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Home My WebLink About20022474.tiff RESOLUTION RE: APPROVE TRANSPORTATION ENHANCEMENT CONTRACT FOR ST. VRAIN RIVER TRAIL AND AUTHORIZE CHAIR TO SIGN - COLORADO DEPARTMENT OF TRANSPORTATION WHEREAS, the Board of County Commissioners of Weld County, Colorado, pursuant to Colorado statute and the Weld County Home Rule Charter, is vested with the authority of administering the affairs of Weld County, Colorado, and WHEREAS, the Board has been presented with a Transportation Enhancement Contract for the St. Vrain River Trail between the County of Weld, State of Colorado, by and through the Board of County Commissioners of Weld County, and Colorado Department of Transportation, with terms and conditions being as stated in said contract, and WHEREAS, after review, the Board deems it advisable to approve said contract, a copy of which is attached hereto and incorporated herein by reference. NOW, THEREFORE, BE IT RESOLVED by the Board of County Commissioners of Weld County, Colorado, that the Transportation Enhancement Contract for the St. Vrain River Trail between the County of Weld, State of Colorado, by and through the Board of County Commissioners of Weld County, and Colorado Department of Transportation be, and hereby is, approved. BE IT FURTHER RESOLVED by the Board that the Chair be, and hereby is, authorized to sign said contract. The above and foregoing Resolution was, on motion duly made and seconded, adopted by the following vote on the 9th day of September, A.D., 2002. BOARD OF COUNTY COMMISSIONERS WELD COUNTY, COLORADO ATTEST: Audi 17 /i <<, 6 � EXCUSED Gle aad, C . it Weld County Clerk tot 'g. . � ',�0 -sit? David E. ng, Pro-Tem BY: Deputy Clerk to the Boar:►e /�i- , _ _ M. J. Geile l ' VE T ORM: et-N-1 Y, William H. Jerke County,Qtt rney I We) Robert D. Masden Date of signature: /9 2002-2474 CC: AZ-- BC0024 STATE QF rQLORADO DEPARTMENT OF TRANSPORTATION �'r' Mr 1OT Region Four ?' ? f;"p -S f',� �. 07 1420 Second St. "' J' Greeley,CO 80631 r °T"'T"'TNT M TRANSPORTATION 970-350-2182/FAX 970-350-2258 REC D September 3, 2002 Mr. Kim Ogle STE C030-028 Weld County Planning Offices St. Vrain River Trail 1555 N. 17th Ave. 14101 Greeley, CO 80631 Dear Kim, Enclosed for review and County Commissioner action are four copies of the contract between Weld County and the Department of Transportation for this project. If the contracts are acceptable, the County must pass either a resolution or ordinance (whichever you deem appropriate) authorizing someone to execute a contract on behalf of the County. This authorization should contain a commitment that the County will match the federal funding for the project at the specified rate. We will need at least one signed original of the Resolution (we would prefer 3 originals) and they should be forwarded with the signed contracts. If the resolution contains a dollar amount, such amount shall not be less than the amount of the local agency's contribution as shown in the contract, but may exceed this amount if you intend to overmatch the federal funds. Three copies of the contract are to be signed by the person authorized to bind the County to the terms of the contract and returned to me, undated, for the State's signatures. The fourth copy is intended for the County's review and comment prior to signing the contract and can be retained in your files pending the receipt of a fully executed contract. Sincerely, U Wendy Turner Project Manager cc: Central Files Project File 2002-2474 1 _ I CERTIFIED A E I; Y (FMLAWRKENH) M,Q /I_201'1 CMS ID 03-049 STE C030-028, 14101 C IEF CLERK 03 HA4 00024 REGION 4,/(MAA) (.c xwdo Department of Transportation Rev 2/00 TRANSPORTATION ENHANCEMENT CONTRACT THIS CONTRACT, made this /04 day of 00-1 • , 20001—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 WELD COUNTY, STATE of COLORADO, 1555 N. 17111 Ave., Greeley, CO 80631, FEIN: 846000813, hereinafter referred to as the Local Agency; or the contractor. FACTUAL 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, Functions 3020 and 3301, Object 2312 1P, Project STE C030-028 Phases D and C Reporting Category 4510, Contract Encumbrance Number 14101, (Contract Encumbrance Amount: $102,000.00, Design Encumbrance is $10,000.00 and Construction Encumbrance is $92,000.00). 2. Required approval, clearance and coordination have been accomplished from and with appropriate agencies. 3. Pursuant to Title I, Subtitle A, Section 1108 of the Transportation Equity Act for the 21st Century of 1998 (TEA-21) 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 (FHWA), hereinafter referred to as the program. -1- 02002-a y751 4. Pursuant to § 1007(a) of TEA-21, at 23 U.S.C. § 133(d)(2), certain Surface Transportation Project funds are made available only for eligible"Transportation Enhancement Activities", as defined in § 23 U.S.C. § 101(a), and this contract provides for the performance by the Local Agency of a project for an eligible Transportation Enhancement Activity. 5. 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. 6. The Local Agency has requested that a certain local highway project be funded as part of the program as a Transportation Enhancement Activity, and the Local Agency Represents that the project is an eligible Transportation Enhancement Activity as defined in 23 U.S.C. § 101(a), 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 nature 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. 7. Federal-aid funds have been made available for project, STE C030-028 to design and construct a bike trail connecting the Weld County Trail head to the I-25 Frontage road bridge trail undercrossing at the St. Vrain River, as more specifically described in Exhibit A (the Form #463 and/or a "Scope of Work"), in, Weld County, Colorado, hereinafter referred to as "the project" or "the work". 8. The matching ratio for this federal-aid project is 80% federal-aid funds to 20% Local Agency funds, it being understood that such ratio applies only to such costs as are eligible for federal participation, it being further understood that all non-participating costs shall be borne by the Local Agency at 100%. -2- 9. The Local Agency desires to comply with the federal provisions and other applicable requirements, including the State's general administration and supervision of the project through this contract, in order to obtain federal funds for the project. 10. 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. A copy of this ordinance or resolution is attached hereto and incorporated herein as Exhibit B. 11. This contract is executed under the authority of §§ 29-1-203, 43-1-110, 43-1-116, 43-2-101(4)(c) and 43-2-144, C.R.S., as amended, and the Local Agency ordinance/resolution. 12. The parties hereto desire to agree upon the division of responsibilities with regard to the project. 13. The Local Agency is adequately staffed and suitably equipped to undertake and satisfactorily complete some or all of the Work. 14. The State certifies that such work can be more advantageously performed by the Local Agency. NOW, THEREFORE, it is hereby agreed that: I. STANDARD FORM CONTRACT This is a standard form contract that is designed to efficiently 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 agency; 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 -3- 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 expressly 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 Agency time and expense. II. PROJECT DESCRIPTION "The project" or "the Work" under this contract shall consist of the design and construction of a bike trail connecting the Weld County Trail head to the I-25 frontage road bridge trail undercrossing at the St. Vrain River, in Weld County, 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, right-of-way, utility, construction, and construction administration 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 and standards as specifically indicated in the Pre-Construction and Construction Administration Checklists attached hereto and made a part -4- • 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 The funding provisions for the project are attached hereto and incorporated herein as Exhibit C. VI. TRANSPORTATION ENHANCEMENT ADVANCE PAYMENT PROVISIONS The advance payment provisions described herein shall apply only to a percentage of the construction work portion of an enhancement project, as described below. Payment for all other work portions of the Project, including for the design work, shall be on a reimbursement basis, as described below. A. Pursuant to FHWA's approval under 23 U.S.C. § 133(e)(3)(B), the State will provide an advance payment up to a maximum percentage of the total amount for the construction portion of transportation enhancement project activities, in accord with the following procedures. 1. the State will provide advance payment to the Local Agency of 70% of the federal funds budgeted and available for the construction of this transportation enhancement project, in accord with 23 U.S.C. § 133(e)(3)(B and as described herein. 2. the Local Agency shall submit the following to the State representative identified in section VII, after execution of this Contract: a) a financial statement for the construction of the project; and b) an invoice for advance payment of 70% of the federal funds budgeted and available for the construction of the project. 3. After receipt of such statement and invoice, the State will issue a warrant to the Local Agency in the amount of the approved advance payment of construction project funds, subject however to the prior performance of the following: A) the satisfactory completion of the design of the project; B) the State approving the -5- Local Agency's construction contract; and C) the State issuing to the Local Agency a Notice To Proceed with the construction of the project. 4. the advanced funds shall be used by the local agency only for the performance of the construction work of the project. Upon receipt of the notice to proceed from the State, the Local Agency shall proceed expeditiously to start the construction work and prosecute it diligently to completion. If for any reason the local agency does not start the construction work within 120 days of receipt of the notice to proceed, or if the Local Agency starts the construction work but discontinues or abandons performance before completion, the Local Agency shall remit to the State all federal funds reimbursed or advanced by the State for the project not later than 30 days after the 120th day, or after the date the Local Agency discontinues/abandons performance, as applicable. 5. When the Project construction work is completed, the Local Agency shall submit to the State all required paperwork for that construction work, together with a final statement of costs for that construction work and a billing for the remaining 30% of the federal funds budgeted and available for the Project construction work. The State shall not reimburse the Local Agency the remaining 30% of the construction work costs until the State has reviewed the billings and has inspected the completed project construction work, subject to the terms and conditions of this contract. B. Except as provided in A. above, the State will reimburse the Local Agency for the federal-aid share of the project design, and other work following the State's review and approval of such charges, subject to the terms and conditions of this contract. The Local Agency will prepare and submit to the State monthly charges for costs incurred relative to the design, and work portions of the project. Provided, however, that charges incurred by the Local Agency prior to the date of FHWA authorization 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 FHWA and/or State Controller approval thereof. -6- C. The State will reimburse the Local Agency's reasonable, allocable, allowable costs of performance of the Work, not exceeding the maximum total amount described in Exhibit C. The applicable principles described in Title 49, Code of Federal Regulations, Part 18 (the "Common Rule"), Subpart C ("Financial Administration"), including 49 C.F.R. 18.22, shall govern the allowability and allocability of costs under this contract. The Local Agency shall comply with all such principles. To be eligible for reimbursement, costs by the Local Agency shall be: 1. in accordance with the provisions of Exhibit C and with the terms and conditions of the contract. 2. necessary for accomplishment of the Work. 3. reasonable in amount for the goods and services provided. 4. actual net cost to the Local Agency(i.e., the price paid minus any refunds, rebates, or other items of value received by the Local Agency that have the effect of reducing the cost actually incurred). 5. incurred for Work performed subsequent to the effective date of this contract. 6. satisfactorily documented. D. The Local Agency shall establish and maintain a proper accounting system in accordance with generally accepted accounting standards (a separate set of accounts, or as a separate and integral part of its current accounting scheme) to assure that project funds are expended and costs accounted for in a manner consistent with this contract and project objectives. 1. All allowable costs charged to the project, including any approved services contributed by the Local Agency or others, shall be supported by properly executed payrolls, time records, invoices, contracts or vouchers evidencing in detail the nature of the charges. 