees:
1. to use privately owned United States-Flag commercial vessels to ship at least 50 percent
of the gross tonnage (computed separately for dry bulk carriers, dry cargo liners, and
tankers) involved, whenever shipping any equipment, material, or commodities pursuant
to the underlying contract to the extent such vessels are available at fair and reasonable
rates for United States-Flag commercial vessels;
2. to furnish within 20 working days following the date of loading for shipments originating
within the United States or within 30 working days following the date of leading for
shipments originating outside the United States, a legible copy of a rated, "on-board"
commercial ocean bill-of -lading in English for each shipment of cargo described in the
preceding paragraph to the Division of National Cargo, Office of Market Development,
Maritime Administration, Washington, DC 20590 and to RTD (through the Contractor in
the case of a subcontractor's bill-of-lading);
3. to include these requirements in all subcontracts issued pursuant to this Contract when
the subcontract may involve the transport of equipment, material, or commodities by
ocean vessel.
FTA 16 FLY AMERICA
In the performance of Contracts that utilize FTA participation in the cost of international air
transportation, Contractor agrees to comply with 49 U.S.C. § 40118 (the "Fly America" Act) in
accordance with the General Services Administration's regulations at 41 C.F.R Part 301-10,
which provide that recipients and subrecipients of Federal funds and their contractors are
required to use U.S.-Flag air carriers for U.S Government-financed international air travel and
transportation of their personal effects or property, to the extent such service is available, unless
travel by foreign air carrier is a matter of necessity, as defined by the Fly America Act.
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Contractor shall submit, if a foreign air carrier was used, an appropriate certification or
memorandum adequately explaining why service by a U.S.-Flag air carrier was not available or •
why it was necessary to use a foreign air carrier and shall, in any event, provide a certificate of
compliance with the Fly America requirements. Contractor agrees to include the requirements of
this section in all subcontracts that may involve international air transportation.
Provisions 17 through 21 apply to CONSTRUCTION ACTIVITIES
FTA 17 CONSTRUCTION EMPLOYEE PROTECTIONS-DAVIS-BACON
(Awards that exceed $2,000)
(1) Minimum wages -(i) All laborers and mechanics employed or working upon the site of the
work (or under the United States Housing Act of 1937 or under the Housing Act of 1949 in the
construction or development of the project), will be paid unconditionally and not less often than
once a week, and without subsequent deduction or rebate on any account (except such payroll
deductions as are permitted by regulations issued by the Secretary of Labor under the
Copeland Act (29 CFR part 3)), the full amount of wages and bona fide fringe benefits (or cash
equivalents thereof) due at time of payment computed at rates not less than those contained in
the wage determination of the Secretary of Labor which is attached hereto and made a part
hereof, regardless of any contractual relationship which may be alleged to exist between the
contractor and such laborers and mechanics.
Contributions made or costs reasonably anticipated tor bona fide fringe benefits under section
1 (b)(2) of the Davis-Bacon Act on behalf of laborers or mechanics are considered wages paid to
such laborers or mechanics, subject to the provisions of paragraph (1 )(iv) of this section; also, •
regular contributions made or costs incurred for more than a weekly period (but not less often
than quarterly) under plans, funds, or programs which cover the particular weekly period, are
deemed to be constructively made or incurred during such weekly period. Such laborers and
mechanics shall be paid the appropriate wage rate and fringe benefits on the wage
determination for the classification of work actually performed, without regard to skill, except as
provided in 29 CFR Part 5.5(a)(4). Laborers or mechanics performing work in more than one
classification may be compensated at the rate specified for each classification tor the time
actually worked therein: Provided, that the employer's payroll records accurately set forth the
time spent in each classification in which work is performed. The wage determination (including
any additional classifications and wage rates conformed under paragraph (1 )(ii) of this section)
and the Davis-Bacon poster (WH-1321) shall be posted at all times by the contractor and its
subcontractors at the site of the work in a prominent and accessible place where it can be easily
seen by the workers.
(ii)(A) The contracting officer shall require that any class of laborers or mechanics, including
helpers, which is not listed in the wage determination and which is to be employed under the
contract shall be classified in conformance with the wage determination. The contracting officer
shall approve an additional classification and wage rate and fringe benefits therefore only when
the following criteria have been met:
(1) Except with respect to helpers as defined as 29 CFR 5 .2(n)(4), the work to be performed by
the classification requested is not performed by a classification in the wage determination; and
(2) The classification is utilized in the area by the construction industry; and
(3) The proposed wage rate, including any bona fide fringe benefits, bears a reasonable •
relationship to the wage rates contained in the wage determination; and
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(4) With respect to helpers as defined in 29 CFR 5.2(n)(4), such a classification prevails in the
area in which the work is performed .
(B) If the contractor and the laborers and mechanics to be employed in the classification (if
known), or their representatives, and the contracting officer agree on the classification and wage
rate (including the amount designated for fringe benefits where appropriate), a report of the
action taken shall be sent by the contracting officer to the Administrator of the Wage and Hour
Division, Employment Standards Administration, U.S. Department of Labor, Washington, DC
20210. The Administrator, or an authorized representative, will approve, modify, or disapprove
every additional classification action within 30 days of receipt and so advise the contracting
officer or will notify the contracting officer within the 30-day period that additional time is
necessary.
(C) In the event the contractor, the laborers or mechanics to be employed in the classification or
their representatives, and the contracting officer do not agree on the proposed classification and
wage rate (including the amount designated for fringe benefits, where appropriate), the
contracting officer shall refer the questions, including the views of all interested parties and the
recommendation of the contracting officer, to the Administrator for determination. The
Administrator, or an authorized representative, will issue a determination within 30 days of
receipt and so advise the contracting officer or will notify the contracting officer within the 30-day
period that additional time is necessary.
(D) The wage rate (including fringe benefits where appropriate) determined pursuant to
paragraphs (a)(1 )(ii) (B) or (C) of this section, shall be paid to all workers performing work in the
classification under this contract from the first day on which work is performed in the
classification.
(iii) Whenever the minimum wage rate prescribed in the contract for a class of laborers or
mechanics includes a fringe benefit which is not expressed as an hourly rate, the contractor
shall either pay the benefit as stated in the wage determination or shall pay another bona fide
fringe benefit or an hourly cash equivalent thereof.
(iv) If the contractor does not make payments to a trustee or other third person, the contractor
may consider as part of the wages of any laborer or mechanic the amount of any costs
reasonably anticipated in providing bona fide fringe benefits under a plan or program, Provided,
That the Secretary of Labor has found, upon the written request of the contractor, that the
applicable standards of the Davis-Bacon Act have been met. The Secretary of Labor may
require the contractor to set aside in a separate account assets for the meeting of obligations
under the plan or program. (v)(A) The contracting officer shall require that any class of laborers
or mechanics which is not listed in the wage determination and which is to be employed under
the contract shall be classified in conformance with the wage determination. The contracting
officer shall approve an additional classification and wage rate and fringe benefits therefore only
when the following criteria have been met:
(1) The work to be performed by the classification requested is not performed by a classification
in the wage determination; and
(2) The classification is utilized in the area by the construction industry; and
(3) The proposed wage rate, including any bona fide fringe benefits, bears a reasonable
relationship to the wage rates contained in the wage determination.
(B) If the contractor and the laborers and mechanics to be employed in the classification (if
known), or their representatives, and the contracting officer agree on the classification and wage
rate (including the amount designated for fringe benefits where appropriate), a report of the
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action taken shall be sent by the contracting officer to the Administrator of the Wage and Hour
Division, Employment Standards Administration, Washington, DC 20210. The Administrator, or •
an authorized representative, will approve, modify, or disapprove every additional classification
action within 30 days of receipt and so advise the contracting officer or will notify the contracting
officer within the 30-day period that additional time is necessary.
(C) In the event the contractor, the laborers or mechanics to be employed in the classification or
their representatives, and the contracting officer do not agree on the proposed classification and
wage rate (including the amount designated for fringe benefits, where appropriate), the
contracting officer shall refer the questions, including the views of all interested parties and the
recommendation of the contracting officer, to the Administrator for determination. The
Administrator, or an authorized representative, will issue a determination with 30 days of receipt
and so advise the contracting officer or will notify the contracting officer within the 30-day period
that additional time is necessary.
(D) The wage rate (including fringe benefits where appropriate) determined pursuant to
paragraphs (a)(1 )(v) (B) or (C) of this section, shall be paid to all workers performing work in the
classification under this contract from the first day on which work is performed in the
classification.
(2) Withholding -The RTD shall upon its own action or upon written request of an authorized
representative of the Department of Labor withhold or cause to be withheld from the contractor
under this contract or any other Federal contract with the same prime contractor, or any other
federally-assisted contract subject to Davis-Bacon prevailing wage requirements, which is held
by the same prime contractor, so much of the accrued payments or advances as may be
considered necessary to pay laborers and mechanics, including apprentices, trainees, and
helpers, employed by the contractor or any subcontractor the full amount of wages required by
the contract. In the event of failure to pay any laborer or mechanic, including any apprentice, •
trainee, or helper, employed or working on the site of the work (or under the United States
Housing Act of 1937 or under the Housing Act of 1949 in the construction or development of the
project), all or part of the wages required by the contract, the RTD may, after written notice to
the contractor, sponsor, applicant, or owner, take such action as may be necessary to cause the
suspension of any further payment, advance, or guarantee of funds until such violations have
ceased.
(3) Payrolls and basic records -(i) Payrolls and basic records relating thereto shall be
maintained by the contractor during the course of the work and preserved for a period of three
years thereafter for all laborers and mechanics working at the site of the work (or under the
United States Housing Act of 1937, or under the Housing Act of 1949, in the construction or
development of the project). Such records shall contain the name, address, and social security
number of each such worker, his or her correct classification, hourly rates of wages paid
(including rates of contributions or costs anticipated for bona fide fringe benefits or cash
equivalents thereof of the types described in section 1 (b)(2)(B) of the Davis-Bacon Act), daily
and weekly number of hours worked, deductions made and actual wages paid. Whenever the
Secretary of Labor has found under 29 CFR 5.5(a)(1 )(iv) that the wages of any laborer or
mechanic include the amount of any costs reasonably anticipated in providing benefits under a
plan or program described in section 1 (b)(2)(B) of the Davis-Bacon Act, the contractor shall
maintain records which show that the commitment to provide such benefits is enforceable, that
the plan or program is financially responsible, and that the plan or program has been
communicated in writing to the laborers or mechanics affected, and records which show the
costs anticipated or the actual cost incurred in providing such benefits. Contractors employing
apprentices or trainees under approved programs shall maintain written evidence of the •
registration of apprenticeship programs and certification of trainee programs, the registration of
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the apprentices and trainees, and the ratios and wage rates prescribed in the applicable
programs.
(ii)(A) The contractor shall submit weekly for each week in which any contract work is performed
a copy of all payrolls to the RTD for transmission to the Federal Transit Administration. The
payrolls submitted shall set out accurately and completely all of the information required to be
maintained under section 5.5(a)(3)(i) of Regulations, 29 CFR part 5. This information may be
submitted in any form desired. Optional Form WH-347 is available for this purpose and may be
purchased from the Superintendent of Documents (Federal Stock Number 029-005-00014-1),
U.S. Government Printing Office, Washington, DC 20402. The prime contractor is responsible
for the submission of copies of payrolls by all subcontractors.
(B) Each payroll submitted shall be accompanied by a "Statement of Compliance," signed by
the contractor or subcontractor or his or her agent who pays or supervises the payment of the
persons employed under the contract and shall certify the following:
(1) That the payroll for the payroll period contains the information required to be maintained
under section 5.5(a)(3)(i) of Regulations, 29 CFR part 5 and that such information is correct and
complete;
(2) That each laborer or mechanic (including each helper, apprentice, and trainee) employed on
the contract during the payroll period has been paid the full weekly wages earned, without
rebate, either directly or indirectly, and that no deductions have been made either directly or
indirectly from the full wages earned, other than permissible deductions as set forth in
Regulations, 29 CFR part 3;
(3) That each laborer or mechanic has been paid not less than the applicable wage rates and
fringe benefits or cash equivalents for the classification of work performed, as specified in the
applicable wage determination incorporated into the contract.
C) The weekly submission of a properly executed certification set forth on the reverse side of
Optional Form WH-347 shall satisfy the requirement for submission of the "Statement of
Compliance" required by paragraph (a)(3)(ii)(B) of this section.
(D) The falsification of any of the above certifications may subject the contractor or
subcontractor to civil or criminal prosecution under section 1001 of title 18 and section 231 of
title 31 of the United States Code.
(iii) The contractor or subcontractor shall make the records required under paragraph (a)(3)(i) of
this section available for inspection, copying, or transcription by authorized representatives of
the Federal Transit Administration or the Department of Labor, and shall permit such
representatives to interview employees during working hours on the job. If the contractor or
subcontractor fails to submit the required records or to make them available, the Federal agency
may, after written notice to the contractor, sponsor, applicant, or owner, take such action as may
be nec~ssary to cause the suspension of any further payment, advance, or guarantee of funds.
Furthermore, failure to submit the required records upon request or to make such records
available may be grounds for debarment action pursuant to 29 CFR 5.12.
(4) Apprentices and trainees -(i) Apprentices -Apprentices will be permitted to work at less than
the predetermined rate for the work they performed when they are employed pursuant to and
individually registered in a bona fide apprenticeship program registered with the U.S.
Department of Labor, Employment and Training Administration, Bureau of Apprenticeship and
Training, or with a State Apprenticeship Agency recognized by the Bureau, or if a person is
employed in his or her first 90 days of probationary employment as an apprentice in such an
apprenticeship program, who is not individually registered in the program, but who has been
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certified by the Bureau of Apprenticeship and Training or a State Apprenticeship Agency (where
appropriate) to be eligible for probationary employment as an apprentice. The allowable ratio of
apprentices to journeymen on the job site in any craft classification shall not be greater than the
ratio permitted to the contractor as to the entire work force under the registered program. Any
worker listed on a payroll at an apprentice wage rate, who is not registered or otherwise
employed as stated above, shall be paid not less than the applicable wage rate on the wage
determination for the classification of work actually performed. In addition, any apprentice
performing work on the job site in excess of the ratio permitted under the registered program
shall be paid not less than the applicable wage rate on the wage determination for the work
actually performed. Where a contractor is performing construction on a project in a locality
other than that in which its program is registered, the ratios and wage rates (expressed in
percentages of the journeyman's hourly rate) specified in the contractor's or subcontractor's
registered program shall be observed. Every apprentice must be paid at not less than the rate
specified in the registered program for the apprentice's level of progress, expressed as a
percentage of the journeymen hourly rate specified in the applicable wage determination.
Apprentices shall be paid fringe benefits in accordance with the provisions of the apprenticeship
program. If the apprenticeship program does not specify fringe benefits, apprentices must be
paid the full amount of fringe benefits listed on the wage determination for the applicable
classification. If the Administrator of the Wage and Hour Division of the U.S. Department of
Labor determines that a different practice prevails for the applicable apprentice classification,
fringes shall be paid in accordance with that determination. In the event the Bureau of
Apprenticeship and Training, or a State Apprenticeship Agency recognized by the Bureau,
withdraws approval of an apprenticeship program, the contractor will no longer be permitted to
utilize apprentices at less than the applicable predetermined rate for the work performed until an
acceptable program is approved.
(ii) Trainees -Except as provided in 29 CFR 5.16, trainees will not be permitted to work at less
than the predetermined rate for the work performed unless they are employed pursuant to and
individually registered in a program which has received prior approval, evidenced by formal
certification by the U.S. Department of Labor, Employment and Training Administration. The
ratio of trainees to journeymen on the job site shall not be greater than permitted under the plan
approved by the Employment and Training Administration. Every trainee must be paid at not
less than the rate specified in the approved program for the trainee's level of progress,
expressed as a percentage of the journeyman hourly rate specified in the applicable wage
determination. Trainees shall be paid fringe benefits in accordance with the provisions of the
trainee program. If the trainee program does not mention fringe benefits, trainees shall be paid
the full amount of fringe benefits listed on the wage_ determination unless the Administrator of
the Wage and Hour Division determines that there is an apprenticeship program associated with
the corresponding journeyman wage rate on the wage determination which provides for less
than full fringe benefits for apprentices. Any employee listed on the payroll at a trainee rate who
is not registered and participating in a training plan approved by the Employment and Training
Administration shall be paid not less than the applicable wage rate on the wage determination
for the classification of work actually performed. In addition, any trainee performing work on the
job site in excess of the ratio permitted under the registered program shall be paid not less than
the applicable wage rate on the wage determination for the work actually performed. In the
event the Employment and Training Administration withdraws approval of a training program,
the contractor will no longer be permitted to utilize trainees at less than the applicable
predetermined rate for the work performed until an acceptable program is approved.
(iii) Equal employment opportunity -The utilization of apprentices, trainees and journeymen
under this part shall be in conformity with the equal employment opportunity requirements of
Executive Order 11246, as amended, and 29 CFR part 30.
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(5) Compliance with Copeland "Anti-Kickback" Act requirements -The contractor shall comply
with the requirements of Section 1 of the Act, as amended, 18 U.S.C. § 874; Section 2 of the
Act, as amended, 18 U.S.C. § 3145; and U.S. DOL regulations "Contractors and Subcontractors
on Public Building or Public Work Financed in Whole or in Part by Loans or Grants from the
United States," 29 CFR Part 3, which are incorporated by reference in this contract.
(6) Subcontracts -The contractor or subcontractor shall insert in any subcontracts the clauses
contained in 29 CFR 5.5(a)(1) through (10) and such other clauses as the Federal Transit
Administration may by appropriate instructions require, and also a clause requiring the
subcontractors to include these clauses in any lower tier subcontracts . The prime contractor
shall be responsible for the compliance by any subcontractor or lower tier subcontractor with all
the contract clauses in 29 CFR 5.5.
(7) Contract termination: debarment -A breach of the contract clauses in 29 CFR 5.5 may be
grounds for termination of the contract, and for debarment as a contractor and a subcontractor
as provided in 29 CFR 5.12.
(8) Compliance with Davis-Bacon and Related Act requirements -All rulings and interpretations
of the Davis-Bacon and Related Acts contained in 29 CFR parts 1, 3, and 5 are herein
incorporated by reference in this contract.
(9) Disputes concerning labor standards -Disputes arising out of the labor standards provisions
of this contract shall riot be subject to the general disputes clause of this contract. Such disputes
shall be resolved in accordance with the procedures of the Department of Labor set forth in 29
CFR parts 5, 6, and 7. Disputes within the meaning of this clause include disputes between the
contractor (or any of its subcontractors) and the contracting agency, the U.S. Department of
Labor, or the employees or their representatives .
(10) Certification of eligibility -(i) By entering into this contract, the contractor certifies that
neither it (nor he or she) nor any person or firm who has an interest in the contractor's firm is a
person or firm ineligible to be awarded Government contracts by virtue of section 3(a) of the
Davis-Bacon Act or 29 CFR 5.12(a)(1).
(ii) No part of this contract shall be subcontracted to any person or firm ineligible for award of a
Government contract by virtue of section 3(a) of the Davis-Bacon Act or 29 CFR 5.12(a)(1 ).
(iii) The penalty for making false statements is prescribed in the U.S. Criminal Code, 18 U.S.C.
1001.
FTA 18 CONSTRUCTION EMPLOYEE PROTECTIONS -CONTRACT WORK HOURS &
SAFETY STANDARDS ACT
(for construction contracts that exceed $100,000)
(1) Overtime requirements -No contractor or subcontractor contracting for any part of the
contract work which may require or involve the employment of laborers or mechanics shall
require or permit any such laborer or mechanic in any workweek in which he or she is employed
on such work to work in excess of forty hours in such workweek unless such laborer or
mechanic receives compensation at a rate not less than one and one-half times the basic rate of
pay for all hours worked in excess of forty hours in such workweek.
(2) Violation; liability for unpaid wages; liquidated damages -In the event of any violation of the
clause set forth in paragraph (1) of this section the contractor and any subcontractor responsible
therefore shall be liable for the unpaid wages. In addition, such contractor and subcontractor
shall be liable to the United States for liquidated damages. Such liquidated damages shall be
• computed with respect to each individual laborer or mechanic, including watchmen and guards,
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employed in violation of the clause set forth in paragraph (1) of this section, in the sum of $10 •
for each calendar day on which such individual was required or permitted to work in excess of
the standard workweek of forty hours without payment of the overtime wages required by the
clause set forth in paragraph (1) of this section.
(3) Withholding for unpaid wages and liquidated damages -The RTD shall upon its own action
or upon written request of an authorized representative of the Department of Labor withhold or
cause to be withheld, from any moneys payable on account of work performed by the contractor
or subcontractor under any such contract or any other Federal contract with the same prime
contractor, or any other federally-assisted contract subject to the Contract Work Hours and
Safety Standards Act, which is held by the same prime contractor, such sums as may be
determined to be necessary to satisfy any liabilities of such contractor or subcontractor for
unpaid wages and liquidated damages as provided in the clause set forth in paragraph (2) of
this section.
(4) Subcontracts -The contractor or subcontractor shall insert in any subcontracts the clauses
set forth in paragraphs (1) through (4) of this section and also a clause requiring the
subcontractors to include these clauses in any lower tier subcontracts. The prime contractor
shall be responsible for compliance by any subcontractor or lower tier subcontractor with the
clauses set forth in paragraphs (1) through (4) of this section.
FTA 19 CONSTRUCTION EMPLOYEE PROTECTIONS-COPELAND ANTI-KICKBACK
ACT
Compliance with Copeland "Anti-Kickback" Act ("Act") requirements -The contractor shall
comply with the following requirements:
(a) Section 1 of the Act, as amended, 18 U.S.C. § 874, applies to all Contracts: •
(i) Whoever, by force, intimidation, or threat of procuring dismissal from employment, or by
any other manner whatsoever induces any person employed in the construction,
prosecution, completion or repair of any public building, public work, or building or work
financed in whole or in part by loans or grants from the United States, to give up any part
of the compensation to which he is entitled under his contract of employment, shall be
fined under this title or imprisoned not more than five years, or both;
(b) Section 2 of the Act, as amended, 18 U.S.C. § 3145, applies to construction and repair
Contracts exceeding $2,000:
(i) In General.-The Secretary of Labor shall prescribe reasonable regulations for
contractors and subcontractors engaged in constructing, carrying out, completing, or
repairing public buildings, public works, or buildings or works that at least partly are
financed by a loan or grant from the Federal Government. The regulations shall include
a provision that each contractor and subcontractor each week must furnish a statement
on the wages paid each employee during the prior week.
(ii) Application.-The penalty for making false statements is prescribed in the U.S. Criminal
Code, 18 U.S.C. 1001; and
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(c) U.S. DOL regulations "Contractors and Subcontractors on Public Building or Public Work
Financed in Whole or in Part by Loans or Grants from the United States," 29 CFR Part 3, which
are incorporated by reference in this contract.
(d) For additional requirements of the Act not specified in this Article, see preceding Article FTA
17 -Construction Employee Protections -Davis Bacon Act.
FT A 20 BONDING FOR CONSTRUCTION ACTIVITIES EXCEEDING $100,000
Bid Bond Requirements (Construction)
(a) Bid Security -The Penal amount of the Bid Security shall be 5% of the total Bid Amount.
A Bid Bond must be issued by a fully qualified surety company acceptable to RTD and listed as
a company currently authorized under 31 CFR, Part 223 as possessing a Certificate of Authority
as described thereunder.
(b) Rights Reserved
In submitting this Bid, it is understood and agreed by bidder that the right is reserved by RTD to
reject any and all bids, or part of any bid, and it is agreed that the Bid may not be withdrawn for
a period of [ninety (90)] days subsequent to the opening of bids, without the written consent of
RTD.
It is also understood and agreed that if the undersigned bidder should withdraw any part or all of
his bid within [ninety (90)] days after the bid opening without the written consent of RTD, shall
refuse or be unable to enter into this Contract, as provided above, or refuse or be unable to
furnish adequate and acceptable Performance Bonds and Labor and Material Payments Bonds,
as provided above, or refuse or be unable to furnish adequate and acceptable insurance, as
provided above, he shall forfeit his bid security to the extent of (Recipient's) damages
occasioned by such withdrawal, or refusal, or inability to enter into an agreement, or provide
adequate security therefore.
It is further understood and agreed that to the extent the defaulting bidder's Bid Bond, Certified
Check, Cashier's Check, Treasurer's Check, and/or Official Bank Check (excluding any income
generated thereby which has been retained by RTD as provided in "Bid Security" of the
Instructions to Bidders shall prove inadequate to fully recompense RTD for the damages
occasioned by default, then the undersigned bidder agrees to indemnify RTD and pay over to
RTD the difference between the bid security and RTD's total damages, so as to make RTD
whole.
The undersigned understands that any material alteration of any of the above or any of the
material contained on this form, other than that requested, will render the bid unresponsive.
Performance and Payment Bonding Requirements (Construction)
The Contractor shall be required to obtain performance and payment bonds as follows:
(a) Performance bonds
1. The penal amount of performance bonds shall be 100 percent of the original contract price,
unless the RTD determines that a lesser amount would be adequate for the protection of the
RTD .
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2. The RTD may require additional performance bond protection when a contract price is
increased. The increase in protection shall generally equal 100 percent of the increase in •
contract price. The RTD may secure additional protection by directing the Contractor to
increase the penal amount of the existing bond or to obtain an additional bond.
(b) Payment bonds
1. The penal amount of the payment bonds shall equal:
(i) Fifty percent of the contract price if the contract price is not more than $1 million.
(ii) Forty percent of the contract price if the contract price is more than $1 million but not more
than $5 million; or
(iii) Two and one half million if the contract price is more than $5 million.
If the original contract price is $5 million or less, the RTD may require additional protection as
required by subparagraph 1 if the contract price is increased.
FT A 21 SEISMIC SAFETY
If this Contract for professional services involves the design of a new building or addition to
an existing building, the Contractor agrees that any such new building or addition to an existing
building will be designed and constructed in accordance with the standards for Seismic Safety
required in Department of Transportation Seismic Safety Regulations 49 CFR Part 41 and will
certify to · compliance to the extent required by the regulation. The Contractor also agrees to
ensure that all work performed under this Contract including work performed by a subcontractor
is in compliance with the standards required by the Seismic Safety Regulations and the
certification of compliance issued on the project.
FTA22
Provision 22 applies to NONCONSTRUCTION ACTIVITIES
NONCONSTRUCTION EMPLOYEE PROTECTION -CONTRACT WORK
HOURS & SAFETY STANDARDS ACT
(for all turnkey, rolling stock and operational contracts {except transportation services contracts
and open market contracts} exceeding $100,000.)
The Contractor agrees to comply, and assures the compliance of each subcontractor, lessee,
third party contractor, and other participant at any tier of the Project, with the employee
protection requirements for nonconstruction employees of the Contract Work Hours and Safety
Standards Act, as amended, 40 U.S.C. §§ 3701 et seq., in particular with the wage and hour
requirements of section 102 of that Act at 40 U.S.C. § 3702, and with implementing U.S. DOL
regulations, "Labor Standards Provisions Applicable to Contracts Governing Federally Financed
and Assisted Construction (also Labor Standards Provision Applicable to Nonconstruction
Contracts Subject to the Contract Work hours and Safety Standards Act)," 29 CFR Part 5.
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Provisions 23 through 27 apply to TRANSIT OPERATIONS
• FTA23 TRANSIT EMPLOYEE PROTECTIVE ARRANGEMENTS
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Public Transportation Employee Protective Arrangements. If the Grant Agreement or
Cooperative Agreement for the Project indicates that public transportation employee protective
arrangements required by U.S . DOL apply to public transportation operations performed in
connection with the Project, the Recipient agrees to comply with the applicable requirements for
its Project as follows:
(1) Standard Public Transportation Employee Protective Arrangements. To the extent that the
Project involves public transportation operations and as required by Federal law, the
Recipient agrees to implement the Project in accordance with the terms and conditions that
the U.S. Secretary of Labor has determined to be fair and equitable to protect the interests
of any employees affected by the Project and that comply with the requirements of
49 U.S.C. § 5333(b), and with the U.S. DOL guidelines, "Section 5333(b), Federal Transit
Law," 29 C.F.R. Part 215 and any amendments thereto. These terms and conditions are
identified in U.S. DOL's certification of public transportation employee protective
arrangements to FT A, the date of which appears in the Grant Agreement or Cooperative
Agreement for the Project. The Recipient agrees to implement the Project in accordance
with the conditions stated in that U.S. DOL certification. That certification and any
documents cited therein are incorporated by reference and made part of the Grant
Agreement or Cooperative Agreement for the Project. The requirements of this
Subsection 24.d(1) of this Master Agreement do not apply to Projects for elderly individuals
or individuals with disabilities that are authorized by 49 U.S.C. § 531 O(a)(2) or
subsection 3012(b) of SAFETEA-LU, or to Projects for nonurbanized areas authorized by
49 U.S.C. § 5311; separate requirements for those Projects are contained in
Subsections 24.d(2) and (3), respectively, of this Master Agreement.
(2) Public Transportation Employee Protective Arrangements for Elderly Individuals and
Individuals with Disabilities for the Elderly Individuals and Individuals with Disabilities
Formula Program and Pilot Program. To the extent that the U.S. Secretary of
Transportation has determined or determines in the future that employee protective
arrangements required by 49 U.S.C. § 5333(b) are necessary or appropriate for a
governmental authority sub recipient participating a Project authorized by 49 U.S.C.
§ 5310(b)(2) or subsection 3012(b) of SAFETEA-LU, 49 U.S.C. § 5310 note, the Recipient
agrees to carry out the Project in compliance with the terms and conditions determined by
the U.S. Secretary of Labor necessary to comply with the requirements of 49 U.S.C.
§ 5333(b), and the U.S. DOL guidelines, "Section 5333(b), Federal Transit Law," at
29 C.F.R. Part 215, and any amendments thereto. These terms and conditions are
identified in the U.S. DOL's certification of public transportation employee protective
arrangements to FT A, the date of which appears in the Grant Agreement. The Recipient
agrees to implement the Project in compliance with the conditions stated in that U.S. DOL
certification. That U.S. DOL certification and any documents cited therein are incorporated
by reference and made part of the Grant Agreement.
(3) Public Transportation Employee Protective Arrangements for Projects in Nonurbanized
Areas Authorized by 49 U.S.C. § 5311. The Recipient agrees to comply with the terms and
conditions of the Special Warranty for the Nonurbanized Area Program agreed to by the
U.S. Secretaries of Transportation and Labor, dated May 31, 1979, U.S. DOL implementing
procedures, and any revisions thereto .
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FTA 24 CHARTER BUS OPERATIONS
The Recipient agrees that neither it nor any public transportation operator performing work in
connection with a Project financed under 49 U.S.C. chapter 53 or under 23 U.S.C. §§ 133 or
142 will engage in charter service operations, except as authorized by 49 U.S.C. § 5323(d) and
FTA regulations, "Charter Service," 49 C.F.R. Part 604, and any subsequent Charter Service
regulations or FT A directives that may be issued, except to the extent that FT A determines
otherwise in writing. Any charter service agreement required by FTA regulations is incorporated
by reference and made part of the Grant Agreement or Cooperative Agreement for the Project.
The Recipient understands and agrees that in addition to any remedy specified in the charter
service agreement, if a pattern of violations of that agreement is found, the violator will be
barred from receiving Federal transit assistance in an amount to be determined by FT A or
U.S. DOT.
FTA 25 SCHOOL BUS OPERATIONS
The Recipient agrees that neither it nor any public transportation operator performing work in
connection with a Project financed under 49 U.S.C. chapter 53, or under 23 U.S.C. §§ 133 or
142 will engage in school transportation operations for the transportation of students or school
personnel exclusively in competition with private school transportation operators, except as
authorized by 49 U.S.C. §§ 5323(f) or (g), as applicable, and FTA regulations, "School Bus
Operations," 49 C.F.R. Part 605, and any subsequent School Transportation Operations
regulations or FT A directives that may be issued, except to the extent that FT A determines
otherwise in writing. Any school transportation operations agreement required by FTA
regulations is incorporated by reference and made part of the Grant Agreement or. Cooperative
Agreement for the Project. The Recipient understands and agrees that if it or an operator
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violates that school transportation operations agreement, the violator will be barred from •
receiving Federal transit assistance in an amount to be determined by FTA or U.S. DOT.
FTA 26 DRUG USE AND TESTING
The Contractor agrees to establish and implement a drug testing program that complies with 49
CFR Part 40 Part 655, and permit any authorized representative of the United States
Department of Transportation or its operating administrations, the State Oversight Agency of
Colorado, or the Regional Transportation District, to inspect the facilities and records associated
with the implementation of the drug and alcohol testing program as required under 49 CFR Part
40 and 655 and review the testing process . The Contractor agrees further to certify annually its
compliance with Part 40 and 655 before December 31 51 of every year and to submit the
Management Information System (MIS) reports no later than February 151h of every year to the
Substance Abuse Testing Department, Regional Transportation District, 1600 Blake Street,
Denver, CO 80202-1399. To certify compliance, the Contractor shall use the "Substance Abuse
Certifications" in the "Annual List of Certifications and Assurances for Federal Transit
Admin istration Grants and Cooperative Agreements," which is published annually in the Federal
Register.
FTA 27 ALCOHOL MISUSE AND TESTING
The Contractor agrees to establish and implement an alcohol testing program that complies with
49 CFR Part 40 Part 655, and permit any authorized representative of the United States
Department of Transportation or its operating administrations, the State Oversight Agency of
Colorado, or the Regional Transportation District, to inspect the facilities and records associated
with the implementation of the drug and alcohol testing program as required under 49 CFR Part •
40 and 655 and review the testing process. The Contractor agrees further to certify annually its
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compliance with Part 40 and 655 before December 31st of every year and to submit the
Management Information System (MIS) reports no later than February 15th of every year to the
Substance Abuse Testing Department, Regional Transportation District, 1600 Blake Street,
Denver, CO 80202-1399. To certify compliance, the Contractor shall use the "Substance Abuse
Certifications" in the "Annual List of Certifications and Assurances for Federal Transit
Administration Grants and Cooperative Agreements," which is published annually in the Federal
Register.
Provisions 28 through 29 apply to PLANNING, RESEARCH, DEVELOPMENT, AND
DEMONSTRATION PROJECTS
FTA 28 PATENT RIGHTS
A. General. The Recipient agrees that:
(1) Depending on the nature of the Project, the Federal Government may acquire rights
when the Recipient (RTD) or third party participant produces a patented or
patentable invention, improvement, or discovery.
(2) The Federal Government's rights arise when the patent or patentable information is
conceived under the Project, or reduced to practice under the Project.
(3) When a patent is issued or patented information becomes available as described in
the preceding paragraph A( 1) of this Article, the Recipient agrees to notify FT A
immediately, and provide a detailed report satisfactory to FT A .
B. Federal Rights. The Recipient agrees that:
(1) Its rights and responsibilities, and those of each third party participant, in that
invention, improvement, or discovery will be determined as provided by Federal laws,
regulations, and directives, including any waiver thereof.
(2) Unless the Federal Government determines otherwise in writing, irrespective of its
status or that of any third party participant as a large business, small business, State
government, State instrumentality, local government, Indian tribe, nonprofit
organization, institution of higher education, or individual, the Recipient agrees to
transmit the Federal Government's patent rights to FTA as specified in 35 U.S.C. 200
et seq., and U.S. Department of Commerce regulations, "Rights to Inventions Made
by Nonprofit Organizations and Small Business Firms Under Government Grants,
Contracts and Cooperative Agreements," 37 C.F.R. Part 401).
C. License Fees and Royalties. As permitted by 49 C.F.R. Parts 18 and 19:
(1) License fees and royalties for patents, patent applications, and inventions derived
from Project are program income.
(2) The Recipient has no obligation to the Federal Government with respect to those
license fees or royalties, except for compliance with 35 U.S.C. 200 et seq., which
applies to patent rights developed under a federally funded research-type project,
and as FTA determines otherwise in writing.
FTA 29 RIGHTS IN DATA AND COPYRIGHTS
• A. Definition of Subject Data. As used in this Article, "Subject Data" means recorded
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information that:
(1) Copyright. Are copyrighted or not copyrighted,
(2) Delivery. Are delivered or specified to be delivered by the underlying Agreement, and
(3) Examples include, but are not limited to: computer software, standards,
specifications, engineering drawings and associated lists, process sheets, manuals,
technical reports, catalog item identifications, and related information.
(4) Exceptions. "Subject data" do not include financial reports, cost analyses, or other
similar information used for Project administration.
B. General. The following restrictions apply to all Subject Data first produced in the
performance of the underlying Agreement:
(1) Prohibitions. The Recipient (RTD) may not publish or reproduce Subject Data in
whole or in part, or in any manner or form, or permit others to do so.
(2) Exceptions. The restrictions on publication of Subsection 8(1) of this
Article do not apply to publications or reproductions for the Recipient's own internal
use, to an institution of higher learning, to the portion of the data that the Federal
Government has previously released or approved for release to the public, or to the
portion of the data that has the Federal Government's prior written consent for
release.
C. Federal Rights in Data and Copyrights. The Recipient agrees as follows:
(1) License Rights. The Recipient must provide the Federal Government a license to
"Subject Data" that is royalty-free, non-exclusive, and irrevocable.
(2) Uses. The Federal Government's license must permit it to reproduce the Subject
Data, publish the Subject Data, otherwise use the Subject Data, and permit others to
use the Subject Data for Federal Government purposes.
(3) Federal Government Purposes. As used in this Article, ''for Federal Government
purposes" means that the Federal Government may use its license only for its own
direct purposes, and the Federal Government may not provide or otherwise extend
to other parties, without the copyright owner's consent, its license to any Subject
Data developed and funded at any tier through the underlying Agreement, and any
rights of copyright to which the Recipient or third party participant purchases
ownership using Federal funds.
D. Special Federal Rights in Data for Research, Development. Demonstration, and Special
Studies Projects. In general, FTA's purpose in providing Federal funds for a research,
development, demonstration, or special studies Project is to increase transportation
knowledge, rather than limit the benefits of the Project to the Recipient and its third party
participants. Therefore, the Recipient agrees that:
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(1) Publicly Available Report. When the Project is completed, it must provide a Project •
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report that FTA may publish or make available for publication on the Internet.
(2) Other Reports. It must provide other reports pertaining to the Project that FTA may
request.
(3) Availability of Subject Data. FT A may make available to any FT A Recipient or any of
its third party participants at any tier of the Project, either FT A's copyright to the
Subject Data or a copy of the Subject Data, except as FT A determines otherwise in
writing.
(4) Identification of Information. It must identify clearly any specific confidential,
privileged, or proprietary information submitted to FTA.
(5) Incomplete Project. If the project is not completed for any reason whatsoever, all
data developed under the Project becomes "subject Data" and must be delivered as
the Federal Government may direct.
(6) Exception. This Subsection D does not apply to an adaptation of automatic data
processing equipment or program that is both for the Recipient's use, and acquired
with FT A capital program funding.
E. License Fees and Royalties. As permitted by 49 C.F.R. Parts 18 and 19:
(1) License fees and royalties for copyrighted material or trademarks derived from the
Project are program income .
(2) The Recipient has no obligation to the Federal Government with respect to those
license fees and royalties, except for compliance with 35 U.S.C. 200 et seq., which
applies to patent rights developed under a federally funded research-type project,
and as FT A determines otherwise in writing.
F. Hold Harmless. Upon request by the Federal Government, the Recipient agrees that:
(1) Violation by Recipient. Except as prohibited or otherwise limited by State law, it will
indemnify, save, and hold harmless the Federal Government's officers, employees,
and agents acting within the scope of their official duties, against any liability,
including costs and expenses,
(a) If it willfully or intentionally violates any Proprietary rights, Copyrights, or Right
of privacy,
(b) Occurring from any of the following uses of Project data: Publication,
Translation, Reproduction, Delivery, Use, or Disposition.
(2) Violation by Federal Officers, Employees or Agents. The Recipient will not be
required to indemnify the Federal Government for any liability described in the
preceding paragraph F(1) caused by the wrongful acts of Federal employees or
agents.
G. Restrictions on Access to Patent Rights. Nothing in this Article pertaining to rights in data
either:
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(1) Implies a license to the Federal Government under any patent, or
(2) May be. construed to affect the scope of any license or other right otherwise granted
to the Federal Government under any patent.
H. Data Developed Without Federal Funding or Support. The Recipient understands and
agrees that it may need to provide data developed without any Federal funding or support to
FTA.
(1) Protections. paragraphs A, B, C, and D of this Article do not apply to data developed
without Federal funding, even though that data may have been used in connection
with the Project.
(2) Identification of Information. The Recipient understands and agrees that the Federal
Government will not be able to protect data developed without Federal funding or
support from unauthorized disclosure unless that data is clearly marked "Proprietary"
or "Cont idential.
I. Requirements to Release Data. The Recipient understands and agrees that the Federal
Government may be required to release Project data and information the Recipient submits
to the Federal Government as required by:
(1) The Freedom of Information Act, 5 U.S.C. § 552,
(2) Another Federal law requiring access to Project records,
• •
(3) U.S. DOT regulations, "Uniform Administrative Requirements for Grants and •
Agreements with Institutions of Higher Education, Hospitals, and Other Non-Profit
Organizations," specifically 49 C.F.R. § 19.36(d), or
(4) Other Federal regulations requiring access to Project records.
Provision 30 applies ONLY to States and Organizations that are being funded directly by the
State with FT A grant funds.
FTA30 SPECIAL NOTIFICATION REQUIREMENT FOR STATES
(Per FT A guidance dated July 2011: "The notification requirements concerning federal
assistance apply only to States and those organizations that are being funded directly by the
State with FTA grant funds. This would include sub-grantees, lessees, or third party contractors
of the State. Government agencies that are not part of the State government who are receiving
FTA grant funds directly from FT A do not have to comply with the special notification
requirements for States." Therefore this clause does not apply to RTD Contracts.)
The Federal Transit Administration ("FT A") is the Federal agency that is providing the Federal
assistance for this Contract. The Catalog of Federal Domestic Assistance Number is ___ _
for the amount of $ ___ _
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MISCELLANEOUS SPECIAL REQUIREMENTS
• FTA 31 ENERGY CONSERVATION
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(applies to all contracts)
Contractor agrees to comply with mandatory standards and policies relating to energy efficiency
that are contained in the state energy conservation plan, if any, issued in compliance with the
Energy Policy and Conservation Act.
FTA32 RECYCLED PRODUCTS)
(Contracts when procuring $10,000 or more per year of items designated by EPA)
The Contractor agrees to comply with all the requirements of Section 6002 of the Resource
Conservation and Recovery Act (RCRA), as amended (42 U.S.C. 6962), including but not
limited to the regulatory provisions of 40 CFR Part 247, and Executive Order 12873, as they
apply to the procurement of the items designated in Subpart B of 40 CFR Part 247.
FTA33 CONFORMANCE WITH NATIONAL ITS ARCHITECTURE
(Contracts and solicitations for ITS projects)
National Intelligent Transportation Systems Architecture and Standards. To the extent
applicable, the Contractor agrees to conform to the National Intelligent Transportation Systems
(ITS) Architecture and Standards as required by SAFETEA-LU § 5307(c), 23 U.S .C. § 512 note,
and comply with FTA Notice, "FT A National ITS Architecture Policy on Transit Projects"
66 Fed. Reg. 1455 et seq., January 8, 2001, and any subsequent further implementing
directives, except to the extent FT A determines otherwise in writing.
FTA34 ADA ACCESS
(Contracts for rolling stock or facilities construction/renovation)
A. RTD must comply with: 49 U.S.C. § 5301 (d), which states the Federal policy that elderly
individuals and individuals with disabilities have the same right as other individuals to use
public transportation services arid facilities, and that special efforts shall be made in
planning and designing those services and facilities to implement transportation accessibility
rights for elderly individuals and individuals with disabilities; all applicable provisions of
section 504 of the Rehabilitation Act of 1973, as amended, 29 U.S.C. § 794, which prohibits
discrimination on the basis of disability; the Americans with Disabilities Act of 1990 (ADA),
as amended; 42 U.S.C. §§ 12101 et seq ., which requires that accessible facilities and
services be made available to individuals with disabilities; and the Architectural Barriers Act
of 1968, as amended, 42 U.S.C. §§ 4151 et seq., which requires that buildings and public
accommodations be accessible to individuals with disabilities.
B. All deliverable items provided by the Contractor for RTD under this Contract shall comply
with the above-referenced laws as well as all other applicable federal, state and local
regulations and directives and any subsequent amendments thereto .
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FT A 35 ASSIGNABILITY CLAUSE
(Procurements through assignments)
Neither RTD nor the contractor shall assign or transfer any of its rights or obligations hereunder
without the prior written consent of the other.
Provisions 36 through 38 apply to ROLLING STOCK PROCUREMENTS
FT A 36 BUS TESTING
The Contractor [Manufacturer] agrees to comply with 49 U.S.C. A 5323(c) and FTA's
implementing regulation at 49 CFR Part 665 and shall perform the following
1) A manufacturer of a new bus model or a bus produced with a major change in components
or configuration shall provide a copy of the final test report to the recipient at a point in the
procurement process specified by the recipient which will be prior to the recipient's final
acceptance of the first vehicle.
