HomeMy WebLinkAbout1998 Ordinance No. 041,_ Iii
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ORDINANCE NO. !if__
SERIES OF 1998
BY AUTHORITY
COUNCIL BILL NO. 32
INTRODUCED BY COUNCIL
MEMBER WAGGONER
AN ORDINANCE AUTHORIZING AN INTERGOVERNMENTAL CONTRACT
BETWEEN THE COLORADO DEPARTMENT OF TRANSPORTATION (CDOT) AND
THE CITY OF ENGLEWOOD , COLORADO WHICH PERTAINS TO THE DESIGN
OF THE PROJECT TO WIDEN AND CREATE MEDIANS ON BROADWAY
BETWEEN U.S. 285 AND YALE A VENUE IN THE CITY OF ENGLEWOOD.
WHEREAS , the City Council of the City of Englewood passed Resolution No. 3,
Series of 1996 , which authorized the City to apply for Federal funds under the
Intermodal Surface Transportation Efficiency Act (!STEA); and
WHEREAS , in 1996 the City of Englewood's application for this project scored high
base d on the criteria used by the Denver Regional Council of Governments (DRCOG);
and
WHEREAS, DRCOG approached the City with a choice of funding this project or the
previously approved US 285/Broadway Interchange and the City selected the US
285/Broadway Interchange project; and
WHEREAS , in 1997 the City initiated the South Broadway Corridor Action Plan;
and
WHEREAS, City staff suggested to Council that DRCOG and CDOT might be
willing to exchange projects at our request; and
WHEREAS , CDOT proposed abandoning South Broadway as a state highway from
US 285 to our south City limits ; and
WHEREAS, Council agreed that staff should approach DRCOG and CDOT to
negotiate for the abandonment and exchange of projects; and
WHEREAS DRCOG agreed to exchange projects and CDOT agreed to add
improvements to the Broadway Bridge and contribute half of our local match (not to
exceed $370 ,000); and
WHEREAS , improvements to the bridge increased the estimated project cost from
$3,257,000 to $3 ,760,000 ; and
WHEREAS , by the passage of this Ordinance the proposed intergovernmental
contract addresses costs associated with design only because construction is scheduled
for the year 2000; and
WHEREAS, an intergovernmental contract regarding funding for construction will
be brought to Council in 1999 as ISTEA funding becomes available; and
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WHEREAS , the Federal participation towards design of this Project will be
$376,000 with the total estimated cost of the design project totaling $481 ,000;
Englewood's share is $105,000;
NOW, THEREFORE, BE IT ORDAINED BY THE CITY COUNCIL OF THE CITY OF
ENGLEWOOD , COLORADO, AS FOLLOWS:
Section L The City Council of the City of Englewood, Colorado hereby authorizes
the City to enter into an intergovernmental contract with CDOT pertaining to the
design of "South Broadway Widening and Medians" between U.S . 285 and Yale
Avenue, a copy is attached hereto as Exhibit A.
Section 2. The Mayor and the City Clerk are hereby authorized to sign and attest
said intergovernmental Contract on behalf of the City of Englewood.
Introduced, read in full , and passed on first reading on the 15th day of June , 1998.
Published as a Bill for an Ordinance on the 19th day of June, 1998.
Read by title and passed on final reading on the 6 th day of July, 1998 .
Published by title as Ordinance No. 'JL Series of 1998, on the 10th day of July,
1998.
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I , Loucrishia A. Ellis, City Clerk of the City of Englewood, Colorado, hereby certify
that the above and foregoing is a true copy p,f the Ordinance passed on final reading
and published by title as Ordinance No. '!iJ_, Series of 1998.
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STU 2854-071 (11999)
WIDENING BROADWAY: US 285 TO YALE AVENUE
City of Englewood/R-6 (KEK)
CONTRACT
Rev 3/98
98 HA6 01077
THIS CONTRACT, made this ___ day of ______ , 19_ by and between the
State of Colorado for the use and benefit of THE COLORADO DEPARTMENT OF
TRANSPORTATION, hereinafter referred to as the State or CDOT, and the CITY OF
ENGLEWOOD, STATE of COLORADO, 3400 South Elati Street, Englewood, CO 80110, FEIN:
846000583, hereinafter referred to as the Local Agency, or the contractor.
FACTUA L RECITALS.
1. 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 3020 , Object 2312 lP , Phase D , Reporting Category 6120, Contract
Encumbrance Number 11999 , (Contract Encumbrance Amount: $470 ,000 .00 ).
2. Required approval , clearance and coordination has been accomplished from and with appropriate
agencies .
3. Pursuant to Title I, Part A, Section 1007 of the Intermodal Surface Transportation Efficiency Act
of 1991 and to applicable provisions of Title 23 of the United States Code and implementing
regulations at Title 23 of the Code of Federal Regulations , as may be amended, (collectively referred
to hereinafter as "the federal provisions"), certain Federal funds have been and will in the future be,
allocated for highway projects requested by Local Agencies and eligible under the Surface
Transportation Program that has been proposed by the State and approved by the Federal Highway
Administration (FH\VA), hereinafter referred to as the program .
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4. Pursuant to§ 43-1-223, C.R.S. and to applicable portions of the federal provisions, the State is
responsible for the general administration and supervision of performance of projects in the program,
including the administration of federal funds for a program project performed by a local agency
under a contract with the State.
4.5 The Local Agency has requested that a certain local highway project be funded as part of the
program, and by the date of execution of this contract the Local Agency (and/or the State) has
completed and submitted a preliminary version of CDOT form #463 describing the general narure
of that project work. The Local Agency understands that, before the project work is actually started,
the description of the project work in that CDOT form #463 will likely be revised as a result of
design changes made by CDOT , in conjunction and coordination with the Local Agency , in its
internal review process. The Local Agency desires to agree to perform the project work as described
in the Form #463 , as it may be revised in that process.
5. Federal-aid funds have been made available for design project STU 2854-071 for widening
Broadway at US 285 to Yale A venue, including new signalization of the 285/Broadway Ramps ,
modifications to two ramps and associated improvements, and reconstructing Broadway to
accommodate raised medians from US 285 to Yale , as more specifically described in Exhibit A (the
Form #463 and/or a "Scope of Work"), in Englewood, Colorado, hereinafter referred to as "the
project" or "the work".
6 . The matching ratio for this federal-aid project is 80% federal-aid funds to 20% Local Agency
funds , it being understood that such ratio applies only to such costs as are eligible for federal
participation, it being further understood that all non-participating costs shall be borne by the Local
Agency at I 00%.
7. The Local Agency desires to comply with the federal prov1s10ns and other applicable
requirements, including the State's general administration and supervision of the project thru this
contract, in order to obtain federal funds for the project.
8. The Local Agency has estimated the total cost of the Work and is prepared to provide its match
share of the cost, as evidenced by an appropriate ordinance or resolution duly passed and adopted
by the authorized representatives of the Local Agency, which expressly authorizes the Local Agency
to enter into this contract and to expend its match share of the Work.
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9. This contract is executed under the authority of Sections 29-1-203 , 43-1-110, 43-1-116 ,
43-2-101(4)(c) and 43-2-144 , C.R.S., as amended , and the Local Agency ordinance/resolution .
10 . The parties hereto desire to agree upon the division of responsibilities with regard to the project.
11 . The Local Agency is adequately staffed and suitably equipped to undertake and satisfactorily
complete some or all of the Work.
12. The State certifies that such work can be more advantageously performed by the Local Agency.
NOW, THEREFORE, it is hereby agreed that :
I. ST AND ARD FORM CONTRACT
This is a standard form contract that is designed to efficientl y contract for and administer 2 types of
program projects: 1) program projects which include the same basic work elements (design ;
construction; construction administration by local agenc y; right-of-way; utilities ; etc.); and , also ,
2) program projects with specific differences in those basic work elements (e.g., a specific project
may include design but no construction, or it may include design and construction but the State will
do the construction administration, etc .)
The form contract accommodates both types of projects by using qualifying language to condition
the application of particular contract requirements , based on whether specific work elements are
included in the project. For instance , where the contract provides ... "If the Work includes
engineering/design services , the Local Agency shall perform the following requirements ... ", the
Local Agency need perform those requirements only if engineering/design services are expressl y
included in the project, as defined in the Scope of Work . (Conversely, notwithstanding that language
is in the contract, the Local Agency can ignore those "requirements" if engineering/design services
are NOT expressly included in the Scope of Work .)
The Local Agency shall interpret such qualifying language in that manner. By using such
language, the form contract can apply to both the general and the specific types of projects , thus
making it easier to administer and saving the State and the Local Agenc y time and expense .
II . PROJECT DESCRJPTION
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"The project" or "the Work" under this contract shall consist of design project STU 2854-071 for
widening Broadway at US 285 to Yale A venue, including new signalization of the 285/Broadway
. Ramps, modifications to two ramps and associated improvements, and reconstructing Broadway to
accommodate raised medians from US 285 to Yale, hereinafter referred to as "the project" or "the
Work" in Englewood, Colorado, as more specifically described in Exhibit A, attached hereto and
made a part hereof (the Form #463 and/or a "Scope of Work") as it may be revised by the parties in
the design review process before the project work is actually started.
III. INCORPORATION BY REFERENCE
All federal and state statutes, regulations, specifications, administration checklists, directives ,
procedures, documents, and publications that are specifically identified and/or referenced in this
contract, together with all exhibits and attachments and addenda to this contract, are incorporated
herein by this reference as terms and conditions of this contract as though fully set forth.
IV. WORK RESPONSIBILITY
The Local Agency shall be responsible to perform all design tasks required to complete the Work,
and the Local Agency shall comply with all applicable terms and conditions of this contract in
performing the Work, including those process and task responsibilities addressed in the Pre-
Construction and Construction Administration Checklists attached hereto and made a part hereof.
The responsible party shall perform all such tasks in accordance with applicable requirements and
standards, including those in this contract and in applicable law.
V. PROJECT FUNDING PROVISIONS
A. The Local Agency has estimated the total cost the Work to be $481, 000. 00 which is to
be funded as follows:
a.
b.
Federal participating funds:
(80% of $470,000.00)
Local Agency participating share:
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$376,000 .00
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c.
(20% of $470 ,000.00)
Local Agency non-participating
share:
Total Funds:
$94,000.00
$11,000.00
$481 ,000.00
B. The matching ratio for the federal participating funds for this project is 80% federal-aid
funds to 20% Local Agency funds, it being understood that such ratio applies only to the
$470 ,000.00 that is eligible for federal participation, it being further understood that all
non-participating costs are borne by the Local Agency at 100%. If the total actual cost of
performance of the Work exceeds $48 1,000 .00 , and additional federal funds are made available for
the project, the Local Agency shall pay 20% of all such costs eligible for federal participation and
100% of all nonparticipating costs ; if additional federal funds are not made available , the local
agency shall pay all such excess costs. If the total actual cost of performance of the Work is less
than $470 ,000.00 , then the amounts of Local Agency and federal-aid funds will be decreased in
accordance with the funding ratio described herein. The performance of the Work shall be at no cost
to the State .
C. The maximum amount payable to the Local Agency under this contract shall be
$336 ,000 .00, unless such amount is increased by an appropriate written modification to this contract
executed before any increased cost is incurred. It is understood and agreed by the parties hereto that
the total cost of the Work stated hereinbefore is the best estimate available, based on the design data
as approved at the time of execution of this contract, and that suc;;h cost is subject to revisions (in
accord with the procedure in the previous sentence) agreeable to the parties prior to bid and award.
D . The parties hereto agree that this contract is contingent upon all funds designated for the
project herein being made available from federal and/or state and/or Local Agency sources , as
applicable . Should these sources, either federal or Local Agency , fail to pro vide necessary funds as
agreed upon herein , the contract may be terminated by either party , provided that any party
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terminating its interest and obligations herein shall not be relieved of any obligations which existed
prior to the effective date of such termination or which may occur as a result of such termination.
VI. PROJECT PAYMENT PROVISIONS
A. The State will reimburse the Local Agency for the federal-aid share of the project charges
following the State 's review and approval of such charges, subject to the terms and conditions of this
contract. Provided, however, that charges incurred by the Local Agency prior to the date of FHW A
authoriz.ation for the project and prior to the date this contract is executed by the State Controller or
his designee will not be charged by the Local Agency to the project, and will not be reimbursed by
the State , absent specific FHW A and/or State Controller approval thereof.
B . Upon execution of this contract the State is authorized , in its discretion, to perform any
necessary administrative support services pursuant to this contract. These servi ces may be
performed prior to and in preparation for any conditions or requirements of this contract, including
prior FHW A approval of project work. The Local Agency understands and agrees that the State may
perform such services , and that payment for such services shall be at no cost to the State but shall
be as provided in Section V.A. At the request of the Local Agency , the State shall also provide other
assistance pursuant to this contract as may be agreed in writing. In the event that federal-aid project
funds remain available for payment, the Local Agency understands and agrees the costs of an y such
services and assistance shall be paid to the State from project funds at the applicable rate. However,
in the event that such funding is not made available or is withdrawn for this contract, or if the Local
Agency terminates this contract prior to project approval or completion for any reason , then all
actual incurred costs of such services and assistance provided by the State shall be the sole expense
of the Local Agency .
C. If the Local Agency is to be billed for CDOT incurred direct costs , the billing procedure
shall be as follows:
1. Upon receipt of each bill from the State, the Local Agenc y will remit to the State the
amount billed no later than 45 da ys after receipt of each bill. Should the Local Agency fail
to pay moneys due the State within 45 days of demand or within such other period as may
be agreed between the parties hereto , the Local Agency agrees that at the request of the State,
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the State Treasurer may withhold an equal amount from future apportionments due the Local
Agency from the Highway Users Tax Fund and to pay such funds directly to the State.
Interim funds, until the State is reimbursed, shall be payable from the State Highway
Supplementary Fund (400).
2. If the Local Agency fails to make timely payment to the State as required by this section
(within 45 days after the date of each bill), the Local Agency shall pay interest to the State
at a rate of one percent per month on the amount of the payment which was not made in a
timely manner, until the billing is paid in full. The interest shall accrue for the period from
the required payment date to the date on whi ch payment is made .
D . The Local Agency will prepare and submit to the State monthly charges for costs incurred
relative to the project. The Local Agency will prepare project charges in ac cordance with the State's
standard policies, procedures , and standardized billing format attached hereto and made a part
hereof.
VII. STATE COMMITMENTS
A. The State will provide liaison with the Local Agency through the State's Region Director,
Region 6 , 2000 South Holly Street, Denver, Colorado 80222, (303)-757-9251. Said Region Director
will also be responsible for coordinating the State's activities under this contract. Said Region
Director will also issue a "Notice to Proceed" to the Local Agency fo r commencement of the Work.
All communication relating to the day-to-day activities for the work shall be exchanged
between representatives of the State 's Transportation Region 6 and the Local Agency. Until changed
by notice in writing, all such notices and correspondence shall be addressed as follows :
If to State : If to the Local Agency :
Mr. Gary Huber Mr . David Henderson
CDOT Region 6
2000 South Holly Street
Denver, CO 80222
(303) 757-9866
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City of Englewood
3400 South Elati Street
Englewood, CO 80110
(303) 762-2506
B. The State will reimburse the Local Agency for the federal-aid share of the project charges,
as provided in Section VI(A).
C. If the Work includes construction, the State, at its discretion, will review construction
plans, special provisions and estimates and will cause the Local Agency to make those changes
therein that the State determines are necessary to assure compliance with State and FHWA
requirements.
D. The State will perform a final project inspection prior to project acceptance as a Quality
Control activity. When all project work has been satisfactorily completed, the State will sign the
FHWA form 1212.
VIII. LOCAL AGENCY COMMITMENTS
A. DESIGN.
If "the Work" includes the performance/provision of preliminary engineering/design , and/or final
design (a.k.a. "construction plans"), and/or design work sheets, and/or special provisions and
estimates, collectively referred to as "the Plans", the party responsible for design (as described in
Section IV.) shall comply with the following requirements:
I. Shall perform or provide the Plans, to the extent required by the nature of the Work.
2. Final design ("construction plans") shall be prepared in accordance with the requirements
of the latest edition of the American Association of State Highway Transportation Officials
(AASHTO) manual.
3. Special provisions and estimates shall be prepared in accordance with the State's Roadway
and Bridge Design Manuals and Standard Specifications for Road and Bridge Construction.
4. The Plans shall include details of any required detours, in order to prevent any
interference of the construction work and to protect the traveling public.
5. All the Plans produced shall be stamped by a Colorado Registered Professional Engineer.
6. The State shall be afforded ample opportunity to review the Plans. Any changes in the
Plans as directed by the State shall be made and the Plans shall be considered final when approved
and accepted by the parties hereto.
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Following award of the construction contract(s) for the project, no further changes shall be made in
the Plans except by agreement in writing between the parties.
7 . The Plans, when final, shall be deemed incorporated herein.
8. Will provide final assembly of the Plans and contract documents .
9. Will be responsible for the Plans being accurate and complete.
10. May enter into a contract with a consultant to do all or any portion of the Plans and/or
of construction administration. Provided. however. that if federal-aid funds are to participate in the
cost of such work to be done by a consultant, shall ensure that its procurement of that consultant
contract (and the performance/provision of the Plans under that contract) complies with all
applicable requirements of Title 23, Code of Federal Regulations (CFR), Part 172, (concerning the
Administration of Engineering and Design Related Service Contracts), and with any procedures
implementing those requirements as provided by the State . Those requirements and procedures
include, without limitation:
a) the Local Agency/Contractor shall submit any design consultant subcontract to CDOT
for approval prior to its execution by the Local Agency/Contractor, as required by section 1 72.5 ( d);
b) all changes in the contract shall be by written supplemental agreement and must have
prior approval of the State and FHW A. As soon as the contract with the consultant has been
awarded by the Local Agency , one copy of the executed contract shall be submitted to the State .
Any amendments to such contract shall be similarly submitted;
c) all consultant billings under that contract shall comply with the State's standardized
consultant billing format. Examples of the billing formats for the various methods of contract
payment are attached hereto and made a part hereof;
d) the Local Agency/Contractor shall also use the CDOT procedures as described in
Attachment #1 to administer that design consultant subcontract, to comply with sections 172.5(b)
and (d);
e) to expedite any CDOT approval, the Local Agency/Contractor's attorney , or other
authorized representative, may also submit a letter to CDOT certifying Local Agency/Contractor
compliance with those CDOT Attachment # 1 procedures and with the requirements of sections
172.S(b) and (d) .
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11. If the Local Agency has contracted with a consultant for the design of a major structure,
the Local Agency/consultant contract shall contain the following language verbatim:
a) "The design work under this contract shall be compatible with the requirements of a
separate contract between the Local Agency and the State (which is incorporated herein by this
reference) for the design/construction of the project. The State is an intended third party beneficiary
of this contract for that purpose."
b) "Upon advertisement of the project work for construction, the consultant shall make
available services as requested by the State to assist the State in the evaluation of construction and
the resolution of construction problems that may arise during the construction of the project."
c) "The consultant shall review the construction contractor's shop drawings for conformance
with the contract documents and compliance with the provisions of the State 's publication, "Standard
Specifications for Road and Bridge Construction", in connection with this work."