2. Any check or order drawn up by the Local Agency, including any item which is or will be chargeable against the project account shall be drawn up only in accordance with a properly signed voucher then on file in the office of the Local Agency, which will detail the purpose for which said check or order is drawn. All -7- checks, payrolls, invoices, contracts, vouchers, orders or other accounting documents shall be clearly identified, readily accessible, and to the extent feasible, kept separate and apart from all other such documents. E. Upon execution of this contract the State is authorized, in its discretion, to perform any necessary administrative support services pursuant to this contract. These services may be performed prior to and in preparation for any conditions or requirements of this contract, including prior FHWA approval of 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 Exhibit C. At the request of the Local Agency, the State shall also provide other assistance pursuant to this contract as may be agreed in writing. In the event that federal-aid project funds remain available for payment, the Local Agency understands and agrees the costs of any such services and assistance shall be paid to the State from project funds at the applicable rate. However, in the event that such funding is not made available or is withdrawn for this contract, or if the Local Agency terminates this contract prior to project approval or completion for any reason, then all actual incurred costs of such services and assistance provided by the State shall be the sole expense of the Local Agency. F. 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 Agency will remit to the State the amount billed no later than 45 days 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, 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 -8- interest to the State at a rate of one percent per month on the amount of the payment which was not made in a timely manner, until the billing is paid in full. The interest shall accrue for the period from the required payment date to the date on which payment is made. G. The Local Agency will prepare and submit to the State monthly charges for costs incurred relative to the project. The Local Agency's invoices shall include a description of the amounts of services performed, the dates of performance and the amounts and description of reimbursable expenses. The invoices will be prepared in accordance with the State's standard policies, procedures, and standardized billing format attached hereto and made a part hereof as Exhibit E. H. To be considered for payment, billings for payment pursuant to this contract must be received within 60 days after the period for which payment is being requested and final billings on the contract must be received by the State within 60 days after the end of the contract term. 1. Payments pursuant to this contract shall be made as earned, in whole or in part, from available funds, encumbered for the purchase of the described services. The liability of the State, at any time, for such payments shall be limited to the amount remaining of such encumbered funds. 2. In the event this contract is terminated, final payment to the Local Agency may be withheld at the discretion of the State until completion of final audit. 3. Incorrect payments to the Local Agency due to omission, error, fraud, or defalcation shall be recovered from the Local Agency by deduction from subsequent payment under this contract or other contracts between the State and Local Agency, or by the State as a debt due to the State. 4. Any costs incurred by the Local Agency that are not allowable under the Common Rule shall be reimbursed by the Local Agency, or offset against current obligations due by the State to the Local Agency, at the State's election. VII. STATE COMMITMENTS -9- A. The State will provide liaison with the Local Agency through the State's Region Director, Region 4, 1420 2nd Street, Greeley, Colorado 80631, (970)-350-2101. 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 for 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 4 and the Local Agency. Until changed by notice in writing, all routine correspondence shall be addressed as follows: If to State: If to the Local Agency: Wendy Turner Kim Ogle CDOT Region 4 Weld County 1420 Second St. 1555 N. 17th Ave. Greeley, CO 80631 Greeley, CO 80631 (970) 350-2182 (970) 353-6100 EXT. 3540 B. The State will advance/reimburse the Local Agency for the federal-aid share of the project charges, as provided in Exhibit C. 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/Assurance 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 preliminary design, or final design (a.k.a. "construction plans"), or design work sheets, or special provisions and estimates (collectively referred to as "the Plans"), the party that is responsible under Section IV (either the Local Agency or the State) for the Plans\design shall comply with the following requirements, as applicable: 1. perform or provide the Plans, to the extent required by the nature of the Work. -10- 2. prepare final design ("construction plans") in accord with the requirements of the latest edition of the American Association of State Highway Transportation Officials (AASHTO) manual. 3. prepare special provisions and estimates in accord with the State's Roadway and Bridge Design Manuals and Standard Specifications for Road and Bridge Construction. 4. include details of any required detours in the Plans, in order to prevent any interference of the construction work and to protect the traveling public. 5. stamp the Plans produced by a Colorado Registered Professional Engineer. 6. provide final assembly of the Plans and contract documents. 7. be responsible for the Plans being accurate and complete. 8. Make no further changes in the Plans following the award of the construction contract except by agreement in writing between the parties. The Plans shall be considered final when approved and accepted by the parties hereto, and when final they shall be deemed incorporated herein. II. If the Local Agency is the responsible party: 1. It shall afford the State ample opportunity to review the Plans and make any changes in the Plans as directed by the State to comply with FHWA requirements. 2. It may enter into a contract with a consultant to do all or any portion of the Plans and/or of construction administration. Provided, however, that if federal-aid funds are to participate in the cost of such work to be done by a consultant, the Local Agency 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, including those described in Attachment #1, which is incorporated herein by this reference. Those requirements and procedures include, without limitation: -11- a) it shall (or its contractor shall) submit any consultant subcontract to CDOT for approval prior to its execution by the Local Agency/Contractor, as required by § 172.5 (d); b) it shall ensure that all changes in the consultant contract shall be by written supplemental agreement and must have prior approval of the State and FHWA. 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) it shall require that 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 as Exhibit E; d) it shall (or its contractor shall) also use the CDOT procedures as described in Attachment#1 to administer that design consultant subcontract, to comply with § 172.5(b) and (d); e) it may expedite any CDOT approval of its procurement process and/or of its consultant contract by submitting a letter to CDOT from the Local Agency's attorney and/or authorized representative certifying compliance with those CDOT Attachment#1 procedures and with the requirements of§ 172.5(b) and (d). f) it shall ensure that its consultant contract complies with the requirements of 49 CFR 18.36 (i) and contains the required provisions as well as the following language which shall be included verbatim: 1) "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." 2) "Upon advertisement of the project work for construction, the consultant shall make available services as requested by the State to assist -12- the State in the evaluation of construction and the resolution of construction problems that may arise during the construction of the project." 3) "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 that is responsible under Section for the construction/construction administration IV (either the Local Agency or the State) shall perform the construction in accordance with the approved design plans and/or administer the construction all in accord with the project's Pre-construction and Construction Contract Administration Checklists. 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 FHWA/State stewardship program, all as more fully described in the project's Pre-construction and Contract Administration Checklists. II. If the Local Agency is the responsible party, it shall: 1. 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 charge of the construction of the project (as provided in § 12-25-102 C.R.S. as -13- amended), notwithstanding any exception described in § 12-25-103, C.R.S., as amended. 2. if bids are to be let for the construction of the project, the Local Agency shall in conjunction with the State advertise the call for bids and upon concurrence by the State 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, the Local Agency 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 physically incorporate the entire "Form 1273" (which, if relevant 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 Agency 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 concurrence in such award at the award conference, the Local Agency acting by or through its duly authorized representatives, agrees to provide additional funds, subject to their availability and appropriation for that purpose, if required to complete the Work under this project if no additional federal-aid funds will be made available for the project.) 3. if all or part of the construction work is to be accomplished by Local Agency personnel (i.e., by "force account"), rather than by a contractor pursuant to a contract with the Local Agency, the Local Agency will ensure 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 -14- prices agreed to between the Local Agency, the State and the FHWA in advance of the Work, as provided for in § 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 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 § 109.04 of the State's "Standard Specifications for Road and Bridge Construction". d) All force account work shall have prior approval of the State and/or FHWA and shall not be initiated until the State has issued a written notice to proceed. C. ROW ACOUISITION/RELOCATION. 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 with 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 -15- improvements and not proceed with that part of the work without compliance. The Local Agency shall also establish contact with the railroad company involved for the purpose of complying with applicable provisions of 23 Code of Federal Regulations 646, Subpart B, concerning federal-aid projects involving railroad facilities, including: 1. Executing an agreement setting out what work is to be accomplished and the location(s) thereof, and that the costs of the improvement shall be eligible for federal participation. 2. Obtaining the railroad's detailed estimate of the cost of the Work. 3. Establishing future maintenance responsibilities for the proposed installation. 4. 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. The Local Agency shall perform all work in accord with the requirements of current federal and state environmental regulation, including the National Environmental Policy Act of 1969 (NEPA) as applicable. 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 if requested. H. 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 -16- 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 FHWA will make periodic inspections of the project to verify that such improvements are being adequately maintained. 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 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 REOUIREMENTS The Local Agency will comply with the requirements of Appendix B and the Construction Contract Administration Checklist regarding DBE requirements for the work, except if the Local Agency 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 its program for this contract, the Local Agency shall be solely responsible to defend that DBE Program and its use of that Program against all legal and other challenges or complaints, at its sole cost and expense. Such responsibility includes, without limitation, determinations concerning DBE eligibility and certification, adequate legal and factual bases for DBE goals, and good faith efforts. CDOT approval (if any) of the Local Agency's DBE Program does not waive or modify the sole responsibility of the Local Agency for its use as described above. -17- K. LOCAL AGENCY FUNDS The Local Agency shall provide its match share and indirect cost funds for the work as outlined in Exhibit C. IX. GENERAL PROVISIONS A. Notwithstanding any consents or approvals given by the State for the Plans, the State will not be liable or responsible in any manner for the structural design, details or construction of any major structures that are designed 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: 1. 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. -18- Notwithstanding above, the Local Agency shall not be relieved of liability to the State for any damages sustained by the State by virtue of any breach of the contract by the Local Agency. It shall be grounds for the State to terminate this contract for cause, if after a period of two (2) years from the date of this contract, the Local Agency fails to substantially prosecute the work outlined in the contract. 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. 2. 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. 3. Termination Due to Loss of Funding. The parties hereto expressly recognize that the Local Agency is to be paid, reimbursed, or otherwise compensated with federal and/or State funds which are available to the State for the purposes of contracting for the project provided for herein, and therefore, the Local Agency expressly understands and agrees that all its rights, demands and claims to compensation arising under this contract are contingent upon availability of such funds to the State. In the event that such funds or any part thereof are not available to the State, the State may immediately terminate or amend this contract. 