2) A manufacturer who releases a report under paragraph 1 above shall provide notice to the
operator of the testing facility that the report is available to the public.
3) If the manufacturer represents that the vehicle was previously tested, the vehicle being sold
should have the identical configuration and major components as the vehicle in the test report,
which must be provided to the recipient prior to recipient's final acceptance of the first vehicle. If
the configuration or components are not identical, the manufacturer shall provide a description
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of the change and the manufacturer's basis for concluding that it is not a major change requiring •
additional testing.
4) If the manufacturer represents that the vehicle is "grandfathered" (has been used in mass
transit service in the United States before October 1, 1988, and is currently being produced
without a major change in configuration or components), the manufacturer shall provide the
name and address of the recipient of such a vehicle and the details of that vehicle's
configuration and major components.
FTA 37 PRE-AWARD AND POST-DELIVERY AUDIT REQUIREMENTS
The Contractor agrees to comply with 49 U.S.C. § 5323(1) and FTA's implementing regulation at
49 C.F.R. Part 663 and to submit the following certifications:
(1) Buy America Requirements: The Contractor shall complete and submit a declaration
certifying either compliance or noncompliance with Buy America. If the Bidder/Offerer certifies
compliance with Buy America, it shall submit documentation which lists 1) component and
subcomponent parts of the rolling stock to be purchased identified by manufacturer of the parts,
their country of origin and costs; and 2) the location of the final assembly point for the rolling
stock, including a description of the activities that will take place at the final assembly point and
the cost of final assembly.
(2) Solicitation Specification Requirements: The Contractor shall submit evidence that it will be
capable of meeting the bid specifications .
(3) Federal Motor Vehicle Safety Standards (FMVSS): The Contractor shalr submit 1)
manufacturer's FMVSS self-certification sticker information that the vehicle complies with
relevant FMVSS or 2) manufacturer's certified statement that the contracted buses will not be •
subject to FMVSS regulations.
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FTA 38 TVM CERTIFICATION
The Transit Vehicle Manufacturer (TVM) shall provide RTD with a certificate that complies with
49 CFR Part 26.49 stating that the TVM has complied with FTA's DBE requirements . The TVM
shall also provide RTD with the most current letter from the FT A approving the TVM's DBE
goal/methodology and eligibility to participate in the FTA DBE program as a TVM in accordance
with 49 CFR Part 26.49. If the FT A has not yet approved the DBE Goal, the TVM shall make a
certification to that effect as required by 49 CFR Part 26.49 and in addition submit to RTD a
copy of the documents submitted to FTA for approval. These documents shall be submitted with
the solicitation response or the TVM's submittal may be deemed non-responsive .
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Exhibit F -Attachment A: DBE/SBE
Requirements
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Attachment A
Civil Rights/Equal Employment Opportunity/DBE
RFP/IFB
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(page intentionally left blank)
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PART A
SPECIFIED FEDERAL REQUIREMENTS
The Contractor shall perform its obligations and shall require each Subcontractor to
perform its respective obligations under this Contract and the Subcontracts in
accordance with, the following requirements. The Contractor shall insert this Part A,
Attachment A and its enclosures (Civil Rights) into each Subcontract regardless of the
tier.
1.
1.1
CIVIL RIGHTS REQUIREMENTS APPLICABLE TO THE
CONTRACT
CIVIL RIGHTS
Nondiscrimination -In accordance with Title VI of the Civil Rights Act, as
amended, 42 U.S.C. § 2000d, section 303 of the Age Discrimination Act of 1975,
as amended, 42 U.S.C. § 6102, section 202 of the Americans with Disabilities
Act of 1990, 42 U.S.C. § 12132, and Federal transit law at 49 U.S.C. § 5332,
Contractor agrees that it will not discriminate against any employee or applicant
for employment because of race, color, religion, national origin, sex, age, or
disability. In addition, Contractor agrees to comply with applicable Federal
implementing regulations and other implementing requirements FTA may issue .
Equal Employment Opportunity -The following equal employment opportunity
requirements apply to the underlying Contract:
Race, Color, Creed, National Origin, Sex-In accordance with Title VII of the Civil
Rights Act, as amended, 42 U.S.C. § 2000e, and Federal transit laws at 49
U.S.C. § 5332, Contractor agrees to comply with all applicable equal employment
opportunity requirements of U.S. Department of Labor (U.S. DOL) regulations,
"Office of Federal Contract Compliance Programs, Equal Employment
Opportunity, Department of Labor," 41 CFR Parts 60 et seq., (which implement
Executive Order No. 11246, "Equal Employment Opportunity," as amended by
Executive Order No. 11375, "Amending Executive Order 11246 Relating to Equal
Employment Opportunity," 42 U.S.C. § 2000e note), and with any applicable
Federal statutes, executive orders, regulations, and Federal policies that may in
the future affect activities undertaken in the course of this Contract. Contractor
agrees to take affirmative action to ensure that applicants are employed, and that
employees are treated during employment, without regard to their race, color,
religion, national origin, sex, or age. Such action shall include, but not be limited
to, the following: employment, upgrading, demotion or transfer, recruitment or
recruitment advertising, layoff or termination; rates of pay or other forms of
compensation; and selection for training, including apprenticeship. In addition,
Contractor agrees to comply with any implementing requirements FTA may
issue .
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Age-In accordance with section 4 of the Age Discrimination in Employment Act •
of 1967, as amended, 29 U.S.C. § 623 and Federal transit law at 49 U.S.C. §
5332, Contractor agrees to refrain from discrimination against present and
prospective employees for reason of age. In addition, Contractor agrees to
comply with any implementing requirements FT A may issue.
Disabilities-In accordance with section 102 of the Americans with Disabilities
Act, as amended, 42 U.S.C. § 12112, Contractor agrees that it will comply with
the requirements of U.S. Equal Employment Opportunity Commission,
"Regulations to Implement the Equal Employment Provisions of the Americans
with Disabilities Act," 29 CFR Part 1630, pertaining to employment of persons
with disabilities. In addition, Contractor agrees to comply with any implementing
requirements FTA may issue.
Contractor also agrees to include these requirements in each subcontract
financed in whole or in part with Federal assistance provided by FT A, modified
only if necessary to identify the affected parties.
1. During the performance of this contract, the contractor or subcontractor:
(i) WILL NOT DISCRIMINATE AGAINST ANY EMPLOYEE OR
APPLICANT FOR EMPLOYMENT BECAUSE OF RACE, COLOR,
RELIGION, NATIONAL ORIGIN, SEX, DISABILITY OR AGE. THE
CONTRACTOR WILL ENSURE THAT EQUAL EMPLOYMENT
OPPORTUNITY IS AFFORDED TO ALL APPLICANTS IN
RECRUITMENT AND EMPLOYMENT, AND THAT EMPLOYEES ARE
TREATED, DURING EMPLOYMENT, WITHOUT REGARD TO THEIR
RACE, COLOR, RELIGION, NATIONAL ORIGIN, SEX, DISABILITY OR
AGE. SUCH EQUAL EMPLOYMENT OPPORTUNITY SHALL
INCLUDE, BUT NOT BE LIMITED TO . THE FOLLOWING:
EMPLOYMENT, UPGRADING, DEMOTION, OR TRANSFER;
RECRUITMENT OR RECRUITMENT ADVERTISING; LAYOFF OR
TERMINATION; RATES OF PAY OR OTHER FORMS OF
COMPENSATION; AND SELECTION FOR TRAINING, INCLUDING
APPRENTICESHIP. THE CONTRACTOR AGREES TO POST IN
CONSPICUOUS PLACES, AVAILABLE TO EMPLOYEES AND
APPLICANTS FOR EMPLOYMENT, NOTICES TO SETTING FORTH
PROVISIONS OF THIS NONDISCRIMINATION CLAUSE.
(ii) WILL, IN ALL SOLICITATIONS OR ADVERTISEMENTS FOR
EMPLOYEES PLACED BY OR ON BEHALF OF THE CONTRACTOR,
STATE THAT ALL QUALIFIED APPLICANTS WILL RECEIVE
CONSIDERATION FOR EMPLOYMENT WITHOUT REGARD TO
RACE, COLOR, RELIGION, NATIONAL ORIGIN, SEX, DISABILITY OR
AGE. THE CONTRACTOR AGREES TO COMPLY WITH ANY
REGULATIONS PROMULGATED BY THE EEOC, OFCCP,
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DEPARTMENT OF LABOR, DEPARTMENT TO JUSTICE, THE
REGIONAL TRANSPORTATION DISTRICT, COLORADO REVISED
STATUTES AND ALL OTHER RELEVANT STATE AND LOCAL LAWS .
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PARTB
DISADVANTAGED BUSINESS ENTERPRISES
PROGRAM REQUIRMENTS
1. DEFINITIONS
Unless the context requires otherwise, capitalized terms used in this Attachment A
shall have the meanings given to them in Appendix H (Definitions) of the Instructions
to Proposers. However, if there is a conflict, the definitions in this section shall prevail.
In addition, the following capitalized terms shall have the meanings set out below:
Contract Goal (DBE goal) means a goal determined by such factors as the type of
work involved, the location of the work and the availability of the DBEs for the work of
the particular contract.
Contractor means any Project Contractor that subcontracts with a DBE for
performance of the Work, as applicable.
Commercially Useful Function occurs when a DBE firm is responsible for execution of
the work of the contract and is carrying out its responsibilities by actually performing,
managing and supervising the work involved in substance as contemplated by the
federal regulations codified at 49 CFR Part 26. The DBE firm must also be responsible
for materials and supplies used on the contract, for negotiating price, determining
quality and quantity, ordering the material, installing (where applicable) and paying for
the materials itself.
Disadvantaged Business Enterprise (DBE) means each of the following:
(i) that is at least 51 % owned and controlled by one or more Socially and
Economically Disadvantaged individuals or, in the case of a corporation, such
individuals must own at least 51 percent of each class of voting stock
outstanding and 51 percent of the aggregate of all stock outstanding; In the
case of a partnership, 51 percent of each class of partnership interest must be
owned by socially and economically disadvantaged individuals; In the case of a
limited liability company, at least 51 percent of each class of member interest
must be owned by socially and economically disadvantaged individuals;
(i) whose eligible principle(s) personal net worth does not exceed
$1,320,000. The personal net worth excludes the equity of the elig ible
principle's primary residence and the equity of the eligible principle's
firm
(ii) whose average annual gross receipts for the past 3 years cannot exceed
$22.41 million
(iii) whose management and daily operations are controlled by one or more
of the Socially and Economically Disadvantaged individuals who owns it;
and
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(iv) that is certified as a "Disadvantaged Business Enterprise" in the state's •
Unified Certification Program.
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DBE Enclosures means the certificates and forms provided in Appendix B of this
Attachment.
DBE Goals has the meaning given to it in Section 3.1 of this Attachment.
DBE Liaison means a representative of the Contractor with direct and independent
access to the Contractor's project manager and/or chief operating officer. This can be a
collateral duty. The DBE Liaison has management responsibility for implementing,
managing and reporting on achievement of the DBE Goals, ensuring compliance with
49 CFR Part 26, communicating subcontracting, business development and supportive
services activity at all tiers. The DBE liaison is also responsible for serving as the point
of contact with RTD's Disadvantaged Business Office for all reporting, submission of
properly completed forms/documents, and for responding to any compliance
issues/matters.
DBE Participation Report has the meaning given to it in Section 3.10 of this
Attachment.
Small Business Office or SBO means the RTD Department responsible for
administering the DBE/SBE Programs .
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2. Overview of RTD's DBE Program Policy
(a) RTD's policy is to ensure nondiscrimination in the award and administration of
the District's construction contracts, professional service contracts, and in the
procurement of common goods and services. The Contractor shall comply with
and implement requirements of RTD's DBE Program and 49 CFR Part 26 in the
award and administration of Subcontracts under this Agreement. The Contractor
shall not discriminate on the basis of race, color, religion, national origin, sex,
age, or disability in the performance of this Contract. The Contractor shall ensure
that the nondiscrimination clause(s)/ flow-down provisions found in Section I be
incorporated in all subcontract agreements regardless of tier. It is RTD's intention
to create a level playing field on which DBE's can compete fairly for federally
funded contracts. Failure by the Contractor to comply with or implement these
requirements is a material breach of this Contract, which may result in the
termination of this Contract or such other remedy as RTD deems appropriate.
RTD's commitment to the DBE Goals is not intended to and shall not be used as
a justification to discriminate against any qualified company or group of
companies.
Additionally:
(i) THE AVERAGE ANNUAL GROSS RECEIPTS FOR THE PAST 3 YEARS
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CANNOT EXCEED $22.41 MILLION. THIS AMOUNT INCLUDES ANY •
AFFILIATE BUSINESSES OWNED IN WHOLE OR PART BY ANY
APPLICANT OWNER OR STOCKHOLDER REGARDLESS OF THEIR
OWNERSHIP INTEREST.
(ii) THE PERSONAL NET WORTH OF THE ELIGIBLE PRINCIPLE(S) OF
A DBE FIRM MUST BE LESS THAN $1,320,000 (ON AN INDIVIDUAL BASIS) •
EXCLUDING THE EQUITY OF THE ELIGIBLE PRINCIPLE'S PRIMARY
RESIDENCE AND THE EQUITY OF THE ELIGIBLE PRINCIPLE'S FIRM. AT
LEAST 51 % OF THE OWNERS/STOCKHOLDERS MUST MEET THE
PERSONAL NET WORTH CRITERIA FOR THE BUSINESS TO BE ELIGIBLE.
APPLICANTS CANNOT TRANSFER OWNERSHIP SOLELY FOR THE
PURPOSE OF QUALIFYING FOR THE DBE PROGRAM. IF IT COMES TO
RTD'S ATTENTION, THAT THERE HAS BEEN A TRANSFER OF AN
OWNER'S ASSETS, RTD MAY REQUEST THE CERTIFYING AUTHORITY
UNDER THE COLORADO UCP TO EVALUATE TRANSFERS OF
OWNERSHIP WITHIN THE PAST TWO YEARS TO DETERMINE
COMPLIANCE WITH THE PERSONAL NET WORTH REQUIREMENTS.
(iii) TO COUNT A DISADVANTAGED BUSINESS' PARTICIPATION
TOWARD THE GOAL ESTABLISHED FOR THIS CONTRACT,
(iv) THE PROPOSED DBE(S) MUST BE CERTIFIED AS A DBE(S) WITH
THE CITY AND COUNTY OF DENVER OR CDOT (COLORADO UCP) UNDER
THE NAICS CODE THAT COINCIDES WITH THE SCOPE OF WORK THAT
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3.
3.1
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THEY WILL EXECUTE IN THE PROJECT. THE DBE FIRM MUST BE
CERTIFIED AS A DBE AND PERFORM A "COMMERCIALLY USEFUL
FUNCTION" AS DEFINED IN THIS ATTACHMENT. PRIME CONTRACTORS
SHOULD ALSO BE SURE THAT THE DBE IS CERTIFIED AS OF THE DATE
THAT RTD RECEIVES THIS BID/PROPOSAL UNLESS SOME OTHER TIME
FRAME IS REQUIRED BY THE NATURE OF THE PROJECT DELIVERY
METHOD, PROJECT DURATION OR WHEN THE DBE IS APPROVED BY
RTD TO BE ADDED TO THE CONTRACTOR'S SCHEDULE OF
PARTICIPATION.
General Requirements
DBE Goals
(i) Unless otherwise indicated in the Contract or an addendum to the Contract, for
Invitations for Bids (IFB), the contract will be awarded to the lowest responsive
and responsible bidder. For Request for Proposals (RFP) with best value
criteria, the contract will be awarded to the responsive and responsible proposer
or proposers who best meet the Evaluation Criteria, cost and other factors
considered (including DBE Program requirements and DBE approach/strategy).
A bidder/proposer who fails or refuses to complete and return the required
enclosures to this Attachment will be deemed non-responsive. The specified
DBE participation goal applies to all post selection negotiations. The contractor's
commitment to the percentage of certified DBE utilization during the term of this
contract will be stated in the DBE Affidavit (Enclosure 1 A). All extensions,
amendments, and options of the contract are subject to review by RTD's SBO.
The SBO may determine that a modification may impact the Contractor's ability
to comply with its initial commitment. However, a partial waiver of the goal will
not be considered until the end of the contract and the totality of the Contractor's
compliance efforts are assessed to determine its ability to comply with the initial
commitment. The SBO will evaluate all decisions to self-perform scopes of work
where DBE availability was present, yet not solicited, not utilized or disregarded.
RTD has specified a _% DBE Participation goal. During the entire project
duration the Contractor shall ensure:
(A) that at least_% (calculated by Dollar value) of the Work be performed
by DBEs. If this contract involves an alternative project delivery method
or the project duration is multi-year, RTD may specify that certain
percentages of participation be attributable to specific phases of the
project. If that is the case, this section will reflect the additional
requirements including the requirements associated with a DBE
Plan/Program submission.
or
(B) demonstrate with satisfactory documentation that it has made good faith
efforts to meet the DBE Goal, as applicable. Contractors failing to meet
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the specified DBE goal are required to submit DBE Unavailability
Certification, in the form set out in the Attachment A (Enclosure 7: DBE •
Unavailability Certification) along with complete documentation of good
faith efforts to meet the goal. Failure to provide complete
documentation/detailed written explanations of good faith efforts will
result in the bid/proposal being deemed non-responsive. Appendix A of
49 CFR Part 26 shall serve as the criteria for evaluating compliance with
the good faith efforts requirements. Additionally, bidders/proposers are
required to solicit the support and assistance of RTD's SBO if they are
unable to meet the DBE participation goal assigned to this contract.
To be considered a responsive bidder /proposer, when a DBE goal is
specified for design-build projects, a bidder /proposer must meet the goal
referred to in the bid specification by committing to meet the DBE
participation goal for each phase of the design build process in its DBE
Plan specifically identifying certified DBE firms that will be performing
services or providing supplies in the first year of the design/build
contract (in both the design and construction phases, as applicable) and
Attachment A enclosures or make a good faith effort to attain the goal.
The documentation evidencing good faith efforts shall be submitted with
the bid/proposal. At a minimum, the bidder/proposer must identify the
value of both the design and construction services to be spent during the
first year (unless a greater timeframe is specified/required in the •
instructions to bidders/proposers.
(ii) The DBE participation goal applies to the total value of all work pe1formed
under the contract which includes the value of all change orders, amendments
and modifications. Any partial waiver determination will be made at or near the
conclusion of the contract when the totality of the circumstances can be taken
into consideration and the Contractor's efforts can be objectively evaluated.
Material supplies are credited for 60% of their contract value unless they are
deemed to be a broker or transaction expediter in which case only the fee or
commission may be counted toward the goal (so long as the DBE is performing a
commercially useful function), If it is determined that the DBE is not
performing a commercially useful function, then no participation credit shall be
attributable to their participation on the contract.
(iii) To count DBE participation toward the goal established for this contract, the
proposed DBE(s) must be certified as a DBE(s) with the City and County of
Denver or COOT under the appropriate NAICS code that coincides with the
scope of work that they will execute on the project/contract. Additionally, the DBE
firm must be certified as a DBE and perform a "commercially useful function" as
defined in this Attachment.
3.2 Joint Ventures
(i) A joint Venture is an association of a DBE firm and one or more other firms to
carry out a single, for-profit business enterprise, for which the parties combine •
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their property, capital, efforts, skills and knowledge, and in which the DBE is
responsible for a distinct, clearly defined portion of the work of the contract and
whose share in the capital contribution, control, management, risks, and profits
of the joint venture are commensurate with its ownership interest.
(ii) RTD will count toward its DBE goal a portion of the total dollar value of a
contract with a joint venture equal to the distinct, clearly defined portion of the
work of the contract that the DBE performs with its own forces toward the DBE
goal(s) and such services/supplies/NA/CS codes are approved for DBE
participation credit. The joint venture agreement MUST specify the services,
dollar value, reporting structure and details of the DBEs performance
requirements associated with the percentage of the joint venture ownership.
3.3 DBE Liaison
(i) The Contractor shall designate a DBE Liaison who shall be responsible for the
following:
(A) DAY-TO-DAY OPERATIONAL COMPONENTS OF THE DBE
PROGRAM:
(B) EFFECTIVELY RESPONDING TO AND REPORTING TO THE SBO ON
THE STATUS OF ANY DBE CONTRACTOR/SUPPLIER;
(C) SUBMITTING EXECUTED DBE SUBCONTRACTS/PURCHASE
ORDERS AND ANY SUBSEQUENT MATERIAL AMENDMENTS THERETO
TO THE SBO WITIDN THIRTY (30) DAYS OF THE SUBCONTRACTOR
AGREEMENT EXECUTION (HOWEVER, NO DBE SHALL COMMENCE ANY
WORK OR PROVIDE ANY MATERIAL/SUPPLY WITHOUT AN EXECUTED
SUBCONTRACT/PURCHASE ORDER);
(D) INTERFACING WITH THE SBO REGARDING DBES' ISSUES AND
OBTAINING APPROVALS FOR ALL DBE . REPLACEMENTS,
SUBSTITUTIONS OR TERMINATIONS; AND
(E) CARRYING OUT OR IMPLEMENTING TECHNICAL ASSISTANCE
ACTIVITIES SO THAT THE PLAYING FIELD IS LEVEL FOR DBES.
(F) PREPARE, COMPLETE AND SUBMIT ALL REQUIRED COMPLIANCE
DOCUMENTATION, INCLUSIVE OF SUBCONTRACT AGREEMENTS,
SCHEDULE OF PARTICIPATION ENCLOSURE, MONTHLY PAYMENT
FORMS
(G) ENSURE ALL CONTRACTUAL REQUIREMENTS OF THE DBE
PROGRAM INCLUSIVE BUT NOT LIMITED TO PROMPT PAYMENT,
TERMINATION/SUBSTITUTION/REPLACEMENT/REDUCTION OF SCOPE,
CHANGES, NON-DISCRIMINATION ARE COMPLIED WITH AND IN THEIR
SUBCONTRACT AGREEMENTS WITH ALL OF THEIR SUBCONTRACTORS
REGARDLESS OF TIER
(H) A REPRESENTATIVE OF THE CONTRACTOR HAVING
MANAGEMENT RESPONSIBILITY FOR IMPLEMENTING, MANAGING AND
96
•
REPORTING ON ACHIEVEMENT OF THE DBE GOALS, COMMUNICATING •
SUBCONTRACTING, BUSINESS DEVELOPMENT AND SUPPORTIVE
SERVICES ACTIVITY AT ALL TIERS, ENSURING COMPLIANCE WITH THE
NON-DISCRIMINATION PROVISIONS AND THE AFFIRMATIVE ACTION
AND EQUAL EMPLOYMENT OPPORTUNITY PROVISIONS.
(I) MONITORING LOWER TIER SUBCONTRACTORS AND SUPPLIERS
TO ENSURE THAT THEY COMPLY WITH THE DBE PROGRAM
REQUIREMENTS AND THE DBE PLAN SUBMITTED BY THE PRIME
CONTRACTOR.
(x) In lower value or shorter duration contracts, the DBE Liaison responsibilities may
be a collateral responsibility.
(ii) The DBE Liaison shall submit a written monthly report detailing the activities
and documentation of good faith efforts of the previous month as well as
submitting DBE Participation Reports, all additional requested forms and shall
schedule monthly meetings with the SBO to address any issues or concerns.
Flow-Down Provisions:
The Contractor must include the following provisions in their subcontract
agreements with their DBE subcontractors as well as ensure that tiered-
contractors comply with this Section and insert the provisions of this Section into
all lower tiered subcontractor agreements: 3.4 prompt payment provisions, 3.5 •
DBE Removal/Termination/substitution/Reduction of Scope provisions, and 3.7
Changes provisions. The contractor will be required to submit to the RTD Small
Business Office all DBE subcontracts/purchase orders within 30 days of the
execution of its contract with RTD or issuance of the notice to proceed
(whichever occurs first). However, in no event shall a DBE perform any service
or procure any supply unless RTD's SBO has a copy of the executed subcontract
agreement or purchase order.
3.4 Prompt Payment of DBE Subcontractors
(i) The Contractor shall ensure that:
(A) EACH CONTRACTOR SHALL PAY ITS RESPECTIVE DBE
SUBCONTRACTORS ANY UNDISPUTED AMOUNT OWED TO SUCH
SUBCONTRACTOR WITIDN 30 DAYS OF RECEIPT OF THE
SUBCONTRACTOR'S RECEIPT BY SUCH CONTRACTOR, REGARDLESS OF
WHETHER SUCH CONTRACTOR HAS BEEN PAID FOR SUCH INVOICE BY
RTD;
(B) APPROVAL OF INVOICES IS NOT UNREASONABLY DELAYED AND
THAT INVOICES SHALL BE EITHER APPROVED OR REJECTED WITH
WRITTEN NOTICE OF DEFICIENCY OR DISPUTE TO THE PAYEE DBE
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SUBCONTRACTOR WITIDN TEN DAYS OF RECEIPT OF INVOICE BY THE
CONTRACTOR; AND
(C) EACH CONTRACTOR MAKES PROMPT AND FULL PAYMENT OF
ANY RETAINAGE KEPT BY SUCH CONTRACTOR TO ITS RESPECTIVE
SUBCONTRACTORS DBE WITHIN 30 DAYS AFTER SUCH DBE'S WORK
HAS BEEN ACCEPTED AND COMPLETED BY CONTRACTOR, UNLESS
CLAIM IS FILED AGAINST A SUBCONTRACTOR;
(D) FAILURE TO COMPLY WITH THE ABOVE MAY GIVE JUST CAUSE
TO WITHHOLD PAYMENT FROM CONTRACTOR UNTIL PAYMENT TO
THE SUBS IS SATISFIED. DEPENDING ON EXTENT OF FAILURE TO
COMPLY WITH THE ABOVE, SUCH FAILURE MAY ALSO BE CONSTRUED
TO BE A BREACH OF CONTRACT.
(E) THE CONTRACTOR SHALL ENSURE THAT TIERED
SUBCONTRACTORS COMPLY WITH THIS SECTION AND INSERT THE
PROVISIONS OF THIS SECTION INTO ALL LOWER TIERED
SUBCONTRACTOR AGREEMENTS.
(ii) Joint Check Utilization: A joint check is a two party check between a DBE, a prime
contractor and a regular dealer of materials/supplies. All joint check arrangements must
be pre-approved by the SBO and must strictly adhere to the joint check requirements set
forth in USDOT guidance regarding same. At a minimum, the request must be initiated
by the DBE and remedy a financial hardship for a specific period of time. There are
monthly reporting requirements that must be complied with in order to receive DBE
participation credit. The SBO will closely monitor the use of joint checks to ensure that
the independence of the DBE firm is not compromised. Joint check usage will not be
approved merely for the convenience of the prime contractor.
3.5 DBE Removal/Termination/Substitution/Reduction of scope from
Contract
(i) A Contractor must have good cause to remove/terminate/substitute/replace a
DBE contractor and such removal/termination/substitution requires the
consent and approval of RTD's SBO. This section also includes reductions to the
DBEs scope of services and/or commitment values. No DBE subcontract may
contain a "termination for convenience" clause/provision because same is
contrary to the objectives of this part. To initiate the termination, substitution,
removal or replacement process with a DBE contractor/supplier (regardless of
the tier), the Contractor or lower tier contractor/subcontractor must do the
following:
(A) BEFORE TRANSMITTING TO RTD'S SBO ITS REQUEST TO
TERMINATE AND/OR SUBSTITUTE A DBE CONTRACTOR, THE
CONTRACTOR MUST GIVE NOTICE IN WRITING TO THE DBE
CONTRACTOR AND RTD SBO. THE NOTICE MUST INCLUDE ITS REQUEST
TO TERMINATE AND/OR SUBSTITUTE, REPLACE AND/OR REMOVE THE
• DBE, THE REASON FOR THE REQUEST AND ALL DOCUMENTATION TO
98
SUPPORT ITS CLAIM. THE CONTRACTOR MUST SUBMIT A COPY OF THE
NOTICE AND SUPPORT DOCUMENTATION TO RTD'S SBO AT THE TIME
THE ORIGINAL LETTER IS SENT TO THE DBE CONTRACTOR;
(B) THE CONTRACTOR MUST GIVE THE DBE CONTRACTOR FIVE (5)
BUSINESS DAYS TO RESPOND TO THE NOTICE AND PROVIDE THE SBO
WITH REASONS, IF ANY, WHY IT OBJECTS TO THE PROPOSED
TERMINATION OF ITS DBE CONTRACT AND WHY THE SBO SHOULD NOT
CONSENT THE CONTRACTOR'S ACTION;
(C) RTD'S SBO WILL THEN OPEN A FORMAL INVESTIGATION
INCLUSIVE OF REVIEW OF ALL DOCUMENTATION, CONDUCT
INTERVIEWS AND SITE VISITS, IF NECESSARY. THE CONTRACTOR
CARRIES THE BURDEN OF PROOF TO DEMONSTRATE GOOD CAUSE FOR
THE TERMINATION AND/OR SUBSTITUTION;
(D) IF RTD'S SBO DETERMINES THE CONTRACTOR HAS GOOD CAUSE
TO TERMINATE THE /DBE FIRM, THE SBO WILL PROVIDE WRITTEN
CONSENT OF /DBE REMOVAL AND THE REQUIREMENTS TO
SUBSTITUTE WORK TO ANOTHER DBE FIRM. IF RTD'S SBO FINDS THAT
GOOD CAUSE DOES NOT EXIST TO TERMINATE THE DBE FIRM, THE SBO
WILL PROVIDE A WRITTEN DENIAL OF THE REQUEST TO
TERMINATE/REPLACE THE DBE CONTRACTOR AND WILL
IMMEDIATELY REQUEST A CORRECTIVE ACTION PLAN FROM THE
CONTRACTOR.
(E) FOR PURPOSES OF GOOD CAUSE TO REMOVE, REPLACE,
TERMINATE OR REPLACE A DBE THE FOLLOWING CIRCUMSTANCES
SHOULD EXIST: (1) FAILURE OR REFUSAL TO EXECUTE A WRITTEN
CONTRACT WITHOUT GOOD CAUSE, (2) FAILURE OR REFUSAL TO
PERFORM THE WORK OF ITS SUBCONTRACT IN A WAY CONSISTENT
WITH NORMAL INDUSTRY PRACTICE AND THE CONTRACTOR HAS NOT
ACTED IN BAD FAITH, (3) FAILURE TO MEET THE CONTRACTOR'S
REASONABLE BONDING OR INSURANCE REQUIREMENTS, (4)
INSOLVENCY, BANKRUPTCY OR CREDIT UNWORTHINESS THAT
CREATES A RISK FOR THE CONTRACT, (5) INELIGIBILITY TO WORK ON
PUBLIC WORKS PROJECT BECAUSE OF SUSPENSION OR DEBARMENT
PROCEEDINGS, (6) A DETERMINATION THAT THE DBE IS NOT A
RESPONSIBLE CONTRACTOR, (7) VOLUNTARY WITHDRAWAL FROM
THE PROJECT BY WRITTEN NOTIFICATION THAT HAS BEEN VERIFIED,
(8) INELIGIBILITY TO RECEIVE DBE PARTICIPATION CREDIT FOR THE
TYPE OF WORK TO BE PERFORMED, (9) OTHER DOCUMENTED GOOD
CAUSE THAT COMPELS THE REPLACEMENT OF THE DBE.
(F) IF THE CONTRACTOR IS APPROVED TO
REPLACE/REMOVE/TERMINATE THE DBE, THE CONTRACTOR MUST
MAKE GOOD FAITH EFFORTS TO REPLACE THE DBE WITH ANOTHER
CERTIFIED DBE AND SHALL NOT SELF-PERFORM THE WORK/SERVICES .
(ii) The Contractor shall ensure that tiered subcontractors comply with this Section
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•
and insert the provisions of this Section into all lower tiered subcontractor
• agreements, regardless of their certification status.
•
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3.6 Good Faith Efforts
(i) To award a contract to a bidder/proposer that has failed to meet the DBE
contract goals, the RTD SBO Manager will decide whether the contractor made a
"good faith" effort to actively, effectively and aggressively seek DBEs to meet
those goals prior to bid/proposal submission and in its commitments as set
forth in their Schedule of Participation/the DBE Plan to continue its efforts to
meet the DBE participation goals for subsequent phases of the project.
Contractors are also responsible for collecting good faith effort documentation
of all major non-DBE subcontractors/suppliers as part of their responsibility to
implement the DBE Program.
The kinds of efforts that are considered demonstrative of a ''good faith" effort
include, but are not limited to, the following:
(A) WHETHER THE CONTRACTOR SOLICITED THROUGH ALL
REASONABLE AND AVAILABLE MEANS (E.G. ATTENDANCE AT PRE-BID
MEETINGS, ADVERTISING AND/OR WRITTEN NOTICES) THE INTEREST
OF ALL CERTIFIED DBES WHO HAVE THE CAPABILITY TO PERFORM
THE WORK OF THE CONTRACT. THE BIDDER MUST SOLICIT THIS
INTEREST WITIDN SUFFICIENT TIME TO ALLOW THE DBES TO
RESPOND TO THE SOLICITATION. THE BIDDER MUST DETERMINE
WITH CERTAINTY IF THE DBES ARE INTERESTED BY TAKING
APPROPRIATE STEPS TO FOLLOW UP INITIAL SOLICITATIONS.
(B) WHETHER THE CONTRACTOR SELECTED PORTIONS OF THE
WORK TO BE PERFORMED BY DBES IN ORDER TO INCREASE THE
LIKELIHOOD THAT THE DBE GOALS WILL BE ACHIEVED. TIDS
INCLUDES, WHERE APPROPRIATE, BREAKING OUT CONTRACT WORK
ITEMS INTO ECONOMICALLY FEASIBLE UNITS TO FACILITATE DBE
PARTICIPATION, EVEN WHEN THE PRIME CONTRACTOR MIGHT
OTHERWISE PREFER TO PERFORM THESE WORK ITEMS WITH ITS OWN
FORCES.
(C) WHETHER THE CONTRACTOR PROVIDED INTERESTED DBES
WITH ADEQUATE INFORMATION ABOUT THE PLANS, SPECIFICATIONS,
AND REQUIREMENTS OF THE CONTRACT IN A TIMELY MANNER TO
ASSIST THEM IN RESPONDING TO A SOLICITATION.
(D) WHETHER THE CONTRACTOR NEGOTIATED IN GOOD FAITH
WITH INTERESTED DBES. IT IS THE BIDDER'S RESPONSIBILITY TO
MAKE A PORTION OF THE WORK AVAILABLE TO DBE
SUBCONTRACTORS AND SUPPLIERS AND TO SELECT THOSE PORTIONS
OF THE WORK OR MATERIAL NEEDS CONSISTENT WITH THE
AVAILABLE DBE SUBCONTRACTORS AND SUPPLIERS, SO AS TO
FACILITATE DBE PARTICIPATION. THE FACT THAT A BIDDER MAY
100
PERFORM 100% OF THE WORK WITH ITS OWN WORKFORCE IS NOT
SUFFICIENT JUSTIFICATION TO FAIL TO NEGOTIATE WITH DBES OR
NOT TO MEET THE DBE PARTICIPATION GOAL ASSIGNED TO A
PROJECT.
(E) EVIDENCE OF SUCH NEGOTIATION INCLUDES THE NAMES,
ADDRESSES, AND TELEPHONE NUMBERS OF DBES THAT WERE
CONSIDERED; A DESCRIPTION OF THE INFORMATION PROVIDED
REGARDING THE PLANS AND SPECIFICATIONS FOR THE WORK
SELECTED FOR SUBCONTRACTING; AND EVIDENCE AS TO WHY
ADDITIONAL AGREEMENTS COULD NOT BE REACHED FOR DBES TO
PERFORM THE WORK.
(F) WHETHER THE CONTRACTOR MADE EFFORTS TO ASSIST
INTERESTED DBES IN OBTAINING BONDING, LINES OF CREDIT, OR
INSURANCE AS REQUIRED BY THE RECIPIENT OR CONTRACTOR.
(G) WHETHER THE CONTRACTOR MADE EFFORTS TO ASSIST
INTERESTED DBES IN OBTAINING NECESSARY EQUIPMENT, SUPPLIES,
MATERIALS, OR RELATED ASSISTANCE OR SERVICES.
(H) WHETHER THE CONTRACTOR EFFECTIVELY USED THE
SERVICES OF AVAILABLE MINORITY/WOMEN COMMUNITY
ORGANIZATIONS, CONTRACTORS' GROUPS AND OTHER
ORGANIZATIONS TO PROVIDE ASSISTANCE IN THE RECRUITMENT AND
PLACEMENT OF DBES, INCLUDING RTD'S SBO.
(I) WHETHER OTHER BIDDERS/PROPOSERS ON THE PROCUREMENT
MET THE DBE GOALS AND SUBMITTED AN ACCEPTABLE DBE PLAN
DEMONSTRATING COMPLIANCE WITH THE DBE PROGRAM
REQUIREMENTS FOR A DESIGN-BUILD PROJECT.
(ii) If, after reviewing the "good faith efforts" documentation submitted by the
contractor, the RTD SBO Manager determines that "good faith efforts" were met,
the contract will be recommended for award to the contractor. If the SBO
Manager determines that the contractor failed to meet the ''good faith efforts"
requirements, the contractor will be informed in writing that their submittal
was deemed non-responsive to the Attachment A requirements and will not be
considered for contract award. The contractor may appeal the decision of the
RTD SBO Manager to the Good Faith Efforts (GFE) Committee. If the contractor
wishes to appeal, they must do so in writing to the RTD Senior Manager of
Materials Management within 5 business days of being informed of the decision
of the RTD SBO Manager that their submission was non-compliant.
(iii) If the decision of the SBO Manager is appealed in writing, with in the 5 day
submission window, the GFE Committee will review the documentation initially
submitted by the contractor -and no other information -under this Section to
decide whether the DBE requirements have been satisfied through ''good faith
efforts".
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• (iv) If the written appeal request is received after the 5 business day submission
•
•
window, it will be disallowed and the determination of the RTD SBO Manager
that the submission was non-compliant will stand.
(v) If the GFE committee determines that "good faith efforts" were met, the contract
will be recommended for award to the contractor. If the GFE Committee
determines that the contractor has failed to meet the good faith effort
requirements, the contractor will be informed in writing. The contractor has an
opportunity for administrative reconsideration of the determination of the GFE
committee. If the contractor requests administrative consideration, they must
do so in writing to the RTD Senior Manager of Materials Management within 5
business days of receiving the decision of the GFE Committee that their
submission was non -compliant. If the written administrative consideration
request is received after the 5 business day submission window, it will be
disallowed and the determination of the GFE committee that the submission was
non-compliant will stand.
(vi) The reconsideration official will be a member of RTD staff who did not take part
in the initial ''good faith" effort decision. The reconsideration official will review
the documentation initially submitted -and no other information -under this
Section to decide whether the DBE requirements have been satisfied through
good faith efforts .
(vii) If the reconsideration official determines that ''good faith" efforts were met, the
contract will be recommended for award to the contractor. If the
reconsideration official determines that the contractor has failed to meet the
"good faith effort requirements, the contractor will be informed in writing. The
result of the reconsideration process is not administratively appealable to the
Department of Transportation.
3.7 Changes
(i) The DBE participation goal shall apply to the performance/dollar value of all
obligations under this Contract, including any Changes, Modifications,
Amendments and Change Orders whether initiated by the contractor or RTD.
Post award requests for partial waivers may be considered by RTD's SBO but a
final determination shall not be rendered until the contract has been
substantially completed and the Contractor lacks the ability to satisfy the DBE
participation goal.
(ii) Changes to the value or scope of work committed to a DBE must be pre-approved
by the SBO and must be for good cause as set forth in the termination,
substitution, replacement provisions set forth in section 3.5 above.
3 .8 Requirements of Attachment A Enclosures
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(v)
(i) The Contractor must complete and return all applicable Enclosures in the forms
set out in this Attachment with bid/proposal. All enclosures must also be
submitted with the bid/proposal.
(ii) The Enclosure 2 Schedule of Participation enclosure subsequent to the award
must be submitted with the addition of each identified DBE firm.
(iii) The Enclosure 3 Letter of Intent (LOI) enclosure subsequent to the award must
be submitted with the addition of each identified DBE firm.
(iv) The Contractor completing the Attachment A Enclosures is advised to contact
the RTD's SBO at (303) 299-2111 if they have any questions or concerns prior to
submitting bid/proposal documentation. Additional Attachment A
documentation will not be accepted after the contractor submits their
bid/proposal to RTD.
As a condition of the award, the contractor must use those DBEs listed to perform the
specific work items or supply the materials as committed in the Enclosure 2 Schedule of
Participation and Enclosure 3 Letter(s) of Intent (LOI) and the contractor is not entitled
to any payment for work or materials performed by its own or any other forces if the
work or supplies were committed to a DBE, unless it receives prior written consent by
RTD Small Business Office for a replacement of the DBE for good cause.
Failure to return all required DBE Enclosures will result in your bid/proposal
being deemed non-responsive. Modification of any Enclosure documentation will
result in your bid/proposal being deemed non-responsive.
Periodically, after award of the contract, RTD's SBO in conjunction with the
contractor may determine that an enclosure is more beneficial with modifications
or that an additional enclosure is necessary to more effectively report the status
of DBE participation or performance and resolution of DBE concerns/issues.
RTD has the right to ask for a modification.
Such a revised enclosure shall be incorporated into contract as an additional
requirement.
3.9 Reporting, audits, reviews and Orientation Requirements
(i) The Contractor shall submit at least monthly, a DBE Participation Report in the
form set out in Appendix A (Form of DBE Participation Report). The Contractor
shall submit each completed DBE Participation Report to RTD's SBO.
(ii) The Contractor acknowledges that the SBO has the right to independently
confirm the information contained in the submitted DBE Participation Reports
by soliciting such information from each DBE Subcontractor as may be required
to verify payments received, distribution of payments received, subcontracting
• •
•
practices, participation credit, and sharing of resources/personnel. The •
Contractor shall not attempt to dissuade any such DBE contractor from
103
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(vi)
•
disclosing any such information or cooperating in any investigation initiated by
theSBO.
(iii) The Contractor shall submit to RTD's SBO a Subcontractors Participation and
Payment Form documenting all payments made to all DBEs and non -DBEs on a
form provided/approved by RTD's SBO.
(iv) The DBE contractor shall submit to RTD's SBO a summmy of payments received
from its contractor, regardless of their lower tier, on a form approved by RTD's
SBO.
(v) The DBE contractor may be selected to participate in a commercially useful
function review or a DBE compliance review before their contract can be closed
by RTD. DBEs are required to fully cooperate with RTD's SBO or its designee in
the compliance review process. The commercially useful function review
process will be initiated with a request for documents relating to contract
performance and management of the actual work performed on the contract.
The scope and intensity of each commercially useful function review will depend
on the specific facts and circumstances. The commercially useful function is
purposed to verify the amount of DBE participation credit, to ensure that work is
actually performed by the DBE consistent with the DBE Program requirements
and/or to ensure that there is no activity engaged in by the DBE that would be
inconsistent with the intent and objectives of the DBE Program. The
commercially useful function review is more formal and will be initiated with an
orientation/explanation process and closed out with a briefing and
determination. The DBE contractor may be subjected to an informal compliance
review by RTD's SBO or its designee with or without notice. The informal
compliance review will generally be conducted at the work site where RTD
actually observes and assesses the services/supplies being provided by the DBE.
The Contractor or any of its lower tier non-DBE subcontractors may be selected
for a DBE compliance review to ensure that they are in compliance with the DBE
Program requirements. This process will be initiated in a formal manner with
written notice and instructions sent to the Contractor or its major subcontractor.
The process will conclude with a close-out interview or debriefing where the
Contractor or non-DBE firm will be given an opportunity to refute the
determination or add to any corrective action requested by RTD. The contractor
must cooperate with any DBE Program audit or compliance review. Failure to
cooperate can result in part or all of the DBE participation credit being
denied/removed from counting toward the DBE participation goal for the contract.
104
All DBEs are required to participate in the
RT D's DBE Orientation Pro9ram if awarded an RTD contract, subcontract or purchase
order before commencin9 work or providin9 supplies on this contract. Failure to
participate in the DBE orientation pro9ram may result in a denial of DBE participation
credit for the project/contract. For 9ood cause, the orientation may be delayed if pre-
approved by RTD. DBEs may be required to repeat the orientation ifthere are changes
to the DBE Program requirements, changes in the DBE regulations, changes in the DBE
personnel, or if the DBE is experiencing challenges in complying with the reportin9
requirements.
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•
• • ATTACHMENT A DBE ENCLOSURE CHECKLIST
This checklist will help you verify all the required enclosures are complete and submitted as
required. Submit this checklist as the front page of your Attachment A Enclosures. Attachment
A Enclosures are to be submitted with bid/proposal. Failure to submit a completed checklist
with your Attachment A Enclosures may result in your proposal to be deemed Non-
Responsive. Modification of any Attachment A Enclosure prior to the official award of the
contract will result in your proposal being deemed Non-Responsive. All enclosures must be
submitted with the bid/proposal. If you have any questions concerning the completion of any of
the Enclosures, please contact RTD's Disadvantaged Business Office at (303) 299-2111.
