HomeMy WebLinkAbout2003 Ordinance No. 053•
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ORDINA NCE NO . 53
SERIES OF 200 3
BY AUTHORITY
CONTRACT NO, /oi,-,J.co3
COUNCIL RILL NO . 54
INTRODUCED BY COUNCIL
MEMBER GARRETT
AN ORDINANCE APPROVING.-\~• V iREE~ENT WITH THE c;QLORADO
DEPARTMENT OF TRANSPORT .",;; l ,!'1 c llR AND CONSTRUCTION OF
SIDEWALKS ON U.S. HIGHWAY 28~ ni THE CITY l.-' ENGLEWOOD ,
COLORADO .
WHEREAS , the area on U. S. 285 between Clarkso n and Old Hampden is
identified in the City 's "Sidewalk Missing Links " program; and
WHEREAS , instal lation of sidewa lks at this location is desirable for the safety and
conven ience ofpedcstri ,·ns ; and
WHEREAS , City Council applied to Denver Regional Co •mcil of Governments
(DRCOG) to include this project in the Tr.tnsp<>"ation ln,,rovement Program (TIP); and
WHEREAS, DRCOG agre .d to include the project for funding in 2003 ; and
WHEREA S !he Federal share for this project is $297,000 ai.1 the City of
Englewood 's sho re would be S100,000 .
NOW , THEREFORE , BE IT ORDAINED BY THE CITY COUNCIL OF THE
CITY OF ENGLEWOOD , COLORADO , AS FOLLOWS :
Section I. The City Counci l for the City of Englewood , Co lorado, her,by approves the
Transportati on Enhancement Contra<' between The Col orado Department of
Transportation and the City of En gl wood, St ate of Colorado for "PROJECT STE M395-
008 ,( 14414) REGION6 /(JP ), a copy of whi ch is available at the office of the City Clerk of
Englewood .
Section 2. The Mayo r is authori zed to sign and the City Clerk to anest the
Transporta tir a Enha ncement Contract fc and on behalf of the City of Englewood ,
Colorado .
Introduced , read in full and pas sed on first reading on the 4'' day of August , 2003 .
Published as a B,11 for an Ordinance on the 8th day of Aug ust, 2003 .
Read by title and pas sed on final reading on the I s• day of August , 2003 .
10 b iii
Publi shed by title as Ord inance No . 53 , Series of 2003, on the 22"" day of Aug ust
2003.
I, Loucrishia A. Eliis, City Clerk of the City of Englewood
that the above and foregoing is a tnl5>'8PY of the Ordinance
published by title as Ordinar.ce No .~, series of 2003 .
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(FM LA WRKENH)
PROJE CT STE M395 -008 . (1 4414)
REG IO N 6/(JP )
TRANSPORTATION ENHANCEMENT CONTRACT
Re v 0 1/09/03
03 HA600075
CMS ID 03 -2 07
THIS CONTRACT, made this __ day o f _____ ,, 20_ by and between the
Stat e of Colorado for the us e and be nefit of THE COLORADO DEPARTMENT OF
TRANSPORTATION , hereinafter referred to as the State or COOT, and City of Eng lewood,
ST A TE of COLORADO, Public Work s Dep artment , I 000 Englewood Parkway, Englewood , CO
80 1 IO , FEIN: 84-6000583, hereinafter referred to as th e Local Agency, or the contractor .
FACTUAL RECITALS .
I. Authority exists in the law and funds have been budgeted , appropriated and otherwise
made available and a sufficient unencumbered balance thereof remains available for payment of
project and Local Agency costs in Fund Number 400, Appropriation Code 010, Organization
Number 9991, Program 2000 , Function 3301, Object 2312 IP, Project STE M395-008 Phas e C,
Reporting Category 6140, Contract Encumbrance Number 14414, (Contract Encumb ran ce
Amount : $371 ,2 50 .0 0).
2. Requi red approva l, clearance and coordinat ion have been accomplished from and with
appropriate ~gencie s.
3. Pursuant to Title I, Subtitle A, Sec ti on 110 8 of the Transportation Eq uit y Act fo r the 21st
Century of 1998 (TEA-21) and to appli cab le prov isions of Title 23 of the United States Co de and
im p lemen tin g regulations at Title 23 of the Code of Federal Regulati ons, as may be amended,
(col lectively refe rred to herei nall cr as "th e federal prov isio ns"), ce rtain Federal funds have been
and will in the futur e be, all oca ted for hi ghway projects requ es ted by Local Agencies and eligible
under th e Surface Tran sportati on Pro gram that has bee n pro posed by the St ate and approved by
th e Fed era l Hi ghway Adminis tration (F HW A), here ina fte r refe rred to as th e program .
4. Pursuant to § I 007(a) ofTEA-2 1, at 23 U.S.C. § ! 33(d)(2), certain Surfa ce
• Transportation Proj ec t fun ds are mad e avai lab le only fo r eligible "Trans po rtation Enhancement
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Acti vities". as defi ned in § 23 U.S .C. § I 01 (a), and thi s co ntract prov id es for th e perfornrnnce by
• the Local Agency of a projec t for an elig ibl e Transponation Enhancement . ctiv il )'.
5. Pursuanl 10 § 43-1-223, C.R.S . and 10 app li cable ponion s of !h e federa l provi sio ns, !h e
Stale is respo nsibl e for th e ge nera l admi ni s1rati on and su pervis io n of perfonnance of proje cts in
th e program , includ ing th e admini s1ration of federal fu nd s for a program projec t perfonned by a
local age ncy under a contract wi th !he State.
6. Th e Loca l Agency has requested th at a cenain loca l highwa y proj e.t be funded as pan of
the pro gram as a Tran spo11ation Enhanc ement Ac1 ivi 1y, and th e Loca l Age ncy Represents that th e
proj ec t is /Ill eli gib ie Trar1 sµo rt ati on Enha nce ment Activity as defined in 23 U.S.C . § I 0 l (a), and
by th e dat e of ex c~·ni•m of thi s co ntrac t th e Loc al Agen cy (an d/o r the Stat e) has co mpl eted and
submitted a prelim inary ver iou o CDOT fo nn #463 describing the general nature of th at project
work . Th e Local Agenr.y un •,l m ta nd s that , befo re th e proj ec t work is ac tuall y started, the
description of th. p ic,c t wo rk in that CDOT fo nn #463 wi ll likely be re vised as a result of
design changes mad e bj 1~DOT , in conjunction and coordin ation with the Local Agency, in it s
internal revie w pro cess. The Local Agen cy desire s to agree to perform the project work as
• described m the Fann #463, as it ma y be re vised in that Process.
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7. Federal-aid funds have been made ava il able fo r projec t, STE M395-008 for construc ti on
of new sidew alks on US 28 5 (Hampd en Ave nu e) Clarkson Street to Old Hampden , as more
specifi c;s tly described in Exhibit A (the Fonn #463 and/or a "Scope of Work"), in, Englewood,
Co lorado , hcr'.:tt~f•cr referred to as "the project" or "the work".
8. -he matchin g ratio for thi s federa l-a id project is 80% fe deral-aid funds to 20% weal
Agency fund s, it bein g understood that suc h ratio app lies on ly to such costs as arc eli gi bl e for
federal particip ation . it being funh er understood that all non-participating costs shall be borne by
th e Local Agenc, ;\ 100%.
9. The Local Age ncy des ires to comp ly with th e federa l provisions and olher applicable
req ui rement s, in clu ding the State's ge nera l adminis tration and supervis ion of th e project through
thi s co ntra ct, in ord er to ob tain federa l .-und s for !he project.
I 0. The Loca l Age ncy I as es1ima1 ed !h e 101al cos! of th e Work and is prepared lo provide it s
ma1c h share of !h e cos !, as evidenced by an appropriale ordinance or resolution du ly passed and
adop ted by !h e au th ori zed repre se nt at ives of th e Loca l Age ncy, whi ch express ly aut horizes the
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• Loca l Agenc y to ent er int o thi s con tract and 10 expend it s match share of the Work . A copy of
thi s ordin ance or resoluti on is attach ed hereto and inc orp orated herein as Exhibit B.
11. This contract is exec uted un der th e auth ority of §§ 29-1-203 , 43-1-1 I 0, 43 -1-11 6,
43-2-101 (4)(c) and 43-2-144 , C.R.S., as amended, and th e Loca l Age ncy ordin ance/reso luti on.
I 2. Th e panics here to des ire to ag ree up on th e division of res pon sibiliti es with re gard to th e
project.
13. The Local Agenc y is ade qu atel y staffed and suit abl y eq uipp ed to und enak e and
sa tisfactoril y complete some or all of th e Work.
14 . The State cenifies th at such work c~n be more advantageously perfonn ed by th e Local
Agency.
NOW, THEREFORE, it is hereby agreed th at:
I. ST AND ARD FORM CONTRACT
Th is is a standard fonn contract th at is de signed to effi cientl y contrac t for ano ?,dmini ster 2 types
• of program projects : I) program proj ec ts which in clud e the same basi c work eleme nts (design ;
co nstru ction ; co nstru cti on administration by loc al agency; right -of-way; utiliti es; etc .); and , also,
2) program proj ec ts with spec ific differen ces in th ose bas ic work elemen ts ~~. a specific
project may includ e des ign bu t no cons tm ctio n, or it may in clud e design and construction but the
State will do th e co nst ru cti on adminis tration. et c.)
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Th e fonn co ntract accommoda tes both types of projects by using qu ali fying language to
cond ition th e applicati on of panicul ar contra ct requireme nt s, based on wheth er spec ifi c work
clement s are i»cludcd in th e project. For instance , where th e contract provide s ... "If th e Work
includes engine er in g/des ign serYi ces , th e Lo ca l Agency sha ll perfonn the fo ll ow ing req ui rements
... ", th e Loca l Agency need perform th ose requ irem ent s on ly if engi neeri ng/design services arc
expressly in clud ed in th e proj ec t, as de fin ed in th e Sc ope of Work . (Co nversely, notwith sta nding
th at language is in th e con tract. th e Loca l Agency ca n ignore th ose "requirem ent s" if
engineerin g/des ign serv ices arc _QI express ly inclu ded in the Sco pe of Work .)
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• The Loca l Agency sha ll int erpret s uch qu alifying lang uage in th at manner . By usin g s uch
lang uage , the fom1 co nt ract can apply to both th e ge nera l and th e speci fi c types of proj ec ts, thu s
making it easier to admini ster and saving th e Stat e and th e Lo ca l Agency lim e and ex pense .
ll . PROJECT DES CRIPTION
"The project" or "the Wo rk" und er th is contract shall consist of construction of new sidewalks on
US 285 (Hamp den Avenue) Clarksrm S treet 10 Old Hampden, in Engl ewood, Colorado, as
m ore spsc ificall y described in Exhi bit /\, auac hed hereto and made a part hereof (l he Form #463
andt,1r a "Scope of Work ") as it may be revised by the partie, in the design review process be fo re
th e project wo rk is actuall y stane rl .
Ill . p-:coRP ORA TION l-'Y lti:FERENCE
All federal and state statutes, ,egulations, specificati ons, administration checklists, directives,
procedures, documents, and publications that are spec ifically identified and/or re ferenced in thi s
contract, tr. ~o:ther with all exhibits and attachm en ts and ad denda to thi s contract, are incorpma ted
• herein by this reference as terms an d conditions of this contract as though full y set forth .
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IV. WORK RESPONSIBILITY
The Local Agency sha ll be responsible to perform th e Work, and the Local Agency shall compl y
with all applicable tem1s and conditions of thi s contract in p erforming th e Work, including those
process and task responsibiliti es and stand ard s as s pecifi call y indicated in th e Pre-Construction
and Construction Administration Check li sts auached hereto and made a part hereof. The
responsible party shall perform all suc h tas ks in accordance with applicable requirements and
standards, in c ludin g th ose in thi s co nt ract 1nd in app li cab le law.
V . PROJECT FUNDING PROVISIO NS
T he fundin g provisio ns for th e proj ec t arc attached hereto and in corporated herein as Ex hibit C.
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VI. TRANSPORTATION ENHANCEMEN T AD VANC E PAYMENT PRO VISIO NS
• The advance payment provisio ns de scribed herein shall appl y onl y to a percentage of the
const ru ction work ponion of an enhancement project , as described be low . Pa yme nt for all
other work ponions of the Project , in cluding fo r the de sign work, shall be on a reimbursement
basis , as described below .
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A. Pursuant to FHWA's approval under 23 U.S.C. § l3 3(e)(3)(B), th e State will provide an
advance paym ent up to a maximum percentage of th e total amount for the construction
ponion of transportation enha nc ement proje ct activities , in acco rd with the following
pro cedures.
I. the State will provide advtnce payment to th e Local Agency of70% of the federal
funds budgeted and available for the construction of this transportation
enhancement project , in acco rd with 23 U.S.C . § l 33(e)(3)(B and as described
herein .
2. the Local Agency sha ll submit the following to the State represen tative ident ified
in section VU, after execution of thi s Contract:
a)
b)
a financial statement for the construction of the project; and
an invoice for advance payment of 70% of the federal funds budgeted and
availab le for th e construction of the project.
3. Aft er receipt of such statement and invoic e, the State will issue a warrant to the
Loca l Agency in th e amount of the appr0ved advance payment of construction
project funds , subject howe ver to the prior performance of the following: A) the
satisfactory completion of th e design of the project ; B) the State approving the
Local Agency 's construction contract: and C) the State issuing to the Local
Agency a Notice To Proc ee d with the cons tru ction of the project.
4. th e advanced fund s shall be used by the loc al agency only for th e perform ance of
the construction work of th e proj ec t. Upo n rec eipt of the noti ce to pro ceed from
the State, the Local Agency shall proceed expeditiousl y to sta rt the construction
work and pros ec ut e it diligentl y 10 completion . If for any reason the loca l age ncy
does not stan the construction work within 120 days of receipt of the notic e to
proceed , or if th e Local Age ncy starts th e co nstru cti on work but di sco ntinues or
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abandons perfomian ce bet vre co mpl eti on, the Local Agency sha ll remit to the
Sta te all federal fund s rei mbur se d or advanced by th e State for th e project not lat er
than 30 da ys aft er the I 20 th day , or after th e date th e Loc JI Agenc y
di sco minu es /aband ons per fonnance , as applicab le.
When th e Projec t con stru cti on wo rk is co mpl eted , the Local Agency shall submi t
to th e Sta te all req uired pap erwork fo r that cons tructi on work , together with a
final stat emc. I uf c~sts lor tl i,,t co nsuu ct ion work and a billin g for the remaining
30 % of th e frder, 1 fund s budgeted and availab le for the Project construction work .
The ",I it e s'i,ii oa t rei mburs e th e Local Agency the remaining 30% 01 tlie
construct .,.1 11 -,,:, costs until th e State ha s reviewed the billings and has inspected
the completed projec• co nstru cti on wo rk , subject to the tenn s and con ditions of
thi s contract.
B. Except as provided in A. above , th e State will reimburse tie Local Agency for the
federal -a id share of th e project de sign , and other wo rk following the State's review and
approval of such charges, subject to the tem1 s and conditions of thi s contract. The Local
Agency will prepare and •ubm it to the State mont hly charges for costs incurred relative to
the desib'll , and wo rk portions of the project. Pro vided, ho weve r, that charges incurred by
the Local Agency prior to the date ofFHWA authoriza ti on for the project and prior to the
date thi s co ntract is exec uted by th e Sta te Controller or hi s designee will not be charged
by the Loca l Agency to the proj ec t, and wi ll not be reimbursed by th e State, absent
specific FHWA and/or Sta te Co mroll er approva l thereof.
C. The St ate will reimburse th e Loca l Agenc y's reasonable, allocable , allowable costs of
perfonnan ce of th e Work. not excee din g the maximum total amount described in Exhibit
C. The appli ca ble prin cipl es desc ribed in Tit le 49, Code of Federa l Reg ulations, Part 18
(the "Comm on Ruic"), Subp art ("Fina ncial Administration"), including 49 C.F.R.
18.22, shall govc ni th e all ow ahi lit y and all oc abilit y of co sts und er this contract. The
I ca l Age ncy shall omp ly "1 th all such prin ciples . To be eligib le fo r reimbursement ,
cos ts by the Locn l Agen cy sh:rll he:
I. in uccorda ncc with the pro, 1sions of Ex hibit C and with th e tem1s and conditions
, 1 1 \11: co ntra ct.
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necess PC: fo r accomp li shme nl of1he Work .
rcasor ,u~k in a.rnount for th e goods and se rvices pro vided .
aclual 11c1 cos! 11> th e Lo cal Age ncy (i.e .. th e price paid minu s any refunds , reba les ,
or 01h cr it ~ms of valu e rece ived by th e Local Age ncy thal have th e effect of
reducin g the cos t actua ll y incurred).
5. in curred for Work perfon ned sub sequ ent to th e e ffective dale of thi s co ntract.
6. sa iisfact o·ily documen1 ed.
D. The Local Ag en ()' shall establi sh and mai ntain a prop er accounting sys tem in accordance
with generall y acce pt ed accounting standards (a se parat e set of accounts, or as a separate
and integral pa,: of its current acc ou ntin g scheme) to assure that project funds are
ex pended and co.,•s accounted for in a mann er cons istent with this ntract and project
objectives.
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2.
All allnvable costs ch arge d to the project , including an y approved services
contributed by the Local Agency or others , shall be supported by properly
executed payro lls , tim e records, in voice s. contracts or vouchers evidencing in
detail the nature of th e charges.
Any check or order drawn up by the Loc al Agency, including any item which is or
will be chargeable again st the project acco unt shall be drawn up only in
accordance with a prop erl y signed vou cher then on file in the office of the Local
Agenc y, which will delail the purpo se fo r which said check or order is drawn . All
check s, payroll s, in vo ices, contract s, vouc hers , orders or other accounting
do cu ments shall be clearl y identifi ed , read il y accessib le, and to the extent fea sible ,
kep • '.,Cpa rate and apart from all other such documents .
E. Upon execution of this contract th e Stat e is authori zed , in it s di scre ti on, to perform any
necessary cdministrative supp ort services pu rsua nt to thi s contract. These servic es may be
perfonned pri 01 to and in prep :u at ion for any co nditions or requirement s of thi s co ntract ,
including prior FHW A app rova l of proj ec t work . The Local Agency understand s and
agrees that th e State may perfomt suc h se rvit cs, and that payment for such services shall be
at no cos t to the St ate but shall be as pro vided in Exhibit C. At th e request of the Local
Agency, th e Sta te shall also pro vid e oth er ass istan ce pursuant to thi s contract as may be
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agreed in writing . In th e e,·ent that federal-a id project fund s remain avai lab le for pa ymen t.
the Lo cal Agen cy und ersta nds and agr(·es th e cos ts or any such serv ices and assis tan ce shall
be paid to th e Stat e fr om proj ec t fund s at th e app licable rate . However, in th e eve nt th at
such funding is not mad e avai lab le or is wi th drawn for thi s co ntr ac t, or if th e Lo cJ I Apency
te m1in atc s thi s co ntra ct prior to project approval or comp letio n for an y reason. tl wn all
act ual incurred cos ts or suc h services and ass istanc e provided by the State shall be th e sole
expense of the Local Age ncy.
F. If th e Lo cal Agency is to he billed for COOT incurred direct costs, the billing pro cedure
shall be as fo ll ows :
I . Upo n receipt or each bill fr om th e State, the Loca l Agen cy will remit to the State
th e am ount billed no lat er than 45 da ys afte r rece ipt of eac h bill. Should th e Local
Agency fail to pa y mone ys due th e State w ithin 45 days of demand or with ',, ,,,~h
ot her peri od as may be agreed between th e parties hereto, th e Local Agency B!jl¢es
that at the request o r th e State , the State Treasurer may withhold an equal am o;•~t
from futur e apportionments due th e Local Agency from th e Highway Us ers , ax
Fund and to pay such funds direc tl y to the State. Interim funds, until the St ate is
rei mbursccl, shall be payable from th e Stale Highway Supplementary Fund (400).
2. If th e Local Age ncy fa il s to make tim ely payment to th e St ate as required by thi s
sec tion (wi thin 45 da ys after th e dat e or eac h bill), the Loca l Age ncy shal. pay
interest to th e Stat e at a rate or one percent per month on th e amount of •h e
pa yment whi ch was not made in a timely mann er, unti l t'1e bilt,ng is paid in ·
The it11 eres t shall accrue fo r the period from th e requireu pa )ment dat e to the do a
o n which payment is made .
G. The Local Age ncy wi ll prepare and submit to th e State mo nthl y charges fo r costs incurred
rela tive to th e project. Th e Loca l Ag enc y's invoices shall includ e a desc ripti on or th e
am ounts or services perfo rmed . th e d:,tes of ps fonna nce and th e am ount s and descri1 111
or reimbu ,sab le expe nses . The in vo ices will he prepared in accordance with the Stat e's
standard poli cies. proced ure s. ancl standardi zed billing format attached hereto and made a
part here of as Exhibit D .
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H. To be considered for pa )111en t. bil:ings for pa i ment pursuant to thi s contract must be
• received within 60 days a fi er the peri od for which payment is being requested and final
billings on th e contract mu st be recci\'ed bv th e Stale within 60 da ys afie r th e end or the
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contract tern,.
I. Paym ents pursuant to thi s contra ct shall be made as earned , in whol e or in pan,
fro m avai lable fund s. encu mbered for th e purcha se of the describ ed serv ices. The
li ab il ity of th e State, at any tim e, for such paymen ts shall be lim ited to the amoulll
remain in g of such encumbered funds .
2. In the even t this co ntra ct is tem1inated , final payment to th e Local Age ncy may be
wi thh eld at the di sc reti on of th e Sta te unti l comp letion of final audit.
3. Incorrect payment s to the Local Agency due to omission, error, fraud, or
defalcation shall be recovered from the Loca l Age ncy by deduction from
sub seq uent payment under th is co nt rac t or oth er co ntrac ts between th e State and
Local Age ncy, or by the State as a debt du e to th e State.
4 . Any costs in curr ed b) the Local Agency th at are not all owab le und er the Common
Rule shall be reimbursed by th e Loca l Age ncy, or ofTset aga in st current
obligations du e by th e State to th e Local Agency, at the State 's ele ctio n.