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. -19- 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 have any force or effect whatsoever, unless embodied herein by writing. No subsequent novation, renewal, addition, deletion, or other amendment hereto shall have any force or effect unless embodied in a 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. 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 with 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. 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 -20- above and shall continue through the completion and final acceptance of this project by the State,FHWA and Local Agency. K. Attachment LO (Certification for Federal-Aid Contracts), and Appendix B (DBE requirements) and Addendum B, Contract Modification Tools 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 attachments hereto, the priority to be used to resolve such a conflict shall be as follows: 1. This contract proper; and 2. The attachments enumerated in Section IX, paragraph K, above 3. Other contract exhibits and attachments, in descending order of their attachment. M. It is expressly understood and agreed that the enforcement of the terms and conditions 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 deemed to be an incidental beneficiary only. N. The Local Agency assures and guarantees that it possesses the legal authority to enter 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 undersigned signatory to execute this contract and to bind the Local Agency to its terms. The person(s) executing this contract on behalf of the Local Agency warrants that they have full authorization to execute this contract. -21- O. SPECIAL PROVISIONS (For Use Only with Inter-Governmental Contracts) 1. CONTROLLER'S APPROVAL. CRS 24-30-202 (1) This contract shall not be deemed valid until it has been approved by the Controller of the State of Colorado or such assistant as he may designate. 2. FUND AVAILABILITY. CRS 24-30-202 (5.5) 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. 3. INDEMNIFICATION. Indemnity: The contractor shall indemnify, save, and hold harmless the State 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. No term or condition of this contract shall be construed or interpreted as a waiver, express or implied, of any of the immunities, rights, benefits, protection, or other provisions for the parties, of the Colorado Governmental Immunity Act, CRS 24-10-101 et seq. or the Federal Tort Claims Act, 28 U.S.C. 2671 et seq. as applicable, as now or hereafter amended. 4. INDEPENDENT CONTRACTOR. 4 CCR 801-2 THE CONTRACTOR SHALL PERFORM ITS DUTIES HEREUNDER AS AN INDEPENDENT CONTRACTOR AND NOT AS AN EMPLOYEE. NEITHER THE CONTRACTOR NOR ANY AGENT OR EMPLOYEE OF THE CONTRACTOR SHALL BE OR SHALL BE DEEMED TO BE AN AGENT OR EMPLOYEE OF THE STATE. CONTRACTOR SHALL PAY WHEN DUE ALL REQUIRED EMPLOYMENT TAXES AND INCOME TAX AND LOCAL HEAD TAX ON ANY MONIES PAID BY THE STATE PURSUANT TO THIS CONTRACT. CONTRACTOR ACKNOWLEDGES THAT THE CONTRACTOR AND ITS EMPLOYEES ARE NOT ENTITLED TO UNEMPLOYMENT INSURANCE BENEFITS UNLESS THE CONTRACTOR OR THIRD PARTY PROVIDES SUCH COVERAGE AND THAT THE STATE DOES NOT PAY FOR OR OTHERWISE PROVIDE SUCH COVERAGE. CONTRACTOR SHALL HAVE NO AUTHORIZATION, EXPRESS OR IMPLIED,TO BIND THE STATE TO ANY AGREEMENTS, LIABILITY, OR UNDERSTANDING EXCEPT AS EXPRESSLY SET FORTH HEREIN. CONTRACTOR SHALL PROVIDE AND KEEP IN FORCE WORKERS' COMPENSATION(AND PROVIDE PROOF OF SUCH INSURANCE WHEN REQUESTED BY THE STATE) AND UNEMPLOYMENT COMPENSATION INSURANCE IN THE AMOUNTS REQUIRED BY LAW, AND SHALL BE SOLELY RESPONSIBLE FOR THE ACTS OF THE CONTRACTOR, ITS EMPLOYEES AND AGENTS. -22- 5. NON-DISCRIMINATION. The contractor agrees to comply with the letter and the spirit of all applicable state and federal laws respecting discrimination and unfair employment practices. 6. CHOICE OF LAW. The laws of the State of Colorado and rules and regulations issued pursuant thereto shall be applied in the interpretation, execution, and enforcement of this contract. Any provision of this contract, whether or not incorporated herein by reference, which provides for arbitration by any extra-judicial body or person or which is otherwise in conflict with said laws, rules, and regulations shall be considered null and void. Nothing contained in any provision incorporated herein by reference which purports to negate this or any other special provision in whole or in part shall be valid or enforceable or available in any action at law whether by way of complaint, defense, or otherwise. Any provision rendered null and void by the operation of this provision will not invalidate the remainder of this contract to the extent that the contract is capable of execution. At all times during the performance of this contract, the Contractor shall strictly adhere to all applicable federal and state laws, rules, and regulations that have been or may hereafter be established. 7. EMPLOYEE FINANCIAL INTEREST. CRS 24-18-201 & CRS 24-50-507 The signatories aver that to their knowledge, no employee of the State of Colorado has any personal or beneficial interest whatsoever in the service or property described herein. Revised: 12/1/01 -23- THE PARTIES HERETO HAVE EXECUTED THIS CONTRACT CONTRACTOR: STATE OF COLORADO: BILL OWENS Weld County Board of Commissioners GOVERNOR WELD COUNTY LEGAL NAME OF CONTRACTING ENTITY FOR EXECU VE DIRECTOR DEPARTMENT OF TRANSPORTATION 846000813 FEIN# LEGAL REVIEW: SI TURE OF AUT IZED OFFICER KEN SALAZAR ATTORNEY GENERAL BY1�\�' a)\\ David E. Long. Chair Pro-Tam V PRINT NAME& II_ILE OF AUTHORIZED OFFICER v (09/09/2002) It �� /��" Clerk to the Bbar IS6 ATTEST(SEAL)BY an ,„, k" e Board (COUNTY CLERK) yp p PTA ALL CONTRACTS MUST BE APPR E STATE CONTROLLER CRS 24-30-202 REQUIRES THAT THE STATE CONTROLLER APPROVE ALL STATE CONTRACTS. THIS AS HE MAY C ELEGATE, HAS T IGNEDUIT.IDTHE CONTRACTOR IS THE STATE L NOTER, AUTHORIZED R SUCH ASSISTANT VALID AUTHORIZED TO BEGIN PERFORMANCE UNTIL THE CONTRACT IS SIGNED AND DATED BELOW. IF PERFORMNCE BEGINS PRIOR TO THE DATE BELOW,THE STATE OF COLORADO MAY NOT BE OBLIGATED TO PAY FOR THE GOODS AND/OR SERVICES PROVIDED. STATE CONTROLLER ART R L BARRNNH j''' BY ,fitE4 DATE Or • )0De REVISED: 12/1/01 CERTIFIED A ROPY t 441 1 20A3 CFI t -24- t_ CFI F CLERKK u1aJC io Deportment of Transportation Colorado Department of Transportation Origin Date: Project code: 14101 I STIP number:UF5628 DESIGN DATA Revise Date: Project number:STE C030-028 PE Project Code PE Project Number ❑Metric U English Revision#: Page 1 Region: 04 I Status: • preliminary O final O revised Project description:St.Vrain River Trail Prepared by: Revised by: Wendy Turner Countyl: Weld ICounty2: ICounty3: Date: 07/15/2002 Date: Municipality: Submitted by Proj.Mgr Approved by Preconstruction Engineer: System code: O IM O NHS • SSTP O OTHER +t�W, ".:':if iA! Oversight: 0 CDOT O FHWA O OTHER Date: Planned length: Geographic location: Weld Co. Terrain type: O Level O Plains • Rolling O Urban O Mountainous Description of proposed construction/Improvement(attach map showing site location) Bike/ped trail 9Traffic (Note: use columns A, B,and/or C to identify facility described below) Current year: Future year: Facility location Facility ADT DHV DHV%trucks ADT DHV Industrial Commercial Residential Other A I I I ❑ ❑ ❑ ❑ B I I I I I I ❑ 1 ❑ I ❑ 1 ❑ C I I I I I ' I ❑ I ❑ I ❑ I ❑ ©RdwyClass Route Refpt Endrefpt Functional classification Facility type Rural code 1. 999 _ Local Not Roadway 50,000- 199,999 2. 3. 9 Design Standards (Identify substandard items with a checkmark in 1st column and clarify in remarks) A= B= C= Standard Existing Proposed Ultimate Standard Existing Proposed Ultimate Standard Existing Proposed Ultimate ❑ Surface type ❑ Typical section type ❑ #of travel lanes ❑ Width of travel lanes ❑ Shoulder wd.lt./median ❑ Shoulder wd rt./outside ❑ Side slope dist. ("z") ❑ Median width ❑ Posted speed ❑ Design speed ❑ Max.superelevation ❑ Min.radius ❑ Min.horizontal ssd ❑ Min.vertical ssd ❑ Max.grade Project under O 1R O 3R O 4R • Other: criteria Existing guardrail meets current standards: O Yes O No Variance in minimum design standards required O Yes • No ❑Safety project Comments: ❑Justification attached ❑Request to be submitted Not all standards ❑Bridge(see item 4) ❑See remarks addressed n Stage construction Resurfacing projects II Recommendations concerning safety aspects attached Fey! 1 i1 A CDOT Form 0463 7/2001 Page 2 • I Project Code: 14101 I Project Number: STE C030-028 I Revise Date: aMajor Structures IS=to stay,R=to be removed,P=proposed new structure Standard Structure Horizontal Vertical Year Structure ID# I I I Length Ref. Point Feature Intersected Width Rdwy I Load Clearance'Clearance Built Proposed treatment of bridges to remain in place(address bridge rail,capacity,and allowable surface thickness) ©Project Characteristics (proposed) Median type:0 depressed Q painted 0 raised • none nLighting n Handicap ramps n Traffic control signals ElStriping nCurb and gutter n Curb only n Left-turn slots n continuous width= nSidewalk width= 7 Bikeway width= n Right-turn slots n continuous width= Parking lane width= n Detours Signing: reconstruction pi permanent Landscape requirements:(description) Other:(description) 6 Right of Way Yes No Est.No. fl Utilities (list names of known utility companies) ROW and/or perm.easement required: 0 • Relocation required: 0 • Temporary easement required: 0 • Changes in access: 0 Changes to connecting roads: 0 • 8 Railroad crossings #of crossings: Agreements Railroad Name required Present protection Condition of x'ings 1 ❑ 2 ❑ 3 ❑ 4 ❑ I Recommendations: 9 Environmental Type: Comments: FR Coordination Withdrawn lands(power sites, reservoirs,etc.)cleared through BLM forest service office irrigation ditch name: ❑New traffic ordinance required I n Modify schedule of existing ordinance Municipality: Weld County Other: Local Agency Project mConstruction method noAdReason:Q Design 0 Local F/A Advertised by: 0 State 0 P.O. 0 RR F/A Entity/Agency contact name: Kim Ogle • Local 0 Study Q Utility F/A Phone number. 970-356-4000 Q None Q CDOT F/A Q Miscellaneous ®Remarks (Include additional pages if needed) Weld County will do the design,ROW,utilities,advertisement and award,and construction administration for the project. Original to:Central files Copies to: Region Files, Region Env.Manager,Staff Design ranch(QA), PMO, ROW,Staff ridge or where appropriate . n To Lave,lanol a 1\ N ' iii lir OF • 'r Fali Illi ...... itg 54uthwest liThttatosto e � et;111 Weld County Office ildin Trail Head State Highway 119 inb.....dinir i r Del Camino IP ../.1, ill e Ill To DenYer STE cow - 0,28 S+. Drain River Trai 1 PRE-CONSTRUCTION ADMINISTRATION CHECKLIST Region: 4 SubAccount# : 14101 Local Agency: Weld County Project# : STE C030-028 LA Project Manager: K1 I'Yl Co Project Description: CDOT Project Manager: Wendy Turner St. Vrain River Trail The following checklist shall be utilized to establish the PRE-CONSTRUCTION ADMINISTRATION CHECKLIST Responsibilities of the individual parties to this agreement. RESPONSIBLE PARTY LOCAL NO. DESCRIPTION OF TASK AGENCY CDOT 1. Transportation Improvement Program (T.I.P.) X 2. Design Data (CDOT 463) X 3. Funding Authorization X- 4. LPA/CDOT Project Agreement X X 5. Utility, Railroad, and Consultant Agreements X 6. Consultant Selection X 7. Field Inspection Review(FIR) X X 8. Public Hearing X 9. Environmental Processes X' 10. Design Approval �( X 11. Final Office Review(FOR) X X 12. Force Account Justification X 13. Proprietary Item Justification 14. Davis-Bacon Wage Rates X 15. Design Exceptions X X 16. Rights-of Way X ,I 17. Plans, Specifications, and Construction Cost Estimates 18. EEO/ DBE Requirements X 19. Advertising Less Than Three Weeks X. 20. LPA Ad and Award X X 21. Construction Administration X Preliminary Checklist Date: 7 , 8 ,o a. `` 11 Final Checklist Date: W Requires FHWA concurrence/ involvement. /CA-NYYL.Q./N_D CONSTRUCTION CONTRACT ADMINISTRATION CHECK LIST Page 1 CDOT Region: 4 Project Code (SA#) : 14101 Local Agency: Weld County Project No. : STE C030-028 CDOT Resident Engineer: Dave Moores Description: St.Vrain River Trail Local Agency Project Manager: N m IJ^Q)IP, CDOT Design or Project Engineer: Wendy Turner The following check list shall be utilized to establish the CONSTRUCTION CONTRACT ADMINISTRATION responsibilities of the individual parties for this project . 