B. CONSTRUCTION .
If "the Work" includes construction, the party responsible for construction and construction
administration (as described in Section IV.) shall comply with the following:
1. Administration of the construction of the project shall be in accord with the project's Pre-
construction and Contract Administration Checklists, as amended. Such administration shall include
project inspection and testing ; approving sources of materials; performing required plant and shop
inspections ; documentation of contract payments , testing, and inspection activities; preparing and
approving pay estimates; preparing, approving, and securing the funding for contract modification
orders (CMOs) and minor contract revisions (MCRs); processing contractor claims; construction
supervision; and, meeting the Quality Control (QC) requirements of the FHW NState stewardship
program, all as more fully described in the project's Pre-construction and Contract Administration
Checklists .
2 . Shall appoint a qualified professional engineer, licensed in the State of Colorado, as the
Local Agency Project Engineer (LAPE), to perform that administration. The LAPE shall administer
the project in accordance with this agreement, the requirements of the construction contract, and
applicable State procedures. The LAPE may be an employee of the Local Agency or may be a
consultant. If the LAPE is an employee of the Local Agency , the LAPE shall be in responsible
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charge of the construction of the project (as provided in Section 12-25-102 C.R.S . as amended),
notwithstanding any exception described in Section 12-25-103 , C.R.S ., as amended.
3. If bids are to be let for the construction of the project, will (in conjunction with the State)
advertise the call for bids and (upon concurrence by the State) will award the construction contract(s)
to the low responsive, responsible bidder(s).
a) In advertising and awarding the bid for the construction of a federal-aid project, shall
comply with applicable requirements of 23 U.S.C. § 112 and 23 C .F.R. § § 633 and 635. Those
requirements include , without limitation, that the Local Agency/Contractor shall physicall y
incorporate the entire "Form 1273" (which, ifrelevant to this contract, is attached) verbatim into any
subcontract(s) for those services as terms and conditions thereof, as required by 23 CFR 633.102 (e).
b) The Local Agency has the option to accept or reject the proposal of the low bidder for
work on which competitive bids have been received. The Local Agenc y must declare the acceptance
or rejection at the award conference or within 3 working days after said bids are publicly opened,
whichever occurs later.)
c) By indicating its acceptance in such award at the award conference, the Local Agenc y
acting by or through its duly authorized representatives , agrees to provide additional funds , subject
to their availability and appropriation for that purpose , ifrequired to complete the Work under this
project if no additional federal-aid funds will be made available for the project.)
4 . In the event that all or part of the construction work is to be accomplished by Local
Agency personnel (i.e., by "force account"), rather than by a contractor pursuant to a contract with
the Local Agency, the Local Agency will insure that all such force account work is accomplished
in accordance with the pertinent State specifications and requirements and with 23 C.F .R. Part 635,
Subpart B, "Force Account Construction".
a) Such work will normally be based upon estimated quantities and firm unit prices agreed
to between the Local Agency and the State in advance of the Work , as provided for in Section
635 .204(c). Such agreed unit prices shall constitute a commitment as to the value of the Work to
be performed .
b) An alternative to (a) is that the Local Agency may agree to participate in the Work based
on actual costs of labor, equipment rental, materials supplies and supervision necessary to complete
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the Work. Where actual costs are used, eligibility of cost items shall be evaluated for compliance
with Federal Acquisition Regulations (FAR), 48 C.F.R. Part 31.
c) Rental rates for publicly owned equipment will be determined in accordance with Section
109.04 of the State's "Standard Specifications for Road and Bridge Construction".
d) All force account work shall have prior approval of the FHW A and shall not be initiated
until the State has issued a written notice to proceed.
C. ROW ACOUISITION/RELOCA TION
If acquisition and relocation assistance is required for the project, the Local Agency will be
responsible to perform the acquisition and relocation assistance, as required by Sections 24-56-101,
et seq., C.R.S. Prior to this project being advertised for bids , the Local Agency will certify in
writing to the State that all right of way has been acquired in accordance \vi th the applicable State
and federal regulations, or that no additional right of way is required.
D . UTILITIES.
The Local Agency will be responsible for obtaining the proper clearance or approval from any utility
company which may become involved in this project, by separate agreement between the Local
Agency and the utility, if necessary. Prior to this project being advertised for bids, the Local Agency
will certify in writing to the State that all such clearances have been obtained.
E. RAILROADS .
In the event the project involves modification of a railroad company's facilities at a railroad grade
crossing whereby the Work is to be accomplished by railroad company forces, the Local Agency
shall make timely application to the State Public Utilities Commission requesting its order providing
for the installation of the proposed improvements and not proceed with that part of the work without
compliance. The Local Agency shall also establish contact with the railroad company involved for
the purpose of complying with applicable provisions of23 Code of Federal Regulations 646, Subpart
B, concerning federal-aid projects involving railroad facilities, including:
I. Executing an agreement setting out what work is to be accomplished and the location(s)
thereof, and that the costs of the improvement shall be eligible for federal participation.
2 . Obtaining the railroad's detailed estimate of the cost of the Work.
3 . Establishing future maintenance responsibilities for the proposed installation.
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4 . Prescribing future use or dispositions of the proposed improvements in the event of
abandonment or elimination of the grade crossing .
5 . Establishing future repair and/or replacement responsibilities in the event of accidental
destruction or damage to the installation.
F. ENVIRONMENTAL.
In its performance of the Work, the Local Agency shall comply with the applicable provisions of the
State 's approved Action Plan concerning federal environmental requirements, including all federal
directives contained therein by reference . Copies o f the applicable provisions may be requested from
the Office of Environmental Services , Colorado Department of Transportation, 4201 E. Arkansas
A venue, Rm . 284 , Denver Co 80222 .
G. RECORD KEEPING .
The Local Agency shall maintain all books , documents, papers, accounting records and other
evidence pertaining to costs incurred and to make such materials available for inspection at all
reasonable times during the contract period and for 3 years from the date of final payment to the
Local Agency. Copies of such records shall be furnished by the Local Agency ifrequested .
The Local Agency shall , during all phases of the Work, permit duly authorized agents and employees
of the State and the FHWA to inspect the project and to inspect, review and audit the project records.
H. MAINTENANCE .
The Local Agency will maintain and operate the improvements constructed under this contract, at
its own cost and expense during their useful life, in a manner satisfactory to the State and FHWA,
and will make ample provision for such maintenance each year . Such maintenance and operations
shall be in accordance with all applicable statutes and ordinances, and regulations promulgated
thereunder, which define the Local Agency's obligation to maintain such improvements. The State
and FHW A will make periodic inspections of the project to verify that such improvements are being
adequately maintained.
I. FEDERAL REQUIREMENTS .
The Local Agency /Contractor shall at all times during the execution of this contract strictly adhere
to , and comply with, all applicable federal and state laws , and their implementing regulations , as
they currently exist and may hereafter be amended, which are incorporated herein by this reference
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as terms and conditions of this contract. The contractor shall also require compliance with these
statutes and regulations in subgrant agreements permitted under this contract. A listing of some of
the federal and state laws that may be applicable, depending on the Local Agency/Contractor work
responsibilities under this contract, are described in ADDENDUM A.
J. DBE REQ UIREMENTS
"If the Local Agenc y desires to use its own DBE Program to implement and administer the DBE
provisions of Title 49 CFR Part 23 under this contract, it must submit a copy of its program's
requirements to CDOT for review and approval before the execution of this contract. If the
Local Agency uses it's program for this contract, the Local Agency shall be solely responsible
to defend that DBE Pro gram and its use of that Program against all legal and other challenges or
comp laints , at its sole co st and expense. Such responsibility includes , without limitation,
determinations concerning DBE eligibility and certification , adequate legal and factual bases for
DBE goals , and good faith efforts. COOT approval (if any ) of the Local Agency's DBE Program
does not wai ve or modi fy the sole responsibility of the Local Agency for its use as described above ."
K . LOCAL AGE N CY FUN DS
The Local Agenc y shall pro vi de its match share and indirect cost funds for the w ork as outlined in
Sect ion V.B .
IX . GE N ERAL PROV ISIO N S
A. Notwithstanding an y consents or approvals given by the State for the Plans , the State will
not be liable or responsible in any manner for the structural design, details or construction of any
major structures that are desi gned within the Work of this contract.
B. If the Work involves construction, the State shall have the authority to suspend the Work,
wholly or in part, by giving written notice thereof to the Local Agency, due to the failure of the
Local Agency or its construction contractor to correct project conditions which are unsafe for the
Workmen or for such periods as the State may deem necessary due to unsuitable weather, or for
conditions considered unsuitable for the prosecution of the Work , or for any other condition or
reason deemed by the State to be in the public interest.
c. This contract may be terminated as follows:
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(a) Termination for Cause . If, through any cause, the Local Agency shall fail to fulfill,
in a timely and proper manner, its obligations under this contract, or if the Local Agency shall
violate any of the covenants, agreements, or stipulations of this contract, the State shall thereupon
have the right to terminate this contract for cause by giving written notice to the Local Agency of
its intent to terminate and at least ten ( 10) days opportunity to cure the default or show cause why
termination is otherwise not appropriate. In the event of termination, all finished or unfinished
documents, data, studies, surveys, drawings, maps , models, photographs, and reports or other
material prepared by the Local Agency under this contract shall, at the option of the State, become
its property , and the Local Agency shall be entitled to received just and equitable compensation for
any services and supplies delivered and accepted . The Local Agency shall be obligated to return any
payment advanced under the provisions of this contract.
Notwithstanding above, the Local Agency shall not be relieved of liabil ity to the State for any
damages sustained by the State by virtue of any breach of the contract by the Local Agency .
If after such termination it is determined, for any reason, that the Local Agency was not in default ,
or that the Local Agency's action/inaction was excusable , such termination shall be treated as a
termination for convenience, and the rights and obligations of the parties shall be the same as if the
contract had been terminated for convenience, as described herein.
(b ) Termination for Convenience . The State may terminate this contract at any time the
State determines that the purposes of the distribution of funds under the contract would no longer
be served by completion of the project. The State shall effect such termination by giving written
notice of termination to the Local Agency and specifying the effective date thereof, at least twenty
(20) days before the effective date of such termination.
(c) Termination Due to Loss of Funding . The parties hereto expressl y recognize that the
Local Agency is to be paid, reimbursed, or otherwise compensated with federal and/or State funds
which are available to the State for the purposes of contracting for the project provided for herein ,
and therefore , the Local Agency expressly understands and agrees that all its rights, demands and
claims to compensation arising under this contract are contingent upon availability of such funds to
the State. In the event that such funds or any part thereof are not available to the State, the State may
immediately terminate or amend this contract.
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D. Notwithstanding anything herein to the contrary , the parties understand and agree that
all terms and conditions of this contract and attachments hereto which may require continued
performance or compliance beyond the termination date of the contract shall survive such
termination date and shall be enforceable by the State as provided herein in the event of such failure
to perform or comply by the Local Agency.
E. This contract is subject to such modifications as may be required by changes in federal
or State law, or their implementing regulations. Any such required modification shall automatically
be incorporated into and be part of this contract on the effective date of such change as if fully set
forth herein. Except as specifically provided otherwise herein, no modification of this contract shall
be effective unless agreed to in writing by both parties in an amendment to this contract that is
properly executed and approved in accordance with applicable law.
F. To the extent that this contract may be executed and performance of the obligations of the
parties may be accomplished within the intent of the contract, the terms of this contract are
severable, and should any term or provision hereof be declared invalid or become inoperative for any
reason, such invalidity or failure shall not affect the validity of any other term or provision hereof.
The waiver of any breach of a term hereof shall not be construed as a waiver of any other term, or
the same term upon subsequent breach.
G. This contract is intended as the complete integration of all understandings between the
parties. No prior or contemporaneous addition, deletion, or other amendment hereto shall haYe any
force or effect whatsoever, unless embodied herein by writing . No subsequent novation, renewal ,
addition, deletion, or other amendment hereto shall have any force or effect unless embodied in a
written contract executed and approved pursuant to the State Fiscal Rules .
H. Except as herein otherwise provided, this contract shall inure to the benefit of and be
binding upon the parties hereto and their respective successors and assigns.
I. The Local Agency represents and warrants that it currently has no interest, and shall not
acquire any interest, direct or indirect, that would conflict in any manner or degree v.ith the
performance of the Local Agency's obligations under this contract. The Local Agency's further
covenants that, in the performance of this contract, it will not employ any person or firm having any
such known interests .
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J. This contract shall become "effective" only upon the date it is executed by the State
Controller, or designee. The term of this contract shall begin on the date first written above and shall
continue through the completion and final acceptance of this project by the State, FHW A and Local
Agency.
K. The Special Provisions, Attachment LO (Certification for Federal-Aid Contrac:s ), and
Appendix B (DBE requirements) attached hereto are hereby made a part of this contract. The Local
Agency shall comply with all applicable terms and conditions of such attachments.
L. If a conflict occurs between the provisions of this contract proper and the attaci.rnents
hereto, the priority to be used to resolve such a conflict shall be as follows :
I. The Special Provisions and the attachments enumerated in Section IX , paragr-2.ph K ,
above; and
2. This contract proper;
3. Other contract attachments and exhibits, in their respective order.
M. It is expressly understood and agreed that the enforcement of the terms and cor:citions
of this contract, and all rights of action relating to such enforcement, shall be strictly reserved to the
parties hereto, and nothing contained in this contract shall give or allow any such claim or right of
action by any other or third person on such contract. It is the express intention of the parties that any
person or entity other than the parties receiving services or benefits under this contract be <ieemed
to be an incidental beneficiary only.
N. The Local Agency assures and guarantees that it possesses the legal authority to ente: into
this contract. The Local Agency warrants that it has taken all actions required by its procedures, by-
laws, and/or applicable law to exercise that authority , and to lawfully authorize its unde:signed
signatory to execute this contract and to bind the Local Agency to its terms . The person(s) exe:::uting
this contract on behalf of the Local Agency warrants that they have full authorization to exec:rre this
contract.
0 . The Local Agency and the State may use one or all of the Contract Modification Tools
contained in ADDENDUM B, in order to more expeditiously change and amend the terms of this
contract, if such use is warranted by the circumstances as described and authorized therein .
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IN WITNESS WHEREOF, the parties hereto have executed this contract the day and
year first above written. •
ATTEST :
By ______ _
Chief Clerk
CLIFFORD W. HALL
State Controller
By ______ _
ATTEST : (SEAL)
By ______ _
Title ------
STATE OF COLORADO
ROY ROMER, GOVERNOR
By ----------Executive Director
DEPARTMENT OF TRAl'ISPORTATION
APPROVED :
GALE A. NORTON
Attorne y General
By _________ _
BARRY B . RYAl'l
Assistant Attorney General
Civil Litigation Section
CITY OF ENGLEWOOD , COLORADO
By _________ _
Title ---------
Federal Employer Identification
Number: 846000583
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ATTACHMENT #1
THE LOCAL AGENCY SHALL USE THESE PROCEDURES TO IMPLEMENT FE DERAL-AID PROJECT
AGREEMENTS WITH PROFESSIONAL CONSULTANT SERVI CES
Title 23 Code of Federal Regulations (CFR) 172 applies to a federa l ly funded
local agency project agreement administered by COOT that involves professional
c onsultant services. 23 CFR 172 and 23 CFR 172(d) state that, "When federal-
aid highway funds participate in the contract a local shall use the same
procedures a s used by the State to administer contracts ... ". Therefore,
local agencie s must comply with this CFR requirement and the following s tate
procedures when obtaining professional consultant services under a federally
funded consultant contract a dministered by COOT.
COOT has formulated its procedures in Procedural Directive (P.O.) 400.1 and
the related operations guidebook titled "Obtaining Professional Con s ultant
Services ". This directive and guidebook incorporate requiremencs from both
Federal and State regulations , i.e., 23 CFR 172 and Colorado Revised Statute
(C .R.S.) 24 -30-1401 et seq . Copies of the directive and L~e guidebook may be
obcained upon request from CDOT 's Agreements and ConsulLa~~ Management Unit.
[Local agencies should have their own written procedures en :ile for each
meLhod of procurement that addresses the items in 23 C?~ ~~2 .5 (b ) (l-6 )).
Because the procedures and laws described in the Procedura: Directive and the
guidebook are quite lengthy, the subsequent steps serve as a shorL-hand guide
to COOT procedures that a local agency must follow in obLaining professional
consultant services. This guidance follows the format of 23 c:~ 1 7 2. The
steps are:
1. The contracting local agency shall document the nee=
professional services .
obtaining
2. Prior to solicitation for consultant services, the ccn~raccing local
agency shall develop a detailed scope of work and a list of evaluation
factors and their relative importance . The evaluacion factors are those
identified in C.R.S. 24 -30 -1403 . Also, a detailed ccs~ estimate should
be prepared for use during negotiations.
3. The contracting agency must advertise for contracts in conformity with
the requirements of C.R .S. 24 -30-1405 . The public ncLice period , when
such notice is required, is a minimum of 15 days prior to the selection
of the three most qualified firms and the advertisins should be done in
one or more daily newspapers of general circulation.
4. The request for consultant services should include tje scope of work, the
evaluation factors and their relative importance, the ~et~od of payment,
and the goal of ten percent (10%) Disadvantaged Business Enterprise (DBE )
participation as a minimum for the project .
5 . The analysis and s election of the consultants should ~e done in
acco r dance with C .R .S. 24 -30 -1403. This section of c~e regulation
identifies the criteria to be used in the evaluation c: CDOT pre -
qualified prime consultants and their team. It also sjows which criteria
are used to short -list and to make a final selection.
The short-list is based on the following evaluation :actors :
a. Qualifications,
b. Approach to the project,
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c. Ability to furnish professional services .
d. Anticipated design concepts, and
e. Alternative methods of approach for furnishing the professional
services .
Evaluation factors for final selection are the consultant 's :
a. Abil itie s of their pers onnel,
b. Past performance,
c . Willingness to meet the time and budget requirement,
d. Location,
e. Current and projected work load,
f . Volume of previously awarded contracts, and
g. Involvement of minority consultants .
Under 24-30-1401 . cost shall not be considered as a factor in the
evaluation of professional consultant services .
6. Once a consultant is selected, the local agenc y ente=s into negotiations
with the consultant to obtain a fair and reasonable price for the
anticipated work . Pre -negotiation audits are prepa=ed for contracts
expected to be greater than $50,00 0 . Federal reimbu=sement for costs are
limited to those costs allowable under the cost principles of 48 CFR 31.
Fixed fees (profit) are dete=mined with consideration given to size,
complexity, duration, and degree of risk involved in the work . Profit is
in the range of six (6 ) to fifteen (15) percent of the total direct and
indirect costs.
7. A qualified local agenc y employee shall be respons~ble and in charge of
the project to ensure that t~e work being pursued is complete , accurate,
and consistent with the ter~s, conditions, and spec~f~cations of the
contract. At the end of project, the local agency prepares a performance
evaluation (a COOT form is available ) on the consultant.
8. Each of the steps listed above is to be documented in accordance with the
provisions of 49 CFR 18.42, which provide for records to be kept at least
three (3) years from the date that the local agenc y submits its final
expenditure report. Records of projects under litiga~ion shall be kept
at least three (3) years after the case has been se~~led.
The C.R.S. 24 -30 -1401 through 24-30 -1408, 23 CFR Part 172, and P.O. 400.l ,
provide additional details for complying with the eight (3 ; steps just
discussed .