[ ] Form of DBE Participation
This form must be submitted monthly by all prime contractors throughout the entire duration of
the contract. This form needs to be submitted directly to the RTD SBO.
[ ] Enclosure 1 A: DBE Affidavit
This form must be completed, signed and notarized by all Prime Contractors, whether DBE or
not, to acknowledge the percentage of DBE participation and indicate intent to comply with the
DBE goal
[ ] Enclosure 1 B: DBE Prime Affidavit
This form must be completed, notarized and signed only if the bidder/proposer is a DBE
submitting a proposal/bid as a Prime Contractor. This form, if applicable, must be submitted
• with a current DBE certificate by all DBE prime contractors to affirm DBE status.
[ ] Enclosure 2: Schedule of DBE Participation
This form must be submitted by all DBEs involved on the contract including a DBE prime
contractor. It must contain the following information: names and addresses of certified DBE
participating subcontractors, the work they are to perform and the dollar value of each
proposed certified DBE contract. The Contractor subsequent to award must update and
submit this form with the addition of each identified DBE firm. The Contractor is required to
enter into subcontract agreements or issue purchase orders to all DBEs within thirty (30) days
of notice to proceed.
[ ] Enclosure 3: Letter of Intent to Perform as a Subcontractor
This form must be submitted by the Contractor. It must contain the following information:
names and addresses of certified DBE participating subcontractors, the work they are to
perform and the dollar value of each proposed certified DBE contract and be signed by the
DBE subcontractor. The Contractor subsequent to the award must submit this form with the
addition of a DBE. A copy of the current DBE Certificate for each listed DBE subcontractor
must be attached.
[ ] Enclosure 4: Solicitation Statistics
This form is for statistical purposes only. It is for the prime and all companies the prime
receives bids from on subcontract work .
• [ ] Enclosure 5: Employer Certification of Workforce
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•
This form defines the make-up of the company's work force and must be filed by every prime •
contractor with 50 or more employees or has a contract of $50,000 or more.
[ ] Enclosure 6: Disadvantaged Business Outreach
This form provides current outreach program information for contracted prime and
subcontractors.
[ ] Enclosure 7: Unavailability Certification
This form must be submitted -along with complete documentation of good faith efforts -with
the bid/proposal by a prime contractor who has failed to meet the specified DBE goal.
107
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co
0 ,....
•
DENVER REGIONAL TRANSPORTATK>N DISTRK:T
l~rt.Q)
CONTRACT INFORMATION
Original Contract Value : $
Change Orders Values : $
Current Contract Value :
PRIME CONTRACTOR MONTHLY REPORT
FORM E REPORT OF PAYMENTS TO DBEs
Contract Ouratton:
Contract No .:
Report for Month of·
Name and location of Project
Name and Addrau of Prime Contractor:
Total Pavrr-nts Received To Date : $ ResPOnd .. Yes" or"'No .. to lbt Questions Below;
Payments Received This Month:
Start Date:
Com~tlon Date:
Name of DBE Subcontractor
and/or
Non DBE Subcontractor
COMMENTS:
Prime Contractor
Compfiance Ofrtcer:
Signature:
TOTAL
$
DBE or Non Project Task DBE
Did your firm or an affiHate rent or lease equipment or issue a joint check to a DBE?
Did any DBE utiize employees(or former el'Tl>byees) of your flrm or an affiliate?
Did any DBE subcontract any portion of its INOrk to a non·OBE since thG last report firm?
kas the soope of 'AOO< or •ubeontract amount changed for any DBE 6/nee the tast report?
Original Contract Original CorWntct +I· Payment This Monti> Billed This Month Amount Amount C.O,
s $ s s
Telephone:
By signing this form, I personally and on behll// of the contractor a fr rm that the inform11tOn ptesented in this document is truthful,
accurate, comp/ft and not misJeading.
FORM OF DBE PARTICIPATION REPORT
•
Total Payments
s
Pending Overal
C.O .'s Wort< Contract P .O .
Amountarw:i Completed Submitted
Date •4
1 9 •
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•
0 ..... .....
APPENDIX B-DBE ENCLOSURES
Enclosure la-DBE AFFIDAVIT
THIS PAGE MUST BE COMPLETED BY ALL PRIME PROPOSERS/BIDDERS TO
INDICATE THE PERCENTAGE OF DISADVANTAGED BUSINESS ENTERPRISE
PARTICIPATION.
The undersigned contractor hereby agrees that the goal established tor DBE participation and its
commitment in this project through subcontracting or entering into a joint venture with Disadvantaged
Business Enterprise(s) in conformity with the Requirements, Terms, and Conditions of this Attachment is:
_____ % -DBE (Disadvantaged Business Enterprise)
THIS PERCENTAGE RELATES TO DBE SUBCONTRACTING ONLY AND IS CONSISTENT WITH THE
DISADVANTAGED BUSINESS ENTERPRISE STATEMENT LISTED IN THE BID/PROPOSAL FORM.
THIS BIDDER/PROPOSER IS COMMITED TO COMPLY WITH OR EXCEED THE ABOVE GOAL.
Business Name:---------------------------
Contact Name:---------------------------
Address:-----------------------------
City, State, ZIP:---------------------------Phone: Fax: _____________ _
I DO SOLEMNLY DECLARE AND AFFIRM UNDER THE PENALTIES OF PERJURY THAT THE
CONTENTS OF THE FOREGOING STATEMENTS ARE TRUE AND CORRECT, AND THAT I AM
AUTHORIZED, ON BEHALF OF
_______________ TO MAKE THIS AFFIDAVIT.
(Name of Business Entity)
(Date) (Affiant Print Name) (Title)
(Affiant's Signature)
State of
City and County of
On this day of , before me, the
undersigned officer, personally appeared , known to me to
be the person described in the foregoing Affidavit, and acknowledged that he (she)
executed the same in the capacity therein stated and for the purposes therein contained.
In witness thereof, I hereunto set my hand and official seal. My Commission Expires:
(Notary Public) (SEAL)
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APPENDIX B-DBE ENCLOSURES
ENCLOSURE 1B-DBE AFFIDAVIT
THIS PAGE MUST BE COMPLETED BY THE DISADVANTAGED BUSINESS ENTERPRISE PRIME
CONTRACTOR (PROPOSER/BIDDER)
I HEREBY DECLARE AND AFFIRM that I am the----------------
(Title)
and duly authorized representative of (the firm of)---------------
(Name of Corporation or Joint Venture)
whose address is _________________________ _
(Telephone No.)
I hereby declare and affirm that I am a Disadvantaged Business Enterprise (DBE) and am certified as of
the date that the RTD receives this bid/proposal and as defined by the Regional Transportation District in
Attachment A for
----------------------and that I will provide
(Contract number and name)
information and/or the certification to document this fact with this enclosure.
I DO SOLEMNLY DECLARE AND AFFIRM UNDER THE PENAL TIES OF PERJURY THAT THE
CONTENTS OF THE FOREGOING STATEMENTS ARE TRUE AND CORRECT, AND THAT I AM
AUTHORIZED, ON BEHALF OF THE ABOVE FIRM, TO MAKE THIS AFFIDAVIT .
(Date) (Affiant Print Name) (Title)
(Affiant's Signature)
State of _________________ _
City and County of--------------
On this day of , before me, the
undersigned officer, personally appeared , known to me to
be the person described in the foregoing Affidavit, and acknowledged that he (she)
executed the same in the capacity therein stated and for the purposes therein contained.
In witness thereof, I hereunto set my hand and official seal.
My Commission Expires: ____________ _
(Notary Public) (SEAL)
112
APPENDIX 8 -DBE ENCLOSURES
ENCLOSURE 2-SCHEDULE OF [DBE] PARTICIPATION
NAME OF CONTRACTOR:[•]
RTD Contract No.
T t IP d C t US$ oa ropose OS:
DBE TYPE OF WORK PROJECTED AGREED PRICE
FIRM NAME (ELECTRICAL, PAVING, START & TO BE PAID TO
ETC.) COMPLETION DBE
AND CONTRACT ITEMS DATES FOR
OR PART THEREOF TO DBE
BE PERFORMED
'
1 . Please list all DBEs involved on the contract including the Prime Contractor if it is a
DBE. DBE must be certified in area of work specified on project; work performed for
which they are not certified to perform will not count towards goal. A current DBE
certification for each listed DBE must accompany this enclosure. Failure to provide
proof of current DBE certification for any or all listed DBEs will eliminate such listed
DBE's participation, and work performed by such DBE will not count towards
satisfaction of the DBE Goal. If additional pages are required to list all contracted DBE,
photocopy this enclosure as required to make a complete list.
2. Contracts with DBEs for materials or supplies will be counted toward the DBE Goal as
follows:
(i) materials or supplies obtained from a DBE manufacturer will be counted at 100% toward
the DBE Goal; and
(ii) materials or supplies obtained from a DBE regular dealer will be counted at 60% toward
the DBE Goals. Please refer to 49 CFR §26.55 for specifics with respect to how DBE
participation is counted toward DBE Goal.
3. Contractor must submit copies of all DBE subcontracts, purchase orders or change orders
within 30 Days of execution of the notice to proceed. Failure to submit will result in a
determination that no DBE participation credit shall a DBE work on the project or provide
113
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•
•
•
equipment, materials or supplies for DBE participation credit without an executed subcontract
• agreement or purchase order.
•
• 114
APPENDIX B, ENCLOSURE 3 -LEITER OF INTENT TO PERFORM AS A DBE SUBCONTRACTOR
Contract No.
The undersigned [ •] (the Contractor) intends to engage the undersigned DBE to
perform work in connection with the Project pursuant to a contract (the DBE Contract)
between the Contractor and the DBE as [check one]:
___ an individual a corporation
___ a partnership a joint venture
The DBE status of the undersigned DBE is confirmed on the attached schedule of DBE
participation and represents a company that is certified as of the date on which the DBE
Contract is executed.
Item Projected Projected Agreed Price to be
Commencement Completion Date Paid to DBE
Date
•
•
% of the Dollar value of the DBE Contract will be sublet and/or awarded to non-
-D_B_E_c-ontractors and/or non-DBE suppliers. The undersigned Proposer and the •
undersigned DBE will enter into the DBE Contract for the above work conditioned upon
the Proposer's execution of the Contract with RTD.
NAME OF CONTRACTOR NAME OF DBE FIRM
OWNER/REPRESENTATIVE OWNER/REPRESENTATIVE
ADDRESS ADDRESS
EMAIL ADDRESS EMAIL ADDRESS
SIGNATURE SIGNATURE
TITLE DATE TITLE DATE
• 115
• • •
APPENDIX B, ENCLOSURE 4-SOLICITATION STATISTICS
RTD is required to create and maintain bidder statistics for all finns bidding on prime contracts and bidding or quoting Subcontracts on USDOT-
assisted projects per 49 CFR Part 26.11. The Contractor is required to make copies of this form, send a copy with its initial contact to each
Subcontractor (whether DBE or non-DBE) and require each Subcontractor to return a completed form with its Subcontract bid to the Contractor.
The Contractor must submit all completed forms with each submission of DBE Enclosures to the SBO .
Firm Name:
Firm Address (Office Reporting):
Status as a DBE or Non-DBE (check one):
RTD DBE Non-DBE __
Annual Gross Receipts of the Firm: (check one):
U.S .$0 to U .S.$500,000__ U .S .$500,000 to U.S .$1 ,000 ,000 __
U .S .$5 Million to U .S.$10 Million __ U .S .$10 Million to U .S.$20.41 Million __
Age of the firm: __ _
U .S .$1 Million to U .S.$5 Million __
Above U.S .$20.41 Million __
Signature:---------------------------
Name:
Title:
Date: __________________________ _
116
•
M=Male F =Female
Job Categories Total Employees in
Establishment
Total Total Total Black Hispanic Native Asian-Subcontin Other
Employe Male Female American American American Pacific ent Asian
es Employe Employe s s s American Americans
Including es es s
Minoritie Including Including M F M F M F M F M F M F
s Minoritie Minoritie
s s
Officials &
Managers
Professionals
Technicians
Sales
Office & Clerical
Craft Workers
(skilled)
Operatives
(semi-skilled)
Laborers
(unskilled)
Service Workers
TOTAL
117 • • • •
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•
•
APPENDIX B, ENCLOSURE 5-EMPLOYER CERTIFICATION OF WORKFORCE1
The undersigned certifies that he/she is legally authorized to make the statements and representations contained in this report and that the
statements and representations contained herein are true and correct to the best of his/her knowledge and belief.
Firm Name:
Owners (individuals or holding companies with any ownership interest in your firm):
Ownership Interest (by %) Ethnicity (natural persons)
Signature: _____________________________ _
Name:
Title:
Date of Execution:---------------------------
Gender (natural persons)
Please note that this data may be obtained by visual survey or post-employment records. Neither visual surveys nor post-employment records are
prohibited by Federal, State or local law. Current utilization as of __________ _
NOTE: Submission of the Employer Certification of Workforce form is voluntary. Unle ss this form is marked 'confidential' upon submission, RTD cannot
guarantee confidentiality of the information contained in this Employer Certification of Workforce form.
119 • • • •
• • •
DESCRIPTION OF JOB CATEGORIES
Officials and Managers -Occupations requiring administrative personnel who set board policies, exercise full responsibility for
execution of these policies, and individual departments or special phases of the operations.
Professionals -Occupations requiring either college education or experience of such kind and amount as to provide a comparable
background.
Technicians-Occupations requiring a combination of specific scientific knowledge and manual skill which can be obtained through
about 2 years of post high school education, such as is offered in many technical institutes and junior colleges, or through equivalent
on-the-job training.
Sales -Occupations engaging wholly or primarily in selling.
Office and clerical -Includes all clerical-type work, regardless of level of difficulty, where the activities are predominately non-
manual though some manual work directly involved with altering or transporting the products is included.
Craft Worker (skilled) -Manual workers of relatively high skill level having a thorough and comprehensive knowledge of the
processes involved in their work. Exercises considerable independent judgment and usually requires an extensive period of training.
Operatives (semi-skilled)-Workers who operate machines or processing equipment or perform other factory-related duties of
intermediate skill level which can be mastered in a few weeks and require only limited training.
Laborers (unskilled) -Workers in manual occupations which generally require no special training perform rudimentary duties that
may be learned in a few days and require the application of little or no independent judgment.
Service Workers -Workers in both protective and unprotective service occupations.
RACE/ETHNIC IDENTIFICATION
White (not Hispanic origin) -All persons having origins in any of the original peoples of Europe, North Africa, or the Middle East
Black Americans (not Hispanic origin)-All persons having origins in any of the Black racial groups of Africa
Hispanic Americans -All persons of Mexican, Puerto Rican, Cuban, Dominican, Central or South American, or other Spanish or
Portuguese culture or origin, regardless of race
Asian-Pacific Americans -All persons whose origins are from Japan, China, Taiwan, Korea, Burma (Myanmar), Vietnam, Laos,
Cambodia (Kampuchea), Thailand, Malaysia, Indonesia, the Philippines, Brunei, Samoa, Guam, the U.S. Trust Territories of the
Pacific Islands (Republic of Palau), the Commonwealth of the Northern Marianas Islands, Macao, Fiji, Tonga, Kirbati, Juvalu, Nauru,
Federated States of Micronesia, or Hong Kong
120
•
Subcontinent Asian Americans -All persons whose origins are from India, Pakistan, Bangladesh, Bhutan, the Maldives Islands, Nepal
or Sri Lanka
Native American -All persons having origins in any of the original peoples of North America, including American Indians, Eskimos,
Aleuts, or Native Hawaiians
121 • • • •
•
•
•
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~ ......
~ ......
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.9 ...... ;:::
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N N
APPENDIX B, ENCLOSURE 6-DISADV ANT AGED BUSINESS OUTREACH
As part of RTD's ongoing outreach activities to the Denver metro Disadvantaged
business community, it is our goal to identify and to establish a relationship with the
Disadvantaged business outreach programs sponsored by the prime and
subcontractors we partner with.
The prime and all contracted subcontractors are requested to provide the following
information pertaining to their current DBE outreach efforts -additional sheets may be
used if necessary:
RTD Contract Name and Number:
Contract No. (the Contract).
Proposer:
Subcontractor -if applicable:
Disadvantaged Business Outreach Contact (if none, list contact for the Contract):
Phone: Fax: ~--------------
Em a i I: -----------------------------Website: ___________________________ _
Currently Sponsored Disadvantaged Business Outreach Activities:
How can RTD assist you in your current Disadvantaged business outreach efforts?
Would you be interested becoming involved in current and future RTD-sponsored
outreach activities and committees: [ ] Yes [ ] No
If so, how?~--------------------------
123
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•
•
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•
•
APPENDIX 8, ENCLOSURE 7-DBE UNAVAILABILITY CERTIFICATION
I, _____________ _
Name Title
of , certify that [the Contractor},
made the following efforts to meet the DBE Goals on Regional Transportation District
Contract No. for the Project:
[please attach any additional efforts that do not fit on this form]
• A Contractor representative attended the pre-bid meeting. Yes No
• Newspaper Advertisement Log: (attach copies of ads)
Newspaper/Publication Type of Publication Dates of Advertisement
Minority/General/Trade
• Selected portions of the work to be performed by [DBEs]
Work Categories Type of Bid Contractor's Additional
(Subcontractor or Estimated Comments
Supplier) Budget
• Made efforts to assist interested DBEs in obtaining bonding, lines of credit,
insurance or any necessary equipment, supplies, materials, etc.
• List an s ecific offers made b Contracto
124
• S I' 't d th f II 01c1e e o owing DBE s
Date Name of DBE Contact Phone# Work
Contacted Firm Person Category
• F II d o owe 'th . 'f I t t UPWI 1rn 1a con ac s
Date Name of DBE Phone# Bidding Additional
(Yes or No) Comments
• Contacted the following other agencies, organizations in recruitment of DBE
including RTD:
Date 0 rgan ization Phone#
As shown by the documentation provided to RTD, we feel that we have made good faith
effort to attain the DBE Goals .
Signature: ________________ _
Date: _________ _
125
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•
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•
•
Exhibit G -FY2014 FTA Certifications and
Assurances
(Separate PDF document)
126
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•
FTA FISCAL YEAR 2014 CERTIFICATIONS AND ASSURANCES
Certifications and Assurances you select on its behalf, except as FI A determines
otherwise in writing.
It is important that your Applicant and You also understand that these Certifications and
Assurances are pre-award requirements, generally imposed by Federal law or
regulation, and do not include all Federal requirements that may apply to it or its
Project. Our FIA Master Agreement MA(20)for Federal FY 2014, available at
http://www.fta.dot.gov. contains a list of most of those requirements.
We expect You to submit your Applicant's FY 2014 Certifications and Assurances and its
applications for funding in TEAM-Web. You must be registered in TEAM-Web to submit
the FIA FY 2014 Certifications and Assurances on its behalf. The TEAM-Web
"Recipients" option at the "Cert 's & Assurances" tab of the "View/Modify Recipients"
page contains fields for selecting among the twenty-four (2 4) Groups of Certifications
and Assurances and a designated field for selecting all twenty-four (24) Groups of
Certifications and Assurances. JfFI'A agrees that you cannot submit your Applicant's
FY 2014 Certifications and Assurances electronically, you must submit the Signature
Page(s) in Appendix A of this Notice, as FIA directs, marked to show the Groups of
Certifications and Assurances it is submitting.
Be aware that these Certifications and Assurances have been prepared in light of
• FI'A 's latest authorization legislation, Moving Ahead/or Progress in the 21st
Century Act (MAP-21), Pub. L. ll 2-141, June 6, 2012,
• The Continuing Appropriations Act, 2014, Pub. L. 113-46, October 17, 2013,
• The Consolidated and Further Continuing Appropriations Act, 2013, Pub. l. 113-6,
March 26, 2013,
• The Continuing Appropriations Resolution, 2013 (CR), Pub. L. 1I2-175,
September 28, 2012, and
• FT A 's authorizing legislation in effect in FY 2012 or a previous fiscal year, except as
superseded by MAP-21 cross-cutting requirements thaJ apply.
With certain exceptions. Projects financed in FY 2014 with funds appropriated or made
available for FY 2012 or a previous fiscal year must be in compliance with the
requirements for that type of Project in effect during the fiscal year for which the funding
was derived, except as superseded by MA.P-21 cross-cutting requirements that apply.
GROUP 01. REQUIRED CERTIFICATIONS AND ASSURANCES
FOR EACH APPLICANT.
Before FI'A may provide funding for your Applicant's Project, in addition to any other
Certifications and Assurances thaJ you must select on behalf of your Applicant, you must
also select the Certifications and Assurances in Group OJ, except as FI'A determines
otherwise in writing.
Your Applicant is ultimately responsible for compliance with the Certifications and
FT A FISCAL YEAR 2014 CERTIFICATIONS AND ASSURANCES
PREFACE
Except as the Federal Transit Administration (FTA or We) determines otherwise in
writing, before FTA may award Federal transit assistance (funding or funds) to support a
public tr'}nsportation Project, an Authorized Representative (You) of the Project sponsor
(Appficant) must select certain Certifications and Assurances required by Federal law or
regulation. The Authorized Representative must be duly authorized by the Applicant to,
among other things, sign these Certifications and Assurances and bind the Applicant's
compliance. You, as the Authorized Representative, must select all Certifications and
Assurances required of your Applicant (or it) to support its applications for FTAfunding
during Federalfiscalyear (FY) 2014.
We request that you read each Certification and Assurance and select those that will
apply to all Projects for which your Applicant might seek FF A funding. As required by
Federal law and regulation, only if you select adequate Cerlifications and Assurances on
your Applicant's behalf, may FT A award Federal funding for its Project.
We have consolidated our Certifications and Assurances intoiwenty-four (24) Groups. At '
a minimum, you must select the Assurances in Group 01 on your Applicant's behalf. If
your Applicant requests more than $100,000, you must also select the "Lobbying"
Certification in Group 02, unless it is an Indian tribe or organization or a tribal
organization. Depending on the nature of your Applicant and its Project, you may also
need to select some Certifications and Assurances in Groups 03 through 24. However,
instead of selecting individual Groups of Certifications and Assurances, you may make a
single selection that will encompass all twenty-four (24) Groups of Certifications and
Assurances that apply to all our programs.
FT A, your Applicant, and you understand and agree that not every provision of these
twenty-four (24) Groups of Certifications and Assurances will apply to every Applicant
or every Project FTAfunds even if you make a single selection encompassing all twenty-
/our (24) Groups. Nor will every provision of all Certificarions and Assurances within a
single Group apply if that provision does not apply to your Applicant or its Project. The
type of Project and Applicant will determine which Cert!fications and Assurances apply.
Your Applicant is ultimately responsible for compliance with the Certifications and
Assurances selected on its behalf that apply to its Project, itself, any Subrecipient, or
other Third Party Participant in its Project, except as FFA determines otherwise in
writing. For this reason, we strongly encourage your Applicant to take appropriaJe
measures, including, but not limited to, obtaining sufficient documentation .from each
Subrecipient and other Third Party Participant(s) to assure the validity of the applicable
Certifications and Assurances selected on behalf of your Applicant.
If your Applicant is a team, a consortium, a joint venture, or a partnership, it
understands and agrees that you must identify the activities each member will perform
and the extent to which each member will be responsible for compliance with the
• •
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•
Ff A FISCAL YEAR 2014 CERTIFICATIONS AND ASSURANCES
Assurances selected on its behalf that apply lo its Project, itself, any Subrecipient, or
other Third Party Participant in its Project, except as FT A determines otherwise in
writing. For this reason , we strongly encourage your Applicant to take appropriate
measures, including, but not limited to , obtaining sufficient documentation.from each
Subrecipient and other Third Party Participants to assure the validity of the applicable
Certifications and Assurances selected on behalf of your Applicant.
Any provision of the Certifications and Assurances in Group OJ that does not apply will
not be enforced
1.A. Assurance of Authority of the Applicant and Its Authorized Representative.
You certify that both you, as your Applicant's Authorized Representative, and your
Applicant's attorney, who is authorized to represent the Applicant in legal matters, who
sign these Certifications, Assurances, and Agreements, may undertake the following
activities on its behalf, in compliance with applicable State, local, or Indian tribal laws
and regulations, and its by-laws or internal rules:
1. Execute and file its application for Federal funds,
2. Execute and file its Certifications, Assurances, and Agreements binding its
compliance,
3. Execute Grant Agreements or Cooperative Agreements, or both, with ITA,
4. Comply with applicable Federal laws and regulations, and
5. Follow applicable Federal guidance .
1.B. Standard Assurances.
On behalf of your Applicant, you assure that it understands and agrees to the following:
1. It will comply with all applicable Federal statutes and regulations to carry out any
FT A funded Project,
2. It is under a continuing obligation to comply with the terms and conditions of the
Ff A Grant Agreement or Cooperative Agreement for its Project, including the FT A
Master Agreement incorporated by reference and made part of the latest amendment
to that Grant Agreement or Cooperative Agreement,
3. It recognizes that Federal laws and regulations may be amended from time to time
and those amendments may affect Project implementation,
4. It understands that Presidential executive orders and Federal guidance, including
Federal policies and program guidance, may be issued concerning matters affecting it
or its Project,
5. It agrees that the most recent Federal laws, regulations, and guidance will apply to its
Project, except as FT A determines otherwise in writing,
6. In light of recent FT A legislation applicable to FT A, except as FT A determines
otherwise in writing, it agrees that requirements for IT A programs may vary
depending on the fiscal year for which the funding for those programs was
appropriated:
a. In some instances, FTA has determined that Federal statutory or regulatory
FTA FISCAL YEAR 2014 CERTIFICATIONS AND ASSURANCES
program and eligibility requirements for FY 2012 or a specific previous fiscal
year, except as superseded by applicable MAP-21 cross-cutting requirements,
apply to:
( 1) New grants and cooperative agreements, and
(2) New amendments to grants and cooperative agreements that:
(a) Have been awarded Federal funds appropriated or made available for
FY 2012 or the previous fiscal year, or
(b) May be awarded Federal funds appropriated or made available for
FY 2012 or the previous fiscal year, but
b. In other instances, FTA has detennined that MAP-21 will apply to the Federal
funds appropriated or made available for FY 2012 or a previous fiscal year, and
. c. Fqr ~II FT A funded Projects, th~ following MAfl-21 cross-cutH11g r~quirei:ne11ts
supersede conflicting provisions of previous Federal law and regulations :
(1) ·Metropolitan and Statewide and Norunetropolitan Transportation Planning,
(2) Envirorunental Review Process,
(3) Public Transportation Agency Safety Plans,
( 4) Transit Asset Management Provisions (and Asset Inventory and Condition
Reporting), · ·· · · · · · ·· · · · , ·
(5) Costs Incurred by Providers of Public Transportation by Vanpool,
(6) Revenue Bonds as Local Match,
(7) Debt Service Reserve,
(8) Government's Share of Cost of Vehicles, Vehicle-Equipment, and Facilities
for ADA and Clean Air Act Compliance, ·
(9) Private Sector Participation,
( 10) Bus Testing,
(11) Buy America,
( 12) Corridor Preservation,
(13) Rail Car Procurements,
(14) Veterans Preference/Employment,
(15)Alcohol and Controlled Substance Testin~, and
(16) Other provisions as FT A may detennine.
l.C. Intergovernmental Review Assurance.
(The assurance in Group 01 .C does not apply to an Indian tribe, an Indian organization
or a tribal organization that applies for funding made available for Fl A 's Tribal Transit
Programs authorized by 49 U.S. C. 5311 (c)(l).
As required by U.S. Department of Transportation (U.S. DOT) regulations,
"Intergovernmental Review of Department of Transportation Programs and Activities,"
49 CFR part 17, on behalf of your Applicant, you assure that your Applicant has
1 More information about these matters appears in the Federal Transit Administration, .. Notice of FT A
Transit Program Changes, Authorized Funding Levels and Implementation of the Moving Ahead for
Progress in the 21st Century Act (MAP-2 l) and FT A FY 2013 Apportionments, Allocations, Program
Information and Interim Guidance," 77 Fed .~ 663670, Oct. 16, 2012.
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FTA FISCAL YEAR 2014 CERTIFICATIONS AND ASSURANCES
submitted or will submit each application for Federal funding to the appropriate State and
local agencies for intergovernmental review, to facilitate compliance with those
regulations.
l.D. Nondiscrimination Assurance.
On behalf of your Applicant, you assure that:
1. It will comply with the following laws and regulations so that no person in the United
States will be denied the benefits of, or otherwise be subjected to, discrimination in
any U.S. DOT or FTA funded program or activity (particularly in the level and
quality of transportation services and transportation-related benefits) on the basis of
race, color, national origin, religion, sex, disability, or age:
a. Federal transit laws, specifically 49 U.S.C. 5332(prohibiting discrimination on the
basis of race, color, religion, national origin, sex, disability, age, employment, or
business opportunity),
b. Title VI of the Civil Rights Act of 1964, as amended, 42 U.S.C. 2000d,
c. The Rehabilitation Act of 1973, as amended, 29 U.S.C. 794, et seq.,
d. The Americans with Disabilities Act of 1990, as amended, 42 U.S.C . 12101
et seq.,
e. U.S. DOT regulations, "'Nondiscrimination in Federally-Assisted Programs of the
Department of Transportation-Effectuation of Title VI of the Civil Rights Act of
1964," 49 CFR part 21,
f. U.S. DOT regulations, specifically 49 CFR parts 27, 37, 38, and 39, and
g. Ally other applicable Federal statutes that may be signed into law or Federal
regulations that may be promulgated,
2. It will comply with Federal guidance implementing Federal nondiscrimination laws
and regulations, except to the extent FT A determines otherwise in writing,
3. As required by 49 CFR 21.7:
a. It will comply with 49 U.S.C. 5332, 42 U.S.C. 2000d, and 49 CFR part 21 in the
manner:
( 1} It conducts each Project,
(2) It undertakes property acquisitions, and
(3) It operates its Project facilities, including:
(a) Its entire facilities, and
(b) Its facilities operated in connection with its Project,
b. This assurance applies to its entire Project and to all parts of its facilities,
including the facilities it operates to implement its Project,
c. It will promptly take the necessary actions to carry out this assurance, including:
(1) Notifying the public that discrimination complaints about transportation-
related services or benefits may be filed with U.S. DOT or FTA, and
(2) Submitting information about its compliance with these provisions to
U.S. DOT or Ff A upon their request,
d. If it transfers Ff A funded real property, structures, or improvements to another
party, any deeds and instruments recording that transfer will contain a covenant
running with the land assuring nondiscrimination:
Ff A FISCAL YEAR 2014 CERTIFICATIONS AND ASSURANCES
( 1) While the property is used for the purpose that the Federal funding is
extended, and
(2) While the property is used for another purpose involving the provision of
similar services or benefits,
e. The United States has a right to seek judicial enforcement of any matter arising
under:
(1) Title VI of the Civil Rights Act, 42U.S.C. 2000d,
(2) U.S. DOT regulations, 49 CFR part 21, and
(3) This assurance,
f. It will make any changes in its Title VI implementing procedures, as U.S. DOT or
FT A may request, to comply with: .
(I) . Titl~. YJ <?f ~~.qyiJ . BJght~ A~~. 4 2, JJ~_SJ~,. 2QOQd, ..
(2) U.S. DOT regulations, 4 9 CFR part 21, and
(3) Federal transit laws, 49 U.S.C. 5332,
g. It will comply with Federal guidance issued to implement Federal
nondiscrimination requirements, except as FT A determines otherwise in writing,
h. It will exterid the requirements of 49 U.S.C. 5332, 42 U.S.C. 2000d, and 49 CFR
part 21 tO each Third Part)' Participant, including ariy:
( l) Subrecipient,
(2) Transferee,
(3) Third Party Contractor or Subcontractor at any tier,
(4) Successor in Interest.
( 5) Lessee, or
(6) Other participant in its Project, except FT A and the Applicant (that later
becomes the Recipient),
i. It will include adequate provisions to extend the requirements of 49 U.S.C. ·5332,
42 U.S.C. 2000d, and 49 CFR part 21 to each third party agreement, including
each:
(1) Subagreement at any tier,
(2) Property transfer agreement,
(3) Third party contract or subcontract at any tier,
( 4) Lease, or
(5) Participation agreement, and
j. The assurances you have made on its behalf remain in effeet as long as FT A
determines appropriate, including, for example, as long as:
(1) Federal funding is extended to its Project,
(2) Its Project property is used for a purpose for which the Federal funding is
extended,
(3) Its Project property is used for a purpose involving the provision of similar
services or benefits,
(4) It retains ownership or possession of its Project property, or
(5) FTA may otherwise determine in writing, and
4. As required by U.S. DOT regulations, "Nondiscrimination on the Basis of Handicap
in Programs and Activities Receiving or Benefiting from Federal Financial
Assistance," 49 CFR part 27, specifically 49 CFR 27.9, and consistent with 49 U.S.C .
•
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FT A FISCAL YEAR 2014 CERTIFICATIONS AND ASSURANCES
5307(c)(l)(D)(ii), you assure that:
a. It will comply with the following prohibitions against discrimination on the basis
of disability listed in Group l .D.4.b below, of which compliance is a condition of
approval or extension of any FT A funding awarded to:
( 1) Construct any facility,
(2) Obtain any rolling stock or other equipment,
(3) Undertake studies,
( 4) Conduct research, or
(5) Participate in or obtain any benefit from any FTA administered program, and
b. In any program or activity receiving or benefiting from Federal funding that
U.S. DOT administers, no qualified people with a disability will, because of their
disability, be:
(1) Excluded from participation,
(2) Denied benefits, or
(3) Otherwise subjected to discrimination.
1.E. Suspension and Debarment Certification.
On behalf of your Applicant, you certify that:
1. It will comply and facilitate compliance with U.S. DOT regulations,
"Nonprocurement Suspension and Debarment,'' 2 CFR part 1200, which adopts and
supplements the U.S. Office of Management and Budget (U.S. OMB) "Guidelines to
Agencies on Governmentwide Debarment and Suspension (Nonprocurement),"
2 CFR part 180,
2. To the best of its knowledge and belief, that its Principals and Subrecipients at the
first tier:
a. Are eligible to participate in covered transactions of any Federal department or
agency and are not presently:
( 1) Debarred,
(2) Suspended,
(3) Proposed for debarment,
( 4) Declared ineligible,
(5) Voluntarily excluded, or
(6) Disqualified,
b. Its management has not within a three-year period preceding its latest application
or proposal been convicted of or had a civil judgment rendered against any of
them for:
( 1) Commission of fraud or a criminal offense in connection with obtaining,
attempting to obtain, or perfonning a public (Federal, State, or local)
transaction, or contract under a public transaction,
(2) Violation of any Federal or State antitrust statute, or
(3) Commission of embezzlement, theft, forgery, bribery, falsification or
destruction of records, making any false statement, or receiving stolen
property,
c. It is not presently indicted for, or otherwise criminally or civilly charged by a
Ff A FISCAL YEAR 2014 CERTIFICATIONS AND ASSURANCES
governmental entity (Federal, State, or local) with commission of any of the
offenses listed in the preceding subsection 1.E.2.b of this Certification,
d. It has not had one or more public transactions (Federal, State, or local) terminated
for cause or default within a three-year period preceding this Certification,
e. If, at a later time, it receives any information that contradicts the statements of
subsections 2.a -2.d above, it will promptly provide that information to FT A,
f. It will treat each lower tier contract or lower tier subcontract under its Project as a
covered lower tier contract for purposes of 2 CFR part 1200 and 2 CFR part 180 if
it:
(1) Equals or exceeds $25,000,
(2) Is for audit services, or
(3) . Requires the co11:sent of a Fe~.~~l offi~.ial? 8!1~-...
g. It will require that each covered lower tier contract9r and subcontractor:
(1) Comply and facilitate compliance with the Federal .requirements of2CFR
parts 180 and 1200, and
(2) Assure that each lower tier participant in its Project is not presently declared
by any Federal department or agency tobe:
(a) Debarred from participatiOn in i:tS federally funded Project,
(b) Suspended from participation in its federally funded Project,
(c) Proposed for debarment from participation in its federally funded
Project,
(d) Declared ineligible to participate in its federally funded Project,
( e) Voluntarily excluded from participation in its federally funded Project,
or
(f) Disqualified from participation in its federally funded Project, and
3. It will provide a written explanation as indicated on a page attached in FTA's TEAM-
Web or the Signature Page if it or any of its principals, including any of its first tier
Subrecipients or its Third Party Participants at a lower tier, is unable to certify
compliance with the preceding statements in this Certification Group 01.E.
1.F. U.S. OMB Assurances in SF-4248 and SF-424D.
The assurances in Group 01.F are consistent with the US. OMB assurances required in
the US. OMB SF-424B and SF-424D, updated as necessary to reflect changes in Federal
laws and regulations.
1. Administrative Activities. On behalf of your Applicant, you assure that:
a. For every Project described in any application it submits, it has adequate
resources to properly plan, manage, and complete its Project, including the:
(I) Legal authority to apply for Federal funding,
(2) Institutional capability,
(3) Managerial capability, and
( 4) Financial capability (including funds sufficient to pay the non-Federal share
of Project cost),
b. It will give limited access and the right to examine Project-related materials to
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FT A FISCAL YEAR 2014 CERTIFICATIONS AND ASSURANCES
entities or individuals, as required, including, but not limited to the:
(l) FTA,
(2) The Comptroller General of the United States, and
(3) State, through an authorized representative, if appropriate,
c. It will establish a proper accounting system in accordance with generally accepted
accounting standards or FT A guidance, and
d. It will establish safeguards to prohibit employees from using their positions for a
purpose that results in:
(I) A personal or organizational conflict of interest, or personal gain, or
(2) The appearance of a personal or organizational conflict of interest or personal
gain,
2. Project Specifics. On behalf of your Applicant, you assure that:
a Following receipt of an FTA award, it will begin and complete Project work
within the time periods that apply,
b. For FTA funded construction Projects:
(1) It will comply with FTA provisions concerning the drafting, review, and
approval of construction plans and specifications,
(2) It will provide and maintain competent and adequate engineering supervision
at the construction site to assure that the completed work confonns with the
approved plans and specifications,
(3) It will include a covenant to assure nondiscrimination during the useful life
of its Project in its title to federally funded real property,
(4) To the extent FTA requires, it will record the Federal interest in the title to
FT A funded real property or interests in real property, and
(5) It will not alter the site of the FT A funded construction Project or facilities
without pennission or instructions from FT A by:
(a) Disposing of the underlying real property or other interest in the site and
facilities,
(b) Modifying the use of the underlying real property or other interest in the
site and facilities, or
(c) Changing the tenns of the underlying real property title or other interest
in the site and facilities, and
c. It will furnish progress reports and other infonnation as FT A or the State may
require, and
3. Statulory and Regulatory requiremenls. On behalf of your Applicant, you assure that:
a. It will comply with all Federal statutes relating to nondiscrimination that apply,
including, but not limited to:
(1) The prohibitions against discrimination on the basis of race, color, or national
origin, as provided in Title VI of the Civil Rights Act, 42 U.S.C. 2000d,
(2) The prohibitions against discrimination on the basis of sex, as provided in:
(a) Title IX of the Education Amendments of 1972, as amended, 20 U.S.C.
1681 -1683, and 1685 -1687, and
(b) U.S. DOT regulations, "Nondiscrimination on the Basis of Sex in
Education Programs or Activities Receiving Federal Financial
Assistance," 49 CFR part 25,
• FTA FISCAL YEAR 2014 CERTIFICATIONS AND ASSURANCES
(3) The prohibitions against discrimination on the basis of age in federally •
funded programs, as provided in the Age Discrimination Act of 1975. as
amended, 42 U.S.C. 6101.,-6107,
( 4) The prohibitions against discrimination on the basis of disability in federaJly
funded programs, as provided in section 504 of the Rehabilitation Act
of 1973. as amended, 29 U .S.C. 794, ,
(5) The prohibitions against discrimination on the basis of disability, as provided
in the Americans with Disabilities Act of 1990, as amended, 42 U.S.C. 1210 l
el seq.,
(6) The prohibitions against discrimination in the sale, rental, or financing of
housing, as provided in Title VIII of the Civil Rights Act, 42 U.S.C. 3601
e,1 seq.k.... .............. ... . . . . ..... ............ ......... ... . --·· " .... _,_.,.,.
(7) The prohibitions against discrimination on the basis of drug abuse, as
provided in the Drug Abuse Office and Treatment Act of 1972, as amended,
21 U.S.C. 1101 et seq.,
(8) The prohibitions against discrimination on the basis of alcohol abuse, as
provided in the Comprehensive Alcohol Abuse and Alcoholism Prevention
Act oft 970, a5 amended, 42 U .S.C. 4541 efseq ., .. . .....
(9) The confidentiality requirements for records of alcohol and drug abuse
patients, as provided in the Public Health Service Act, as amended, 42 U.S.C.
290dd -290dd-2, and
(10) The nondiscrimination provisions of any other statute(s) that may apply to its
Project, ·
b. As provided by the Uniform Relocation Assistance and Real Property Acquisition •
Policies Act of 1970, as amended (Uniform Relocation Act), 42 U.S.C. 4601
et seq., and 49 U.S.C. 5323(b), regardless of whether Federal funding has been
provided for any of the real property acquired for Project purposes:
(1) It will provide for fair and equitable treatment of displaced persons or
persons whose property is acquired as a result of federally funded programs,
and
(2) It has the necessary legal authority under State and local laws and regulations
to comply with:
(a) The Uniform Relocation Act. 42 U.S.C. 4601 el seq., as specified by
42 U.S.C. 4630 and 4655, and
(b) U.S. DOT regulations, "Uniform Relocation Assistance and Real
Property Acquisition for Federal and Federally Assisted Programs," 49
CFR part 24, specifically 49 CFR 24.4, and
(3) It has complied with or will comply with the Unifonn Relocation Act and
implementing U.S. DOT regulations because:
(a) It will adequately inform each affected person of the benefits, policies,
and procedures provided for in 49 CFR part 24,
(b) As required by 42 U.S.C. 4622, 4623, and 4624, and 49 CFR part 24, if
an FT A funded Project results in displacement, it will provide fair and
reasonable relocation payments and assistance to:
l Displaced families or individuals, and
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FTA FISCAL YEAR 2014 CERTIFICATIONS AND ASSURANCES
i Displaced Partnerships, corporations, or associations,
(c) As provided by 42 U.S,C. 4625 and 49 CFR part 24, it will provide
relocation assistance programs offering the services described in the
U.S . DOT regulations to such displaced:
1 Families and individuals, and
1. Partnerships, corporations, or associations,
(d) As required by 42 U.S.C. 4625(c)(3), within a reasonable time before
displacement, it will make available comparable replacement dwellings
to families and individuals,
(e) It will:
l Carry out the relocation process to provide displaced persons with
uniform and consistent services, and
i Make available replacement housing in the same range of choices
with respect to such housing to all displaced persons regardless of
race, color, religion, or national origin,
(f) It will be guided by the real property acquisition policies of 42 U.S.C.
4651 and 4652,
(g) It wilJ pay or reimburse property owners for their necessary expenses as
specified in 42 U.S.C. 4653 and 4654, understanding that FT A will
provide Federal funding for its eligible costs for providing payments for
those expenses, as required by 42 U.S.C. 4631,
(h) It will execute the necessary implementing amendments to FT A funded
third party contracts and subagreements,
(i) It will execute, furnish, and be bound by such additional documents as
FTA may determine necessary to effectuate or implement these
assurances,
{j) It will incorporate these assurances by reference into and make them a
part of any third party contract or subagreement, or any amendments
thereto, relating to any FT A funded Project involving relocation or land
acquisition, and
(k} It will provide in any affected document that these relocation and land
acquisition provisions must supersede any conflicting provisions,
c. It will comply with the Lead-Based Paint Poisoning Prevention Act, specifically
42 U.S.C. 4831(b), which prohibits the use oflead-based paint in the construction
or rehabilitation of residence structures,
d. It will, to the extent applicable, comply with the protections for human subjects
involved in research, development, and related activities supported by Federal
funding of:
(l) The National Research Act, as amended, 42 U.S.C. 289 et seq., and
(2) U.S. DOT regulations, "Protection of Human Subjects," 49 CFR part 11,
e. It will, to the extent applicable, comply with the labor standards and protections
for federally funded Projects of:
(1) The Davis-Bacon Act, as amended, 40 U.S.C. 3141-3144, 3146, and 3147,
(2) Sections l and 2 of the Copeland "Anti-Kickback" Act, as amended,
18 U.S.C. 874, and 40 U.S.C. 3145, respectively, and
• FT A FISCAL YEAR 2014 CERTIFICATIONS AND ASSURANCES
(3) The Contract Work Hours and Safety Standards Act, as amended, 40 U.S.C. •
3701 er seq.,
f. It will comply with any applicable environmental standards that may be
prescribed to implement Federal laws and executive orders, including, but not
limited to:
(l) Following the institution of environmental quality control measures under the
National Environmental Policy Act of 1969, as amended, 42 U.S.C. 4321 -
4335 and Executive Order No. 11514, as amended, 42 U.S.C. 4321 note,
(2) Following the notification of violating facilities provisions of Executive
Order No. 11738, 42 U.S.C. 7606 note,
(3) Following the protection of wetlands provisions of Executive Order
No. 11990 42 U.S.C. 4321 note . "'\. . . . . ...... ··'· ,.• .. ·.•.• ., .... -., "''' .,,. '·· ..... -... . .. ,.,,-." .. , ... · .. ~ ... ,., .