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 Local Agency's reimbursement for CDOT'S costs must be established. WHEN A TASK DOES NOT APPLY TO THE PROJECT, NON-APPLICABLE (NA) SHALL BE PLACED UNDER BOTH AGENCIES, AND AN EXPLANATION OF WHY IT IS NOT APPLICABLE SHALL BE INCLUDED. TASKS WHICH WILL BE PERFORMED BY HEADQUARTERS STAFF WILL BE SO INDICATED ON THIS CHECK LIST. THE REGION IN ACCORDANCE WITH ESTABLISHED POLICIES AND PROCEDURES, WHEN APPLICABLE, SHALL DETERMINE WHO WILL PERFORM ALL OTHER TASKS WHICH ARE THE RESPONSIBILITY OF CDOT. THE RESIDENT ENGINEER OR CDOT DESIGNER SHALL IDENTIFY AND NOTIFY THE APPROPRIATE STAKEHOLDERS, AND THOSE ON THE MINIMUM DISTRIBUTION LIST BELOW, OF FIELD INSPECTION REVIEWS (F.I.R. ) AND FINAL OFFICE REVIEWS (F.O.R. ) FOR ALL LOCAL AGENCY PROJECTS. INSTRUCTIONS TO INITIATE THE CHECK LIST AND IF THE CONTRACT ADMINISTRATION RESPONSIBILITIES HAVE CHANGED: A preliminary check list shall be prepared by the CDOT Resident Engineer (RE) with the CDOT Design PM, in cooperation with the LAPM, prior to the F . I .R. and submitted to the Region Program Engineer (RPE) with the F . I .R. notice . If Contract Administration responsibilities are changed after the F. I .R. , the CDOT RE, in cooperation with the LAPM, shall prepare a revised check list and distribute copies . The CDOT RE shall prepare the FINAL check list prior to the F.O.R. and submit copies to all persons receiving the F.O.R. notice. The minimum distribution list is shown below. x PRELIMINARY CHECK LIST - DATE -7 .5 '02 COPY: CDOT RE/PM REVISED CHECK LIST - DATE LA PM/PE CDOT: RPE, Region FINAL CHECK LIST - DATE Materials Engr. , Region EEO Rep. REVISED 10/07/98 CONTRACT ADMINISTRATION CHECK LIST PAGE 2 ** RESPONSIBLE PARTY LOCAL NO. DESCRIPTION OF TASK AGENCY CDOT 1 . Set Disadvantaged Business Enterprise (DBE) . . . . X goals for the project . (CDOT Region EEO Administrative Program Specialist) 2 . Set On Job Training (OJT) goals for the X project . (CDOT Region EEO Administrative Program Specialist when CDOT is responsible. ) 3 . Assure the correct Federal Wage Decisions, . . . . X all required DBE/OJT Special Provisions and the FHWA Form 1273 are included in the Contract documents . (CDOT RE or Designer) his ojec is exe t from avis-Ba on r uir ents dete fined by he fun ional cla sifi tion the oject 1 ation. Note: Proj cts 1 ated loca roads a rural inor colle ors m y be e empt . ) 1Je4i fu_rnfx & - 09-, CDOT RE r Designer Date 4 . Advertise for bids/open bids. (CDOT Construction Contracts Unit, Staff Design Branch, when CDOT is responsible. ) 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 CDOT 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 party shall be attached to the Check List . When CDOT is responsible or co-responsible by option, the method of the Local Agency' s reimbursement for CDOT' s costs must be established by an attached Memorandum of Understanding (MOU) . REVISED 10/07/98 CONTRACT ADMINISTRATION CHECK LIST PAGE 3 ** RESPONSIBLE PARTY LOCAL NO. DESCRIPTION OF TASK AGENCY CDOT 7 . Determine compliance with DBE requirements before the Contract is awarded: a. Check CDOT Form #715 - Certificate of . . . . X Proposed DBE Participation, when the low bidder meets DBE goals . (CDOT Business Programs Office, (303) 757-9234, Room 287, Division of Human Resources and Administration) b. Evaluate CDOT Form #718 - DBE Good Faith . . . X Effort Documentation, and determine if the Contractor has made a good faith effort when the low bidder does not meet DBE goals . (CDOT Business Programs Office) c. Approve/disapprove award of Contract by . . . X completing CDOT Form #719 - DBE Participation Summary. THIS FORM MUST BE COMPLETED BEFORE THE CONTRACT IS AWARDED. (CDOT Business Programs Office) 8 . Approve rejection of low bidder X 9. Award Contract (CDOT Construction Contracts . . . )‹ Unit, Staff Design Branch, when CDOT is responsible. ) 10 . Distribute 4; [number: minimum of six (6) ] . . . . X "award sets" of plans and specifications to CDOT Resident Engineer. (Further distribution will then be made to the Region Program Engineer (APE) , CDOT Staff Construction & Materials (2 sets) , 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 one responsible party should be selected. Refer to page 2 for additional information. REVISED 10/07/98 CONTRACT ADMINISTRATION CHECK LIST PAGE 4 ** RESPONSIBLE PARTY LOCAL NO. DESCRIPTION OF TASK AGENCY CDOT 11 . Issue Notice to Proceed to the Contractor. . . . (CDOT Construction Contracts Unit, Staff Design Branch, when CDOT is responsible. ) 12 . Conferences : a. Preconstruction (Request Preconstruction . . . X _ packet of information from Region EEO Administrative Program Specialist prior to the conference. CDOT Resident Engineer when CDOT is responsible. ) b. Partnering N'A c. Presurvey: (1) Construction staking X (2) Monumentation X d. Structural concrete prepour NIA e. Concrete pavement prepaying f. HBP prepaying X 13. Supervision of construction: a. Professional Engineer (PE) registered X in Colorado, who will be "in responsible charge of construction supervision" . Local Agency PE or CDOT RE/PE Phone number If Consultant, company: 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. REVISED 10/07/98 CONTRACT ADMINISTRATION CHECK LIST PAGE 5 ** RESPONSIBLE PARTY LOCAL NO. DESCRIPTION OF TASK AGENCY CDOT c. Competent, experienced, staff who will . . . X 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 guidance and assistance - CDOT Local Agency Federal Aid Construction Manual, CDOT Construction Manual, CDOT Field Materials Manual, CDOT Survey Manual, CDOT Standard Plans, CDOT Erosion Control Manual, CDOT Davis-Bacon Manual, CDOT EEO/Labor Compliance Manual) ( 1) CDOT Form #205 - Sublet Permit Application: (a) Check CDOT Form #713 - Contractor . . X DBE Subcontract, Supply and Service Contract Statement . Sign Form #205 if Form #713 is complete. (CDOT Region EEO Administrative Program Specialist) (b) Check and sign approval of Form #205 . X after Form #713 has been checked by the Region EEO Administrative Program Specialist . ( 2) Construction inspection including . . . . calculations, measurements, and documentation of interim and final pay quantities . ( 3) Conduct Contractor/Subcontractors . . . . X 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 10/07/98 CONTRACT ADMINISTRATION CHECK LIST PAGE 6 ** RESPONSIBLE PARTY LOCAL NO. DESCRIPTION OF TASK AGENCY CDOT ( 4) Notify CDOT Region EEO Administrative . . Program Specialist and request assistance for all EEO/DBE/OJT/ Davis-Bacon questions or concerns . ( 5) Complete and submit to the CDOT Region . . X EEO Administrative Program Specialist, the required number of CDOT Form #280 - Equal Employment Opportunity and Labor Compliance Verification. ( 6) Monitor DBE participation to ensure . . . -X— compliance with the "Commercially Useful Function" requirements . ( 7) Complete and submit to the CDOT Region . . X EEO Administrative program Specialist, the applicable number CDOT Form #200 - OJT Training Questionnaire, when project utilizes OJTs . ( 8) Check certified payrolls to verify . . . . X Contractor/subcontractors are in compliance with Contract requirements . The checking shall be completed by project personnel trained in payroll checking. (Contact the Region EEO 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 CDOT 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 responsible party should be selected. Refer to page 2 for additional information. REVISED 10/07/98 • CONTRACT ADMINISTRATION CHECK LIST PAGE 7 ** RESPONSIBLE PARTY LOCAL NO. DESCRIPTION OF TASK AGENCY CDOT (10) Materials : (a) CDOT Form #250 - Materials Documentation Record: I) Fill out and distribute CDOT . . X Form #250 before the Contractor commences work. II) Complete Form #250 after work . . X is completed and distribute per instructions in the CDOT Field Materials Manual . (b) Approve changes to typical section . (c) Development, Checking, and Design mix approvals : I) Concrete II) Hot Bituminous Pavement (HBP) . . (d) Acceptance of manufactured products . (e) Inspecting fabrication of structural Oleic steel and prestressed concrete structural components . ,1 (f) Inspecting fabrication of bearing . . IvJA devices . (g) Laboratory Check testing (h) Acceptance testing (i) Independent assurance testing . . . X (The LA shall us AASHTO accredited laboratories . The IAT lab shall not be the same lab as the acceptance lab. The LA shall develop, complete, and distribute the CDOT Form #379 -Project Independent Assurance Sampling Schedule. ) ** NOTE: Only one responsible party should be selected. Refer to page 2 for additional information. • CONTRACT ADMINISTRATION CHECK LIST PAGE 8 ** RESPONSIBLE PARTY LOCAL NO. DESCRIPTION OF TASK AGENCY CDOT (11) Approve sources of materials (12) Approve shop drawings X (13) Perform Traffic Control Inspections . . X X (14) Approve traffic signal equipment NJf} (15) Construction surveying X (16) ROW monumentation X (17) Prepare, approve and sign vouchers . . . A_ for interim and final Contractor pay estimates . (CDOT Resident Engineer and Region Finals Engineer if CDOT is responsible. ) Provide the name (s) and phone number (s) of The person(s) authorized for this task. LA Administrator or LAPE Phone Number (18) Prepare, approve and sign vouchers . . . . for interim and final Utility Company billings for utility relocation work. (19) Prepare and authorize Change Orders: . . . X i .e . CDOT Form #94 - Minor Contract Revision (MCR) and CDOT Form #90 - Contract Modification Order (CMO) (20) Approve Change Orders (MCRs and CMOs) . . . X (21) Approve Federal-Aid funding for MCRs/CMOs . (22) Monitor project financial status and . . . submit monthly in a format acceptable to the Region, such as CDOT Form #65a - Project Financial Status Report . ** NOTE: Only one responsible party should be selected. Refer to page 2 for additional information. REVISED 10/07/98 CONTRACT ADMINISTRATION CHECK LIST PAGE 9 ** RESPONSIBLE PARTY LOCAL NO. DESCRIPTION OF TASK AGENCY CDOT (23) Prepare and submit monthly progress . . . X reports to the Region Finals Engineer: CDOT Form #110a - Status of Active Construction Projects, and CDOT Form #517a - Status of Construction Project Finals . Due by the 1st of each month. (24) Contractor claims/dispute resolution . . . X Local Agency must follow CDOT procedures unless Section 105. 17 of the Standard Specifications is modified by a Project Special Provision. ALL contracts let for bid by the Local Agency shall contain a project special provision removing CDOT from the resolutionyrocess. 14 . Make monthly progress and final payments X to the Contractor for completed work. (CDOT Center for Accounting, Division of Human Resources and Administration when CDOT is responsible. ) 15. Make monthly progress and final payments to . . . . X Utility Companies for completed utility relocation work. (CDOT Center for Accounting, Division of Human Resources and Administration when CDOT is responsible . ) 16. Conduct routine, random, project reviews X 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. Dave rf1oores 470- ,350-<-2LaG, Name of LA or CDOT RE/PE Phone Number ** NOTE: Only one responsible party should be selected. Refer to page 2 for additional information. REVISED 10/07/98 CONTRACT ADMINISTRATION CHECK LIST PAGE 10 ** RESPONSIBLE PARTY LOCAL NO. DESCRIPTION OF TASK AGENCY CDOT 17 . Joint FHWA/CDOT Quality Assurance (QA) Review . . . X Teams will conduct select program reviews in accordance with CDOT' s Stewardship Plan. (CDOT Staff Construction & Materials) 18 . Conduct final project inspection, complete and . . X submit CDOT Form #1212a - Final Acceptance Report . CDOT Resident Engineer with mandatory LA participation. 19 . Final project acceptance, write final project . . . acceptance letter and distribute per procedures in the CDOT 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. Retain original cross sections with final documents . 22 . Check final quantities, final plans and the . . . . X final pay estimate . 23 . Sign final pay estimate sheets and voucher 24 . Check material records X 25 . Submit final materials certification X 26 . Obtain CDOT Form #17 - Contractor DBE Payment . . X Certification, from the Contractor and submit to Region Program/Finals Engineer. 27 . Obtain FHWA Form PR 47 (Statement of Materials . . X and Labor Used . . . ) from the Contractor, check and submit to Region Program/Finals Engineer. (REQUIRED ONLY ON NHS PROJECTS WITH TOTAL FINAL PAYMENT EXCEEDING $1,000,000 . ) 28 . Complete and submit CDOT Form #950 - X Project Closure. 29. Retain project records . (For six years X x from date of project closure. ) ** NOTE : Only one responsible party should be selected. Refer to page 2 for additional information. REVISED 10/07/98 ATTACHMENT#1 THE LOCAL AGENCY SHALL USE THESE PROCEDURES TO IMPLEMENT FEDERAL-AID PROJECT AGREEMENTS WITH PROFESSIONAL CONSULTANT SERVICES Title 23 Code of Federal Regulations(CFR) 172 applies to a federally funded local agency project agreement administered by CDOT that involves professional consultant services. 23 CFR 172 and 23 CFR 172(d)state that, "When federal-aid highway funds participate in the contract a local shall use the same procedures as used by the State to administer contracts ...". Therefore, local agencies must comply with this CFR requirement and the following state procedures when obtaining professional consultant services under a federally funded consultant contract administered by CDOT. CDOT has formulated its procedures in Procedural Directive(P.D.)400.1 and the related operations guidebook titled "Obtaining Professional Consultant Services". This directive and guidebook incorporate requirements from both Federal and State regulations,i.e.,23 CFR 172 and Colorado Revised Statute(C.R.S.)24-30-1401 et seq. Copies of the directive and the guidebook may be obtained upon request from CDOT's Agreements and Consultant Management Unit. [Local agencies should have their own written procedures on file for each method of procurement that addresses the items in 23 CFR 172.5(b)(1-6)]. Because the procedures and laws described in the Procedural Directive and the guidebook are quite lengthy,the subsequent steps serve as a short-hand guide to CDOT procedures that a local agency must follow in obtaining professional consultant services.This guidance follows the format of 23 CFR 172. The steps are: 1. The contracting local agency shall document the need for obtaining professional services. 2. Prior to solicitation for consultant services,the contracting local agency shall develop a detailed scope of work and a list of evaluation factors and their relative importance. The evaluation factors are those identified in C.R.S. 24-30-1403. Also,a detailed cost estimate should be prepared for use during negotiations. 3. The contracting agency must advertise for contracts in conformity with the requirements of C.R.S. 24-30-1405. The public notice period, when such notice is required,is a minimum of 15 days prior to the selection of the three most qualified firms and the advertising should be done in one or more daily newspapers of general circulation. 4. The request for consultant services should include the scope of work,the evaluation factors and their relative importance,the method of payment,and the goal of ten percent(10%)Disadvantaged Business Enterprise(DBE) participation as a minimum for the project. 