VU . STA TE COMMITMENTS
A. The State will provid e li aison with th e Loca l Agency through th e State's Region Director,
Region 6, 2000 South Holl y, Denver, Co 80222, (303) 757 -9459. Said Region Director
wi ll also be res ponsibl e for coordinatin g the State's activities under this contract. Said
Reg ion Director will also iss ue a " otice to Proceed" to th e Local Age ncy for
commencement of th e Work . All com muni cat ion relating to the da y-to-day activit ies for
th e work shall be exc hanged between representati ves of the State's Transportation Re gion
6 and th e Loca l Agency . Un til changed by not ice in wri tin g. all routine co rre spond ence
sh all be ad dres se d as fo ll ows:
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• If to Stat e:
Re za Akha\'an
COOT Region 6
2000 South Holl y
Den ver. Co 80222
(303) 757-988 1
If to the Lo cal Agenc y:
Dave Henderson
Cit y of Englewood
Public Works Depanment
I 000 Englewood Parkw ay
Englewood , CO 80 I I 0
(303) 762-2506
B. The State will advance/reimburse the Loca l Agency for th e federal-aid share of the
project charges , as provided in Ex hibit C.
C. If the Work includes construction , the State, at its dis cretion , will review construction
plan s, s pecial provi sions and estimates and will cause the Local Agency to make those
changes therein that the State detennines are necessary to assure compliance with State
and FHW A requirements.
D. The State wi ll perfonn a ;',.,. i projec t inspec tion prior to project acceptance as a Quality
ControVAssurance activity. .\/hen all project wo rk has been satisfactorily comp leted, th e
State will sign the FHWA fonn 121 2.
• vm . LOCAL AGENCY COMMITMENTS
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A. DESIGN .
I. If "the Work" in clud es preliminary design , or fin al design (a .k.a. "construction plans"), or
de sign work sheets, or spec ial pro vision s and es timates (collectively refe rred to as "the
Plans "), the part y that is res ponsib le under Section IV (either the Loca l Agency or th e
State) for th e Plans\desi gn shall compl y wit h the fo ll owing requirements , as ap plicable :
I . perfunn or prod de the Pl ans , to th e ex tent required by the nature of the Work .
2. prepare fin al des ig n ("construction plans") in accord with the requirements of the
latest ed ition of th e American Asso ciation of St ate Highwa y Transportation
Officials (AASHTO) manual.
3. prepare spec :s l pro\'isions and estima tes in acco rd wit h the State's Roadway and
Bridge Desib'T Manuals and Sta ndard Specifications for Road and Bridge
Co nstruction .
4. in clu de de tails o f an y required det ours in the Plans, in order to prevent any
ir.terference of th e con stru ctio n work and to pro tect lie traveling pub lic .
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stamp th e Plan s J,,oduced by a Co lora do Reg istered Pro fess io nal Engineer.
pro vide final asse mbly of th e Pl ans and contract documents .
be re spo nsib le for th e Plan s beiug acc urate and complete.
Make no further chang es in th e Plan s fo ll ow in g th e award of the construction
co nt ract except by agree ment in writing between the parties. The Plans shall be
considered final when app roved and accep ted by th e parties hereto , and when final
they shall be deem ed inc o1 orated here in .
n. If the Local Agency is the res pous ibl e part y:
I . It shall afford th e State ampl e opport un ity to review the Plans and mai<C any
chan ges in the Plan s as directed by the State to comply wi th FHWA requirements.
2. It may enter into a contract with a consultant to do all or any portion of the Pia,-:
and/or of construction administration . Provided, however, that if federal-aid
funds are to participate in th e cost of such work to be done by a consultant, the
Local Agency shall ensu re th at it s procurement of that co nsultant co ntract (and the
performance.'provision of the Plans under that contract) complies with all
applicable requirem.nts of Title 23, Code of Federal Regulations (CFR), Part 172,
(concerning the Administration of Engineering and Design Related Service
Co ntracts), and with any proc edu res implementing those requirements as provid ed
by the State, including th ose describ ed in Attachment #I , which is incorporated
herein by thi s refere nce . Those requirements and procedures includ e, without
lim itation:
a) it shall (or it s co nlractor shall) submit an y consultant subcontract to COOT
for approval prior to it s execu ti on by th e Local Agency/Contractor, as required by
§ 172 .5 (d);
b) it shall en s1.1re that all changes in the consu lt ant contract shal l be by wri uen
supplement al agree men t and must ha,·e prior approva l of the State and FHW A.
As soo n as the contrac t wit h th e co nsulta nt ha s bee n awarded by the Local
Agency, one cop y of the c.,ccut ed co n· ··act shall be submitt ed to the State. Any
amendments to such contract shall be simil ar ly submitted;
Pa ge 11 of23
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c) it shall req uire th at all co nsulta nt billings under th at contract shall comply
with the State's standardi zed cons ultant billin g fo nnat. Examples of the billing
fo nnat s for the \'ari ous met hods of co ntract payment are attached hereto as
Attachment 2;
d) it shall (o r its co ntra ctor shall ) also use th e COOT procedures as de sc ribed
in Attachment # 1 to admini ster that design co nsult ant subcontract, to compl y with
§ 172.5(b) and (d);
e) it may ex pedite any COOT approv al of it; procurement pro cess and/or of
its co nsultant contract by submittin g a letter to COOT from the Local Agency 's
attorney and/or authori zed representativ e certifying comp liance with those COOT
Att&chrnent #1 pro cedures and with the requirements of§ l 72.5(b) and (d).
f) it shall ensure th at it s consultant co ntract c, mplies with .he requirements
of 49 CFR I 8.36 (i) and contains the required provisions as well as the following
language which shall be included verbatim :
I) "The design work under this co ntract shall be compatible with the
requirements of a separate contrac t between the Local Agen cy a.'ld the
State (which is incorporat ed herein by this reference) for the
design/con strue tion of th e projec t. The State is an intended third party
benefi ciary of thi s contrac t for that purpose."
2) "Upon adve rti seme nt of the project wo rk for construction , the
consultant shall make availabl e services as requested by the St ate to ass ist
th e State in th e eva lu ati on of con struction and th e res olution of
co nstru cti on problems that ma y arise during th e construction of th e
project."
3) "The co nsult ant shall review th e cons tru cti on co ntra ctor's shop
draw in gs for confo m,ance wi th th e co ntra ct do cu ment s and
compli u,;ce wi th th e provi sions of the State's publi cat ion,
"Standard Sp ec ificatio ns fo r Road and Bridge Co nstru ction", in
conn ec tion wi th thi s wo rk."
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B. CONSTRUC TIO N .
I.
n.
If "the Work " in clud es co nstru cti on. the par1 y that is res ponsi ble und er Sec ti on for th e
constru cti on/co nstru ction ad mini stra tion I\' (eit her th e Loc J I Age nc y or th e St ate) shall
perfonn th e constru cti on in acco rd ance wi th th e approv ed des ib'll plan s an ,J/or adm ini ster
th e con structi on all in accord wi th th e projec t's Pre.constru cti on an d Co nstru cti on
Contract Admini strati on Check li sts. Such admini stration sh all includ e proj ec t in spe ction
and tes ting ; approvin g so urces of materi als; perfo rmin g required plant and shop
in spection s; doc umentati on o f cont ra ct payme nt s. te stin g, and in specti on acc ;vities;
preparin g and app ro vin g pa y es tim ates; preparin g, appro ving , and securin g the funding
for contract modific ati on orders (C MO s) and min or contract revi sions (MCRs);
processin g contractor claim s; con structi on sup ervi sion; and , meeting the Qua li ty Control
(QC) requirements of th e FHW A/Stat e ste\\ ,ip program, all as more full y described
in the projec t's Pre•construction and Cont ra ct Admini stration Checklists.
If the Local Agenc y is the responsibl e part y, it shall :
I. appoint a qualified professi onal en gineer, licensed in the State of ,;o!orado, as the
Lo cal Agenc y Project En gin eer (LAPE), to perform that administration . The
LAP E shall admini ster th e proj ec t in accordanc e with this agreement , the
requir ement s of th e con stru cti on contra ct, and applicabl e State proc edure s. The
LAP E may be an em ployee of th e Loca l Age nc y or may be a con sultant. If th e
LAPE is an empl oyee of th e Loca l Age ncy, the LAPE shall be in re sponsible
charge of the constru cti on of th e proj ec t (as pro vid ed in § I 2•25-1 02 C.R.S. as
amend ed), not with standin g an y ex cepti on desc rib ed in § I 2•25 · 103, C.R.S., as
amend ed .
2. if bid s arc to be let fo r the co nstruc ti on o f th e projec t, th e Loca l Age ncy shall in
co njun ctio n with th e State ad\'ert isc the ca ll fo r bid s and up on co ncurr enc e by th e
State award th e ro nstruc ti o11 co1"rnc t(s) to th e low res ponsiv e, res ponsible
bidd er(s).
a) In advert isin g and awardin g th e bid fo r th e co nstru ction of a federal•aid
proj ect, th e Lo cal Age ncy shall co mpl y with appl ic abl e requirement s of23 U.S.C.
§ 11 2 an d 23 C.F.R. § § 633 and 635. Those requirem ent s inclu ua, with out
Page 13 of23
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limit ation. th at th e Local Agency/Co 11tractor shall physi ca ll y incorporate the entire
"Forni 12 73" (w hich. if rel e\'ant to thi s co11tract , is attached) ve rb atim int o any
subco ntract (s) for th ose se n ·ic cs as tenn s and co ndi tions thereo f, as required by 23
CF R 633 .102(c).
b) The Local Agency ha s th e opti on to acce pt or reject th e prop osa l of th e
low bidder for work on whi ch compe titi ve bid s ha ve been rece ived . The Loca l
Age ncy mu st dec lare th e ac cep tance or rejec ti on at th e award conference or within
3 working days after said bids are publi cly opened , whichever occ urs later.)
c) By indi cating it s co ncurre nce in suc h award at th e award conference, the
Local Age nc y acting by or thro ugh it s du ly authorized representatives , agree s to
pro vid e additional funds , subj ec t to th eir ava il abil ity and appropriation for that
purpo se, if required to complete th e Work under this project if no additional
federal-aid fund s will be mad e ava il abl e for th e proj ect.)
3. if all or part of the construction work is to be accomµlished by Local Agency
perso nnel Ci&,, by "force accoun,"). rath er than by a contractor pursuant to a
contract with th e Loca l Agency, the Loca l Agency will ensure that all such force
account work is accon,pli shed in accordance with th e pertinent State
spec ifi cati ons and requiremen ts and wi th 23 C.F.R. Part 635, Subpart B, "Force
Account Co nstru ctio n".
a) Such work wi ll nonn all y be based up on esti mated qu antiti es and firm unit
prices agreed to between the Lo cal Age ncy, th e State and the FHWA in adva nce
of th e Work , as provided for in § 635 .204(c). Such agre ed unit prices shall
co nstitute a commi tm ent as to th e valu e of the Work to be performed.
b) An al,cmati vc 10 (a) is that th e Local Age ncy may agree to participate in
th e Work b";cd on actual cost s of labor. equipment rent al. materials suppli es and
sup cn•ision necessary to co mplet e th e Work . Where actual cos ts arc used,
eligibil ity of cos t item s shall be e\'a lu atcd fo r co111p li ancc with Federa l
Acqui sitio n Rc)l ul ations (FAR). 48 C.F.R. Part 3 1.
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c) Rental rates for publicl y ow ned eq uipment will be de1em1ined in
accordance wi th § 109.04 of th e Sta te's "Standard Speci fi cations for Road and
Bri dge Co nstruc ti on".
d) All force acco unt work shall hav e prior approval of the State and/or
FHWA and shall not be initiated until the Stale has issued a wri ll en notice to
proceed .
ROW ACQUIS ITION/RELO CAT IO N.
Prior to this project being advenised for bi ds, the Local Agency will certify in writing 10
the State thal all right of way has been acquired in accordance with the applicable State
and federal regu lati ons , or that no additiona l right of way is required .
UTILITIES.
The Local Agency will be responsible for obtaining th e proper clearance or approva l fro1u
any utility company which may become involved in this project, by separate agreeme> I
between th e Local Agency and the utility, if necessary . Prior to this project h,,; :,,g
advertised for bids, the Local Agency will certify in writing to the State that all such
clearances have been obtained .
RAILROADS .
In the event the project involves modification of a railroad company's facilities at a
railroad grade crossing whereby th e Work is to be accomplished by railro ad company
forces, th e, Local Agency shall make ti mel y application to the State Publi c Utilitie s
Commission requesting it s order providing for the installation of the proposed
improvements and not proce ed with that part of th e work without compliance . The Loc al
Agency shall also es tabli sh contact wit h the railroad co mpany invo lved for the purpos e of
complying with app licable provisions of 23 Code of Federal Reg ulation s 646 , Subpart B,
concerning federal-aid proj ec ts in\'ol vin g railroad fa cilities , incl uding :
1. Executing an agreement se lling out what work is to be acco mpli shed and th e
location(s) th ereof, and 1ha1 th e cos ts of th e improvement r••all be eli gibl e fo r
federal parti cipati on.
2 .
3 .
Obiaining th e railroad's detailed es tim ate of th e cost of the Work .
Establishing future maintenan ce responsibi lit ies for 1he propos ed in stallation .
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4 . Pre scri bin g future use or dis pos itio ns of th e propose d impro\'cmcnl s in th e eve 111
of aband onm ent or elimin ati on of th e gra de cross in g.
I . Es tab lis hin g fut ur e repair and /or rep lacemenl respo nsibil iti es in th e eve 111 of
acc id ent al de slrn cti on or damage 10 th e insta ll atio n.
F. ENVIRONME NT AL.
The Loca l Age ncy shall perfonn all wo rk in acco rd wi th th e req uir eme111 s of current
fede ral and state enviro nm ent al reg ul atio n, including th e Nati onal Env ironme nt al Policy
Act of 1969 (NEPA) as app li cab le.
G. RECORD KEEPING .
I. The Local Age ncy shall main tain all book s, do cum ents , papers , acco unti ng records and
other evidence pert ain ing to costs incurred and to make such materi als ava ilable for
insp ec tion at all reasonab le tim es during th e contract period and for 3 years from th e date
of fin al payment to the Loca l Age ncy. Co pi es of such reco rds shall be furnis hed by the
Local Age ncy if requested .
Il. The Loca l Agency shall , durin g all phas es of the Wo rk, pcrrnit duly auth ori zed agent s and
employees of th e State and th e FHW A to in spec t th e project an d to in spect, review and
au dit th e project re cords .
H. MAINTENAN CE.
I.
Th e Loc al Age ncy wi ll maintain an d operate the imp rove ment s co nstrn cted un der thi s
contract , at it s own cos t and ex pen se du rin g th eir usefu l life, in a manner sati sfa ctory to
the Sta te and FHW A, and will make amp le provisi on for such maint enance eac h year.
S uch maint enance and opera tions shall be in acco rd ance with all ap pli cab le stalu lcs and
ordin ances , and reg ul at ions pro mul ga ted thereund er, whi ch defi ne th e Loca l Age ncy's
obligat ion to maintain such impro ve ment s. The Sta le and FHW A will make perio di c
inspe ctio ns of th e projec t to ve rify 1h a1 such imp rove ment s arc being adequa tely
maintain ed.
FE DERAL REQU IREMENTS .
The Loca l Age ncy/Co ntract or shall al all time s durin g the exec uti on of thi s co ntract
stric tl y ad here to, and co mpl y wit h, all appli cab le fed era l and stat e law s. an d thei r
Pag e 16 of23
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imp lementin g re gul at ions. as th ey currently exist an d may herea ft er be amended . wh ic h
are inc orp ora ted herein by th is refere nce as 1em1 s and co nditi ons of thi s co ntra ct. Th e
contrac tor shall also requir e co mp lian ce with th ese sta tut es and reg ulati ons in su bgrant
agree ment s perrniued und er thi s contract . A listin g of so me o f the federal and state laws
th at may be applic able . depend in g on th e Loc al Age ncy/Contr ac tor wo rk re spon sibiliti es
und er thi s co ntra ct, are described in ADDENDUM A.
J. DB E REOUJR.EMENTS
The Loca l Age ncy will comp ly with th e req ui re men ts o f Appen di x B and th e
Co nstru ction Co ntra ct Admi ni strati on Check li st regardi ng DBE requirement s for the
work , except if th e Loca l Agenc y des ires to use it s ow n DBE Program to implement and
ad mini ster th e DBE provision s of Titl e 49 CFR Pan 23 und er this contract, it mu st submit
a copy of its program's requirements lo COOT fo r rev iew and ap pro va l before the
execution of this co nt ract. If the Local Age nc y uses it s program fo r thi s con tra ct, th e
Local Agency shall be so lely respo nsib le to de fe nd th at DBE Program and its use of th at
Program agai nst all lega l and other chall enges or co mpl ain ts, at its sole cost and ex pense .
Such responsibility in clude s, with out limit ation , determinati ons con cerni ng DB E
eligibility and certificati on, adequat e lega l and factu al bases for DBE goals , and good
fa ith efforts . CDOT approv al (if an y) of th e Local Age ncy's DBE Program doe s not
wa ive or modify the so le re sponsi bilit y of th e Loca l Age ncy for its use as desc rib ed
above .
K. LOCAL AGENCY FUNDS
Th e Loca l Age ncy shall prov ide it s matc h shar e and indi rect cos t fund s fo r the wo rk as
outlin ed in Exhibit C.
LX . GENERAL PROVISIO NS
A. No twith standin g any conse nt s or approrn ls give n by th e Sta te for th e Plan s, th e State will
not be li ab le or re sponsible in an y mann er fo r th e stm ctural des ign, det ail s or co nstru cti on
of an y major stru ctu res th at arc designed within the Work of thi s contract.
B. If th e Work inv o lve s constru cti on, th e Stale shall ha ve th e auth ority to susp end th e Work ,
wholl y or in pan , by givin g written notice th ereo f 10 th e Loca l Age ncy , du e 10 th e fai lure
Pa ge 17 of23
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of th e Loca l Age ncy o r ii co ns1ru c1ion co nt ra ctor 10 correct proje ct co nditi ons whic h a rc
un safe for 1h e Wo rkmen or for such periods as 1h e S1a1c m ay deem necessary due 10
uns ui tab le weath er, or for co nd iti ons cons idered uns uit ab le for th e prosec uti on of th e
Work , or for any o th er condi tion or reason deemed by 1he S1a1c 10 be in !he pu bli c
in1 eres1.
C. This con1 rac1 m ay be 1e nnina1ed as fo ll ows:
I . Termin ati on fo r Cause. If, thro ugh any ca use , !he Local Agency shall fa il 10
fulfill , in a tim ely and proper mann er, il s obli gati ons und er thi s conlracl, or if !h e
Local Agen cy shall vio late any o f !he covena111 s, agreement s , or s1ipul ali ons o f
this contrac t, th e Stale shall th ereup on have !he ri ght lo terminate thi s contract for
cause by givin g wnllen noti ce 10 the Lo cal Agency o f it s int ent 10 terminate and &I
leas! ten (1 0) days opportuni ly 10 c ure th e defauh or show cause why terminati on
is otheiwise not app ro priate. In the event o f termin ation, all finished or
unfinished docum ent s, data, studi es , surveys, drawings, maps, model s,
photograph s, and report s or oth er materi a l prepared by the Lo cal Agencv under
this contract shall, al the option o f the Stale, become its property, and the Loc al
Agency shall b e entitl ed to recei ved j us l and equitable compensation for any
servi c es an d suppli es deli vered and acce pt ed . The Local Agency shall be
obli gated lo re lum any paym ent aJvanced un de r th e provis ions o f thi s contract.
No1w i1h s1and ing abo ve, !he Loca l Agency sha ll not b e reli eved o f li ability to !he
Slate fo r any damages sustain ed by !h e Stale by virtu e o f any breach o f !he
cont ract by !h e Lo cal Agency. II s hall be gro un ds fo r 1he St ate 10 lem1in a1e !hi s
con trac t for cause, ifafler a peri od o f1 wo (2) years fr om th e dale o flhi s cont rac l,
!h e Loca l Agency fa il s 10 subs1a111 ia ll y pro sec ut e !h e work outlin ed in !he conlrac l.
If a fl e r such 1e m1i na1i on ii is delcnni ned. for any reason, Ih a! !he Local Agency
ll'as 1101 in de fa ult or Ih a! th e Lo ca l Agency's ac 1i on/in action was exc us ab le. s uch
1ennin a1i on shall be lrealcd as a 1ennina1i on for conve nie nce, and !he right s and
obligai ions of !he pa n ics s ha ll be !he same as if !h e conl rac l had been tennin a1ed
fo r conve nie nce, as desc ribed herein .
Pa ge 18 of23
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2 . Termination for Conveni ence . Th e State ma y tem1i nat e this contract at an y time
th e State detennines that the puf])oses of th e distribu tion of funds unde r the
contract wnuld no longe r be se rved by complet ion of the project. The State shall
effect s uch tem1inati on by gi\'in g written noti ce of tem1ination to th e Loc al
Agenc y and specifying th e effec tive dat e th ereof, at least twent y (20) da ys before
the effective date of such tem1ination .
3. Tennination Du e to Lo ss of Funding. Th e parties hereto express ly recogni ze that
the Local Agenc y is to be paid , reimbursed , or othenvise compensated with
federal and/or State funds which are avai labl e to the State for th e puf])oses of
co nt racti ng for th e project pro vided for herein , and th erefore , th e Loca l Age ncy
expressly und erstand s and agrees that all its righ ts , demands and claims to
co mp ensati on arising under thi s con tract are con tin ge nt upon availability of such
funds to the State . In the eve nt that such funds or any part the reof are not
availab le to the Stat e, the State ma y imm ediately tennin ate or amend this contract.
Notwithstanding anyt hin g herein to the co ntrary, th e parties understand and agree th at all
tenns and con dition s of thi s co ntra ct and attachment s hereto which may require cont · nued
perfonnance or comp li ance beyond th e terminati on date of the contrac t shall survive such
tennination date and sha ll be enforceab le by the State as provided herein in the event of
s uch fai lure to perfonn or comp ly by the Local Agenc y.
E. This co nt ract is subject to such modifi ca tions as ma y be req uired by changes in federal or
State law, or their impl emen tin g reg ul ati ons . Any s uch req uired modification sha ll
autom atic all y be incof])o rated into and be pm1 of thi s contrac t on th e effective date of
such change as if full y se t fonh herein . Excep t as specifica ll y provided othe nvise herein.
no modification of thi s con tract shall be effe ctive unle ss agreed to in writing by both
panics in an amendm ent to th is co ntract that is prop erly executed and app roved in
accordance with applicab le la w.