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FHWA-1273 Elect ronic v ersion ·-'.~a,1:.-. ·c . · =~4
'FHWA' Form 1273
REQUIRED CONTRACT PROVISIONS
FEDERAL-AID CONSTRUCTION CONTRACTS
• I. General ....................... .
Page
1
II. Nondiscrimination . . . . . . . . . . . . . . . . . . . 1
Ill. Nonsegregated Faci lities . . . . . . . . . . . . . . . 3
IV . Payment of Predetermined Minimum Wage . . 3
V . Statements and Payrolls . . . . . . . . . . . . . . . 6
VI. Record of Materials . Supplies, and Labor . . . . 6
VII. Sublening or Assigning the Contract . . . . . . . 7
VIII. Safety: Accident Prevention . . . . . . . . . . . . 7
IX . False Statements Concerning Highway Projects 7
X . Implementation of Clean Air Act and Federal
Water Pollution Control Act . . . . . . . . . . . . . . . . . . . . 8
XI. Certification Regarding Debarment, Suspension ,
Ineligibility, and Voluntary Exclusion . . . . . . . . . . . . . . 8
XII. Certification Regarding Use of Contract Funds for
Lobbying . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 9
ATTACHMENTS
A . Employment Preference for Appalachian Contracts
(included in Appalachian contracts only)
I. GENERAL
1 . These contract provis ions shall apply t o all work performed
on the contract by the c ontracrnr 's own organization and with the
assistance of workers under th e contractor 's immediate superi n-
tendence and to all work performed on the contract by
piecework, station work, or by subcontract.
2 . Except as otherwise provided for in each section, the
contractor shall insert in each subcontract all of the stipulations
•
contained in these Required Contract Provisions, and further
require their 1nclus1on in any lower tier subcontract or purchase
order that may in turn be made . The Required Contract Provi-
sions shall not be incorporated by reference in any case . The
prime contractor shall be responsible for compliance by any
subcontractor or lower tier subcontractor with these Required
Contract Provisions .
3 . A breach of any of the stipulations contained in these
Required Contract Provisions shall be sufficient grounds f o r
termination of the c ontract .
4 . A breach of the following clauses of the Required Contract
Provisions may also be grounds for debarment as provided in 29
CFR 5 .12 :
Section I, paragraph 2;
Section IV, paragraphs 1, 2. 3. 4 , and 7 ;
Section V, paragraphs 1 and 2a through 2g .
5 . Disputes arising out of t he labor standards provisions of
Section IV (except paragraph 5) and Section V of these Required
Contract Provisions shall not be subject to the general disputes
clause of this contract. Such disputes shall be resolved in accor-
dance w ith the procedures of the U .S. Department of Labor (DOU
as set forth in 29 CFR 5, 6 . and 7 . Disputes within the meaning
of this clause include disputes between the contractor (or any of
its subcontractors) and the contracting agency, the DOL. or the
contractor 's employees or their representatives .
6 . Selection of Labor: During the performance of this con -
tract , the contractor shall not :
• a. discriminate against labor from any other State, posses-
. sion, or territory of the United States (except for employment
preference tor Appalach i an contracts, when applicable, as
specified in Attachment A), or
b. employ convict labor for any purpose 'NTU'Jn ~e :im its of
the project unless it is labor performed by conv1c:s w rc are on
parole , supervised release, or probation .
II. NONDISCRIMINATION
(Applicable to all Federal-aid construction conrrac:s ana t o all
related subcontracts of $10,000 or more .)
1 . Equal Employment Opportunity: Equal em p.ovment .:-oportu-
nity (EEO) requirements not to discr imina!e 3nd :o take
affirmative action to assure equal opportunity as ser fa~ under
laws . executive orders, rules. regulations (28 ::=;:;. 35 . 29 CFR
1 630 and 41 CFR 60) and orders of t he Sec ~e :arv of ...:oar as
modified by the provisions prescribed here, • .,, 3nd :mpo sed
pursuant to 23 U .S .C. 140 shall constitute t he ==: ana soeci fic
affirmative action standards for the contractor 's :::r.:1 ec: 3C:ivities
under this contract. The Equal Opportunity Co n.s::--c:1on ~ntract
Specifications set forth under 41 CFR 60-4 .3 ano ::-:e ;:r::vis ions
of the American Disabilities Act of 1 99 0 (4 2 -' .S . :. 1 2 ~ 01 tl
§fill.) set forth under 28 CFR 35 and 29 ::="\ 1 c30 are
incorporated by reference in this contract . In ::-e exec---:1o n of
this contract , the contractor agrees to co mply w .::-. ::-:e 7:.:owing
minimum specific requirement activities of EE C ·
a . The contractor will work with the Stat e -:i<_;:-:wa'I ag en cy
(SHA) and the Federal Government i n carryi ng co:.: ==·J cc-.-;ano ns
and in t heir r eview of his /her activities under t:-'e :c ntrac:.
b . The contractor will accept as his ope-·:r::-,g j:c :cy th e
following statement:
"It is the pol icy of this Company to assure tha-: acoii car:s 3re
employed , and that employees are treated ::-<..;ro n g er:-:; ioy-
me nt, without regard to th e ir race, relig ic:-:. sex. ~1 or ,
national origin, age or disability. Such actio:-s:-:a ll inc.:ud e :
employment, upgrading , demotion, or t ran sf:~ r ecn_ar-:-1 ent
or recruitment advertising; layoff or terminatic:-:: r3tes :7 oay
or other forms of compensat ion; and sel e c :::: :-. 7c r :r<:ir-.1 ng,
including apprenticeship , pre apprenticeship , ar·::. er cn-~-e-j ob
training ."
2 . EEO Officer : The contractor will des ,~:-.ate arc -nake
known to the SHA contracting officers an EE C: :t:':cer .·.~o will
have the responsibility for and must be capac 'e cf e f.'e~1 vel y
adm in istering and promoting an active contractc: :xcgram :f EEO
and who must be assigned adequate authority ana respc:-.s;bility
to do so .
3 . Dissemination of Policy: All members of :.-.e canrr :c:o r 's
staff who are authorized to hire , supervise , pr:mote. arxi dis-
charge employees , or who recommend such aC':'c n. or w n o are
substantially involved in such action, will be mace 7-uily c::~;;i zant
of, and will implement, the contractor's EE O po lic; and c::r::ra ctu-
al responsibilities t o provide EEO in each grade ;::>a :l as si-'.':::ation
of employment. To ensure t hat t he above agree,-·e nt w 1il :.: ~et,
the following actions will be taken as a minim u ~.:
a. Periodic meetings of supervisory anc :lersonr.e • Jtti ce
employees will be conducted before the start :• Nork ar.c :hen
not less often than once every six months, a-r N:>ich :;~.e the
contractor 's EEO policy and its implementation N 1il oe re ·r•ewed
and ex plained . The meetings will be conduc-:ec by tr'..: !:EO
Offic er.
b . All new supervisory or personnel offi ce employe-es will
be given a thorough indoctrination by the EEO :: ffic er . c~';eri ng
all major aspects of the contractor 's EEO obliga t :~r.s wit hin :hirty
days following their reporting for duty with the :.:ntrac::r .
REQUIRED BY 23 CFR 533 .--~ -~:-
c. All personnel who are engaged in direct recruitment for
the project will be instructed by the EEO Officer in the contrac-
tor 's procedures for locating and hiring minority group employees.
d. Notices and posters setting forth the contractor's EEO
policy will be placed in areas readily accessible to employees,
applicants for employment and potential employees .
e . The contractor 's EEO policy and the procedures to
implement such policy will be brought to the attention of employ-
ees by means of meetings, employee handbooks, or other
appropriate means .
4 . Recruitment : When advertising for employees , the contrac-
tor will include in all advertisements for employees the notation:
·An Equal Opportunity Employer.· All such advertisements will
be placed in publications having a la rge circulation among
minority groups in the area from which the project work force
would normally be derived .
a. The contractor will, unless precluded by a valid bargain-
ing agreement, conduct systematic and direct recruitment through
public and private employee referral sources likely to yield
qualified minority group applicants . To meet this requirement, the
contractor will identify sources of potential minority group
employees, and establish with such identified sources procedures
whereby minority group applicants may be referred to the
contractor for employment consideration.
b . In the event the contractor has a valid bargaining agree-
ment providing for exclusive hiring hall referrals, he is expected
to observe the provisions of that agreement to the extent that the
system permits the contractor 's compliance with EEO contract
provisions . (The DOL has held that where implementation of such
agreements have the effect of discriminating against minorities or
women, or obligates the contractor to do the same, such imple-
mentation violates Executive Order 11246, as amended .)
c . The contractor will encourage his present employees to
refer minority group applicants for employment . Information and
procedures with regard to referring minority group applicants will
be discussed with e mpl oyees.
5 . Personnel Actions : Wages , working conditions, and
employee benefits shall be established and administered, and
personnel actions of every type , including hiring , upgrading,
promotion , transfer, demotion, layoff, and termination. shall be
taken without regard to race, color, religion , sex, national origin,
age or disability. The following procedures shall be followed:
a. The contractor w i ll conduct periodic inspections of
project sites to insure that working conditions and employee
facilities do not indicate discriminatory treatment of project site
personnel.
b . The contractor will periodically evaluate the spread of
wages paid within each class i f i cation to determine any evidence
of discriminatory wage practi ces.
c . The contractor will periodically review selected person-
nel actions in depth to determine whether there is evidence of
discrimination . Where evidence is found, the contractor will
promptly take corrective action . If the review indicates that the
discrimination may extend beyond the actions reviewed, such
corrective action shall include all affected persons .
d . The contractor will promptly investigate all complaints
of alleged discrimination made to the contractor in connection
with his obligations under this contract, will attempt to resolve
such complaints , and will take appropriate corrective action
within a reasonable time . If the investigation indicates that the
discrimination may affect persons other than the complainant ,
such corrective action shall include such other persons. '...!=n
completion of each investigation, the contractor will inform :•JIC!ry
complainant of all of his avenues of appeal.
6 . Training and Promotion:
a. The contractor will assist in locating, qualifyinc;, =and
increasing the skills of minority group and women employees. '3nd
applicants for employment.
b . Consistent with the contractor's work force reo..:.rre-
ments and as permissible under Federal and State regul ations. ~e
contractor shall make full use of training programs, i.e., acc:=en-
ticeship, and on-the-job training programs for the geograc.~::::a l
area of contract performance . Where feasible , 25 percer.:-of
apprentices or trainees in each occupation shall be in theff ~st
year of apprenticeship or training. In the event a special prcv1s:on
for training is provided under this contract, this subparagrac:r will
be superseded as indicated in the special provis ion .
c . The contractor will advise employees and applicar.n ·~or
employment of available training programs and entrance r=c_rr-e-
ments for each.
d . The contractor will perio dica lly review the trainiri;; -'.=-rid
promotion potential of minority group and women emplo yee~ -'.=-rid
will encourage eligible employees to appl y for such tra i r.1ri;; ;znd
promotion .
7 . Unions : If the contractor relies in whole or in par: -=on
unions as a source of employees, the contractor will use -:ts. -ner
best efforts to obtain the cooperation of such unions to inc:-:.:ase
opportunities for minority groups and women w ithin the '-"r 1c::-ns .
and to effect referrals by such unions of minority and ~~;ate
employees . Actions by the contractor either directly or :rrc:..!.:gn
a contractor 's association acting as agent will include th e :rc=::e-
dures set forth below:
a. The contractor will use best efforts to deve:cc. 1n
cooperation with the unions , joint training programs aimed :=· ... card
qualifying more minority group members and women for rr.er:-::r:e '-
ship in the unions and increasing the skills of minorit"f ~_uo
employees and women so that they may qualify for higher =c-·.•"1g
employment .
b. The contractor will use best efforts to incorpcra:: 13n
EEO clause into each union agreement to the end that suc!"I .:..-i:on
will be contractually bound to refer appl icants without rec;ar::: ·:o
their race , color , religion, sex, national origin, age or disac ii ir.-.
c . The contractor is to obtain information as to the refe:.ral
practices and policies of the labor union except that to the eX7"::nt
such information is within the exclus ive possession of th e a:::oor
union and such labor union refu ses to furnish such informat:c:-:o
the contractor , the contractor shall so certify to the Si-',.l. ;;:nd
shall set forth what efforts have been made to obtain ;t.:,..-:;n
information .
d . In the event the union is unable to provide the contra=or
with a reasonable f low of m inority and women referrals wit:'in -:ne
time limit set forth in the collective bargaining agreeme r:-r . ·7ne
contractor will , through independent recruitment efforts . fiil -::ne
employment vacancies without regard t o race, color, re ligicn . ;s x .
national origin , age or disability; making full efforts to :c:~rn
qualified and /or qualifiable minority group persons and wcr.-eer..
(The DOL has held that it shall be no excuse that the union ·"'o:tn
which the contractor has a collect ive bargaining agreerr-~t
providing for exclusive referral failed to refer minority emp l o.,~:..)
In the event the union referral practice prevents the conrrac:::or
from meeting the obligations pursuant to Executive Order 1 '. :.:.<'€.
REQUIRED BY 23 CFR 633.102 -24-
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·as amended, and these special provisions, such contractor shall
immediately notify the SHA.
• 8 . Selection of Subcontractors. Procurement of Materials and
Leasing of Equipment: The contractor shall not discriminate on
the grounds of race, color, religion, sex, national origin, age or
disability in the selection and retention of subcontractors, includ-
ing procurement of materials and leases of equipment .
a. The contractor shall notify all potential subcontractors
and suppliers of his/her EEO obligations under this contract.
b . Disadvantaged business enterprises !DBE). as defined in
49 CFR 23, shall have equal opportunity to compete for and
perform subcontracts which the contractor enters into pursuant
to this contract. The contractor will use his best efforts to solicit
bids from and to utilize DBE subcontractors or subcontractors
with meaningful minority group and female representation among
their employees . Contractors shall obtain lists of DBE construc-
tion firms from SHA personnel.
c . The contractor will use his best efforts to ensure
subcontractor compliance with their EEO obligations.
9 . Records and Reports: The contractor shall keep such
records as necessary to document compliance with the EEO
requirements . Such records shall be retained for a period of three
years following completion of the contract work and shall be
available at reasonable times and places for inspection by autho-
rized representatives of the SHA and the FHWA.
a . The records kept by the contractor shall document the
following :
•
, ( 1) The number of minority and non-minority group
members and women employed in each work classification on the
project;
(2) The progress and efforts being made in cooperation
with unions, when applicable, to increase employment opportuni-
ties for minorities and women ;
(3) The progress and efforts being made in locating,
hiring, training, qualifying, and upgrading minority and female
employees; and
(4) The progress and efforts being made in securing the
services of DBE subcontractors or subcontractors with meaningful
minority and female representation among their employees .
b. The contractors will submit an annual report to the SHA
each July for the duration of the project, indicating the number of
minority, women, and non-minority group employees currently
engaged in each work classification required by the contract
work. This information is to be reported on Form FHWA-1391.
If on-the job training is being required by special provision , the
contractor will be required to collect and report training data.
Ill. NONSEGREGATED FACILITIES
(Applicable to all Federal-aid construction contracts and to all
related subcontracts of $10,000 or more .)
a. By submission of this bid, the execution of this contract or
subcontract. or the consummation of this material supply agree-
ment or purchase order , as appropriate, the bidder, Federal-aid
•
construction contractor, subcontractor, material supplier, or
vendor, as appropriate, certifies that the firm does not maintain
or provide for its employees any segregated facilities at any of its
establishments . and that the firm does not permit its employees
to perform their services at any location, under its control, where
segregated facilities are maintained. The firm agrees ::-.:::: a
breach of this certification is a violation of the EEO prov1 s;c~ :if
this contract . The firm further certifies that no employee ... ·i i ::ie
denied access to adequate facilities on the basis of ~:~ :ir
disability.
b . As used in this certification, the term • seg:--:;;:-_:d
facilities" means any waiting rooms, work areas, restrocrs 3nd
washrooms, restaurants and other eating areas, time-=cKS ,
locker rooms , and other storage or dressing areas, parkiri:; v::s .
drinking fountains, recreation or entertainment areas, tr~:ir
tation, and housing facilities provided for employees wr 1 ~ 3re
segregated by explicit directive, or are . in fact, segregatec ::--::ie
basis of race , color, religion, national origin, age or di:;.cciir:-y,
because of habit, local custom, or otherwise. The only ex=::1:in
will be for the disabled when the demands for ac::e,;s::ii i-ry
override (e .g. disabled park ing).
c . The contractor agrees that it has obtained or w iil ==•n
identical certification from proposed subcontractors or -::-:;al
suppliers prior to award of subcontracts or consumma-:.:::-:if
material supply agreements of $10,000 or more and tha: -: ~vii i
retain such certifications in its files .
IV. PAYMENT OF PREDETERMINED MINIMUM WAGE
(Applicable to all Federal-aid construction co ntracts ex .:::: ::ing
$2 ,000 and to all related subcontracts , except for :...-: '=':::s
located on roadways classified as local roads or ru ra . -;ri:ir
collectors, which are exempt .)
1. General :
a . All mechanics and laborers employed o r work ir..; _z:o n
the site of the work will be paid unconditionally and not l e~ :-3:-i
than once a week and without subsequent deduction or rec .. ::: :in
any account [except such payroll deductions as are perrr.:-:-::=-:: :;y
regulations (29 CFR 3) issued by the Secretary of Labor •.Jrc: :::ie
Copeland Act (40 U .S .C . 276c)] the full amounts of we<;;~~ :no
bona fide fringe benefits (or cash equivalents thereof) due :: ::ne
of payment . The payment shall be co mputed at wage r ;;-:-~ •:Jt
less than those contained in the wage determination :~ -:oe
Secretary of Labor (herei nafter "the wage determination · .... -.,:::i
is attached hereto and made a part hereof , regardless =" 3-,Y
contractual relationship which may be alleged to exist ::.::-,,.~n
the contractor or its subcontractors and such labcrer= 3-,:j
mechanics . The wage determination (including any acc-:::cr.a l
classifications and wage rates conformed under paragra::.-: :if
this Section IV and the DOL poster (WH-1321) or Form =-·,., .C-
1495 ) shall be posted at all times by the contractor :r-c -:s
subcontractors at the site of the work in a prominer-: :n:J
accessib le place where it can be easily seen by the work;:,-;:_ =:ir
the purpose of th is Section , contributions made o r costs -=-=._<:;::1-.-
ably anticipated fo r bona fide fringe benefits under Se ctior -::, .. :l
of the Davis-Bacon Act (40 U.S .C . 276a) on behalf of lacer-=-= :::ir
mechanics are considered wages paid to such labcr-=--= :ir
mechanics, subject to the provisions of Section IV. paragra:::-3::,
hereo f. Also, for the purpose of this Sec:io n , ~--.J;3 r
contributions made or costs incurred for more than a ... ~ .. ~:v
period (but not less often than quarterly) under plans , fi..;-c::. :ir
programs , which cover the particular weekly period . are =~ed
to be constructi v ely made or incurred during such weekl·1 :-=oo ::.