5. The analysis and selection of the consultants should be done in accordance with C.R.S.24-30-1403. This section of the regulation identifies the criteria to be used in the evaluation of CDOT pre-qualified prime consultants and their team. It also shows which criteria are used to short-list and to make a final selection. The short-list is based on the following evaluation factors: a. Qualifications, b. Approach to the project, c. Ability to 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. Abilities of their personnel, b. Past performance, c. Willingness to meet the time and budget requirement, d. Location, e. Current and projected work load, f Volume of previously awarded contracts,and g. Involvement of minority consultants. Under 24-30-1401,cost shall not be considered as a factor in the evaluation of professional consultant services. REQUIRED BY 23 CFR 633.102 -- 6. Once a consultant is selected,the local agency enters into negotiations with the consultant to obtain a fair and reasonable price for the anticipated work. Pre-negotiation audits are prepared for contracts expected to be greater than$50,000. Federal reimbursement for costs are limited to those costs allowable under the cost principles of 48 CFR 31. Fixed fees(profit)are determined with consideration given to size,complexity,duration,and degree of risk involved in the work. Profit is in the range of six(6)to fifteen(15)percent of the total direct and indirect costs. 7. A qualified local agency employee shall be responsible and in charge of the project to ensure that the work being pursued is complete, accurate,and consistent with the terms,conditions,and specifications of the contract. At the end of project,the local agency prepares a performance evaluation(a CDOT form is available)on the consultant. 8. Each of the steps listed above is to be documented in accordance with the provisions of 49 CFR 18.42, which provide for records to be kept at least three(3)years from the date that the local agency submits its final expenditure report. Records of projects under litigation shall be kept at least three(3)years after the case has been settled. The C.R.S. 24-30-1401 through 24-30-1408,23 CFR Part 172,and P.D.400.1,provide additional details for complying with the eight(8)steps just discussed. REQUIRED BY 23 CFR 633.102 -- FHWA-1273 Electronic version--March 10.1994 FHWA Form 1273 REQUIRED CONTRACT PROVISIONS FEDERAL-AID CONSTRUCTION CONTRACTS I. General 1 a. discriminate against labor from any other State, II. Nondiscrimination 1 possession, or territory of the United States (except for III. Nonsegregated Facilities 3 employment preference for Appalachian contracts, when IV. Payment of Predetermined Minimum Wage 3 applicable,as specified in Attachment A),or V. Statements and Payrolls 6 VI. Record of Materials,Supplies,and Labor 6 b. employ convict labor for any purpose within the limits VII. Subletting or Assigning the Contract 7 of the project unless it is labor performed by convicts who are VIII. Safety: Accident Prevention 7 on parole,supervised release,or probation. IX. False Statements Conceming Highway Projects 7 X. Implementation of Clean Air Act and Federal II. NONDISCRIMINATION Water Pollution Control Act 8 Xl. Certification Regarding Debarment,Suspension, (Applicable to all Federal-aid construction contracts and to Ineligibility,and Voluntary Exclusion 8 all related subcontracts of$10,000 or more.) XII. Certification Regarding Use of Contract Funds for Lobbying 9 1. Equal Employment Opportunity: Equal employment opportunity(EEO)requirements not to discriminate and to take ATTACHMENTS affirmative action to assure equal opportunity as set forth under laws, executive orders, rules, regulations (28 CFR 35, 29 CFR A. Employment Preference for Appalachian 1630 and 41 CFR 60) and orders of the Secretary of Labor as Contracts modified by the provisions prescribed herein, and imposed (included in Appalachian contracts only) pursuant to 23 U.S.C. 140 shall constitute the EEO and specific affirmative action standards for the contractors project I. GENERAL activities under this contract. The Equal Opportunity Construction Contract Specifications set forth under 41 CFR 1. These contract provisions shall apply to all work 60-4.3 and the provisions of the American Disabilities Act of performed on the contract by the contractors own organization 1990(42 U.S.C. 12101 el seq.)set forth under 28 CFR 35 and and with the assistance of workers under the contractors 29 CFR 1630 are incorporated by reference in this contract. In immediate superintendence and to all work performed on the the execution of this contract, the contractor agrees to comply contract by piecework,station work,or by subcontract. with the following minimum specific requirement activities of EEO: 2. Except as otherwise provided for in each section, the contractor shall insert in each subcontract all of the stipulations a. The contractor will work with the State highway contained in these Required Contract Provisions, and further agency (SHA) and the Federal Government in carrying out require their inclusion in any lower tier subcontract or purchase EEO obligations and in their review of his/her activities under order that may in tum be made. The Required Contract Provi- the contract. sions shall not be incorporated by reference in any case. The prime contractor shall be responsible for compliance by any b. The contractor will accept as his operating policy the subcontractor or lower tier subcontractor with these Required following statement: Contract Provisions. 'It is the policy of this Company to assure that applicants 3. A breach of any of the stipulations contained in these are employed, and that employees are treated during Required Contract Provisions shall be sufficient grounds for employment, without regard to their race, religion, sex, termination of the contract. color, national origin, age or disability. Such action shall include: employment, upgrading, demotion, or transfer; 4. A breach of the following clauses of the Required recruitment or recruitment advertising; layoff or Contract Provisions may also be grounds for debarment as termination; rates of pay or other forms of compensation; provided in 29 CFR 5.12: and selection for training, including apprenticeship, preapprenticeship,and/or on-the-job training.' Section I,paragraph 2; Section IV,paragraphs 1,2,3,4,and 7; 2. EEO Officer: The contractor will designate and make Section V,paragraphs 1 and 2a through 2g. known to the SHA contracting officers an EEO Officer who will have the responsibility for and must be capable of effectively 5. Disputes arising out of the labor standards provisions of administering and promoting an active contractor program of Section IV (except paragraph 5) and Section V of these EEO and who must be assigned adequate authority and Required Contract Provisions shall not be subject to the responsibility to do so. general disputes clause of this contract. Such disputes shall be resolved in accordance with the procedures of the U.S. 3. Dissemination of Policy: All members of the Department of Labor(DOL)as set forth in 29 CFR 5,6,and 7. contractor's staff who are authorized to hire, supervise, Disputes within the meaning of this clause include disputes promote, and discharge employees, or who recommend such between the contractor (or any of its subcontractors) and the action, or who are substantially involved in such action, will be contracting agency, the DOL,or the contractors employees or made fully cognizant of, and will implement, the contractors their representatives. EEO policy and contractual responsibilities to provide EEO in each grade and classification of employment. To ensure that 6. Selection of Labor: During the performance of this con- the above agreement will be met, the following actions will be tract,the contractor shall not: taken as a minimum: REQUIRED BY 23 CFR 633.102 -- • a. Periodic meetings of supervisory and personnel office employees will be conducted before the start of work and then c. The contractor will periodically review selected not less often than once every six months, at which time the personnel actions in depth to determine whether there is contractor's EEO policy and its Implementation will be evidence of discrimination. Where evidence is found, the reviewed and explained. The meetings will be conducted by contractor will promptly take corrective action. If the review the EEO Officer. indicates that the discrimination may extend beyond the actions reviewed, such corrective action shall include all b. All new supervisory or personnel office employees will affected persons. be given a thorough indoctrination by the EEO Officer, covering all major aspects of the contractor's EEO obligations d. The contractor will promptly investigate all complaints of within thirty days following their reporting for duty with the alleged discrimination made to the contractor in connection contractor. with his obligations under this contract, will attempt to resolve such complaints, and will take appropriate corrective action c. All personnel who are engaged in direct recruitment within a. reasonable time. If the investigation indicates that the for the project will be instructed by the EEO Officer in the discrimination may affect persons other than the complainant, contractors procedures for locating and hiring minority group such corrective action shall include such other persons. Upon employees. completion of each investigation, the contractor will inform every complainant of all of his avenues of appeal. d. Notices and posters setting forth the contractor's EEO policy will be placed in areas readily accessible to employees, 6. Training and Promotion: applicants for employment and potential employees. a. The contractor will assist in locating, qualifying, and e. The contractors EEO policy and the procedures to increasing the skills of minority group and women employees, implement such policy will be brought to the attention of and applicants for employment. employees by means of meetings, employee handbooks, or other appropriate means. b. Consistent with the contractors work force requirements and as permissible under Federal and State 4. Recruitment: When advertising for employees, the regulations, the contractor shall make full use of training contractor will include in all advertisements for employees the programs, i.e., apprenticeship, and on-the-job training notation: "An Equal Opportunity Employer.' All such programs for the geographical area of contract performance. advertisements will be placed in publications having a large Where feasible, 25 percent of apprentices or trainees in each circulation among minority groups in the area from which the occupation shall be in their first year of apprenticeship or project work force would normally be derived. training. In the event a special provision for training is provided under this contract, this subparagraph will be superseded as a. The contractor will, unless precluded by a valid indicated in the special provision. bargaining agreement, conduct systematic and direct recruitment through public and private employee referral c. The contractor will advise employees and applicants sources likely to yield qualified minority group applicants. To for employment of available training programs and entrance meet this requirement, the contractor will identify sources of requirements for each. potential minority group employees, and establish with such Identified sources procedures whereby minority group d. The contractor will periodically review the training and applicants may be referred to the contractor for employment promotion potential of minority group and women employees consideration. and will encourage eligible employees to apply for such training and promotion. b. In the event the contractor has a valid bargaining agreement providing for exclusive hiring hall referrals, he is 7. Unions: If the contractor relies in whole or in part upon expected to observe the provisions of that agreement to the unions as a source of employees, the contractor will use extent that the system permits the contractor's compliance with his/her best efforts to obtain the cooperation of such unions to EEO contract provisions. (The DOL has held that where increase opportunities for minority groups and women within implementation of such agreements have the effect of the unions, and to effect referrals by such unions of minority discriminating against minorities or women, or obligates the and female employees. Actions by the contractor either contractor to do the same, such implementation violates directly or through a contractor's association acting as agent Executive Order 11246,as amended.) will include the procedures set forth below: c. The contractor will encourage his present employees a. The contractor will use best efforts to develop, in to refer minority group applicants for employment. Information cooperation with the unions, joint training programs aimed and procedures with regard to referring minority group toward qualifying more minority group members and women applicants will be discussed with employees. for membership in the unions and increasing the skills of minority group employees and women so that they may qualify 5. Personnel Actions: Wages, working conditions, and for higher paying employment. employee benefits shall be established and administered, and personnel actions of every type, including hiring, upgrading, b. The contractor will use best efforts to incorporate an promotion, transfer, demotion, layoff, and termination, shall be EEO clause into each union agreement to the end that such taken without regard to race, color, religion, sex, national union will be contractually bound to refer applicants without origin, age or disability. The following procedures shall be regard to their race, color, religion, sex, national origin, age or followed: disability. a. The contractor will conduct periodic inspections of c. The contractor