F. To the ext ent that thi s contrac t ma y be exec ut ed and performan ce of the ob li gation s of the
parties ma y be accompli shed within th e 111ten1 o f th e contrac t. th e tem1s of this con tra ct
are severabl e, and sho uld an y 1em1 or pro visi on hereo f be decla red inv alid or become
inoperative for an y rea so n, such im ·alidi ty or fai lure sha ll not affect th e va lidit y of any
Pa ge I 9 of 23
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G.
other tern, or provision hereof. Th e \\'ai\'er of any breac h of a tern, hereof shall not be
construed as a wa ive r of an y ot her tern,, or th e sa me 1ern1 up on sub sequ ent breac h.
Thi s contract is int ended as th e comp lete int egra ti on of all und erstandings betwe en the
parti es. No pri or or co nt em pora neou s add iti on , del eti on. or oth er amendment her eto shall
have an y fo rce or effect what soev er, un less emb odied herein by wri tin g. o sub se quent
nova ti on, ren ewa l, addition , de leti on, or oth er amendm en t hereto shall hav e any force or
effec t unle ss embod ied in a wrille n co ntract executed and appro ved pursu ant to the State
Fiscal Rules.
H. Except as herein otherwise prov id cci, ;h:s co n,rnc t shal! inure to the benefit of and be
bindin g upon the pani cs hereto and thei r rc,pcctive successo rs and assigns.
I. The Local Agenc y repr ese nt s and warrant s th at it currently ha s no intere st, an d sha ll not
acq uire any int eres t, direc t or indirec t, that would cont t1.1 ' , ·,:,y mann er or degree with
the performan ce of th e Local A6enc y's ob ligation s u, ler this contract. The Local
Agenc y's furth er covenants that , in th e performa11ce of this contract , it will not emp loy
any perso n or firn1 havin g any suc h known interests .
]. This contract shall becom e "effecti ve " onl y upon lh c da!c it is exec ut ed by the State
Controller, or design ee. The term of thi s contract shall begi n on the date first writte n
above and shall continu e throu gh th e co mpl et ion and fin al acce ptance of th is proj ec t by
th e Stat e, FHW A and Loca l Agency.
K. Attachm en t LO (Ce rtificati on fo r Federal-Aid Co ntrac ts). and Appendix B (DB E
requirement s) and Addendum B, Contrac t Modification Too ls attac hed heret o arc hereby
mad e a part of thi s contract. Th e Local Agenc y shall com pl y with all applicable tenns
a11d co nditions of such atta chm ent s.
L. If a co nn ic t occurs bet wee n th e pro vis ions of thi s co ntra ct pro per and th e attachments
hereto , th e priorit y to be used to reso l\'C such a co nnict shall be as fo ll ows:
I . This contract prop er; and
2. The atta chm en ts enum erated in Sec tion IX, para graph K, above
3. Other co ntra ct ex hi bit s and att ac hm ents. in desce ndin g order of thei r attac hm ent.
M . It is expressly understood and agree d th at th e enforce ment of the terms and conditio ns of
thi s con trac t, and all rig ht s of action relating to such enfo rc ement , shall be stric tl y
Pa ge 20 of 23
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reserved to th e parties hereto. and nothin g ~ontain cd in thi s co nt rac t shall give or allow
an y such claim or ri ght of ac ti on by an y oth er or th ird person on such co ntr ac t. It is th e
express intention of the panies th at any person or entity oth er than th e parti es rece ivin g
services or benefit s und er thi s co nt ract be <i.;e med to be an incide ntal benefici ary only .
N. The Loc al Agency ass ures an d guarantees th at it possesses th e lega l authority to en ter
into th is co ntrac t. Th e Loc al Age ncy warrants that it has taken all actio ns req uired by its
procedures, by-law s, and/or appli cab le law to exerc ise th at authority, and to lawfull y
authori ze its und ersign ed signa tory to exec ut e thi s contract and to bind the Local Agency
to its term s. The perso n(s) executing thi s co ntrac t on beha lf nf the Lo cal Agency
warrants th at they have full authori zati on to exec ut e thi s contract.
Page2 I o f 23
x1. SPECIAL PROVISIONS (Re,•ised 06/2003)
I. CONTROLLER'S Al'PROVAL. C RS 24-30-202 (I )
This contrac t shall not De deemed valid un1i l it ha s bten appro\'ed by 1hc Controller or 11.e Siate of Co lorad o or such a~~ista nl
• as he ma y designate .
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2. FUND AVAILABILITY. CRS 24-30-202 (5.5)
Financial obligations of th e State of Colorado payable after the current fi sc:;I y=-i r are co n1ingcnt upon fund s for that purpo se
being appropri:i.ted, budgeted, and otherwise made a\'a ila bl e.
3. INDEMNIFICATION .
To the extent authori zed by la w, th e contrac 1or shall indemnify. sa"e, and hold uimllcss the Stat e against an )' and all clairm .
damages, liabili ty and coun awards including costs. expenses, and attorney fee s in curred as a result of any act or omission b}'
the Contractor, or its employee s, agents. sub co ntra ctors. or ass ignee s pursunnl 10 the tenns of this contract.
No term or condi1ion of this contract sha ll be cons trued or inlerprclcd as a waiver, express or implied, of any of the
immunities , rights. benefits . prolr-.:tion, or other provisions for the panics, of !he Co lorado Governmental Immunity Ac!, CRS
2-~·10-101 cl seq . or 1he Federal Ton Claims Act, 28 U.S.C. 267 1 ct seq. as ap pli cable . as now or hereafter amended.
4. JNDEPENDEI :T CONTRACTOR. 4 CCR 801-2
11-IE CONTRACTOR SHALL PERFORM ITS DUTIES HERE UNDER AS AN INDEPENDE~T CONTRACTOR AND NOT AS AN
EMP _OYEE . NF.1111ER THE CONTRACTOR NOR ANY AGENT OR EMPLOYEE OF THE CONTRACTOR SHALL BE OR SHALL
BE DEEMED TO b~ AN AGENT OR EMPLOYEE OF THE STATE. CONTRACTOR SHALL PAY WHEN DUE ALL REQUIRED
EMPLOYMENT TAXES AND INCOM~ TAX AND LOCAL HEAD TAX ON ANY MONIES PAID BY 11-IE STATE PURSUANT TO
11-115 CONTRACT. CONTRACTOR ACKNOWLEDGES TilA T THE CONTRACTOR AND ITS EMPLOYEES ARE NOT ENTITLED
TO UNEMPLOYMENT INSURAN CE BENEFITS UNLESS THE CONTRACTO R OR THIRD PARTY PROVIDES SUCH
COVERAGE AND THAT TH E STATE DOES NOT PAY FOR OR OTHERWISE PROVIDE SUCH COVE RAGE. CONTRAl.10R
SHALL HAVE NO AUTHORIZATION , EXPRESS OR IMPLI ED, TO BIND THE STATE TO ANY AGREEMENTS, LIAB ILITY , OR
UNDERSTAND[NG EXCEPT AS EXPRESSLY SET FORTH HEREIN . CONTRACTOR SHALL PROVIDE AND KEEP IN FORCE
WORKERS ' COMPENSATION (AND PROVIDE PROOF OF SUC H INSURAN CE WHEN REQUESTED BY THE STATE) AND
UNEMPLOYMENT COMPENSATION INSURANCE IN 11-IE AMOUNTS REQUIRED BY LAW, AND SHALL BE SOLELY
RESPONSIBLE FOR TH E ACTS OF 11-IE CONTRACTOR , ITS EMPLOYEES AND AGENTS .
5. NON-DISCRIMIN,<TION.
The contractor agree s to comply with lh c letter and the spirit of all appli cable stale :md federal laws respecting di.~crimination
and unfair cmploymcnl prac1iccs .
6. CHOICE OF LAW,
11,e laws of th e Slate of Co lorado and ru!c s and regulati ons issued pursuant ther eto shall be applied in the interpretation,
execution, and enforcement of this contnict. Any provi sion of this contract , whethe r or not incorporated herei n by reference,
which provides for arbitralion by any extra -j udicial bod y or person or which is otlu:rwise in confli ct with sa id laws , rul es, and
regulations sha I be considered null and void . Nothing co ntained in any pr0\1ision incorporated herein by reference whic h
purpons to negate this or any other special provi sion in who le or in part shall be "alid or enforcc3ble or av3ilablc in any
action at law whether by way of coq laint , defen se, or otherwise . Any prorision rendered null and ,•a id by th e operation of
this provision will nol invalidat e thr r~ mainde t :>f this con tra ct to 1he ex tent !hat the con tract is capable of execution .
At all times during the perfoJ'lll:tni...-\•f thi s contracl. tht:-Conlractor shall stric1ly adhere to all appli cable fede1JI and slale
la ws, rules , and regulations th :u have I t"t1 or ma y here aft er be es1ab lished .
7. SOFTWARE PIRACY PROHIBITION GO\'ERNOR'S EXECUTl\'E OfUlEll .
No Staie or other publi c fund s payabl e und er 1his Contrac1 shall be use d fo r 1he acquisi 1ion, operation or mai nten ance or
co mput er software in viola ti on of Uni ted Stale s copyri ght k1ws or app licable li censing re stri cti ons. 111e Contrac tor hereby
cenifies lhal, for the tern, of this Conlra ct and a11 y ex tt"ns 1ons. th e Contractor ha s in pla ce appropriate sys tems and con trols to
oreve m such improper use of publ ic fund s. If 1hc Stale detenninc s 1.ha t th e Co ntra ctor is in violation of thi s paragraph , th e
State ma y exercise any remedy a\·ai labl e al J:3\1, or equi1 y or under this Co ntra c1, including , without limitation , immediale
tennination of the Conm1ct and any remedy co nsistent with Unit ed S10.1es co pyrigh1 laws or applicable licensing re striclions .
8.EMPLOYEE FINANCIAL INTEREST. CRS 24-18-201 & CRS 24-50-507
The signatories aver that 10 their knowk lge, no emnloyee of the State of Co lora do ha s any perso nal or beneficia l intere sl
whatsoever in the service or propeny dt" ::ribed herei n.
Page 22 of 23
•
•
•
THE PARTI ES H ERETO HA \'E EXEC L'TED T HIS CO '.'i T RACT
. CO!\'T RACTOR:
CITY OF EN GL EWOOD
LEGAL NAME OF CO 1TRA CT ING EN TITY
84-6000583
SOCIAL SECURITY NUMBER OR FEIN
SIGNATURE OF AUT HORI ZE D OFFI CE R
PRI NT NAME & TITLE OF AUTH ORI ZED OF FICER
CORPORATIO NS:
(A CORPORATE SEAL OR AT' ~1ATION IS REQ UIRED .)
STATE OF CO LORADO:
BILL OWENS
GO\'EllJ\'O R
BY __________ _
FO R EXE CUTIVE DIP.ECTOR
DEPARnlEKT OF TRANSP ORTAT IO N
LEGA L RE VIEW :
KEN SA LAZA R
ATTO RNEY GENE RAL
BY __________ _
ATIEST(SEAL)BY __ ,----,-cc,----=,.,.,--,-,,.-.,,,-,-,--,--~-____ _
(CORPORA TE SECRETARY OR EQU IVALENT, OR TOIVN ICITYiCOUNTY CLERK)
ALL CONTR ACTS MUST m: APPR OVE D BY TH E STA TE CONTROLL ER
CRS 24-30-202 requires that the State Cont ro ller a1111ro ve all st ate contract s. This contra ct is not ,·alid
until the State Controlle r, or s uch assistant as he may deleg at e, has signe d it . The contractor is not
authorized to begin performan ce until th e co nt rac t is signed and dated below. If performance begins
prior to th e date below, the Sta!e of Colorado m ay not he ohli ga 1ed to pay for th e goods and/o r services
prov id ed.
ll Y
ST A TE CONT ROLL ER
ARTH UR L. II ARN HART
--------------
DATE __________ _
Pa ge 23 of 23
REVISE D: 12 /1/01
.Colorado Oepanment of Tran1por111tlon Origin Dal e; 01/30/2003 ~ject code: 14-1 1.J STIP num ber : DR58 I 7
DESIGN DATA Re vi se Da le : Project num ber: S11: M395 ·008
Q M~trlc
p P, I PF Prnl Ar-1 N mhAr
~ Englloh Revis ion •:
•• preli mlnary
Region: 06
0 final 0 revis ed
I
P,ojoct description: US 285 : CLARK SON· OLD HAMPDE N
Prepared by: Re vised by ; I I HE NDERSO N County 1: Arn pahoc Jcounty2: jC'o unty3 :
Dote : 01/24/2 00 3 Date : I I Municipality : Englewood
Submitted by Proj .Mgr Approved by Preconstruction Enginee r: System cod e: 0 IM U NHS • STP 0 OTHER
·-.1111'1 Oversight : • COOT Q FHWA Q OT IIER
Dato : 01 /24/2003 Plannea teng !h: 0.5
Geographic location :
North side of US-285 (Hnmpden) from Clarkson cas t 10 Old Hampde n
T erraln tvoa: 0 Level 0 Plains Q Roll ing • Uroan 0 Mounta inous
DHcrlptlon ol propcsed con strucllonlimprovemenl (attach map showing site loca~on)
Install continu ous 5' sidewalk along 1he north si de of US -285 . includinq han dica p ra mps. Ins tall new lighling.
grn■111c (Not e: use columns A. B, and/or C to Identify focllity described below)
Cunent year. 2003 Future yea r: 2025 ------Facl l!f\l location
Faclllty ADT DHV DHV%truckl ADT DHV Industrial Commerci al ResldenUal Otho,
A US-285 (Hampden ) D 0 0 D
B D D D D
C D □ l J □ ldwyCla■s Route Refpt Endrefpt Functional clenlflcetlon Facllltytype Rural code
1. 285D 260.7 261.2 Principal Arteri al Freeway 50,000 -199,999
2.
3.
U Design Standards (Identity substandard Item s with a checkma :-t-.n 1st column and cla rity ln remarks)
A • US-2 85 (Hampden) B• C•
Standard Exlsling Proposed Ultimal e Stenda«t Eidsting Proposed U11imate Standard Exisllng Propo sed Ultimate
D Surfac e type
§ T)?ca1 section type
# of travol lanes
W~ of travel lanes
0 Shoulder wd . ltlmedian
8 Shoulder wd rt Joutside
Side slope dis l . ("z")
18 Median width
Posted speed
~
18 De sign !lpeed
Max. supe ralevation
D ~adlus
D ~ ,S d
B Min. ven11,.. ssd
Max . r rad a
Projecl und er O l R Q aR O •R • Othe,: AAS HTO criteria Exi sting gua rorall mee ts curr en t s1andards : Q Yes Q No
~• In minimum des ign standards ,equhed 0 Yes O No IO Safety p,oject Commen ts:
j j Juslilication attached L] R ,IQ J8S 1 to be submi tted Not all standard s
NIA (Sid ewall,; onl y)
1 [ Bri dge (see item 4 ) D See remarlts adCressea _
XHIBIT A, Par,~__}_ of~ n Slaoa cons lructlon -
P-75
~::~~::~1:ns concerning safety aspects atta ch ed
COOT Form 1463 712001
':'•g• 2 Project Code : 144 1J I Project Number: Slc Ml95-00R I ReV1se Dale:
g M ■~or Stru.:tures
S•IO i\a Rato be removeO,P• sednew1tn.i:1ure SIandard S1r uc1u re Ho11 zontal Vertical Vear : .. ,n, I I •nnlh RAI , Pnin Fe1u1 r In,,., ..... ~, ..... Width Adwv ---Clearance Clearance Built -·-
Proposed treatment ol bridges to remain In place (addr es s bridge rnil, capacity, and allowable surlace thickness)
~ Project Che11cterl1tlc1 (proposed) Median type: Q depressed Q pa inled 0 ra ised 0 none
Uohtina 171 HandiCtlO ramps I Traffic control s•gnals f l Striplna
✓ Curb and guner I ICurtlonly Left-lUfn slots I I continuous width •
I.; Sidewalk width • 5ft. f 7 Bikewav widlh • l RlohHum slots f 7 conlinuous width ..
Parklno lane width • f l oetours Slanina: r l construction n oermanent
Landscape requirements: (description) Other: (description)
Ill Righi of Way Ye s No Est. No. II Ulllllln (llsl rv-.mes ol known utility companies)
ROW and/or perm . easemenl requ ired : 0 • ---Xcel Energy -gas operations & electri c disIribution. Q"'·cs I .
Relocation required : 0 • AT&T Broo dband, Sheridan Sanitation. Denver Water.
Temporary easement required: • 0 ~ Denver WasIewater Mgmt., Englewood W ater & SaniI:iIion ---Changes In access: 0 • ---~ Changes to connecting roads : 0 • lroad eroulngs I of crossings:
Agreements
Railroad Name required Present prolec lion Condition ol x'ings
1 u
2 D
3 D
4 D
A&:0mmendalions:
1;1Envlronmental
Type: CE Programmatic Categoncal Exclusion #: 23 CFA 771.1 17 paragraph (C) (3)
128 lnltiation Date:02/03/2003 Revision Date: Clearance Aclion Dat e:
Comments:
~Coordination
Withdrawn lands (power sites . rosen,-oirs, elc.) cleared thro ugh BLM forest service otl 1ce I l1r lgaI 1on dilch name:
t New Iralflc ordinance required I .J Mod 1ty schedule of eidsting ordinance I Municipalily:
Other:
ilJConstructlon mathod noAdReason : 0 Design Q Local FIA
Enlity/Agency conta ct name: Englewood / Da,·c l-l cndcrsun. _
Advertised by: 0 State Q P.O. Q AA FIA • e Local 1-:) $tudy C) U!HltyFIA Phone number: 00:tl 762 -:?506
0 None '.) CDu, FIA 0 Miscellaneous
W R1marks {Include additional pages II needed}
[XHIBIT A, Pagl!-2._ or--2_
Orlglnal l o : Centtal files Copl es 10: Region File s, Region Env. Manager, Stall Design Bra nc h (CA), PMO, ROW, Stall Bridge or where appropriate
I .
• A .
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[._'HIBIT C FUNDING PROVISIONS
T I,,: Loc:i l A gc11 cy h as esti m ated the tot al cos t th e W o rk to be $3 71,250.00 which i s to be
I .J ed a< fo l lo ll's: I .
b.
C.
2
a.
b .
3
a
b
BUDGETED FUNDS
Federa l Funds
(80% of Partici patin g Costs )
Local Agency Matching Fu nds
(2 0% of P.•rticip aling Co sts)
Loc al Ag ency Matching for CO OT -
In curred Non-Participat ing Costs
(Including Non-Participating Ind irects)
ITOT AL CUDGETED FUNDS
ESTIMl'Tro COOT-INCURRED COSTS
Federal S"'-=ire
(80 % of r , rlicipaling Cos ts)
Local Sha•e
Loc al f ""1cy Share of Participa ting Costs $0.00
Non-Part;c ipating Costs (Including Non-
Part ir.ipal -~ Ind irects ) S0.00
Estimal cd 10 be Billed to Loc al Agen cy
~t,_1:S TIMATED CO OT-INCURRED COSTS
ESTIMATr o PAYME NT TO LOCAL AGENCY
. Fe dera l r 1,.1ds Budg eted (1a )
. Le ss Est, 0 Ied Fed eral Share of COOT-Incurred Costs (2a )
$297,000 .00
$74 ,250.00
$0.00
$371 ,250.00
S0 .00
$0 .00
$0 .00
S297,000 .00
$0 .00
-------------------
Lis,TAL FS TIMATED PAYMENT TO LO CAL AG EN CY S297 ,000 .00
FOR COu T EN CUMBRANCE PURPOSES
Tot11 I E ~cumbrance A mount ($297 ,000 .00
divid e d I ,' 80%) S371 ,250 .0(
N et t __ l ~:
5
e~~u~::r~~i~~~:l~~s
1
: I S371 ,2:~::
Designl I I so .oc
_________ C_o_n_st~l:2_3_1_2 1 P 1 3 30 11 SJ71 .2so.oo
Exh i bit C -Page I of _
•
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B . Th e match ;,,,, r·,1 io for th e fe dera l partic ipa ting fund s for thi s pr ,_iect is 80% fe dera l-ai ~ fund s
(C;•D.\ def• :• ''I) to 20°0 Loc al Agen cy funds. it being un der stoo d th at such r:.ti o appli es
only to th e S'-1.2 50.00 that is eligib le for fe dera l pa rti cipat ion . it bei ng furth er understood
th at all non-r 1ic ipat in g co s1s arc borne by the Loca l Agency at 100%. lf th e total
partici patin g r ,"t of pcrfomi:,n ce of th e Wo rk exceeds $371.25 0.00, and addit.'on al federal
fund s are m:ulc ava ilab le for the proj ec t. th e Loca l Age ncy shall pay 20% of all such cos ts
cli ,;ib k fo, ;, ; · al part ic ipat ion and I 00 % of all non-pa rti ci pa ting cos ts; if add iti onal fe de ral
fu nus .,re n t , ,.,ti e avai labl e, the loc al agency sha ll pa y all s uch excess costs. If th e tot al
pa n ici pa1 ing ,· . I ofp erfonnance of th e Work is less th an $37 1,2 50 .00, th en th e amount s of
Loc al Agcn c, : nd federa l-aid fun ds will be dec reased in accordance with th e fund ing ra ti o
describ ed h, r, 1. The perfonn anee of th e Wo rk shall be at no cos t to the State .
C. The max imu m :i mo unt payab le to the Loca l Age ncy un de r thi s co ntract shall be $297,000 .00
(F, r l'DOT a,:0untin g pu rpo se s, the federa l fu nds of $297,000 .00 and lo ca l matching funds
of $7 ➔.150 .00 will be enc umb ered fo r a total encumb ra nce of $37 1,2 50.00), unle ss such
amo unt is inc , .. ,sed by an ap propria te writt en motli fi cat ion to thi s contrac t exec uted befor e
any in crea se,: c •s t is inc urred . It is unde rstood and agree d by the parti es hereto th at th e tota l
cost of th e \',, k stated herein before is th e best es timate ava il ab le, based on th e design dat a
as ap proved .,1 1he time of exec ut io n of thi s co ntra ct, and th at s uch cos t is subject to revis ions
(in al'rn rd w11h 1hc proce du re in th e prev ious se nt ence) agreeab le to th e parties prior to bid
and aw~11 l.L
D. The parti es h :rcto agree that 1h is co ntr ac t is con ti ngent up on all funds des ignated fr,r th e
proj ect her,·i , I cin g mad e a\'ai labl c from federa l and /or stat e and /or Loca l Age nci so urces , as
ap pl icab le .. i 111 uld these scurc es, either federal or Loca l Agency. fai l to prov id e necessary
fu 1 : .... as ag· I upo n hcn:in. the contract may be 1cnni nat cd hy either pa rt y. prov id ed th at any
pa : ·nn in a:'·1!; its in terest and oh liga ti ons here in shall 110 1 be re li eve d of any obli gati ons
wh ch c·. is t,·d rrio r to the effec tive dat e of sach tcnni nati on or whic h may occ ur as a res ult of
such h.::·n i n; 1 •11.