Such labo rers and mechanics shall be paid the appropri a': .... ;;.;ie
rate and fringe benefits on the wage determination ~'l -:oe
classification of work actually performed , without regarc ::: :;<:ill,
except as provided in paragraphs 4 and 5 of this Sectio r. -•
b . La borers or mechanics performing work in more ::-a.-:r-ie
classification may be compensated at the rate specified '-:r-e::.::n
classification for the time actually worked there i n. prov ice::;_ ::-oat
REQUIRED BY 23 CFR 533 .102 -~"-
the employer's payroll records accurately set forth the time spent
in each classification in which work is performed .
c. All rulings and interpretations of the Davis-Bacon Act
and related acts contained in 29 CFR 1, 3, and 5 are herein
incorporated by reference in this contract .
2 . Classification:
a . The SHA contracting officer shall require that any class
of laborers or mechanics employed under the contract, which is
not listed in the wage determination, shall be classified in
conformance with the wage determination .
b . The contracting officer shall approve an additional
classification , wage rate and fringe benefits only when the
following criteria have been met :
( 1) the work to be performed by the additional classifi-
cation requested is not performed by a classification in the wage
determ in ation ;
(2) the additional classification is utilized in the area by
the construction indu stry;
(3) the proposed wage rate, including any bona fide
fringe benefits. bears a re asonable relationship to the wage rates
contained in the wage determination; and
(4) with respect to helpers, when such a classification
prevails in the area in which the work is performed .
c. If the contractor or subcontractors, as appropriate , the
laborers and mechanics (if known) to be employed in the addition-
al classification or their representatives. and the contracting
officer agree on the classification and wage rate (including the
amount designated for fringe benefits where appropriate), a report
of the action taken shall be sent by the contracting officer to the
DOL, Administrator of the Wage and Hour Division. Employment
Standards Administration, Washington, D .C. 20210 . The Wage
and Hour Admin is trator, or an authorized representative, will
approve, modify, or disapprove every additional classification
action within 30 days of receipt and so advise the contracting
officer or will notify the contracting officer within the 30-day
. period that add itional time is necessary .
d . In the event the contractor or subcontractors, as appro-
priate , the laborers or mechanics to be employed in the additional
classification or their representatives, and the contracting officer
do not agree on the proposed classification and wage rate
(including the amount designated for fringe benefits , where
appropriate), the contracting officer shall refer the questions.
including the views of all interested parties and the recommenda-
tion of the contracting officer, to the Wage and Hour Administra-
tor for determination. Said Administrator , or an authorized
representative, w ill issue a determination within 30 days of
receipt and so advise the contracting officer or will notify the
contracting officer within the 30-day period that additional time
is necessary
e . The wage rate (including fringe benefits where appropri-
ate) determined pursuant to paragraph 2c or 2d of this Section IV
shall be pa id to all workers performing work in the additional
class ification from the first day on which work is performed in the
classification .
3. Payment of Fringe Benefits:
a . Whenever the minimum wage rate prescribed in the
contract for a class of laborers or mechanics includes a fringe
benefit which is not expressed as an hourly rate, the contractor
or subcontractors. as appropriate, shall either pay the bere~ as
stated in the wage determination or shall pay another bcra -:i ce
fringe bene fit or an hourly case equivalent thereof.
b. If t he contractor or subcontractor, as appropriar:. :oes
not make payments to a trustee or other third person , he: s;-e -nay
consider as a part of t he wages of any laborer or mechar 1c :ne
amount of any costs reasonably anticipated in provid ing t:cra -:'1 ::ie
fringe bene fits under a plan or program . provided, that the S=:;:-e-
tary of Labor has found , upon the wrinen request of th e :::r::-a::-
tor , that th e applicable standards of the Davis-Bacon Ac: -.ave
been met . The Secretary of Labor may require the contra= to
set aside in a separate account assets for the mee::r; :if
obligations under the plan or program.
4. Apprentices and Trainees (Programs of the U .S . DC L Bnd
Helpers:
a . Apprentices:
( 1) Apprentices will be permitted t o work at 'es:= -:-.an
the predetermined rate for the work they performed wrer -:7iey
are employed pursuant to and individually registered in a ::era -'1 ::ie
apprenticeshi p program registered with the DOL. Employ r.-e::-3nd
Training Administration. Bureau of Apprenticeship and -:-·:, -.rn,;,
or with a State apprenticeship agency recognized by the =l---==iu,
or if a person is employed in his /her f irst 90 days of proca::c-a·y
employment as an apprentice in such an apprenticeship :r::.;:-=im .
who is not individually regis tered in the program , but ,.,,...c <es
been certified by th e Bureau of Apprenticeship and Trai rc1r,; ::r a
State apprenticeship agency (where appropriate) to be eii c;1c .: ·:ir
probationary employment as an apprentice.
•
(2) The allowable ratio of apprentices to jour:-e•.-iim-
level employees on the job site in any craft classificat ion s:-o= •ot •
be greater th an the ratio permitted to the contractor 3S :::: -:ne
entir e work fo rce under the registered program. Any er.:::c-vee
listed on a payroll at an apprentice wage rate, who is nc: ~1s-
tered or otherwise employed as stated above, shall be :a•c •ot
less than the applicable wage rate listed in the wage de::r-.r.;2-
tion fo r the cla ss ification of work actually performed. In ecc-::::::ir ..
any apprentice performing work on the job site in excess ::--:ne
ratio permined under the registered program shall be paic -c-:!ss
than t he applicable wage rate on the wage determination '::.:--:-ie
work actually performed. Where a contractor or subcontr:= 1s
perform ing con struction on a project in a locality other tr:ar -:-;at
in which its program is registered, the ratios and wage ra:e!:: ='?X-
pressed in percentages of the journeyman-level houn·1 =rre)
spec ified in t he contractor's or subcontractor's registered :r::c;:-3m
shall be observed.
(3) Every apprentice must be . paid at not le ss :;-ar -::ie
rate specified in the registered program for the apprentice ; :>vel
of progress. expressed as a percentage of the journe ymar--:-ve l
hourly rate specified in the applicable wage determ1rc:: ::::ir..
Apprenti ces sha l l be pa id fringe benefits in accordance wrr. -::ie
provisions of the apprenticeship program. If the apprent:c=7110
program does not specify fringe benefits . apprentices r.-~ :ie
pa id the full amount of fringe benefits li sted on the wage cer::-r11-
nation for the applicable classif ication . If t he Administrac~ ·r:ir
the Wage and Hour Division determines that a different ;:r:c::r::e
preva ils for the applicable apprentice classification, fringes ;:;-;all
be paid in accordance with that determination.
(4) In the event the Bureau of Apprenticesrrc 3Tld
Train ing, or a State apprenticeship agency recognized :•. -:ne
Bureau, withdraws approval of an apprent iceship prograr . -::ie •
contractor or subcontractor will no longer be permitted to _:=ii ;ze
apprentices at less than the applicable predetermined rate '::r -::ie
comparable work performed by regular employees until an ==-
able program is approved.
REQUIRED BY 23 CFR 633.102 -2.; -
• b. Trainees :
(1) Except as provided in 29 CFR 5 .16, trainees will not
be permitted to work at less than the predetermined rate for the
work performed unless they are employed pursuant to and
individually registered in a program which has received prior
approval , evidenced by formal certification by the DOL. Employ-
ment and Training Administration.
(2) The ratio of trainees to journeyman-level employees
on the job site shall not be greater than permitted under the plan
approved by the Employment and Training Administration . Any
employee listed on the payroll at a trainee rate who is not regis-
tered and participating in a training plan approved by the Employ-
ment and Training Administration shall be paid not less than the
applicable wage rate on the wage determination for the classifica-
tion of work actually performed. In addition, any trainee perform-
ing work on the job site in excess of the ratio permitted under the
registered program shall be paid not less than the applicable wage
rate on the wage determination for the work actually performed .
(3) Every trainee must be paid at not less than the rate
specified in the approved program for his /her level of progress ,
expressed as a percentage of the journeyman-level hourly rate
specified in the applicable wage determination . Trainees shall be
paid fringe benefits in accordance with the provisions of the
trainee program. If t he trainee program does not mention fringe
benefits, trainees shall be paid the full amount of fringe benefits
listed on the wage determination unless the Administrator of the
Wage and Hour Division determines that there is an apprentice-
ship program associated with the corresponding journeyman-level
wage rate on the wage determination which provides for less
than full fringe benefits for apprentices. in which case such
trainees shall receive the same fringe benefits as apprentices .
• (4) In the event the Employment and Training Adminis-
tration withdraws approval of a training program, the contractor
or subcontractor will no longer be permitted to utilize trainees at
less than the applicable predetermined rate tor the work per-
formed until an acceptable program is approved .
c. Helpers:
Helpers will be permitted to work on a project if the
helper classification is specified and defined on the applicable
wage determination or is approved pursuant to the conformance
procedure set forth in Section IV .2. Any worker listed on a
payroll at a helper wage rate, who is not a helper under a
approved definition, shall be paid not less than the applicable
wage rate on the wage determination for the classification of
work actually performed .
5 . Apprentices and Trainees (Programs of the U.S. DOT):
Apprentices and trainees working under apprenticeship and
skill training programs which have been certified by the Secretary
of Transportation as promoting EEO in connection with Federal-
aid highway construction programs are not subject to the require-
ments of paragraph 4 of this Section IV . The straight time hourly
wage rates for apprentices and trainees under such programs will
be established by the particular programs. The ratio of apprentic-
es and trainees to journeymen shall not be greater than permitted
by the terms of the particular program.
6 . Withholding :
•
The SHA shall upon its own action or upon written
request of an authorized representative of the DOL withhold , or
cause to be withheld , from the contractor or subcontractor under
this contract or any other Federal contract with the same prime
contractor . or any other Federally-assisted contract subject to
Davis-Bacon prevailing wage requirements which is held by --:ne
same prime contractor. as much of the accrued payments or
advances as may be considered necessary to pay laborers =c:md
mechanics. in c luding apprentices, trainees, and helpers, emplo·Ned
by the contractor or any subcontractor the full amount of wac;oes
required by the contract. In the event of failure to pay =c:m y
laborer or mechanic, including any apprentice, trainee, or he1cee r,
employed or working on th e site of the work, all or part oi -::ne
wages required by the contract . the SHA contracting otticer ma:;i y .
after written notice to t he co ntractor, take such action as mav ·:oe
necessary to cause the suspension of any further paymef':-::.
advance, or guarantee of fu nds until such violations have ceaseec .
7 . Overtime Requirements:
No contractor or subcontractor contracting for any ::ic::r.
of the contract work which may require or involve the emc1c ·J'·-
ment of laborers. mechanics, watchmen , or guards (i ncluc:r.ng
apprentices, trainees . and hel pers described in paragraphs ..!. .;;me
5 above) shall require or permit any laborer, mechanic, war:::r·-
man , or guard in any workweek in which he/she is employee .:o n
such work, to work i n excess of 40 hours in such workweee K
unless such la borer , mechanic, watchman, or guard reca 1'1"es
compensation at a rate not les s than one-and-one-half tJ rrP.e s
his /her basic rate of pay for all hours worked in excess oi -40
hours in such workweek .
8 . Violation:
Liability for Unpaid Wages; Liquidated Damages: In ·-:n e
event of any violat ion of the clause set forth in paragraon
above, the contractor and any subcontractor responsible ther':'e:f
shall be liable to the affected employee for his /her unpaid wac;ae ~.
In addition , such co ntracto r and subcontractor shall be liab 1e · :c
the United States (in the case of work done under contrac: -:c :
the District of Columbia or a t erritory , to such District or to sue::::-,
territory) for liquidated damages. Such liquidated damages sr.aa 1I
be computed with respec: to each individual laborer, mechamt::.
watchman , or guard employed in violation of the clause set :cr.-::i
in paragraph 7 , in t he sum of $1 0 for each calendar day on wr1:::::i
such employee was requi red or permitted to work in excess ",
the standard work week o f 40 hours without payment of ~.-:ne
overtime wages required by the clause set forth in paragrao n --:-
9. Withholding for Unpaid Wages and Liquidated Damages :
The SHA shall upon its own action or upon written requesr . ~.
any authorized representative of the DOL withhold , or cause tc •:oe
withheld , from any monies payable on account of work perfo rr.eec
by the contractor o r subcontractor under any such contrac: ·c c
any other Federal comract with the same prime contractor. o r -;n .,v
other Federally -a ssisted contract subject to the Co ntract Wcr:r K
Hours and Safety Standards Act , which is held by the same pnrrne
contractor, such sums as may be determined to be necessar1 ·:a
satisfy any liabilities of such contractor or subcontractor ·:c·
unpaid wages and liquidated damages as provided in the c lau:.;s :
set forth in paragraph 8 above.
V. STATEMENTS AND PAYROLLS
(Applicable to all Federal-aid construct ion contracts exceec:rng
$2,000 and to all re lated subcontracts , except for projec::s
located on roadways classified as local roads or rural callee:::::.
which are exempt .)
1 . Compliance with Copeland Regulations (29 CFR 3):
The contractor shall comply with the Copeland Regulat ions .::i
the Secretary of Labor which are herein incorporated by re:=e'·
ence .
2 . Payrolls and Payroll Records :
REQUI~E~ SY 23 CFR 633.102 -25 -
a. Payrolls and basic records relating thereto shall be
maintained by the contractor and each subcontractor during the
course of the work and preserved for a period of 3 years from the
date of completion of the contract for all laborers, mechanics,
apprentices, trainees, watchmen, helpers, and guards working at
the site of the work .
b . The payroll records shall contain the name, social
security number, and address of each such employee; his or her
correct classification; hourly rates of wages paid (including rates
of contributions or costs anticipated for bona fide fringe benefits
or cash equivalent thereof the types described in Section
1 (b)(2)(B) of the Davis Bacon Act); daily and weekly number of
hours worked; deductions made; and actual wages paid. In
addition , for Appalachian contracts, the payroll records shall
contain a notation indicating whether the employee does, or does
not, normally reside in the labor area as defined in Attachment A,
paragraph 1 . Whenever the Secretary of Labor, pursu ant to
Section IV , paragraph 3b, has found that the wages of any
laborer or mechanic include the amo unt of any costs reasonably
anticipated in providing benefits under a plan or program de-
scribed in Section 1 (b)(2)(B) of the Davis Bacon Act, the contrac-
tor and each subcontractor shall maintain records which show
that the commitment to provide such benefits is enforceable, that
the plan or program is financially responsible , that the plan or
program has been communicated in writing to the l aborers or
mechanics affected, and show the cost anticipated or the actual
cost incurred in providing benefits. Contractors or subcontractors
employing apprentices or trainees under approved programs shall
maintain written evidence of the registration of apprentices and
trainees, and ratios and wage rates prescribed in the applicable
programs.
c. Each contractor and subcontractor shall furnish , each
week in which any contract work is performed, to the SHA
resident engineer a payroll of wages paid each of its employees
(including apprentices, trainees, and helpers , described in Section
IV, paragraphs 4 and 5, and watchmen and guards engaged on
work during the preceding weekly payroll period). The payroll
submitted shall set out accurately and completely all of the
information required to be maintained under paragraph 2b of this
Section V. This information may be submitted in any form
desired. Optional Form WH-347 is available for this purpose and
may be purchased from the Superintendent of Documents
(Federal stock number 029-005-0014-1), U.S. Government
Print ing Office , Washington, D.C . 20402. The p r ime contractor
is responsible for the submission of copies of payrolls by all
subcontractors.
d. Each payroll submitted shall be accompanied by a
"Statement of Compliance ,· signed by the contractor or subcon-
tractor or his /her agent who pays or supervises the payment of
the persons employed under the contract and shall certify the
following :
( 1) that the payroll for the payroll period contains the
information required to be maintained under paragraph 2b of this
Section V and that such information is correct and complete;
(2) that such laborer or mechanic (including each helper,
apprentice, and trainee) employed on the contract during the
payroll period has been paid the full weekly wages earned ,
without rebate, either directly or indirectly, and that no deduc-
tions have been made either directly or indirectly from the full
wages earned, other than permissible deductions as set forth in
the Regulations , 29 CFR 3 ;
(3) t hat each laborer or mechanic has been paid not less
that the applicable wage rate and fringe benefits or cash equiva-
lent for the classification of worked performed, as specified in the
applicable wage determination incorporated into the contract.
e. The weekly submission of a properly executed certifica-
tion set forth on the reverse side of Optional Form WH-34 7 s:-.a 1I
satisfy the requirement for submission of the "Statement :it
Compliance" required by paragraph 2d of this Section V .
f. The falsification of any of the above certifications ~av
subject the contractor to civil or criminal prosecution under -3
U .S .C .1001and31U .S .C.231.
g. The contractor or subcontractor shall make the rec::r:::s
required under paragraph 2b of this Section V available for inscec-
tion , copying, or transcription by authorized representatives of ::oe
SHA, the FHWA, or the DOL, and shall permit suc:i re::r=-
sentatives to interview employees during working hours on ::-ie
job . If the contractor or subcontractor fails to submit the recu1r:d
records or to make them available, the SHA, the FHWA, the iJC -·
or all may, after written notice to the contractor , sponsor , acoii-
cant, or owner, take such actions as may be necessary to caLSe
the suspension of any further payment, advance, or guarantee =t
funds. Furthermore, failure to submit the required records u co-i
request or to make such records available may be grour.as '·::ir
debarment action pursuant to 29 CFR 5 .12 .
VI. RECORD OF MATERIALS, SUPPLIES, AND LABOR
1 . On all Federal-aid contracts on the National Hi gr.w :v
System, except those which provide solely for the insta ll ancr :f
protective devices at railroad grade crossings , those w n 1c:i :.-e
constructed on a force account or direct labor basis, h ig n wc:v
beautification contracts , and contracts for which the to:a l ~i ra l
construction cost for roadway and bridge is less than $1 ,CC O.·:C•J
(23 CFR 635 ) the contractor shall:
a. 'Become familiar with the list of specific mater,al s :n j
supplies contained in Form FHWA-47, "Statement of M a t erai:s
and Labor Used by Contractor of Highway Construction l nvc 1v1 r o;i
Federal Funds,· prior to the commence ment of work uncer ~i:s
contract .
b . Maintain a record of the total cost of all materi a 1s :n ::i
supplies purchased for and incorporated in the work, ana a1sc :f
the quantities of those specific materials and supplies !is:e:: ::i:-i
Form FHWA-47 , and in the units shown on Form FHWA--:.7 .
c. Furn ish , upon the completion of the contrac:. :o ~ie
SHA resident engineer on Form FHWA-4 7 together with :he ::2-:3
required in paragraph lb relative to materials and supplies . a "ra l
labor summary of all contract work indicating the totai hcu-s
worked and the total amount earned .
2 . At the prime contractor 's option, either a singie r e::c1-:
covering all contract work or separate reports for the contrac:::ir
and for each subcontract shall be submitted .
VII. SUBLETTING OR ASSIGNING THE CONTRACT
1 . The contractor shall perform with its own organtZ::t:c "
contract work amounting to not less than 30 percent (or a grea:::r
percentage if specified elsewhere in the contract) of the :c::3i
original contract pri ce . excluding any specialty items des i g n a :~:
by the State. Specialty items may be performed by subc:::nr.e.::-:
and the amount of any such specialty items performed mav :ie
deducted from the total original contract price before comc;u ::r•;i
the amount of work required to be performed by the contrac::r s
own organization (23 CFR 635).
a . "Its own organization" shall be construed to include c n ·.r
workers employed and paid directly by the prime contrac:cr ~·::>
equipment owned or rented by the prime contractor, w rtn ::ir
without operators . Such term does not include emplo y ees ::ir
REQU I RED BY 23 CFR 633 .102 -2;-
•
•
•
•
•
· equipment of a subcontractor, assignee, or agent of the prime
contractor.
b . "Specialty Items" shall be construed to be limited to
work that requires highly specialized knowledge, abilities, or
equipment not ordinarily available in the type of contracting
organizations qualified and expected to bid on the contract as a
whole and in general are to be limited to minor components of the
overall contract .