is to obtain information as to the project sites to insure that working conditions and employee referral practices and policies of the labor union except that to facilities do not indicate discriminatory treatment of project site the extent such information is within the exclusive possession personnel. of the labor union and such labor union refuses to fumish such information to the contractor, the contractor shall so certify to b. The contractor will periodically evaluate the spread of the SI-IA and shall set forth what efforts have been made to wages paid within each classification to determine any obtain such information. evidence of discriminatory wage practices. REQUIRED BY 23 CFR 633.102 -- • d. In the event the union is unable to provide the contractor with a reasonable flow of minority and women (Applicable to all Federal-aid construction contracts and to referrals within the time limit set forth in the collective all related subcontracts of$10,000 or more.) bargaining agreement,the contractor will,through independent recruitment efforts, fill the employment vacancies without a. By submission of this bid, the execution of this regard to race, color, religion, sex, national origin, age or contract or subcontract, or the consummation of this material disability; making full efforts to obtain qualified and/or supply agreement or purchase order, as appropriate, the qualifiable minority group persons and women. (The DOL has bidder, Federal-aid construction contractor, subcontractor, held that it shall be no excuse that the union with which the material supplier, or vendor, as appropriate, certifies that the contractor has a collective bargaining agreement providing for firm does not maintain or provide for its employees any exclusive referral failed to refer minority employees.) In the segregated facilities at any of its establishments, and that the event the union referral practice prevents the contractor from firm does not permit its employees to perform their services at meeting the obligations pursuant to Executive Order 11246,as any location, under its control, where segregated facilities are amended, and these special provisions, such contractor shall maintained. The firm agrees that a breach of this certification immediately notify the SHA. is a violation of the EEO provisions of this contract. The firm further certifies that no employee will be denied access to 8. Selection of Subcontractors, Procurement of adequate facilities on the basis of sex or disability. Materials and Leasing of Equipment: The contractor shall not discriminate on the grounds of race, color, religion, sex, b. As used in this certification, the term 'segregated national origin,age or disability in the selection and retention of facilities'means any waiting rooms,work areas,restrooms and subcontractors, including procurement of materials and leases washrooms, restaurants and other eating areas, timeclocks, of equipment. locker rooms, and other storage or dressing areas, parking lots, drinking fountains, recreation or entertainment areas, a. The contractor shall notify all potential subcontractors transportation, and housing facilities provided for employees and suppliers of his/her EEO obligations under this contract. which are segregated by explicit directive, or are, in fact, segregated on the basis of race, color, religion, national origin, b. Disadvantaged business enterprises (DBE), as age or disability, because of habit, local custom, or otherwise. defined in 49 CFR 23,shall have equal opportunity to compete The only exception will be for the disabled when the demands for and perform subcontracts which the contractor enters into for accessibility override(e.g.disabled parking). pursuant to this contract. The contractor will use his best efforts to solicit bids from and to utilize DBE subcontractors or c. The contractor agrees that it has obtained or will obtain subcontractors with meaningful minority group and female identical certification from proposed subcontractors or material representation among their employees. Contractors shall suppliers prior to award of subcontracts or consummation of obtain lists of DBE construction firms from SHA personnel. material supply agreements of$10,000 or more and that it will retain such certifications in its files. c. The contractor will use his best efforts to ensure subcontractor compliance with their EEO obligations. IV. PAYMENT OF PREDETERMINED MINIMUM WAGE 9. Records and Reports: The contractor shall keep such (Applicable to all Federal-aid construction contracts records as necessary to document compliance with the EEO exceeding $2,000 and to all related subcontracts, except for requirements. Such records shall be retained for a period of projects located on roadways classified as local roads or rural three years following completion of the contract work and shall minor collectors,which are exempt.) be available at reasonable times and places for inspection by authorized representatives of the SHA and the FHWA. 1. General: a. The records kept by the contractor shall document a. All mechanics and laborers employed or working the following: upon the site of the work will be paid unconditionally and not less often than once a week and without subsequent deduction (1) The number of minority and non-minority group or rebate on any account [except such payroll deductions as members and women employed in each work classification on are permitted by regulations (29 CFR 3) issued by the the project; Secretary of Labor under the Copeland Act (40 U.S.C. 276c)] the full amounts of wages and bona fide fringe benefits (or (2) The progress and efforts being made in cash equivalents thereof) due at time of payment. The cooperation with unions, when applicable, to increase payment shall be computed at wage rates not less than those employment opportunities for minorities and women; contained in the wage determination of the Secretary of Labor (hereinafter'the wage determination')which is attached hereto (3) The progress and efforts being made in locating, and made a part hereof, regardless of any contractual hiring, training, qualifying, and upgrading minority and female relationship which may be alleged to exist between the employees;and contractor or its subcontractors and such laborers and mechanics. The wage determination (including any additional (4) The progress and efforts being made in securing classifications and wage rates conformed under paragraph 2 of the services of DBE subcontractors or subcontractors with this Section IV and the DOL poster (WH-1321) or Form meaningful minority and female representation among their FHWA-1495)shall be posted at all times by the contractor and employees. its subcontractors at the site of the work in a prominent and accessible place where it can be easily seen by the workers. b. The contractors will submit an annual report to the For the purpose of this Section, contributions made or costs SHA each July for the duration of the project, indicating the reasonably anticipated for bona fide fringe benefits under number of minority, women, and non-minority group Section 1(b)(2) of the Davis-Bacon Act (40 U.S.C. 276a) on employees currently engaged in each work classification behalf of laborers or mechanics are considered wages paid to required by the contract work. This information Is to be such laborers or mechanics, subject to the provisions of reported on Form FHWA-1391. If on-the job training is being Section IV, paragraph 3b, hereof, Also,for the purpose of this required by special provision,the contractor will be required to Section, regular contributions made or costs incurred for more collect and report training data. than a weekly period (but not less often than quarterly) under plans, funds, or programs, which cover the particular weekly III. NONSEGREGATED FACILITIES period, are deemed to be constructively made or incurred REQUIRED BY 23 CFR 633.102 -- • during such weekly period. Such laborers and mechanics shall additional classification from the first day on which work is be paid the appropriate wage rate and fringe benefits on the performed in the classification. wage determination for the classification of work actually performed, without regard to skill, except as provided in 3. Payment of Fringe Benefits: paragraphs 4 and 5 of this Section IV. a. Whenever the minimum wage rate prescribed in the b. Laborers or mechanics performing work in more than contract for a class of laborers or mechanics includes a fringe one classification may be compensated at the rate specified for benefit which is not expressed as an hourly rate,the contractor each classification for the time actually worked therein, or subcontractors, as appropriate, shall either pay the benefit provided, that the employer's payroll records accurately set as stated in the wage determination or shall pay another bona forth the time spent in each classification in which work is fide fringe benefit or an hourly case equivalent thereof. performed. b. If the contractor or subcontractor, as appropriate, c. All rulings and interpretations of the Davis-Bacon Act does not make payments to a trustee or other third person, and related acts contained in 29 CFR 1, 3, and 5 are herein he/she may consider as a part of the wages of any laborer or incorporated by reference in this contract. mechanic the amount of any costs reasonably anticipated in providing bona fide fringe benefits under a plan or program, 2. Classification: provided, that the Secretary of Labor has found, upon the written request of the contractor, that the applicable standards a. The SHA contracting officer shall require that any of the Davis-Bacon Act have been met. The Secretary of class of laborers or mechanics employed under the contract, Labor may require the contractor to set aside in a separate which is not listed in the wage determination, shall be account assets for the meeting of obligations under the plan or classified in conformance with the wage determination. program. b. The contracting officer shall approve an additional 4. Apprentices and Trainees(Programs of the U.S.DOL) classification, wage rate and fringe benefits only when the and Helpers: following criteria have been met: a. Apprentices: (1) the work to be performed by the additional classification requested is not performed by a classification in (1) Apprentices will be permitted to work at less than the wage determination; the predetermined rate for the work they performed when they are employed pursuant to and individually registered in a bona (2) the additional classification is utilized in the area fide apprenticeship program registered with the DOL, Employ- by the construction industry; ment and Training Administration, Bureau of Apprenticeship and Training,or with a State apprenticeship agency recognized (3) the proposed wage rate, including any bona fide by the Bureau, or if a person is employed in his/her first 90 fringe benefits, bears a reasonable relationship to the wage days of probationary employment as an apprentice in such an rates contained in the wage determination;and apprenticeship program, who is not individually registered in the program, but who has been certified by the Bureau of (4) with respect to helpers, when such a Apprenticeship and Training or a State apprenticeship agency classification prevails in the area in which the work is (where appropriate)to be eligible for probationary employment performed. as an apprentice. c. If the contractor or subcontractors,as appropriate,the (2) The allowable ratio of apprentices to laborers and mechanics (if known) to be employed in the journeyman-level employees on the job site in any craft additional classification or their representatives, and the classification shall not be greater than the ratio permitted to the contracting officer agree on the classification and wage rate contractor as to the entire work force under the registered (including the amount designated for fringe benefits where program. Any employee listed on a payroll at an apprentice appropriate), a report of the action taken shall be sent by the wage rate, who is not registered or otherwise employed as contracting officer to the DOL, Administrator of the Wage and stated above, shall be paid not less than the applicable wage Hour Division, Employment Standards Administration, rate listed in the wage determination for the classification of Washington, D.C. 20210. The Wage and Hour Administrator, work actually performed. In addition, any apprentice or an authorized representative, will approve, modify, or performing work on the job site in excess of the ratio permitted disapprove every additional classification action within 30 days under the registered program shall be paid not less than the of receipt and so advise the contracting officer or will notify the applicable wage rate on the wage determination for the work contracting officer within the 30-day period that additional time actually performed. Where a contractor or subcontractor is is necessary. performing construction on a project in a locality other than that in which its program is registered, the ratios and wage rates d. In the event the contractor or subcontractors, as (expressed in percentages of the journeyman-level hourly rate) appropriate, the laborers or mechanics to be employed in the specified in the contractor's or subcontractor's registered additional classification or their representatives, and the program shall be observed. contracting officer do not agree on the proposed classification and wage rate (including the amount designated for fringe (3) Every apprentice must be paid at not less than benefits, where appropriate), the contracting officer shall refer the rate specified in the registered program for the apprentice's the questions, including the views of all interested parties and level of progress, expressed as a percentage of the the recommendation of the contracting officer, to the Wage journeyman-level hourly rate specified in the