( 4) Following the evaluation of flood hazards in floodplains provisions of
Executive Order No. 11988, 42 U .S.C. 4321 note,
(5) Complying with the assurance of Project consistency with the approved State
management program developed pursuant to the Coastal Zone Management
Act of 1972, as amended, 16 U.S.C. 1451~1465,
(6) Complying 'with the Conformity of Federal Actions to State (Cleari Air)
Implementation Plans requirements under section l 76(c) of the Clean Air Act
of 1955, as amended, 42 U.S.C. 7401-7671q,
(7) Complying with the protections for underground sources of drinking water
under the Safe Drinking Water Act of 1974, as amended, 42 U .S.C. 300f -
300j-6, '
(8) Complying with the protections for endangered species under the Endangered •
Species Act of 1973, as amended, 16 U.S.C. 1531 -1544,
(9) Complying with the environmental protections for Federal transportation
programs, including, but not limited to, protections for parks, recreation
areas, or wildlife or waterfowl refuges of national, State, or local significance
or any land from a historic site of national, State, or local significance to be
used in a transportation Project, as required by 49 U.S.C. 303,
( 10) Complying with the protections for national wild and scenic rivers systems,
as required under the Wild and Scenic Rivers Act of 1968, as amended,
16 U.S.C. 1271-1287, and
(11) Complying with and facilitating compliance with:
(a) Section 106 of the National Historic Preservation Act of 1966, as
amended, 16 U.S .C. 470f,
(b) The Archaeological and Historic Preservation Act of 1974, as amended,
16 U.S.C. 469 -469c, and
(c) Executive Order No. 11593 (identification and protection of historic
properties), 16 U.S.C. 470 note,
g. To the extent applicable, comply with the following Federal requirements for the
care, handling, and treatment of wannblooded animals held or used for research,
teaching, or other activities supported by Federal funding:
(1) The Animal Welfare Act, as amended, 7 U.S .C. 2131 et seq., and
(2) U.S. Department of Agriculture regulations, "Animal Welfare," 9 CFR
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FTA FISCAL YEAR 2014 CERTIFICATIONS AND ASSURANCES
subchapter A, parts l, 2, 3, and 4,
h. To the extent applicable, obtain a certificate of compliance with the seismic
design and construction requirements of U.S. DOT regulations, "Seismic Safety,"
49 CFR part 41, specifically 49 CFR 41.117( d), before accepting delivery of any
FT A funded building,
i. Comply with, and assure that its Subrecipients located in special flood hazard
areas comply with, section 102(a) of the Flood Disaster Protection Act of 1973, as
amended, 42 U.S.C. 4012a(a), by:
(1) Participating in the Federal flood insurance program, and
(2) Purchasing flood insurance if the total cost of insurable construction and
acquisition is $10,000 or more,
J. Comply with:
(1) The Hatch Act, 5 U.S.C. 1501 -1508, 7324-7326, which limits the political
activities of State and local agencies and their officers and employees whose
primary employment activities are financed in.whole or part with Federal
funds, including a Federal loan, grant agreement, or cooperative agreement,
and
(2) 49 U.S.C. 5323(1)(2) and 23 U.S.C. 142(g), which provide an exception from
Hatch Act restrictions for a nonsupervisory employee of a public
transportation system (or of any other agency or entity performing related
functions) receiving FT A funding appropriated or made available for
49 U.S.C. chapter 53 and 23 U.S.C. 142(a)(2) to whom the Hatch Act does
not otherwise apply,
k. Perform the financial and compliance audits as required by the:
(1) Single Audit Act Amendments of 1996, 31 U.S.C. 7501 et seq.,
(2) U.S. OMB Circular A-133, "Audits of States, Local Governments, and Non-
Profit Organizations," Revised, and
(3) Most recent applicable U.S. OMB A-133 Compliance Supplement provisions
for the U.S. DOT.
I. Comply with all other Federal laws or regulations that apply, and
m. Follow Federal guidance governing it and its Project, except to the extent that
Ff A has expressly approved otherwise in writing.
GROUP 02. LOBBYING.
Before FT A may provide funding for a Federal grant or cooperative agreement
exceeding $100,000 or a Federal loan, line of credit, loan guarantee, or loan insurance
exceeding $150, 000, in addition to other Certifications and Assurances you must select
on your Applicant's behalf, you must also select the Lobbying Certifications in Group 02,
unless your Applicant is an Indian Tribe exempt from the requirements of 31 U.S.C. 1352
or FTA determines 01herwise in writing.
Your Applicant is ultimately responsible for compliance with the Certificalions and
Assurances selected on its behalf that apply to its Project, itself. any Subrecipient, or
other Third Party Participant in its Project, except as FTA determines otherwise in
FT A FISCAL YEAR 2014 CERTIFICATIONS AND ASSURANCES
writing. For this reason, we strongly encourage your Applicant to lake appropriate
measures, including, but not limited to, obtaining sufficient documentation from each
Subrecipien/ and other Third Party Participants to assure the validity of the applicable
Certifications and Assurances selected on behalf of your Applicant.
Any provision of the Certifications in Group 02 that does not apply will not be enforced
On behalf of your Applicant, you certify that:
1. As required by 31 U.S.C. 1352 and U.S. DOT regulations, "New Restrictions on
Lobbying," specifically 49 CFR 20.110:
a. The lobbying restrictions of this Certification apply to its requests:
(l} For $109,000 or more i.n Fede~I funding fQr a grant or cooperc1tive agree{llent,
and
(2) For $150,000 or more in Federal funding for a loan, line of credit, or loan
guarantee, and
b. Your Certification on its behalf applies to the lobbying activities of:
(1) It,
(2) Its Principals, and .
(3) Its Subrecipients at the first tier,
2. To the best of your knowledge and belief:
a. No Federal appropriated funds have been or will be paid by or on its behalf to any
person to influence or attempt to influence:
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( l) An officer or employee of any Federal agency regarding the award of a: •
(a) Federal grant or cooperative agreement, or _
(b) Federal loan, line of credit, loan guarantee, or loan insurance, and
(2) A Member of Congress, an employee of a member of Congress, or an officer
or employee of Congress regarding the award of a:
(a) Federal grant or cooperative agreement, or
(b) Federal loan, line of credit, loan guarantee, or loan insurance,
b. It will submit a complete OMB Standard Fonn LLL (Rev. 7-97), "Disclosure of
Lobbying Activities," consistent with its instructions, if any funds other than
Federal appropriated funds have been or will be paid to any person to influence or
attempt to influence:
( 1) An officer or employee of any Federal agency regarding the award of a:
(a) Federal grant or cooperative agreement, or
(b) Federal loan, line of credit, loan guarantee, or loan insurance, and
(2) A Member of Congress, an employee of a member of Congress, or an officer
or employee of Congress regarding the award of a:
(a) Federal grant or cooperative agreement, or
(b) Federal loan, line of credit, loan guarantee, or loan insurance, and
c. It will include the language of this Certification in the award documents for all
subawards at all tiers, including, but not limited to:
(I) Third party contracts,
(2) Subcontracts,
(3) Subagreements, and
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FTA FISCAL YEAR 2014 CERTIFICATIONS AND ASSURANCES
( 4) Other third party agreements under a:
(a) Federal grant or cooperative agreement, or
(b) Federal loan, line of credit, loan guarantee, or loan insurance,
3. It understands that:
a. This Certification is a material representation of fact that the Federal government
relies on, and
b. It must submit this Certification before the Federal government may award
funding for a transaction covered by 31 U.S.C. 1352, including a:
(1) Federal grant or cooperative agreement, or
(2) Federal loan, line of credit, loan guarantee, or loan insurance, and
4. It also understands that any person who does not file a required Certification will
incur a civil penalty of not less than $10,000 and not more than $100,000 for each
such failure.
GROUP 03. PROCUREMENT AND PROCUREMENT SYSTEMS.
We request that you select the Procurement and Procurement Systems Certification in
Group 03 on behalf of your Applicant, especially if it is a State, local, or Indian tribal
government with a certified procurement system, as provided in 49 CFR 18.36(g)(3)(ii).
Your Applicant is ultimately responsible/or compliance with the Certifications and
Assurances selected on its behalf that apply to its Project, itself, any Subrecipient, or
other Third Party Participant in its Project, except as FTA determines otherwise in
writing. For this reason, we strongly encourage your Applicant to take appropriate
measures, including, but not limited to, obtaining sufficient documentation from each
Subrecipient and other Third Party Participants to assure the validity of the applicable
Certifications and Assurances selected on behalf of your Applicant.
Any provision of the Certification in Group 03 that does not apply will not be enforced.
On behalf of your Applicant, you certify that its procurements and its procurement
system will comply with all Federal laws and regulations in accordance with applicable
Federal guidance, except to the extent FT A has approved otherwise in writing.
GROUP 04. PRIVATE SECTOR PROTECTIONS.
Before FTA may provide funding/or a Project that involves the acquisition of public
transportation property or operation of public transportation facilities or equipment, in
addition to other Certifications you must select on your Applicant's behalf, you must also
select the Private Property Protections Assurances in Group 04.A and enter into the
Agreements in Group 04.B and Group 04. Con behalf of your Applicant, except as FT A
determines otherwise in writing.
Your Applicant is ultimately responsible/or compliance with the Certifications and
Assurances selected on its behalf that apply to its Project, itself, any Sub recipient, or
FTA FISCAL YEAR 2014 CERTIFICATIONS AND ASSURANCES
other Third Party Participant in its Project, except as FfA determines otherwise in
writing. For this reason, we strongly encourage your Applicant to talce appropriate
measures, including, but not limited to, obtaining sufficient documentation from each
Subrecipient and other Third Party Participants to assure the validity of the applicable
Certifications and Assurances selected on behalf of your Applicant.
Any provision of the Assurances and Agreements in Group 04 that does not apply will not
be enforced ·
4.A. Private Property Protections.
If Y(Jllr.,1.ppl~t;'!rlt is a S,!a/~t local gql!~rnn:i_elJI, qr_ lnd,ianJri[Jal governm~nt. ~nd,stteks
FT A funding to acquire the property of a private transit operator or operate public
transportation in competition with or in addition to a public transportation operator, the
Private Property Protections Assurances in Group 04.A apply to your Applicant, except
as FTA determines otherwise in writing.
To facilitate FT A's ability fo make the findings required oy 49 U.S.C. 5323(a)(l), on
behalf of your Applicant, you assure that: ·
l. It has or will have:
a. Detennined that the funding is essential to carrying out a Program of Projects as
required by 49 U.S.C. 5303, 5304, and 5306,
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b. Provided for the participation of private companies engaged in public •
transportation to the maximum extent feasible, and
c. Paid just compensation under State or local laws to the company for any franchise
or property acquired, and
2. It has completed the actions described in Group 4.A.l of this Certification before it:
a. Acquires the property or an interest in the property of a private provider of public
transportation, or
b. Operates public transportation equipment or facilities:
( 1) In competition with transportation service provided by an existing public
transportation operator, or
(2) In addition to transportation service provided by an existing public
transportation operator.
4.B. Charter Service Agreement.
If your Applicant seeks FI' A funding to acquire or operate transit facilities or equipment,
the Charter Service Agreement in Group 04.B applies to your Applicant, except as Ff'A
determines otherwise in writing.
To comply with 49 U.S.C. 5323(d) and (g) and FTA regulations, "Charter Service,"
49 CFR part 604, specifically 49 CFR 604.4, on behalf of your Applicant, you are
entering into the following Charter Service Agreement:
1. FTA's "Charter Service" regulations apply as follows:
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a. FT A's Charter Service regulations restrict transportation by charter service using
facilities and equipment acquired by Recipients of FT A funding for transportation
Projects with Federal funding derived from:
(1) Federal transit laws, 49 U.S.C. chapter 53,
(2) 23 U.S.C. 133 or 142, or
(3) Any other Act that provides Federal public transportation assistance, unless
otherwise excepted,
b. Ff A's charter service restrictions extend to:
(1) Your Applicant, when it becomes a Recipient of Federal funding
appropriated or made available for:
(a) Federal transit laws, 49 U.S.C. chapter 53,
(b) 23 U.S.C. 133 or 142, or
(c) Any other Act that provides Federal public transportation assistance,
unless otherwise excepted, and
(2) Any Third Party Participant that receives Federal funding derived from:
(a) Federal transit laws, 49 U.S.C. chapter 53,
(b) 23 U.S.C. 133 or 142, or
( c) Any other Act that provides Federal public transportation assistance,
unless otherwise excepted,
c. A Third Party Participant includes any:
(1) Subrecipient at any tier,
(2) Lessee,
(3) Third Party Contractor or Subcontractor at any Tier, and
( 4) Other Third Party Participant in its Project,
d. You and your Applicant agree that neither it nor any governmental authority or
publicly owned operator that receives Federal public transportation assistance
appropriated or made available for its Project will engage in charter service
operations, except as permitted under:
(I) Federal transit laws, specifically 49 U.S.C. 5323(d) and (g),
(2) FT A regulations, "Charter Service," 49 CFR part 604, to the extent consistent
with 49 U.S.C. 5323(d) and (g),
(3) Any other Federal Charter Service regulations, or
( 4) Federal guidance, except as FT A determines otherwise in writing,
e. You and your Applicant agree that the latest Charter Service Agreement it has
selected in its latest annual Certifications and Assurances is incorporated by
reference in and made part oftbe underlying Agreement accompanying an award
of FT A funding, and
f. You and your Applicant agree that:
(I) FT A may require corrective measures or impose remedies on it or any
governmental authority or publicly owned operator that receives FT A
funding appropriated or made available for its Project that has engaged in a
pattern of violations of FTA's Charter Service regulations by:
(a) Conducting charter operations prohibited by Federal transit laws and
FT A's Charter Service regulations, or
(b) Otherwise violating its Charter Service Agreement it has elected in its
• FT A FISCAL YEAR 2014 CERTIFICATIONS AND ASSURANCES
latest annual Certifications and Assurances, and •
(2) These corrective measures and remedies may include:
(a) Barring it or any Third Party Participant operating public transportation
under the Project that has provided prohibited charter service from
receiving FT A funds,
(b) Withholding an amount of Federal funds as provided by Appendix D to
FTA's Charter Service regulations, or .
(c) Any other appropriate remedy that may apply, and
2. In addition to the exceptions to the charter service restrictions in FTA's Charter
Service Regulations, FT A has established the following additional exceptions to those
restrictions:
a. FTA'.s Charter Servic~re~trictions.dq :riot .appJy to yoµr Appl~~~t ifitse.Yks
funding appropriated or made available for 49 U .S.C. 5307 and 5311, to be used
for Job Access and Reverse Commute(JARC) activities that would have been
eligible for assistance under repealed 49 U.S.C. 5316 in effect in FY 2012 or a
previous fiscal year, provided that it uses that FT A funding for those program
purposes only,
b. FT A's Charter Service restrictioris do not apply to your Applicant if it seeks
funding appropriated or made available for 49 U.S.C. 5310, to be used for New
Freedom activities that would have been eligible for assistance under repealed
49 U.S.C. 5317 in effect in FY 2012 or a previous fiscal year, provided it uses that
FTA funding for those program purposes only, and
c. An Applicant for assistance under 49 U.S.C. chapter 53 will not be determined to •
have violated the FTA Charter Service regulations if that Recipient provides a
private intercity or charter transportation operator reasonable access to that
Recipient's federally funded public transportation facilities, including intermodal
facilities, park and ride lots, and bus-only highway lanes, as provided in 49 U.S.C.
5323(r).
4.C. School Bus Agreement.
If your Applicant seeks FTAfunding to acquire or operate transit facilities or equipment,
the School Bus Agreement in Group 04. C applies to your Applicant, except as FT A
determines otherwise in writing.
To comply with 49 U.S.C. 5323(f) and (g) and FT A regulations, "School Bus
Operations," 49 CFR part 605, to the extent consistent with 49 U.S.C. 5323(f) and (g), on
behalf of your Applicant, you are entering into the following School Bus Agreement:
1. FTA's "School Bus Operations" regulations restrict school bus operations using
facilities and equipment acquired with Federal funding derived from:
a. Federal transit laws, 49 U.S.C. chapter 53,
b. 23 U.S.C. 133 or 142, or
c. Any other Act that provides Federal public transportation assistance, unless
otherwise excepted,
2. FTA's school bus operations restrictions extend to:
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FT A FISCAL YEAR 2014 CERTIFICATIONS AND ASSURANCES
a. Your Applicant, when it becomes a Recipient of Federal funding appropriated or
made available for:
(1) Federal transit laws, 49 U.S.C. chapter 53,
(2) 23 U.S.C. 133 or 142, or
(3) Any other Act that provides Federal public transportation assistance, unless
otherwise excepted, and
b. Any Third Party Participant that receives Federal funding derived from:
(I) Federal transit laws, 49 U.S.C. chapter 53,
(2) 23 U.S.C. 133 or 142, or
(3) Any other Act that provides Federal public transportation assistance, unless
otherwise excepted ,
3. A Third Party Participant includes any:
a. Subrecipient at any tier,
b. Lessee,
c. Third Party Contractor or Subcontractor at any tier, and
d. Other Third Party Participant in the Project,
4. You and your Applicant agree, and will obtain the agreement of any Third Party
Participant involved in your Applicant's Project, that it will not engage in school bus
operations in competition with private operators of school buses, except as permitted
under:
a. Federal transit Jaws , specifically 49 U.S.C. 5323(f) and (g),
b. IT A regulations, "School Bus Operations," 49 CFR part 605, to the extent
consistent with 49 U.S.C . 5323(£) and (g),
c. Any other Federal School Bus regulations, or
d. Federal guidance, except as IT A determines otherwise in writing ,
5. You and your Applicant agree that the latest School Bus Agreement you have
selected on its behalf in IT A's latest annual Certifications and Assurances is
incorporated by ref ere nee in and made part of the underlying Agreement
accompanying an award ofFTA funding, and
6. You and your Applicant agree that after it is a Recipient, if it or any Third Party
Participant has violated this School Bus Agreement, IT A may:
a. Bar your Applicant or Third Party Participant from receiving further Federal
transit funds, or
b. Require the Applicant or Third Party Participant to take such remedial measures
as FT A considers appropriate.
GROUP 05. ROLLING STOCK REVIEWS AND BUS TESTING.
Before FTA may provide funding/or a Project to acquire rolling stock/or use in revenue
service or to acquire a new bus model, in addition to other Certifications and Assurances
you must select on your Applicant 's behalf. you must also select the Rolling Stock
Reviews and Bus Testing Certifications in Group 05, except as FTA determines otherwise
in writing.
Your Applicant is ultimately responsible for compliance with the Certifications and
FT A FISCAL YEAR 2014 CERTIFICATIONS AND ASSURANCES
Assurances selected on its behalf that apply to its Project, itself, any Subrecipient, or
other Third Party Participant in its Project, except as FT A determines otherwise in
writing. For this reason, we strongly encourage your Applicant to take appropriate
measures, including, but not limited to, obtaining sufficient documentation from each
Subrecipient and other Third Party Participants to assure the validity of the applicable
Certifications and Assurances selected on behalf of your Applicant.
Any provision of the Certifications in Group 05 that does not apply will not be enforced
S.A. Rolling Stock Reviews.
If Y<?tlr Applicant seeks FI'Afll_ndfng t~ acquJre ro./ling ~to<;kfor _µse in reveriye. s~rvice,
the Certifications in Group 05.A apply to your Applicant. except as FI'A determines
otherwise in writing.
On behalf of your Applicant, you certify that when procuring rolling stock for use in
revenue service:
1. It Will comply With:·
a. Federal transit laws, specifically 49U.S.C. 5323(m), and
b. FTA regulations, "Pre-Award and Post-Delivery Audits of Rolling Stock
Purchases," 49 CFR part 663, and
2. As provided in 49 CFR 663.7:
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a. It will conduct or cause to be conducted the required pre-award and post-delivery •
reviews, and
b. It will maintain on file the Certifications required by 49 CFR part 663, subparts B,
C, andD.
S.B. Bus Testing.
If your Applicant seeks FTAfunding to acquire a new bus model, the Bus Testing
Certifications in Group 05.B apply to your Applicant, except as FTA determines
otherwise in writing.
On behalf of your Applicant, you certify that:
1. Bus Testing requirements apply to all acquisitions of new buses and new bus models
that require bus testing, and it will comply with:
a. 49 U.S.C. 5318, and
b. FT A regulations, "Bus Testing,'' 49 CFR part 665, to the extent these regulations
are consistent with 49 U.S .C. 5318,
2. As required by 49 CFR 665.7, when acquiring the first bus of any new bus model or a
bus model with a major change in components or configuration:
a. It will not spend any Federal funds appropriated under 49 U.S.C. chapter 53 to
acquire that bus until:
(1) That bus bas been tested at FTA's bus testing facility, and
(2) That bus has received a copy of the test report prepared on that new bus
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Ff A FISCAL YEAR 2014 CERTIFICATIONS AND ASSURANCES
model. and
b. It will not authorize final acceptance of the bus until:
(I) The bus has been tested at Ff A's bus testing facility, and
(2) It has received a copy of the test report prepared on that new bus model,
3. It will ensure that the bus that is tested has met the performance standards consistent
with those regulations, including:
a. Performance standards for:
(l) Maintainability,
(2) Reliability,
(3) Performance (including braking performance),
( 4) Structural integrity,
(5) Fuel economy.
(6) Emissions, and
(7) Noise, and
b. Minimum safety performance standards established under 49 U.S.C. 5329, and
4. After FTA has issued regulations authorized by 49 U.S.C. 5318(eX2), it will ensure
that the bus that is tested has received a passing aggregate test score under the
"Pass/Fail" standard established by regulation.
GROUP 06. DEMAND RESPONSIVE SERVICE.
If your Applicant is a public entity, operates demand responsive service, and seeks FTA
funding to acquire a non-rail vehicle that is not accessible, before FTA may provide
funding for that Project, in addition to other Certifications and Assurances you must
select on your Applicant's behalf, you must also select the Demand Responsive Service
Certifications in Group 06, except as FTA determines otherwise in writing.
Your Applicant is ultimately responsible for compliance with the Certifications and
Assurances selected on its behalf that apply to its Project, itself, any Subrecipient, or
other Third Party Participant in its Project, except as FI'A determines otherwise in
writing. For this reason, we strongly encourage your Applicant to take appropriate
measures, including, but not limited to, obtaining sufficient documentation from each
Subrecipient and other Third Party Participants to assure the validity of the applicable
Certifications and Assurances selected on behalf of your Applicant.
Any provision of the Certifications in Group 06 rhat does not apply will not be enforced
As required by U.S. DOT regulations, "Transportation Services for Individuals with
Disabilities (ADA)," 49 CFR part 37, specifically 49 CFR 37.77(d), on behalf of your
Applicant, you certify that: ·
1. Your Applicant offers public transportation services equivalent in level and quality of
service to:
a Individuals with disabilities, including individuals who use wheelchairs, and
b. Individuals without disabilities, and
2. Viewed in its entirety, its service for individuals with disabilities is:
Ff A FISCAL. YEAR 2014 CERTIFICATIONS AND ASSURANCES
a. Provided in the most integrated setting feasible, and
b. Equivalent to the service it offers individuals without disabilities with respect to:
( 1) Response time,
(2) Fares,
(3) Geographic service area.
(4) Hours and days of service,
(S) Restrictions on priorities based on trip purpose,
(6) Availability ofinfonnation and reservation capability, and
(7) Constraints on capacity or service availability.
GROUP 07. INTELLIGENT TRANSPORTATION SYSTEMS.
Before FTA may providefu~dingfor an Intelligent Transport~iion Systems (ITS) Project
or a Project in support of an ITS Project, in addition to other Certifications and
Assurances you must select on your Applicant's behalf, you must also select the
Intelligent Transportation Systems Assurances in Group 07, except as FTA determines
otherwise in writing.
Your Applicant is ultimately responsible for compliance with the Certifications and
Assurances selected on its behalf that apply to its Project, itself, any Subrecipient, or
other Third Party Participant in its Project, except as FTA determines otherwise in
writing, For this reason, we strongly encourage your Applicant to take appropriate
measures, including, but not limited to, obtaining sufficient documentation.from each
Subrecipient and other Third Party Participants to assure the validity of the applicable
Certifications and Assurances selected on behalf of your Applicant.
Any provision of the Assurances in Group 07 that does not apply will not be enforced.
On behalf of your Applicant, you and your Applicant:
1. Understand that, as used in this assurance, the term Intelligent Transportation
Systems (ITS) Project is defined to include any Project that, in whole or in part,
firuuices the acquisition of technologies or systems of technologies that provide or
significantly contribute to the provision of one or more ITS user services as defined in
the "National ITS Architecture," and
2. Assure that, as provided in 23 U .S.C. 517( d), any ITS Project it undertakes that is
funded with appropriations made available from the Highway Trust Fund, including
amounts made available to deploy ITS facilities or equipment, will conform to the
appropriate regional ITS architecture, applicable standards, and protocols developed
under 23 U.S.C. 517(a) or (c), unless it obtains a waiver as provided in 23 U.S.C.
517(d)(2).
GROUP 08. INTEREST AND FINANCING COSTS AND ACQUISITION OF
CAPITAL ASSETS BY LEASE.
Before Ff A may provide funding appropriated or made available for 49 US. C.
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FTA FISCAL YEAR2014 CERTIFICATIONS AND ASSURANCES
chapter 53 to support interest or financing costs of any Project financed under the
Urbanized Area Formula Grants Program, Fixed Guideway Capital Investment Grants
Program, or another program as FTA may specify, or finance leasing costs, in addition
to other Certifications and Assurances you must select on your Applicant's behalf, you
must also select the Certifications in Group 08, except as FT A may determine otherwise
in writing.
Your Applicant is ultimately responsible for compliance with the Certifications and
Assurances selected on its behalf that apply to its Project, itself, any Subrecipient, or
other Third Party Participant in its Project, except as FT A determines otherwise in
writing. For this reason, we strongly encourage your Applicant to take appropriate
measures, including, but not limited to, obtaining sufficient documentation from each
Subrecipient and other Third Party Participants to assure the validity of the applicable
Certifications and Assurances selected on behalf of your Applicant.
Any provision of the Certifications and Assurances in Group 08 that does not apply will
not be enforced
8.A. Interest and Financing Costs.
If your Applicant intends to use FT A funding to support interest or other financing costs
for Projects funded by the Urbanized Area Formula Grants Program, Fixed Guideway
Capital Investment Grants Program, or another program as FT A may specify, the
Interest and Financing Costs Certifications in Group 08.A apply to your Applicant,
except as FTA determines otherwise in writing.
On behalf of your Applicant, you certify that:
I. It 'Yill not seek reimbursement for interest or other financing costs unless:
a. It is eligible to receive Federal funding for those costs, and
b. Its records demonstrate that it bas shown reasonable diligence in seeking the most
favorable financing tenns, to the extent FT A may require, and
2. It will comply with the same favorable financing cost provisions for:
a. Urbanized Area Fonnula Grants Projects,
b. Projects under Full Funding Grant Agreements,
c. Projects with Early Systems Work Agreements,
d. Fixed Guideway Capital Investment Projects funded by previous FTA enabling
legislation,
e. State of Good Repair Projects,
f. Bus and Bus Facilities Projects, and
g. Low or No Emission Vehicle Development Projects.
8.B. Acquisition of Capital Assets by Lease.
If your Applicant seeks FTAfunding to acquire capital assets through a lease, the
Acquisition of Capital Assets by Lease Certifications and Assurances in Group 08.B
FfA FISCAL YEAR2014 CERTIFICATIONS AND ASSURANCES
applies to your Applicant, except as FTA determines otherwise in wriling.
On behalf of your Applicant, you certify and assure that, as required by FT A regulations,
"Capital Leases," 49 CFR part 639, specifically 49 CFR 639.lS(b)(l) and 49 CFR
639.21, if your Applicant acquires any capital asset through a lease financed with Federal
funding appropriated or made available for 49 U.S.C. chapter 53:
1. It will not use Federal funding appropriated or made available for public
transportation projects eligible under 49 U.S.C. chapter 53 or any other applicable
law to finance the cost of leasing any capital asset until:
a. It performs calculations demonstrating that leasing the capital asset would be
more cost·effective than purchasing or constructing a similar asset, and
b. It compl~~es th~~e c~~aja._tiorµ1 _~for~ ~he l11;te~ ()f:.. · ·
( l) Entering into the lease, or
(2) Receiving a capital grant for the asset, and
2. It will not enter into a capital lease for which Fr A can provide only incremental
Federal funding unless it has adequate financial resources to meet its future lease
obligations if Federal funding is not available.
GROUP 09. TRANSIT ASSET MANAGEMENT PLAN AND
PUBLIC TRANSPORTATION AGENCY SAFETY PLAN.
Before FT A may provide funding appropriated or made available for 49 US. C.
chapter 53 to support your Applicant's Project, in addition to other Certifications and
Assurances you mus/ select on your Applicant's behalf. you must also select the
Certifications in Group 09, except as FT A determines otherwise in writing.
Your Applicant is ultimately responsible for compliance with the Certifications and
Assurances selected on its behalf that apply to its Project, itself. any Subrecipient, or
other Third Party Participant in its Project, except as FFA determines otherwise in
writing. For this reason, we strongly encourage your Applicant to take appropriate
measures, including, but not limited to, obtaining sufficient documentation from each
Subrecipient and other Third Party Participants to assure the validity of the applicable
Certifications and Assurances selected on behalf of your Applicant.
Any provision of the Certifications in Group 09 that does not apply will not be enforced
9.A. Transit Asset Management Plan.
If your Applicant applies for funding appropriated or made available for 49 U.S.C.
chapter 53, the Transit Asset Management Certifications in Group 09.A apply to your
Applicant, except as FT A determines otherwise in writing.
On behalf of your Applicant, you certify that it and each Subrecipient will:
1. Follow Federal guidance when issued that implements transit asset management
system provisions of 49 U.S.C. 5326, except as FTA detennines otherwise in writing,
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and
2. Comply with the final Federal regulations when issued that implement the transit
asset management provisions of 49 U.S.C. 5326.
9.8. Public Transportation Agency Safety Plan.
If your Applicant applies/or funding under 49 U.S.C. chapter 53 and it is a State
government, local government, or any other operator of a public transportation system,
the Public Transportation Safety Plan Certifications in Group 09.B apply to your
Applicant, except as FTA determines othen11ise in writing.
On behalf of your Applicant, you certify that it will:
1. Follow the Federal guidance, when issued, that will implement the safety plan
provisions of 49 U.S.C. § 5329(d), except as FTA determines otherwise in writing,
and
2. Comply with the final Federal regulations, when issued, that implement the safety
plan requirements of 49 U.S.C. § 5329(d).
GROUP 10. ALCOHOL AND CONTROLLED SUBSTANCES TESTING.
If your Applicant must comply with the alcohol and controlled substance testing
requirements of 49 U.S.C. 5331 and its implementing regulations, before FTA may
provide funding/or your Applicant's Project, in addition to other Certifications and
Assurances you must select on your Applicant's behalf, you must also select the
Certifications in Group JO, except as FTA may determine otherwise in writing.
Your Applicant is ultimately responsible for compliance with the Certifications and
Assurances selected on its behalf that apply to its Project, itself, any Subrecipient, or
other Third Party Participant in its Project, except as FTA determines otherwise in
writing. For this reason, we strongly encourage your Applicant to take appropriate
measures, including, but not limited to, obtaining sufficient documentation.from each
Subrecipient and other Third Party Participants to assure the validity of the applicable
Certifications and Assurances selected on behalf of your Applicant.
Any provision of the Certifications in Group 10 that does not apply will not be enforced.
As required by 49 U.S.C. 5331, and FTA regulations, "Prevention of Alcohol Misuse and
Prohibited Drug Use in Transit Operations," 49 CFR part 655, subpart I, specifically 49
CFR 655.83, on behalf of your Applicant, including a State Applicant, and on behalf of
its Subrecipients and Third Party Contractors, you certify that:
1. Your Applicant, its Subrecipients, and Third Party Contractors to which these testing
requirements apply have established and implemented:
a. An alcohol misuse testing program, and
b. A controlled substance testing program,
2. Your Applicant, its Subrecipients, and Third Party Contractors to which these testing
IT A FISCAL YEAR 2014 CERTIFICATIONS AND ASSURANCES
requirements apply have complied or will comply with all applicable requirements of
49 CFR part 655 to the extent those regulations are consistent with 49 U.S.C. 5331,
and
3. Consistent with U.S. DOT Office of Drug and Alcohol Policy and Compliance
Notice, issued October 22, 2009, if your Applicant, its Subrecipients, or Third Party
Contractors to which these testing requirements apply reside in a State that permits
marijuana use for medical or recreational purposes, your Applicant, its Subrecipients,
and Third Party Contractors to which these testing requirements apply have complied
or will comply with the Federal controlled substance testing requirements of 49 CFR
part 655. . .
GROUP 11. FIXED GUIDEWAYCAPIT AL INVESTMENT GRANTS PROGRAM
(NEW STARTS, SMALL STARTS, AND CORE CAPACITY) ,AND . . .
CAPITAL INVESTMENT PROGRAM IN EFFECT BEFORE MAP-21.
The Certifications in Group 11 apply to the New Starts, Small Starts, or Core Capacity
Programs, 49 U.S.C. 5309.
Before Fr A may provide funding for your Applicant's New Starts, Small Starts, or Core
Capacity Project in addition to other Certifications and Assurances you must select on its
behalf, you must also select the Cerrifications in Group 11, except as FTA may determine
otherwise in writing.
Your Applicant is ultimately responsible for compliance with the Certifications and
Assurances selected on its behalf that apply to its Project, itself, any Subrecipient, or
olher Third Party Participant in its Project, except as Fr A determines otherwise in
writing, For this reason, we strongly encourage your Applicant to take appropriate
measures, including, but not limited to, obtaining sufficient documentation from each
Subrecipient and other Third Party Participants to assure the validity of the applicable
Certifications and Assurances selected on behalf of your Applicant.
Any provision of the Certificalions in Group 11 that does not apply will not be enforced
Except as FT A determines otherwise in writing, on behalf of your Applicant, you certify
that:
1. It has or will have the following capabilities to carry out its proposed Project(s),
including the safety and security aspects of the Project(s):
a Legal capacity,
b. Financial capacity, and
c. Technical capacity,
2. It has or will have satisfactory continuing control over the use of Project equipment
and facilities,
3. It will maintain its Project equipment and facilities adequately, and
4. It will comply with:
a. The Metropolitan Transportation Planning requirements of 49 U.S.C. 5303, and
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FTA FISCAL YEAR 2014 CERTIFICATIONS AND ASSURANCES
b. The Statewide and Nonmetropolitan Transportation Planning requirements of
49 u.s.c. 5304.
GROUP 12. STATE OF GOOD REPAIR PROGRAM.
Certain Certifications and Assurances listed previously are required for the State of
Good Repair Program funding under 49 USC. 5337.
Before FT A may provide funding for your Applicant's Project under the State of Good
Repair Program, 49 US.C. 5337,for your Applicant's Project, in addition to other
Certifications and Assurances you must select on its behalf, you must also select the
Certifications in Group 12, except as FTA determines otherwise in writing.
Your Applicant is ultimately responsible for compliance with the Certifications and
Assurances selected on its behalf that apply to its Project, itself, any Subrecipient, or
other Third Party Participant in its Project, except as FT A determines otherwise in
writing. For this reason, we strongly encourage your Applicant to take appropriate
measures, including, but not limited to, obtaining sufficient documentation.from each
Subrecipient and other Third Party Participants to assure the validity of the applicable
Certifications and Assurances selected on behalf of your Applicant.
Any provision of the Assurance in Group 12 that does not apply will not be enforced .
On behalf of your Applicant, you certify that:
1. It has or will have the following to carry out its proposed Project(s), including the
safety and security aspects of the Project(s):
a. Legal capacity,
b. Financial capacity, and
c. Technical capacity,
2. It has or will have satisfactory continuing control over the use of Project equipment
and facilities,
3. It will maintain its Project equipment and facilities adequately, and
4. It will comply with:
a. The Metropolitan Transportation Planning requirements of 49 U.S.C. 5303, and
b. The Statewide and Nonmetropolitan Transportation Planning requirements of
49 u.s.c. 5304.
GROUP 13. FIXED GUIDEWAY MODERNIZATION GRANT PROGRAM.
Before FTA may provide funding for your Applicant's Project under the Fixed Guideway
Modernization Grant Program, former 49 U.S.C. 5309 in effect in FY 2012 or a previous
fiscal year, in addition to other Certifications and Assurances you must select on its
behalf, you must also select the Certifications in Group 13, except as FT A determines
otherwise in writing .
Ff A FISCAL YEAR 2014 CERTIFICATIONS AND ASSURANCES
Your Applicant is ultimately responsible for compliance with the Certifications and
Assurances selected on its behalf that apply to its Project, itself, any Subrecipient, or
other Third Party Participant in its Project, except as FT A determines otherwise in
writing. For this reason, we strongly encourage your Applicant to take appropriate
measures, including, but not limited to, obtaining sufficient documentation.from each
Subrecipient and other Third Party Participants to assure the validity of the applicable
Certifications and Assurances selected on behalf of your Applicant.
Any provision of the Certification in Group 13 that does not apply will not be enforced.
Fonner 49 U.S.C. 5309(b)(2) and former 49 U.S.C. 5307(d)(l) in effect in FY 2012 or a
previous fis,~Cl} year, except a,s sup~rseded by M6~-2 l ~ross-cuttirlg requirell1en~s that
apply, require the following Certifications for Fixed Guideway Modernization Grant
Program funding. Therefore, except as FTA determines otherwise in writing, on behalf
of your Applicant, you certify that: ·
1. It has or will have the following to carry out its proposed Project(s), including the
safety and security aspects of the proposed Project(s):
a Legal capacity, ,
b. Financial capacity, and
c. Technical capacity,
2. It has or Will have satisfactory continuing control over the use of Project equipment
and facilities,
3. It will maintain its Project equipment and facilities adequately, and
4. It has complied or will comply with, and will require each Subrecipient to comply
with, 49 U.S.C. 5303 and 5304.
GROUP 14. BUS AND BUS FACILITIES FORMULA GRANTS PROGRAM AND
BUS AND BUS RELATED EQUIPMENT AND FACILITIES GRANT PROGRAM
(DISCRETIONARY).
The Certifications in Group 14 are required for funding under :
14.A. The Bus and Bus Facilities Formula Grants Program, 49 U.S.C. 5339, as
amended by MAP-21, and
14.B. The Bus and Bus Related Equipment and Facilities Grant Program
(Discretionary). former 49 U.S.C. 5309(b)(3) in effect in FY 2012 or a previous
fiscal year, except as superseded by MAP-2 I cross culling requirements that
apply.
Before FTA may provide funding for your Applicant's Project under either Program
listed above, in addition to other Certifications and Assurances you must select on its
behalf, you must also select the Certifications in Group 14, except as FT A determines
otherwise in writing.
Your Applicant is ultimately responsible for compliance with the Certifications and
Assurances selected on its behalf that apply to its Project, itself, any Subrecipient, or
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other Third Party Participant in its Project, except as FTA determines otherwise in
writing. For this reason, we strongly encourage your Applicant to take appropriate
measures, including, but not limited to, obtaining sufficient documentation.from each
Subrecipient and other Third Party Participants to assure the validity of the applicable
Certifications and Assurances selected on behalf of your Applicant.
Any provision of the Certifications in Group 14 that does not apply will not be enforced
14.A. Bus and Bus Facilities Formula Grants Program
If your Applicant seeks FTAfundingfor its Project under the Bus and Bus Facilities
Formula Grants Program, 49 U.S.C. 5339, the Certifications in Group 14.A below apply
to your Applicant, except as FTA determines otherwise in writing.
The following Certification for Bus and Bus Facilities Formula Grants Program funding
are required by 49 U.S.C. 5339(b}, which states that "[t]he requirements of section 5307
apply to recipients of grants made under this section." Therefore, except as FTA
determines otherwise in writing, on behalf of your Applicant, you certify that:
t. It has or will have the following to carry out its proposed Project(s). including the
safety and security aspects of its proposed Project(s):
a. Legal capacity,
b. Financial capacity, and
c. Technical capacity,
2. It has or will have satisfactory continuing control over the use of Project equipment
and facilities,
3. It will maintain its Project equipment and facilities adequately,
4. It will ensure that, during non-peak hours for transportation using or involving a
facility or equipment of a Project financed under 49 U.S.C.5339, the following
individuals will be charged a fare not exceeding fifty (50) percent of the peak hour
fare:
a. Any senior,
b. Any individual who, because of illness, injury, age, congenital malfunction, or
other incapacity or temporary or permanent disability (including an individual
who is a wheelchair user or has semi-ambulatory capability), cannot use a public
transportation service or a public transportation facility effectively without special
facilities, planning, or design,
c. Any individual presenting a Medicare card issued to that individual under title II
of the Social Security Act (42 U.S.C. 401 et seq.), and
d. Any individual presenting a Medicare card issued to that individual under
title XVIII of the Social Security Act (42 U.S.C. 1395 et seq.),
5. When carrying out a procurement under 49 U.S.C.5339, it will comply with the:
a General Provisions of 49 U.S.C. 5323, and
b. Third Party Contract Provisions of 49 U.S.C. 5325,
6. It has complied with or will comply with 49 U.S.C. 5307(b), because it:
a. Has made or will make available to the public information on amounts of its
Ff A FISCAL YEAR 2014 CERTIFICATIONS AND ASSURANCES
funding available to it under 49 U.S.C. 5339,
b. Has developed or will develop, in consultation with interested parties, including
private transportation providers, a proposed Program of Projects for activities to
be funded,
c. Has published or will publish a Program of Projects in a way that affected
individuals, private transportation providers, and local elected officials will have
an opportunity to examine and submit comments on the proposed Program of
Projects and its performance as an Applicant or Recipient,
d. Has provided or will provide an opportunity for a public hearing to obtain the
views of individuals on the proposed Program of Projects,
e. Has ensured or will ensure that the proposed Program of Projects provide for
coordination oftransp()rtation services funded by FTA under 49 U.S.C. 5336 with
transportation services sup!>orted by other United States Government sources,
f. Has considered or will consider the comments and views received, especially
those of private transportation providers, in preparing its final Program of
Projects, and
g. Has made or will make the final Program of Projects available to the public,
7. As required by 49 U.S.C. 5307(d), it:
a. Has or will have the amount of funds required for the local share,
b. Will provide the local share funds from sources approved by FT A, and
c. Will provide the local share funds when needed,
8. It will comply with:
a. The Metropolitan Transportation Planning requirements of 49 U.S.C. 5303, and
b. The Statewide and Nonmetropolitan Transportation Planning requirements of
49 u.s.c. 5304,
9. It has a locally developed process to solicit and consider public comment before:
a. Raising a fare, or
b. Implementing a major reduction of public transportation, and
l 0. It will comply with the final Federal regulations, when issued, that implement the
safety plan requirements of 49 U.S.C. § 5329(d) ..
14.B. Bus and Bus Related Equipment and Facilities Grant Program
(Discretionary).
If your Applicant seeks FTAfundingfor its Project under the Bus and Bus Related
Equipment and Facilities Grant Program (Discretionary), former 49 US.C. 5309 in
effect in FY 2012 or a previous fiscal year, the Certifications in Group 14. B below apply
to your Applicant, except as FT A determines otherwise in writing.
The following Certifications for the Bus and Bus Related Equipment and Facilities Grant
Program (Discretionary) funding are required by fonner 49 U.S.C. 5309(c)(2), which
applies the requirements of former 49 U.S.C. 5307(d)(l)(A), (B), (C), and (H) in effect in
FY 2012 or a previous fiscal year to this Program except as superseded by MAP-21
cross-cutting requirements that apply. Therefore, except as FTA determines otherwise in
writing, on behalf of your Applicant, you certify that:
• •
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•
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FTA FISCAL YEAR2014 CERTIFICATIONS AND ASSURANCES
1. It has or will have the following to carry out its proposed Project(s), including the
safety and security aspects of those Project(s):
a. Legal capacity,
b. Financial capacity, and
c. Technical capacity,
2. It has or will have satisfactory continuing control over the use of Project equipment
and facilities,
3. It will maintain its Project equipment and facilities adequately, and
4. It has complied or will comply with, and will require each Subrecipient to comply
with, 49 U.S.C. 5303 and 5304.
GROUP 15. URBANIZED AREA FORMULA GRANTS PROGRAMS,
PASSENGER FERRY GRANT PROGRAM, AND
JOB ACCESS AND REVERSE COMMUTE (JARC)
FORMULA GRANT PROGRAM.