2 . The contract amount upon which the requirements set forth
in paragraph 1 of Section VII is computed includes the cost of
material and manufactured products which are to be purchased
or produced by the contractor under the contract provisions .
3 . The contractor shall furnish (a) a competent superintendent
or supervisor who is employed by the firm , has full authority to
direct performance of the work in accordance with the contract
requirements , and is in charge of all construction operations
(regardless of who performs the work) and (b) such other of its
own organizational resources (supervision , management, and
engineering services) as t he SHA contracting officer determines
is necessary to assure the performance of the contract.
4 . No portion of the contract shall be sublet, assigned or
otherwise disposed of except with the written consent of the
SHA contracting officer, or authorized representative , and such
consent when given shall not be construed to relieve the
contractor of any respons ibility for the fulfillment of the contract .
Written consent will be given only after the SHA has assured that
each subcontract is evidenced in writing and that it conta ins all
pertinent provis ions and requirements of the prime contract .
VIII. SAFETY: ACCIDENT PREVENTION
1 . In the performance of this contract the contractor shall
comply with all applicable Federal , State, and local laws govern-
ing safety, health . and sanitation (23 CFR 635). The contractor
shall provide all safeguards, safety devices and protective
equipment and take any other needed actions as it determines , or
as the SHA contracting officer may determine, to be reasonably
necessary to protect the life and health of employees on the job
and the safety of the public and to protect property in connection
with the performance of t he work covered by the contract .
2 . It is a condition of t his contract, and shall be made a
condition of each subcontract, which the contractor enters into
pursuant to this contract. that the contractor and any subcontrac-
tor shall not permit any employee, in performance of the contract ,
to work in surroundings or under conditions which are unsanitary,
hazardous or dangerous to his /her health or safety, as determined
under construction safety and health standards (29 CFR 1926)
promulgated by the Secretary of Labor, in accordance with
Section 107 of the Contract Work Hours and Safety Standards
Act (40 U.S.C . 333).
3 . Pursuant to 29 CFR 1926.3, it is a condition of this
contract that the Secretary of Labor or authorized representative
thereof , shall have right of entry to any site of contract perfor-
mance to inspect or investigate the matter of compliance with the
construction safety and health standards and to carry out the
duties of the Secretary under Section 107 of the Contract Work
Hours and Safety Standards A c t (40 U .S .C. 333).
IX. FALSE STATEMENTS CONCERNING HIGHWAY PROJECTS
•
In order to assure high quality and durable construction in
conformity with approved plans and specifications and a high
degree of reliability on statements and representations made by
engineers, contractors, suppliers, and workers on Federal -aid
highway projects. it is essential that all persons concerned with
the project perform their functions as carefully , thoroughly, and
honestly as possible . Willful falsification , distortion, or misrepre-
sentation with respect to any facts related to the project is a
violation of Federal law . To prevent any misunderstanding
regarding the seriousness of these and similar acts , the following
notice shall be posted on each Federal -aid highway project (23
CFR 635) in one or more places where it is readily available to all
persons concerned with the pro ject:
NOTICE TO ALL PERSONNEL ENGAGED ON FEDERAL-AID
HIGHWAY PROJECTS
18 U .S.C. 1020 reads as follows:
"Whoever, being an officer, agenr, or employee of the United
States, or of any State or Territory, or whoever, whether a
person, association, firm, or corporati on, knowingly makes any
false statement, false representati on, or false report as to the
character, quality, quantity, or cost of the matenal used or to be
used, or the quantity or quality of the work performed or to be
performed, or the cost thereof in connection with the submission
of plans, maps, specifications, contracts, or costs of construction
on any highway or related proj ect submitted f or approval to the
Secretary of Transportation; or
Whoever knowingly makes any false statement, false represen -
tation, false r eport or false claim w i th respect t o the character,
quality, quantity, or cost of an y work performed or to be per-
formed, or materials furnished or t o be f urnished, in connection
with the constructi on of any highwa y or r elated project approved
by the Secretary of Transportation; or
Whoever k nowingly makes any f a lse statement or false repre-
sentation as to material fact in an y statement, certificate, or
report submitted pursuant to provis i ons of the Federal-aid Roads
Act approved July 1, 1916, (39 S ta t. 355), as amended and
supplemented;
Shall be fined not more tha t $1 0 ,000 or imprisoned not more
than 5 years or both."
X. IMPLEMENTATION OF CLEAN AIR ACT AND FEDERAL
WATER POLLUTION CONTROL ACT
(Applicable to all Federal -aid constru ct ion contracts and to all
related subcontracts of $100 ,000 o r more.)
By submission of this bid or the execution of this contract , or
subcontract, as appropriate , the bidder. Federal -aid construction
contractor , or subcontractor, as appropriate , will be deemed to
have stipulated as follows :
1 . That any facility that is or will be utilized in the performance
of t his contract , unless such contract is exempt under the Clean
Air Act , as amended (42 U .S.C . 1857 fil filill ., as amended by
Pub .L . 91-604), and under the Federal Water Pollution Control
Act , as amended (33 U .S.C . 1251 fil §.!ill ., as amended by Pub .L .
92-500), Executive Order 11738. an d r eg ul ations in implementa-
tion t hereof (40 CFR 1 5) is not listed . on t he date of contract
award , on the U .S . Environmental Pro tection Agency (EPA) List
of Violating Facilities pursuant to 4 0 C FR 15 .20 .
2 . That the f irm agrees to comply and remain in compliance with
all the requirements of Section 1 14 of the Clean Air Act and
Section 308 of the Federal Water Pollution Control Act and all
regulations and guidelines listed there u nder.
3 . That the firm shall promptly notify the SHA of the receip t of
any communication from the Director, Office of Federal Activities ,
EPA. indicating that a facility that is or will be utilized for the
RE QUI RED BY 2 3 CFR 633 .102 -27-
contract is under consideration to be listed on the EPA List of
Violating Facilities .
4. That the firm agrees to include or cause to be included the
requirements of paragraph 1 through 4 of this Section X in every
nonexempt subcontract, and further agrees to take such action
as the government may direct as a means of enforcing such
requirements.
XI. CERTIFICATION REGARDING DEBARMENT, SUSPENSION,
INELIGIBILITY AND VOLUNTARY EXCLUSION
1 . Instructions for Certification -Primary Covered Transac-
tions:
(Applicable to all Federal-aid contracts -49 CFR 29)
a. By signing and submitting this proposal , the prospective
primary participant is providing the certification set out below.
b . The inability of a person to provide the certification set
out below will not necessarily result in denial of participation in
this covered transaction . The prospective participant shall submit
an explanation of why it cannot provide the certification set out
below . The certification or explanation will be considered in
connection with the department or agency's determination
whether to enter into this transaction. However, failure of the
prospective primary partic ipant to furnish a certification or an
explanation shall disqualify such a person from participation in
this transactio n .
c . The certification in this cl ause is a material representa-
tion of fact upon which reliance was placed when the department
or agency determined to enter into this transaction. If it is later
determined that the prospective primary participant knowingly
rendered an erroneous certificatio n, in addition to other remedies
available to the Federal Government, the department or agency
may terminate this transaction for cause of default .
d . The prospective primary participant shall provide immedi-
ate written notice to the department or agency to whom this
proposal is subm itted if any time the prospective primary partici-
pant learns that its certification was erroneous when submitted
or has become erroneous by reason of ch anged circumstances.
e. The terms "covered transaction ," "debarred," "suspend-
ed ,· "ineligible ,· "lower tier covered transaction,• "participant,"
"person,· "primary covered transaction," "principal,· "proposal,"
and "voluntarily excluded ," as used in this clause, have the
meanings set out in the Definitions and Coverage sections of rules
implementing Executive Order 12549 . You may contact the
department or agency to which this proposal is submitted for
ass ista nce in obtaining a copy of those regulations.
f . The prospective primary participant agrees by submitting
this proposal that, should the proposed covered transaction be
entered into , it shall not knowingly enter into any lower tier
covered transaction with a person who is debarred, suspended,
declared ineligible, or voluntarily excluded from participation in
this covered transaction, unless authorized by the department or
agency entering into this transaction.
g . The prospective primary participant further agrees by
submitting this proposal that it will include the clause titled
"Certification Regarding Debarment, Suspension, Ineligibility and
Voluntary Exc lusion-Lower Tier Covered Transaction," provided
by the department or agency entering into this covered transac-
tion, without modification, in all lower tier covered transactions
and in all solicitations for lower tier covered transactions .
h . A participant in a covered transaction may rely upon a
certification of a prospective partici pant in a lower tier covered
transaction that is not debarred, suspended , ineligible, or volun-
tarily excluded from the covered transaction, unless it knows that
the certification is erroneous. A partic ipant may decide the
method and frequency by which it determines t he eligibility of its
principals . Each participant may, but is not required to, check the
nonprocurement portion of the "Lists of Part i es Excluded From
Federal Procurement or Nonprocurement Programs " (Nonprocure-
ment List) which is compiled by the General Services Administra-
tion.
I. Nothing contained in the foregoing s hail be construed to
require establishment of a system of records in order to render in
good faith the certification required by this clau se . The knowl-
edge and information of partici pant is not requ ired to exceed that
which is normally possessed by a prudent person in the ordinary
course of business dealings.
j . Except for transactions authorized uncer paragraph f of
these instructions, if a parti c ipant in a covered t ransaction
knowingly enters into a lower tier covered rra nsactio n with a
person who is suspended , debarred, ineligib le, or vol untarily
excluded from participatio n in this tra nsaction , ;n add ition to other
remedies available to the Federal Gov ernment. tne department or
agency may terminate this transact ion fo r cause o r default.
Certification Regarding Debarment. Suspension. Ineligibility and
Voluntary Exclusion-Primary Covered Transactions
1. The prospective primary partic ipant cer.1f i es to t he best of
its knowledge and belie f, that it and its pr inc:oa ls :
a . Are not presently debarred. suspenced , proposed for
debarment, declared inel igi b le , or vo luntarily excluded from
covered t ransact ions by an y Federal department or agency;
b . Have not w ithin a 3-year period preced in g thi s proposal
been convicted of or had a civil judgement rendered against them
for commission of fraud or a cr i m inal offense in connection with
obtaining, attempting to obtain. or p erforming a public (Federal ,
State or local) transaction or contract u nder a public t ransaction;
violation of Federal or State antitrust statutes or commission of
embezzlement, theft, forge ry, bribery . falsificati on o r destruction
of records, making false statements. o r receiving stolen property;
c. Are not presently indicted f or or otherwise cri minally or
civilly charged by a governmental entity !Federal , State or local)
with commission of any of the offenses enumerated in paragraph
1 b of this certification ; and
d . Have not w ithin a 3-year period preceding this applica-
tion /proposal had one or more public transaction s (Federal . State
or local) terminated for cause or default.
2 . Where the prospec tive primary partic ipant is unable to
certify to any of the statements in th is certificatio n, such
prospective participant sha ll attach an explanation to this
proposal.
2. Instructions for Certification -Lower Tier Covered Transac-
tions:
(Applicable to all subcontracts. purch ase orders and other lower
tier transactions of $25 ,000 or more -49 CFR 29)
REQUIRED 3Y 23 CFR 533 .102 -28-
•
•
•
•
a. By signing and submining this proposal, the prospective
lower tier is providing the certification set out below .
b . The certification in this clause is a material representa-
tion of tact upon which reliance was placed when this transaction
was entered into. If it is later determined that the prospective
lower tier participant knowingly rendered an erroneous
certification, in addition to other remedies available to the Federal
Government, the department, or agency with which this transac-
tion originated may pursue available remedies. including suspen-
sion and/or debarment.
c. The prospective lower tier participant shall provide
immediate written notice to the person to which this proposal is
submitted if at any time the prospective lower tier participant
learns that its certification was erroneous by reason of changed
circumstances.
d. The terms "covered transaction." "debarred." "suspend-
ed." "ineligible,• "pri mary covered transaction," "participant,"
"person," "principal,· "proposal,· and "voluntarily excluded," as
used in this clause , have the meanings set out in the Definitions
and Coverage sections of rules implementing Executive Order
12549. You may contact the person to which this proposal is
submitted tor assistance in obtaining a copy of those regulations .
e. The prospective lower tier participant agrees by submit-
ting this proposal that, should the proposed covered transaction
be entered into , it shall not knowingly enter into any lower tier
covered transaction with a person who is debarred, suspended ,
declared ineligible, or voluntari ly excluded from participation in
this covered transaction, unless authorized by the department or
agency with which this transaction originated.
•
t . The prospective lower tier participant further agrees by
submitting this proposal that it will include this clause titled
"Certification Regarding Debarment , Suspension , Ineligibility and
Voluntary Exclusion-Lower Tier Covered Transaction," without
•
modification, in all lower tier covered transactions and in all
sol ici tations tor lower tier covered transactions .
g . A participant in a covered transaction may rely upon a
certification of a prospective partic i pant in a lower tier covered
transaction that is not debarred , suspended, ineligible, or volun-
tarily excluded from the covered transaction , unless it knows that
the certification is erroneous . A participant may decide the
method and frequency by which it determines the eligibility of its
principals. Each participant may , but is not requi red to, check the
Nonprocurement List .
h. Nothing contained in the foregoing shall be construed to
require establishment of a system of records in order to render in
good faith the certification required by this clause . The knowl-
edge and information of partic ipant is not required to exceed that
which is normally possessed by a prudent person in the ordinary
course of business dealings.
I. Except for transactions authorized under paragraph e of
these instructions. if a participant in a covered transaction
knowingly enters into a lower tier covered transaction with a
person who is suspended , debarred , ineligible, or voluntarily
excluded from participation in this transact ion , in addition to other
remedies available to the Federal Government. the department or
agency with which this transact ion originated may pursue
available remedies, including suspension and /or debarment .
Certification Regarding Debarment, Suspension, Ineligibility and
Voluntary Exclusion--Lower Tier Covered Transactions:
1. The prospective lower tier participant certifies. by s-uxmis-
sion of this proposal, that neither it nor its principals is presemty
debarred , suspended, proposed for debarment, declared ine!ici;m1e ,
or voluntarily excluded from participation in th is transac:ixr :;y
any Federal department or agency .
2 . Where the prospective lower tier participant is unamie :o
certify to any of the statements in this certification . :such
prospective participant shall attach an explanation :a: :n1s
proposal.
XII. CERTIFICATION REGARDING USE OF CONTRACT F.;Jff;)S
FOR LOBBYING
(Applicable to all Federal-aid construct ion contracts ancr -:::: all
related subcontracts which exceed $100,000 -49 CFR :c:
1. The prospective participant certifies . by signing ana 5"..i=r:".rt-
t ing this bid or proposal, to the best of his or her knowlea:µ: and
belief, that :
a. No Federal appropriated funds h ave been pa id :::r w ': ::ie
paid , by or on behalf of the undersigned . to any per sa:;-"::>r
influencing or attempting to influence an officer or emp 10·-·;e: :;f
any Federal agency, a Member of Congress . an officer o r ~r:T.::<=v
ee of Congress . or an employee o f a Member of Co n g:~ :n
connection with the awarding of any Federal contract , the -rr=icng
of any Federal grant, the making of any Federa l loan. t he ~rr.-:.:~ng
into of any cooperative agreement, and t he extension , c ::::r.~~a
tion , renewal, amendment, or mod ifi cation of an 't =-e::~:-al
contract, grant, loan, or cooperative agreement.
b . If any funds other than Federal appropriated fu n= -'3 v e
been paid or will be paid to any person tor influencing o r a ~ct
ing to influence an officer or employee of any Federa l ag en:::-. a
Member of Congress, an officer or employee of Congress. ::;· an
employee of a Member of Congress in connection wrrrr :71 1s
Federal contract, grant, loan , or cooperative agreemerr.. :7ie
unders igned shall complete and submit Standard For~----.
"Disclosure Form to Report Lobbying ," in accordance N 1"7.' ::s
instructions.
2 . This certification is a material representation of f ac:-=:in
which reliance was placed when this transaction was m~~ ::>r
entered into. Submission of this cert i fication is a prerequ1= •::ir
making or entering into this transaction imposed by 3 1 _ . .::.:.
1352 . Any person who tails to file the required cert if i catto:T 37".all
be sub j ect to a civil penalty of not less than $10.0 00 m-r >ot
more than $100,000 tor each such fai lure.
3 . The prospective participant also agrees by submitting ~ :ir
her bid or proposal that he or she shall require that t he Ian::-· '"~e
of this certification be included in all lower tier subcom r ~:-::s .
which exceed $1 00,000 and that all such recipients sha 1I ==-:-::Y
and disclose accordingly.
REQUIRED BY 23 C?~ 6 3 3 .102 -Z '.?-
ADDENDUM A: FEDERAL REQUIREMENTS
Federal laws and regulations that may be applicable to the Work include:
A. The "Uniform Administrative Requirements for Grants and Cooperative Agreements to State and
Local Governments (Common Rule), at 49 Code of Federal Regulations, Part 18, except to the extent
that other applicable federal requirements (including the provisions of 23 CFR Parts 172 or 633
or 635) are more specific than provisions of Part 18 and therefore supersede such Part 18
provisions . The requirements of 49 CFR 18 include, without limitation:
1) the Local Agency/Contractor shall follow applicable procurement procedures, as required by
section 18.36( d);
2) the Local Agency/Contractor shall request and obtain prior CDOT approval of changes to any
subcontracts in the manner , and to the extent required by , applicable provisions of section 18.30;
3) the Local Agency/Contractor shall comply with section 18.37 concerning any subgrants;
4) to expedite any CDOT approval, the Local Agency/Contractor's attorney , or other authorized
representative, shall also submit a letter to CDOT certifying Local Agency/Contractor compliance with
section 18 .30 change order procedures, and with 18.36(d) procurement procedures , and with 18.37
subgrant procedures, as applicable;
•
5) the Local Agency/Contractor shall incorporate the specific contract provisions described in 18.36(i)
(which are also deemed incorporated herein) into any subcontract(s) for such services as terms and
conditions of those subcontracts. •.
B. Executive Order 11246 of September 24, 1965 entitled "Equal Employment Opporrunity ," as
amended by Executive Order 11375 of October 13, 1967 and as supplemented in Department of Labor
regulations ( 41 CFR Chapter 60) (All construction contracts awarded in excess of $10,000 by grantees
and their contractors or subgrantees).
C. The Copeland "Anti-Kickback" Act (18 U.S.C. 874) as supplemented in Department of Labor
regulations (29 CFR Part 3) (All contracts and subgrants for construction or repair).
D. The Davis-Bacon Act ( 40 U.S.C. 276a to a-7) as supplemented by Department of Labor regulations
(29 CFR Part 5) (Construction contracts in excess of $2,000 awarded by grantees and subgrantees when
required by Federal grant program legislation. This act requires that all laborers and mechanics
employed by contractors or sub-contractors to work on construction projects financed by federal
assistance must be paid wages not less than those established for the locality of the project by the
Secretary of Labor).