Exhibi t C -Page 2 of 2
EXA MPLE A (Lump Sum Co ntr acts ) Ex hibit 0. Pagl' I of 5
Company Nome: I ProJecl No. • Address: Proj ec t Location
En1Pmycr (FEIN) ID Numbe r: Suba cco unt No .
In voice Num ber and Date :
Progress Rcpon Da1ed :
% Comple<cd : (I)
C urrcm Billing Period : From : To:
BA SIC AND / OR SUPPLEMENT AL CONT RACT TOTAL : (2) $
Total Billed to Date : s
-• Le ss: Reta ina gc (10% of billing not to exceed 5% of contract) s
Less: Prior Payments: s
Prior Billing : $ Le ss Rc1aim1 gc : $ s
TOTAL CURRENT PAYMENT RE QUEST : ' s
(% To dnte of DBE work : )
I ccnify that th e bi ll ed amoun ts arc in agrc cmcn1 with th1 • co ntrac1 tcnn.'i :
e,., ""t:itlc.... ~ -
•% Comp let ed x C'o mrac t To1al "' f atal Curre nt Pa y111e111 , ~UCSI
(I) X (2\ = ('\ •
Exh ibit D -Pa ge I of 5
E:V\lvlP LE D (Cos 1 Plu s Fixed Ft>e Cont ra cts) Exhibi t D. 1'1we 2 .'.:':,,
Como:uw Name : ProJe ct No .
Add re ss :
Emolovcr (FE IN) ID Num ber: Proje ct Loc auon -Jn \'01 ce N umber and Date : -Pro l.!rc ss Rcoon Dated : Subn cco unt No .
~o Comp let ed :
BAS IC AND I OR SUP PL E~IENTAL CO~TRACT TOTAL s
Pn or oeriod Billing Amount: $
Current Billin'1 Period: From : To:
DIRFCT LABOR : (LiSI lndividuall vl
Regula , Dm:cl Hourl y R:ue Q\'C'fl l nlC CoSI
Emp loyee Name Class ifi cati on Hours s I-lours • s
Current Thi s Peri od To tal Amo unt to
!'ate (Ootional)
Subl otal -Direct Labor s s
Indirect __ {%) (as spe ci fied in co n1ra ct) s s
OTHER DIRECT COSTS (In-H ou se)
List ind ividua ll y -at actual co s! as in final cos! proposal ; mi leage {mi les X $), s s
CADD {hrs . x Sl , eo uio . rental {hrs . x Sl . etc . -SUBTOTAL (D IRECT LABOR, INDIRECr & OTH ER DIRECT COSTS) $ s -FEE(%) (As spe cified in the co ntrac t) s s
OUTSIDE SERV ICES (S ub cons ult onts & Vendors) (Li SI individua ll y) s s
(To be in the sa me forma t -anach co nies)
% To Date on DBE Wo rk s s
O ut side Se rvices Management Expense (when app licable) $ s
TOTAL CU RRE NT PERIOD : s s
TOTAL TO DATE : $ s
LE SS : Rc tai nage ( 10% of billing not tu excee d 5% of co ntra c1) $ $
LESS : Pri or Pa )1nc nts $ $
Prior llilling S Le ss Rciain:i gl' $ $ s
TOTAL CURRE NT I'.~ YMENT REQ UEST s s
I ce rtify that 1he bill ed amount s an: actual ;:md in agrecmc;,, with the co ntra ct tcnns:
;-::i 1gna1ure Ill< IJO C
•Eli •iblc cla ss ifications onlv : in acco rd :mce with co 111r:i.c1 -•
Ex hi bit D -Pa ge 2 o r 5
E~-\M PL E r (S pe cifi c Ral es of Pa v Con tracts) Edlibll n. 1':u~c 3 of S
C-o moan v Name: ProJe c1 No
Ad dress : -Emol ovcr (FE IN ) ID Num be r: ProJ ec 1 Loca uon -hwo1cc Number :md Dal e: -Proercss Rcoon Dined: Suba ccoum No .
% Como le1 cd :
BASIC AND /OR SU PPL EME NTAL COI\TR,\C r TO TAL $
Pn or Pen od Oill in1..t Amoun t: $
Curren t 81 11 111" Pe ri od: Fro m: To:
PAY RATES : (Li st Ind ivid uall y)
Regular Ovc mme Ra1cs of Pay Cos1
Empl ovee Na me Cla ss 1fi cat 1on Hours Hours• Slllours ·· s
-
SU BTOTAL-PAY RAT ES : $
OTHER DIRECT COS TS (In -I-l ouse) $
Lis t indi,1idua ll y -at actual ra 1cs as in final cost pro posal; mil eage (miles X $).
CADD (hrs . x $), eouip . rentnl (hrs. x S), etc . $
SUBTOTAL (Pay Rat es and Other Di re ct Rat es)
OUTSIDE SE RVI CES (S ubconsult ants & Vend ors) (List indi viduall y) $ CT.:> be 111 the same fonna t -atta ch cooi cs)
a % To Oa1 e on DOE Work s -Ou tside Servic es Management Expen se (w hen app licab le) $
TOTAL CURREN T PERI OD: $
TOTAL TO DATE : s
LE SS : Rctainuge (10 % of billing not to exc eed 5% of co ntra ct) $
LE SS : Prior Pa yments s
Pri or Bill ing $ Le ss Rc1ainagc S
TOTAL CURREN T PA YMENT REQUES T $
I cc nify th at the bill ed amoun ts an: actu al and in ag ree ment with th t· co nt racl terms:
I Signat ure Tnk Datt'
•Eli gib le cl ass ifi calio ns on ly: in acco rd ance wi th con1 rn c1
•• In acc orda nce wi lh contrn c1
•
E, .hi bi t D -Pa ge 3 o f 5
EXA~IPLE D (Loca l Al!c ncv Bilhn e) Oa 1e Exhibit D, Pa2, 4 of~
.SECT ION I CONTRA CT DAT A
Local Agen cy : _______ ProJCCl 'o
Add ress :
Emp loyer (FE IN) ID Numb er: l'rDJC CI Loca l\011
Invoi ce Number and OJ\c : • ~o Co mpl eted : Suba cco un t No .
BA SIC AND /OR SUPPLE~IENTAL CONTRACT TOTAL : s
Fed era l Share s -Local .A gency Share s
S1111 e Shu re$
Prior P~riod Billin g Amou nt: s
Current Bill in1,t Period : From: To :
SECT ION 11. INC URRED COSTS
DIRECT LABOR: (Li st individuall y)
Employe e Classifi ca1i on Regular Direct Hourl y Ov ert ime Cos !
Na me Hours Ra te S Hours• $
Curren! T otal 10
SU BTOTAL -DIRECT LAB OR TI1i ,; Peri od Date
BENE FITS % OF DIRECT LAB OR $ s
OTHER DIRE CT COSTS (In-H ouse) s $
Lis i ind ividuall y-at actua l cos t:
Mileage (miles x S), CADD (hrs. x S), s $ • Equip rental (hrs. x S), etc.
OUTSID E SER VICES (Consuh ants & Vend ors)
{Li si ind iv iduall y) (To be in thi s same fo mmt-s s
attac h co pie s of in voices )
TOTAL COSTS CU RR EN T PEIUOD : s
TOTA L COSTS TO DATE : $
SECT ION 111. BI LLI NG
TOTAL BILLI NG CURRENT PER IOD
L_% OF TOTAL COSTS): s
Pr ior Bill in1;: s
I cert ify 1ha1 the b1 :1cd amou n1s are acma l and in agrrc mcnt with 1h c ,:o nt ra ct tcmlS .
Si ~n aturc Titl e Date -· • •Ehg1blc cl assificauons onl y
Ex hibil D -Page 4 of 5
. . .. Ex hibit U 11:1 •cc; or .c:;
Conman v Name. ._ l'roJ CCI f\o I
Address
Emolo\'cr {FEIN} ID !'-:umh cr l'roJt·ct Lo rn uu11 -ln \'Oicc Sumhcr and Dat e; I -Pr oe rcss Rcoon Da1ed . ( Sub:i cco unt ~o
~o C ompleted : I
_l)AS IC AND OR SU PPL E~IEJ\"I AL CO:--'TRAn· ro, ,\L s
Pn or l'c nod B1lhn !.! Amoun t s
C urrent 81 llin l! Period . From. ·1 o·
PAY RAT ES : (Li st lnd1 \'1duall v1
Regula, Cc:rt1fi ed F1.xcd Cost
Emplovcc Nam,· Clab 1fica11on I lours llour h · Rau~s !\lullmil cr s
SUBTOTAL-PAY HATES : s
OTHER DIRECT COSTS (In-Hou se ) $
Li st individuall y -at actua l rates as in final cost proposal: nli lc age (miles X $).
CADD (hrs . x $), ca uio . renta l (hrs. x S). CIC. $
SUBTOTAL (Pa y Rate s and O1 hcr Di rcel Ra1e s)
OUTSIDE SERV ICES (Subconsuhan lS & Ve nd ors) (Li SI ind iv iduall )') $ {To be in the sa me format -atta ch co nie s) .. % To Date on DEIE Work s -O utside Services Management Expense (when a pplicable} s
TOTAL CURRENT PERI OD : s
·-TOTALTODATE: $
LESS : Rc1ai113ge (10% of billing not to ex ceed 5% o f co ntra ct) s
LESS : Prio r Pa yments s
Pri or Dill ing S Le ss Rctaina gc $
TOTAL CU RRE NT PAYME NT REQU EST s
I cc rl ify Iha! th e billed amounl s ar c actua l and in agre ement wi lh 1hc cont ra c1 1cr111s:
Signatun: T11 lc Dal l'
•
Ex hibit D -Pa ge 5 Jf 5
•
•
•
ADDENDUM B: CONTRI\CT MODIFICATION TOOLS
The Local Agenc y and the State ma y use a Funding Lener in order to more ex peditiou sly chang e and
amend the terms of this co nt ract , if such use is warranted by th e circumstance s as de sc rib ed and
authori zed therein .
FUNDING LETTER .
The state may allocate more or less funds ava il ab le on thi s contract using a Funding Lener substan tiall y
equivalent to Exhibit E and beari ng the approval of the State Co ntroller or his designee. The fundin g
)eller shall not be deemed valid until it shall have been approved by th e State Contro ller or hi s designee .
Addendum B -Page I of2
COLORAD O DE PARTM ENT Of TRANSPORTATION AU THORITY :
CONTRACT FUNDING INCREASE /OECREASE .AN D APPRO VAL LETTER Stat e Controll er Policy letter on Jun e 12, I gc ·
Regio n Co mplete section I and submit to COOT Controller's officr . COOT Coniroller le ller on Mav 23 . 1996
I.-nhis form to be used for t '1e fo ll owi ng contracts i sf tuation s only (check th e ap propriate situation)
_indefinite quantity, orde r n1ore /add more _utillty /rallroad, underestimated cota l cost
_COOT construction, sum of CMO 's _LA con str uction , under esti mated cost
COOT cons t ruction, underesti mated total cost COOT consultant, underestim ated cost
SECTION l (Rea lon use )
Dat e: (2) Proiect code (3 )
To · COOT ControIIer (FAX #(303) 7S7 -9S73 or e-mai l CON TR OLLER ) Project# (4)
Fro m: \ Office : (5) Phone# (S) I FAX# (5)
Rea lon # (5)
CO OT has exe cu ted a co ntract with : (6)
Address : (6)
FEIN # (6) Contra ct ro uti ng # (7) COFRS ,ncumb r;,nc, I llndiu1, PO. SC or PC #) 181
Fund I Org n. I Aporo . I Pr grm . Fune. I Obj ect/Sub -obj N/P I GBL Reporting Ca tg. I ProJ/5ub 1. nase
(9) (9) (9) (9) (9 ) (9) (9) (9) (9)
Origlnal contrac t amount Has a Budget Request beer: proce sse d to cover th e co ntract amount in creas e?
S (10) ve s no (14)
~ious Fu nding Letter(s) total Pr eparer's name (15 )
S (11 )
1r11ndl119 1,ner 1 1 lhfll , _J PHONE NO:
Thi s Fund i ng Letter t ot al Co ntract Ad m i nistrat o r's/Busin ess Ma nage r's App rova l
s (12) (1 6)
I•__) PH ONE NO :
Adjust ed co ntract am oun t COOT Desi gnee Approval
S (13) (17)
Lo ca l Agency approva l
(1 8)
SECTION 2 (Controller's Office use ) ( 19)
To t al all otment am ount Co m missio n bu d get
s (19) s (19)
If co nst ru cti on : I CE charges I Indirect chgs I Adjusted contraCI amount plus total CE & in direct
_CE pool elig . (19) S (19) S (19) charges cal cula1ion S ( 1 9)
I have rev iewe d th e fi n ancia l status o f the project, o rg an izat ion, gra nt and have determ ined t h at su fficie nt fund s arc availa ble
to cove r this Incr ease, effec tive as of (19)
:•e Con troller or Oelegee
(2 0 )
I Date
(20)
Addend um 8 -Page 2 of 2
I COLORADO DEPARTMENT OF TRANSP ORTATION
LOCA L AGENCY CONTRACT ADMINISTRATION CHECK LI ST
Project No. I STIP No. I Project Code Region
STE M395-008
DR5817 1441 4 06
Proje ct Lo ca lion
1
Date
US285 : Clarkson -Old Hamoden 01/09/03
Project Description
Install sidewalks along north side of US-285 , including handi cap ramp s and lighling
Local Agen cy Local Agen cy Pro ject Mana ger
Enal ewood Dave Hende rso n
COOT Resid ent Eng inee r CDOT Project MAnager
Reza Akhavan Gary Huber
INSTRU CTIO NS:
This checklist shall be utilized lo establish the contract administ ration responslbllilies of the Individual parties to this agreement.
The check list becomes an attachment to tie Local Agency agreement. Section numbers correspond to the applicable chapters
of the COOT Local Afiency Manual .
The checklist shall be prepared by pla cing an •x~ unde r the respons ibl e party, opposite each of th e tasks . The -x" denotes th e
party respo11aible for initiating and exacuting the task . Only one res pon si ble party sho uld be selected . When neither COOT nor
the Local Agency Is re?;ponsihle for a task , not applicable (NA) shall be noted . In addllion , a-#" will denote that COOT mus!
concur or approve.
Tasks that will be performE.d by Headquarters staff will be indicated . Th e Regions , In accordance with es tablis hed policies and • r rocedures . will dete rmin'J who will perform all other !a sks that are th e respo nsibility of COOT .
The checklist shall Pe prepa red by the COOT Res iden t Engine er or !he COOT Project Manager , in cooperation with the local
Agency Project Mantiger, and submitted to the Reg ion Program Engineer . If contract admi nistration responsib11i ties change , the
COOT Res ide nt Eno ineer. in coooeration wiP'· th e local Aaencv Proi ect Manaa er. will oreoare and distribute a revised checklist.
-RESPONSIBLE
NO . DESCRIPTION OF TASK I PARTY
LA COOT
TIP / STIP AND LONG-RANGE PLANS
2-1 I Re view to ensure consistenc:t 'I\ ilh STIP and amendments thereto I X
FED ERAL FUNDING OB LIGATION AND AUTHORI ZATION
4-1 Authorize funding by phases (COOT Form 41 8. Fcdf!r;>' J Program Ca ta. RcQu ires FHWA X
concuncn ce/invotvemenll
PROJECT DEVE LOPMENT
5-1 Preoare Desion Data -COOT Form 463 X
5-2 Prepare local Aoencv/CDOT Int er-Gove rnm ental Aareement ,see also Chao ler 3l X
5-3 Cond uct cons ultant se lec tion /execule aa reeme nt X #
5-4 Co nducl Desian Scooina Review meetino X
5-5 Co nd ucl oublil !nvolve men t X
5-6 Co nduct Field ln snectio n Re view X
5-7 Conduct environ men tal orocesses (ma v 1eau1re FHWA cc,ncurrencelinvolvemenl) X #
5-8 Acauire riaht-of-wav lmav rea uire FHWA corl":urre nce/lnvolveme nt ) X #
5-9 Obtai n ut ilitv and railro ad aoreements X
5-10 Conduct ~; .. al Office Revie w X
5-11 Justify force accou nt work bv the local Aaencv X
5-12 Justifv oroorleta ;v ilems X --~13 Doc um ent desian exceotions -COOT Form 464 X
■ •-14 Pre oare clans, soe cifications and constr uction cost es tim ates X
5-15 Ensure authoriz atio r. of fund s X
CDOT Form 1243 07102 Page1 ol 4 ·
Previous editions are obsolete and may nol be used /
0 . I DESC RIPTI O N OF TASK
"_ROJECT DEVELOPMENT CIVIL RIG HTS AND LABOR COMPLIANCE
6-1 Set Underutilized Disad van ta ged Bu siness Ent erp ri se (UB DE) goals for co nsultant and
co nstrucl ion Contracts COOT Re ion EE O/C iv il R! hiss ec1all st J
6-2 Determine applicablllty of Davis-Ba con Act
This projec t D is [8J is not e><empt from Davis -Ba co n req uiro.m~r,ts as determined by th e
functi onal classi fi cation of th e project loc at ion (Projec ts loc ated on iocal roads and rural
minor co ll ec tors ma y be exe mpt ,)
/.7 'J// h ( ~---I -,,_ 03
CDOTW.sident En lneer Date
6-3 Set On-the-Job Training goals. Goal is zero if total ,:o nstru ction 1s less than S 1 mi llion (COOT
R'l Ion EEO /Civil Rights Specialist)
Ensure th e co rrect Federal Wage Decisio n, all re,:;11lred Di sadvan taged Business
Ent erprise /On-th e-Job Tra ining spec ial pro visions and FHWA Form 1273 are in cl uded in th e
Contract COOT Resident En in eer
slle and pl an details with pro spec ti ve bidders while project is und er
en t
ids for com liance
OT Form 715 -Certificate of Pro posed Un derutilized DBE Participation when th e
r meets UDB E oals
DOT Form 71 B -Un deruutize d DBE Good Faith Effort Docu mentation and
if th e Contracto r has made a good fa ith effo rt when th e low bidder doe s not meet
s
a Is in COOT Con stru e/ion Manual}
coda is 1n COO T Constru ction Manual
Su ervise cons tru ctio n
A Pr ofessi onal Engineer (P E) reg istered in Co lorad o, who will be Min responsible charg e of
cons tr ucti on supervision .M
(3 031 762-2506
Ph one number
RESPONSIBLE
PART Y
LA CDOT
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
COOT Form 12 43 07 102 Page2 of 4
Previous ed itions are obsolete and m ay not be used
I
RESPONSIB LE
• Oesca,e;,QNOHASK PART Y
LA COOT
COOT Resident Eno lneer
Pro vide competent . experi enced staff who will ensu re the Contra ct work Is const ru cted in
accorda nce wi th th e cla ns and soec lfi catio ns X
Co nst ru ction insoection and do cumentat ion X
8-5 Ao cro ve shoo drawinQ s X
8-6 Pe rform traffi c co ntrol lnsaectlons X
8-7 Pe rform cons tru ction surveyino X ·-8-8 Mon um ent riaht -o f-wa v X
8-9 Prepa re and appro ve In terim and fina l Contra ctor pa y esUmates X
Provide the name and phone number of th e p erson authorize d for th is lask .