The Certifications in Group 15 are required for funding under:
15.A. The Urbanized Area Formula Grants Program.financed with funds appropriated
or made available/or 49 U.S.C. 5307, as amended by MAP-21, which among
other things, authorizes funding for Job Access and Reverse Commute (JARC)
Projects and Project Activities,
15. B. The Urbanized Area Formula Grants Program financed with funds appropriated
or made available for former 49 U.S. C. 5307 in effect in FY 2012 or a previous
fiscal year, except as superseded by Jv!AP-21 cross-cutting requirements that
apply,
15.C. The Passenger Ferry Grant Programfinancedwithfunds appropriated or made
available/or 49 US.C. 5307(h), as amended by MAP-21, and
15.D. The Job Access and Reverse Commute (JARC) Formula Grant Program financed
with funds appropriated or made available for former 49 U.S.C. 5316 in effect in
FY 2012 or a previous fiscal year, except as superseded by MAP-21 cross-cutting
requirements that apply.
Before FTA may provide funding/or your Applicant's Project under any of the Programs
listed above, in addition to other Certifications and Assurances you must select on its
behalf. you must also select the Certifications in Group 15, except as FTA determines
otherwise in writing.
Your Applicant is ultimately responsible for compliance with the Certifications and
Assurances selected on its behalf that apply to its Project, itself, any Subrecipient, or
other Third Party Participant in its Project, except as FT A determines otherwise in
writing. For this reason, we strongly encourage your Applicant to take appropriate
measures, including, but not limited to, obtaining sufficient documentation.from each
Subrecipient and other Third Party Participants to assure the validity of the applicable
Certifications and Assurances selected on behalf of your Applicant .
FT A FISCAL YEAR 2014 CERTIFICATIONS AND ASSURANCES
Any provision of the Certifications in Group 15 that does not apply will not be enforced.
IS.A. Urbanized Area Formula Grants Program under MAP-21.
If your Applicant seeks Ff A funding for its Project under the Urbanized Area Formula
Grants Program, 49 U.S.C. 5307, as amended by MAP-21, Lhe Certifications in
Group 15.A apply to your Applicant, except as Ff A determines olherwise in writing.
The following Certifications for the Urbanized Area Formula Grants Program funding
appropriated or made available in FYs 2013 and 2014 are required by 49 U.S.C.
5307(c )( l ). Therefore, except as FT A determines otherwise in writing, on behalf of your
Applicant, you certify that: · · .. · · --· · · ··· · · · ·.. .· ·
1. It has or will have the following to carry out its proposed Project(s), including the
safety and security aspects of the proposed Project(s):
a. Legal capacity,
b. Financial capacity, and
c. Technical capacity,
2. It has or will have satisfactory continuing control over the use of Project equipment
and facilities,
3. It will maintain its Project equipment and facilities adequately,
4. It will ensure that, during non-peak hours for transportation using or involving a
facility or equipment of a Project financed under 49 U.S.C. 5307, the following
individuals will be charged a fare not exceeding fifty (50) percent ofthe peak hour
fare:
a. Any senior,
b. Any individual who, because of illness, injury, age, congenital malfunction, or
other incapacity or temporary or permanent disability (including an individual
who is a wheelchair user or has semi-ambulatory capability), cannot use a public
transportation service or a public transportation facility effectively without special
facilities, planning, or design,
c. Any individual presenting a Medicare card issued to that individual under title II
of the Social Security Act (42 U.S.C. 401 et seq.), or
d. Any individual presenting a Medicare card issued to that individual under
title XVIII of the Social Security Act (42 U.S.C. 1395 et seq.),
5. When carrying out a procurement under 49 U.S.C. 5307, it will comply with the:
a. General Provisions of 49 U.S.C. 5323, and
b. Third Party Contract Provisions of 49 U.S.C. 5325,
6. It has complied with or will comply with 49 U.S.C . 5307(b), because it:
a. Has made or will make available to the public information on amounts of its
funding available to it under 49 U.S.C. 5307,
b. Has developed or will develop, in consultation with interested parties, including
private transportation providers, a proposed Program of Projects for activities to
be funded,
c. Has published or will publish a Program of Projects in a way that affected
• •
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•
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•
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Ff A FISCAL YEAR 2014 CERTIFICATIONS AND ASSURANCES
individuals, private transportation providers, and local elected officials will have
an opportunity to examine and submit comments on the proposed Program of
Projects and its performance as an Applicant or Recipient,
d. Has provided or will provide an opportunity for a public hearing to obtain the
views of individuals on the proposed Program of Projects,
e. Has ensured or will ensure that the proposed Program of Projects provide for
coordination of transportation services funded by FTA under49 U.S.C. 5336 with
transportation services supported by other United States Government sources,
f. Has considered or will consider the comments and views received, especially
those of private transportation providers, in preparing its final Program of
Projects, and
g. Has made or will make the final Program of Projects available to the public,
7. As required by 49 U.S.C. 5307(d), it:
a. Has or will have the amount of funds required for the local share,
b. Will provide the local share funds from source5 approved by FT A, and
c. Will provide the local share funds when needed,
8. As required by 49 U.S.C. 5307(c)(l)(H), it will comply with:
a. The Metropolitan Transportation Planning requirements of 49 U.S.C. 5303, and
b. The Statewide and Nonmetropolitan Transportation Planning requirements of
49 u.s.c. 5304,
9. As required by 49 U.S.C. 5307(c)(l)(I), it has a locally developed process to solicit
and consider public comment before:
a. Raising a fare, or
b. Implementing a major reduction of public transportation,
I 0. Each fiscal year:
a At least one (1) percent of the amount of the 49 U.S.C. 5307 funding apportioned
to the urbanized area must be expended for public transportation security Projects
as described in 49 U.S.C. 5307(c)(l)(J)(i) including:
(1) Increased lighting in or adjacent to a public transportation system (including
bus stops, subway stations, parking lots, and garages),
(2) Increased camera surveillance of an area in or adjacent to that system,
(3) Providing emergency telephone line or lines to contact law enforcement or
security personnel in an area in or adjacent to that system, and
(4) Any other Project intended to increase the security and safety of an existing
or planned public transportation system, or
b. The Designated Recipients in its urbanized area certify that such expenditures for
transportation security Projects are not necessary (Information about the
intentions of your Designated Recipients in your Applicant's urbanized area must
be recorded in the "Security" tab page of the TEAM-Web "Project Information"
window when it submits its Urbanized Area Fonnula Grants Program application
in TEAM-Web),
11. If it serves an urbanized area with a population of at least 200,000 individuals, as
determined by the Bureau of the Census:
a Each fiscal year, it will ensure that at least one (1) percent of the amount
apportioned to the urbanized area is spent for Associated Transit Improvements,
FT A FISCAL YEAR 2014 CERTIFICATIONS AND ASSURANCES
as defined in 49 U.S.C. 5302(1),
b. It will include in its quarterly report for the fourth quarter of the preceding Federal
fiscal year:
(1) A list of its Associated Transit Improvement Projects or Project Activities
during that Federal fiscal year using those 49 U.S.C. 5307 funds, or
(2) Sufficient infonnation to demonstrate that the Designated Recipients in its
urbanized area together have spent one (1) percent of the funding apportioned
to the area for Associated Transit Improvement Projects or Project Activities,
or have included the same infonnation in a separate report attached in
TEAM-Web, and
c. The report of its Associated Transit Improvement Projects or Project Activities is
or will be incorporated by reference and made part of its Certifications and Assurances, and· -,, -~ · · · .. · --· .. · · · -· ·
12. It will comply with the final Federal regulations, when issued, that implement the
safety requirements of 49 U.S.C. § 5329(d).
B. Urbanized Area Formula Grants Program before MAP-21 Became Effective.
You must select the Certification in Group 15.B if your Applicant seeks funding under the
Urbanized Area Formula Grants Program.financed with funds appropriated or made
available for former 49 U.S.C. 5307 in effect in FY 2012 or a previous fiscal year. In
administering this program, MAP-21 cross-cutting requirements supersede inconsistent
• •
former requirements. •
The following Certifications for the Urbanized Area Fonnula Grants Program are
required by former 49 U.S.C. 5307(d)(l) in effect in FY 2012 or a previous fiscal year,
except as superseded by MAP-21 cross-cutting requirements that apply instead.
Therefore, except as FT A determines otherwise in writing, on behalf of your Applicant,
you certify that:
1. It has or will have the following to carry out its proposed Project(s), including the
safety and security aspects of Project(s):
a. Legal capacity,
b. Financial capacity, and
c. Technical capacity,
2. It has or will have satisfactory continuing control over the use of Project equipment
and facilities,
3. It will maintain its Project equipment and facilities adequately,
4. It will ensure that for transportation using or involving a facility or equipment of a
Project financed under former 49 U.S.C. 5307 in effect in FY 2012 or a previous
fiscal year, the following individuals will be charged a fare not exceeding fifty
(50) percent of the peak hour fare:
a. Any elderly individual,
b. Any handicapped individual, as described in 49 CFR part 27,
c. Any individual presenting a Medicare card issued to that individual under title II
of the Social Security Act (42 U.S.C. 401 et seq.}, or •
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FTA FISCAL YEAR 2014 CERTIFICATIONS AND ASSURANCES
d. Any individual presenting a Medicare card issued to that individual under
title XVIII of the Social Security Act (42 U.S.C. 1395 et seq.),
5. When carrying out a procurement under former 49 U.S.C. 5307 in effect in FY 2012
or a previous fiscal year, it will comply with the following provisions as amended by
MAP-21:
a. Competitive procurement (as defined or approved by FT A), as required by
49 U.S.C. 5325(a),
b. The prohibition against exclusionary or discriminatory specifications in its
procurements under 49 U.S.C. 5323(h),
c. "Buy America" under 49 U.S.C. 53230),
d. Applicable pre-award and post-delivery requirements of 49 U.S.C. 5323(m),
e. Applicable railcar option restrictions of 49 U.S.C. 5325(e), and
f. "Veterans Preference/Employment" under 49 U.S.C. 5325(k),
6. It will comply with other applicable requirements under 49 U.S.C. 5323 and 5325,
7. It:
a. Has or will make available to the public information on amounts available to it
under 49 U.S.C. 5307 and the Program of Projects it proposes to undertake,
b. Will develop or has developed, in consultation with interested parties, including
private transportation providers, a proposed Program of Projects for activities to
be financed,
c. Will publish or has published a proposed Program of Projects in a way that
affected citizens, private transportation providers, and local elected officials have
the opportunity to examine the proposed program and submit comments on the
proposed program and the Applicant or Recipient's performance,
d. Will provide or has provided an opportunity for a public hearing in which to
obtain the views of citizens on the proposed Program of Projects,
e. Will ensure or has ensured that the proposed Program of Projects provides for the
coordination of public transportation services assisted under 49 U.S.C. 5336 with
transportation services assisted from other U.S. Government sources,
f. Will consider or has considered comments and views received, especially those of
private transportation providers, in preparing the final Program of Projects, and
g. Will make or has made the final Program of Projects available to the public,
8. It:
a. Has or will have the amount of funds required for the local share,
b. Will provide the local share funds from sources approved by FT A, and
c. Will provide the local share funds when needed,
9. It has complied or will comply with, and will require each Subrecipient to comply
with, 49 U.S.C. 5303, and 5304,
I 0. It has a locally developed process to solicit and consider public comment before:
a. Raising a fare, or
b. Implementing a major reduction of public transportation,
11. Each fiscal year:
a. At least one (I) percent of the 49 U.S.C. 5307 funding apportioned to an
urbanized area must be spent for public transportation security Projects (limited to
capital Projects if it serves an urbanized area with a population of200,000 or
FT A FISCAL YEAR 2014 CERTIFICATIONS AND ASSURANCES
more), including:
(1) Increased lighting in or adjacent to a public transportation system (including
bus stops, subway stations, parking lots, and garages),
(2) Increased camera surveillance of an area in or adjacent to that system,
(3) Emergency telephone line or lines to contact law enforcement or security
personnel in an area in or adjacent to that system, and
(4) Any other Project intended to increase the security and safety of an existing
or planned public transportation, or ,
b. It will certify that such expenditures for transportation security Projects are not
necessary (Information about its intentions must be recorded in the "Security" tab
page of the TEAM-Web "Project Infonnation" window when it submits its
Urbanized Atea Formula Grants Program application in TEAM-Web),
12. If it serves " an urbanized areji With a" p0pulati0n of at iea5t 200,006 individuals:
a. Each fiscal year, it will ensure that at least one ( 1) percent of the amount
apportioned to the urbanized area is spent for Transit Enhancements, as defined
in fonner 49 U.S.C. 5302(a)(l5),
b. It will include in its quarterly report for the fourth quarter of the preceding Federal
fiscal year:
(1) A list of its Transit Enhancement Project Activities during that Federal fiscal
year using those former 49 U.S.C . 5307 funds, or
(2) Sufficient information to demonstrate that the Designated Recipients in its
urbanized area together have spent one ( 1) percent of the amount of funding
that must be made available to them for Transit Enhancements or have
included the same information in a separate report attached in TEAM-Web,
and
c. The report of its or the Designated Recipients' Transit Enhancement Projects or
Project Activities is or will be incorporated by reference and made part of its
Certifications and Assurances, and
13. It will comply with the final Federal regulations, when issued, that implement the
safety plan requirements of 49 U.S.C. § 5329(d).
C. Passenger Ferry Grant Program.
If your Applicant seeks FTAfundingfor its Project under the Passenger Ferry Grant
Program, 49 U.SC. 5307(h), the Certifications in Group 15.C apply to your Applicant,
except as FIA determines otherwise in writing.
The following Certifications for the Passenger Ferry Grant Program funding are required
by 49 U.S.C. 5307(h) and (c)(l). Therefore, except as FTA detennines otherwise in
writing, on behalf of your Applicant, you certify that:
1. It has or will have the following to carry out its proposed Project(s), including the
safety and security aspects of the proposed Project(s):
a. Legal capacity,
b. Financial capacity, and
c. Technical capacity,
• •
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•
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FTA FISCAL YEAR 2014 CERTIFICATIONS AND ASSURANCES
2. It has or will have satisfactory continuing control over the use of Project equipment
and facilities,
3. It will maintain its Project equipment and facilities adequately,
4. It will ensure that, during non-peak hours for transportation using or involving a
facility or equipment of a Project financed under 49 U.S.C. 5307(h), the following
individuals will be charged a fare not exceeding fifty (50) percent of the peak hour
fare:
a. Any senior,
b. Any individual who, because of illness, injury, age, congenital malfunction, or
other incapacity or temporary or permanent disability (including an individual
who is a wheelchair user or has semi-ambulatory capability), cannot use a public
transportation service or a public transportation facility effectively without special
facilities, planning, or design,
c. Any individual presenting a Medicare card issued to that individual under title II
of the Social Security Act (42 U.S.C. 401 et seq.), or
d. Any individual presenting a Medicare card issued to that individual under
title XVIII of the Social Security Act (42 U.S.C. 1395 et seq.),
5. When carrying out a procurement under 49 U.S.C. 5307(h), it will comply with the:
a. General Provisions of 49 U.S.C. 5323, and
b. Third Party Contract Provisions of 49 U.S.C. 5325,
6. As required by 49 U.S.C. 5307(d), it:
a. Has or will have the amount of funds required for the local share,
b. Will provide the local share funds from sources approved by FT A, and
c. Will provide the local share funds when needed,
7. As required by 49 U.S.C. 5307(c)(l)(H), it will comply with:
a. The Metropolitan Transportation Planning requirements of 49 U.S.C. 5303, and
b. The Statewide and Nonmetropolitan Transportation Planning requirements of
49 u.s.c. 5304,
8. As required by 49 U.S.C. 5307(c)(l)(I), it has a locally developed process to solicit
and consider public comment before:
a. Raising a fare, or
b. Implementing a major reduction of public transportation, and
9. . It will comply with the final Federal regulations, when issue~ that implement the
safety plan requirements of 49 U.S.C. § 5329(d).
D. Job Access and Reverse Commute (JARC) Formula Grant Program.
If your Applicant seeks FTAfundingfor its Project under the Job Access and Reverse
Commute (JARC) Formula Grant Program, former 49 US.C. 5316 in effect in FY 2012
or a previous fiscal year, the Certifications in Group 15. C apply to your Applicant,
except as FT A determines otherwise in writing.
1. The following Certifications for the Job Access and Reverse Commute (JARC)
Formula Grant Program are required by former 49 U.S.C. 5316 in effect in FY 2012
or a previous fiscal year, except as superseded by MAP-21 cross-cutting requirements
Ff A FISCAL YEAR 2014 CERTIFICATIONS AND ASSURANCES
that apply. Therefore, except as IT A determines otherwise in writing, on behalf of
your Applicant, you certify that:
a. It will make awards of JARC funding on a competitive basis following:
(1) An areawide solicitation in cooperation with the appropriate metropolitan
planning organization for applications for funding in compliance with former
49 U.S.C. 5316 if your Applicant receives funding under former 49 U.S.C.
5316(c)(l)(A), and
(2) A statewide solicitation for applications for JARC funding in compliance
with former 49 U .S.C. 5316 if your Applicant receives funding under former
49 U.S.C. 5316(c)(l)(B) or (C),
b. Any allocations to Subrecipients of JARC funding authorized by former
49 U.S.C. 5316 will be distributed on a fair and equitable basis,
c. As required by former 49 U.S.C. 5316 : ' · ·· · · ·
(1) The Projects it has selected or will select for former 49 U.S.C. 5316 funding
must be derived from a public transit-human services transportation plan that
has been:
(a) Locally developed, and
(b) Coordinated, and
(2) That locally developed and coordinated plan was produced through a process
that included:
(a) Representatives of public, private, and nonprofit transportation
providers,
(b) Human service providers, and
(c) Participation by the public,
d. Before it transfers funds to a Project funded by former 49 U.S.C. 5336, that
Project has been or will have been coordinated with private nonprofit providers of
services as required under former 49 U.S.C. 5316(g)(2),
e. Before using funds apportioned for Projects serving an area other than that for
which funding was apportioned under former 49 U .S.C. 5316:
(1) The State's chief executive officer, or his or her designee, will have certified
that all the JARC program objectives of former49 U.S.C. 5316 are being met
in the area from which the funding would be derived, and
(2) lfthe State has a statewide program for meeting the JARC program
objectives offormer49 U.S .C. 5316, the funds can be used for Projects
anywhere in the State, and
f. The requirements of former 49 U.S.C. 5307 will apply to the JARC Program,
authorized by former 49 U .S.C. 5316, and
2. The following Certifications for the JARC Program are required by former 49 U.S.C.
5307(d)(l) in effect in FY 2012 or a previous fiscal year, except as superseded by
MAP-21 cross-cutting requirements that apply. Therefore, except as FT A determines
otherwise in writing, on its behalf, you certify that:
a. It has or will have, and will require each Subrecipient to have, the following to
carry out its proposed Project(s), including the safety and security aspects of its
proposed Project(s):
( 1) The legal capacity,
• •
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FT A FISCAL YEAR 2014 CERTIFICATIONS AND ASSURANCES
(2) The financial capacity, and
(3) The technical capacity,
b. It has or will have, and will require each Subrecipient to have satisfactory
continuing control over the use of Project equipment and facilities,
c. It will maintain, and will require each Subrecipient to maintain, its Project
equipment and facilities adequately,
d. To the extent applicable, it will ensure, and will require each Subrecipient to
ensure, that for transportation using or involving a facility or equipment of a
Project financed under fonner 49 U .S.C. 5316 the following individuals will be
charged a fare not exceeding fifty (50) percent of the peak hour fare:
(1) Any elderly individual,
(2) Any handicapped individual, as described in 49 CFR part 27,
(3) Any individual presenting a Medicare card issued to that individual under
title II of the Social Security Act (42 U.S.C. 401 et seq.), and
(4) Any individual presenting a Medicare card issued to that individual under
title XVIII of the Social Security Act (42 U.S.C. 1395 et seq.),
e. When carrying out a procurement under former 49 U.S.C. 5316, it will comply
with the following provisions as amended by MAP-21:
( 1) Competitive procurement (as defined or approved by FT A), as required by
49 U.S.C. 5325(a),
(2) The prohibition against exclusionary or discriminatory specifications in its
procurements, as required by 49 U.S.C. 5323(h),
(3) "Buy America" wider 49 U.S.C. 53230),
(4) Applicable pre-award and post..<felivery requirements of 49 U.S.C. 5323(m),
and
(5) "Veterans Preference/Employment" under 49 U.S.C. 5325(k),
f. It will comply with other applicable requirements under 49 U.S.C. 5323 and 5325,
g. It:
(1) Has or will have and, as necessary, will require each Subrecipient to have the
amount of funds required for the local share by former 49 U.S.C. 5316,
(2) Will provide and, as necessary, will require each Subrecipient to provide, the
local share funds from sources approved by FT A, and
(3) Will provide and, as necessary, will require each Subrecipient to provide, the
local share funds when needed,
h. It has complied or will comply with, and will require each Subrecipient to comply
with, 49 U.S.C. 5303, and 5304,
1. It has or will have, and will require each Subrecipient to have, a locally developed
process to solicit and consider public comment before:
( 1) Raising a fare, or
(2) Implementing a major reduction of public transportation, and
j. To the extent applicable, it will comply with, and as necessary, will require each
Subrecipient to comply with the final Federal regulations, when issued, that
implement the safety plan requirements of 49 U.S.C. § 5329(d).
GROUP 16. SENIORS/ELDERLY /INDIVIDUALS WITH DISABILITIES
FT A FISCAL YEAR 2014 CERTIFICATIONS AND ASSURANCES
AND NEW FREEDOM PROGRAMS.
The Certifications in Group 16 are required/or funding under:
J 6.A. The Formula Grants for the Enhanced Mobility of Seniors and Individuals with
Disabilities Program, financed or to be financed with funds appropriated or made
available/or 49 US.C. 5310, as amended by MAP-21, which among other things
authorizes funding for New Freedom Projects and Project Activities,
16. B. The Formula Grants for the Special Needs of Elderly Individuals and Individuals
with Disabilities Program financed or lo beflnancedwithfunds appropriated or
made available for former 49 U.S.C. 5310 in effect in FY 2012 or a previous
fiscal year, except as superseded by MAP-21 cross-cutting requirements that
apply, and
16.C. The New Freedom Programfinanced-or to-beflnancedwiili./unds appropriated
or made available for former 49 U.S.C. 5317 in effect in FY 2012 or a previous
fiscal year, except as superseded by MAP-21 cross-cutting requirements that
apply.
Before FTA may provide funding for your Applicant's Project under any of the Programs
listed above, in addition to other Certifications and Assurances you must select on its
behalf, you must also select the Certifications in Group 16, except as FTA determines
otherwise in writing.
Your Applicant is ultimately responsible for compliance with the Certifications and
Assurances selected on its behalf that apply to its Project, itself, any Subrecipient, or
other Third Party Participant in its Project, except as FTA determines otherwise in
writing. For this reason, we strongly encourage your Applicant to take appropriate
measures, including, but not limited to, obtaining sufficient documentation from each
Subrecipient and other Third Party Participants to assure the validity of the applicable
Certifications and Assurances selected on behalf of your Applicant.
Any provision of the Certifications in Group 16 that does not apply will not be enforced
16.A. Formula Grants for the Enhanced Mobility of Seniors and Individuals with
Disabilities Program.
If your Applicant seeks FTAfundingfor its Project under the Formula Grants for the
Enhanced Mobility of Seniors and Individuals with Disabilities Program, 49 U.S.C. 5310,
as amended by MAP-21, the Certifications in Group 16.A apply to your Applicant, except
as FTA determines otherwise in writing.
l. The following Certifications for the Formula Grants for the Enhanced Mobility of
Seniors and Individuals with Disabilities Program are required by 49 U.S.C. 5310.
Therefore, except as FT A detenn ines otherwise in writing, on behalf of your
Applicant. you certify that:
a. Each of its Subrecipients is:
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FTA FISCAL YEAR 2014 CERTIFICATIONS AND ASSURANCES
(1) A private nonprofit organization, or
(2) A State or local governmental authority that:
(a) Is approved by a State to coordinate services for seniors and individuals
with disabilities, or
(b) Certifies that there are no private nonprofit organizations readily
available in the area to provide the services authorized for support under
the Formula Grants for the Enhanced Mobility of Seniors and
Individuals with Disabilities Program,
b. It will comply with the following Project selection and planning requirements:
(1) The Projects it has selected or will select for funding appropriated or made
available for 49 U.S.C. 5310 are included in a public transit-human services
transportation plan that has been:
(a) Locally developed, and
(b) Coordinated,
(2) The public transit-human services transportation plan was developed and
approved through a process that included participation by:
(a) Seniors,
(b) Individuals with disabilities,
(c) Representatives of public, private, and nonprofit transportation
providers,
( d) Representatives of public, private, and nonprofit human services
providers, and
(e) Other members of the public,
(3) The transportation projects to assist in providing transportation services for
seniors and individuals with disabilities are included in a program of projects,
(4) A program of projects under Group 16.A.l.b(3) above is or will be submitted
annually to FT A, and
(5) To the maximum extent feasible, the services funded by 49 U.S.C. 5310 will
be coordinated with transportation services funded by other Federal
departments and agencies, including any transportation activities carried out
by a recipient of a grant from the Department of Health and Human Services,
c. As required by 49 U.S.C. 531 O(e)(2)(B), it certifies that if it allocates funds
received under 49 U.S.C. 5310, to Subrecipients, it will have allocated those
funds on a fair and equitable basis,
d. It will transfer a facility or eqwpment financed with funding appropriated or made
available for a grant under 49 U.S.C. 5310, to any other recipient eligible to
receive assistance under 49 U.S.C. chapter 53, only if:
(I) The recipient in possession of the facility or equipment consents to the
transfer, and
(2) The facility or equipment will continue to be used as required under
49 u.s.c. 5310,
e. As required by 49 U.S.C. 5310(b)(2), it will use at least fifty-five (55) percent of
the funds on capital projects to meet the special needs of seniors and disabled, and
f. The requirements of 49 U.S.C. 5307, as detennined by FTA, will apply to the
Formula Grants for the Enhanced Mobility of Seniors and Individuals with
Ff A FISCAL YEAR 2014 CERTIFICATIONS AND ASSURANCES
Disabilities, authorized by 49 U.S.C. 5310, and
2. FT A has determined certain requirements of 49 U .S.C. 5307, to be appropriate for
which some require Certifications. Therefore, as specified under 49 U.S.C.
5307(c)(I), it certifies that:
a. It has or will have, and will require each Subrecipient to have, the following to
carry out its proposed Project(s), including the safety and security aspects of its
proposed Project(s):
(1) Legal capacity,
(2) Financial capacity, and
(3) Technical capacity,
b. It has or will have, and will require each Subrecipient to have, satisfactory
continuing control over the use of Project equipment and facilities,
c. It win maintain, and wiii require each Subredpierit to mah1tain its Project
equipment and facilities adequately,
d. When carrying out a procurement under the Formula Grants for the Enhanced
Mobility of Seniors and Individuals with Disabilities Program, it will, and will
require each Subrecipient to comply with the:
(1) General Provisions of49 U.S.C. 5323, and
(2) Third Party Contract Provisions of 49 U.S.C. 5325,
e. It has complied or will comply with, and will require each Subrecipient to comply
with:
(1) The Metropolitan Transportation Planning requirements of 49 U.S.C. 5303,
and
(2) The Statewide and Nonmetropolitan Transportation Planning requirements of
49 U.S.C. 5304, and
f. To the extent applicable, it will comply with, and require its Subrecipients to
comply with the final Federal regulations, when issued, that implement the safety
plan requirements of 49 U.S.C. § 5329(d).
16.B. Formula Grants for the Special Needs of Elderly Individuals and Individuals
with Disabilities Program.
If your Applicant seeks FI'Afundingfor its Project under the Formula Grants/or the
Special Needs of Elderly Individuals and Individuals with Disabilities Program, former
49 US.C. 5310 in effect in FY 2012 or a previousfzscal year, except as superseded by
MAP-21 cross-cutting requirements that apply, the Certifications in Group 16.B apply to
your Applicant, except as FF A determines otherwise in writing.
l. The following Certifications for the Formula Grants for the Special Needs of Elderly
Individuals and Individuals with Disabilities Program are required by former
49 U.S.C. 5310 in effect in FY 2012 or a previous fiscal year, except as superseded
by MAP-21 cross-cutting requirements that apply. Therefore, except as FTA
determines otherwise in writing, on behalf of your State Applicant, you certify that:
a. Each of your State Applicant's Subrecipients is:
(1) A private nonprofit organization, if the public transportation service that
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FT A FISCAL YEAR 2014 CERTIFICATIONS AND ASSURANCES
would undertake public transportation capital Project(s) planned, designed,
and carried out to meet the special needs of elderly individuals and
individuals with disabilities is:
(a) Unavailable,
(b) Insufficient, or
( c) Inappropriate, or
(2) A State or local governmental authority that:
(a) Is approved by a State to coordinate services for seniors and individuals
with disabilities, or
(h) Certifies that there are not any nonprofit organizations readily available
in the area to provide public transportation capital Projects planned,
designed, and carried out to meet the special needs of seniors and
individuals with disabilities,
b. The Projects your State Applicant has selected or will select for funding
appropriated or made available for fonner 49 U.S.C. 5310 are included in a public
transit-human services transportation plan that has been:
(1) Locally developed, and
(2) Coordinated,
c. That public transit-human services transportation plan was developed and
approved through a process that included participation by:
(1) Elderly Individuals,
(2) Individuals with disabilities,
(3) Representatives of public, private, and nonprofit transportation providers,
(4) Representatives of human services providers, and
(5) Other members of the public,
d. If your State Applicant allocates funds received under fonner 49 U.S.C. 5310 to
Subrecipients~ your State Applicant will have allocated those funds on a fair and
equitable basis,
e. The Program of Projects your State Applicant has submitted or will submit
contains or will contain an assurance that the Program provides for the maximum
feasible coordination of transportation services funded by fonner 49 U .S.C. 5310
with transportation services funded by other Government sources,
f. If your State Applicant transfers former 49 U.S.C. 5310 funds to another Project
funded under 49 U.S.C. 5336 in accordance with former 49 U.S.C. 531 O(b)(2),
the Project for which the funds are requested has been coordinated with private
nonprofit providers of service under fonner 49 U.S.C. 5310, and
g. It will comply with the requirements of former 49 U.S.C. 5307 that FTA
determined will apply to the former Formula Grants for the Special Needs of
Elderly Individuals and Individuals with Disabilities Program,
2. The fol1owing Certifications for the Special Needs of Elderly Individuals and
Individuals with Disabilities Program are required by fonner 49 U.S.C. 5307(d)(l).
Therefore, except as FT A determines otherwise in writing, on behalf of your State
Applicant, you certify that:
a. Your State Applicant and each of its Subrecipients have or will have the
following to carry out its proposed Project(s), including the safety and security
FT A FISCAL YEAR 2014 CERTIFICATIONS AND ASSURANCES
aspects of the proposed Project(s):
(1) Legal capacity,
(2) Financial capacity, and
(3) Technical capacity,
b. Your State Applicant and each Subrecipient has or will have satisfactory
continuing control over the use of Project equipment and facilities,
c. Your State Applicant and each of its Subrecipients will maintain its Project
equipment and facilities adequately,
d. When carrying out a procurement under fonner 49 U.S.C. 5310, it will, and will
require each Subrecipient, to comply with the following provisions as amended by
MAP-21:
(1) Competitive procurement (as defined or approved by FTA), as required by 49 u.s.c. 532sca>~ ·· · ... ·· · · · · · ·· · · ·· · · · ·
(2) The prohibition against exclusionary or discriminatory specifications in its
procurements under 49 U.S.C. 5323(h),
(3) "Buy America" under 49 U.S.C. 5323(j),
(4) Applicable pre-award and post-delivery requirements of 49 U.S.C. 5323(m),
(5) Applicable railcar option restrictions of 49 u~s.c. 5325(e), and ·
(6) "Veterans Preference/Employment" under 49 U.S.C. 5325(k),
e. It will comply with other applicable requirements under 49 U.S.C. 5323 and 5325,
f. Your State Applicant:
( 1) Has or will have and, as necessary, will require each Subrecipient to have the
amount of funds required for the local share by former 49 U.S.C. 5310(c)(2),
(2) Will provide and, as necessary, will require each Subrecipient to provide, the
local share funds from sources approved by FT A, and
(3) Will provide and, as necessary, will require each Subrecipient to provide, the
local share funds when needed,
g. It has complied or will comply with, and will require each Subrecipient to comply
with, 49 U.S.C. 5303, and 5304, and
h. To the extent applicable, your State Applicant will comply with and, as necessary,
will require each Subrecipient to comply with the final Federal regulations, when
issued, that implement the safety plan requirements of 49 U.S.C. § 5329(d).
16.C. New Freedom Program.
If your Applicant seeks FTA/undingfor its Project under the New Freedom Program,
former 49 U.S.C. 5317, in effect in FY 2012 or a previous fiscal year, except as
superseded by MAP-21 cross-cutting requirements that apply, the Certifications in
Group 16. C apply to your Applicant, except as FT A determines otherwise in writing.
1. Fonner 49 U.S.C. 5317 in effect in FY 2012 or a previous fiscal year requires the
following Certification for the New Freedom Program. Therefore, except as Ff A
detennines otherwise in writing, on behalf of your Applicant, you certify that:
a. It will make awards of New Freedom funding on a competitive basis after
conducting:
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FTA FISCAL YEAR 2014 CERTIFICATIONS AND ASSURANCES
(1) An areawide solicitation in cooperation with the appropriate metropolitan
planning organization for applications for funding in compliance with fonner
49 U.S.C. 5317(d)(l), or
(2) A statewide solicitation for applications for New Freedom funding in
compliance with former 49 U.S.C. 53 l 7(d)(2),
b. Any allocations to Subrecipients of New Freedom funding authorized by former
49 U.S.C. 5317 will be distributed on a fair and equitable basis,
c. It will comply with the following Project selection and planning requirements:
( 1) The Projects it has selected or will select for funding appropriated or made
available for that program were derived from a public transit-human services
transportation plan that has been:
(a) Locally developed, and
(b) Coordinated,
(2) That locally developed and coordinated plan was produced through a process
that included:
(a) Representatives of public, private, and nonprofit transportation providers,
(b) Representatives of public, private, and nonprofit human services
providers, and
(c) Participation by the public,
d. Before it transfers funds to a Project funded by former 49 U.S.C. 531 l(c), fonner
49 U.S.C. 5336, or both:
(1) The funding to be transferred may be made available only to Projects eligible
for funding appropriated or made available for former 49 U.S.C. 5317, and
(2) It will have consulted with responsible local officials and publicly owned
operators of public transportation in each area for which the amount to be
transferred was originally awarded,
e. The requirements of former 49 U.S.C. 5307 and 5310, as determined by Ff A, will
apply to the New Freedom Program, authorized by former 49 U.S.C. 5317, and
2. The following Certifications for the New Freedom Program are required by former
49 U.S.C. 5307(d)(l) and 5310. Therefore, except as FTA determines otherwise in
writing, on its behalf, you certify that:
a. It has or will have, and will require each Subrecipient to have, the following to
carry out its proposed Project(s), including the safety and security aspects of its
proposed Project(s):
(1) Legal capacity,
(2) Financial capacity, and
(3) Technical capacity,
b. It has or will have, and will require each Subrecipient to have, satisfactory
continuing control over the use of Project equipment and facilities,
c. It will maintain, and will require each Subrecipient to maintain, its Project
equipment and facilities adequately,
d. When carrying out a procurement under former 49 U .S.C. 5317, it will, and will
require each Subrecipient, to comply with the following provisions as amended by
MAP-21:
(1) Competitive procurement (as defined or approved by Ff A), as required by
FT A FISCAL YEAR 2014 CERTIFICATIONS AND ASSURANCES
49 U.S.C. 5325(a),
(2) The prohibition.against exclusionary or discriminatory specifications in its
procurements under 49 U.S.C. 5323(h),
(3) "Buy America" under 49 U.S.C. 5323(j),
(4) Applicable pre-award and post-delivery requirements of 49 U.S.C. 5323(m),
(5) Applicable railcar option restrictions of 49 U.S.C. 5325(e), and
(6) "Veterans Preference/Employment" under 49 U.S.C. 5325(k),
e. It will comply with other applicable requirements under 49 U.S.C. 5323 and 5325,
f. It:
(1) Has or will have and, as necessary, will require each Subrecipient to have the
amount of funds required for the local share required by former 49 U.S.C.
53 l 7(g), .. . . ··. '
(2) wlil provide and, as necessary, wllf require each su6recipient t0 provide, the
local share funds from sources approved by Ff A, and
(3) Will provide and, as necessary, will require each Subrecipient to provide, the
local share funds when needed,
g. It has complied or will comply with, and will require each Subrecipient to comply
with, 49 U.S.C. 5303, and 5304, and ·
h. To the extent applicable, it will comply with and, as necessary, will require each
Subrecipient to comply with the final Federal regulations, when issued, that
implement the safety plan requirements of 49 U.S.C. § 5329(d).
GROUP 17. RURAllOTIIER THAN URBANIZED AREAS/APPALACHIAN
DEVELOPMENT/OVER-THE-ROAD BUS ACCESSIBILITY PROGRAMS.
The Certifications in Group 17 are required/or funding under:
17.A. The Formula Grants/or Rural Areas Programfinancedwithfunding
appropriated or made available for 49 U.S.C. 531 l{b), as amended by MAP-21,
(Separate Certifications and Assurances have been established in Group 18 for
an Indian tribe that is an Applicant for a Public Transportation on Indian
Reservations Projectfinancedwithfunding made available for 49 U.S.C.
531 /(c))(l), as amended by .MAP-21.) ·
17. B. The Formula Grants for Other Than Urbanized Areas Program financed with
funding appropriated or made available for former 49 U.S.C. 53/J(b) in effect in
FY 2012 or a previous fiscal year, except as superseded by MAP-21 cross-cutting
requirements that apply, (Separate Certifications and Assurances have been
established in Group 18 for an Indian tribe that is an Applicant for a "Tribal
Transit" Project financed with funding made available for former 49 U.S.C.
5311 (c)(J) in effect in FY 2012 or a previous fiscal year.)
17. C. The Appalachian Development Public Transportation Assistance Program
financed with funding appropriated or made available for 49 U.S.C. 531 J(c)(2),
as amended by MAP-21, and
17. D. The Over-the-Road Bus Accessibility Program financed with funding
appropriated or made available for section 3038 o/TEA-21, as amended by
section 3039 o/SAFETEA-LU, 49 U.S.C. 5310 note, except as superseded by
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FT A FISCAL YEAR 2014 CERTIFICATIONS AND ASSURANCES
MAP-21 cross-cutting requirements that apply.
(Separate Certifications and Assurances have been established for an Indian tribe that is
an Applicant for a Tribal Transit Project financed with funding made available for
49 U.S. C. 5311 (c).)
Before FT A may provide funding for your Applicant's Project under any of the Programs
listed above, in addition to other Certifications and Assurances you must select on its
behalf, you must also select the Certifications in Group 17, except as FTA determines
otherwise in writing.
Your Applicant is ultimately responsible/or compliance with the Certifications and
Assurances selected on its behalf that apply to its Project, itself. any Subrecipient, or
other Third Party Participant in its Project, except as Ff A determines otherwise in
writing. For this reason, we strongly encourage your Applicant to talce appropriate
measures, including, but not limited to, obtaining sufficient documentation from each
Subrecipient and other Third Party Participants to assure the validity of the applicable
Certifications and Assurances selected on behalf of your Applicant.
Any provision of the Certifications and Assurances in Group 17 that does not apply will
not be enforced
17.A. Formula Grants for Rural Areas Program.
If your Applicant seeks FTAfundingfor its Project under the Formula Grants for Rural
Areas Program, 49 U.S.C. 531 J, as amended by MAP-21, the Certifications in
Group 17.A apply to your Applicant, except as FTA determines otherwise in writing.
The following Certifications apply to each State or State organization serving as your
Applicant for funding appropriated or made available for the Rural Areas Fonnula
Project authorized by 49 U.S.C. 531 l(b). On its behalf, you certify and assure that:
1. It has or will have the following to carry out its proposed Project(s), including the
safety and security aspects of its Project(s):
a. Legal capacity,
b. Financial capacity, and
c. Technical capacity,
2. It has or will have satisfactory continuing control over the use of Project equipment
and facilities,
3. Its Project equipment and facilities will be adequately maintained,
4. Its State program has provided for a fair distribution of Federal funding appropriated
or made available for 49 U.S.C. 531 l(b), within the State, including Indian
reservations,
5. Its program provides or will provide the maximum feasible coordination of public
transportation service funded by 49 U.S.C. 531 l(b), with transportation service
funded by other Federal sources,
FTA FISCAL YEAR 2014 CERTIFICATIONS AND ASSURANCES
6. Its Projects in its Formula Grants for Rural Areas Program are included in:
a. The Statewide Transportation Improvement Program, and
b. To the extent applicable, a Metropolitan Transportation Improvement Program,
7. It:
a. Has or will have the amount of funds required for the local share, as required by
49 u.s.c. 531 l(g),
b. Will provide the local share funds from sources approved by FT A, and
c. Will provide the local share funds when needed,
8. It may transfer a facility or equipment acquired using a grant under 49 U.S .C. 531 l(b)
to any other Recipient eligible to receive assistance under 49 U.S.C. chapter 53, if:
a. The Recipient in possession of the facility or equipment consents to the transfer,
and
b: the facility or equipment will continue to be used 8s required W1der 49 u.s.c.
5311, and
9. Each fiscal year:
a. It Will spend at least fifteen (15) percent of its 49 U.S .C. 5311 funding available
that fiscal year to develop and support intercity bus transportation within the
State, with eligible activities, including;
(1) Planning and marketing for intercity bus transportation,
(2) Capital grants for intercity bus facilities,
(3) Joint-use facilities,
(4) Operating grants through purchase-of-service agreements, user-side
subsidies, and demonstration Projects, and
(5) Coordinating rural connections between small public transportation
operations and intercity bus carriers, or
b. It will provide to the Federal Transit Administrator a Certification from the
Governor of the State that:
(I) It has consulted with the affected intercity bus service providers about the
intercity bus needs of the State, and
(2) The State's intercity bus service needs are being met adequately.
17.B. Formula Grants for Other Than Urbanized Areas Program.
If your Applicant seeks FTAfundingfor its Project under the Formula Grants for Other
Than Urbanized Areas Program, former 49 U.S.C. 5311 in effect in FY 2012 or a
previous fiscal year, the Certifications in Group 17. B apply to your Applicant, except as
FTA determines otherwise in writing.
The following Certifications apply to each State or State organization serving as your
Applicant for funding appropriated or made available for the Formula Grants for Other
Than Urbanized Areas Project authorized by former 49 U.S.C. 531 l(b)(l) in effect in
FY 2012 or a previous fiscal year, except as superseded by MAP-21 cross-cutting
requirements that apply. On its behalf, you certify and assure that:
1. It has or will have the following to carry out its proposed Project(s), including the
safety and security aspects of its Project(s):
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Yf A FISCAL YEAR 2014 CERTIFICATIONS AND ASSURANCES
a. Legal capacity,
b. Financial capacity, and
c. Technical capacity,
2. It has or will have satisfactory continuing control over the use of Project equipment
and facilities,
3. Its Project equipment and facilities will be adequately maintained,
4. Its State program required under fonner 49 U.S.C. 53 l l(b)(2) has provided for a fair
distribution of Federal funding appropriated or made available for fonner 49 U.S.C.
5311 (b), within the State, including Indian reservations,
5. Its State program required under former 49 U.S.C. S3 l l(b)(2) provides or will
provide the maximum feasible coordination of public transportation service funded by
former 49 U.S.C. 5311 (b), with transportation service funded by other Federal
sources,
6. Its Projects in its Fonnula Grants for Other than Urbanized Areas Program are
included in:
a. The Statewide Transportation Improvement Program, and
b. To the extent applicable, a Metropolitan Transportation Improvement Program,
7. It:
a. Has or will have the amount of funds required for the local share, as required by
fonner49 U.S.C. 53ll(g),
b. Will provide the local share funds sources approved by FT A, and
c. Will provide the local share funds when needed,
8. It may transfer a facility or equipment acquired using a grant under former 49 U.S.C.
5311 (b) in effect in FY 2012 or a previous fiscal year to any other Recipient eligible
to receive assistance under 49 U.S.C. chapter 53, if:
a. The Recipient in possession of the facility or equipment consents to the transfer, and
b. The facility or equipment will continue to be used as required under fonner
49 U.S.C. 5311, and
9. Each fiscal year:
a. It will spend at least fifteen (15) percent of its former 49 U.S.C. 5311 funding
available for that fiscal year to develop and support intercity bus transportation
within the State with eligible activities, including:
(I) Planning and marketing for intercity bus transportation,
(2) Capital grants for intercity bus shelters,
(3) Joint-use stops and depots,
(4) Operating grants through purchase-of-service agreements, user-side
subsidies, and demonstration Projects, and
(S) Coordinating rural connections between small public transportation
operations and intercity bus carriers, or
b. It will provide to the Federal Transit Administrator a Certification from the Chief
Executive Officer of the State that:
(1) It has consulted with the affected intercity bus service providers about the
intercity bus needs of the State, and
(2) The State's intercity bus service needs are being met adequately .