E. Sections 103 and 107 of the Contract Work Hours and Safety Standards Act (40 U .S.C. 327-330) as
supplemented by Department of Labor regulations (29 CFR Part 5). (Co nstruction contracts awarded
by grantees and subgrantees in excess of $2,000, and in excess of $2,500 for other contracts which
involve the employment of mechanics or laborers).
F. Standards , orders , or requirements issued under section 306 of the Clear Air Act (42 U.S.C. 1857(h),
section 508 of the Clean Water Act (33 U.S.C. 1368). Executive Order 11738, and Environmental
-30-
•
• · Protection Agency regulations ( 40 CFR Part 15 ) (contracts, subcontracts , and subgrants of amounts in
excess of $100 ,000) .
G. Mandatory standards and policies relating to energy efficiency which are contained in the state energy
conservation plan issued in compliance with the Energy Policy and Conservation Act (Pub. L. 94-163).
H. Office of Management and Budget Circulars A-87 , A-21 or A-122, and A-102 or A-110 , whichever
is applicable.
I. The Hatch Act (5 USC 1501-1508) and Public Law 95-454 Section 4728. These statutes state that
federal funds cannot be used for partisan political purposes of any kind by any person or organization
involved in the administration of federally-assisted programs .
J. 42 USC 6101 et seq . 42 USC 2000d, 29 USC 794 , and implementing regulation, 45 C.F.R. Part 80
et. seq.. These acts require that no person shall, on the grounds ofrace, color, national origin, age , or
handicap , be excluded from participation in or be subjected to discrimination in any program or activity
funded , in whole or part, by federal funds;
K. The Americans with Disabilities Act (Public Law 101-336; 42 USC 12101 , 12102 , 12111-12117 ,
12131-12134, 12141-12150 , 12161-12165, 12181-12189 , 12201-12213 47 USC 225 and 47 USC 611.
L. The Uniform Relocation Assistance and Real Property Acquisition Policies Act, as amended (Public
•
Law 91-646 , as amended and Public Law 100-17, 101 Stat. 246-256). (If the contractor is acquiring real
property and displacing households or businesses in the performance of this contract.)
•
M. The Drug-Free Workplace Act (Public Law 100-690 Title V , subtitle D , 41 USC 701 et seq .).
N. The Age Discrimination Act of 1975 , 42 U.S.C. Sections 6101 et. seq . and its implementing
regulation, 45 C.F .R. Part 91;
Section 504 of the Rehabilitation Act of 1973, 29 U.S.C. 794 , as amended, and implementing regulation
45 C.F .R. Part 84 .
0. 23 C .F .R . Part 172 , concerning "Administration of Engineering and Design Related Contracts".
P . 23 C.F .R Part 633 , concerning "Required Contract Provisions for Federal-Aid Construction
Contracts".
Q . 23 C.F.R. Part 635 , concerning "Construction and Maintenance Provisions ".
R. Title VI of the Civil Rights Act of 1964 and 162 ( a) of the Federal Aid Highway Act of 1973 . The
requirements for which are shown in the Nondiscrimination Provisions , which are attached hereto and
made a part hereof.
-31-
APRIL 1980
Nondiscrimination Provisions:
In compliance with Title VI of the Ci v il Rights Act of 1964 and with Section 162 (a) of the Feder~ Aid
Highway Act of 1973, the Contractor, for itself, its assignees and successors in interest, agree as fo [.J ws:
A. Compliance with Regulations. The Contractor will comply with the Regulations of the Depar:=J.ent
of Transportation relative to nondiscrimination in Federally assisted programs of the Departrnc:::.t of
Transportation (Title 49, Code of Federal Regulations, Part 21 , hereinafter referred to ~ the
"Regulations"), which are herein incorporated by reference and made a part of this contract.
B. Nondiscrimination. The Contractor, with regard to the work performed by it after award and ;-·ri or
to completion of the contract work, will not discriminate on the ground of race, color, sex , me::::.=J or
physical handicap or national origin in the selection and retention of Subcontractors , inc b .::ing
procurement of materials and leases of equipment. The Contractor will not participate either di: :::::tly
or indirectly in the discrimination prohibited by Section 21 .5 of the Regulations , in cl1.:cing
employment practices when the contract covers a program set forth in Appendix C of the Regul C.:::ons .
C. Solicitations for Subcontracts. Including Procurement of Materials and Equipment. I=. al l
solicitations either by competiti v e bidding or negotiation made by the Contractor for work :J b e
performed under a subcontract, including procurement of materials or equipment, each pot::::ni al
Subcontractor or supplier shall be notified by the Contractor of the Contractor's obligations unde:-thi s
contract and the Regulations relative to nondiscrimination on the ground of race , col o r , se x, me21 or
physical handicap or national origin.
D. Information and Reports . The Contractor will provide all information and reports required t:·-the
Regulations , or orders and instructions issued pursuant thereto and will permit access to its b1:·o ks ,
records , accounts , other sources of information and its facilities as may be determined by the S !2::.e or
the FHW A to be pertinent to ascertain compliance with such Regulations , orders and instruct:ons.
Where any information required of the Contractor is in the exclusive possession of another who :"ai l s
or refuses to furnish this information, the Contractor shall so certify to the State , or the FH \1/.~~ as
appropriate and shall set forth what efforts have been made to obtain the information .
page 1 of 2 pages
-32 -
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•
E. Sanctions for Noncompliance. In the event of the Contractor's noncompliance with the
nondiscrimination provisions of this contract, the State shall impose such contract sanctions as it or
the FHWA may determine to be appropriate , including , but not limited to :
(1) Withholding of payments to the Contractor under the contract until the Contractor complies ,
and/or;
(2) Cancellation, termination or suspension of the contract, in whole or in part.
F. Incorporation of Provisions . The Contractor will include the provisions of paragraphs A through
F in every subcontract, including procurement of materials and leases of equipment, unless exempt by
the Regulations , orders, or instructions issued pursuant thereto. The Contractor will take such action
with respect to any subcontract or procurement as the State or the FHW A may direct as a means of
enforcing such provisions including sanctions for noncompliance ; provided, however, that, in the event
the Contractor becomes involved in, or is threatened with , litigation with a Subcontractor or supplier
as a result of such direction, the Contractor may request the State to enter into such li tigation to protect
th e interest of the State and in addition , the Contractor may request the FHWA to enter into such
litigation to protect the interests of the U nited States .
page 2 of2 pages
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ATTACHMENT LO
Certification for Federal-Aid Contracts
The contractor certifies , by signing this contract, to the best of its knowledge and belief, that:
(1) No Federal appropriated funds have been paid or will be paid, by or on behalf or the
undersigned , to any person for influencing or attempting to influence an officer or employee of any
Federal agency , a Member of Congress, an officer or employee of Congress, or an employee of a
Member of Congress in connection with the awarding of any Federal loan , the entering into of any
cooperative agreement, and the extension, continuation, renewal , amendment, or modification of any
Federal contract, grant, loan , or cooperative agreement .
(2) If an y funds other than Federal appropriated funds have been paid or will be paid to any person
for influenc ing or attempting to influence an officer or of Congress , or an emplo yee of a Member of
Congress in connection with this Federal contract, grant , loan, or cooperativ e a greement, the
undersigned shall complete and submit Standard Form-LLL , "Disclosure Fo rm to Report Lobbying ,"
in accordance with its instructions .
•
This certification is a material representation of fact upon which reliance was placed when this •
transaction was made or entered into . Submission of this certification is a prerequisite for making or
entering into this transaction imposed by Section 1352 , Title 31 , U.S. Code .. -\.ny person who fails to
file the required certification shall be subject to a civil penalty of not less than S 10 ,000 and not more
than $100 ,000 for each such failure .
The prospectiv e participant also agree by submitting his or her bid or proposal that he or she shall
require that the language of this certification be included in all lower tier subcontracts , which exceed
$100 ,000 and that all such subrecipients shall certify and disclose accordingl y.
Required by 23 CFR 635 .112
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•
APPENTIIX B
• DISADVANTAGED BUSINESS ENTERPRISE (DBE)
SECTION 1. Policv.
It is the policy of the Colorado Department of Transportation (CDOT) that disadvantaged business
enterprises shall have the maximwn opportunity to participate in the performance of contracts
financed in whole or in part with Federal funds under this agreement, pursuant to 49 CFR Part 23.
Consequently, the 49 CFR Part IE DBE requirements the Colorado Department of Transportation
DBE Program (or a Local Agency DBE Program approved in advance by the State) apply to this
agreement.
SECTION 2. DBE Obligation.
The recipient or its contractor agrees to ensure that disadvantaged business enterprises as determined
by the Office of Certification at the Colorado Department of Regulatory Agencies have the
maximwn opportunity to participate in the performance of contracts and subcontracts financed in
whole or in part with Federal funds provided under this agreement. In this regard, all participants or
contractors shall take all necessary and reasonable steps in accordance with the CDOT DBE program
(or a Local Agency DBE Program approved in advance by the State) to ensure that disadvantaged
• business enterprises have the maximwn opportunity to compete for and perform contracts.
Recipients and their contractors shall not discriminate on the basis of race, color , national origin, or
sex in the award and performance of CDOT assisted contracts.
SECTION 3 DBE Program .
The contractor (subrecipient) shall be responsible for obtaining the Disadvantaged Business
Enterprise Program of the Colorado Department of Transportation, 1988, as amended , and shall
comply with the applicable provisions of the program. (If applicable).
A copy of the DBE Program is available from:
Business Programs Office
Colorado Department of Transportation
4201 East Arkansas Avenue, Room 287
Denver, Colorado 80222-3400
Phone: (303)757-9234
and will be mailed to the contractor upon request.
• revised 1122/98
-35-
Required by 49 CFR Part 23 .41
ADDENDUM B: CONTRACT MODIFICATION TOOLS
The Local Agency and the State may use one or all of the following Contract Modification Tools, in
order to more expeditiously change and amend the terms of this contract, if such use is warranted by
the circumstances as described and authorized therein.
A. CHANGE ORDER.
Bilateral changes within the general scope of the contract, as defined above, may be executed using
the simplified change order letter process described in this paragraph and the sample letter attached
for any of the following reasons:
a. Where the agreed changes result in no adjustment to the [price] [ceiling cost], deli v ery schedule,
or other terms and conditions of the contract. The change letter will contain a mutual release of
claims for adjustment of price, cost, time for performance , or other terms and conditions , whether
based on costs of changed work or direct or indirect impacts on unchanged work, as a result of the
change ; or
•
b. Where the changes to the contract are priced based on the unit prices to be paid for the goods or •
services in [Exhibit_] [Attachment_] of the contract; or
c. Where the changes to the contract are priced based on established catalog prices generally
extended to the public ;
The written change letter will be substantiall y in the form at Exhibit __ , must bear the signature of
the authorized agency official , the contractor, and--except where the parties agree on the face of the
change order that no price/cost, schedule, or other contract adjustments are due the contractor--the
State Controller or his designee. The change order letter shall refer to the basic contract and include
a detailed description of the changes to the contract, the price or cost ceiling adjustment, the effective
date , and (where applicable) the time within which the changed work must be done .
B . FUNDING LETTER.
Under this Contract , the Local Agenc y has agreed to provide funding based on the terms as described
herein as needed to satisfactorily perform and complete the work , subject to the availability of
funding.
Funds are currently available and encumbered for the work in the amount specified above. However,
the total cost to complete the work, and the resulting total funding amount(s) to be provided by the
State and Local Agency in exchange therefor, as described in this Contract or otherwise made known •
to the Local Agency , are only estimated.
-36 -
•
•
· If the parties determine that they have underestimated/overestimated these total cost of the work,
they have the right to take the following action :
A. to increase/decrease the amount of available funds under this Contract.
In the event of this action, the State will notify the Local Agency thereof by Funding Letter. The
Funding Letter will be in a form substantially equivalent to that in Exhibit A and it shall not be
deemed valid until it shall have been signed by the Local Agency and approved by the State
Controller or such assistant as he may designate .
C . Task Order.
CDOT may order the performance of additional Work within the Scope by issuing a Task Order
Letter to the Contractor, as follows:
a. After consultation with CDOT, the Contractor shall prepare a Scope proposal for additional
Work (or "Task Proposal"). Each proposal shall identify: the particular tasks to be performed, as
well as the time for that performance ; and the maximum compensation that the State shall be
obligated to pay for the satisfactory performance and completion of the Work in that proposal, using
the same cost rates /structure as contained in the Contract. The Task Proposal shall reference this
original Contract between the parties .
b. Each proposal shall be as negotiated and agreed by the parties. The Contractor shall submit that
proposal to the Department, all in a form acceptable to the Department.
c. If the State desires the contractor to perform the Work proposal , a Task Order Letter in the form
attached as Appendix H shall be prepared and signed by the parties . Performance of the Work, and
payment for that work, shall be governed by the standards and procedures set forth in the UPWP and
this Contract.
d. Upon such negotiation and agreement by the parties, and upon execution of the Task Order
Letter, the contractor warrants that performance will be successfully completed within the time and
[price] [cost ceiling] identified in the Task Order. The State's financial commitment memorialized
by the Task Order Letter shall not be effective until signed by the Controller or such assistant as he
may designate .
e. The maximum amount for all tasks/services identified in a proposal shall not exceed the
maximum amount described in that proposal. The State's financial obligation for a particular
proposal is limited by that amount, and the contractor shall accept no Task Orders which result in a
cumulative proposal value which exceeds the "not to exceed" value .
• Upon proper execution and approval, this letter shall become an amendment to this Agreement and,
except for the General and Special Provisions of the Agreement, the letter shall supersede the
Agreement in the event of a conflict between the two.
-37 -
The Contractor shall not commence work to be performed under each Work Scope proposal until the
date specified by the Department in the Task Order letter, and the Contractor shall complete same by •
the date specified in the proposal, unless the time thereof is extended.
•
•
-38-
Appendix: Work Change Order Letter
9nate: -----------
State Fiscal Year 1998-99
Change Order Letter No . __ _
In accordance with Paragraph of contract routing number __ __, between the State of Colorado
Department of Transportation and
[Contractor]
covering the period of 1997 through , the undersigned agree that the
Work Scope/Schedule/Plan affected by this change letter are modified as follows:
Services
The Work Scope/Schedule/Plan is amended by--------------------------------(describe change).
Price/Cost
The maximum amount payable by CDOT for the Work as described in Paragraph is
.increased/decreased) by($ amount of change) to a new total of($ ), based on the pricing/cost in the
Contract. That Paragraph is hereby modified accordingly;
OR
The parties agree that the changes made herein are "no cost" changes and shall not be the basis for claims for
adjustment to [price] [cost ceiling], or other terms or conditions of the contract. The parties waive and
release each other from any claims or demands for adjustment to the contract, including but not limited to
price, cost, and schedule, whether based on costs of changed work or direct or indirect impacts on unchanged
work. Controller approval of this "no cost" change is not required. Contractor initials . CDOT
initials .
Upon proper execution and approval, this letter shall become an amendment to this Agreement and , except
for the General and Special Provisions of the Agreement, the letter shall supersede the Agreement in the
event of a conflict between the two.
This change to the contract is intended to be effective as of , but. except with respect to "no
cost" changes identified above. in no event shall it be deemed valid until it shall have been approved bv the
State Controller or such assistant as he mav designate.
Please sign, date , and return all copies of this letter on or before ______ 19 •
-39-
Contractor Name: State of Colorado :
Roy Romer, Governor • By : ________ ~-By : -----------
Name For the Executive Director
~----~~~
Title --------Colorado Department of Transportation
APPROVALS :
FOR THE STATE CONTROLLER
Clifford W. Hall
By : By: ________ _
For CDOT State Controller or Designee
•
-40-
Appendix: Task Order Letter
State Fiscal Year 1998-99
Task Order Letter No. ---
In accordance with Paragraph __ of contract routing number __ , between the State of Colorado for
the use and benefit of its Department of Transportation and
[Contractor]
covering the period of 19_ through 19_ the undersigned agree that the
services affected by this Task Order Letter are ordered/modified as follows:
Task Order Description
The contractor shall perform the task in accordance with [the following
specifications/statement of work] [the contractor's Task Proposal dated , as amended by
amended Task Proposal dated , both of which are hereby incorporated by reference].
~
The [price] [maximum amount payable by the State] for _____ ...,.[s=e.:....rv"""ic-=e:...1J~---------
described above is ($ ) for a new contract total of($ ).
Performance Period.
The contractor will complete the performance in this Task Order by ________ [date].
This Task Order is executed pursuant to paragraph __ of the original Contract. The parties agree that all
work shall be performed according to the standards and terms set forth in the original Contract. In the event
of any conflict or inconsistency between this amendment and the original Contract, such conflict or
inconsistency shall be resolved by reference to these documents in the following order: Special Provisions,
original Contract, attachments/exhibits to the original Contract, this Task Order Letter, attachments/exhibits
to this Task Order Letter, then Task Order Proposal.
•
-41-
This Task Order is effective as of . In no event shall it be deemed valid until it shall have been
approved bv the State Controller or such assistant as he may designate. •
Contractor Name:
By:~~~~~~~~~~
Name
~~~~~~~~
Title
APPROVALS:
FOR THE STATE CONTROLLER
Clifford W. Hall
By:
~~~~~~~~~~-
State Controller or Designee
State of Colorado:
Roy Romer, Governor
By :
~~~~~~~~~~~-
For the Executive Director
Colorado Department of Transportation
•
-42-
PRE-CONSTRUCTION ADMINISTRATION CHECKLIST
Project Code #:_..1~1~9~9~9.__ _______ _
Local Aqenc y : --"'E=n.,.g ..... l._,,e'""w,_,.o'""o'""d..__ _____ _ Project ~: STU 2854-071
Design Fr0ject Manager: Gary Huber
Resident Engineer: _________ _
Location: Broadway: US285 to Ya l e
Description: Widen for raised median
The fo11 o wi.ng checklist shall be utilized to estab l ish Che PRE-CONSTRUC'J'ION
ADMINISTRATION CHECKLIST responsibilities of the individual parties to this
agreement.
RESPONSIBLE PART Y
LQ!:;AL
.lli2.... DESCRIPTION OF TASK AGENCY .QLQI
l. Transportation Improvement Program(T.I.P.) x
2. De~lgn Data (CD OT Form #463) ....................... . x
3. Fundi ng Authorization ............................... . X*
4. LA /CDOT Project Agreement .......................... . x x
5. Utility, Railroad, and Consultant Agreements ....... . x X0
Consultant Selection ............................... . x X0
Field Inspection Re vi ew (FIR) ...................... . x
8. Public Hearings .................................... . x
9. Environmental Pro cesses ............................ . X*
10. Des i gn Appr o va l .................................... . x
11. Final Office Review (FOR) .......................... . x
12. Force Account Justification ........................ . x
13. Proprietary Item Justification x
1 4 . Davis-Bacon Wage Ra t es (_K_Yes ~No ) ............... . x
15. Design Exceptions .................................. . x
•
RESPONSIBLE PARTY • I.Q~AL
NO. DESCRIPTION OF TASK AGENCY Q2Ql:
16. Rights-of Way ...................................... . x
17. Plans, Specifications and Construction Cost Estimates x
18. EEO/DBE Requirements ............................... . x
19. Advertising Less Than Three Weeks .................. . x
20. LA Ad and Award .................................... . x x
21. Construction Administration ........................ . x
___ Preliminary Checklist Date: ____ _
___ Revised Checklist Date: ____ _
X Final Checklist Date: 3/2 /98
0Authorization by CDOT
*Requires FHWA concurrence/involvement.