D.r1re-ti.e.'l:1drir.S(11:l rnQJl 1s,-25Q~
Local Aa encv Reo resen tative Phon e number
8-10 Prenare ~nd aoo rov e Interim and final utllltv/rallroad bllllnas ),
8-11 Pre oare Local Aoencv reimbursement reoues ls X
8-12 Preoare and authorize chanc e orders X
8-13 Annrove all chanoe orders X
8-14 Monitor oroiect financial status X
8-15 Preoare and subm it monthlv croa ress reoorts X
8-16 Resolve Contractor claims/disputes X
8-17 Cond uct routine, random project reviews
Provide the name and phone number o f the perso n responsible for thi s task. X
•• li.e.zA A &./J.,z t:.411. [.3l >"~) ZS 7-::/.U.l
COOT Resident Enoineer Phone numbe r
MATERIALS
9-1 Conduct Materials Preconstruction meetina X
9-2 COOT Form 250 • Materials Documentation Record . Generate form , which includes determining th e minimum number of required tests and X
applicable m aterial submlttals fo r all materials placed on the project
Update th e fo rm as work progresses X . Com al•. :1: and distribute fo rm after work is co moleted X --9-3 Perform oroiecl acceptance samples and tests X
9-4 Perform laboratorv verification tests X
9-5 Accept manufactured products X
lnr;peclion of structural components:
Fabricatio n of stru ctural steel and pre-stressed concrete stru ctural co mponents X
Bridge modular expansion devices (0~ to 6~ or greater) N/A
Fabrication of bearina device s N/A
9-6 Aoorove sources of materials X
9-7 lnd epend c1;t Assurance Testi ng (IAT). Local Ag ency Proc edures ~ COOT Procedures U
G enera te IAT schedu le X
Schedule and provide notifica tion X
Conduct IAT X
9-8 Approve mix designs
Concrete X -Hol bituminous oavement X -9-9 Check final materials documentation X
9-10 Comolete anr' rt istribute nnal materials documentation X
COOT For m 1243 07/02 Pagel of 4
Prev ious editions ere obso lete and may not be used
3
• 1:0NST RU CTION CIVIL RIGH TS ANO LABOR COMPLIANCE
10-1 Fulfill oroiect bulletln boa rd an d oreco nstruc11on oa ck&t reou irem ent s X
10-2 COOT Form 205 · Sublel Penni! Appllcallon
Revie w and sign corr.plated COOT Form 205 for ~ach subcontractor. and submit to X
EEO/Ci vi l Riohls Soec lalisl
10-J Co nduct emplo yee inter ,tews. Co mple te COOT Form 280 -Equa l Em ptoyment Oppo rtun ity X
and Labor Compli ance Verification
10-4 Monitor Disad van tag ed Busin ess Enlerpri se particrp alion to ensure co mpliance with th e X
·commerciallv useful fun ction· reauirements
10-5 Conduct trai nee Interviews . Complete COOT Form 200 • OJT Training Questionna ire wh en X
oroiect utilizes on•th e-iob trai nees
10-6 Check ce rtifi ed oa vro lls fConta ct the Reolon EE O/Civil Riah ts Soeciahsts for tra lnlna reQu irements 1 X
10-7 Submll FHWA Form 139 1 • HiQhwa v Conslructior, Con trac tor's Annua l EEO Repon X
FINALS
11·1
11-2
11·3
1 1-4
11-5
11·6
11-7
11 -6
11-9
11-10
--1-11 .. 11 -12
•
Conduct final project inspection, and complete and submit COOT Form 12 12 • Final
Acceptance Report (Resldent Enginee r wilh mandatory Local Agency particlpallon,)
Writo fina l orolect acceotance letter
Advertise for final settlem ent
Prepare and distribute fi nal As-Constructed olans
Chock final auantitles , fi nal olans and the fina l pay estimate
Check material documentation and submit fina l material certification lsee Chanter 91
Obtain COOT Form 17 • Contractor DBE Payment Certification from the Contactor and
subm it to the Resident Enaineer
Process final oa vment
Obtain FHWA Form 47 • Statement of Materials and Labor Used
Com nlete and submit C OOT Form 950 • Project Closure
Retain oroiect record s for six vears fro m date of orolec:t closure
Retain final version of this checklist and distribute copies
cc: COOT Resident Engineer/Project Manager
COOT Reg io n Program Engineer
COOT Region EEO/Civil Rig hts Specialist
COOT Region Materi als Enginee r
COOT Contracts and Market Analysis Bra nch
Lo cal Agency Project Manager
. . . from th e Contractor
X
X
X
X
X
X
X
X
X
X
X
# X
COOT Form 1243 07 102 Page4 of 4
Previous odltlons arc obsolete and ma y not be used
. -
ATrA CM~I Ei\T #I
• TH E LO CAL AGE:0-CY SIIALL l 'SE THESE l'ROCEl.>URES TO l ~ll'LD I EN T FEJlERAL-Alll l'llOJECT
•
•
AG R EE~I ENTS WITH l'IIOFESS IO:-iAL CO NSU i.TA 'T SER\'JCES
T ull 2.1 Cock of Federal Regul auons (C FR ) 172 app li es 10 (I fe derall y fu11d ed loc al agency proJC CI ag recmrnt
ad111 1111s1rred by CDOT !h at uw oh·es profe ss ional consult ant scn·1ces 23 CFR 171 and 23 CFR 172(dJ slat e 1hat. "When
fedcul-aid hig hwa y fun ds pam cipa te in th e co ntrac1 a loc al shal l use 1he sam e procedur es as used by 1h,· Sta ie to
adm111is 1cr co ntr ac ts ... ". Ther efor e. local ag encies must compl y wit h ti ns CFR rcquiremcnl and tht: fo ll owm g stale
proc,•dure s when obt ainin g profe ssional co nsuha111 se rvices under a federall y fund <.-d co nsullan 1 co ntra c1 ad rn imstcred by
COOT.
COOT has fomm l:ued 11s prm·c d•.res in Procedural Dir ec 1iv<.-(P.O.) 400.1 and th e related operati ons guideboo k ti tl ed
"Obtaining Profes si on.ii Co nsult an1 Se rvice s". Th is dire cti ve and guidebook 111co rpornt e rcquuem nt s from both Fed eral
and tat c regula tions. i.e .. 23 CFR 172 and Co lorado Re vised Statu te (C.R.S.) 24 -3 0-14 0 1 ct s1;q. Copie s of the di1e cti\'e
and 1he guid eboo k may be obta in ed upo n req ue sl from CDO T's Ag ree ment s and Consul1 a111 t-.fo nage menl Un it. I Local
age nci es should ha\'e 1he1r O\\ll \\T in cn pro ced ure s on file for ea ch met hod of pro cure men! 1ha1 add resse s th e ucms in 23
CFR 172.S(b}(l-6)].
Dec au sc th e proced ures and laws described in the Proce dural Di recti ve and thc guid ebook arc qui le length y, th e
sub se qu cnl steps se rve as a shorl-hand gui dc to COOT procedures that a loc al agency mu st fo ll ow in ob lainin g
profe ss ional co nsult ant se rvices. Thi s gu ida nce fo ll ows 1hc: fo mu1 of 23 CFR I 72 . The steps arc:
I.
2.
3.
4.
5.
The co nt rac 1ing local age ncy shall do cument 1hc need for oblllinin g profe ss ional scn·ices .
Prio r 10 solicitati on for consu ll ant servi ces, !he contra ctin g local agency shall deve lop a de tai led sc ope of wor k
and a li st of e\•alu ation fa c1ors and !h eir relativ e import ance. The evaluati on fac1o rs are !hos e id cn1ifi c:d in C.R.S.
24 -30-1403 . Also, a dc 1ai lcd cos t cs timale should be prep ared for use durin g negoti ati ons .
The co ntn.'ling age ncy musl adve rti se for co ntrac ts in co nfo m1i 1y wi 1h th e requirements ofC.R.S. 24-30 -140 5.
The public notice peri od, when such notice is requi red, is a mini mu111 of 15 da ys pri or 10 the se lec ti on of the three
most qualified Jinns and th e advc nisi ng should be done in one or more da•:y news pap ers of gen eral circu lation.
Th e reque st for co nsultan t sen•ice s should include the scope of work , the C\'a lu alio n fa ctors and th eir re lative
im porl:m ec:, the method of pa yment. and the goa l of ten percen t ( 10%) Oi sadvanlaged Bu siness Erucrprise (DBE )
parti cipa 1ion as a min imum fo r the.· project.
The ana lys is and selcct mn of 1hc con su\tan ls shoul d be do ne in acc ordance wit h C.R.S. 24-30-1403 . TI1i s secti on
of th e regulatio n idc ntifit:s th e crit eria 10 be used in 1hc eva lua tio n of COOT pre-qua lifi ed prime co nsult an ts and
!h eir 11:am. II a lso shows whi ch cri 1eri a are used 10 shon-list and to make a fin al seh.·clion.
The short -list is ba sed 0 11 lh l' fo llo wmg C\'alua1ion fa ctors:
a. Q ualifi cati ons.
b. Approa ch to the proje ct
c. Abi li1 y 10 fu mish profe ss iona l sc n ·1ces.
d. Anticipat ed desig n co nrcp1 s. und
c. All cmall n: nwth ods ofappiou ch for fun nsl1111 g lhl' pmfess ional sc rnn·s .
Eva luatio n fa ctors fo r fina l st·lrction ar r the consultanl's:
a. Abili ti es of th l'ir pcrso nn (·l.
b. Past pcrfo nnan cc.
c. Willingness 10 meet th l' time and budge t n.·qturement.
d. Loc a11 on,
c. Curr en ! and proJl'Cll'd work load,
f. Vo\umt· of previou sly awarded co ntra cts. and
lnvo l\'c ment of nun ont y co nsult tm ts.
All ac hmc nl 111 -Pa ge I of 2
•
•
•
6.
Un der 24 •30-1401. rost shall not be ro nsldercd as a rartnr In th e e\'ll l uatinn of profess iona l cons ult a;:.t
se[\'ic('S,
Once ii co nsul1ant is se le cted. 1hc local agency en ters 11110 ncgo 1ituion s with the co ns ultant to obtain a foir and
rea sonable price fo r th e ant ic ipated work . Pr c•ncgo1iati on audits arc prepared for co ntrac ts cxpc c1cd 10 be gre at er
th an $50,000 . Federal reimburse ment fo r cos ts arc limi1c d to th os e" sts all owilb lc under the cos t principle s of 48
CFR 31. Fix ed fe es (profit ) arc dctcnnincd with considention give n to size, com plex it y. dura tion , and de gre e of
ri sk involved in th e work. Profit is in th e ran ge of six (6 ) to fifteen (15) pe rcent of the 10111 1 direct and indm:ct
cos ts.
7. A qualifi ed local agency employee shall he re s ponsi bl e and in charge of the projec 1 to ensure tha1 th e work bei ng
pu rs ued is comple1e, acc urate, and consistent wi th the te mlS, conditions , and specifications of th e contra ct. Al the
end o f project, th e local agency prepares 11 performance evaluation (a COOT fonn is available) on th l! co nsultant.
8. Each of 1he steps listed above is 10 be documented in accord imce wi th the provis ions of 49 CFR 18 .42, which
provide for records to be kept at least three (3) years from the da1e that the loca l age nc y submits its final
expendi ture report. Records o f p roj ects under litigatio n shall be kept a1 least three (3) yea rs after the case has
bee n settled.
Th e C.R.S. 24 -30-1401 through 24-30-1408 , 23 CFR Pan 172 , and P.D. 400 .1, provi de additio nal deta il s for co mplying
wi th 1he e ight (8) steps just discussed .
Allac hm cn t #I -Pa ge 2 of2
• FHWA Form 1273
•
•
REQUIRED CONTRACT PROVISIONS
FEDERAL-AID CONSIRUCTION CONTRACTS
I General ..
II. Nond1scrim1nat1011.
111. Nonsegrega1ed Fac.illl1es ....
IV. Payment of Pred .iterm lned Mi nimum Wage ...
V. Sta tem ents and Poyrolls ..
VI. Re cord of Ma lerli~ls , Supphes , and labor ...
VI I. Sub lellmg or Ao;slgnlng lhe Contract ..
VIII. Safety: Accident Preven tion .......................... .
IX. False Statements Concerning Highway Projects ...
X. Implementa tion ol Clean Air Act and Fede ra l
Water Pollution Control Act....
XI. Certification Regar di ng Debarmenl , Suspension ,
lnellgibihly, and Voluntary Excl usion .. . ............................ .
Xll. Cer11flca\ion Regard ing Use ol Contra ct Fund s for
Lobbying ...
ATTACHMENTS
A. E-"mployment Preference !or Appalachian
Contracts
(m cluded In Appalachian contracts only)
I. GENERAL
1. These contract provisions shall apply to all work
perlormed on the contract by the contractots own organization
and with the assis tance of workers under the contra ctots
Immediate superintendence and to all work performed on the
contract by pleceWO<k, station work, or by subcontract.
2. EKcept as othel"Mse provided for in each section. the
contractor shall insert in each subcontract all of the stipulations
contained In these Required Contracl Provisions. and further
require their mduslon in any lower tier subcontract or purchase
order lhat may In turn be m ade . The Required Conlract Provi-
sion s shall not be incorporated by reference In any case. The
pri me coo tra cl or shall be responsible tor compliance by any
subcontractor or lower Iler subcontracto, wilh these Required
Contract Provisions.
3 . A breach of any of lhe st1pul a!1ons cootain ed in these
Required r on tract Provisions shall be sufficient grounds tor
termination ot the con tract.
4. A breach of the following dauscs of the Required
Contracl Provisions may also be grounds for debarment as
proVJ ded In 29 CFR 5.12:
Secllon I, para"Jrap h 2:
Section I V. paragraphs 1. 2. 3, 4, and 7:
Section V. paragraphs 1 and 2a through 2g .
5 D1spu1es arising ou l ot the la bo, sta ndards provisions ol
Section IV Je•cepl pa ragraph 5) and Sec11on V ol these
Required C ontract Provisions shall nol be sub1ec1 10 the
general disputes clause of this contract Such disputes shall
be resolved in accordance wi th th e procedures ol the U .S.
Department of Labor (OOL) as set l 0t1h in 29 CFR 5, 6. and 7.
D isputes within the meaning ol this c1au!>e Include disputes
between the contraclor (or any of Us su bcontractors) and the
contracling agency. the OOL . or th e contr ilctor's employees or
tnelr representat ives.
6 Selectlon ol L abor· During me performan ce of 1h1s con-
tra ct th e coniractor shall not·
a. d1scn mlnate against labor lrom any other Sta te,
possession. or l erritory of me United Sta tes (except for
emptoymenl preference for Appalachian con tra cts, whe n
appllcable . as specified ln Attachment A). or
b. employ convict labor for any purpose vlith !n the limits
of the projecl unless It is labor perfOfmed by conv1cts who are
on parole. supervised release . or ~robalion.
II . NONDISCRIMINATION
(Applicable to an Federal-aid constru ction contracts and to
au related subcon tracts of $1 0.000 or more.)
1. Equal Employment Opportunity: Equal employment
opportunity (EEO) req ui rements not to discriminate and to lake
affirmative actJoo to assure equal oppor1unlty as set forth under
laws , executive orders, rules. regulations (26 CFR 35 , 29 CFR
1630 and 41 CFR 60) and orders ol lhe Seaetary of Labor as
modified by the provisions prescribed herein, and Imposed
pursuanl 10 23 U.S.C . 140 shall constitute the EEO and
specific affirmative actioo standards tor the contractor's project
activities under this cootract. The Equal Opportunity
Construction Contract Specifications set for1h under 41 CFR
60-4 .3 and the provisions of the American Oisabllllies Acl ol
1990 (42 U .S.C . 12101 tJ ug.) set forth under 28 CFR 35 and
29 CFR 1630 are Incorporated by reference in this contract. In
thtJ oxecullon of this contract, the contract0< agrees to comply
with the following m inimum specific requlremenl activities of
EEO :
a. The contractor will work with the Sla te highway
agency (SHA) and th e Federal Government In carrying out
EEO obligallons and in the ir review of his/her activities under
lhe cootracl.
b. The contrac tor will accept as his operating policy th e
followi ng statement:
"lt Is th e policy ol th is Company to assure that applica nts
are employed , and that employees are treated during
employment, wi thout re gard l o their race, religion , sex,
color, national origin , age or disabi lity . Sueh action sh all
include: empto yment, upgrading , derrotion. or transler :
1ecruitmen1 or re cruitment advertising; layolf or
ter mination; ra tes of pay or other l orms ol co mpensation;
and selection for tra ining, inctudln[J appront1cc shlp,
prcapprenliceshlp , and/or on-the-job tra ining."
2 EEO Officer: The contrac1or will des igna!e and make
known to the SHA contracting officers an EEO Officer who will
have the respoos1bilily for and m ust be cap able ol effectively
adminislerino and promoting an acllve contractor program ol
EE O and who m ust be assigned adeQua te au lho r11y and
res ponsibilily lo do so.
3 Dissemination of Polley: All members al the
contractor's staff who are authorized to hire, supervise.
promote . and discharge employee s. or who recommend such
ac11o n . or who are subs1ant1ally Involved in sueh action. wi ll be
Roq u1ml hy 23 CFK 633 .101
Pa ge I o f 10
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made full>• cognizant of, and wi ll implement. the contractor's
EEO pohcy anCI contractual responsio1ht1es to provide EEO in
eacn grade anCI classlficat1on of employment. To ensure tha t
the above agreement will be met , lne fol!owmg ac1 Ions wi ll be
ta ken as a minimum
a Per1od1c meelmgs of supervisory a nd personnel office
employees wi ll be conducted before the start of work and then
not le ss often than once every she months. at which lime the
con tra ctor's EEO policy and its implementa11on will be
re viewed and explained Tne meetings will be conducted b~
the EEO Officer .
b All new supervisory or personnel office employees wUI
be given a thorough lndoc111natlon by the EEO Officer.
cove ring all maier aspe cts o11he coniractor's EEO ob1lgat1ons
'l\ithin thirty days lol!owmg their reporting for duty with the
con tra ctor.
c . Alt personnel who are engaged In dlrPct recruitmenl
for lhe project will be Ins tructed by the EE O Officer In the
conlraclor's procedures for locating and hiring m inority group
employees.
d. Notices and posters setting forth the con tracto r's EEO
policy will be placed in areas readily accessible to employees.
applicants for employment and potential employees
e. The contrac tor's EEO policy and the procedures lo
1mplemenI such D(llicy will be broughl to lhe anenllon ol
employees by means of meetings, employee handbooks. or
other appropriate means .
4. Recrull menl: When advertising fOf employees . th e
contra clor will include In all advertisements for employees the
notation: -An Equal Opportunity Employe r. -All such
advertisem ents will be place d in publicatlons havi ng a large
circulation among m lnOfity groups In the area lrom which th e
project work force would normally be derived.
a. The contractor will, unless precluded by a valid
bargaining .lgreement, conduct sys tematic and direct
recruitm ent th rough public and private em ployee referral
sources likely to yield qualified m inority group applicants. To
meet this requirement , th e contractor will Identify sources of
potential minority group employees. and establish with such
identified sources procedures whereby mlnoril y group
applicants may be refer red to the contractor for employment
consideration .
b . In the event the contractor has a va lid bargaining
agreement providing tor exclusive hiring hall referrals, he ,s
e~pected to observe the provisions of that ag,eemenl to th e
citenl that the system permits lhe con tract01's compliance with
EEO contract prollis1oos. (The OOL has held that where
,mplementat1on of such agreement s ha ve the ellec1 of
d1scnminat1ng against minonlies or women, or obligates the
contra ctor 10 do the same , such Implementation viola les
Executive Order 11246, as amended.)
c . The contractor will encourage his present employees
10 refer minonty grouc applicants for employment. lnformahon
and procedures \\11/1 regard 10 referring minority group
applicants will be discussed ..,.;th employees.
5. Personnel Acllons : Wages, working cond1t1ons , and
employee benelils shall be established and admin1sle1ed . and
personnel actions of every type, mctuding hiring, upgrading,
promotio n, tra nsfer , demolton. layoff . and lermlnallon , shall be
1akcn Without regara 10 race, color, religion. sex. national
origin, age 01 dIsaoIhty . The lollowm g procf'dures shall oe
followed
a. The contractor MIi conduct periodic msoectIons ol
proiect slles to insure that working condlhons ana employee
lac1IItIe s ao not maecate aiscnmmatory treatment ol project site
personnel
b Tne contractor will pen0t;1 1cally evaluate the spread ol
wages pa id v11thm eacn cIass1lica1Jon to determine an}'
evIoen ce ol d1scnm1n aIory wage practices
c . The contractor will pe riodically re view selected
personnel actions m depth 10 determ•ne whether the re Is
e1JIdence of d1scnmlnation. Where e~ide nce Is found. Ille
contractor wilt promptly take correcti1Je action. H the review
Ind icates lhat the discnmln at1on may e1e tend beyond lhe
ac!Jons reviewed , such corrective achon shall include all
affected persons.
d. The con tractor will promptly investigate au complalnts ol
alleged discrimination made lo th e con1rac1or in conn ecllon
with his obligations under lh is contracl, will att em pt 10 resolve
such compla!nts. and will lake ap propriate correc tive action
within a. reasonable lime. ll th e invesllgatlon Indicates !hat the
discrim ination may affecl pe rsons other than the complainant,
such corrective actlon shall include such olher persons. Upon
completion ol each investigation, the con lractor will in form
every complainant ol alt ol his avenues o! appeal.
6. Tra ining and Promollon:
a, The contractor will assis t In locating, qualllying, and
Increasing the skills of m inority group and women employees,
and applicants for employment.
b. Conslstenl with lhe con1ractor's w°'k force
requ ir ements and as permissible under Federal and State
regulations, the contractor shall make lull use of tra ining
programs. i.e., apprenticeship, and on-the-job training
programs tor the geographical area of contract performance.
Where fea sible, 25 percent of apprentices or trainees in each
occupation shall be in the ir firsl year ol app,enticeship or
tra ining. In lhe event a special provision 1or training is p10111ded
under this contract, th is subparagraph will be superseded as
Indicated In the special provision .
c . The contractor will advise emplOyees and appllcants
for employment ol available tra ining progra ms and entrance
req uirements for each.
d. The contrac1or "'111 per iodically review the training and
promolion potenhal ol minority group and women employees
and WIii encou rage eligible employees lo apply lor such training
and promotion
7. Un ions: If the conIrac tor relie s in wh ole or ,n part upon
un ions as a source ol employees. the conlractor will use
his/her best ellons lo obtain the coo peral io n ol sucI1 unions 10
Increase opportumlie~ for minor1ly groups and women wilhin
the unions , and 10 effec t referrals by such unions ol minorily
and lemale employees . Act ions by 1he contractor ei lher
directly or through a contractor's assooatIon acting as agent
will mclude lhe procedures set forth below:
a The contracto, v.,u use best eflorts to develop, In
cooperation W1th the unions, joinl tra imng programs aimed
toward quaUfying more minorily group members and women
!or membe1shlp m the unions and increasing the skllls of
nunorlty group employees and women so th al lhey may qualify
!or higher pa ying emp loymenl
Rt·q1111cd hy 2:\ CFR 633 .IO~
Pa ge 2 oi 10
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b Tne con tra ctor w11I use best efforts to Incorporate an
EE O clause mto each umor, agreemenl 10 the end that such
union will be contractually bound to refer applicants wi thout
rega rd to thO lr ra ce . color, 1eUglon , se1t , national origin. age or
d1sab 111ty.
c. Th e contrac1or is to ob la ln inlormation as to the
re ferral pracllr.es and policies of the labor un ion e11 cept th at to
the eK lent such information is within the exclusive possessio n
of th e la bor union and such labor un ion reruses to furn ish such
information to the con tractor , the cor,1ra r,tor shall so certify to
th e SHA and shall set forth what efforts 11ave bee n made to
ob ta in such Information .
d. In the even t the union Is unable to provide th e
contractor with a reasonable flow of minori ty and women
re ferrals within the time limll set forth In the collective
bargaining agreement, th e contractor will , through independent
recruitment efforts, fill the employment vacancies without
regard to race. color. religion, sex, national origin, age or
dlsabilily: making full efforts to obta in qualified and /or
quallfiabte mlnorily group persons and women. (The DOL has
held th at It shall be no excuse tha t the union wllh wh ich lhe
contractor has a collective bargaining agreement providing !or
exclusive referral failed l o re fer minority employees.) In the
event th o union refe rra l pra ctice pre vents th e contractor from
meeting the obligations pursuant to Executive Order 11246, as
amended , and these special provision s, such contractor shall
Immedia tely noUfy the SHA.
8. Selection of Subcontractors, Procurement of
Materials and Leasing of Equ ipment: The contractor shall
not discriminate on the grounds of race, colOf , religi on, sex.
national origin, age or disabltily in the selection and retention of
subcontractors, including procurement of materials and leases
of equipment.
a. The contractor shall notify all pote ntial subcontractors
and suppliers of his/her EE O obllgalions under th is con tract.
b. Disadvantaged business enterprises (DBE), as
defined in 49 CFR 23, shall have equal opportunity to compete
for and perform subcontracts which the contractor en lers lnlo
pursuant to th is contract. Th e contractor will use his best
efforts to solicit bids from and to utilize DBE subcontractors or
subcontractors with meaningful mi nority group and female
representallori among the ir employees . Contraclors shall
obtain lists ol DBE construction firms from SHA personnel.
c . The contractor win use his best efforts to ensure
subconlracto, compliance wilh lh eir EEO obhgahons.