FTA FISCAL YEAR 2014 CERTIFICATIONS AND ASSURANCES
17.C. Appalachian Development Public Transportation Assistance Program.
If your Applicant seeks FTAfundingfor its Project under the Appalachian Development
Public Transportation Assistance Program, 49 U.S.C. 531 J(c)(2), the Certification in
Group 17. C applies to your Applicant, except as FT A determines otherwise in writing.
On behalf of your Applicant, you certify and assure that, in addition to other
Certifications and Assurances it must provide, if it is unable to use its funding made
available or appropriated for public transportation operating assistance, in accordance
with 49 U.S.C. 531 l(c)(2)(0), it may use the funding for a highway Project only after:
1. It provides notice and an opportunity for comment and appeal to affected public
transportation providers,
2. It approves · for such use in writing, and
3. In approving the use, it determines that local transit needs are being addressed.
· 17.D. Over-the-Road Bus Accessibility Program.
If your Applicant seeks FI' A funding for its Project under the Over-the-Road Bus
Accessibility Program, section 3038 ofTEA-21, as amended by section 3039 of
SAFETEA-LU. 49 U.S.C. 5310 note, the Assurances in Group 17.D apply to your
Applicant, except as FTA determines otherwise in writing.
Your Applicant assures that it will comply with all applicable Federal statutes and
regulations, and follow applicable Federal guidance in carrying out any Over-the-Road
Bus Accessibility Project supported by the FT A grant. It acknowledges that it is under a
continuing obligation to comply with the tenns and conditions of the grant agreement
issued for its Project with FT A. It understands that Federal laws, regulations, policies,
and administrative practices might be modified from time to time and affect the
implementation of the Project.
It assures that the Federal requirements for the Over-the-Road Bus Accessibility Program
during FY 2012 will apply to the Project, except as FTA determines otherwise in writing.
Certifications and Assurances for funding to be awarded under this program in FY 2014
are included in these FT A Certifications and Assurances for FY 2014. Each Applicant
must submit Group 01 ("Required Certifications and Assurances for Each Applicant").
Each Applicant seeking more than $100,000 in Federal funding must provide both Group
01, and Group 02, ("Lobbying").
GROUP 18. TRIBAL TRANSIT PROGRAMS.
The Certifications in Group 18 are requiredfor funding under:
• The Public Transportation on Indian Reservations Formula Program, 49 US.C.
531 l(c)(l), as amended by MAP-21, and
• The Public Transportation on Indian Reservations Discretionary Program,
49 U.S.C. 531 J(c)(l).
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Before FI'A may provide funding for your Applicant's Project under either Program
listed above, in addition to other Certifications and Assurances you must select on its
behalf, you must also select the Certificalions in Group 18, excepl as FI' A determines
otherwise in writing.
Your Applicant is ultimately responsible for compliance with the Certifications and
Assurances selected on its behalf that apply to its Project, itself, any Subrecipient, or
other Third Party Participant in its Project, except as FI' A determines otherwise in
writing. For this reason, we strongly encourage your Applicant to take appropriate
measures, including, but not limited to, obtaining sufficient documentationfrom each
Subrecipient and other Third Party Participants to assure the validity of the applicable
Certifications and Assurances selected on behalf of your Applicant.
Any provision of the Certifications in Group I 8 that does not apply will not be enforced
FT A has established terms and conditions for Tribal Transit Program grants financed
with funding appropriated or made available for 49 U.S.C. 531 l(c)(l). On behalf of your
Applicant, you certify and assure that:
1. It has or will have the following to carry out its proposed Project(s), including the
safety and security aspects ofits Project(s):
a. Legal capacity,
b. Financial capacity, and
c. Technical capacity,
2. It has or will have satisfactory continuing control over the use of Project equipment
and facilities,
3. Its Project equipment and facilities will be adequately maintained,
4. Its Project will achieve maximum feasible coordination with transportation service
funded by other Federal sources,
5. It will:
a Have a procurement system that complies with U.S. DOT regulations, "Unifonn
Administrative Requirements for Grants and Cooperative Agreements to State
and Local Governments," 49 CFR part 18, specifically 49 CFR 18.36, or
b. Infonn FT A promptly that its procurement system does not comply with those
U.S. DOT regulations,
6. 1t will comply with Buy America under 49 U.S.C. 53230), and
7. It will comply with the Certifications, Assurances, and Agreements in:
a. Group 03.B and 03.C (Charter Service Agreement and School Bus Agreement),
b. Group 05.B (Bus Testing),
c. Group 06 (Demand Responsive Service),
d. Group 07 (Intelligent Transportation Systems), and
e. Group 10 (Alcohol and Controlled Substances Testing).
GROUP 19. LOW OR NO EMISSION/CLEAN FUELS GRANT PROGRAM
FTA FISCAL YEAR 2014 CERTIFICATIONS AND ASSURANCES
The Certifications in Group 19 are required/or funding under:
19.A. The Low or No Emission Vehicle Deployment Program, 49 U.S.C. 5312(d)(5), as
amended by MAP-21, and
19.B. The Clean Fuels Grant Program, former 49 USC. 5308, in effect in FY 2012 or a
previous fiscal year, except as superseded by MAP-21 cross-cutting requirements
that apply.
Before FTA may provide funding for your Applicant's Project under any of the Programs
listed above, in addition to other Certifications and Assurances you must select on its
behalf, you must also select the Certifications in Group I 9, except as Ff A determines
otherwise in writing.
YOur App/icarit is ultimately responsible for i:oinpliance with' rhe CertificaiiOns and
Assurances selected on its behalf that apply to its Project, itself, any Subrecipient, or
other Third Party Participant in its Project, except as FTA determines otherwise in
writing. For this reason, we strongly encourage your Applicant to take appropriate
measures, including, but not limited to, obtaining sufficient documentation from each
Subrecipient and other Third Party Participants to assure the validity of the applicable
Certifications and Assurances selected on behalf of your Applicant.
Any provision of the Certifications in Group 19 that does not apply will not be enforced
19.A. Low or No Emission Vehicle Deployment.
If your Applicant seeks FTAfundingfor its Project under the Low or No Emission
Vehicle Development Program, 49 US.C. 5312(d)(5), as amended by MAP-21, the
Certifications and Assurances in Group 19.A apply to your Applicant, except as FT A
determines otherwise in writing.
Section S312(d)(5)(C)(i) of title 49 requires the following Certifications for Low or No
Emission Vehicle Deployment Program funding appropriated or made available for
MAP-21. Therefore, except as FT A determines otherwise in writing, on behalf of your
Applicant, you certify and assure that:
1. It has or will have the following to carry out its proposed Project(s), including the
safety and security aspects of its proposed Project(s):
a. Legal capacity,
b. Financial capacity, and
c. Teclmical capacity,
2. It has or will have satisfactory continuing control over the use of Project equipment
and facilities,
3. It will maintain its Project equipment and facilities adequately,
4. It will ensure that, during non-peak hours, for transportation using or involving a
facility or equipment funded for its Project, the following individuals will be charged
a fare not exceeding fifty (50) percent of the peak hour fare:
a Any senior,
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FT A FISCAL YEAR 2014 CERTIFICATIONS AND ASSURANCES
b. Any individual who, because of illness, injury, age, a congenital malfunction, or
any other incapacity or temporary or pennanent disability (including an individual
who is a wheelchair user or who has semi-ambulatory capability), and cannot use
a public transportation service or a public transportation facility effectively
without special facilities, special planning, or special design,
c. Any individual presenting a Medicare card issued to that individual under title II
of the Social Secwity Act (42 U.S.C. 401 et seq.), or
d.. Any individual presenting a Medicare card issued to that individual under
title XVIII of the Social Security Act (42 U.S.C. 1395 et seq.),
5. When carrying out a procurement under this Program, it will comply with the:
a General Provisions of 49 U.S.C. 5323, and
b. Third Party Contract Provisions of 49 U.S.C. 5325,
6. It has:
a. Informed or will infonn the public of the amounts of its funding available under
this Program,
b. Developed or will develop, in consultation with interested parties, including
private transportation providers, a proposed Program of Projects for activities to
be funded,
c. Published or will publish a Program of Projects in a way that affected individuals,
private transportation providers, and local elected officials will have an
opportunity to examine and submit comments on the proposed Projects and its
performance as an Applicant,
d. Provided or will provide an opportunity for a public hearing to obtain the views of
individuals on the proposed Program of Projects,
e. Assured or will assure that the proposed Program of Projects provides for
coordination of public transportation services assisted under 49 U.S.C. 5336 with
federally funded transportation services supported by other United States
Government sources,
f. Considered or will consider the comments and views received, especially those of
private transportation providers, in preparing its final list of Projects, and
g. Made or will make the final list of Projects available to the public,
7. It:
a. Has or will have the amount of funds required for the local share,
b. Will provide the local share funds from sources approved by FT A, and
c. Will provide the local share funds when needed,
8. It will comply with:
a. The Metropolitan Transportation Planning requirements of 49 U.S.C. 5303, and
b. The Statewide and Nonmetropolitan Planning requirements of 49 U.S.C. 5304,
9. It has a locally developed process to solicit and consider public comment before:
a Raising a fare, or
b. Implementing a major reduction of public transportation, and
10. It will comply with the final Federal regulations, when issued, that implement the
safety plan requirements of 49 U.S.C. § 5329(d).
19.8. Clean Fuels Grant Program .
FT A FISCAL YEAR 2014 CERTIFICATIONS AND ASSURANCES
If your Applicant seeks FTA/undingfor its Project under the Clean Fuels Grant
Program, former 49 US.C. 5308, in effect in FY 2012 or a previous fiscal year, except as
superseded by MAP-21 crosscutting requirements that apply, the Certifications and
Assurances in Group 19.B apply to your Applicant, except as FTA determines otherwise
in writing.
Former 49 U.S.C. 5307(d)(l) except as superseded by MAP-21 cross-cutting
requirements that apply, requires the folloWing Certifications for Clean Fuels Grant
Program funding appropriated or made available for former 49 U.S.C. 5308 in effect in
FY 2012 or a previous fiscal year. Therefore, except as IT A determines otherwise in
writing, on behalf of your Applicant, you certify and assure that:
1. It lias orwill have the folloWirig to carry ollt its proposed Project(s), including the
safety and security aspects of its Project(s):
a. Legal capacity, ·
b. Financial capacity, and
c. Technical capacity,
2. It has or will have satisfactory continuing control over the use of Project equipment
and facilities,
3. It will maintain the Project equipment and facilities adequately,
4. It will ensure that the following individuals will be charged not more than fifty (50)
percent of the peak hour fare for transportation during non-peak hours using or
involving Project facilities or equipment supported under former 49 U.S.C. 5308:
a. Elderly individuals,
b. Individuals with disabilities,
c. Any individual presenting a Medicare card issued to that individual under title II
of the Social Security Act (42 U.S.C. 401 et seq.), and
d. Any individual presenting a Medicare card issued to that individual under
title XVIII of the Social Security Act (42 U.S.C. 1395 et seq.),
5. When carrying out a procurement under former 49 U.S.C. 5308, it will, and will
require each Subrecipient, to comply with the following provisions as amended by
MAP-21:
a. Competitive procurement (as defined or approved by FTA), as required by
49 U.S.C . 5325(a),
b. The prohibition against exclusionary or discriminatory specifications in its
procurements under 49 U.S.C. 5323(h),
c. "Buy America" under 49 U.S.C . 53230),
d. Applicable pre-award and post-delivery requirements of 49 U.S.C. 5323(m),
e. Applicable railcar option restrictions of 49 U.S.C. 5325(e), and
f. "Veterans Preference/Employment" under 49 U.S.C . 5325(k),
6. It will comply with other applicable requirements under 49 U.S.C. 5323 and 5325,
7. It:
a. Has or will have the amount of funds required for the local share,
b. Will provide the local share funds from sources approved by FT A, and
c. Will provide the local share funds when needed,
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FTA FISCAL YEAR 2014 CERTIFICATIONS AND ASSURANCES
8. It has complied or will comply with, and will require each Subrecipient to comply
with, 49 U.S.C. 5303 and 5304,
9. It has a locally developed process to solicit and consider public comment before:
a. Raising a fare, or
b. Implementing a major reduction of public transportation, and
10. It will comply with the final Federal regulations, when issued, that implement the
safety plan requirements of 49 U.S.C. § 5329(d).
GROUP 20. PAULS. SARBANES TRANSIT IN PARKS PROGRAM
Before FI' A may provide funding for your Applicant's Project under the Paul S. Sarbanes
Transit in Parks Program, former 49 U.S.C. 5320, in effect in FY 2012 or a previous
fiscal year for your Applicant's Project, except as superseded by MAP-21 requirements
that apply, in addition to other Certifications and Assurances you must select on its
behalf, you must also select the Certifications in Group 20, except as Fl'A may determine
otherwise in writing.
Your Applicant is ultimately responsible for compliance with the Certifications and
Assurances selected on its behalf that apply to its Project, itself, any Subrecipient, or
other Third Party Participant in its Project, except as FTA determines otherwise in
writing. For this reason, we strongly encourage your Applicant to take appropriate
measures, including, but not limited to, obtaining sufficient documentation from each
Subrecipient and other Third Party Participants to assure the validity of the applicable
Certifications and Assurances selected on behalf of your Applicant.
Any provision of the Certifications and Assurances in Group 20 that does not apply will
not be enforced
1. The following Certifications and Assurances for the Paul S. Sarbanes Transit in Parks
Program (Parks Program) are required by fonner 49 U.S.C. 5320 in effect in FY 2012
or a previous fiscal year, except as superseded by MAP-21 cross-cutting requirements
that apply. Therefore, except as FT A determines otherwise in writing, on behalf of
your Applicant, you certify that:
a. It will consult with the appropriate Federal land management agency during the
planning process, and
b. The requirements of fonner 49 U .S.C. 5307, as determined by FT A, will apply to
the Parks Program, authorized by fonner 49 U.S.C. 5320, and
2. FTA has determined certain requirements of former 49 U.S.C. 5307 to be appropriate
for the Parks Program, of which some require Certifications. Therefore as specified
under former 49 U.S.C. 5307(d)(l) except as superseded by MAP-21 cross-cutting
requirements that apply, you certify that:
a. It has or will have the following to carry out its proposed Project(s), including the
safety and security aspects of its Project(s):
(1) Legal capacity,
(2) Financial capacity, and
FT A FISCAL YEAR 2014 CERTIFICATIONS AND ASSURANCES
(3) Technical capacity,
b. It has or will have satisfactory continuing control over the use of Project
equipment and facilities, ,
c. It will maintain the Project equipment and facilities adequately,
d. When carrying out a procurement under former 49 U.S.C . 5320, it will, and will
require each Subrecipient, to comply with the following provisions as amended by
MAP-21:
(1) Competitive procurement (as defined or approved by FTA), as required by
49 U.S.C . 5325(a),
(2) The prohibition against exclusionary or discriminatory specifications in its
procurements under 49 U.S.C. 5323(h),
(3) "Buy America" under 49 U.S.C. 53230),
(4) Applieable pre-award and post:.delivery requirements rif 49 u.s .c. 5323(m),
(5) Applicable railcar option restrictions of 49 U.S.C. 5325{e), and
(6) "Veterans Preference/Employment" under 49 U.S.C. 5325(k),
e. It will comply with other applicable requirements under 49 U.S.C. 5323 and 5325,
f. It has complied or will comply with the requirements of former 49 U.S.C.
5307(c). Specifically, it:
(1) Has made or will make available to the public information on the amounts
available for the Parks Program, former 49 U.S '.C. 5320, and the Projects it
proposes to undertake,
(2) Has developed or will develop, in consultation with interested parties,
including private transportation providers, Projects to be financed,
(3) Has published or will publish a list of proposed Projects in a way that
affected citizens, private transportation providers , and local elected officials
have the opportunity to examine the proposed Projects and submit comments
on the proposed Projects and its performance,
( 4) Has provided or will provide an opportunity for a public hearing to obtain the
views of citizens on the proposed Projects,
(5) Has considered or will consider the comments and views received, especially
those of private transportation providers, in preparing its final list of Projects,
and
(6) Has made or will make the final list of Projects available to the public,
g. It:
(I) Has or will have the amount of funds required for the local share,
(2) Will provide the local share funds from sources approved by FT A, and
(3) Will provide the local share funds when needed,
h. It has complied or will comply with, and will require each Subrecipient to comply
with, 49 U.S.C. 5303 and 5304, and
i. It has a locally developed process to solicit and consider public comment before:
(1) Raising a fare, or
(2) Implementing a major reduction of public transportation.
GROUP 21. STATE SAFETY OVERSIGHT GRANT PROGRAM.
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FTA FISCAL YEAR 2014 CERTIFICATIONS AND ASSURANCES
Before FTA may provide funding/or your Applicant's Project under the State Safety
Oversight Grant Program, 49 U.S.C. 5329(e), as amended by MAP-21, In addition to
other Certifications and Assurances you must select on its behalf, you must also select the
Certifications in Group 21, except as FTA may determine otherwise in writing.
Your Applicant is ultimately responsible for compliance with the Certifications and
Assurances selected on its behalf that apply to its Project, itself, any Subrecipient, or
other Third Party Participant in its Project, except as FTA determines otherwise in
writing. For this reason, we strongly encourage your Applicant to take appropriate
measures, including, but not limited to, obtaining sufficient documentation from each
Subrecipient and other Third Party Participants to assure the validity of the applicable
Certifications and Assurances selected on behalf of your Applicant.
Any provision of the Certifications in Group 21 that does not apply will not be enforced
On behalf of your Applicant, you certify that:
1. It has or wilJ have the following to carry out its proposed Project(s), including the
safety and security aspects of its proposed Project(s):
a. Legal capacity,
b. Financial capacity, and
c. Technical capacity,
2. It has or will have satisfactory continuing control over the use of Project equipment
and facilities,
3. It will maintain its Project equipment and facilities adequately,
4. When carrying out a procurement for its Project, it will comply with the:
a. The Uniform Administrative Requirements for Grants and Cooperative
Agreements to States and Local Governments, 49 C.F.R part 18,
b. General Provisions of 49 U.S.C. 5323, and
c. Third Party Contract Requirements of 49 U.S.C. 5325,
5. As required by 49 U.S.C. 5329(e)(6)(C), it:
a. Has or will have the amount of funds required for the local share,
b. Will provide the local share funds only from sources approved by FTA, and will
not be met by:
(1) Any Federal funds,
(2) Any funds received from a public transportation agency, or
(3) Any revenues earned by a public transportation agency, and
c. Will provide the local share funds when needed,
6. It meets the applicable requirements of 49 C.F.R. part 659, Rail Fixed Guideway
Systems: State Safety Oversight, and
7. It has received or will receive an FTA certification upon a determination that its State
Safety Oversight Program meets the requirements of 49 U.S.C. 5329(e) and is
adequate to promote the purposes of 49 U.S.C. 5329.
GROUP 22. PUBLIC TRANSPORTATION EMERGENCY RELIEF PROGRAM •
FT A FISCAL YEAR 2014 CERTIFICATIONS AND ASSURANCES
Before FTA may provide funding for your Applicant's Project under the Public
Transportation Emergency Relief Program, 49 US.C. 5324, as amended by MAP-21, in
addition to other Certifications and Assurances you must select on its behalf. you must
also select the Assurance in Group 22, except as FTA may determine otherwise in
writing.
Your Applicant is ultimately responsible for comp/ia~ce with the Assu_rances sel~cled on
its behalf that apply to its Project, itself. any Subrecipienl, or other Third Party
Participant in its Project, except as FTA determines otherwise in writing. For this
reason, we strongly encourage your Applicant to take appropriate measures, including,
but not limited to, obtaining sufficient documentation.from each Subrecipient and other
Third Party Participants to aisure the validity of the applicable Certifications and
Assurances seleCled 'on behalfofyaui Applicant. ,
Any provision of the Assurance in Group 22 that does not apply will not be enforced
As required by 49 U.S.C. 5324(d), on behalf of your Applicant, you assure that it will
comply with the requirements of the Certifications and Assurances as FT A determines
will apply to an Applicant for funding appropriated or made available for the Public
Transportation Emergency Relief Program.
GROUP 23. EXPEDITED PROJECT DELIVERY PILOT PROGRAM.
Before FTA may providefundingfor your Applicant's Project under the Expedited
Project Delivery Pilot Program, section 20008(b)(5)(D) of MAP-21, in addition to other
Certifications and Assurances you must select on its behalf. you must also select the
Certification in Group 23, except as FTA may determine otherwise in writing.
Your Applicant is ultimately responsible for compliance with the Certifications and
Assurances selected on its behalf that apply to its Project, itself. any Subrecipient, or
other Third Party Participant in its Project, except as FTA determines otherwise in
writing. For this reason, we strongly encourage your Applicant to take appropriate
measures, including, but not limited to, obtaining sufficient documentation.from each
Subrecipienl and other Third Party Participants to assure the validity of the applicable
Certifications and Assurances selected on behalf of your Applicant.
To the extent that the Certification in Group 23 does not apply, it will not be enforced
On behalf of your Applicant, you certify that its existing public transportation system or
the public transportation system that is the subject of the Project is in a state of good
repair, as required by section 20008(b)(5)(D) of MAP-21.
GROUP 24. INFRASTRUCTURE FINANCE PROGRAMS.
The Certifications in Group 24 apply to the following programs:
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FTA FISCAL YEAR 2014 CERTIFICATIONS AND ASSURANCES
24.A. The Transportation Infrastructure Finance and Innovation Act (I/FIA) Program,
23 US.C. 601-609, except as superseded by MAP-21 cross-cutting requirements
that apply, and
24.B. The State Infrastructure Banks (SIB) Program, 23 US.C. 610, except as
superseded by MAP-21 cross-cutting requirements that apply.
Before FTA may provide credit assistance under TJFJAfor your Applicant's Project or
funding for your Applicant to deposit in a SIB, in addition to other Certifications and
Assurances you must select on your Applicant's behalf. you must also select the
Certifications in Group 24, except as FTA may determine otherwise in writing.
Your Applicant is ultimately responsible for compliance with the Certifications and
Assurances selected on its behalf that apply to its Project, itself. any Subrecipient, or
other Third Party Participant in its Project, except as FTA determines otherwise in
writing. For this reason, we strongly encourage your Applicant to take appropriate
measures, including, but not limited to, obtaining sufficient documentation from each
Subrecipienl and other Third Party Participants to assure the validity of the applicable
Certifications and Assurances selected on behalf of your Applicant.
Any provision of the Certifications and Assurances in Group 24 that does not apply will
not be enforced
24.A. Transportation Infrastructure Finance and Innovation Act (flFIA)
Program.
If your Applicant seeks FTAfundingfor its Project under the TIFIA Program, the
Certifications and Assurances in Group 24.A applies to your Applicant, except as FTA
determines otherwise in writing.
On behalf of your Applicant, you certify and assure, as required by 49 U.S.C. 5323(0),
that Federal transit laws, specifically 49 U.S.C. 5307, 49 U.S.C. 5309, and 49 U.S.C.
5337, apply to any Project under 49 U.S.C. chapter 53 that receives TIFIA credit
assistance under 23 U.S.C. 601-609.
1. To comply with 49 U.S.C. 5307, specifically 49 U.S.C. 5307(d)(l), on its behalf, you
certify that:
a. It has or will have the following to carry out its proposed Project(s), including the
safety and security aspects of its proposed Project(s):
(1) Legal capacity,
(2) Financial capacity, and
(3) Technical capacity,
b. It has or will have satisfactory continuing control over the use of Project
equipment and facilities,
c. It will maintain its Project equipment and facilities adequately,
d. It will ensure that when, during non-peak hours for transportation using or
involving a facility or equipment of a TIFIA-financed Project, a fare that is not
FT A FISCAL YEAR 2014 CERTIFICATIONS AND ASSURANCES
more than fifty (50) percent of the peak hour fare will be charged to the following
individuals:
(1) A senior,
(2) An individual who, because of illness, injury, age, congenital malfunction, or
other incapacity or temporary or permanent disability (including an
individual who is a wheelchair user or has semi-ambulatory capability),
cannot use a pµblic transportation service or a public transportation facility
effectively without special facilities, planning, or design, or
(3} Any individual presenting a Medicare card issued to that individual under
title II of the Social Security Act (42 U.S.C. 401 et seq.), and
(4) Any individual presenting a Medicare card issued to that individual under
title XVIII of the Social Security Act (42 U.S.C. 1395 et seq.),
e. When carrying out a TIFIA:-furided proctirement, itwill comply with:
(1) 49 U.S.C. 5323, and
(2) 49 u.s.c. 5325,
f. It has complied with or will comply with 49 U.S.C. 5307(b), because it:
( 1) Has made or will make available to the public information on amounts of its
TIFIA funding request( s),
(2) Has developed or will develop, in consultation with interested parties,
including private transportation providers, a proposed Program of Projects
for activities to be funded,
(3) Has published or will publish a Program of Projects in a way that affected
individuals, private transportation providers, and local elected officials will
have an opportunity to examine and submit comments on the proposed
Program of Projects and its performance as an Applicant or Recipient,
( 4) Has provided or will provide an opportunity for a public hearing to obtain the
views of individuals on the proposed Program of Projects,
(5) Has ensured or will ensure that the proposed Program of Projects provides
for coordination of public transportation services funded by FT A under 49
U.S.C. 5336 and U.S. DOT under TIFIA with federally funded transportation
services supported by other United States Government sources,
( 6) Has considered or will consider the comments and views received, especially
those of private transportation providers, in preparing its final Program of
Projects, and
(7) Has made or will make the final Program of Projects available to the public,
g. It:
(1) Has or will have at least (twenty) 20 percent of the TIFIA net Project costs
required for the local share,
(2) Will provide the local share funds from sources approved by FT A, and
(3) Will provide the local share funds when needed,
h. It will comply with:
(1) The Metropolitan Transportation Planning requirements of 49 U.S.C. 5303,
and
(2) The Statewide and Nonrnetropolitan Planning requirements of 49 U.S.C.
5304,
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FT A FISCAL YEAR 2014 CERTIFICATIONS AND ASSURANCES
i. It has a locally developed process to solicit and consider public comment before:
(1) Raising a fare, or
(2) Implementing a major reduction of public transportation, and
J· It will comply with the final Federal regulations, when issued, that implement the
safety plan requirements of 49 U.S.C. § 5329(d),
2. To comply with the interest and financing costs restrictions of 49 U.S.C. chapter 53, it
agrees that it will not seek reimbursement for interest and other financing costs
incurred in coruiection with its Project that must be in compliance with those
requirements unless:
a. It is eligible to receive Federal funding for those expenses, and
b. Its records demonstrate that it has used reasonable diligence in seeking the most
favorable financing terms underlying those costs, to the extent FT A may require.
3. It will comply with Title VI of the Civil Rights Act of1964 (42 U.S.C. 2000d et seq.)
4. The National Environmental Policy Act of 1969 (NEPA), 42 U.S.C. 5321 et seq., and
will receive an environmental categorical exclusion, a finding of no significant
impact, or a record of decision under NEPA for its Project prior to obligation of
funds, and
5. It agrees that it will adopt a transit asset management plan that complies with
regulations implementing 49 U.S.C. 5326(d), when required.
24.B. State Infrastructure Banks (SIB) Program .
If your Applicant is a State and seeks FTA/unding under the SIB Program to deposit in
its SIB, the Certifications and Assurances in Group 24.B applies to your State and its
Project, except as FT A de/ermines otherwise in writing.
On behalf of the State organization serving as your Applicant for funding for its SIB
Program, you certify and assure that:
1. It will comply with the following applicabJe Federal Jaws establishing the various SIB
programs since 1995:
a. 23 U.S.C. 610, as amended by MAP-21,
b. 23 U.S.C. 610 or its predecessor before MAP-21 was signed into law,
c. Section 1511 ofTEA-21, 23 U.S.C. 181 note, or
d. Section 350 of the National Highway System Designation Act of 1995, as
amended, 23 U.S.C. 181,
2. It will comply with or follow the Cooperative Agreement establishing the State's SIB
program between:
a. It and FHW A, FRA, and FT A, or
b. It and FHW A and FT A,
3. It will comply with or follow the Grant Agreement that provides FTA funding for the
SIB and is between it and FT A, including the FT A Master Agreement, which is
incorporated by reference into the Grant Agreement, except that any provision of the
FT A Master Agreement incorporated by reference into that Grant Agreement will not
apply if it conflicts with any provision of:
a. 23 U.S.C. 610, as amended by MAP-21,
Ff A FISCAL YEAR 2014 CERTIFICATIONS AND ASSURANCES
b. 23 U.S.C. 610 or its predecessor before MAP-21 was signed into law,
c. Section 1511 ofTEA-21, 23 U.S.C. 181 note, or section 350 of the National
Highway System Designation Act of 1995, as amended, 23 U.S.C. 181 note,
d. Federal guidance pertaining to the SIB Program,
e. The Cooperative Agreement establishing the State's SIB Program, or
f. The Ff A Grant Agreement,
4. As required by 49 U.S.C. 5323(0), Fed~ral transit h1ws, sp(!cifically 49 U.S.C. 5307,
49 U.S.C. 5309, and 49 U.S.C. 5337, as amended by MAP-21, apply to any Project
under 49 U.S.C. chapter 53 that receives SIB support or financing under 23 U.S.C.
610 (or any support from 23 U.S.C. 601 -609),
5. As required by 49 U.S.C. 5323(0) and 49 U.S.C. 5307(d)(l):
a. It has or will have the following to carry out its proposed Project(s), including the
safety and security aspects of those propo5ed Project(s):
(1) Legal capacity,
(2) Financial capacity, and
(3) Technical capacity,
b. It has or will have satisfactory continuing control over the use of Project
equipment and facilities,
c. It will maintain its Project equipment and facilities adequately,
d. It will ensure that when, during non·peak hours for transportation using or
involving a facility or equipment of a SIB-financed Project, a fare that is not more
than fifty (50) percent of the peak hour fare will be charged to the following
individuals:
( l) A senior,
(2) An individual who, because of illness, injury, age, congenital malfunction, or
other incapacity or temporary or pennanent disability (including an
individual who is a wheelchair user or has semi-ambulatory capability),
cannot use a public transportation service or a public transportation facility
effectively without special facilities, planning, or design,
(3) An individual presenting a Medicare card issued to that individual under
title II of the Social Security Act (42 U.S.C. 401 et seq.), or
(4) An individual presenting a Medicare card issued to that individual under
title XVIII of the Social Security Act (42 U.S.C. 1395 et seq.),
e. When carrying out a procurement under a SIB-financed Project, it will comply
with the:
(1) General Provisions of 49 U.S.C. 5323, and
(2) Third Party Contract Provisions of 49 U.S.C. 5325,
f. It has complied with or will comply with 49 U.S.C. 5307(b), because it:
(I) Has made or will make available to the public infonnation on amounts of its
funding requested under the SIB program,
(2) Has developed or will develop, in consultation with interested parties,
including private transportation providers, a proposed Program of Projects
for activities to be funded,
(3) Has published or will publish a Program of Projects in a way that affected
individuals, private transportation providers, and local elected officials will
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FTA FISCAL YEAR 2014 CERTIFICATIONS AND ASSURANCES
FEDERAL FISCAL YEAR 2014 CERTIFICATIONS AND ASSURANCES FOR
FEDERAL TRANSIT ADMINISTRATION ASSISTANCE PROGRAMS
(Signature page alternative to providing Certifications and Assurances in TEAM-Web)
Name of Applk:ant: _(:1 ~ i u{ f 1115 It?.-'& c; 0 d, I (_ 0111 v-c,, Jtl
The Applicant agrees to comply with applicable provisions of Groups 01-24. __
OR
The Applicant aarees to comply with applicable provisions of the Groups It has selected:
!!w.11.
01.
02 .
03.
04 .
OS.
06.
07.
08.
09.
10.
11.
12.
13 .
14.
IS.
16.
17.
18.
19.
20.
21.
22.
23.
24 .
Description
Required Certifications and Assurances for Each Applicant.
Lobbying.
Procurement and Procurement Systems .
Private Sector Protections .
Rolling Stock Reviews and Bus Testing.
Demand Responsive Service.
Intelligent Transportation Systems.
Interest and Financing Costs and Acquisition of Capital Assets by Lease.
Transit Asset Management Plan and Public Transportation Agency Safety Plan .
Alcohol and Controlled Substances Testing.
Fixed Guideway Capital Investment Grants Program (New Starts, Small Starts, and Core
Capacity) and Capital Investment Program in Effect before MAP-21.
State of Good Repair Program.
Fixed Ouidcway Modernization Grant Program.
Bus and Bus Facilities Formula Grants Program and Bus and Bus Related Equipment and
facilities Grant Program (Discretionary).
Urbanized Area Fonnula Grants Programs, Passenger Feny Grants Program. and Job Access
and Reverse Commute (JARC) Program .
Seniors/Elderly/Individuals with Disabilities Programs and New Freedom Program.
Rural/Other Than Urbanized Areas/ Appalachian Development/Over-the-Road Bus
Accessibility Programs.
Public Transportation on Indian Reservations Programs (also known as the Tribal Transit
Programs).
Low or No Emission/Clean Fuels Grant Programs.
Paul S. Sarbanes Transit in Parks Program.
State Safety Oversight Program .
Public Transportation Emergency Relief Program.
Expedited Project Delivery Pilot Program.
Infrastructure Finance Programs.
Ff A FISCAL YEAR 2014 CERTIFICATIONS AND ASSURANCES
have an opportunity to examine and submit comments on the proposed
Program of Projects and its perfonnance as an Applicant or Recipient,
( 4) Has provided or will provide an opportunity for a public hearing to obtain the
views of individuals on the proposed Program of Projects,
( 5) Has ensured or will ensure that the proposed Program of Projects provide for
coordination of public transportation services funded by FT A under
49 U.S.C. 5336 and the SIB Program with federally funded transportation
services supported by other United States Government sources,
(6) Has considered or will consider the comments and views received, especially
those of private transportation providers, in preparing its final Program of
Projects, and
(7)
g. It:
(1)
Has made or will make the final Program of Projects available to the public,
.. ,.. ... ., , .. ' .,, "• .
Has or will have the amount of funds required for the local share by the SIB
Program , but not less than twenty-five (25) percent of each capitalization
grant,
(2) Will provide the local share funds from sources approved by FT A, and
(3) Will provide the local share funds when needed,
h. It will comply with the :
(1) The Metropolitan Transportation Planning requirements of 49 U.S.C . 5303,
and
(2) The Statewide and Nonmetropolitan Planning requirements of 49 U.S .C.
5304,
1. It has a locally developed process to solicit and consider public comment before:
(1) Raising a fare, or
(2) Implementing a major reduction of public transportation, and
j. It will comply with the final Federal regulations, when issued, that implement the
safety plan requirements of 49 U.S.C. § 5329(d),
2. As required by 49 U.S.C. chapter 53, it certifies that it will not seek reimbursement
for interest and other financing costs incurred in connection with its Project unless:
a. It is eligible to receive Federal funding for those expenses, and
b. Its records demonstrate that it has used reasonable diligence in seeking the most
favorable financing terms underlying those costs, to the extent FT A may require,
and
3. It agrees that it will adopt a transit asset management plan that complies with
regulations implementing 49 U.S .C. 5326(d).
Selection and Signature Page(s) follow.
• •
•
•
• •
•
•
Ff A FISCAL YEAR 2014 CERTIFICATIONS AND ASSURANCES
FEDERAL FISCAL YEAR 2014 FTA CERTIFICATIONS AND ASSURANCES SIGNATURE PAGE;
CRcguired of all Apoljcants for ffA funding and all fTA Grantees with an actjvc C!lllital or Fonnula Project>
AFFIRMATION OF APPLICANT
Name of the Applicant: c I r i al £ ,,} {~ 00 cJ I C:J (j v-4,J Q
Name and Relationship of the Authorized Representative : __,_g_,_,.,u,_...,...:.1(,""'(-l'/'---'f'-'-. -"-A..;;;e_.,.,_""-'-..,.,•__,_M ... · -"-"/J...,/;r.......,ac:.-----
BY SIGNING BELOW, on behalfofthe Applicant, I declare that it has duly authorized me to ma.kc these
Certifications and Assurances and bind its compliance. Thus, It agrees to comply with all Federal statutes and
regulations, and follow applicable Federal guidance, and comply with the Certifications and Assurances as indicated on
the foregoing page applicable to each application its Authorized Representative makes to the Federal Transit
Administration (FTA) in Federal Fiscal Vear 2014, irrespective of whether the individual that acted on his or her
Applicant's behalf continues to represent it.
FT A intends that the Certifications and Assurances the Applicant selects on the other side of this document should
apply to each Project for which it seeks now, or may later seek FTA funding during Federal Fiscal Year 2014.
The Applicant affirms the truthfulness nnd accuracy of the Certifications and Assurances it has selected in the
statements submitted with this document and any olher submission made to FT A, and acknowledges that the Program
Fraud Civil Remedies Act of 1986, 31 U.S.C. 3801 et seq., and implementing U.S. DOT regulations, "Program Fraud
Civil Remedies," 49 CFR part 31, apply to any certification, assurance or submission made to f[ A. The criminal
provisions of 18 U.S.C. 1001 apply to any certification, assurance, or submission made in connection with a Federal
public transportation program authorized by 49 U.S.C. chapter 53 or any other statute
In signing this document, I declare under penalties of perjury that the foregoing Certifications and Assurances, and any
other statements made by me on behalf of the Applicant arc true and accurate.
Date: -----
Name·--------------------------
Authorized Representative of Applicant
AFFIRMATION OF APPLICANT'S A TIORNEV
For (Name of Applicant):----------------------------
As the undersigned Attorney for the above named Applicant, I hereby affirm to the Applicant that it has authority under
State, local, or tribal government law, as applicable, to make and comply with the Certifications and Assurances as
indicated on the foregoing pages. I further affirm that, in my opinion, the Certifications and Assurances have been
legally made and constitute legal and binding obllgatlons on it
I further affirm that, to the best of my knowledge, there is no legislation or litigation pending or Imminent that might
adversc:ly affect the validity of these Certifications and Assurances, or of the perfonnance of its FTA Project or
Projects.
Signature ______________________ _ Date: -------
Name ________________________ _
Attorney for Applicant
Each Applicant for FT A funding and each FT A Grantee with an nctive Capital or Formula Project must provide an
Affirmation of Applicant's Attorney pertaining to the Applicant's legal capacity. The Applicant may enter its signature
in lieu of the Attorney's signature, provided the Applicant has on file this Affirmation, signed by the attorney and dated
this Federal fiscal year .
• •
•
•
SCHEDULE C
COPIES OF DBE ENCLOSURES
• •
•
•
APPENDIX B-DBE ENCLOSURES
Enclosure ta-DBE AFFIDAVIT
THIS PAGE MUST BE COMPLETED BY ALL PRIME PROPOSERS/BIDDERS TO
INDICATE THE PERCENTAGE OF DISADVANTAGED BUSINESS ENTERPRISE
PARTICIPATION.
The undersigned contractor hereby agrees that the goal established for DBE participation and its
commitment in this project through subcontracting or entering into a joint venture with Disadvantaged
Business Enterprise(s) in conformity with the Requirements, Terms, and Conditions of this Attachment is:
___ 1_2_% -DBE (Disadvantaged Business Enterprise)
THIS PERCENTAGE RELATES TO DBE SUBCONTRACTING ONLY AND IS CONSISTENT WITH THE
DISADVANTAGED BUSINESS ENTERPRISE STATEMENT LISTED IN THE BID/PROPOSAL FORM .
THIS BIDDER/PROPOSER IS COMMITED TO COMPLY WITH OR EXCEED THE ABOVE GOAL.
Business Name: Felsburg Holt & Ullevig
Contact Name : Elliot Sulsl<Y _,....__,_,, __ .._--,..,..__,.--....,,....,,,..,,._--------------------------------Address: 6300 South Syracuse Way, Suite 600
City, State, ZIP : Centennial, cO 80111
Phone: 303-721-1440 Fax: 303-721-0832 ----------------------------1 DO SOLEMNLY DECLARE AND AFFIRM UNDER THE PENAL TIES OF PERJURY THAT THE
CONTENTS OF THE FOREGOING STATEMENTS ARE TRUE AND CORRECT, AND THAT I AM
AUTHORIZED, ON BEHALF OF
--'-F_el..;...sb_u_.rg_H..;...olt_&_U_ll_ev_i_g _______ TO MAKE TiilS AFFIDAVIT.
STACEY ROTH FREITAG
NOTARY PUBLIC
STATE OF COLORADO
l.tY COM:.g:i~:~1~1;::~~4:::~:= 01 20,4
Principal
(Title)
111
• •
•
•
APPENDIX B-DBE ENCLOSURES
ENCWSURE 2-SCHEDULE OF [DBE] PARTICIPATION
NAME OF CONTRACTOR: [•] Felsburg Holt & Ullevig
RTD Contract No. RFP No. RFP-14-014
T t I P d C t US$ 289 876 oa ropose OS: ' DBE TYPE OF WORK
FIRM NAME (ELECTRICAL, PAVING,
ETC .)
AND CONTRACT ITEMS
OR PART THEREOF TO
BE PERFORMED
Arland Land Use Economics Real Estate Feasibility Analysis/Marketir g
Bachman PR Public lnvolvE{!]ent
Toole Design Group Bicycle/Pedestrian planning and design
PROJECTED
START &
COMPLETION
DATES FOR
DBE
October 2014
October 2014
October 2014
AGREED PRICE
TO BE PAID TO
DBE
$20,000
$27,750
$28,806
1. Please list all DB Es involved on the contract including the Prime Contractor if it is a
DBE. DBE must be certified in area of work specified on project; work performed for
which they are not certified to perform will not count towards goal. A current DBE
certification for each listed DBE must accompany this enclosure. Failure to provide
proof of current DBE certification for any or all listed DBEs will eliminate such listed
DBE's participation, and work performed by such DBE will not count towards
satisfaction of the DBE Goal. If additional pages are required to list all contracted DBE,
photocopy this enclosure as required to make a complete list.
2 . Contracts with DBEs for materials or supplies will be counted toward the DBE Goal as
follows:
(i) materials or supplies obtained from a DBE manufacturer will be counted at 100% toward
the DBE Goal; and
(ii) materials or supplies obtained from a DBE regular dealer will be counted at 60% toward
the DBE Goals. Please refer to 49 CFR §26.55 for specifics with respect to how DBE
participation is counted toward DBE Goal.
3. Contractor must submit copies of all DBE subcontracts, purchase orders or change orders
within 30 Days of execution of the notice to proceed. Failure to submit will result in a
determination that no DBE participation credit shall a DBE work on the project or provide
equipment, materials or supplies for DBE participation credit without an executed subcontract
agreement or purchase order. 113
•
•
June 6 , 2014
Arleen Taniwaki
Arland , LLC OBA Arland Land Use Economics
2200 S . Clarkson St.
Denver, CO 80210
Dear Arleen Taniwaki :
Office of Economic Development
Division of Small Business Opportunity
201 W Colfa x Ave, Dept 907
De nver , CO 80202
p: 720.913.1999
f: 720.913.1809
www .de nver gov .org/dsb o
Denver International Airport
Airport Office Building, Suite 7810
8500 Pena Blvd
Denver , CO 80249
p: 303.342-2180
f : 303.342.2190
www .flydenver .com
The D ivision of Small Business Opportunity is pleased to inform you that Arland , LLC OBA Arland Land Use Economics is certified as a
Disadvantaged Business Enterprise (DBE) pursuant to the US Department of Transportation 's Regulation 49 CFR Part 26 . Your firm will be
listed on the Colorado Unified Certification Program 's (UCP) on -line directory of eligible DBEs at www.coloradodbe.org .
A rland , LLC OBA Arland Land Use Economics is el ig ible to participate as a DBE on US Department of Transportat ion financially-assisted
projects in Colorado in the work codes appearing as part of your firm 's listing on the directory as eligible to be counted toward DBE
participation . It is your responsibility to manage your firm 's work codes to ensure they are correct.
CO UCP NAICS-541320: URBAN PLANNING SERVICES
CO UCP NAICS-541613 : MARKETING CONSULTING SERVICES
CO UCP NAICS-541614 : TRANSPORTATION MANAGEMENT CONSULTING SERVICES
CO UCP NAICS-541690: ECONOMIC CONSUL TING SERVICES
The anniversary date of your firm 's DBE certification is March 11 , 2015 . You will be notified prior to the anniversary date that eligibility must be
re -evaluated . However, if you do not receive notification from this office, it is your responsibil ity to contact us. Pursuant to 49 CFR 26.83(i),
submittal of this information is required to ensure that there is no interruption of your firm's status as a certified DBE. If any changes occur in
the firm 's legal structure , ownership , management, control , or work performed , you must notify the division immed iately.