04/29/96
•
CONSTRUCTION CONTRACT ADMINISTRATION CHECK LIST
Page 1
CDOT Region:
tltocal Agency: Englewood
CDOT Design Project Manager: Gross/Huber
Local Agency Project Manager:__Rick Kahrn
CDOT Resident Engineer: Larry McKenzie
Project Code (SA#): 11999
Project No .: STU 2854-071
Location: Broadway: US285 to Yale
Description: Widen Broadway
The following check list shall be utilized to establish the CONSTRUCTION
CONTRACT ADMINISTRATION responsibilities of the individual parties to this
agreement.
THE CHECK LIST SHALL BE INCORPORATED INTO THE ENTITY AGREEMENT AT PROJECT
INCEPTION.
THE CHECK LIST SHALL BE PREPARED BY PLACING AN X UNDER THE RESPONSIBLE
AGENCY, OPPOSITE EACH OF THE TASKS LISTED BELOW . When CDOT is selected to
be responsible or co-responsible by option, the method of the Loca l
Agency's reimbursement for CDOT'S costs must be established.
WHEN NEITHER CDOT NOR THE LOCAL AGENCY WILL BE RESPONSIBLE FOR A PARTICULAR
TASK, NON-APPLICABLE (NA) SHALL BE PLACED UNDER BOTH AGENCIES ~-m) AN
EXPLANATION OF WHY NEITHER AGENCY IS RESPONSIBLE SHALL BE INCLUDED.
esKS WHICH WILL BE PERFORMED BY HEADQUARTERS STAFF WILL BE SO INDICATED .
THE REGIONS, IN ACCORDANCE WITH ESTABLISHED POLICIES AND PROCEDURES WHEN
APPLICABLE, SHALL DETERMINE WHO WILL PERFORM ALL OTHER TASKS WHICH ARE THE
RESPONSIBILITY OF CDOT .
THE DESIGN PROJECT MANAGER SHALL NOTIFY THE APPROPRIATE RESIDENT ENGINEER,
AND THOSE ON THE MINIMUM DISTRIBUTION LIST BELOW , OF FIELD INSPECTION
REVIEWS (F.I.R.) AND FINAL OFFICE REVIEWS (F.O.R.) FOR ALL L. A. PROJECTS .
IF A CHECK LIST WAS NOT INCORPORATED INTO THE ORIGINAL PROJECT AGREEMENT OR
THE CONSTRUCTION CONTRACT ADMINISTRATION RESPONSIBILITIES HAVE CHANGED THE
FOLLOWING PROCEDURES SHALL BE USED:
A preliminary check list shall be prepared, by the CDOT Project Manager,
prior to the F.I.R. and submitted to the Region Construction Engineer (RCE)
with the F.I.R. notice. If Contract Administration responsibilities are
changed after the F.I.R., the CDOT Project Manager, shall prepare a revised
check list and distribute copies. The CDOT Project Manager shall prepare
the FINAL check list prior to the F.O.R. and submit copies to all persons
receivinq the F.O.R. notice. The minimum distributi on list is shown below .
PRELIMINARY CHECK LIST -DATE
REVISED CHECK LIST -DATE • x FINAL CHECK LIST -DATE ~03/02/98
COPY: CDOT PM
LA PM/PE
CDOT RCE
COOT RME
CDOT RE/PE
REVISED 10/16/96
CONTRACT ~MINISTRATION CHECK LIST
PAGE 2
** RESPONSIBLE PARTY
LOCAL
HQ_,_ DESCRIP.'l'ION OF TASK
1. Set Disadvantaged Business Enterprise (DBE)
goals for the project. (CDOT Region EEO
Administrative Program Specialist)
2. Set On Job Training (OJT) goals for the
project. (CDOT Region EEO Administrative
Program Specialist when CDOT is responsible.)
3. Assure the correct Federal Wage Decisions,
all required DBE/OJT Special Provisions and
the FHWA Form 1273 are included in the Contract
documents. (CDOT Region Design Project Manager)
This project is exempt from D~vis-Bacon
requirements as determined by the functional
classification of the project location. (Note:
Projects located on local roads and rural minor
collectors may be exempt.)
~~-Not Exempt ~-3/02/98
CDOT Design Project Manager Date
4. Advertise for bids/open bids. (COOT
Construction Contracts Unit, Staff
Design Branch, when CDOT is responsible.)
AGENCY ~
5. Distribute "bid set" of plans and specifications _x_
to the person responsible for showing the
project. (CDOT Printing and Visual Communications
Center, Division of Human Resources and
Administration when COOT is responsible.)
6. Review work site and plan details with _x_
prospective bidders while project is under
advertisement. (CDOT Resident Engineer when
CDOT is responsible.)
**
NOTE : Only one responsible party should be selected.
If both are selected, a supplemental agreement
specifying what task details are the responsibility
of each f?arty shall be attached to the Check List.
When CDOT is respon!::iible or co-responsible by option,
the method of the Local Agency's reimbursement for
COOT'S costs must be established by an attached
memorandum of understanding (MOU) .
REVISED 10/16/96
•
•
•
CONTRACT ADMINISTRATION CHECK LIST
PAGE 3 • ** RESPONSIBLE PARTY
LOCAL
HQ.._ DESCRIPTION OF TASK
7. Determine compliance with DBE requirements
before the Contract is awarded:
a.
b.
c.
Check CDOT Form #715 -Certificate of
Proposed DBE Participation, when the low
bidder meets DBE goals. (COOT Business
Pro grams Office, (303) 757-9234, Room 287,
Division of Human Resources and
Administration)
Evaluate CDOT Form #718 -DBE Good Faith
Effort Documentation, and determine if
the Contractor has made a good faith effort
when the low bidder docs not meet DBE goals.
(CDOT Business Programs Office)
Approve/disapprove award of Contract by
completing CDOT Form #719 -DBE Participation
Summary. THIS FORM MUST BE COMPLETED BEFORE
THE CONTRACT IS AWARDED .
(CDOT Business Programs Office)
Approve re j ection of low bidder .
AGENCY m
9. Award Contract (CDOT Construction Contracts _x_
Unit, Sta£[ Design Branch, when CDOT .is
responsible.)
10. Distribute 10 [number: minimum of six (6)) _x_
**
"award sets" of plans and specifications to
CDOT Region Resident Engineer.
(Further distribution will then be made to the
Region Construction Engineer (RCE), CDOT Staff
Construction, CDOT Staff Materials, and the Region
Materials Engineer (RME), and others as required.
CDOT Printing and Visual Communications Center,
Division of Human Resources and Administration
when CDOT is responsible.)
NOTE: Only o u e responsible party ::;h o u ld be selected.
Refer tu page 2 for addi t iono.l .in.fo.r:md.tion .
• RE"'~ISED 10/16/96
CONTRACT ADMINISTRATION CHECK LIST
PAGE 4
HQ.._ DESCRIPTION OF TASK
11. Issue "Notice to Proceed" to the Contractor.
(CDOT Construction Contracts Unit, Staff
Design Branch, when CDOT is responsible.)
12. Conferences:
a. Preconstruction (Request Pre-construction
packet of information from Region EEO
Administrative Program Specialist prior
to the conference. CDOT Resident Engineer
when CDOT is responsible.)
b. Partnering
c. Presurvey:
(1) Construction staking
(2) Monumentation
d. Structural concrete prepour
e. Concrete pavement prepaving
f. HBP prepaving
13. Supervision of construction:
a. Professional Engineer (PE) registered~
in Colorado, who will be "in responsible
charge of construction supervision".
Chuck Esterly,P.E. * 762-2500
Local Agency PE Phone number
*To be delegated to LA Consultant
b. Develop and distribute public notice of
planned construction to the media and
local residents.
NOTE: Only one responsible party should be selected.
Refer to page 2 for additional information.
** RESPONSIBLE PARTY
LOCAL
AGENCY ~
v -"-
_x_
_x_
N/A
_x_
REVISED 10/16/96
•
•
•
•
CONTRACT ADMINISTRATION CHECK LIST
PAGE 5
** RESPONSIBLE PARTY
LOCAL
HQ_._ DESCRIPTION OF TASK AGENCY m
c.
•
**
Competent, experienced, staff who will . . .
ensure the Contract work is constructed
in accordance with CDOT policies, standards
and procedures.
(Refer to the CDOT Procedural Directives and
the following CDOT Operating Manuals for
guid~nce and assistance -Local Agency
Construction Manual, CDOT Construction Manual,
CDOT Field Materials Manual, CDOT Survey
Manual, CDOT Standard Plans, CDOT Erosion
Control Manual, CDOT Davis-Bacon Manual.)
( 2)
1) COOT Form *205 -Sublet Permit Application:
(a) Check CDOT Form #713 -Contractor
DBE Subcontract, Supply and Service
Contract Statement. Sign Form *205
if Form .J/:713 is complete. (CDOT
Region EEO Administrative Program
Specialist)
(b) Check and sign approval of Form #205
after Form .J/:713 has been checked by
the Region EEO Administrative Program
Specialist.
Construction inspection including
calculations, measurements, and
documentation of interim and final
pay quantities.
( 3) Conduct Contractor/Subcontractors
reviews to ensure conformance with
the Equal Employment Opportunity(EEO)
/Affirmative Action(AA)/DBE/OJT
requirements contained in the Contract.
(Standard Special Provisions, Project
Special Provisions and FHWA Form 1273)
(CDOT Region EEO Administrative
Program Specialist)
NOTE : Only one responsible party should be selected.
Refer to page 2 for additional information .
• REVISED 10/16/96
CONTRACT ADMINISTRATION CHECK LIST
PAGE 6
** RESPONSIBLE PARTY
LOCAL
ml.... DESCRIPTION Off' TASK
( 4) Notify CDOT Region ~~O A~~inistrative
Program Specialist and request
assistance for all EEO/DBE/OJT/
DaviG-Bacon queGtionG or concerns.
AGENCY m
( 5) Complete and submit to the CDOT Region _x_
EF.O Administrative Program Specialist,
the required number of CDOT Form #280 -
Equal Employment Opportunity and Labor
Compliance Verification.
( 6) Monitor DBE participation to ensure _x_
comp l iance with the "Corru-nercially
UGeful Function" requir2mentG.
( 7) Comp l ete and submit to the CDOT Region _x_
EE O Adm i nistrative program Specialist,
the applicable number CDO'l' Form #200 -
OJT Training Questionnaire, when project
utilizes OJTs.
( 8) Check certified payrolls to verify .
Contractor/subcontractors are in
compliance with Contract requirements.
The checking shall be completed by
projec t personnel trained i n payroll
checking. {Contact the Region EF.O
Administrative Program Specialist for
training requirements.)
( 9) Coordinate submittals by Contractor _x_
and all subcontractors of FHWA Form 1391
(Highway Construction Contractor's Annual
EEO Report) to the COOT Region EEO
Administrative Program Specialist. The
Report is due to the Region EEO
Administrative Program Specialist by
August 10 for all construction projects
Active during the last complete week of July .
NOTE: Only one re~pou~ible party shoul d be ~e l ected.
Refer to page 2 for additional inforrn~tion.
REVISED 10/16/96
•
•
•
•
CONTRACT ADMINISTRATION CHECK LIST
PAGE 7
** RESPONSIBLE PARTY
LOCAL
NQ..._ DESCRIPTION OF TASK AGENCY m
•
**
(10) Materials:
(a) CDOT Form #250 -
Materials Documentation Record:
I) Fill out and distribute CDOT
Form f 250 before the Contractor
commences work. (CDOT Region
Materials Engineer when CDOT
is responsible.)
II) Complete Form #250 after work
is completed distribute per
instructions in CDOT Materials
Manual.
(b) .Approve changes to typical section . . _x__
(c) Development, Checking, and Design mix
approvals:
I) Concrete
II) Hnt Bituminous Pavement (HBP).
(d) Accef)l:.a.nce of manufactured products. _ _]( __
(e) Inspecting fabrication of Gtructural _..£\..._
steel and prestressed concrete
structural components.
(f) Inspecting fabrication of bearing
devices.
(g) Laboratory Check testing
(h) Acceptance testing . .
(I) Independent assurance testing
(Region Materials Laboratory will
develop, complete, and distribute
CDOT Fu:nn #379 -Project Independent
Assurance Sampling Schedule.)
Only one responsible party should be selected.
Refer to page 2 for additional information.
REVISED 10/16/96
CONTRACT ADMINISTRATION CHECK LIST
l:'AGE 8
** RESPONSIBLE PARTY •
HQ.._ DESCRIPTION OF TASK
**
(11) Approve sources of materials
(12) Approve shop drawings
(13) Perform Traffic Control Inspections
(14) Approve traffic signal equipment
(15) Construction surveying
(16) ROW monumentation
(17) Prepare, approve and sign vouchers
for interim and final Contractor
pay estimates. (CDOT RE if CDOT is
responsible.)
Provide the name(s) and phone number(s) of
The person(s) authorized for this task.
Rick Kahm 762-2503
LA Administrator Phone Number
LAPE Phone Number
(18) Prepare, approve and sign vouchers
for interim and final Utility
Company billings for utility
relocation work.
(19) Prepare and authorize CDOT Form ~94
-Minor Contract Revision (MCR) and
CDOT Form #90 -Contract Modification
Order (CMO)
(20) Approve MCRs and CMOs
(21) Approve Federal-Aid funding for MCRs/CMOs.
(22) Monitor project financial status and .
submll:. monthly in a format acceptable
to the Regiuu, such as CDOT Form if 65 -
Project Financial Status RGport.
NOTE: Only one responsible party should be selected.
Refer to page 2 for additional information.
LOCAL
AGENCY ~
" -"-
v -"-
" -"°'-
REVISED 10/16/96
•
•
CONTRACT ~MINISTRATION CHECK LIST
PAGE 9 • ** RESPONSIBLE PARTY
LOCAL
~ DESCR fi?'flON OF TASK AGENCY ~
(23) Prepare and submit mo11thly progress ...JL
reports to the Region Construction
Engineer : CDOT Form #llOa -Status of
Active Construction Projects, and
CDOT Form #517a -Status of Construction
Project Finals.
(24) Contractor claims/dispute resolution ...JL
Local Agency must follow CDOT
procedures unless Section 105.17 of
the Standard Specifications i3 modified
by a Project Special Provision. ALL
contracts let for bid by the Local Agency
eh~ll contain a project special provision
removing COOT from the resolution process.
14. Make monthly progress and final payments
to the Contractor for completed work. (CDOT
Center for Accounting, Division of Human
Resources and Administration when CDOT is
• responsible.)
15. Make month l y progress and final payments to .
Utility Companies for completed util i ty
relocallon work. (CDOT Center for Accounting,
Division of Human Resources and Administration
when CDOT is responsible.)
16. Conduct routine , random, project reviews ...JL
**
to ensure the project is being administered
in accordance with the terms of the construction
Contract and the approved project specific
agreement between CDOT and the local agency.
Provide the name and phone number of the person
responsible for this task .
Chuck Esterly,P.E. * 762-2500
Local Agency PE Phone number
*To be delegated to LA Consultant
NOTE: Only one responsible party should be selected.
• Refer to page 2 for additional information.
REVISED 10/16/96
CONTRACT ADMINISTRATION CHECK LIST
PAGl!.: 10
kw RESPONSIBLE PARTY
LOCAL
liQ..... DESCR !P'I'"CQN OF TASK
17. Joint FllWA/CDO'r Quality Assurance (QA) Review
Teams ~·1ill conduct random project reviews in
accordance with CDOT's Stewardship Plan.
(CDOT Staff Construction & MatcrialD)
18. Conduct final project inspection, complete and
submit CDO'T' Form #1212a -Final Acceptance
Report. CDO~ ~esident Engineer with mandatory
LA participation.
19. Final project acceptance, write final project
acceptance letter and di~tribute per
procedures in the Construction Manual.
20. Advertise for final settlement. (CDOT Staff
Construction when CDOT is responsible.)
21. Prepare and distribute final "as constructed"
plans per procedures in the Construction Manual.
22. Check finaJ q1.1.a.ntitles, £inal plans and the . .
final pay estimate.
23. Sign final pay estimate sheets ~no voucher.
24. Check material records.
25. Submit final materials certification.
26. Obtain CDOT Form #17 -Contractor DBE Payment
Certification, from the Contractor and submit
to Region Construction Engineer.
27. Obtain FHWA Form PR 47 (Statement of Materials
and Labor Used ... ) from the Contractor, check
and submit to Region Construction Engineer.
(REQUIRED ONLY ON NHS PROJECTS WITH TOTAL
FINAL PAY?-1ENT EXCEEDING $1,000,000 .)
28. Complete and submit CDOT Form #950 -
Project Closure.
29. Retain project records. (For six years
from date of project closure.)
** NOTE: Only one responsible party should be selected.
Refer to page 2 for additional information.
AGENCY ~
_x._
_x._
_x._
_x._
_x._
v
~
_x._
REVISED 10/16/96
•
•
•
COLOAAQO OEPARlMENT OF TRANSPORTATION Ong Date : Project Code : 11999 I STIP Number : DR3041
··.DESIGN DATA Project Number: STU 2854-0 71
Rev Date : PE Project Code PE Pro ject Number
0 M.ETt xi~'t81T A -RevNumber:
Region :
.. 1of2 06
s: ~prelim. 0 final 0 revised Project Description: BROADWAY: US 285 TO YALE
County1 : Arapahoe County2: Arapahoe 1County3 :
!
Prepared by : Revised by : ! Municipa lity: Englewood HUB ERG
Date : System Code : OIM QNHS QSTP ~OTHER
11 1 24/97 Date : I i Oversight 181COOT QFHWA QOTHER
Submitted by Proj Mgr: Route1 : 285D retPt1: 259 .5 endAefPt1 : 2 60 . 9
HUBERG Approved by Preconstruction Engineer: Route2: 075A refPt2 : 0.000 endAetPt2: 0 . 01 0
Date : Rou!.93: refPt3 : endRefPt3 : 11/26/97
Planned Length : 1.200
Geographic Location :
BROADWAY AT US 285 TO YALE AVE., INCLUDING RAMPS AT US 285 ,
Terrain type : Olevel Drolling 0 mountainous
Description of proposed constructionlifTllrovement (attach map showing site location)
RESTRIPE DOUBLE LEFTS ON BROADWAY TO US 285 , WIDEN US-285 RAMPS TO ACCOMOD ATE DOUB LE LEFT-TURNS, RECONS-:RUCT
BROADWAY TO ACC OMODATE RAISED MEDIANS FROM FL OY D TO YALE.