9. Rec ords and ;{e.-,orts: The con traclor sha ll keep such
records as necessary to ,:'~ument compliance with the EEO
requirements . Such records sh.::11 be reta ined f0< a period ol
lhree years following Ct'mpletlon of th e co ntract work and shall
be available at reasonable limes and places for inspectioo by
authorized represen tati ves of the SHA and th e FHWA.
a. The reco1ds kept by the contrac tor shall docu ment
th e following :
( 1) Th e number of minority and non-mino ri ty group
members and women employed in each woik classification on
the pr oject:
(2) Th e progress and efforts being m ade in
cooperation with un ions, whon applicable , to increase
employment opporl unit1es '°' minorities and women:
{3) The p1ogress and olfor1s be ing made In locaU ng .
hiring, training. quahly1ng , and upgrading m inority and femate
employees : and
(4) The progress and efforts being made In securing
!he services ol DBE subcontractors or subcontractors wi th
meanlngful minority an d female re presentation among their
employees.
b. The contractors will submil an annual report to the
SHA ea ch Ju ly for the duration of the project, indicating the
number ol minority, women , and n on-minority group
employees currently engaged in each work classification
required by the contract work . This inlormaUon is to be
repor1"d on For m FHWA-1391 . lf on-the job training Is be ing
required by special provision , the contractor will be required to
collect and repon train ing data.
Ill. NONSEGREGATED FACILITIES
(Applicable to atl Federal-aid construction contracts and to
all related subcontracts of $10,000 or more.)
a. By submission ol this bid, th e execution of this
contract or subcontract, or the consummation of this materia l
supply agreement or purchase Ofder. a s appropriate. the
bidder, Federal-aid construction contractor, subcontractor,
material supplier, °' vendo r, as appropriate, certifies that !he
firm does not maintain or provide for its employees any
segregated facilities at any of its establishments, and th at the
firm does not permit lts employees to pe rform th eir services at
any location, under its control, IHhere segregated facilities are
maintai ned . The firm agrees th at a breach of this certification
is a violation of the EEO provisions of th is conlract. The firm
further certifies that no employee will be denied access to
adequate facilities on the basis of sex or disablllly.
b . As used in this certification, the term ·segregated
facililies· means any waiting rooms. work areas, restrooms and
washrooms, restaurants and other eating areas, llmectocks.
locker rooms, and other storage or dressing areas, parking
lots, drin king founta ins, recreation °' enterta inment areas,
transportation, and housing lacllilies provided for employees
IHhich a,e segregaled by explicit directive, or are, in fa ct,
segregaled on th e basis of race . color, rellglon , national origin,
age or disabl11ty , because ol habit, local custom , Of otherwise.
The only ex.ception will be for the dis abled when the demands
for accessibility override (e .g. disabled parking).
c . The con tractor agrees that it ha s ot>lal ned or will obtain
identical cert ifi ca tion from proposed subcontraclors or malarial
suppliers prior to award of subcontracts ::>r consummation ol
malarial supply agreements of S1 0,000 or more and that It will
retain such certificatio ns in lls files .
IV . PAYMENT OF PREDETERMINED MINIMUM WAGE
(Applicable to all Federal -aid constru ction contracts
exceeding S2.000 and to an related subcontra cts, except !or
projects localed on roadwa ys classified as local ,oads or rural
minor collectors , wh ich , "exempt.)
1. Genera l :
a. AU me chanics and laborers employed or working
upon !ht, site of th e work will be pa id un conditionally and not
less often than once a week and with out sul.!sequer.t deduction
or reba te on any account [e 11.cepl su ch payroll deductions as
are permitted by regulations (29 CFR 3) Issued by the
Secretary of Labor under th e C opeland Ac! (4 0 U.S.C . 276c )J
the full amounts of wages and bona fide fr inge benefits (or
Requ ired by 23 CFR 633.102
Page 3 of JO
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cas h eou1 vaten1s there o!J due at time of payment. The
payment sh all be com puted at wa ge rate s not less than those
con1a1ned In the wage oeter mln a11on ol the Se cr etary ol La bor
(here 1naller "the wage determ1nat1on") wrucn Is atta ched hereto
and made a part her eo r, rega rdles s of an y con tra cl ua l
re1a 11onshtp wh ic h may De alleged l o eici st betwee n tne
contrac1or or it s subcontra ctors and such laborers and
me cha nrc s. The wage determ inaI 1on (in cluding any add1 t.1on al
::l as sificabons and wage rates conformed undei paragraph 2 ol
:~:~ Se ction IV and the OO L poste r (WH-1321) or Form
FH W A-1495) shall be posted at all times by the con tractor and
its sut>con trac tors al the site of the work In a prominen t and
accessible pla ce where ll can be easity seen by the workers.
For the pu rpose of this Se ction , contributions made or costs
,easonably anticipated for bona fide fringe benefits un der
Seclion 1(b)(2) of the Da'lls-Bacon Acl (40 U.S.C. 276a) on
behalf of laborers Of mechanics are considered wages paid to
such laborers or mechanics. subjec t l o the provisions ol
Se ction IV. ?aragraph 3b , hereof. Also , !or the purpose of th is
Se clion. regular con1ribuUons made or costs Incurred tor more
than a week ly period (but not less of1en than Quarterly) under
plans, fund s , or programs. wh ic h cover the pa rtic ular weekly
period , are deemed 10 be constructive ly made or incurred
during such we ekl y period. Such laborers and mech anics shall
be pa id the appr opria te wage rat e and fri nge benefits on th e
wage determ ina tion for lhe classification of work actually
per1ormed , without regard to skill , except as provided In
pa ragraph s 4 an d 5 of th is Section IV.
b. l aborers 0< mechan ic:. performing work In more lhan
one classlOcallon may be compensated at the rate specified for
each Clas sification for the time actuall y worked therein.
provided. that the employer's payroll re cords accuate ly se t
forth the time spen t in ea ch classification in ••••hich work Is
perform,3d ,
c. All ru ll ngs and interpre tations ol the Da vis-Ba con Ac1
and relatod acts con tai ned In 29 CFR 1, 3. and 5 are herein
lnCOfJ)Ofa led by reference In this contract.
2. Classlflcallon:
a. The SHA contracting officer shall reQul re that any
cl ass of laborers or mechanics employed und er the con tracl,
wh ich is not lis ted In the wage determ ination, sh all be
classified in con lormance wi th the wage de termination .
b. Th e contracting officer sha ll approve an additional
cla ssifica tion, wage rat e and fringe henelits only when the
following cri teria have been met.
{ 1) the work to be performed by the additional
classifica tion rcQues ted Is no1 performed by a classification in
the wage de1erm ina ti on ;
(2) the ;,ddillonal cla ss mca!Jon I,; ubli zed In the area
by the cons truction ind ustry ,
(3) !he proposed w~ge rate . 1m·ludlng an ~ bona fide
lnnge benefits , boars a rea son abl e rel atitmshlp 10 !he wa ge
rates con ta ined In the wage de term ination: and
(4 ) with respect to hel pe rs, whe n such a
cta ssi fi cat1on pre vail s in the area In which th e work 1s
performed.
c. If the contractor or subcontractors, as appropri ate , the
labmers and mechanics (ii known) to be employed In the
additional classification or the ir repr esentallves, and th e
con tracting office, agre e on the classifi cation and wage rate
(I nclu din g tho amount desig na ted for fringe benefits wh ere
appropna te). a report of th e action taken sha ll be sent by me
contractmg otficer 10 the DOl, Aa min1 s1rat or of me Wage and
Hour D1v1slon , Emoloymen t Sta noa rds Aamin1 s1ra tion .
Washing ton . D.C. 2021 0 Th e Wage an d Hou, Aomin ls lr ator .
or an author ize d ,epresentatwe . w,U app rove . modi fy, or
disappr ove every aadll1onal classificatlcn act ion Y.11h1n 30 days
ol rece ipt and so ad vise tn e co ntractrng office r o, v.ill noUly tne
contrac1mg officer with in the 30-da y pe nod thal aaa 1ti onal llme
1s necessary
d. In the event the con tractor or subcontractors. as
appropriate. the laborers or mechan ics 10 be emp loyed In th e
add1Uonat classlficallon or their representa tives , and the
contracting officer do not agree on th e proposed classlfi caUon
and wage ra te (includ ing the amount designated tor fringe
ben efi ts. where appropriate), the contracting officer shall ,eter
the Qu estions, lncludl ng the views of all in terested parties and
the recom mendation ol the conlracllng officer, to the Wage
and Hour Administrator lor determination. Said Admlnlst,ator,
or an authorized ,eprosentaUve , w!!l issue a determlnaUon
within 30 days ol receipt and so advise !he co ntracting officer
or will notify the con tra cting officer within the 30-day period that
addiUonal lime Is necessary
e. The wage rate (Including fri nge benefits wh ere
appropriate) determin ed pursuant to paragraph 2c Of 2d of this
Section IV shall be pa id lo all worke rs performing work In the
additional classification from the fir sl day on which work Is
performed In the classification .
3. Paymant of Fringe Benaflts:
a. Whenever th e minimum wage rate prescribed In the
contract for a class of laborers or mechanics Includes a fringe
benefit which Is nol e11.pressed as an hourl y rate, the contracto:
or subcontractors , as appropriate. shall either pa y the benefit
as slated In the wage determinaUon or shall pay another bona
f.de frin Qe benefit or an hourly case eQuivalent th ereof.
b. If !he con11ac tor or subcontrac tor, as ap proprial e.
does not make payments l o a trus tee or other third pe rson .
he/she may conside r as a part of the wages of any laborer or
mechanic the am?unt of any costs reasonably anticipa ted in
providing bona fide ffi nge benefits under a pla :, or program ,
provi ded, tha t the Secreta ry of labor has found, upon th e
written reQues t of the con tra ctor, that the applicable standards
of the Da vis-Ba con Act have been met. The Secrelary of
labor may req uire th e co nt roc lot to se t aside In a separa te
accoun t asselS for the meeting ol obligations under the pla n o,
program.
4 Apprentices and Trainees (Programs of the U.S. DOl)
and Helpers :
a. App,e ntices
( t) Appren tices will be pe rmitted to wor k at le s~ than
th e p1ede termlned ral c tor the wo1 k !hey performect whe n they
are empl oyed pursuant to and Ind ividually re gi stered In a bona
fi de appre nti cesh ip pr og ram regist ered v.i lh the DOl, Employ-
ment and Tra ini ng Adminis trati on, Bureau of Apprenticeship
and Training , or wi lh a Sla te aoprenticcshlp agency recogn ized
by the Bureau , or II a person is employed m his/her fi rs! 90
days of probationary employment as an appre nti ce In such an
app,enhces hip prog ra m, who Is not Ind ividually reg istered In
the progra m. but who has been cetllfied by the Bureau of
Apprenticeship and T,alning or a Stale apprenticesh ip agency
(where appropfia1 e) lo be eligi bl e l or prob alionary emplorment
as an ap pren ti ce .
Rl·q tmcd by 1., CFR 63 3.102
Page 4 o f 10
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(2 ) Tne allowa ble ratio of app·en t1ces to
1ourn eyman -leve l empl oyee s on the Job site 111 an) cra h
class1fi ca11 on sha ll not be grea1 er tha n the rati o permitted to th e
contractor as to the entire wor k force under th e reg 1stere o
prog i am . An)' employee listed on a payroll at an appren11 ce
wage rate. who ls not reg lsiered or otherwise employed as
stated abo ve, sha ll be paid not less tnan the app lic abl e wa ge
rate listed in the wa ge determmalton lor me class ificat1 on ol
work ac1ually per1ormed. In add1t1on . an y appren11ce
performing work on th e Job site In excess of the ratio permitted
under the registered program shall be pa id not less than the
applicable wage rate on the wage determmation for the work
actually performed . Where a con tra ctor or subcontractor 1s
pe rform ing cons tru ction on a projec t in a loca1!1y oth er lhan thal
ln which i~ program Is registered, the rallos and wa ge rates
(expressod in perce ntages of lhe Joumeyman-lc\le l hourly rate)
speclned In lhe contra ctor's or subcontractor's regls1ered
program sh all be observed .
(3) Eve')' apprentice mus t be paid at not less than
th e rat e specified In the registered program lor the app jenllce's
leYe l of progress , expressed as a pe rcentage of the
journeyman-level hourly ra te specified in the applicable wJge
determination. Apprentices sha ll be paid fringe benefits in
accordance with the provi sions of the apprentices hip program .
If the apprenticeship program doos not specify fringe benefits ,
apprentices must be paid the full amount of fringe benefits
listed on the wage determination for the applicable
classification. II the Adm:nlstrator !or the Wag e and Hour
Divis ion determines that a d:fferent practice pre vails for th e
applicable apprentice classification, fringes shall bo pa id In
accordance with that determination.
(4) In the event the Bu reau of Apprenticeship and
Train ing, or a State apprenticeship agency recogn ized by lhe
Bureau. withdraws approval of an apprenticeship program . the
contractor or subcon tractor will no longer be permitt ed to ulilizt:
apprentices at less than the applicable predetermined rate for
the comparab le work performed by regular employees until an
acceptable program ls approved.
b. Trainees:
( 1) Except as provided in 29 CFR 5.16, trainees will
not be pe rmilled to wor1< at less than lhe predetermined ra te for
lhe work performed unless the y are employed pursuanl to and
individually regis tered in a program which has rece ive d prior
approval. evidenced by formal ce rtificatio n by lhe DOL,
Employment and Training Adm inis tration.
(2) The ra tio of trai nees to Jour neyman-level
employees on th e job site shall not be grealer than permitted
under lhe plan approved by th e Ern ployment and Tra1mng
Adminis tra tion. Any employee hs ted ,:in lhe payroll at a trainee
rate who is not registered and partic:1pat1n g in a train ing plan
approved by the Employment and Training Adm inistra lion shall
be pa id 1101 less than the app li cable wage rate on the wag e
determ ination for the cl assifica tion of work ac1ually pe rfor med .
In a':ld1tion , any trainee perfor ming wo•k on lhe job si te in
ex cf ss of th e ratio perm,u ed under the reg istered program
shall be pa id not les:; than the app llcable wage rate on the
wage determination for lhe work aclually performed .
(3) Every ,rainee must be paid a1 no1 le ss than the
rate sp .icified in the ap proved program for his /her level of
prog1ess , expressed as a percenta ge of the jour,eyman-level
Murty ra le sr,ecified in lhe applicable wage d~1erminall on
Trainees shall be paid fringe benefi ts In ac cordance wilh the
provisio ns of the tra inee prog ra m. II the tra inee program cl nes
not mentmn fr inge benefits , 11a1nees sha ll be pa id lhe 1 JU
am ou n1 of fringe bene fils li s'ed on th e wa ge dcte1mlnat•on
unless the Aorrn n1s 1rator of tt1e Wage and t lour D1V1s!on
oe termm es 1hal the re is an apprer hcesh1p prog ram assoc iate d
w,111 the corres pon ding journ eyman-level wage ra1 c on tne
wag e determination wh ich prov1oes for less tha n full lunge
bene fi ts fo r appren11ces , m wh ich ca se su cn trainees sh all
re ceive th e same fri nge benefits as app ren1 1ces
(4 ) In the event th e Employment an d T1a1mng
Adm1mstr abon withdraws appr oval of a traimng program , the
con tr aclor or su t;:ontrac1 or w,11 no longer be perrn llled to u!1 lize
traine es at less than the appltcable predetermined rate fm !he
work performed until an accep tab le program 1s approv ed .
c. Helpers:
Helpers will be permille0 lo wo rk on a pro/ee l ii the
helper classl fi catmn Is specified and defined oo the appl icable
wage determination or Is approved pursuant to the
co nformance procedure set forth In Section IV.2. Any worker
listed on a payroll at a helper wa ge ra l:~, who is not a helper
under a approved defi nition, shall be paid not les s than the
applicable wage ra te on the wage determination for the
classification of work actually perfom1ed .
5. Apprentices and Trai nees (Programs of the U.S.
DOT):
Apprentices and trainees working under app renticeship
and sklll train in g programs wtiic h haYe been .~e rtified by th e
Secretary of Transportation as promoting EEO in con nection
wilh Federal -aid highway construction prog rams are not
sub jec1 lo lhe requirements of paragraph 4 of th is Se ction tV.
The straight lime hourly wage ra tes for app rentices and
tra inees under such progra ms will be established by the
particular programs . The rallo of apprentices and trainees lo
jou meym·m shall nol be grea 1er than perm itted by th e terms of
the particular program.
6. Wlthholdl ng:
The SHA shall upon its own act!on or upon wri tten
req ues t ol an authorized represenlalive of the DOL wi lhh old, or
cau se 10 be wi thheld, from th e contrac tor or subcon tra ctor
under this contract or any other Federal contra ct with the same
prime con trac tor, or any olher Federally-assis ted conlract
subject to Davis-Bacon prevailing wag e requirem en ts which is
held by the :;ame prime contractor , as much of the accrued
payments or advances as may be considered necessary to pay
laborers and mechanics. including apprenlices, trainees, and
helpers, employed by ,he conlractor or any subcontractor the
lull amount ol wages requ ired by the contract. In the event ol
failure lo pay any laborer or mechan ic, ;ncluding any
apprentice, tra inee. Of helper, employed or wor king on the site
of th e work , all or part ol tne wages required by the con tract.
th e SHA con lra cll ng otficer may , alter wri1ten notice 10 the
con tra ctor . lake su ch ac tion as ma)' be necessary lo cause the
suspension ol an y l urlher payment, ad vance, or guaran tee ol
funds until such vio la tions have ce ased .
7. Overtime Requirements:
No contrac tor or subcontr ac tor contra cting for any part
ol th e conlract work which may 1equire or involve the employ•
ment of labo1 ers , mechanics. wat chmen . or gua rds (includ ing
apprentices . tra inees, and helpers described in paragraphs 4
and 5 abov e) shall re quire or perm11 any labo rer. mechanic ,
walchman , or guard in any work week in wh ich he /she is
empl oy eo on such work , to work In ex ces s ol 40 hours In su ch
workw eek unless such labore r. mec ham c, wat chman. or gu ard
recei ves co mpensation a1 a rate not less lhan one-and -one•
Requ ired b y 23 (FR 63.l .J 02
Pa ge 5 o f IO
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half time s h1s1her bas ic Jte of pa y for an hou rs wo rked In
excess of 40 hour s 1n such wor kwe ek .
8 Violation :
Uabih ly tor Unpa id Wages: llquida\ d Damages: In lhe
eve nt ol any viol a!lon ol the cl aus e set forth In paragraph 7
above , lhe con1rac1or and any subcontrac 1or rer-:1'\Qnsible
thereof shall be liable to the affected employee fo, his/her
unpald wages , In addition, such contractor and subconlractor
shall be liable to the Un ited States (in the case of work done
under con tract for lhe Ol slrict of Columbla or a terri tory , to su ch
01s1nct Of lo sueh territory) for liquidated da mages . Such
llqulda ted damages shall be comp uted wi th respect 10 each
Individual laborer. mechan ic, watchman , or guard employed In
viol a lion of the clause set fonh in paragraph 7, In the sum of
S10 for each calend ar da y on which such employee was
req uired or pe rmitted 10 work In ex cess of the slandard work
wee k of 40 hours without payment of the overtime wages
reqw ed by the clau se r;et forth in paragraph 7.
9. Wlthholdlng for Unpaid Wages and Liquidated
Damages :
The SHA shall upon ils own ai...tion or upon v.1itten request ol
an y au thorized representative of the DOL withhold , o, cause lo
be withheld, from any monies payabl e on account of work
pe rformed by the con lrac tor or subconlractor und er any such
con lract 01 any other Fe deral contract wi th the sa me prime
con tractor, or an y other Federa lly-assi sted contract subject lo
the Contract Work Hours and Sa !Pt:; Standard s Act , wh ich ls
held by the same prime cor.lractor. such sums as may be
dete,mined to be necessary to satisfy any liabilities ol such
con tra ctor or subcon tractor f0< unpa id wages and liquidated
damages as p,ovided !n lt'le clause set forth In para gra ph 8
above.
V. STATEMENTS AND PAYROLLS
(App !i:-a ble to all Fede ral -aid con struction contraclS
exceetl!nJ S2.000 and to all relaled sub conlracts. except for
proje:.:t!l loca ted on roadways classifie d as lo-;a l roads or rural
t.oll•..:c.1ors, which are exemp t.)
1. Compliance with Copeland Regulatio ns (29 CFR 3):
The con tractor shal l comply wilh the Copeland Regulations
of the Sec retary of Labor wh ic h are herei'l inco rpora ted b/
re ference.
2. Payrolls and Pa yroll Records:
a. Payrolls and h i sle record s ,e1aI1ng therelo sha ll be
ma intained by th e con tractOf and each subcontra ctor du ring
the course of the work and preserved !or a period or 3 years
from the da 1e of completion or the contract to, all labo rers.
mechanics. apprentices, tra inees . wa1c hmen , helpers. and
guards working at the ~ite of the work .
b. The pilyroll records shall con tain lhe name . social
~'?c urity number, :ind add1 ess of each such employee: his or
her correct classlfication; hOurly rates ot wag es paid (including
rates of t:on lribulions or cos ts an licipa ted for bona fide fri nge
be nefi ts or cash equiva l l!nl !hereof lhe types described In
Se ction 1(b)(2)(8) of the Davis Ba con Act): dally and weekly
number of hours worked : deduct ions made : and actual wage s
pa id. In addition, for Appala chian contracts. the payroll records
sha ll contai n a notatio n Indicating whe th er the employee does .
or does no l , norm ally res ide In the labor area as defined In
Atta chment A. paragraph 1. Whone1 ·er the Secre tary ol La bor,
pu rsuant to Section I '✓, paragraph 3b . has found that tne
wages of an y laborer 01 mech anic include the amount of an ~•
costs roas onaol y ant ic1paIed In providing benefits under a plan
or prog ,am desc1ibed in Se ction 1/b)(2)(B ) of th e Davis Ba con
Act. the contractor and each subcont1ac Ior shall mainta in
records Y,rhich show tha t the commi tme nt to provide such
benellls is enforceabl e. lhat the pl an or program Is fi nancially
responsible . that the plan or program has bee n communicated
In wri ting to the laborers or mechan ics affe cted . and show the
cost anllclpa ted or the actua l cost incurred in providing
benefits . Contractors or su br.ontractors employing apprentices
or tra inees und er approved programs shall ma inta in written
evi dence of th e regIs tra t100 ol apprentices and tra ine es . and
ratios and wa ge rates prescribed in the applicable prog ram s.
c. Each contractor and subcontractor sha ll furn ish , eac h
week in whi ch any contrac t work is perlormed, 10 th e SHA
residen t engi neer a payroll of wages pa id each of lls
employees (includ ing apprentices. trainees , arid helpers.
des cribed In Se ction IV, paragraph s 4 and 5, and watchmen
and guards engag ed on work during the preceding weekly
payroll period). The payroll submilled shall set out accura tely
and completely all of th e lnlormallon required to be maintained
und er paragraph 2b of lhis Section V. Th is Information ma y be
submitted in any lorm desired . 0ptlona1 Fom, WH-347 is
available for th is purpose and ma y be purchased from the
Superinie ndent of Documents (Federal stock number 029-005--
0014 -1), U.S. Government Printing Office, Washington , D.C.