Sincerely,
~41~
Chris Martinez
Director
CM/je
FOR CITY SERVICES VISIT I CALL
DenverGov.org 311
Jp•+ .... ~.-. .. ,.-.. vA.™7A'+":':"A°eAi.,-~'t°7A+:"f~~~· .......... , ..... ?°4::.-:"'~+:=°'A'rtA.....,.,."(W~,&..,.... .... ~L
·i·-,(~ Lisa Bach~an ~R Group LLC ~lrn
,Ill~ Certification #8619 ~Ill
(~ Is fiere6y certified as a <Disad:vantagea tJ3usiness P.ntetprise pursuant to V.S. (])epartment of ~I . I~ <Iranspo~ation <IXJ3<£, re9ufations found at 49 CPCJ{. Cl'arts 23 and 26 and affmini.stered fry ~IW
: llJ~ Coforaao s VCrP. ~I
lr ·-___ " . _ Work Codes ~,
•~ ..• -·::Oij~Vf;ij~~102:,ADVERTISING/PUBLIC RELATIONS/MARKETINGlGRA~HICS -.· · ~--•. -If ' '· :.>---<-.· '·,.' 9-~~!if~-513: PUBLIC INVOLVEMENT AN~:HEA~t~GS '" . :fl"''
1111r ;~ ,,-..• :;~-:--~to: DBE August 11, 2011 ~,AUll'JSf 10, 201:3 , :~
It~ '_' ;, .. -., -.--·-_ ------·ti
t . . : 1 l · . , irzlt_cert~t§wxpires on tfif 4.q• day of Jtugust, 2013. fl new ~ ... t ,\ ·· ~,? ·: }' : a;rtifjq~tf~~fk-,bej issued endi~n t;11er.J . 3rd jear, · upon suc~ejefuC(y ~II I r \( ]"'' '7f~.11f:Jf9 ar;;~~~~renewaf require~ei~· ' .~~
~ \' ·. ·, ~\,:" .;i -~ .q'. ' .~ ''"""/'',. _// . "'' .. ·~1 f j 1 ~ --.-.-,,:-_~~·-L"_~~":~ _(, -'-:' .. ,_. ' -; 1
~ .-~· ~~,t~f -, '>. , -' .' _, ~1'.1 :
~ ,, 8 12 '2011 ~' ~ <Iame{a Lee, CJJirector----' CJJate ~I. ~· -,, _ _.-.,, --VOP <Partner at City and County of <Den·ver ~I( t .· ~
t~ :y_.,.._ .... ...;..._ ... _ .... ....;..._...,._.,-..;.;.. .... _ ... ...:.... .... _,,...;;;... ... _ .... ....;,;;._...,._.,......;..;.. ... ....;....y,._.,.._ ... _ ... ....;.;.., ..... _ .... _ .... _ .... _ .... ~ .... -·;,:J' ~ ............. ...._..~_ ......... _ ........... _.._.,,._.....,. ........... ~_ ................................ _........._~..-.~ ............................ _.....-.._.........__........_._............_.....--..._...._... .......... _ .......... ,,,,_.....
• Office of Economic Development
Division of Small Business Opportunity
_1:~ DENVER 11111' THE MILE HIGH CITY
201 W Colfax Ave, Dept 907
Denver, CO 80202
p: 720.913.1999
f: 720.913.1809
www.denvergov,org/dsbo
•
•
July 1, 2013
Jennifer Toole
Toole Design Group, LLC
8484 Georgia Ave, Suite 800
Silver Spring, MD 2091 O
Dear Jennifer Toole:
Denver International Airport
Airport Office Building, Suite 7810
8500 Pena Blvd
Denver, CO 80249
p: 303.342-2180
f: 303.342.2190
www flydenver.com
The Division of Small Business Opportunity is pleased to inform you that Toole Design Group, LLC is certified as
a Disadvantaged Business Enterprise (DBE) pursuant to the US Department of Transportation's Regulation 49
CFR Part 26. Your firm will be listed on the Colorado Unified Certification Program's (UCP) on-line directory of
eligible DBEs at www.coloradodbe.org .
Toole Design Group, LLC is eligible to participate as a DBE on US Department of Transportation financially-
assisted projects in Colorado in the work codes appearing as part of your firm's listing on the directory as eligible
to be counted toward DBE participation. It is your responsibility to manage your firm's work codes to ensure they
are correct.
CO UCP NAICS-541320: URBAN PLANNING SERVICES
CO UCP NAICS-541330: TRAFFIC ENGINEERING CONSULTING SERVICES
CO UCP NAICS-541611: ADMINISTRATIVE AND GENERAL MANAGEMENT CONSULTING SERVICES
CO UCP NAICS-541614: TRANSPORTATION MANAGEMENT CONSULTING SERVICES
CO UCP NAICS-541990: SCIENTIFIC AND TECHNICAL SERVICES
The anniversary date of your firm's DBE certification is June 26, 2014 . You will be notified prior to !fie anniversary
date that eligibility must be re-evaluated . However, if you do not receive notification from this office, it is your
responsibility to contact us. Pursuant to 49 CFR 26 .83(i), submittal of this inforr;liation is required to ensure that
there is no interruption of your firm's status as a certified DBE. If any changes occur in the firm's legal structure,
ownership, management, control, or work performed, you must notify the division immediately.
Sincerely,
~AV(~
Chris Martinez
Director
CM/vy
FOR CITY SERVICES VISIT I CAU
OenverGov.org 311
• APPENDIX B, ENCLOSURE 3 -LETTER OF INTENT TO PERFORM AS A DBE SUBCONTRACTOR
• Contract No.
The undersigned (Felsburg Holt & Ullevig] (the Contractor, intends to engage the
undersigned DBE to perfonn work in connection with the Project pursuant to a contract
(the DBE Contract) between the Contractor and the DBE as [check one]:
___ an individual _x __ a corporation (LLC)
___ a partnership a joint venture
The DBE status of the undersigned DBE is confirmed on the attached schedule of DBE
participation and represents a company that is certified as of the date on which the DBE
Contract is executed.
Item Projected Projected Agreed Price to be
Commencement Completion Date Paid to DBE
Date
Real Estate Feasibility October 1, 2014 To Be Determined $20,000
Analysis and
Marketino/lmplementation
% of the Dollar value of the DBE Contract will be sublet and/or awarded to non----• DBE contractors and/or non-DBE suppliers. The undersigned Proposer and the
undersigned DBE will enter into the DBE Contract for the above work conditioned upon
the Proposer's execution of the Contract with RTD.
Felsburg Holt & Ullevig
NAME OF CONTRACTOR
Elliot Sulsky .
OWNER/REPRESENTATIVE
6300 South Syracuse Way, Ste 600
ADDRESS
Principal 1-11-l'f
TITLE DATE
•
Arland llC OBA Arland Land Use Economics
NAME OF DBE FIRM
Arleen Taniwaki
OWNER/REPRESENTATIVE
1807 S. Pearl St., Denver, CO 80210
ADDRESS
Principal
TITLE DATE
115
•
•
June 6 , 2014
Arleen Taniwaki
Arland , LLC OBA Arland Land Use Economics
2200 S . Clarkson St.
Denver, CO 80210
Dear Arleen Taniwaki :
Office of Economic Development
Division of Small Business Opportunity
201 W Colfax Ave , Dept 907
Denver, CO 80202
p: 720.913.1999
f: 720.913.1809
www.denvergov.or g/dsbo
Denver International Airport
Airport Office Building, Suite 7810
8500 Pena Blvd
Denver, CO 80249
p: 303.342-2180
f : 303.342.2190
www.flyden ver.co m
The Division of Small Business Opportunity is pleased to infonm you that Arland, LLC OBA Arland Land Use Economics is certified as a
Disadvantaged Business Enterprise (DBE) pursuant to the US Department of Transportation 's Regulation 49 CFR Part 26. Your finm will be
listed on the Colorado Unified Certification Program's (UCP) on-line directory of eligible DBEs at www.coloradodbe .org .
Arland, LLC OBA Arland Land Use Economics is eligible to participate as a DBE on US Department of Transportation financially-assisted
projects in Colorado in the work codes appearing as part of your finm's listing on the directory as eligible to be counted toward DBE
participation . It is your responsibility to manage your finm 's work codes to ensure they are correct.
CO UCP NAICS-541320 : URBAN PLANNING SERVICES
CO UCP NAICS-541613 : MARKETING CONSULTING SERVICES
CO UCP NAICS-541614: TRANSPORTATION MANAGEMENT CONSULTING SERVICES
CO UCP NAICS-541690: ECONOMIC CONSULTING SERVICES
The anniversary date of your firm's DBE certification is March 11 , 2015 . You will be notified prior to the anniversary date that eligibility must be
re-evaluated. However, if you do not receive notification from this office , it is your responsibility to contact us . Pursuant to 49 CFR 26 .83(i),
submittal of this infonmation is required to ensure that there is no interruption of your finm's status as a certified DBE . If any changes occur in
the firm's legal structure, ownership , management, control, or work performed , you must notify the division immediately.
Sincerely,
~41~
Chris Martinez
Director
CM/je
FO R CITY SERVICES VISIT I CALL
DenverGov.org 311
• APP Elli DIX 8, E'.'ICLOSURE 3 -LETIF.ll OF ll'iTENT TO PERFORM AS A DBE SUBCONTRACTOR
• Contract No.
The undersigned [Felsburg Holt & Ullevig) (the Contractor) intends to engage the
undersigned DBE to perform work in connection with the Project pursuant to a contract
(the DBE Contract) between the Contractor and the DBE as [check one]:
J/C an individual ___ a corporation
---a partnership a joint venture
The DBE status of the undersigned DBE is confirmed on the attached schedule of DBE
participation and represents a company that is certified as of the date on which the DBE
Contract is executed.
Item
cy Coordination and I~ ~ munitv Enaaaement
-Projected I · Projected I Agreed Price to be l
' Commencement Completion Date Paid to DBE .
Date
October 1. 2014 To Be Detennined
~··--···---
..
___ D..._% of the Dollar value of the DBE Contract will be sublet and/or awarded to non-
DBE contractors and/or non-DBE suppliers. The undersigned Proposer and the
•
undersigned DBE will enter into the DBE Contract for the above work conditioned upon
the Proposer's execution of the Contract with RTO .
•
Felsburg Holt & Ullevig
NAME OF CONTRACTOR
Elliot Sulsky
OWNER/REPRESENTATIVE
6300 South Syracuse W~y. Ste 600
ADDRESS
elliot.sulsky@fhueng.com
E~°!/tJ __ _
SIG A URE
. Principal
TITLE
1-l)~_l'i __
DATE
I J .• L ()
_"'-;;.,,;.1 .....;:0;,_;:c-=-.~-1:::>-"'c_'-'C..¥'=-...;1~1~-"'--'--'-r__._R-_ 6 n~ a 11 .I. t.. t,
NAME OF DBE FIRM r•
r?G b01=a3ta . ('~!o . .Stiun~.s Y09o;
ADDRESS I I
i.'i~ @) ~0-<0iinc.2' i>r I ~
EMAIL ADDRESS 1
DATE
115
r~. -~....-+.:..'™"" ... ......., ....... ""'"7Jli..""i!"""f'-:...'+'7...._"7'""'..A..""4':'i7~:.:_"t'7',,A.~ ....... ...._-...._.......,:...........,..:::-:-:....·"'""'f4"F'}",,,.;_-z""1i......,... ...... '!:'"9•..,......,.•'t"'7-...._~I ·''""· . ,, -· . --.. ~----, .-.. .. 11..:::.~~;..... .... .. · .-...._., ---~.' .. "'-~--.. . '-~·-· ..-.. ·-~~
·~ ~-,, '
··~ a " .~ Certification #8619 ·~.:1~(11:
! ltl' '' ·~ Is fiere6y certified as a (J)isatfvantaned <Business 'E.nterprise pursuant to 'U.S. (J)epartment of ~I
~ 'Transportation ([XB'E. regufations founrf at 49 C'FCR., <Parts 23 anrf 26 anrf administemf 6y .:··.(1u ·
· ... ~ CoCoraao 1s VCrP. ~ · ·
~ .. , .. Work Codes ~· ~'4 J' ... ·· D~~)lf.~-!!0102:,AOVERTISINGIPUBLIC RELATIONSIMARKETING/.GRA~HICS ., . ~I . ll . _. --'': . : _--:~ --~-".· :~ >' QE~~l?~-513: PUBLIC INVOLVEMENT AND,HEAR,j~yS _ ~·. ,; , , :1111 .
dll~ ,. · __ ·· __ ·___ _ ~~i(,!C~!~~m __ ~9te: DBE August 11, 2011 .t·~,ugi},st 10, 2.01.~-. ~I
.1:111111 ( · ... ,_ .· -... . .. . ..... ,,... .. . .:I f ' -··-"';, ,, ·" -·· ·.' . 0 ,, .. ~·
I ~ · ·. l 'IfifS;certi}jf!tf/o}i! f~ires on tF!f .tOfli J'ay ojJfogust, 2013. fl new ~Jll
,, ~ , . ' c~rtijjcq,tf\"ff~#issued endi~g ~ry Jrrf yeq,r, upon SUCFt:f,efu{[y ~I
)·~ · ~1r1eett~9 a~lJP-,~f·renewa{ requirenie i:t~~ ~I ..
:.. . . .•; ; . ,.. . . . ~"' Ill.: . · · · Jf , · ~ · ·' :._ .· .'. ', .,: · · · -~I
.~ i ,I . ~~(II'
~ . ---~-·~ 8 12 '2011 ~~· ~ <Tamefa Lee, (J)irecto (])ate ~I "I~. . · ·.. . VC<P Partner at City anrf County of (J)enwr ~J,l I:
' J l~, ~-T-T_ ... _ .... ....;...T-·-·-~-T-•.a...Y-'Y....;...T-T....O..'Y....;...T....-...T-T,..,;,,.'Y~T-T-T,.-.,.-...;.T-T-•211 ~~ . ..-. .............. .---........_.....~ .. ......_...._ .................... , ................................................... .-.-...~ .............. ~ .............. ........-. ..................................... ......_......_ .......... _~_...---.
• •
•
•
APPENDIX B, ENCLOSURE 3 -LETTER OF INTENT TO PERFORM AS A DBE SUBCONTRACTOR
Contract No.
The undersigned [Felsburg Holt & Ullevig] (the Contractor) intends to engage the
undersigned DBE to perform work in connection with the Project pursuant to a contract
(the DBE Contract) between the Contractor and the DBE as [check one]:
___ an individual ___ a corporation
___ a partnership a joint venture _ ...... x_ a limited liability company
The DBE status of the undersigned DBE is confirmed on the attached schedule of DBE
participation and represents a company that is certified as of the date on which the DBE
Contract is executed.
Item Projected Projected Agreed Price to be
Commencement Completion Date Paid to DBE
Date
Alternatives Design October 1 , 2014 To Be Determined $28,806
<Protected Bikewav)
% of the Dollar value of the DBE Contract will be sublet and/or awarded to non----DBE contractors and/or non-DBE suppliers. The undersigned Proposer and the
undersigned DBE will enter into the DBE Contract for the above work conditioned upon
the Proposer's execution of the Contract with RTD.
Felsburg Holt & Ullevig
NAME OF CONTRACTOR
Elliot Sulsky
OWNER/REPRESENTATIVE
6300 South Syracuse Way, Ste 600
ADDRESS
Principia!
TITLE DATE
Toole Design Group, LLC
NAME OF DBE FIRM
Jennifer Toole, AICP, ASLA
OWNER/REPRESENTATIVE
1062 Delaware St, Denver, CO 80204
ADDRESS
jtoole@tooledesign.com
President, 7/16/14
TITLE DATE
115
•
•
•
•
DENVER
THE MILE HIGH CITY
July 1, 2013
Jennifer Toole
Toole Design Group, LLC
8484 Georgia Ave, Suite 800
Silver Spring, MD 2091 O
Dear Jennifer Toole:
Office of Economic Development
Division of Small Business Opportunity
201 W Colfax Ave, Dept 907
Denver, CO 80202
p: 720.913.1999
f : 720.913.1809
www.denvergov .org/dsbo
Denver International Airport
Airport Office Building, Suite 7810
8500 Pena Blvd
Denver, CO 80249
p: 303.342-2180
f : 303.342.2190
www,flydenyer com
The Division of Small Business Opportunity is pleased to inform you that Toole Design Group, LLC is certified as
a Disadvantaged Business Enterprise (DBE) pursuant to the US Department of Transportation's Regulation 49
CFR Part 26. Your firm will be listed on the Colorado Unified Certification Program's (UCP) on-line directory of
eligible DBEs at www.coloradodbe.org.
Toole Design Group, LLC is eligible to participate as a DBE on US Department of Transportation financially-
assisted projects in Colorado in the work codes appearing as part of your firm's listing on the directory as eligible
to be counted toward DBE participation . It is your responsibility to manage your firm's work codes to ensure they
are correct.
CO UCP NAICS-541320: URBAN PLANNING SERVICES
CO UCP NAICS-541330: TRAFFIC ENGINEERING CONSULTING SERVICES
CO UCP NAICS-541611 : ADMINISTRATIVE AND GENERAL MANAGEMENT CONSULTING SERVICES
CO UCP NAICS-541614: TRANSPORTATION MANAGEMENT CONSULTING SERVICES
CO UCP NAICS-541990: SCIENTIFIC AND TECHNICAL SERVICES
The anniversary date of your firm's DBE certification is June 26, 2014 . You will be notified prior to 1,he anniversary
date that eligibility must be re-evaluated. However, if you do not receive notification from this office, it is your
responsibility to contact us. Pursuant to 49 CFR 26 .83(i), submittal of this information is required to ensure that
there is no interruption of your firm's status as a certified DBE. If any changes occur in the firm's legal structure,
ownership, management, control, or work performed, you must notify the division immediately.
Sincerely,
tLAi?~
Chris Martinez
Director
CM/vy
FOR CITY SERVICES VISIT I CAU
DenverGov.org 311
• • • APPENDIX B, ENCLOSURE 4-SOLICITATION STATISTICS
RTD is required to create and maintain bidder statistics for all firms bidding on prime contracts and bidding or quoting Subcontracts on USDOT-
assisted projects per 49 CFR Part 26.11. The Contractor is required to make copies of this form, send a copy with its initial contact to each
Subcontractor (whether DBE or non-DBE) and require each Subcontractor to return a completed form with its Subcontract bid to the Contractor.
The Contractor must submit all completed forms with each submission of DBE Enclosures to the SBO.
Firm Name:
Firm Address (Office Reporting):
Status as a DBE or Non-DBE (check one):
RTD DBE Non-DBE x --
Annual Gross Receipts of the Finn: (check one):
U.S.$0 to U.S.$500,000 U.S.$500,000 to ~j:$1,000,000
U.S.$5 Million to U.S.$10 Million __ U.~.$JO Million)lru.S.$20.41 Million_x_
Age of the firm: 30 years
Signature: 'V" "'~ ... .,.. YI§
Name:
Title:
Date: ?-J/-/y
U.S.$1 Million to U.S.$5 Million __
Above U.S.$20.41 Million __
116
•
M=Male F = Femam-"
Job Categories Total Employees in
Establishment
Total Total Total Black Hispanic Native Asian-Subcontin Other ,
Employe Male Female American American American Pacific entAsian
es Employe Employe s s s American Americans
Including es es s
Minoritie Including Including M F M F M F M F M F M F
s Minoritie Minoritie
s s
Officials &
Managers 18 11 7 1 11 6
Professionals 53 34 19 34 19
Technicians 40 34 1 33 6 6
Sales
Office & Clerical 10 0 10 2 8
Craft Workers
(skilled)
Operatives
(semi-skilled)
Laborers
(unskilled)
Service Workers
TOTAL 121 79 42 1 3 78 39
117
• • •
APPENDIX B, ENCLOSURE 4-SOLICITATION STATISTICS
RTD is required to create and maintain bidder statistics for all firms bidding on prime contracts and bidding or quoting Subcontracts on USDOT-
assisted projects per 49 CFR Part 26.11. The Contractor is required to make copies of this form, send a copy with its initial contact to each
Subcontractor (whether DBE or non-DBE) and require each Subcontractor to return a completed form with its Subcontract bid to the Contractor.
The Contractor must submit all completed forms with each submission of DBE Enclosures to the SBO.
Firm Name: Arland LLC OBA Arland Land Use Economics
Firm Address (Office Reporting): 1807 S. Pearl St., Denver, CO 80210
Status as a DBE or Non-DBE (check one):
RTDDBE x Non-DBE __
Annual Gross Receipts of the Firm: (check one):
U.S.$0 to U.S.$500,000_x_ U.S.$500,000 to U.S.$1,000,000 __
U.S.$5 Million to U.S.$10 Million U.S.$10 Million to U .S.$20.41 Million
A_ge of the firm: 22 ye+B~ ~ 1 ~ --
Signature: ~ • Cd~
Name: Arleen Taniwaki
Title: M I p . . I anager nnc1pa
Date: July 10, 2014
U.S.$1 Million to U .S.$5 Million __
Above U.S.$20.41 Million __
116
-M=Male F =Female
Job Categories Total Employees in
Establishment
Total Total Total Black Hispanic Native Asian-Subcontin Other
Employe Male Female American American American Pacific ent Asian
es Employe Employe s s s American Americans
Including es es s
Minoritie Including Including M F M F M F M F M F M F
s Minoritie Minoritie
s s
Officials &
Managers 1 1 1
Professionals 2 1
Technicians
Sales
Office & Clerical
Craft Workers
(skilled)
Operatives
(semi-skilled)
Laborers
(unskilled)
Service Workers
TOTAL 3 2 1
117
• • •
APPENDIX H, ENCLOSl;R.E 4-SOl.ICITATIO~ STATISTICS
RID is rc4uired to create and maintain bidder statistics for all firms bidding on prime contracts and bidding or quoting Subcontracts on USDOT-
assistcd projects per 49 CFR Part 26.11. The Contractor is required to make copies nf this fom1 , send a eopy with ils initial contact to each
Suhcontractor (whether DBE or non-DBE) and require each Subcontractor to retum a completed fom1 with its Subcontract bid to the Contractor.
The Contractor must suhmit all completed fonns with each submission of DBE Enclosures to the SBO.
Firm Name: lbCLthM~ pr
Finn Address (Ofiicc Reporting): \)o b uy: o; 3 fo '-
~\..o r--GLelu Sp,, 119..s ~ &-0 90/
Statu.s as a DDE or Non-DBE (check one):
RTD DBE Non-DBE.£.___
Annual Gross Receipts of the Finn: (check one):
~i+~ ~ ~U.V\T~ of D~.f\Vbt D 13:> t; IL_
LJ.S.$0 to U.S.$500,000 v-" U .S.$500,000 tu U.S.Sl.{l00,000 __
U.S.$5 Million to U.S.$10 Million __ U.S .$10 Million to U.S .$20.41 Million
~-gc of the firm: .5.._+ . ,L -· A i!.. _, ~ . Signature :·'~· '<YJ , ~ __ _
~me: . /...i s..o... rY'\. ?cu.:b\YW9.. Y\
Title: "?rt~p~l
Date:-J/ ~Y q
U .S.$1 Million to U .S .$5 rvtillion_
Above U.S .$20.41 Million __
1 ·16
•
• • • • ---.M-Malc F ""Female
Job Categories Total Employees in
Establishment
'---
Total Total Total Black Hispanic Native Asian-Subcontin Other
Employe Male Female American American American Pacific ent Asian
es Employe Employe s s s American Americans
Including es es s
~ ---
Minoritie Including Including M F M F M F M F M F
s Mlnoritie Minoritie
s s ·--·
Officials &
Managers
-· Professionals I l '
Technicians
------
Sales -+ --· -'· ~ ~-.. -
Office & Clerical
~ . ·~ .. --.. --· . ·-·-
Craft Workers -+ · (skilled)
Operatives
(semi-skilled)
--------·-..
Laborers
(unskilled)
Service Workers
TOTAL l I [ -·
117
• • •
APPENDIX 8, ENCLOSURE 4-SOLICITATION ST A TISTICS
RTD is required to create and maintain bidder statistics for all firms bidding on prime contracts and bidding or quoting Subcontracts on USDOT-
assisted projects per 49 CFR Part 26.11. The Contractor is required to make copies of this form, send a copy with its initial contact to each
Subcontractor (whether DBE or non-DBE) and require each Subcontractor to return a completed form with its Subcontract bid to the Contractor.
The Contractor must submit all completed forms with each submission of DBE Enclosures to the SBO.
Firm Name: De:;;s \/ ..... 0...)6 ,r-V..._::;,h::.;,f I r~J
Firm Address (Office Reporting): I 3Clo J-~ve. V\.C::C: ~ fr-2£>.6
DcAver; LO 8'620i
Status as a DBE or Non-DBE (check one):
6 RTD DBE Non-DBE
Annual Gross Receipts of the Firm: (check one):
U.S.$0 to U .S.$500,000__ U.S.$500,000 to U .S .$1,000,000 __
U.S.$5 Million to U .S.$10 Million U.S.$10 Million to U.S.$20.41 Million
A.ge of the firm: 3f; ~i!~~!f7 /' e/ () --
Signature: <--· ~
Name:
Title:
n~PcJ.~
p,,2/jec:+-Mo Av... 3e_r-
Date J vl 7 I b' ze; \1 I
U.S.$1 Million to U.S.$5 Million __
Above U.S .$20.41 Million __
. ,..-
116
•
• ~ • • • M = Male F =Female
Job Categories Total Employees in
Establishment
Total Total Total Black Hispanic Native Asian-Subcontin Other
Employe Male Female American American American Pacific ent Asian
es Employe Employe s s s American Americans l Wh:l-c:..J
Including es es s
Minoritie Including Including M F M F M F M F M F M F
s Minoritie Minoritie
s s
Officials &
Managers
) " g 3 q 3
Professionals ID .3/ 33 s Y-3~ ;;.I ~
Technicians
Sales
Office & Clerical (., f5 ~ f) ~
Craft Workers ..
(skilled)
Operatives
(semi-skilled)
Laborers
(unskilled)
Service Workers
I
TOTAL
117
• • •
APPENDIX B, ENCLOSURE 4 -SOLICITATION STATISTICS
RTD is required to create and maintain bidder statistics for all firms bidding on prime contracts and bidding or quoting Subcontracts on USDOT-
assisted projects per 49 CFR Part 26.11. The Contractor is required to make copies of this form, send a copy with its initial contact to each
Subcontractor (whether DBE or non-DBE) and require each Subcontractor to return a completed form with its Subcontract bid to the Contractor.
The Contractor must submit all completed forms with each submission of DBE Enclosures to the SBO.
FirmName:
Firm Address (Office Reporting):
Status as a DBE or Non-DBE (check one):
RTD DBE x Non-DBE __
Annual Gross Receipts of the Firm: (check one):
U .S.$0 to U.S.$500,000__ U.S.$500,000 to U.S.$1,000,000 __
U.S.$5 Million to U .S.$10 Million x U.S.$10 Million to U.S.$20.41 Million
A_ge of the firm: 11 Yr\__ ~ ~ . ~~~~ --
Signature: ~ (QV---
Name: · · ·--· -· ·
Title:
Date: 7/16/14
U.S.$1 Million to U.S.$5 Million __
Above U .S.$20.41 Million __
116
•
• M=Male F =Female
Job Categories Total Employees in
Establishment
Total Total Total Black Hispanic Native Asian-Subcontin Other
Employe Male Female American American American Pacific ent Asian
es Employe Employe s s s American Americans
Including es es s
Minoritie Including Including M F M F M F M F M F M F
s Minoritie Minoritie
s s .
Officials &
Managers 11 5 6
Professionals 41 20 21 I
Technicians 2 2 2
Sales
Office & Clerical 6 I 5 I
Craft Workers
(skilled)
Operatives
(semi-skilled)
Laborers
(unskilled)
Service Workers
TOTAL 60 31 29 I I
117
• • •
APPENDIX B, ENCLOSURE 4-SOLICITATION STATISTICS
RTD is required to create and maintain bidder statistics for all firms bidding on prime contracts and bidding or quoting Subcontracts on USDOT-
assisted projects per 49 CFR Part 26 .11 . The Contractor is required to make copies of this form , send a copy with its initial contact to each
Subcontractor (whether DBE or non-DBE) and require each Subcontractor to return a completed form with its Subcontract bid to the Contractor.
The Contractor must submit all completed forms with each submission of DBE Enclosures to the SBO.
Firm Name: Walker Parking Consultants/Engineers, Inc.
Firm Address (Office Reporting): 5350 s. Roslyn St., Suite 220
Greenwood Village, Colorado 80111
Status as a DBE or Non-DBE (check one):
RTD DBE Non-DBE _x
Annual Gross Receipts of the Firm : (check one):
U.S .$0 to U .S.$500,000__ U.S.$500,000 to U.S.$1,000,000 __
U.S.$5 Million to U.S.$10 Million U.S.$10 Million to U .S.$20.41 Million
/! ~i -Age of the firm : /1;/ . 0 J
Signature: ______ (it1_~.)r(; · • . j
N~me: Robert Stanley, P.E. LEED AP+BC
Title: Managing Principal
Date: 7/17/14
U.S.$1 Million to U.S.$5 Million __
Above U.S.$20.41 Million_x_
116
•
• M=Male F =Female
Job Categories Total Employees in
Establishment
Total Total Total Black Hispanic Native Asian-Subcontin Other
Employe Male Female American American American Pacific entAsian
es Employe Employe s s s American Americans
Including es es s
Minoritie Including Including M F M F M F M F M F M F
s Minoritie Minoritie
s s
Officials &
Managers 57 53 4 1 1 3
Professionals 96 80 16 3 11 1 2
Technicians 59 47 12 1 9 2 6 2
Sales 6 3 3
Office & Clerical 26 1 25 3 1 1
Craft Workers
(skilled)
Operatives
(semi-skilled)
Laborers
(unskilled)
Service Workers
TOTAL 244 184 60 1 3 13 3 1 20 3 2 1
117
• • • APPENDIX B, ENCLOSURE 5-EMPLOYER CERTIFICATION OF WORKFORCE'
The undersigned certifies that he/she is legally authorized to make the statements and representations contained in this report and that the
statements and representations contained herein are true and correct to the best of his/her knowledge and belief.
Finn Name: f~~ lJ. 1(6\..f' + cl"l.~llf-
Owners (individuals or holding companies with any ownership interest in your firm):
Ownership Interest (by%) Ethnicity (natural persons)
This information is provided on the following attached page.
THIS INFORMATION SHOULD REMAIN CONFIDENTIAL.
Signature: " -... ~ ~ I~ .
Name: e"Wot .s" L
Title: p,,./tlCt/'ltt-
Gender (natural persons)
Date of Execution: J--f?-/Y
Please note that this data may be obtamed by visual survey or post-5Jl,!ploy,men! records. Neither visual surveys nor post-employment records are
prohibited by Federal, State or local law. Current utiliz.ation as of J-1 /-IY
NOTE: Submission of the Employer Certification of Workforce form is voluntary. Unless this form is marked ·confidential" upon submission. RTD cannot
guarantee confidentiality of the information contamed in this Employer Certification of Workforce form .
119
•
.PPENDIX B, ENCLOSURE 5 -EMPLOYER CERTIFICATION OF WORKFORCE
attachment to previous RTD form)
Felsburg Holt & Ullevig • List of shareholders ownership percenta~e as of 1 /1 /14
Name: Ethnicity: Gender:
Dean P. Bradley White Male
President
13.52%
Kyle A Anderson White Male
Executive Vice President
12 .11%
Christopher J. Fasching White Male
Secretary/Treasurer
7.39%
Robert G. Refvem White Male
Chairman of the Board
19.35%
George W . Beams White Male
Director
11 .51%
Thomas W . Anzia White Male • 7 .39%
Elliot M. Sulsky White Male
7.39%
Thor W. Gjelsteen White Male
7.29%
D. Holly Buck White Female
4.19%
Lyle E. DeVries White Male
4.19%
Kurt R. Kellogg White Male
1.42%
Matthew B. McFadden White Male
1.42%
Jenny A Young White Female
1.42%
Amy Zlotsky White Female • 1.42%
• • • DESCRIPTION OF JOB CATEGORIES
Officials and Managers -Occupations requiring administrative personnel who set board policies, exercise full responsibility for
execution of these policies, and individual departments or special phases of the operations.
Professionals -Occupations requiring either college education or experience of such kind and amount as to provide a comparable
background.
Technicians -Occupations requiring a combination of specific scientific knowledge and manual skill which can be obtained through
about 2 years of post high school education, such as is offered in many technical institutes and junior colleges, or through equivalent
on-the-job training.
Sales -Occupations engaging wholly or primarily in selling.
Office and clerical -Includes all clerical-type work, regardless of level of difficulty, where the activities are predominately non-
manual though some manual work directly involved with altering or transporting the products is included.
Craft Worker (skilled) -Manual workers of relatively high skill level having a thorough and comprehensive knowledge of the
processes involved in their work. Exercises considerable independent judgment and usually requires an extensive period of training.
Operatives (semi-skilled) -Workers who operate machines or processing equipment or perform other factory-related duties of
intermediate skill level which can be mastered in a few weeks and require only limited training.
Laborers (unskilled) -Workers in manual occupations which generally require no special training perform rudimentary duties that
may be learned in a few days and require the application of little or no independent judgment.
Service Workers -Workers in both protective and unprotective service occupations.
RACE/ETHNIC IDENTIFICATION
White (not Hispanic origin) -All persons having origins in any of the original peoples of Europe, North Africa, or the Middle East
Black Americans (not Hispanic origin) -All persons having origins in any of the Black racial groups of Africa
Hispanic Americans -All persons of Mexican, Puerto Rican, Cuban, Dominican, Central or South American, or other Spanish or
Portuguese culture or origin, regardless of race
Asian-Pacific Americans -All persons whose origins are from Japan, China, Taiwan, Korea, Burma (Myanmar), Vietnam, Laos,
Cambodia (Kampuchea), Thailand, Malaysia, Indonesia, the Philippines, Brunei, Samoa, Guam, the U.S. Trust Territories of the
Pacific Islands (Republic of Palau), the Commonwealth of the Northern Marianas Islands, Macao, Fiji, Tonga, Kirbati, Juvalu, Nauru,
Federated States of Micronesia, or Hong Kong
120
• • • Subcontinent Asian Americans -All persons whose origins are from India, Pakistan, Bangladesh, Bhutan, the Maldives Islands, Nepal
or Sri Lanka
Native American -All persons having origins in any of the original peoples of North America, including American Indians, Eskimos,
Aleuts, or Native Hawaiians
121
•
• •
•
•
APPENDIX B, ENCLOSURE 6-DISADVANTAGED BUSINESS OUTREACH
As part of RTD's ongoing outreach activities to the Denver metro Disadvantaged
business community, it is our goal to identify and to establish a relationship with the
Disadvantaged business outreach programs sponsored by the prime and
subcontractors we partner with.
The prime and all contracted subcontractors are requested to provide the following
information pertaining to their current DBE outreach efforts -additional sheets may be
used if necessary:
RTD Contract Name and Number:
Contract No. (the Contract).
Proposer: Felsburg Holt & Ullevig
Subcontractor -if applicable: NIA
Disadvantaged Business Outreach Contact (if none, list contact for the Contract):
Elliot Sulsky
Phone: 303-721-1440 Fax: 303-721-0832
~~~~~~~~~~~~~~~~
Email: elliot.sulsky@fhueng .com
Website: www.fhueng.com
Currently Sponsored Disadvantaged Business Outreach Activities:
FHU routinely engages DBE/SBE/ESB7WMBE firms as partners on our projects. We solicit participation
via the COOT UDBE and ESB databases and the City and County of Denver DSBO database. FHU also
participates in the outreach and business introduction programs provided by ACEC-CO, APWA, and WTS .
How can RTD assist you in your current Disadvantaged business outreach efforts?
Haying a comprehensive list of RTD SSE-certified firms or qualified DBE firms when issuing task orders
to assist prime consultants to match DBE or SBE firms with tasks. and boost participation on projects.
Would you be interested becoming involved in current and future RTD-sponsored
outreach activities and committees: [ ] Yes [x] No
If so, how?~~~~~~~~~~~~~~~~~~~~~~~~~~~~~
123
• •
•
•
APPENDIX B, ENCLOSURE 6 -DISADVANTAGED BUSINESS OUTREACH
As part of RTD's ongoing outreach activities to the Denver metro Disadvantaged
business community, it is our goal to identify and to establish a relationship with the
Disadvantaged business outreach programs sponsored by the prime and
subcontractors we partner with.
The prime and all contracted subcontractors are requested to provide the following
information pertaining to their current DBE outreach efforts -additional sheets may be
used if necessary:
RTD Contract Name and Number:
Contract No. (the Contract).
Proposer: FHU
Subcontractor -if aQplicable:
Arland LLG OBA Arland Land Use Economics
Disadvantaged Business Outreach Contact (if none, list contact for the Contract):
Arleen Taniwaki
Phone: 720.244.7678 Fax: _7~2~0_.22~8=.2~21~1 ________ _
Email: ataniwaki@arlandllc.com
Website: www.arlandllc.com
Currently Sponsored Disadvantaged Business Outreach Activities:
NA --firm is DBE
How can RTD assist you in your current Disadvantaged business outreach efforts?
Focused networking events. when possible
Would you be interested becoming involved in current and future RTD-sponsored
outreach activities and committees: [x] Yes [ ] No
lfso,how?~~~~~~~~~~~~~~~~~~~~~~~~~~~
123
• •
•
•
APPE'.'iDIX B, E~CLOSt.:RF. 6-DISADVANTAGED 81..:Sli'\ESS OUTREACH
As part of RTD's ongoing outreach activities to the Denver metro Disadvantaged
business community, it is our goal to identify and to establish a relationship with the
Disadvantaged business outreach programs sponsored by the prime and
subcontractors we partner with.
The prime and all contracted subcontractors are requested to provide the following
information pertaining to their current DBE outreach efforts -additional sheets may be
used if necessary: S.l"o.:M; fr (ht.L!:.T V\ Phi i'1 ~ (;~te.woocO RTD Contract Name and Number: ·, ~ • ~ ,
Contract No. {the Contract). "-1<;i,h.r ~\ t.on-, d OV-NQ..¥.t 9.T~ 1.S S. tu.Jl(
Proposer: F H ~ ~ ~ P \ '-I -CJ t l/
Subcontractor -if applicable :
l1 ,.,. ~ct~ DuM& P ft 6ro u f L..J.... L
L l '>ch-m. ~dtn£t.h
Disadvantaged Business Outreach Contact {if none, list contact for the Contract):
Woutd you be interested becoming involved in current and future RTD-sponsored
outreach activittes and committees: l,tL.Yes [ ] No
If so, how? :f,Tt::> SE> e ~ ,1) IT'~~ a;\ lflY\ pu-o c e5'.s.
•
•
•
..
"· '
APPENDIX B, ENCLOSURE 6 -DISADVANTAGED BUSINESS OUTREACH
Phone: ~03 --02-3 ~ \ Fax: 3 O 3-C::. 2..3 -2 z.£,o
Email: bpO:CV'-l;e .--3 EL cf es\51\G1.1D.-kslc9p -c u,1A,
Website: WW lAJ, c:::Aes\ tV'l.uo rV'---sltwp -l'.'.o~~
Currently Sponsored Disadvantaged Business Outreach Activities:
\AJ h.eV\ Lve-r-e...~e :0e C-:C\, e~\> ~+---h.eos 0 a BE R:€z.0;~~
b~e-re~~ --j7? ~..Jr l'\e±:l "'"'1 ~ o/-~ ' ~.on-}-.?...JZ: 1'£re : r--. D c.--.Jec c:.;;c dbLZ>v;GF L' o\o.r~LQ,
How can RTD assist you in your current Disadvantaged business outreach efforts? -.-I I~ I .L' . . I (74 : C\,; D-5t s "t ,l\A~s; i u\l"AS.t ~vvA te l,,,.-fc.J. 4-L:n Vi I' c:"s '
Would you be interested becoming involved in current and future RTD-sponsored
outreach activities and committees: ,t><J Yes [ ] No
lfso,how?~~~~..-,,...--,~~~~~~~-,-~~~~~~~~~~~~-
We? ~u[J b~ ,y,,.!CG""'> k:cg t' ~(i:c..,-~ 6,i2 /\/\ N'\ ·1 t±-c:~ ~
~;\.. r '.'":>-G. -t-D B ~ C-·"' ~,,·1 ~ ""d. rd re--~ cY-vve-fy ... c-:_S ,
123
• •
•
•
APPENDIX B, ENCLOSURE 6 -DISADVANTAGED BUSINESS OUTREACH
As part of RTD's ongoing outreach activities to the Denver metro Disadvantaged
business community, it is our goal to identify and to establish a relationship with the
Disadvantaged business outreach programs sponsored by the prime and
subcontractors we partner with.
The prime and all contracted subcontractors are requested to provide the following
information pertaining to their current DBE outreach efforts -additional sheets may be
used if necessary:
RTD Contract Name and Number: Station Area Master Plan : Englewood Light Rail Corridor Next Steps Study
Contract No . (the Contract). RFP-14-014
Proposer: Toole Design Group, LLC
Subcontractor -if applicable:
Toole Design Group, LLC
Disadvantaged Business Outreach Contact (if none, list contact for the Contract):
Julie Albright
Phone: 301 92z 1900 Fax: __ 3..,,.0""'1 ..... 22 .... z'-'2 .... a....,oo..__ _________ _
Email: jalbright@tooledesign .com
Website : www.tooledesign.com
Currently Sponsored Disadvantaged Business Outreach Activities :
How can RTD assist you in your current Disadvantaged business outreach efforts?
n/a
Would you be interested becoming involved in current and future RTD-sponsored
outreach activities and committees : [ ] Yes [ x] No
lfso,how? ___________________________ ~
123
• •
•
APPENDIX B, ENCLOSURE 6 -DISADVANTAGED BUSINESS OUTREACH
As part of RTD's ongoing outreach activities to the Denver metro Disadvantaged
business community, it is our goal to identify and to establish a relationship with the
Disadvantaged business outreach programs sponsored by the prime and
subcontractors we partner with.
The prime and all contracted subcontractors are requested to provide the following
information pertaining to their current DBE outreach efforts -additional sheets may be
used if necessary:
RTD Contract Name and Number:City of Englewood Community Development
Contract No. (the Contract). RFP-14-014
Proposer: Felsburg Holt & Ullevig
Subcontractor -if applicable:
Walker Parking Consultants/Engineers, Inc .
Disadvantaged Business Outreach Contact (if none, list contact for the Contract):
John Voboril
Phone: Fax:
~~~~~~~~~~~~~~-
Em a i I: jvoboril@englewoodgov.org
Website:
~~~~~~~~~~~~~~~~~~~~~~~~~~~~
Currently Sponsored Disadvantaged Business Outreach Activities:
NIA
How can RTD assist you in your current Disadvantaged business outreach efforts?
NIA
Would you be interested becoming involved in current and future RTD-sponsored
outreach activities and committees: [ ] Yes [X] No
If so, how?~~~~~~~~~~~~~~~~~~~~~~~~~~~
123
• •
•
•
This form is not applicable to FHU , as we have committed to meeting the full DBE% for this contract.
APPENDIX 8, ENCLOSURE 7-DBE UNAVAILABILITY CERTIFICATION
I, _____________ _
Name Title
of , certify that [the Contractor},
made the following efforts to meet the DBE Goals on Regional Transportation District
Contract No. for the Project:
[please attach any additional efforts that do not fit on this form]
• A Contractor representative attended the pre-bid meeting. Yes No
• Newspaper Advertisement Log: (attach copies of ads)
Newspaper/Publication Type of Publication Dates of Advertisement
Minority/General/Trade
• Selected portions of the work to be performed by [DBEs]
Work Categories Type of Bid Contractor's Additional
(Subcontractor or Estimated Comments
Supplier) Budget
• Made efforts to assist interested DBEs in obtaining bonding, lines of credit,
insurance or any necessary equipment, supplies, materials, etc.
• List an s ecific offers made b Contractor
124
•
•
•
• S I' 't d th i II 01c1e e o owing DBE s
Date Name of DBE Contact Phone# Work
Contacted Firm Person Category
• F II o owe d 'th . 'f I t t upw1 m11a con ac s
Date Name of DBE Phone# Bidding Additional
(Yes or No) Comments
• Contacted the following other agencies, organizations in recruitment of DBE
including RTD:
Date Organization Phone#
As shown by the documentation provided to RTD, we feel that we have made good faith
effort to attain the DBE Goals.