II Traffic (Note : use columns A , 8 , and/or C to identify facility described below)
A= Broadway B= US285 (Hamp d en ) C=
g RdwyClass 1 Urban Rural ----
a . current year 1998 b . future year 201 8 Fac ility Type : Functional Classification : Facility Location : • __ Freeway _1 __ Prin. Arterial __ Industrial
A B c A 8 c __ Expressway __ Min . Arterial ~ Commercial
ADT 36 0 00 70000 ADT __ Divided __ Collector (major) ~ Res iden ti al
OHV DHV _1 __ Undivided __ Collector (minor) __ O ther
OHV % trucks 4 5 4 __ Not Roadway __ Local
El Design Standards (identify substandard items with an • in 1st column & clarity in remarks)
Source(s) of s1andard(s ) COOT Design ManuaVAASHTO Guide Existing Proposed Ultimate . A 8 c A 8 c A 8 c A 8 c
" a. HI Surface type HI HI
b. URE Typical section type URE URE
c . 5 # of travel lanes 5 5
" d. 12 Width of travel lanes 12 12
e . ---Shoulder width 11./median 0 0
f. 0 Shoulder width rt Joutside 15 15
g . ---Side slope dist.("z") ------
ft h. 2 Median width 4 4
j. Posted speed 35 3 5
ft j. 35 Design speed 35
ft k. . 08 Max . superelevation . 02
ft I. 360 Min . radius
ft m . 225 Min . horizontal SSD
ft n. 225 Min . vertical SSD
ft o . 7% Max . grade
Project under 01R 03R 1814R OOther criteria Existing guardrail
meets current standards : Qyes 181 no
.ce in minimum design standards required 0 yes 181 no 0 Safety project Comments :
l.)Justification attached 0 Request to be submitted No work to existing bridges or guar d ra il
QBridge (see item 4) 0 See remarks not all standards addressed
~Stage construction
Resurfacing projects
181 Recorrmendations concern in g sa fety aspects attached
COOT Form #403 4196
·•
Pag e 2 of 2
I Project Code
11 9 99
I Proiect Number
STU 2854-071
I RevOate .
II Major structures
S-to stay , A-to be removed , P:proposed new structure Standard Struaure Loading Horizontal Vertical ... Structure 10 Length Ref . Point Feature intersected Width Rdwy Width 181HS OMS Clearance C learance Year Bu .I•
F-17-B
F-17-CZ
Proposed treatment of bridges to remain in place (addre~e rail , capacity, and allowable surfacing thickness)
F-1 7 -B RESTRIPE FROM 5 LANE TO 6 (DOUBLE LEFTS), NO WORK TO CURB AND GUTTER OR GUARDRAIL; F-17-CZ NO
WORK
Iii Project characteristics (proposed)
181 Lighting 181 Handicap ramps Median type : 0 depressed 0 painted 181 raised
181 Curt> and gutter 0 Curb on ly 181 Left-tum slots 0 continuous widtti...12 FEET
181 Sidewalks w idth= 6 FEET 181 Bikeways width=B FEET 0 Right-tum slots 0 continuous width a
181 Parking lanes w idth= 10 FEET 181 Detours Sign ing : 181 construction 181 permanent
181 Traffic control si gnals 181 Striping Other: (description)
Landscaping requ irements: (d escript ion)
ONL Y IN RAISED MEDIAN BEDS
Iii Right of Way Yes No Es t No . (I Utilities {li st names of kn own uoli ty companies)
ROW and/or perm. easement requi red : 0 181
Re location required: 0 181
Temporary easement required : 0 181
Changes in access : 0 181
Changes to connec:ing roads : 0 181
Iii Railroad crossings #of crossings: ---
Rai lroad name
j Ag reements
reoulfed I Pr esent protection Condition of x'i nos
1 . 0
2 . 0
3 . 0
4 . 0
Recommendations :
• Environmental envProjCode: approved under project#
0 Major (refer to approved ROD ) dated: 0 Minor (re fer to COOT Form #1 28) dated:
0 Intermediate {r efer to approved FONSI) dated : 0 Mi nor programmatic exclus ion It::
Comments:
Im Coordination
0 Withdrawn lands (power sites , reservoirs , etc .) cleared through BLM or forest service office
Irrigation ditch name:
0 New traffic ordinance req uired Mun icipality :
0 Modi fy schedu le of existin g ord inance
Other:
Ill Construction method noAdReason : 0 Des ign 0 Local FI A
Advertised By: 0 Sta te 0 P .O. 0 RA FI A E ntity/Agency contact name: Rick Kah!n
181 LocaJ 0 Study 0 Uti li ty FI A Phone It:: 762-2500
0None 0 COOT FI A 0 M iscellaneous
IJ3 Remarks (i nclude add iti onal pages if needed)
Original to Central files -Copies to: Reg ion Files, Reg ion Environmental Manager, Staff Des ign Branch (QA), PMO, ROW , Staff Brid ge or other when appropriate .
SPECIAL PROVISIONS
CONTROLLER'S APPROVAL
A . This contract shall not be deemed valid until it shall have been approved by the Controller of the State of Colorado or such assistant as he may designate. 9iis provision is applicable to any contract involving the payment of money by the State.
FUND AVAILABILITY
2. Financial obligations of the State of Colorado payable after the current fiscal year are contingent upon funds for that purpose being appropriated, budgeted,
and otherwise made available.
BOND REQUIREMENT
3. If this contract involves the payment of more than fifty thousand dollars for the construction, erection, repair, maintenance, or improvement of any building,
road. bridge, viaduct, tunne!, excavation or other public woric for this State, the contractor shall, before entering upon the performance of any such work included
in this contract, duly execute and deliver to the State official who will sign the contract, a good and sufficient bond or other acceptable surety to be approved
by said official in a penal sum not less than one-half of the total amount payable by the terms of this contract. Such bond shall be duly executed by a qualified
corporate surety conditioned upon the faithful performance of the contract and in addition, shall provide that if the contractor or his subcontractors fail to duly
pay for any labor, materials, team hire, sustenance, provisions, provendor or other supplies used or consumed by such contractor or his subcontractor in
performance of the woric contracted to be done or fails to pay any person who supplies rental machinery, tools, or equipment in the prosecution of the work the
surety will pay the same in an amount not exceeding the sum specified in the bond, together with interest at the rate of eight per cent per annum. Unless such
bond is executed, delivered and filed, no claim in favor of the contractor arising under such contract shall be audited, allowed or paid. A certified or cashier's
check or a bank money order payable to the Treasurer of the State of Colorado may be accepted in lieu of a bond. This provision is in compliance with CRS
38-26-106.
INDEMNIF1CA TION
4. To the extent authorized by law, the contractor shall indemnify, save, and hold harmless the State, its employees and agents, against any and all claims,
damages, liability and court awards including costs, expenses, and attorney fees incurred as a result of any act or omission by the contractor, or. its employees,
agents, subcontractors, or assignees pursuant to the terms of this contract.
DISCRIMINATION AND AFFIRMATIVE ACTION
Arne contractor agrees to comply with the letter and spirit of the Colorado Antidiscrimination Act of 1957, as amended, and other ~pplicable law respecting ~on and unfair employment practices (CRS 24-34-402), and as required by Executive Order, Equal Opportunity and Affirmative Action, dated April
16, 1975 . Pursuant thereto , the following provisions shall be contained in all State contraelS or sub-contracts.
During the performance of this contract, the contractor agrees as follows:
(a) The contractor will not discriminate against any employee or applicant for =ployment because of race, creed, color, national origin, sex, marital status,
religion, ancestry, mental or physical handicap, or age. The contractor will take affirmative action to insure that applicants are employed, and that employees
are treated during employment, without regard to the above mentioned charactc:ristics. Such action shall include, but not be limited to the following: employment
upgrading, demotion, or transfer, recruitment or recruitment advertisings; lay-offs or terminations; rates of pay or other forms of compensation; and selection
for training, including apprenticeship. The contractor agrees to post in conspicuous places, available to employees and applicants for employment, notices to
be provided by the contracting officer setting forth provisions of this non-discrimination clause.
(b) The contractor will, in all solicitations or advertisements for employees placed by or on behalf of the contractor, state that all qualified applicants will receive
consideration for employment without regard to race, creed, color, national origin, sex, marital status, religion. ancestry, mental or physical handicap, or age.
(c) The contractor will send to each labor union or representative of workers with which he has a collective bargaining agreement or other contract or
understanding, notice to be provided by the contracting officer, advising the labor union or workers' representative of the contractor's commitment under the
Executive Order, Equal Opportunity and Affamative Action, dated April 16, 1975, and of the rules, regulations, and relevant Orders of the Governor.
(d) The contractor and labor unions will furnish all information and reports required by Executive Order, Equal Opportunity and Afflililative Action of April
16, 1975, and by the rules, regulations and Orders of the Governor, or pursuant thereto, and will permit access to his books, records, and accounts by the
contracting agency and the office of the Governor or his designec for purposes of investigation to ascertain compliance with such rules, regulations and orders.
(e) A labor organization will not exclude any individual otherwise qualified from full membership rights in such labor organization, or expel any such individual
from membership in such labor organization or discriminate against any of its members in the full enjoyment of work opportunity because of race, creed, color,
sex, national origin, or ancestry.
(0 A labor organization, or the employees or members thereof will not aid, abet, incite, compel or coerce the doing of any act defined in this contract to be
~ry or obstruct or prevent any per.;on from complying with the provisions of this contract or any order issued thereunder; or attempt, either directly
.nall"Ccuy, to commit any act defined in this contract to be discriminatory.
(g) In the event of the contractor's non-<:ompliance with the non-discrimination clauses of this contract or with any of such rules, regulations, or orders, this
contract may be canceled, terminated or suspended in whole or in part and the contractor may be declared ineligible for further State contracts in accordance
with procedures, authorized in Executive Order, Equal Opportunity and Affumative Action of April 16, 1975 and the rules, regulations, or orders promulgated
Form f>-AC-<l2B (GEN060197) Revised 06/01197 Page __ l_ of_2_ pages
EXAMPLE A (Lump Sum Contracts)
Company Nam~: Project No.
Address: . • Profect Location
Employer (FEIN) ID Number:
Subaccount No.
Invoice Number and Date:
Progress Report Dated:
% Completed: (1)
Current Billing Period: From : To:
BASIC AND I OR SUPPLEMENTAL CONTRACT TOTAL: (2) $
Total Billed to Date: $
Less: Retainage (10% of billing not to exceed 5% of contract) $ • Less: Prior Payments: $
Prior Biiiing : $ Less Retainage: $ $
TOTAL CURRENT PAYMENT REQUEST:* $
{% To Date of DBE Work: )
I certify that the birted amounts are in agreement with the contract terms:
Signature TI tie Date
* % Completed x Contract Total =Total Curent Payment Request • (1) x (2) = ( *)
EXAMPLE B (Cost Plus Fixed Fee Contracts)
Company Name: Project No. • Address:
Employer (FEIN) ID Number: Project Location
Invoice Number and Date:
Progress Report Dated: Subaccount No.
% Completed:
BASIC AND I OR SUPPLEMENTAL CONTRACT TOTAL $
Prior Period Billing Amount: $
Current Bllllng Period: From: To:
DIRECT LABOR: (List individt:Jally)
Regular Direct Hourly Overtime Cost
Employee Name Classification Hours Rate $ Hours * $
Current Total Amount to
This Period Date (Optional) • SUBTOTAL· DIRECT LABOR $ $
INDIRECT __ (%) (As specified in contract) $ $
OTHER DIRECT COSTS (In -House)
List individually -at actual cost as in final cost proposal ; mileage (miles x $), $ $
CADD (hrs . x $),equip. rental (hrs. x $),etc.
SUBTOTAL (DIRECT LABOR, INDIRECT & OTHER DIRECT COSTS) $ $
FEE (%) (As specified in the contract) $ $
OUTSIDE SERVICES (Subconsultants & Vendors) (List individually)
$ $ (To be in this same format -attach copies)
% To Date on DBE Work $ $
Outside Services Management Expense (when applicable) $ $
TOTAL CURRENT PERIOD: $ $
TOT AL TO DA TE: $ $
LESS: Retalnage (10% of billing not to exceed 5 % of contract) $ $
LESS: Prior Pavments $ $
Prior Billina $ Less Retainaae $ $ $
TOTAL CURRENT PAYMENT REQUEST $ $
I certify that the billed amounts are actual and in agreement with the contract terms: • Signature TI tie Date
* Eligible classifications only ; in accordance with contract
EXAMPLE C (Specific Rates Of Pay Contracts)
·Company Name: Project No.
Address:
Employer (FEIN) ID Number: Project Location • Invoice Number and Date:
Proqress Report Dated: Subaccount No.
% Completed:
BASIC AND I OR SUPPLEMENTAL CONTRACT TOTAL $
Prior Period Billinq Amount : $
Current Billing Period: From: To:
PAY RATES: (list indiv idually)
Regular Overtime Rate of Pay Cost
Employee Name Classificati on Hours Hours * $I Hours** $
SUBTOTAL· PAY RATES: $
OTHER DIRECT COSTS (In -House)
List individually· at actual rates as in final cost proposal ; mileage (miles x $), $ CAOO (hrs. x $).equip. rental (hrs. x $), etc. •
SUBTOTAL (Pay Rates and Other Direct Rates) $
OUTSIDE SERVICES (Subcansultants & Vendors) (Ust individually) $ (To be in this same format -attach copies)
% To Date on DBE Work
Outside Services Manaqement Expense (when applicable) $
TOTAL CURRENT PERIOD: $
TOTAL TO DATE: $
LESS: Retainaqe (10% of billinq not to exceed 5 % of contract) $
LESS: Prior Pavments $
Pr ior Billina $ Less Retainaqe $
TOTAL CURRENT PAYMENT REQUEST: $
I certify that the billed amounts are actual and in agreement with the contract terms:
Signature TI tie Date • * Eligible classifications only: in accordance with contract
** In accordance . with contract
•
' .
. EXAMPLE D (Local Agency Billing) Date
S.ECTION I. CONTRACT Dl\TA
Local. Agency: Project No.
Address:
Employer (FEIN) ID Ntunber:
Invoice Number and Date: ----------' Completed: ______ _
BASIC AND/OR SUPPLEMENTAL CONTRACT TOTAL: $ _______ _
Federal Share $
-------~ Local Agency Shar~ $ --------St ate Share $
Prior Period Billing Amount:
Current Billing Period: From:
SECTION II. INCURRED COSTS
DIRECT LABOR: (List individually)
Employee Classifi-Regular
Name cation Hours
SUBTOTAL -DIRECT LABOR
BENEFITS · \ OF DIRECT LABOR
OTHER DIRECT COSTS (In-House)
List individually-at actual cost;
mileage (miles x $), CADD (hrs. x $),
equip rental (hrs. x $), etc.
OUTSIDE SERVICES (Consultants & Vendors)
(List individually) (To be in this same
attach copies of invoices)
TOTAL COSTS CURRENT PERIOD:
TOTAL COSTS TO DATE:
SECTION III. BILLING
TOTAL BILLING CURRENT PERIOD
( . \ OF TOTAL COSTS) :
Prior Billing:
--------
$
To:
Direct Hourly
Rate $
Overtime
Hours *
Cost
$
Current
This Period
$ ____ _
$ ____ _
$ -----
format-$ · -----
$ ____ _
. $ -----
Total to
Date
$ ____ _
$.
$ ___ _
$ ___ _
$ ___ _
$ ___ _
I certify that the billed amounts are actual and in agreement with the
contract terms:
Signature Title Date
* Eligible classifications only.
EXAMPLE E: FIXED MULTIPLIER . '
Company Name: Profect No. .
Address:
Employer (FEIN) ID Number: Prof act Location
Invoice Number end Date:
Proaress Reoort Dated: Subaccount No.
•t. Completed:
BASIC AND /OR SUPPLEMENTAL CONTRACT TOTAL s
Prior Pertod Bllllna Amount: $
Current Bllllng Period: From: To:
PAY RATES: (Ustlndlvlduallv) x x
Regular Certified Fixed Cost
Emolovee Name aassffication Hours Hourly Rate Multiplier $
SUBTOTAL· PAY RATES: $
OTHER DIRECT COSTS (In· House) • List Individually· at actual rates as In final cost proposal; mileage (miles x $), $ CADD (hrs . x $), eauto. rental (hrs. x $), etc.
SUBTOTAL (Pav Rates and Other Direct Ratesl $
,
OUTSIDE SERVICES (Subconsultants & Vendors) (List Individually) $ (To be In this same format· attach copies}
% To Dale on DBE Work
Outside Services Manaqement Expense (when aoollcable\ $
TOT AL CURRENT PERIOD: l $
TOT AL TO DA TE: J $
LESS: Retalnage (109/. of billim not 10 exceed 5 % of contract) $
LESS: Prior Pavments $
Prior annna $ Less Aetalnaoe $
TOTAL CURRENT PAYMENT REQUEST: $
I certlf y that the billed amounts are actual and ln agreement with the contract terms:
.
Signature TI lie Date • • Eigllle dassUlcatJons only: ln accordance with contract
•• In accordance wllh contract
•
•
Date
June 15 , 1998
INITIATED BY
COUNCIL COMMUNICATION
Agenda Item
. .
/~ a,. //
STAFF SOURCE
Subject
Intergovernmental Agreement with
COOT for Design of Broadway
Widen ing and Medians
Department of Public Works Charles Esterly, Director of Public Works
COUNCIL GOAL AND PREVIOUS COUNCIL ACTION
Counc il's goal is to utilize intergovernmental cooperation on projects which benefit all parties . Council approved
Resolution No . 3, Series 1996, authorizing the City to apply for Federal funds under the lntermodal Surface
Transportation Efficiency Act (!STEA) on January 2, 1996 .
RECOMMENDED ACTION
Staff recommends council approval of a Bill for an Ordinance to enter into an agreement w ith the Colorado
Department of Transportation . The agreement covers financial commitments related to the design of "South
Broadway Widening and Medians".
BACKGOUND, ANALYSIS, AND ALTERNATIVES IDENTIFIED
In 1996, the City of Englewood 's application for this project scored high based on the criteria used by the Denver
Regional Council of Governments (DRCOG). DR COG approached the City with a choice of funding this project or
the previously approved US 285/Broadway Interchange . Based on City goals and priorities at that time , the City
selected the US 285/Broadway Interchange as the selected project.
In 1997, the C ity initiated the South Broadway Corridor Act ion Plan . Staff suggested to Council that DRCOG and
COOT might be willing to exchange projects at our request. Additionally, COOT proposed abandoning South
Broadway as a state highway from US 285 to our south City Limits . Council agreed that staff should approach
DROG and COOT to negotiate for the abandonment and exchange of projects . DRCOG agreed to exchange
projects . COOT agreed to add improvements to the Broadway Bridge and contribute half of our local match (not to
exceed $370,000). Improvements to the bridge increased the estimated project cost from $3 ,257 ,000 to
$3,760 ,000 .
The proposed intergovernmental agreement addresses costs associated w ith design only . Construction is
scheduled for the year 2000 . An intergovernmental agreement regarding funding for construction will be brought
to council in 1999, as !STEA funding becomes available .
COOT is preparing an agreement for the abandonment of South Broadway , which will be brought to Council this
year. The abandonment agreement will include CDOT's commitment of one-half the local match for the Broadway
Widening proj ect and $130 ,000 for 3 years of maintenance on South Broadway , standard with discontinuing a
• roadway as a State Highway .
FINANCIAL IMPACT
Federal participation towards design of this project will be $376 ,000 . The total estimated cost of the design project
totals $481 ,000 . Englewood's share is $105 ,000 . $39 ,000 was budgeted in the 1998 Public Improvement Fund to
begin design of the US 285/Broadway Interchange. A supplemental appropriation of $66,000 will be required to
fund this design phase of this project.
LIST OF ATTACHMENTS
Bill for an Ordinance
Intergovernmental agreement
' •
•
•