applicable wage and Hour Administrator for determination. Said Administrator, determination. Apprentices shall be paid fringe benefits in or an authorized representative, will issue a determination accordance with the provisions of the apprenticeship program. within 30 days of receipt and so advise the contracting officer If the apprenticeship program does not specify fringe benefits, or will notify the contracting officer within the 30-day period that apprentices must be paid the full amount of fringe benefits additional time is necessary listed on the wage determination for the applicable classification. If the Administrator for the Wage and Hour e. The wage rate (including fringe benefits where Division determines that a different practice prevails for the appropriate)determined pursuant to paragraph 2c or 2d of this applicable apprentice classification, fringes shall be paid in Section IV shall be paid to all workers performing work in the accordance with that determination. REQUIRED BY 23 CPR 633.102 -- • journeymen shall not be greater than permitted by the tens of (4) In the event the Bureau of Apprenticeship and the particular program. Training, or a State apprenticeship agency recognized by the Bureau, withdraws approval of an apprenticeship program,the 6. Withholding: contractor or subcontractor will no longer be permitted to utilize apprentices at less than the applicable predetermined rate for The SHA shall upon its own action or upon written the comparable work performed by regular employees until an request of an authorized representative of the DOL withhold,or acceptable program is approved. cause to be withheld, from the contractor or subcontractor under this contract or any other Federal contract with the same b. Trainees: prime contractor, or any other Federally-assisted contract subject to Davis-Bacon prevailing wage requirements which is (1) Except as provided in 29 CFR 5.16,trainees will held by the same prime contractor, as much of the accrued not be permitted to work at less than the predetermined rate for payments or advances as may be considered necessary to pay the work performed unless they are employed pursuant to and laborers and mechanics, including apprentices, trainees, and individually registered in a program which has received prior helpers, employed by the contractor or any subcontractor the approval, evidenced by formal certification by the DOL, full amount of wages required by the contract. In the event of Employment and Training Administration. failure to pay any laborer or mechanic, including any apprentice, trainee,or helper,employed or working on the site (2) The ratio of trainees to journeyman-level of the work, all or part of the wages required by the contract, employees on the job site shall not be greater than permitted the SHA contracting officer may, after written notice to the under the plan approved by the Employment and Training contractor,take such action as may be necessary to cause the Administration. Any employee listed on the payroll at a trainee suspension of any further payment, advance, or guarantee of rate who is not registered and participating in a training plan funds until such violations have ceased. approved by the Employment and Training Administration shall be paid not less than the applicable wage rate on the wage 7. Overtime Requirements: determination for the classification of work actually performed. In addition, any trainee performing work on the job site in No contractor or subcontractor contracting for any part excess of the ratio permitted under the registered program of the contract work which may require or involve the employ- shall be paid not less than the applicable wage rate on the ment of laborers, mechanics, watchmen, or guards (including wage determination for the work actually performed. apprentices, trainees, and helpers described in paragraphs 4 and 5 above) shall require or permit any laborer, mechanic, (3) Every trainee must be paid at not less than the watchman, or guard in any workweek in which he/she is rate specified in the approved program for his/her level of employed on such work,to work in excess of 40 hours in such progress, expressed as a percentage of the journeyman-level workweek unless such laborer,mechanic,watchman,or guard hourly rate specified in the applicable wage determination. receives compensation at a rate not less than one-and-one- Trainees shall be paid fringe benefits in accordance with the half times his/her basic rate of pay for all hours worked in provisions of the trainee program. If the trainee program does excess of 40 hours in such workweek. not mention fringe benefits, trainees shall be paid the full amount of fringe benefits listed on the wage determination 8. Violation: unless the Administrator of the Wage and Hour Division determines that there is an apprenticeship program associated Liability for Unpaid Wages; Liquidated Damages: In the with the corresponding journeyman-level wage rate on the event of any violation of the clause set forth in paragraph 7 wage determination which provides for less than full fringe above, the contractor and any subcontractor responsible benefits for apprentices, in which case such trainees shall thereof shall be liable to the affected employee for his/her receive the same fringe benefits as apprentices. unpaid wages. In addition, such contractor and subcontractor shall be liable to the United States (in the case of work done (4) In the event the Employment and Training under contract for the District of Columbia or a territory,to such Administration withdraws approval of a training program, the District or to such territory) for liquidated damages. Such contractor or subcontractor will no longer be permitted to utilize liquidated damages shall be computed with respect to each trainees at less than the applicable predetermined rate for the individual laborer, mechanic, watchman, or guard employed in work performed until an acceptable program is approved. violation of the clause set forth in paragraph 7, in the sum of $10 for each calendar day on which such employee was c. Helpers: required or permitted to work In excess of the standard work week of 40 hours without payment of the overtime wages Helpers will be permitted to work on a project if the required by the clause set forth in paragraph 7. helper classification is specified and defined on the applicable wage determination or is approved pursuant to the 9. Withholding for Unpaid Wages and Liquidated conformance procedure set forth in Section IV.2. Any worker Damages: 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 The SHA shall upon its own action or upon written request of applicable wage rate on the wage determination for the any authorized representative of the DOL withhold,or cause to classification of work actually performed. be withheld, from any monies payable on account of work performed by the contractor or subcontractor under any such 5. Apprentices and Trainees (Programs of the U.S. contract or any other Federal contract with the same prime DOT): contractor, or any other Federally-assisted contract subject to the Contract Work Hours and Safety Standards Act, which is Apprentices and trainees working under apprenticeship held by the same prime contractor, such sums as may be and skill training programs which have been certified by the determined to be necessary to satisfy any liabilities of such Secretary of Transportation as promoting EEO in connection contractor or subcontractor for unpaid wages and liquidated with Federal-aid highway construction programs are not damages as provided in the clause set forth in paragraph 8 subject to the requirements of paragraph 4 of this Section IV. above. The straight time hourly wage rates for apprentices and trainees under such programs will be established by the V. STATEMENTS AND PAYROLLS particular programs. The ratio of apprentices and trainees to REQUIRED BY 23 CFR 633.102 -- (Applicable to all Federal-aid construction contracts during the payroll period has been paid the full weekly wages exceeding $2,000 and to all related subcontracts, except for earned, without rebate, either directly or indirectly, and that no projects located on roadways classified as local roads or rural deductions have been made either directly or indirectly from collectors,which are exempt.) the full wages earned,other than permissible deductions as set forth in the Regulations,29 CFR 3; 1. Compliance with Copeland Regulations(29 CFR 3): (3)that each laborer or mechanic has been paid not The contractor shall comply with the Copeland Regulations less that the applicable wage rate and fringe benefits or cash of the Secretary of Labor which are herein incorporated by equivalent for the classification of worked performed, as reference. specified in the applicable wage determination incorporated into the contract. 2. Payrolls and Payroll Records: e. The weekly submission of a properly executed a. Payrolls and basic records relating thereto shall be certification set forth on the reverse side of Optional Form WH- maintained by the contractor and each subcontractor during 347 shall satisfy the requirement for submission of the the course of the work and preserved for a period of 3 years 'Statement of Compliance' required by paragraph 2d of this from the date of completion of the contract for all laborers, Section V. mechanics, apprentices, trainees, watchmen, helpers, and guards working at the site of the work. f. The falsification of any of the above certifications may subject the contractor to civil or criminal prosecution under 18 b. The payroll records shall contain the name, social U.S.C. 1001 and 31 U.S.C.231. security number, and address of each such employee; his or her correct classification; hourly rates of wages paid(including g. The contractor or subcontractor shall make the rates of contributions or costs anticipated for bona fide fringe records required under paragraph 2b of this Section V benefits or cash equivalent thereof the types described in available for inspection, copying, or transcription by authorized Section 1(b)(2)(B) of the Davis Bacon Act); daily and weekly representatives of the SHA,the FHWA,or the DOL, and shall number of hours worked; deductions made; and actual wages permit such representatives to interview employees during paid. In addition,for Appalachian contracts,the payroll records working hours on the job. If the contractor or subcontractor shall contain a notation indicating whether the employee does, fails to submit the required records or to make them available, or does not, normally reside in the labor area as defined In the SHA, the FHWA, the DOL, or all may, after written notice Attachment A,paragraph 1. Whenever the Secretary of Labor, to the contractor, sponsor, applicant, or owner, take such pursuant to Section IV, paragraph 3b, has found that the actions as may be necessary to cause the suspension of any wages of any laborer or mechanic include the amount of any further payment, advance, or guarantee of funds. costs reasonably anticipated in providing benefits under a plan Furthermore, failure to submit the required records upon or program described in Section 1(b)(2)(B)of the Davis Bacon request or to make such records available may be grounds for Act, the contractor and each subcontractor shall maintain debarment action pursuant to 29 CFR 5.12. records which show that the commitment to provide such benefits is enforceable, that the plan or program is financially VI. RECORD OF MATERIALS,SUPPLIES,AND LABOR responsible, that the plan or program has been communicated in writing to the laborers or mechanics affected, and show the 1. On all Federal-aid contracts on the National Highway cost anticipated or the actual cost incurred in providing System, except those which provide solely for the installation benefits. Contractors or subcontractors employing apprentices of protective devices at railroad grade crossings, those which or trainees under approved programs shall maintain written are constructed on a force account or direct labor basis, evidence of the registration of apprentices and trainees, and highway beautification contracts, and contracts for which the ratios and wage rates prescribed in the applicable programs. total final construction cost for roadway and bridge is less than $1,000,000(23 CFR 635)the contractor shall: c. Each contractor and subcontractor shall furnish,each week in which any contract work is performed, to the SHA a. Become familiar with the list of specific materials and resident engineer a payroll of wages paid each of its supplies contained in Form FHWA-47, 'Statement of Materials employees (including apprentices, trainees, and helpers, and Labor Used by Contractor of Highway Construction described in Section IV, paragraphs 4 and 5, and watchmen Involving Federal Funds,' prior to the commencement of work and guards engaged on work during the preceding weekly under this contract. payroll period). The payroll submitted shall set out accurately and completely all of the information required to be maintained b. Maintain a record of the total cost of all materials and under paragraph 2b of this Section V. This information may be supplies purchased for and incorporated in the work, and also submitted in any form desired. Optional Form WH-347 is of the quantities of those specific materials and supplies listed available for this purpose and may be purchased from the on Form FHWA-47,and in the units shown on Form FHWA-47. Superintendent of Documents(Federal stock number 029-005- 0014-1), U.S. Govemment Printing Office, Washington, D.C. c. Furnish, upon the completion of the contract, to the 20402. The prime contractor is responsible for the submission SHA resident engineer on Form FHWA-47 together with the of copies of payrolls by all subcontractors. data required in paragraph lb relative to materials and supplies, a final labor summary of all contract work indicating d. Each payroll submitted shall be accompanied by a the total hours worked and the total amount earned. 