20402 . The prime contra ctor is re sponsible for the submission
of copies of payrolls by all su bcontra ctors .
d. Ea ch payroll submitted shall be accompanie d by a
"Statement of Compliance: signed by lhe contractor or
subcontractor or his/he r agent who pays or supervises the
payment of the persons employed under the contrac t and sha ll
certily the following :
( 1) that the payroll for the payrol l period contains the
Information required to be maint1:1 lned under paragraph 2b of
thi s Section V and thal such Information is correct and
complete:
(2) that such labore r or mechanic (in clud!ng each
helper , apprentice, and trainee ) employed on the contract
during the payroll period ha s been pa id the lull W'Jukly wages
ea rne d, without rebat e, either dir ectly or indirectly, .Jnd that no
deductions have been made either di1 ectly or Indirectly lrom
the lu ll wage s earned , othor than permiss ible deductions as set
forth In the Regu lat ions , 29 CFR 3:
(3) th at each la b.,rer or mech ani c has been paid not
less lhat the applical.Jle wage ral e and fringe ben efi lS or cash
equivalent for the cla •,sif1cation al worked perfonTind, as
specified in the app1lcable wage de lerm 1natlon incorporated
in to the cvntract.
e. The week ly sub mission of n property executed
ccrtif1calion se t lorth on th e reverse side of Qpbon al Form WH-
347 shall satisfy the requirement for submission ol th e
"Statement ol CompHance· re('.J uired by parag raph 2d of this
Section V.
I. The lalsifica Uon ol an y of the above certifica tions may
subje t·t the cont rac tor lo civil or c11m 1nal prosecut ion under 18
U.S.C. 100 1 and 31 U.S.C. 231 .
g. The contrac tor 01 su bcontractor shall make the
1t,:crds required unde r para gra ph 2b ol this Section V
avallo'lle ror inspection, copying , or transcription by authorized
represcn tatwes of the SHA , the FHWA. or the DOL, and sha ll
permit such represe nta tives to in lerview employees during
wor king hours on the Job. II the contractor or subconlractor
Req uired by 23 CFR 6n 102
Page 6 of I 0
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!ails to submI1 the reauIrea re co ras or !0 ma~e tne rn available
me SHA tn e FH VI.\. tne OOL or all may at1er wnuen notice
10 In e contrac tor sponsor, aophcan I. or owne r take su cn
actions as may be necessary to cause th e suspe nsion o• an >
furthe r oa ymenI ad van ce . or guara ntee cl funds
FurtflOrmore la iture 10 suom I1 tne reciuired re co•..is up on
reQues1 or to make such record s avail able ma, be ,,ouno~ fo r
debarment action pursuant to 29 CFR 5 12
VI. RECORD OF MATERIALS, SUPPLIES, AND LABOR
1 On all Federal-aid contra cts on the Nalion at H:gh wa >•
System except th ose wh ich provide solely f0< the 1nslalla11on
of prote.:tive devices at ra lt road grade crossings , those wh ich
are co:,structed on a force account o. J; ~ ' ·.-on, basis,
highway beautification contracts, and contract!. !c., which lhe
tolal final construction cost for roadway and b1 idge 1s less than
S 1,000,000 (23 CFR 635) !he con1rac tor shall:
a. Become famil iar with the list of specific materials and
supplies contained in ,~Ofm FHWA-47, "Statement of Materials
and Labor Used by Con tra ctor of Highway Conslruclion
Involving Federal Funds," pr ior to the commencement ol worl-.
under this contract.
b. Maintain a ,ecord of lh e 1otal cost of au materials and
supplies purchased IOI' and incorporated in !he work, and also
of lhe quantities of those specific materials and supplies lisled
on Form FHWA-47 . an d in the units shown on Form FHWA-47
c. Furnish , upon !he completion of the CO "'tract, to the
SHA resident eng ineer on Form FHWA-47 toge th er wi th the
dala requ ired In paragraph 1 b relative to materials and
supplies, a final labor summary ol all contract work indicating
the total liOurs worked antl the total amount earned
2 At the prir::e contractor's option, either -. single report
cove rl nu all contract work or separate reports fo the cootractOI'
an\.' f01 each subconlract shall be submitted.
VII. SU B LEmNG OR ASSIGNING THE CONTRACT
1. The contractor shall perform wi th its own organization
contract work amounting lo not less tha n 30 percent (or a
greater percentage ii specified elsev,1here in th e con tract) of the
total original cont ra ct price, e11dud ing any specially items
designated by th e State . Specially items may be pe rf ormed by
subcontract and the amount ot an y such specialty Items per-
formed ma y be deducted from the total original contract price
before computing the ;,-...aunt of work requ,red to be performed
by the contractor's O'Arl orgamzat1on (23 CFR 635)
a. "I ts own organiza tion· shall be cons lrued l o Include
only work ers employed and paid dircclly by lhe prime
contra clor and equipmen t owned or 1en 1ed by the pnme
contrac tor, with or with ou l ope rat ors . Su ch te rm does nm
include employees or equipment ol a subcont1ac1or, assignee.
or agent of the prime contracior .
b. "Specialty Items· sha lt be conslrucd 10 oe ltm11ed to
wo,k that requires highly specialized knowledge ab1ll t1cs. or
equipment not ord1nanty ava il able in the 1ype of c0t111achng
organizations qua li fied and e•pected to bid on lhe contract as
a whole and in general are lo be hmitcd to minor components
of the overall contract
2. The contracl amount upon wh ich the req uirements set
forth in paragra ph 1 ol Sec l1on VII is computed includes th e
cost ol ma 1e11a 1 and manulac1ured prod ucts wh ich are to be
purchased or produced by the conlrac1or under the con tra ct
provisions .
Tne contractor shall lurmsh (a) a compe1cn1
su:>erin te n:ient or supervisor who 1s employee by the fi rm . has
lu authouty lo d11ect performance of the wo,k In accordilnce
wnn the contract 1eQuiremen 1s. and 1s in charge ol all
ccns1ruct1on operalions (regardless o! whO performs !he wo1k)
ano (O ) sue other of i1s own organ1zat1onal ,esources
(superv•s!Oll , management , and engineeri ng seN1ces) as the
SHA contra cling olficer deternunes 1s necessary to assure the
perform ance ol the contrac t
: No pof!lon of the con tra ct shall be sublet, assigned or
otnerwise disposed ol except With the wnnen consent of the
SHA contra cllng officer. or au lhorized repre sentative. an d such
cons ent when given shall not be constru ed to relieve the
con trac tor of any respons ibility tor the fulfillment of tne
con tract Wrillen consent will be g,ve n only alter th e ShA has
assu,ed that eacn subcontra ct is evidenced In writing and that
11 con ta ins all pert inent provisions and requiremen ts ol th e
pnme contra ct
VIII . SAFETY: ACCIDENT PREVENTION
1. In th e performance of th is con l rac t the con lractor shall
com ply with all applicable Federal, Sta te, and local laws
governing safety. he.;llh, and san ltalion (23 CFR 6J5). The
con tractor shall provide all safeguards, safeli devices and
protective equipment and take any olher needed actions as lt
determines. or as th e SHA con tra cting officer may determine.
to be reasonably necessary to protecl the life c1nd health cf
em ployees on the Job and lhe safety ol lhe public an d to
protect property in connection with the performance of the work
cove red by the contract.
2. II is a condition of this contract , and shall be made a
condition of each subco!ltract, wh ich the contractor enters In to
pursuant to this c,-..,n tra ct, th at the con trac tOf and any
subcontra clOf s1-.~:i nol permll any employee, In performance
of the contra ct, to work In sunoundlngs or under conditions
wh ich are unsanitary, hazardous or da ngerous lo his/her health
01 safety, as determined unde , constru ction sa fety and health
standards (29 CFR 1926) promulgated by the Secretary ol
labor, In accOfdance with Se ction 107 ol the Contract WOJk
Hours and Safety Standards Act (40 U.S.C. 33 3).
3. Pursuan1 to 29 CFR 1926.3, It Is a condition of th is
con tra ct th at the Secretary of l abor or au lhort ~cd
representat ive th ereo f. shall have rig ht of en try to any si1 e o!
con lract perf ormance to inspect or invesligale lhe matt er ol
compliance wllh the const ruction safety and health standards
and lo carry out !ho duti:?s of lhe Sec retary under Section 107
of th e Contract Wor k Hows and Sa fely Standa 1ds Act (4 0
U s.c. 333).
IX . FALSE STATEMENTS CONCERNING HIGHWAY
PROJECTS
In order to assu,c high quality and durable cons 1ruc 11on in
conform1 t)' wi th approved ~lans and specifications and a high
degree of reliability on sta tements and representations made
by engln~er s. con !raclors. suppliers. and wor kers on Federal•
a10 highway projects , ii is cssenUal that au per~ons concerned
with the proje ct pe~orm their luncbons as carefully, lhoroughly,
and honestly as possible. Willful lalsifi .:a tion. distortion. or
m1sre-:i resen1a11on with respect to any !ac ts rela ted to the
projec.t Is a v1o lallon of Fede,al law. To prevent anv
misunderstanding regarding the seriousress of these a t
similar ac ts. the following noltce shalt oe pos ted on each
Fed erat-aid highway project (23 CFR 635) in one or more
places wh ere 1t is readily available 10 an persons concerned
w11t1 the project
Rcquircd by 23 CFR 63). I 02
Page 7 of 10
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NOTIC E TO ALL PERSONNEL ENGAGED ON FEDE RAL ·
A ID HIGHWAY PROJECTS
18 U.S.C . 10 20 reads as l ollows ·
RWhOover, oeing an c11ficer. agent, or employee of the Unl/ed
Sra1es, or of any Sta/,1 or Tomtory, or whoever. whether a
person, a.;sociat,on, firm, or corporation, knowingly makes an y
false sletement. fa lse roorosenlation. or false report as to the
character, quality, ou entity, or cost of /he material used or to
be used, or the Quantity or qua///y of me work performed or to
be porlormed, or the cast thereof in connec11on with the
submission of plans, maps, specifications. con tra cts . or costs
of construction on any highway or rela ted project submitted for
approval to the Secretary of Transponat 1on : or
Wh oever knowingly makes any false s /ate m•int, false
re prosentation, fa lsa report or false claim wifh respect 10 Iha
charactor, quality, o uan tity, or cost of any work perlo,mod or to
be porlormod, or materials fu rnished or to bo tum/sh ed, in
connection w ;th lhe construction of any highway or relatod
project approved by tho Secretary of Transportation: or
Whc-ever knowingly makes any fa lse statement or false
repre:.entetion as to material fact in any statemonl, certificate,
or mport submitted pursuaflt to provisions o f /ho Federal-aid
RO"d.i; Ari ,pproved July 1, 1916, (39 Stat. 355), as emended
,,.,,,,;.,11l a.~":onted;
~•.: . .ti flMd not more that $10,000 orimprisonod not more
11,a 1.. ,1ea rs or t;,th. •
X. IMPLEMENTATION OF CLEAN AIR AC r AND FEDERAL
WATER POLLUTION CONTROL ACT
(Applicable lo all Federzl-aid construction conlracts and to all
rela!ed su bcontra cts of S 100,000 or more .)
By submission of this b1J Of the execution of this con tract, or
subconlracl , as approp rlale, the bidder, Federa l-aid
cons lrucllon contractor. or subcon tractor. as appropria te . will
be deemed to ha ve sUpulated as follows :
1. Tha l any facility th at Is or will be utilized In the performance
of this con tract, unless suc h contra ct is e•empt und er lhe
Clean Air Act, as amended (42 U.S.C. 1857 a.I ~ .• as
amended by Pub.L 91 -604), and under the Federal Water
Poll ution Control Act , as amended (33 U.S.C. 1251 1:.1 gg., as
amended by Pub .L. 92-500), Executive Order 11736. and
,eg ul alions in implementation thereof (40 CFR 15) Is not hsted .
on the date of contract award, on th e U.S. En vi ronmental
Prote ctio n Agency (EPA) List ol Vi olatin g Fac1 ht1es pursuanl to
40 CFR 15.20 .
2. That the firm agrees to comply and remain in complian ce
with all lhe requirements 01 Section 114 of the Clean Air Act
and Secti on 308 of the Fedt -al Waler Pollution Con t1ot Act and
all regulations and guidelines listed thereunder.
3. That the firm shall promplly nolify th e SHA of th e receipt of
any con1municallon from the Dire ctor, Office ol Federal
Acttv1ties, EPA, Indicating th at a fa cili ty that Is or will be utilized
lo: the con\ract Is under consideration to be listed on the EPA
List of Viol ating Facilities
4. Thal th e firm agrees to indude or cause to be Included the
,equ irementc; of paragraph 1 through 4 ot this Sec bon X In
every non exe mp t sub con tract, and further ag,ees to take such
action as th! governmenl ma v "'"!Cl as a means of enforcing
such requirements .
XI. CERTIFI CATION REGARDING DEBARMENT ,
SUSPENSION ,
INELIGIBILITY ANO VOLUNTAR Y EXC l USION
Instructions for Certification -f.°"linary Covered
Transactions :
(Applicable to all Federal-a id contracts• 49 CFR 29)
a. By signing and submi111ng this pr oposal . the
prospective primary participant 1s provi o,. ,g the cerl 1ficalion set
out below.
b. The Inab ility of a person to provide the certification
set out below wilt not necessarily ,osutl In den ial of
partic1palion In th is covered transaction. The prospective
participant shall submit an 'J ,cplanalion of why ii can1 1Jt provide
the certification se t out bo1 C.1 w. The certification or explanation
will be con: 1ered in con nection with th e department or
agen cy's det'l:rr.1lnaI1on wh~lher 10 enter into th is transaction .
Howe \ !It, la ilu re ol the prospecti ve primary participant to
lum ish a certi fication or an explanation shall disqualify such a
person from participation in lh is transaction .
c. The cer1ificallon In !his ctause Is a material
representation of tact upon which re lia nce was placed when
the department or agency delermlnftd to en ter into th is
transaction . If it is la ter de lermir.ed that the prospocllvo
prima ry parti cipa nt knowingly rendered an erroneous
ce rtification. In addition to other remed ie s available to the
Federal Government, the department or agency may term ina te
this transzctlon lot cause of defau lt.
d. The prospective primary participant sh all provide
immediate wrillen notice to the department or agency to whom
this proposal Is submitted If any time the prospeclive primary
participant lea ms that its certifica tion was erroneous when
submitted or has become erroneous by reason of changed
circumstan ces .
e. The terms ·covered transaction: "debaned,"
·suspended," "ineligible," ·tower lier covered tr.msactlon .·
"participant; "person: "primary cove red transaclion.·
·principal ," "proposa l," and "volun ta rily exc luded ," as used In
!his clause , have th e meanings set out lr1 the Definitions and
Coverage sections of rules lmplemer,Lng Executive Ordtir
12549 . You may con tact lhe departmenl or agency 10 which
th is p1oposa :s submllled for assista nce In obtaining a copy ol
those regulations .
The prospective primary participant agree s by
subm1tt.mg this proposat that, shou ld the p,oposed cove red
tran saction be ente,ed in to. 11 shall not knowingly enter inlo any
lower tier covered transacllon WL th a person who Is debarred,
suspended, dect a,ed Ineligible, or volu ntarily excluded from
pa rt1c1pa tlon m this covere d transaction . unless authorized by
lhe department or agen cy entering lnlo this tran sacti on .
g. The prospecti ve primary participant fu rthe r agrees by
subm l!lmg this proposal that it will include the cl ause tilled
"Cer1ificat.ion Regar<:iing Debarment , Suspension, lnellglb llily
and Volunt Jry Exclus lon-Lo.-.·er Tier Covered Transaction,"
provi ded by the department or agency entering in to this
covered transaction, wilhout modificalton, in all lower tier
covered transactions an d In all sollcitahons for tower tier
cove ,ed transactions .
h, A partlcipanl in a covered Iransa ct1on may ffl.' upon a
r r .. ficaI 1on or a prospec1I ve paniclpan1 m a lower Iler ~:wi!rCd
In. sacllon tna1 Is not debarred , sus;>ended . ln oh g ble, or
Required by 23 CF R c : 3.102
Pag e 8 of 10
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voluntanly eKCluoed lrom the coverec transacuon , unless 1!
knows that \he certific:a11on 1s enoneous A part1c1pant ma,
dec:1::ie the metnod ano treQuenc y by Wh ich it oe1erm lnes tne
ehgibilily of its pnnc1pa1s . Each par11 c1pan t may, but is not
required lo, check tne nonprocurement portion ol the "Lists of
Parties Excluoed From Federa l Proc:uremtint o·
Nonprocurement Programs~ (Nonprocurement list) which ,s
compiled by the Genera l Serv ices Admimsvation
I. Nothing conta ined in the foregoing sha ll be cons11ueo
10 require establishment of a system of recor ds tn order to
re nder 1n good faith lhe certification required by this clause
The knowledge and inlormat1on ol participant Is nol required to
exceed lhat wh ich is normally possessed by a prudent person
in the ordinary course of business dealings.
J, Ex ce pl for tr ansactions authorized under paragraph I
of these instructlons , if a particip ant in a covered transaction
knowingly enlers lnto a lower tier covered transaction with a
person wno ls suspended, debarred , Ineligible. or volunla rity
excluded from participa!lt.,.~ In lhls tra nsaction, in addition to
other rem edies available to the Federal Government, the
department or agency may terminate th is tran saction for cause
or default.
Certification Regardi ng Debarment, Suspension,
lnellglblllty and Voluntary Exclusion-Primary Covered
Tran11ctions
1. The prospective primary participant certifies to the best of
its knowledge and belief, that It and its principals:
a. Are not presently dellaITed, suspended , proposed lor
debarment, declared ineUgible, or voluntarily exduded from
covered transactions by any Federal department or agency:
b. Have not within a J.year ;>eriod preceding this
proposal been convicted of Of had a c1 .. n judgement rendered
against them lor commlssloo ol lraud or a criminal offense in
con nection wi lh obtaining, attempting to obtain. or performing a
public (Federal. State or local) transaction or contract under a
public transaction: violaUon of Federal or State antiltust
statules or commission ol embeulement. tnelt, forgery,
bribery, falsification or destruction of records. making fal se
statements. or receiving stolen property:
c. Are no! presently indicted for 01 otherwise criminally
or civilly charged by a oovernmcntal enlily (Federal, State or
local) with commission of any of the offenses enumerated in
paragraph 1 b ot this certUication: and
d. Have not within a 3-year period precedmg th is
applicationfp,oposal had one or more public transaclions
(Federal, State 01 local) lerminaled to, cause or oelault.
2. Where the p,ospective primary partJcipant is unable to
certify to ar1y ol the stalements in lh1s certification , such
prospeclive participant shall anach an e,:p lanation 10 this
proposal.
2. Instru ctions tor Certification -Lower Tier Cove red
Transa cl lons:
(Applicable to all subco ntracts, purchase orders and otner
lower tier ::dnsac11ons of S25 .000 or more. 49 CFR 29)
a B; s1gn ,ng and suom1tt1ng this proposal, the
prospec 11,•e lowe r tier 1s orov1d1ng tne cert1fica11on set oul
below
b Tne cer:1fica11on in tn 1s clause Is a material
representation of ta ct upon Which rehance was pla ced when
th is transacl!on was entered into 1111 Is la ter de1ermlned that
the prosoechve lower tier partic,pant knowingly rendered an
erroneous certificatson , in aad1t1on lo olher remedies available
to the Federal Government , the department, or agency wilh
which tnis uansac11on onginated ma y pursue available
remedies, including suspension and 'lr debarment
c . Tne prospective lower tier participant shall prowae
immediate wnuen notice lo the person to wh ich this proposal Is
submitted If at any time th e prospective lower Iler participa nt
learns that its certificati on was erroneous by ,eason of
changed circumstances .
d. The 1erms ·covered transaction .■ "debarred .■
·suspended: ·rneliglble: ·primary covered tran saclloo .■
·participant,· ·person,· "principal.■ "prnposal," and ·voluntarily
e,ccluded: as used in this clause, have the meanings set out In
the Definltlons and Coverage sections of rules Implementing
E,cecutive Order 12549. You may contact the person to which
th is proposal is submilled for assls1ance In obtaining a copy of
lhose regulations.
e. The prospective lower tier participanl agrees by
submllting th is proposal that. should the proposed covered
transaction be entered Into. ll shall not knowingly enter Into any
lower tier covered transa ction wi th a person who is debarred,
suspended , declared ineligible, or voluntarily e11cluded from
partlcipatloo in this covered transaction, unless authorized by
the department or agency with which U1is transaction
originated.
f. The prospective tower lier participant lurther agrees by
submitting th is proposal that ii will Include lh1s cla use tilled
"Certification Regarc'1ng Debarment. Suspension, lnellgibilily
and Voluntary Exuuslon•Lower Tie r Covered Transaction,"
without modification, In a11 lower tier covered transachons and
In all solicitations for lower tier covered transactions.
g. A participant In a covered tra nsaction may rely upon a
certlflcation of a prospecti ve participant In a lower tier cove,ed
transaction that Is not debarred. suspended, inellgible, or
voluntarily eKcluded from the cove,ed tran saction, unless 11
knows lhal the certification Is erroneous A partlcipa nl may
decide tho method and frequency by which ii determines the
eligibility of 1lS principals. Each partJc1pant may, but is not
,equired lo , check the Nonprocurement list.
h. Nothing con tained in the foregoing shall be construed
to require establishment of a system ol records in order 10
re nder in good fa ith the certification required by this clause .