Signature: _________________ _
Date:
125
Community Development Projects:
Labor Hours Allocated and Proposed Bid Amounts
Comprehensive Plan Update Hours Allocated Logan
and Proposed Bid Amounts Simpson
Total Labor Hours 1385
Proposal Bid Amount $149,919.00
Light Rail Corridor Next Steps Study Hours
Allocated and Proposed Bid Amounts
Total Hours
Proposal Bid Amount
Walk and Wheel Master Plan and Program
Hours Allocated and Proposed Bid Amounts
Total Hours
Proposal Bid Amount
URS
2138
$289,396
Fehrand
Peers
743
$100,000
Clarion Orion
1280 1004
$149,359.00 $149,640.00
Fehrand
Peers
1870
$288,974
Steer Davies
Gleave
761
$99,988
Parsons
Brinkerhoff
1891
$289,890
ov
Consulting
904
$99,954
Fe Iberg
Holt Ulevig
2115
$289,876
• COUNCIL COMMUNICATION
Date: Agenda Item: Subject:
September 15, 2014 11 c v Professional Services Agreement for the Englewood Walk
and Wheel Master Plan and Program: OV Consulting
Initiated By: Staff Source:
Community Development John Voboril, Long Range Planner II
PREVIOUS COUNCIL ACTION
Community Development presented the Kaiser Permanente Walk and Wheel grant opportunity to produce
a new master bicycle and pedestrian plan for the City at th e September 16, 2013 City Council study
session. Council gave Community Development their support to submit a formal application to Kaiser
Permanente for $100,000.
RECOMMENDED ACTION
Community Development is requesting Council appro v e, by motion, a contract for professional services for
the Englewood Walk and Wheel Master Plan and Program (a new City wide bicycle and pedestrian plan).
Staff recommends awarding the contract to OV Consulting, the firm chosen through a competitive Request
for Proposal {RFP) process in the amount of $99,954 .
• BACKGROUND AND ANALYSIS
Community Development was awarded funding from Kaiser Permanente for a ne w City-wide master
bicycle and pedestrian plan in May of 2014. Community Development released an RFP for the Englewood
Walk and Wheel Master Plan and Program on June 19, 2014. A total of three consulting teams subm itted
proposals for the project. Each proposal was rated by Community Development staff in terms of project
methodology, firm and staff profiles, capacity to assume risk, references, and fee schedule. The three
consulting teams were interviewed by Community Development staff members.
OV Consulting was the top scoring consulting teams in the RFP review phase. The OV proposal offered the
most labor consultant labor hours for the contract budget amount, and the OV personnel, task, and fee
schedule most closely met the needs of the City as outlined in the RFP scope. The selection committee's
initial findings were confirmed in the interview process . OV Consulting previousl y worked with the City to
implement the bicycle route signage program in 2011-201 2, and has superior knowledge of the challenges
and opportunities of the existing Englewood bicycle and pedestrian network.
FINANCIAL IMPACT
Community Development has received the full $99,999 in grant funds from Kaiser Permanente. No City
matching funds were required for the project.
LIST OF ATTACHMENTS
• Professional Services Agreement Englewood Walk and Wheel Master Plan and Program -OV Consulting
•
•
PROFESSIONAL SERVICES AGREEMENT
ENGLEWOOD WALK AND WHEEL MASTER PLAN AND PROGRAM
Sponsored by Kaiser Permanente
This Professional Services Agreement (the "Agreement") is made as of this day of
_____ , 20_, (the "Effective Date") by and between OV Consulting, a Colorado-based
Limited Liability Company ("Consultant"), and The City of Englewood, Colorado, a municipal
corporation organized under the laws of the State of Colorado ("City'').
City desires that Consultant, from time to time, provide certain consulting services, systems
integration services, data conversion services, training services, and/or related services as described
herein, and Consultant desires to perform such services on behalf of City on the terms and conditions
set forth herein.
In consideration of the foregoing and the terms hereinafter set forth and other good and valuable
consideration, the receipt and sufficiency of which are hereby acknowledged, the parties hereto,
intending to be legally bound, agree as follows:
1. Definitions. The terms set forth below
shall be defined as follows:
(a) "Intellectual Property Rights"
shall mean any and all (by whatever name or
term known or designated) tangible and
intangible and now known or hereafter existing
(1) rights associate with works of authorship
throughout the universe, including but not
limited to copyrights, moral rights, and mask-
works, (2) trademark and trade name rights
and similar rights, (3) trade secret rights, (4)
patents, designs, algorithms and other
industrial property rights, (5) all other
intellectual and industrial property rights (of
every kind and nature throughout the universe
and however designated) (including logos,
"rental" rights and rights to remuneration),
whether arising by operation of law, contract,
license, or otherwise, and (6) all registrations,
initial applications, renewals, extensions,
continuations, divisions or reissues hereof now
or hereafter in force (including any rights in any
of the foregoing).
methodologies, copyrights and copyrightable
works, trade secrets including confidential
information, data, designs, manuals, training
materials and documentation, formulas,
knowledge of manufacturing processes,
methods, prices, financial and accounting data,
products and product specifications and all
other Intellectual Property Rights created,
developed or prepared, documented and/or
delivered by Consultant, pursuant to the
provision of the Services.
(b) 'Work Product'' shall mean all
• patents, patent applications, inventions,
designs, mask works, processes,
2. Statements of Work. During the term
hereof and subject to the terms and conditions
contained herein, Consultant agrees to
provide, on an as requested basis, the
consulting services, systems integration
services, data conversion services, training
services, and related services (the "Services")
as further described in Schedule A (the
"Statement of Work") for City, and in such
additional Statements of Work as may be
executed by each of the parties hereto from
time to time pursuant to this Agreement. Each
Statement of Work shall specify the scope of
work, specifications, basis of compensation
and payment schedule, estimated length of
time required to complete each Statement of
Work, including the estimated start/finish
dates, and other relevant information and shall
incorporate all terms and conditions contained
in this Agreement
3. Performance of Services.
(a) Performance. Consultant shall
perform the Services necessary to complete all
projects outlined in a Statement of Work in a
timely and professional manner consistent with
the specifications, if any, set forth in the
Statement of Work, and in accordance with
industry standards. Consultant agrees to
exercise the highest degree of professionalism,
and to utilize its expertise and creative talents
in completing the projects outlined in a
Statement of Work.
(b) Delays. Consultant agrees to
notify City promptly of any factor, occurrence,
or event coming to its attention that may affect
Consultant's ability to meet the requirements of
the Agreement, or that is likely to occasion any
material delay in completion of the projects
contemplated by this Agreement or any
Statement of Work. Such notice shall be given
in the event of any loss or reassignment of key
employees, threat of strike, or major equipment
failure. Time is expressly made of the essence
with respect to each and every term and
provision of this Agreement.
(c) Discrepancies. If anything
necessary for the clear understanding of the
Services has been omitted from the Agreement
specifications or it appears that various
instructions are in conflict, Vendor shall secure
written instructions from City's project director
before proceeding with the performance of the
Services affected by such omissions or
discrepancies.
4. Invoices and Payment. Unless
otherwise provided in a Statement of Work,
City shall pay the amounts agreed to in a
Statement of Work within thirty (30) days
following the acceptance by City of the work
called for in a Statement of Work by City.
Acceptance procedures shall be outlined in the
Statement of Work. If City disputes all or any
portion of an invoice for charges, then City
shall pay the undisputed portion of the invoice
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by the due date and shall provide the following
notification with respect to the disputed portion •
of the invoice. City shall notify Consultant as
soon as possible of the specific amount
disputed and shall provide reasonable detail as
to the basis for the dispute. The parties shall
then attempt to resolve the disputed portion of
such invoice as soon as possible. Upon
resolution of the disputed portion, City shall
pay to Consultant the resolved amount.
5. Taxes. City is not subject to
taxation. No federal or other taxes (excise,
luxury, transportation, sales, etc.) shall be
included in quoted prices. City shall not be
obligated to pay or reimburse Consultant for
any taxes attributable to the sale of any
Services which are imposed on or measured
by net or gross income, capital, net worth,
franchise, privilege, any other taxes, or
assessments, nor any of the foregoing
imposed on or payable by Consultant. Upon
written notification by City and subsequent
verification by Consultant, Consultant shall
reimburse or credit, as applicable, City in a
timely manner, for any and all taxes
erroneously paid by City. City shall provide •
Consultant with, and Consultant shall accept in
good faith, resale, direct pay, or other
exemption certificates, as applicable.
6. Out of Pocket Expenses. Consultant
shall be reimbursed only for expenses which
are expressly provided for in a Statement of
Work or which have been approved in advance
in writing by City, provided Consultant has
furnished such documentation for authorized
expenses as City may reasonably request.
7. Audits. Consultant shall provide such
employees and independent auditors and
inspectors as City may designate with
reasonable access to all sites from which
Services are performed for the purposes of
performing audits or inspections of
Consultant's operations and compliance with
this Agreement. Consultant shall provide such
auditors and inspectors any reasonable
assistance that they may require. Such audits
shall be conducted in such a way so that the
Services or services to any other customer of •
Consultant are not impacted adversely.
•
8. Term and Termination. The term of
this Agreement shall commence on the
Effective Date and shall continue unless this
Agreement is terminated as provided in this
Section 8.
(a) Convenience. City may, without
cause and without penalty, terminate the
provision of Services under any or all
Statements of Work upon thirty (30) days prior
written notice. Upon such termination, City
shall, upon receipt of an invoice from
Consultant, pay Consultant for Services
actually rendered prior to the effective date of
such termination. Charges will be based on
time expended for all incomplete tasks as
listed in the applicable Statement of Work, and
all completed tasks will be charged as
indicated in the applicable Statement of Work.
(b) No Outstanding Statements of
Work. Either party may terminate this
Agreement by providing the other party with at
least thirty (30) days prior written notice of
termination if there are no outstanding
Statements of Work.
• (c) Material Breach. If either party
materially defaults in the performance of any
term of a Statement of Work or this Agreement
with respect to a specific Statement of Work
(other than by nonpayment) and does not
substantially cure such default within thirty (30)
days after receiving written notice of such
default, then the non-defaulting party may
terminate this Agreement or any or all
outstanding Statements of Work by providing
ten (10) days prior written notice of termination
to the defaulting party.
( d) Bankruptcy or Insolvency. Either
party may terminate this Agreement effective
upon written notice stating its intention to
terminate in the event the other party: (1)
makes a general assignment of all or
substantially all of its assets for the benefit of
its creditors; (2) applies for, consents to, or
acquiesces in the appointment of a receiver,
trustee, custodian, or liquidator for its business
or all or substantially all of its assets; (3) files,
or consents to or acquiesces in, a petition
• seeking relief or reorganization under any
bankruptcy or insolvency laws; or (4) files a
petition seeking relief or reorganization under
any bankruptcy or insolvency laws is filed
against that other party and is not dismissed
within sixty (60) days after it was filed.
(e) TABOR. The parties understand
and acknowledge that each party is subject to
Article X, § 20 of the Colorado Constitution
("TABOR"). The parties do not intend to
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violate the terms and requirements of TABOR
by the execution of this Agreement. It is
understood and agreed that this Agreement
does not create a multi-fiscal year direct or
indirect debt or obligation within the meaning of
TABOR and, notwithstanding anything in this
Agreement to the contrary, all payment
obligations of City are expressly dependent
and conditioned upon the continuing
availability of funds beyond the term of City's
current fiscal period ending upon the next
succeeding December 31. Financial
obligations of City payable after the current
fiscal year are contingent upon funds for that
purpose being appropriated, budgeted, and
otherwise made available in accordance with
the rules, regulations, and resolutions of City
and applicable law. Upon the failure to
appropriate such funds, this Agreement shall
be deemed terminated.
(f) Return of Property. Upon
termination of this Agreement, both parties
agree to return to the other all property
(including any Confidential Information, as
defined in Section 11) of the other party that it
may have in its possession or control.
9. City Obligations. City will provide
timely access to City personnel, systems and
information required for Consultant to perform
its obligations hereunder. City shall provide to
Consultant's employees performing its
obligations hereunder at City's premises,
without charge, a reasonable work
environment in compliance with all applicable
laws and regulations, including office space,
furniture, telephone service, and reproduction,
computer, facsimile, secretarial and other
necessary equipment, supplies, and services.
With respect to all third party hardware or
software operated by or on behalf of City, City
shall, at no expense to Consultant, obtain all
consents, licenses and sublicenses necessary
for Consultant to perform under the Statements
of Work and shall pay any fees or other costs
associated with obtaining such consents,
licenses and sublicenses.
10. Staff. Consultant is an independent
consultant and neither Consultant nor
Consultant's staff is, or shall be deemed to be
employed by City. City is hereby contracting
with Consultant for the Services described in a
Statement of Work and Consultant reserves
the right to determine the method, manner and
means by which the Services will be
performed. The Services shall be performed by
Consultant or Consultant's staff, and City shall
not be required to hire, supervise or pay any
assistants to help Consultant perform the
Services under this Agreement. Except to the
extent that Consultant's work must be
performed on or with City's computers or City's
existing software, all materials used in
providing the Services shall be provided by
Consultant. -
11. Confidential Information.
(a) Obligations. Each party hereto
may receive from the other party information
which relates to the other party's business,
research, development, trade secrets or
business affairs ("Confidential Information").
Subject to the provisions and exceptions set
forth in the Colorado Open Records Act, CRS
Section 24-72-101 et. seq., each party shall
protect all Confidential Information of the other
party with the same degree of care as it uses
to avoid unauthorized use, disclosure,
publication or dissemination of its own
confidential information of a similar nature, but
in no event less than a reasonable degree of
care. Without limiting the generality of the
foregoing, each party hereto agrees not to
disclose or permit any other person or entity
access to the other party's Confidential
Information except such disclosure or access
shall be permitted to an employee, agent,
representative or independent consultant of
such party requiring access to the same in
order to perform his or her employment or
services. Each party shall insure that their
employees, agents, representatives, and
independent consultants are advised of the
confidential nature of the Confidential
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Information and are precluded from taking any
action prohibited under this Section 11. •
Further, each party agrees not to alter or
remove any identification, copyright or other
proprietary rights notice which indicates the
ownership of any part of such Confidential
Information by the other party. A party hereto
shall undertake to immediately notify the other
party in writing of all circumstances
surrounding any possession, use or knowledge
of Confidential Information at any location or by
any person or entity other than those
authorized by this Agreement.
Notwithstanding the foregoing, nothing in this
Agreement shall restrict either party with
respect to information or data identical or
similar to that contained in the Confidential
Information of the other party but which (1) that
party rightfully possessed before it received
such information from the other as evidenced
by written documentation; (2) subsequently
becomes publicly available through no fault of
that party; (3) is subsequently furnished
rightfully to that party by a third party without
restrictions on use or disclosure; or (4) is
required to be disclosed by law, provided that
the disclosing party will exercise reasonable •
efforts to notify the other party prior to
disclosure.
(b) Know-How. For the avoidance of
doubt neither City nor Consultant shall be
prevented from making use of know-how and
principles learned or experience gained of a
non-proprietary and non-confidential nature.
(c) Remedies. Each of the parties
hereto agree that if any of them, their officers,
employees or anyone obtaining access to the
Confidential Information of the other party by,
through or under them, breaches any provision
of this Section 11, the non-breaching party
shall be entitled to an accounting and
repayment of all profits, compensation,
commissions, remunerations and benefits
which the breaching party, its officers or
employees directly or indirectly realize or may
realize as a result of or growing out of, or in
connection with any such breach. In addition
to, and not in limitation of the foregoing, in the
event of any breach of this Section 11, the •
parties agree that the non-breaching party will
suffer irreparable harm and that the total
•
•
amount of monetary damages for any such
injury to the non-breaching party arising from a
violation of this Section 11 would be impossible
to calculate and would therefore be an
inadequate remedy at law. Accordingly, the
parties agree that the non-breaching party
shall be entitled to temporary and permanent
injunctive relief against the breaching party, its
officers or employees and such other rights
and remedies to which the non-breaching party
may be entitled to at law, in equity or under this
Agreement for any violation of this Section 11.
The provisions of this Section 11 shall survive
the expiration or termination of this Agreement
for any reason.
12. Project Managers. Each party shall
designate one of its employees to be its
Project Manager under each Statement of
Work, who shall act for that party on all matters
under the Statement of Work. Each party shall
notify the other in writing of any replacement of
a Project Manager. The Project Managers for
each Statement of Work shall meet as often as
either one requests to review the status of the
Statement of Work.
13. Warranties.
(a) Authority. Consultant represents
and warrants that: (1) Consultant has the full
corporate right, power and authority to enter
into this Agreement and to perform the acts
required of it hereunder; (2) the execution of
this Agreement by Consultant, and the
performance by Consultant of its obligations
and duties hereunder, do not and will not
violate any agreement to which Consultant is a
party or by which it is otherwise bound under
any applicable law, rule or regulation; (3) when
executed and delivered by Consultant, this
Agreement will constitute the legal, valid and
binding obligation of such party, enforceable
against such party in accordance with its
terms; and (4) Consultant acknowledges that
City makes no representations, warranties or
agreements related to the subject matter
hereof that are not expressly provided for in
this Agreement
(b) Service Warranty. Consultant
• warrants that its employees and consultants
shall have sufficient skill, knowledge, and
training to perform Services and that the
Services shall be performed in a professional
and workmanlike manner.
(c) Personnel. Unless a specific
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number of employees is set forth in the
Statement of Work, Consultant warrants it will
provide sufficient employees to complete the
Services ordered within the applicable time
frames established pursuant to this Agreement
or as set forth in the Statement of Work ..
During the course of performance of Services,
City may, for any or no reason, request
replacement of an employee or a proposed
employee. In such event, Consultant shall,
within five (5) working days of receipt of such
request from City, provide a substitute
employee of sufficient skill, knowledge, and
training to perform the applicable Services.
Consultant shall require employees providing
Services at a City location to comply with
applicable City security and safety regulations
and policies.
(d) Compensation and Benefits.
Consultant shall provide for and pay the
compensation of employees and shall pay all
taxes, contributions, and benefits (such as, but
not limited to, workers' compensation benefits)
which an employer is required to pay relating
to the employment of employees. City shall not
be liable to Consultant or to any employee for
Consultant's failure to perform its
compensation, benefit, or tax obligations.
Consultant shall indemnify, defend and hold
City harmless from and against all such taxes,
contributions and benefits and will comply with
all associated governmental regulations,
including the filing of all necessary reports and
returns.
14. Indemnification.
(a) Consultant Indemnification.
Consultant shall indemnify, defend and hold
harmless City, its directors, officers,
employees, and agents and the heirs,
executors, successors, and permitted assigns
of any of the foregoing (the "City lndemnitees")
from and against all losses, claims, obligations,
demands, assessments, fines and penalties
(whether civil or criminal), liabilities, expenses
and costs (including reasonable fees and
disbursements of legal counsel and
accountants), bodily and other personal
injuries, damage to tangible property, and
other damages, of any kind or nature, suffered
or incurred by a City lndemnitee directly or
indirectly arising from or related to: (1) any
negligent or intentional act or omission by
Consultant or its representatives in the
performance of Consultant's obligations under
this Agreement, or (2) any material breach in a
representation, warranty, covenant or
obligation of Consultant contained in this
Agreement.
(b) Infringement. Consultant will
indemnify, defend, and hold City harmless from
all lndemnifiable Losses arising from any third
party claims that any Work Product or
methodology supplied by Consultant infringes
or misappropriates any Intellectual Property
rights of any third party; provided, however,
that the foregoing indemnification obligation
shall not apply to any alleged infringement or
misappropriation based on: (1) use of the
Work Product in combination with products or
services not provided by Consultant to the
extent that such infringement or
misappropriation would .have been avoided if
such other products or services had not been
used; (2) any modification or enhancement to
the Work Product made by City or anyone
other than Consultant or its sub-consultants; or
(3) use of the Work Product other than as
permitted under this Agreement.
(c) Indemnification Procedures.
Notwith-standing anything else contained in
this Agreement, no obligation to indemnify
which is set forth in this Section 14 shall apply
unless the party claiming indemnification
notifies the other party as soon as practicable
to avoid any prejudice in the claim, suit or
proceeding of any matters in respect of which
the indemnity may apply and of which the
notifying party has knowledge and gives the
other party the opportunity to control the
response thereto and the defense thereof;
provided, however, that the party claiming
indemnification shall have the right to
participate in any legal proceedings to contest
and defend a claim tor indemnification
involving a third party and to be represented by
its own attorneys, all at such party's cost and
6
expense; provided further, however, that no
settlement or compromise of an asserted third-
party claim other than the paymenVmoney may
be made without the prior written consent of
the party claiming indemnification.
(d) Immunity. City, its officers, and its
employees, are relying on, and do not waive or
intend to waive by any provision of this
Agreement, the monetary limitations or any
other rights, immunities, and protections
provided by the Colorado Governmental
Immunity Act, C.R.S. 24-10-101 et seq., as
from time to time amended, or otherwise
available to City, its officers, or its employees.
15. Insurance.
(a) Requirements. Consultant agrees
to keep in full force and effect and maintain at
its sole cost and expense the following policies
of insurance during the term of this Agreement:
(1) The Consultant shall comply
with the Workers' Compensation Act of
Colorado and shall provide compensation
insurance to protect the City from and against
any and all Workers' Compensation claims
arising from performance of the work under
this contract. Workers' Compensation
insurance must cover obligations imposed by
applicable laws for any employee engaged in
the performance of work under this contract, as
well as the Employers' Liability within the
minimum statutory limits.
(2) Commercial General Liability
Insurance and auto liability insurance
(including contractual liability insurance)
providing coverage for bodily injury and
property damage with a combined single limit
of not less than two million dollars ($2,000,000)
per occurrence.
(3) Professional Liability/Errors and
Omissions Insurance covering acts, errors and
omissions arising out of Consultant's
operations or Services in an amount not less
than one million dollars ($1,000,000) per
occurrence.
(b) Approved Companies. All such
insurance shall be procured with such
•
•
•
•
•
•
insurance companies of good standing,
permitted to do business in the country, state
or territory where the Services are being
performed.
(c) Certificates. Consultant shall
provide City with certificates of insurance
evidencing compliance with this Section 15
(including evidence of renewal of insurance)
signed by authorized representatives of the
respective carriers for each year that this
Agreement is in effect. Certificates of
insurance will list the City of Englewood as an
additional insured. Each certificate of
insurance shall provide that the issuing
company shall not cancel, reduce, or otherwise
materially change the insurance afforded under
the above policies unless thirty (30) days'
notice of such cancellation, reduction or
material change has been provided to City.
16. Rights in Work Product.
(a) Generally. Except as specifically
agreed to the contrary in any Statement of
Work, all Intellectual Property Rights in and to
the Work Product produced or provided by
Consultant under any Statement of Work shall
remain the property of Consultant. With
respect to the Work Product, Consultant
unconditionally and irrevocably grants to City
during the term of such Intellectual Property
Rights, a non-exclusive, irrevocable, perpetual,
worldwide, fully paid and royalty-free license,
to reproduce, create derivative works of,
distribute, publicly perform and publicly display
by all means now known or later developed,
such Intellectual property Rights.
(b) Know-How. Notwithstanding
anything to the contrary herein, each party and
its respective personnel and consultants shall
be free to use and employ its and their general
skills, know-how, and expertise, and to use,
disclose, and employ any generalized ideas,
concepts, know-how, methods, techniques, or
skills gained or learned during the course of
any assignment, so long as it or they acquire
and apply such information without disclosure
of any Confidential Information of the other
party .
7
17. Relationship of Parties. Consultant is
acting only as an independent consultant and
does not undertake, by this Agreement, any
Statement of Work or otherwise, to perform
any obligation of City, whether regulatory or
contractual, or to assume any responsibility for
City's business or operations. Neither party
shall act or represent itself, directly or by
implication, as an agent of the other, except as
expressly authorized in a Statement of Work.
18. Complete Agreement. This
Agreement contains the entire agreement
between the parties hereto with respect to the
matters covered herein.
19. Applicable Law. Consultant shall
comply with all applicable laws in performing
Services but shall be held harmless for
violation of any governmental procurement
regulation to which it may be subject but to
which reference is not made in the applicable
Statement of Work. This Agreement shall be
construed in accordance with the laws of the
State of Colorado. Any action or proceeding
brought to interpret or enforce the provisions of
this Agreement shall be brought before the
state or federal court situated in Arapahoe
County, Colorado and each party hereto
consents to jurisdiction and venue before such
courts.
20. Scope of Agreement. If the scope of
any provisions of this Agreement is too broad
in any respect whatsoever to permit
enforcement to its fullest extent, then such
provision shall be enforced to the maximum
extent permitted by law, and the parties hereto
consent to and agree that such scope may be
judicially modified accordingly and that the
whole of such provision of this Agreement shall
not thereby fail, but that the scope of such
provision shall be curtailed only to the extent
necessary to conform to law.
21. Additional Work. After receipt of a
Statement of Work, City, with Consultant's
consent, may request Consultant to undertake
additional work with respect to such Statement
of Work. In such event, City and Consultant
shall execute an addendum to the Statement
of Work specifying such additional work and
the compensation to be paid to Consultant for
such additional work.
22. Sub-consultants. Consultant may not
subcontract any of the Services to be provided
hereunder without the prior written consent of
City. In the event of any permitted
subcontracting, the agreement with such third
party shall provide that, with respect to the
subcontracted work, such sub-consultant shall
be subject to all of the obligations of
Consultant specified in this Agreement.
23. Notices. Any notice provided pursuant
to this Agreement shall be in writing to the
parties at the addresses set forth below and
shall be deemed given (1) if by hand delivery,
upon receipt thereof, (2) three (3) days after
deposit in the United States mails, postage
prepaid, certified mail, return receipt requested
or (3) one (1) day after deposit with a
nationally-recognized overnight courier,
specifying overnight priority delivery. Either
party may change its address for purposes of
this Agreement at any time by giving written
notice of such change to the other party
hereto.
24. Assignment. This Agreement may not
be assigned by Consultant without the prior
written consent of City. Except for the
prohibition of an assignment contained in the
preceding sentence, this Agreement shall be
binding upon and inure to the benefit of the
heirs, successors and assigns of the parties
hereto.
25. Third Party Beneficiaries. This
Agreement is entered into solely for the benefit
of the parties hereto and shall not confer any
rights upon any person or entity not a party to
this Agreement.
26. Headings. The section headings in
this Agreement are solely for convenience and
shall not be considered in its interpretation .
The recitals set forth on the first page of this
Agreement are incorporated into the body of
this Agreement. The exhibits referred to
throughout this Agreement and any Statement
of Work prepared in conformance with this
Agreement are incorporated into this
Agreement.
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27. Waiver. The failure of either party at
any time to require performance by the other
party of any provision of this Agreement shall
not effect in any way the full right to require
such performance at any subsequent time; nor
shall the waiver by either party of a breach of
any provision of this Agreement be taken or
held to be a waiver of the provision itself.
28. Force Majeure. If performance by
Consultant of any service or obligation under
this Agreement is prevented, restricted,
delayed or interfered with by reason of labor
disputes, strikes, acts of God, floods, lightning,
severe weather, shortages of materials,
rationing, utility or communications failures,
earthquakes, war, revolution, civil commotion,
acts of public enemies, blockade, embargo or
any law, order, proclamation, regulation,
ordinance, demand or requirement having
legal effect of any governmental or judicial
authority or representative of any such
government, or any other act whether similar
or dissimilar to those referred to in this clause,
which are beyond the reasonable control of
Consultant, then Consultant shall be excused
from such performance to the extent of such
prevention, restriction, delay or interference. If
the period of such delay exceeds thirty (30)
days, City may, without liability, terminate the
affected Statement of Work(s) upon written
notice to Consultant.
29. Time of Performance. Time is
expressly made of the essence with respect to
each and every term and provision of this
Agreement.
30. Permits. Consultant shall at its own
expense secure any and all licenses, permits
or certificates that may be required by any
federal, state or local statute, ordinance or
regulation for the performance of the Services
under the Agreement. Consultant shall also
comply with the provisions of all Applicable
Laws in performing the Services under the
Agreement. At its own expense and at no cost
to City, Consultant shall make any change,
alteration or modification that may be
necessary to comply with any Applicable Laws
that Consultant failed to comply with at the
time of performance of the Services.
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31. Media Releases. Except for any
announcement intended solely for internal
distribution by Consultant or any disclosure
required by legal, accounting, or regulatory
requirements beyond the reasonable control of
Consultant, all media releases, public
announcements, or public disclosures
(including, but not limited to, promotional or
marketing material) by Consultant or its
employees or agents relating to this
Agreement or its subject matter, or including
the name, trade mark, or symbol of City, shall
be coordinated with and approved in writing by
City prior to the release thereof. Consultant
shall not represent directly or indirectly that any
Services provided by Consultant to City has
been approved or endorsed by City or include
the name, trade mark, or symbol of City on a
list of Consultant's customers without City's
express written consent.
32. Nonexclusive Market and Purchase
Rights. It is expressly understood and agreed
that this Agreement does not grant to
Consultant an exclusive right to provide to City
any or all of the Services and shall not prevent
City from acquiring from other suppliers
services similar to the Services. Consultant
agrees that acquisitions by City pursuant to
this Agreement shall neither restrict the right of
City to cease acquiring nor require City to
continue any level of such acquisitions.
Estimates or forecasts furnished by City to
Consultant prior to or during the term of this
Agreement shall not constitute commitments.
33. Survival. The provisions of Sections 5,
8(g), 10, 11, 13, 14, 16, 17, 19, 23, 25 and 31
shall survive any expiration or termination for
any reason of this Agreement.
34. Verification of Compliance with C.R.S.
8-17.5-101 ET.SEQ. Regarding Hiring of
Illegal Aliens:
(a) Employees, Consultants and
Sub-consultants: Consultant shall not
knowingly employ or contract with an illegal
alien to perform work under this Contract.
Consultant shall not contract with a sub-
consultant that fails to certify to the Consultant
that the sub-consultant will not knowingly
employ or contract with an illegal alien to
perform work under this Contract. [CRS 8-
17 .5-102(2)( a)(I) & (II).]
(b) Verification: Consultant will
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participate in either the E-Verify program or the
Department program, as defined in C.R.S. 8-
17.5-101 (3.3) and 8-17.5-101 (3.7),
respectively, in order to confirm the
employment eligibility of all employees who are
newly hired for employment to perform work
under this public contract for services.
Consultant is prohibited from using the E-Verify
program or the Department program
procedures to undertake pre-employment
screening of job applicants while this contract
is being performed.
(c) Duty to Terminate a
Subcontract: If Consultant obtains actual
knowledge that a sub-consultant performing
work under this Contract knowingly employs or
contracts with an illegal alien, the Consultant
shall;
(1) notify the sub-consultant and
the City within three days that the
Consultant has actual knowledge that
the sub-consultant is employing or
contracting with an illegal alien; and
(2) terminate the subcontract
with the sub-consultant if, within three
days of receiving notice required
pursuant to this paragraph the sub-
consultant does not stop employing or
contracting with the illegal alien; except
that the Consultant shall not terminate
the contract with the sub-consultant if
during such three days the sub-
consultant provides information to
establish that the sub-consultant has
not knowingly employed or contracted
with an illegal alien.
(d) Duty to Comply with State
Investigation: Consultant shall comply with
any reasonable request of the Colorado
Department of Labor and Employment made in
the course of an investigation by that the
Department is undertaking pursuant to C.R.S.
8-17.5-102 (5)
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(e) Damages for Breach of for actual and consequential damages to the
Contract: The City may terminate this contract
for a breach of contract, in whole or in part,
due to Consultant's breach of any section of
this paragraph or provisions required pursuant
to CRS 8-17 .5-102. Consultant shall be liable
City in addition to any other legal or equitable •
remedy the City may be entitled to for a breach
of this Contract under this Paragraph 34.
IN WITNESS WHEREOF, the parties to this Agreement have caused it to be executed by their
authorized officers as of the day and year first above written . This Agreement may be executed in
counterparts, each of which shall be deemed an original, but all of which together shall constitute one
and the same instrument.
CITY OF ENGLEWOOD, COLORADO
By:~~~~~~~~~~~~~~
(Signature)
Randy P. Pen~~:..=··~~~~~~~~~~
(Print Name)
Title: Mayor
ATTEST:
CityClerk -Loucrishia A. Ellis
(Consultant Name)
/ L/7 S. .Loo Ira ef t11au'l.frn?N
Address GaLDfV-1,, co ~
City, State, Zip Code
By: &!£ t4
'-J2 _ (Signatur
~J1-f \6
Title: 7'i:?rA1c1PA'L-
Date: ¥m~ -:J. tl<:Jf't
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SCHEDULE A
STATEMENT OF WORK AND FEE SCHEDULE
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Scope of Work-OV Consulting for Walk and Wheel Bicycle
Master Plan (as of 8/29/14)
Task 1: Kick-off Meeting with Kaiser Permanente Technical
Assistance Team
Ti!Jlefraf!le~ Mid-September within one week of notice to proceed
Description: In this task we will facilitate a kick-off meeting with the
KP technical assistance team and the City staff within one week of
notice to proceed. This kick-off meeting will be a collaborative
opportunity to review the work plan, timeline, and final deliverables.
Deliverable: Final scope, schedule, and budget
Task 2: Document State of Walking and Wheeling
Timeframe: September to end of November 2014
Description: In this task we will collaborate with the KP technical
assistance team and the City at two meetings to assess the existing
conditions, policies, and political support for walking and wheeling.
We will work with City staff to produce a State of Walking and
Wheeling in Englewood executive summary and presentation that will
be given at the transportation board and at a city council study
session. The purpose of the report and presentation will be to
describe the current conditions, policies, and political support of the
Englewood walking and wheeling network.
As part of this task we will complete the following:
• Inventory the City's existing wheeling infrastructure relying
on GIS information from the City as a base. We will also
develop a comprehensive photo inventory of existing bike
parking at major public destinations.
• We will use two tools to estimate existing and future levels of
walking and wheeling in Englewood: Aggregate Demand Model and
Normalized American Community Survey ACS data analysis. The
Alta-developed Aggregate Demand Model determines the number
of walking or bicycling trips that occur in a day from commuters,
non-commuters, and non-commute trips taken by commuters while
the Normalized ACS data analysis focuses on commuter volumes .
Using these two methodologies, we will utilize census data and
national studies to extrapolate the number of bicycling or walking
trips taken by commuters as well as by populations that traditionally
have a higher bicycle/walking mode split than work commuters
(such as elementary school and college students).
• We will classify Englewood's roadway network into four
levels of traffic stress based on roadway and intersection
characteristics that characterize the "ease of use" of the
roadway network for different segments of the population.
We will complement this evaluation with an analysis of
demand for bicycle travel across the city, and overlay supply
(level of traffic stress) with demand to identify priority
improvement areas.
• The team will conduct a GIS-based Level of Traffic Stress
(L TS) analysis of streets in Englewood to identify low stress
bicycle routes. L TS is an objective, data-driven roadway
classification system based on analysis conducted by the
Mineta Transportation Institute that rates streets in terms of
the level of stress bicyclists feel while riding on that street
and results in the categorization of streets into four stress
tolerance types:
• L TS 1 -Most children are comfortable
• L TS 2 -Most of the adult population are comfortable
• L TS 3 -Confident cyclists are comfortable
• L TS 4 -Only the strongest and most experienced cyclists
are capable, but not necessarily comfortable
The intent of the analysis is to analyze connectivity of the
existing bicycling network and identify improvements needed
to create a fine-grained bicycle circulation network that
serves users of all ages and abilities, connecting places
where people live, work, play, and learn. The product of this
analysis shows graphically how well connected the different
types of destinations, such as schools, employment centers,
and retail centers are, and reveals areas where low-stress
routes are needed.
• We will document walking and wheeling activity at specific locations.
Using video cameras and manual tabulation, we will develop tabulated
counts for various walking and wheeling modes. Ten locations will be
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identified, filmed, and counted for an 8-hour period (details to be finalized •
with staff). We will also make assessments on the current composition of
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the walking and wheeling population based on the videos.
• We will evaluate how each of the following plans has implemented new
walking and wheeling facilities and what user groups are using them to
move around Englewood:
o Roadmap Englewood: The 2003 Englewood Comprehensive
Plan
o Englewood South Broadway Plan
o 2004 Englewood Master Bicycle Plan
o Englewood Downtown and Medical District Small Area Plan
o Ready, Set, Action! An Urban Design Action Plan for the
Englewood Downtown and Medical Districts
o Englewood Parks and Recreation Master Plan
o Englewood South Platte River Open Space Plan
o South Platte River Working Group South Platte River Corridor
Vision
o Englewood Complete Streets Toolbox
o Englewood Light Rail Corridor Plan
Deliverable: State of Walking and Wheeling Plan Executive Summary
and Presentation
Timeframe: October to project conclusion
Description:
We understand that the first task will be to meet with the Project
Manager, City Staff, and the KP Technical Assistance Team to
determine the overall outreach strategy and methods of the Public
Involvement Plan. A common public involvement plan is being
developed by FHU with input from OV. We propose a methodology
that includes interactive outreach on various levels:
Project Management Team -An internal team consisting of city staff,
the KP Technical Assistance Team, and the consultant team will
convene on a regular basis throughout the project, beginning with the
Project Kick-off Meeting upon notice to proceed. It is anticipated that
this team will meet monthly in coordination with the other two projects
that are happening concurrently.
Project Steering Committee -A coordinated steering committee will
be formed that includes all three projects and will meet regularly
during the project.
Focus Groups -Focus group input will be conducted during the
technical planning process. Input will be gathered through focus
groups centered on the issues and concerns of the project elements.
Consultations with Agencies having an Interest in the Study Area-We
will consult with Denver, Sheridan, Littleton, Cherry Hills Village,
Greenwood Village, and RTD as well as any other agencies that are
identified as having an interest in the study area.
Public Outreach -We propose a public outreach strategy that is tied
to web-based communication and updates, "go-to" public meetings or
public happenings and potential collaborative engagement with the
concurrent Englewood planning projects.
Web-based Communication
• Contact Database: We will provide infotmation to a common
database hosted by FHU.
• Project Website/Social Media: We will help to implement a
commonly branded wbsite for all three projects and manage content
for the Walk and Wheel project. The website will include a
questionnaire/survey. We will provide information to the City for
Facebook updates and Twitter feeds.
Public Meetings
• Public "Go To" Meetings:
OV will participate in up to three public meetings and be the lead
consultant for one of the three meetings in terms of arranging
meeting logistics and locations and coordinating with the City and
the other projects.
Deliverables: participation in website development and project web page
content management, participation in three Public meetings, lead
consultant for the arranging logistical elements for one of the three public
meetings.
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Task 4 : Economic Analysis of Walking and Wheeling
Timeframe: November to end of January 2015
Description: The information generated by this analysis will be used
to understand the economics of investing in walking and wheeling
infrastructure on roadways in Englewood. The purpose of this task is
to calibrate the potential economic benefits of new walking and
wheeling infrastructure to the conditions that exist in Englewood. The
total economic impact will be estimated, in dollars and jobs, by
considering the following:
• Alta will provide evaluation of the city's current maintenance
budget allocation to determine whether allocated funding is
sufficient to maintain in-place and proposed walk and wheel
infrastructure. The team will compare the maintenance budgets
of up to three peer cities (pending available data).
• Providing qualitative and quantitative data explaining the
economic benefits of bicycle policy and infrastructure is a
critical piece in gaining buy-in within the public, community
organization, city departments, and potential funding sources
for projects. Alta has done considerable research into the
economic impacts of bicycle and pedestrian facilities in
communities throughout the country. Building on the results of
the bicycle and pedestrian counts, the Alta team will complete
a demand analysis of bicyclists and pedestrians in Englewood.
This will include specific projections on existing and future
bicycle and pedestrian commuter volumes for use in air quality
and Federal funding applications. This methodology has been
accepted nationally and is the only model available today that
is based on actual empirical count and survey data from over
200 communities, and field tested for accuracy. Based on the
results of the demand analysis, U.S. Census figures, and
adjustment factors for the study area, a long-term estimate of
bicycle and pedestrian mode split can be made and translated
into reduced vehicle trips, saved parking spaces, and reduced
air pollution. The Alta team will prepare a summary of
economic benefits of the bike and pedestrian systems as
calculated through the vehicle miles travelled reduction metric
described above .
• Alta will review existing and potential funding sources for walk
and wheel projects to determine applicability in Englewood. In
addition, Alta will review walk and wheel funding used by up to
three peer cities (pending available data) and determine
whether they can potentially be utilized by Englewood .
Deliverable: Economic Benefit Summary Presentation and Technical
Appendix
Task 5 : Walk and Wheel Network Recommendations
Timeframe : December 2014 to end of April 2015
Description: This task will identify walking and wheeling facility and
program improvements. A focus of this effort will be identifying a
walking and wheeling network to encourage people of all ages and
abilities. This task includes a review and update of existing design
guidelines with recommended facility typologies, focus on ensuring
connectivity between facilities and other travel modes, and ensure
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adequate end-of-trip facilities . We will collaborate with KP technical •
assistance team and the City at two meetings to review the
recommended network, facility improvements, priority areas, and
planning level costs estimates. This task also includes the estimated-
new maintenance costs associated with the recommended network
and the estimated costs per resident associated with those
improvements. We will give a presentation at a transportation advisory
board meeting and a city council study session .
Deliverable : GIS mapping, new maintenance costs, summary
presentation and Draft Walk and Wheel Action Plan
Subtask 5a : Early Action Opportunity Screening
Timeframe: Mid February to end of March 2015
Description : This task focuses on identifying high probability early
implementation projects and screening them for sustainability , cost,
system synergies, lil<ely finding opportunities , increased number of
users , and ease of implementation to arrive at a top priority project to
move forward into 30% design. We will develop and run a screening
process based on data developed earlier in the project as well as
community engagement and input that results in a top priority project
to carry forward into design.
Deliverable : Top Priority Project Identification •
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Task 6: 30% Conceptual Design for Top Priority Project
Timeframe: May to end of June 2015
Description: We develop 30% preliminary engineering level designs
for the top priority project that is recommended for funding and
construction. These plans will support grant funding applications.
Deliverable: 30% design plan set
Task 7 : White Paper Advocacy and Incentive Program
Timeframe : May and July 2015
Description: We will investigate models from around the country for a
self-sustaining walk and wheel advocacy and incentive program
designed to promote walking and wheeling on a permanent basis
within Englewood. Program activities investigated and described will
include social marketing campaigns, safety trainings and classes,
outreach events to specific targeted populations, worksite focused
challenges or events, the development or refining of community way-
finding, etc. The consultant will present the results to city staff and the
transportation advisory board to identify next steps actions.
Deliverable : White Paper on Advocacy and Incentive Program
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Walk and Wheel Project Timeline
OV Consulting
Coordinated with Next Steps and Comp Plan Update Projects
8/29/14
Project Task
Joint Steering Committee/PMT Meetings
Joint Public Meeting/ Community Event
Participation/ Travelling Townhall
Document State of Walking and Wheeling
Economic Analysis of Walking and Wheeling
Walk and Wheel Network Recommendations
Top Priority Project 30% Conceptual Design
White Paper Advocacy and Incentive Program
Sept
2014
Oct I Nov
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2015
Dec Jan Feb I Mar Apr Aug
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Draft Plan I I I I I I I I I I Draft I I Final
Joint Steering Committee/Project Management Team Meetings 9
Joint Public Meeting *
Joint Community Event Participation/Travelling Townhall Ill
•Meeting dates are tentative. Actual event date to be determined .
City of Englewood Walk and Wheel Master Plan and Program
Proposed Fee Schedule
8/29/14
Staff Hours
C. Vogelsang B. Vogelsang Ad min/ A. Zimmerman
Principal Principal Technician Engineer
ov ov ov Alta
Task/Hourly Rate $145 $145 $45 $110
Task 1: Kick Off Meeting
with Kaiser Permanente 4 2 4
Technical Team
Task 2: Document State 24 12 110 36
of Walking and Wheeling
Task 3: Community
Engagement Plan and 32 80 32 20
Outreach
Task 4: Economic Analysis 4 14
of Walking and Wheeling
Task 5: Walk and Wheel
Network 80 40 3 58
Recommendations
Tsk 6: 30% Design for Top
Priority Project 60 36
Task 7: White Paper
Advocacy and Incentive 8 20 8 2
Program
Staff Hours 212 154 153 170
Staff Fee $30,740 $22,330 $6,885 $18,700
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D.Abe J . Mehlem J. Gilpin K. Voros
Planner Associate Principal Planner Total Task Total Task
Alta Alta Alta Alta Hours Fee
$83 $115 $165 $100
2 12 $1,540
30 4 76 292 $24,880
164 $19,880
60 5 83 $7,925
8 16 8 213 $27,739
4 100 $13,120
2 40 $4,870
98 24 17 76 904
$8,134 $2,760 $2,805 $7,600 $99,954
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Community Development Projects:
Labor Hours Allocated and Proposed Bid Amounts
Comprehensive Plan Update Hours Allocated Logan
and Proposed Bid Amounts Simpson
Total Labor Hours 1385
Proposal Bid Amount $149,919.00
Light Rail Corridor Next Steps Study Hours
Allocated and Proposed Bid Amounts
Total Hours
Proposal Bid Amount
Walk and Wheel Master Plan and Program
Hours Allocated and Proposed Bid Amounts
Total Hours
Proposal Bid Amount
URS
2138
$289,396
Fehrand
Peers
743
$100,000
Clarion Orion
1280 1004
$149,359.00 $149,640.00
Fehrand
Peers
1870
$288,974
Steer Davies
Gleave
761
$99,988
Parsons
Brinkerhoff
1891
$289,890
ov
Consulting
904
$99,954
Fe Iberg
Holt Ulevig
2115
$289,876