The knowledge and mlormahon of partic1pan1 Is nu t required 10
e,cce ed !hat which 1s norma lly possessed by a prudenl person
in th e ordinary course ol business dea lings
I. E,cepl !or transactions authorize d under paragraph e
of these instructions , If a participant in a covered 1ransact1 on
knowingly enters into a lower tier covered transa ction with a
per son who Is suspended , debarred. ineligible, or vol untarily
excluded from participation in th is transactton. in addtl1on to
other remedies available to the Federal Governmenl, the
department or ag ency wi th which this tra nsacllon originated
may pursue available remedies , including suspension and /or
d,tbarment
Required by 23 CFR 633.102
Page 9 of IO
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Certlficallon Rega rd ing Debarment, Suspen sion,
lnellgibility and Voluntary Exclusion-Lower Tier Co ve red
Transaction s :
The prospective towe1 lte r part!cipan1 cenifies , by
sucmiss,on of 1nIs proposal , that neither It nor its pnnclpals ,s
prese nl ly debarre o, suspended proposed for oeca rmeni .
ceclared inet1g 1ble , or volunt aril y e,cclude d from paniclpat1on In
tt-1s tran saclJOn by any Federal aepartment or agency
2 Where the prospective lower 1Ier participant Is unable to
cenify to any of lne s1ateme nts in 1nIs certi ficall on. such
prospe cltve participant shall attach an explanallon to this
proposal
XI I. CER TIF ICATION REGARDING USE OF CONTRACT
FUNDS O R LOBBYING
(Applicable to all Federal-aid cons truction contraclS and to
all relat ed subcontracts wh ich e11ceed $100,000.49 CFR 20)
1. The prospective participant certifies , by signing and
submitting th is bid or pr oposal, lo the best of his or her
kn o.vtedge and belie!, tha t
a. No Federal appropriated funds have been pa id or will
be paid. by or on behalf of the un dersigned , to any person for
Influenci ng or al\empting to in fl uence an offi~e r or employee al
any Federal agency , a Member of Congress , an officer or
employee of Congress, or an employee al a Member of
Congress in connec tion with the awarding ol any Federa l
contract. the mak ing of any Federal gran t. the ma king of any
Federal loan , lhe en teri ng Into of any cooperalive agreement ,
and the e11tension. conUnuatioo , renewa l, amendmen t, or
modification of any Federa l contract, gra nl, IOan, or
cooperative agreeme nt.
b. II any lunds other than Federal appropria ted fund s
have been pa id or will be paid 10 any pe rson for influencing or
anempling to influence an offi ce r or employee ol any Federa l
agency, a Mem ber of Congress. an officer or employee of
Congress, or an employee of a t.1ember of Congress in
connec tIon with this Federa l con tract , gran t, loan, or
cooperalivc agreement , the und ersigned shall complete and
submil Standard Fo,m-LLL, "Di sclosu re Form 10 Report
Lobbying ,· In accordance with its instru ctions .
2. Thi s cer1lfic ation Is a mate tial re pr ese ntation ot fact upon
wtuch relia nce wa s placed whe n this transaction wa s made 01
en1 ered into. Subm ission of th is cenification is a prerequisi te
lor mak ing or entering in lo th is tran saction imposed by 31
U S.C. 1352 Any person who fa lls to file the reqwred
ce rt1hcatlon sha ll be sub1ect to a civi l pe na lty ol not less than
$1 0.000 and not more than S1 00,000 for each such failure
3. The prospeclive participant also agree s by sub ml Uing lus
or her bid or propos al that he or she sha ll rcciuIre th at the
language al th is certification be In clu ded in all lower tier
sub con tracts . which e11cc cd S 100,000 and Iha\ all such
recip ients shall cenily and disclose accordingly
Pa ge IOo f'I O
Rcq uu cd b)' 13 C'FR 633 .102
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ADDENDUM A: FEDERAL REQUIREMENTS
Federa l law s and regu la tion s th at may be app li cabl e t~ th e Wor k in clud e:
A. The "U ni fom1 Admin istrati,·e Requir ement s for Grant s and Coo perati ve Agree ment s to State
and Lo cal Govenrn1ents (Common Rul e), at 49 Co de of Federal Re gulati ons, Pan 18, except to
:he extent that oth er applicable federal requirem ent s (including the pro\'isions of 23 CF R
Parts 172 or 633 or 635) are more specifi c than proYision s of Part 18 and therefore
super se de such Part 18 pro\'i sion s. Th e requireme nt s of 49 CFR 18 includ e, wit hout
limit ation :
I.
2.
3.
4,
5 .
th e Local Agency/Contractor shall fo ll ow app li cab le proc ur emen t proc edur es , as required by
sec ti on 18.36(d);
th e Local Agency/Contrac tor sha ll request and ob tain prior COOT ap pro va l of changes to
any subco ntra cts in th e manner, and to the ex ten t required by, applicable provis ions of
sec ti on I 8.30 ;
th e Local Age ncy/Contractor sha ll comply with sect ion 18.37 co nce rnin g an y subgra nt s;
to expedite any COOT approva l, th e Local Age ncy/Co ntra ctor's attorney, or ot her
authori zed representative, shall also s ubmit a letter to COOT certifying Local
Agency/Co nt rac tor compliance with sect ion 18.30 change order procedures, and with
I 8.36(d) proc ureme nt procedures , and wit h 18.37 s ubgrant pro ced ures, as applicable;
th e Local Agency/Co ntra ctor shall incorporate th e specific contrac t provi sions described in
I 8.36(i) (w hi ch are also deemed incorp orated here in ) into any subc on tra ct(s) for such
services as term s and co ndition s of those subcontracts.
B. Exec utiv e Order 11 246 of September 24, 1965 entitl ed "Equa l Emp loyment Opportunity," as
amended by Executive Order 113 75 of October 13, 1967 and as s uppl emented in Department of
Labor regulations (4 1 CF R Chap ter 60) (A ll co nstruction con tra cts awa rd ed in excess of
$10,000 by gra nt ees and th eir con tractors or subgrantees).
C. The Copeland "Anti-K ickback" Ac t (18 U.S.C. 874) as s uppl eme nt ed in Dep artm ent of Labor
re gulati ons (29 CFR Pan 3) (A ll co ntracts and s ubgrant s for construc ti on or repair).
D. Th e Da vis-Bacon Act (40 U.S.C. 276a to a-7 ) as s upp leme nt ed by Departm ent of Labor
reg ul ati on s (29 CFR Part 5) (Cons tru cti on co ntra cts in excess of $2 ,000 awarded by grantees
and subgra nt ees whe n required by Federal grant program leg islat ion . Thi s ac t req uire s that all
laborers and mechanic s emp loye d by co ntractors or s ub-c ontra ctors to work on co nstru ction
projects fin anced by federa l assistance mu st be paid wage s not less than those est abli shed for the
loca lit y of the project by the Secretary of Labor).
E. Sections 103 and 107 o f th e Contra ct Work Hours and Safety Stand ard s Ac t (40 U.S.C. 327-
330) as supp lemented by Dep artment of Labor reg ul atio ns (29 CFR Part 5). (Co nstru ction
contract s awarded by grantee s and subgrantees in excess of $2,000, and in excess of $2 .500 for
other con tra cts whi ch in vo lve th e emplo )111cnt o f mec hanics or labo rers) .
Addendum A -Page I of 2
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F. Stand ards. ord ers, or requirement s iss ued und er sec tion 30(, o r the Clea r Ai r Ac t (42 U.S.C.
1857(h). sec ti on 508 or th e Clean Water Act (33 U.S.C . 1368). Exec uti ve Orde r 11 738, and
Environm ental Protec ti on Agen cy reg ul ati ons (40 CFR Pan I 5) (co nt rac ts. subco nt rac ts, and
subgra nt s o r am ount s in ex cess or S I 00.000J .
G . Mand atory stand ard s and poli cies relatin g to energ y e ffi ciency whi ch are co nt ain ed in th e state
energy co n~e rva ti on pl an iss ued in co mpli ance with th e En ergy Poli cy and Co nsen·ati on Act
(Pub . L. 94-1 63).
H. Office or Man age ment and Bud get Circul ars A-87. A-2 1 or A-122 , and A-1 02 or A-11 0,
whichever is applicabl e.
I. The Hatch Act (5 USC 1501 -15 08) and Publi c Law 95-454 Se ction 4728 . The se statut es st ate
that feder al funds cannot be used for pani san political purpose s or an y kind by an y perso n or
organi zati on in vo lve d in th e admini strati on o r federall y-ass isted program s.
J . 42 USC 6 101 et seq . 42 USC 200v 1, 29 US C 794, and imp lem entin g regulation , 45 C.F.R . Pan
80 et. seq .. These ac t3 require that no perso n shall, on th e grounds or race, color, national origin,
age , or handic ap, be excluded from panicipation in or be subj ec ted to di scrimination in an y
program or activity funded, in whole or pan , by federal fund s;
K. The Americans with Disabiliti es Act (Public Law 101-33 6; 42 US C 12101, 12102, 12111-
12117 , 12131-12134, 12141-12150, 12161 -121 65, 12181-12189, 122 01-1221347 USC225 and
47USC 61I.
L. The Uniform Relocation Assist ance and Real Propert y Acqui sition Policies Act , as am ended
(Public Law 91-646, as amended and Publi c Law 100-17 , IOI Stat. 246-256). (lflhe contractor
is acquirin g real property and di spla cin g hous ehold s or bu sine sses in the performance of this
contract.)
M . The Drug-Free Workp lace Act (Publi c La w 100-690 Title V, subtitl e D, 41 USC 70 1 ct seq .).
N . Th e Age Di scrimination Ac t of 197 5, 42 U.S.C. Sec ti ons 610 1 ~ and it s impl ementin g
regulation , 45 C.F.R. Part 9 1;
Section 504 o f the Rehabilitati on Ac t of 1973 , 29 U.S.C. 79 4, as amend ed, and impl ementin g
reg ulati on 45 C.F.R. Pa n 84.
0 . 23 C .F.R. Part 172, con cernin g "Adm ini si ra tion of Engin ee rin g and Design Related Cont rac ts".
P. 23 CF R Part 633. concernin g "Required Co nt rac t Prov isions fo r Federal -A id Co nstru cti on
Com
Q . 23 C.F.R. Part 635 , co ncernin g "Con st ru cti on and Maint enance Provis ions".
R. Titl e Vt of th e Civil Ri ght s Ac t of 196 4 and !62(a) of th e Federa l Aid Highw ay Act of 1973 .
Th e requ irement s fo r whi ch are sho wn in th e No ndi sc riminati on Prov isions, whi ch are atta ched
hereto and made a part hereo f.
Addendum A -Pa ge 2 of 2
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APRIL 1980
No ndi sc rimination Pro,·isions:
In co mpli ance with Titl e VI of th e Ci\'il Ri ghts Ac t o f 196 4 and with Sect ion 162(aJ of the Fede ral
Aid High way Ac t of 197 3, th e Co ntra cto r. for itse lf. it s assignee s and succes so rs in in tcre ,a. agree as
fo ll ows :
A. Comp li ance wit h Regula ti ons. Th e Contra ctor wi ll com ply wi th th e Regulation s of the
Depanm ent ofTransponation rela ti ve to nondi sc rim ination in Federa ll y ass isted program s of the
Depa rtm ent of Tra11sp on at ion (Tit le 49 , Co de of Federa l Reg ulatio ns, Pan 21, here inafter
referred to as the "Regulations"), wh ich are herein in co rp orated by refe re nce and mad e a pan of
this contract.
B. 'ondiscrimination . The Co ntractor , wit h re gard to th wo rk perfom1ed by it after awa rd and
prior to completi on of th e cont ract wo rk , will no t di scri minate on th e grou nd of race , co lor , sex ,
me nt al or ph ys ical handicap ur natio na! origi n in th e selec tion and retention of Subcon trac tors,
includin g procurement of materi ::b ~nd lea ses of eq uipment. The Co ntractor will not participate
eith er directly or indir ec tl y in the discrim in ati on prohibi ted by Sec ti on 21.5 of th e Regu lations ,
inc ludin g empl oyment practice s when th e con trac t cove rs a progra m sc i fonh in Append ix C of
the Regul ations .
C. So li cit ati ons for Subcontracts. Including Procurement of Material s and Eq uipm ent. In all
so licit ations eith er by co mp etitive bidding or negotiation mad e by th e Con tractor for work to be
perfonn ed un der a subcon tract, including procurement of materials or equipmen t, each potentia l
Sub co ntract or or supp lier sha ll be notified by th e Contractor of th e Contractor's ob ligations
un der thi s co ntra ct and th e Regulations relative to nondiscriminati on on th e ground of race ,
color, se x, men tal or ph ys ical hand icap or national orig in .
D. ln fonnation and Repo n s. The Co ntra ctor wi ll pro vide all infom1ation and rcpons req uired by
th e Regu lati ons , or orders and in stru cti ons is sued pursuant th ereto and will pem1it access to its
books, reco rds , acco unt s, oth er sources of infonnatio n and it s facilities as ma y be detcnnin ed by
th e State or th e FI-IWA to be pen in cnt to asce nain comp lia nce with such Reg ulati ons. orders
and in structi ons. Where any infonnati on req uired of the Con tractor is in th e exc lusive
po ss es sion of anoth er who fai ls or refuses to furnis h th is infonn ati on, th e Co nt rac tor shall so
ccnify to th e Sta te, or th e FI-IWA as appropriate and shall se t fonh wh at effort s ha1 ·c bee n made
to ob tain th e in fo nnati on.
E. Sanctions fo r oncompliance . In th e c1·cnt of the Cont ractor's nonco mplian ce with the
nondi sc rimination prov isions of thi s co nt rac t, th e Stat e shall imp ose such contract san cti ons as ii
or th e FHWA ma y dctem1inc to be appropriate , inc ludin g. but not limit ed to:
I . Wit hh olding of pa )1nents to the Co ntra ctor und er the contract unt il the Co nt rac tor co mpli es .
and/or;
2. Cancell ati on. termin at ion or suspension of th e contra ct. in whole or in pan .
No ndi sc rimin ation Pro visio ns -Page I of 2
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F. ln co morati on or Pro vis ions. The Co ntra ctor will includ e th e pro visions or para graph s A through
F in every subco nt rac t. including procurem ent or materia ls and leases or equipment , un less
exe mp t by th e Regu lations. orders. or instru cti ons issued pursuant th ereto. The Contrac tor wi ll
take such ac ti on wi th respect to any sub co ntra ct or proc urem en t as th e Sta te or th e FHWA may
direct as a means or enforcing such provis ions inc ludi ng sa nct io ns for nonco mplian ce; pro vid ed,
howev er, th at, in th e eve nt th e Co nt rac tor become s in vo lved in , or is threa tened with , liti gatio n
with a Subcontract or or suppli er as a re sult or such dir ec ti on , the Contractor ma y requ es t th e
State to ent er int o s uch liti ga ti on to protect th e int erest or th e State and in addition . th e
Co ntra ctor may requ es t th e FHW A to ent er int o suc h li tiga ti on to protect th e interests or th e
United St ates .
Nond is crimin ati on Prov isions -Page 2 or 2
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ATTACHMENT LO
Certi fication for Federal-Aid Con trac ls
The co lllra ctor ce nifi es, by signing th is co n1rac1. to 1h e be s1 o f i1 s kn ow ledge and beli ef. th a1:
I . No Federa l approp ri ated fund s ha\'e bee n paid or wi ll be paid , hy or on beha lf or th e
und ersigned, 10 an y perso n for innu encin g or a11 emp1in g to innu enc e an officer or empl oyee of
an y Fed eral age ncy, a Memb er of Co ngre ss, an officer or emplo yee of Co ngress , or an empl oyee
of a Member of Co ngres s in co nn ec tion wi th th e awarding of an y Federa l loa n, th e emering in1 0
of an y coo pe ra tive agreemen t, and th e extension , continuation, renewa l, amendmen t, or
modifi ca ti on of any Federal contract , grant , loan , or coo perative agreement.
2. If any funds ot her th an Fede ral appropriated fund s have been paid or will be paid to any perso n
for innu encin g or an emptin g to innu ence an officer or of Co ngre ss , or an emp loyee of a
Membe r of Congress in co nn ect ion wi 1h thi s Federal conlrac t, b'l'ant, loan , or cooperative
agreemen l, th e undersign ed sh all co mplel e and submit Standard Fom1-LLL , "Disclosure Fann 10
Repon Lobbying," in accordance with its in stru cti ons.
Thi s cen ifi ca ti on is a material represe ntation of fact upon which relian ce was pl aced when thi s
transaction was made or ent ered into . Submissi on of thi s cenilicati on is a prerequisi te for makin g or
entering into this transac ti on impo sed by Secti on 1352, Title 3 1, U.S. Code . An y perso n who fails to
file th e required cenifi cati on shall be subject to a civil penalty of not less than $10,000 and not more
th an $ I 00,000 for each such failure .
Th e pros pec tiv e pani c ip ant al so agree by s ubminin g hi s or her bid or proposa l th at he or she shall
require that th e lan guage of thi s ccnificat ion be in clud ed in all low er tier s ub co nt racts. which exceed
SI 00,000 and th at all s uch subrec ipient s shall ce ni fy and di sc lose according ly.
Required by 23 CFR 6:15.11 2
All achment LO -Pa ge I of I
APPENDIX B
• DISAD\"ANTAGED BUSINESS ENTERPRISE (DBE)
SE CT ION I . Poli cv .
It is th e polic y of th e Co lora do Depanm ent of Tra nspo nati on (C OOT) th at di sa dv ant age d bu sin es s
ent erpri ses shall have th e max imum opp onun ity 10 pani cip ate in th e perfo nn anc e of co111rac1s fin ance d
in whole or in pan with Federal fund s und er thi s agree ment , pursuant 10 49 CFR Pan 23 . Co nse qu entl y,
th e 49 CFR Pan IE DBE re quirement s th e Co lorad o Depanm ent o f Tran spon ati on DB E Pro gram (o r a
Local Agen cy DB E Pro gram approved in advance by th e Stat e) appl y 10 th is agree ment.
SEC TIO N 2. DB E Obl igati on.
The recipient or its contra ctor agree s 10 ensure Ih a! disadv ant aged busin ess ent erpris es as detennin ed by
the Office of Ce nification at th e Co lorado Depanment of Regulatory Agencies have th e maximum
opponunity to panicipat e in the perfonnance of contract s and sub contracts finan ced in whole or in pan
wit h Federa l funds provided under thi s agreement . In this regard. all panicipanls or contractors shall
take all necessary and reasonable st eps in accordance with the COOT DBE program (or a Local Agency
DBE Program approved in advance by the State) to ensure that disadvantaged business enterprises have
the maximum opponunity to co mpet e for and perfom1 contracts . Recipients and their contractors shall
not discriminate on th e basis of race , co lor, national origin, or se x in the award and perfonnance of
COOT ass isted contracts .
• SECTION 3 DBE Program .
•
The contractor (subrecipient) shall be responsible for obtaining th e Disadvantaged Business Enterprise
Program of the Co lorado Depanmenl of Transponati on, 1988 , as amend ed, and shall compl y with th e
applicable provisions of the program . (If app li cable).
A copy of the DBE Program is av ailable from and will be mail ed to th e co n1ra c1or up on reque st:
Business Programs Office
Co lorado Depanm ent ofTransponation
4201 East Arkansas Avenu e, Roo m 287
Denver, Colorado 80222-34 00
Ph one : (303) 757 -923 4
re vi sed I /22 /98 Required by 49 CFR Pan 23 .41
Appe ndix B -Pa ge I o f I
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COUNCIL COMMUNICATION
Date : Agenda Item : Subject :
A ugus t 4. 2003 IOai Interg ove rnm ental Agreemen t wi th
CDOT fo r U.S. 285 Si dewa lk s
Initiated By: D epartm ent of Pub li c Works I Staff Source : Ken Ross , Director of Public Works
COUNCIL GOAL AND PREVIOUS COUNCIL ACTION
Co un cil ap proved Reso lution No. 43 , Seri es 2002, auth ori zin g th e Ci ty to apply fo r Fe deral funds
under th e Transportation Equity Act for th e 2 1" Century (TE A-21).
RECOMMENDED ACTION
Staff recommends Council approval of a Bill for an Ordinance to enter into an agreement with the
Colorado Department of Transp ortation (CDOT). TI1is ag re emen t covers fin ancial commitments
related to th e constru ction of "U.S. 285 Sidewalks from Clarkson to Old Hampden".
BACKGROUND, ANALYSIS, AND ALTERNATIVES IDENTIFIED
Th e north side of U .S. 285 betwee n Clarks on and O ld Hampden is id entifi ed in th e City's "Sidewalk
Missi ng Links ". Install ation of si dewalks at this loca tion is des irabl e for th e safety and convenience
of pedestrians .
In Febru ary of 2002, th e Ci ty submitted an ap plica ti on to th e D enve r Regional Council ~f
Governments (DRCOG) for Federal TEA-2 1 fun ds to construct this project. Initially, the project did
not make the cut for inclusi on in the TIP, howeve r, staff continu ed to pursue the project when
additional funds b eca me available in ea rl y 2003 and it was included ,n th e Transp ortati on
Improvement Pr ogram for funding in FY 2003 .
Th e total es timated project cos t is $397,000. Federal funds in th e amount of $297,000 are
programmed in th e TIP . Englewood's share is es timated at $100,000.
Muller Engineering was retain ed to des ign of th e project. Final des ign is und erway and will be
complete by th e end of August, 2003. Pending Coun cil approva l of thi s IGA, th e project should be
o ut for bids the firs t w ee k of Sept ember. Construction w ill ca rry over to th e spring of 2004.
FINANCIAL IMPACT
Th e federal parti cipati on toward s th e US 285 Sidewa lk s is $29 7,0 00. Englewood's match is
es timated al $100,000. Thi s project was ad ded after th e 2003 budget proces s was co mplete. The
"S idewalk s M , sin g Links " 2003 budget in th e Pu bl ic Improvement Fund has approxi matel y $40,000
in reserve and availab le fo r thi s projec t. Thi s w ill fund o ur shar e of work performed duri ng ca lendar
ye ar 2003. Funds for th e remaind er of th e match and project administration w ill nee d to be
budgeted in th e M ulti ) ea r Capital Pl an for 2004.
LIST OF ATTACHMENTS
Int ergovernmenta l Agreem ent
Bill for an Ordinance