'Statement of Compliance,' signed by the contractor or subcontractor or his/her agent who pays or supervises the 2. At the prime contractors option, either a single report payment of the persons employed under the contract and shall covering all contract work or separate reports for the contractor certify the following: and for each subcontract shall be submitted. (1)that the payroll for the payroll period contains the VII. SUBLETTING OR ASSIGNING THE CONTRACT Information required to be maintained under paragraph 2b of this Section V and that such information is correct and 1. The contractor shall perform with its own organization complete; contract work amounting to not less than 30 percent (or a greater percentage if specified elsewhere in the contract)of the (2) that such laborer or mechanic (including each total original contract price, excluding any specialty items helper, apprentice, and trainee) employed on the contract designated by the State. Specialty items may be performed by REQUIRED BY 23 CFR 633.102 -- • subcontract and the amount of any such specialty items per- of the Contract Work Hours and Safety Standards Act (40 formed may be deducted from the total original contract price U.S.C.333). before computing the amount of work required to be performed by the contractors own organization(23 CFR 635). IX. FALSE STATEMENTS CONCERNING HIGHWAY PROJECTS a. 'Its own organization' shall be construed to include only workers employed and paid directly by the prime In order to assure high quality and durable construction in contractor and equipment owned or rented by the prime conformity with approved plans and specifications and a high contractor, with or without operators. Such term does not degree of reliability on statements and representations made include employees or equipment of a subcontractor, assignee, by engineers, contractors, suppliers, and workers on Federal- or agent of the prime contractor. aid highway projects, it is essential that all persons concerned with the project perform their functions as carefully,thoroughly, b. 'Specialty Items" shall be construed to be limited to and honestly as possible. Willful falsification, distortion, or work that requires highly specialized knowledge, abilities, or misrepresentation with respect to any facts related to the equipment not ordinarily available in the type of contracting project is a violation of Federal law. To prevent any organizations qualified and expected to bid on the contract as misunderstanding regarding the seriousness of these and a whole and in general are to be limited to minor components similar acts, the following notice shall be posted on each of the overall contract. Federal-aid highway project (23 CFR 635) in one or more places where it is readily available to all persons concerned 2. The contract amount upon which the requirements set with the project: forth in paragraph 1 of Section VII is computed includes the cost of material and manufactured products which are to be NOTICE TO ALL PERSONNEL ENGAGED ON FEDERAL- purchased or produced by the contractor under the contract AID HIGHWAY PROJECTS provisions. 18 U.S.C. 1020 reads as follows: 3. The contractor shall fumish (a) a competent superintendent or supervisor who is employed by the firm, has 'Whoever, being an officer, agent, or employee of the United full authority to direct performance of the work in accordance States, or of any State or Territory, or whoever, whether a with the contract requirements, and is in charge of all person, association, firm, or corporation, knowingly makes any construction operations (regardless of who performs the work) false statement, false representation, or false report as to the and (b) such other of its own organizational resources character, quality, quantity, or cost of the material used or to (supervision, management, and engineering services) as the be used, or the quantity or quality of the work performed or to SHA contracting officer determines is necessary to assure the be performed, or the cost thereof in connection with the performance of the contract. submission of plans, maps, specifications, contracts, or costs of construction on any highway or related project submitted for 4. No portion of the contract shall be sublet, assigned or approval to the Secretary of Transportation;or otherwise disposed of except with the written consent of the SHA contracting officer,or authorized representative,and such Whoever knowingly makes any false statement, false consent when given shall not be construed to relieve the representation, false report or false claim with respect to the contractor of any responsibility for the fulfillment of the character,quality,quantity, or cost of any work performed or to contract. Written consent will be given only after the SHA has be performed, or materials furnished or to be furnished, in assured that each subcontract is evidenced in writing and that connection with the construction of any highway or related it contains all pertinent provisions and requirements of the project approved by the Secretary of Transportation;or prime contract. VIII. SAFETY:ACCIDENT PREVENTION Whoever knowingly makes any false statement or false representation as to material fact in any statement, certificate, or report submitted pursuant to provisions of the Federal-aid 1. In the performance of this contract the contractor shall Roads comply with all applicable Federal, State, and local laws and supplementedt ; goveming July 1, 1916, (39 Stat. 355),as amended goveming safety, health, and sanitation (23 CFR 635). The and supplemented; contractor shall provide all safeguards, safety devices and Shall be fined not more that$10,000 or imprisoned not more protective equipment and take any other needed actions as it than 5 years or both.' determines, or as the SHA contracting officer may determine, to be reasonably necessary to protect the life and health of X. IMPLEMENTATION OF CLEAN AIR ACT AND FEDERAL employees on the job and the safety of the public and to WATER POLLUTION CONTROL ACT protect property in connection with the performance of the work covered by the contract. (Applicable to all Federal-aid construction contracts and to all 2. It is a condition of this contract, and shall be made a related subcontracts of$100,000 or more.) condition of each subcontract,which the contractor enters into By submission of this bid or the execution of this contract, or pursuant to this contract, that the contractor and any subcontract, as appropriate, the bidder, Federal-aid subcontractor shall not permit any employee, in performance construction contractor, or subcontractor, as appropriate, will of the contract, to work in surroundings or under conditions be deemed to have stipulated as follows: which are unsanitary,hazardous or dangerous to his/her health or safety, as determined under construction safety and health 1. That any facility that is or will be utilized in the performance standards (29 CFR 1926) promulgated by the Secretary of of this contract, unless such contract is exempt under the Labor, in accordance with Section 107 of the Contract Work Clean Air Act, as amended (42 U.S.C. 1857 Qt sag., as Hours and Safety Standards Act(40 U.S.C.333). amended by Pub.L. 91-604), and under the Federal Water 3. Pursuant to 29 CFR 1926.3, it is a condition of this Pollution Control Act,as amended (33 U.S.C. 1251 et sec.,as amended by Pub.L. 92-500), Executive contract that the Secretary of Labor or authorized Order 11738, and representative thereof, shall have right of entry to any site of regulations in implementation thereof(40 CFR 15)is not listed, contract performance to inspect or investigate the matter of on the date of contract award, on the U.S. Environmental compliance with the construction safety and health standards Protection Agency(EPA) List of Violating Facilities pursuant to and to carry out the duties of the Secretary under Section 107 40 CFR 15.20. REQUIRED BY 23 CFR 633.102 -- • 2: That the firm agrees to comply and remain in compliance g. The prospective primary participant further agrees by with all the requirements of Section 114 of the Clean Air Act submitting this proposal that it will include the clause titled and Section 308 of the Federal Water Pollution Control Act and 'Certification Regarding Debarment, Suspension, Ineligibility all regulations and guidelines listed thereunder. and Voluntary Exclusion-Lower Tier Covered Transaction,' provided by the department or agency entering Into this 3. That the firm shall promptly notify the SHA of the receipt of covered transaction, without modification, in all lower tier any communication from the Director, Office of Federal covered transactions and in all solicitations for lower tier Activities, EPA, indicating that a facility that is or will be utilized covered transactions. for the contract is under consideration to be listed on the EPA List of Violating Facilities. h. A participant in a covered transaction may rely upon a certification of a prospective participant in a lower tier covered 4. That the firm agrees to include or cause to be included the transaction that is not debarred, suspended, ineligible, or requirements of paragraph 1 through 4 of this Section X in voluntarily excluded from the covered transaction, unless it every nonexempt subcontract, and further agrees to take such knows that the certification is erroneous. A participant may action as the government may direct as a means of enforcing decide the method and frequency by which it determines the such requirements. eligibility of its principals. Each participant may, but is not required to, check the nonprocurement portion of the 'Lists of XI. CERTIFICATION REGARDING DEBARMENT, Parties Excluded From Federal Procurement or SUSPENSION, Nonprocurement Programs' (Nonprocurement List) which is INELIGIBILITY AND VOLUNTARY EXCLUSION compiled by the General Services Administration. 1. Instructions for Certification - Primary Covered I. Nothing contained in the foregoing shall be construed Transactions: to require establishment of a system of records in order to render in good faith the certification required by this clause. (Applicable to all Federal-aid contracts-49 CFR 29) The knowledge and information of participant is not required to exceed that which is normally possessed by a prudent person a. By signing and submitting this proposal, the in the ordinary course of business dealings. prospective primary participant is providing the certification set out below. j. Except for transactions authorized under paragraph of these instructions, if a participant in a covered transaction b. The inability of a person to provide the certification knowingly enters into a lower tier covered transaction with a set out below will not necessarily result in denial of person who is suspended, debarred, ineligible, or voluntarily participation in this covered transaction. The prospective excluded from participation in this transaction, in addition to participant shall submit an explanation of why it cannot provide other remedies available to the Federal Government, the the certification set out below. The certification or explanation department or agency may terminate this transaction for cause will be considered in connection with the department or or default. agency's determination whether to enter into this transaction. However, failure of the prospective primary participant to furnish a certification or an explanation shall disqualify such a person from participation in this transaction. Certification Regarding Debarment,Suspension, c. The certification in this clause is a material Ineligibility end Voluntary Exclusion—Primary Covered representation of fact upon which reliance was placed when Transactions the department or agency determined to enter into this transaction. If it is later determined that the prospective 1. The prospective primary participant certifies to the best of primary participant knowingly rendered an erroneous its knowledge and belief,that it and its principals: certification, in addition to other remedies available to the Federal Government,the department or agency may terminate a. Are not presently debarred,suspended, proposed for this transaction for cause of default. debarment, declared ineligible, or voluntarily excluded from covered transactions by any Federal department or agency; d. The prospective primary participant shall provide immediate written notice to the department or agency to whom b. Have not within a 3-year period preceding this this proposal is submitted if any time the prospective primary proposal been convicted of or had a civil judgement rendered participant learns that its certification was erroneous when against them for commission of fraud or a criminal offense in submitted or has become erroneous by reason of changed connection with obtaining,attempting to obtain,or performing a circumstances. public (Federal, State or local) transaction or contract under a public transaction; violation of Federal or State antitrust e. The terms 'covered transaction,' "debarred," statutes or commission of embezzlement, theft, forgery, "suspended," "ineligible," "lower tier covered transaction," bribery, falsification or destruction of records, making false 'participant," 'person,' 'primary covered transaction,' statements,or receiving stolen property; 'principal; 'proposal,' and 'voluntarily excluded,' as used in this clause, have the meanings set out in the Definitions and c. Are not presently indicted for or otherwise criminally Coverage sections of rules implementing Executive Order or civilly charged by a governmental entity (Federal, State or 12549. You may contact the department or agency to which local) with commission of any of the offenses enumerated in this proposal is submitted for assistance in obtaining a copy of paragraph 1 b of this certification;and those regulations. d. Have not within a 3-year period preceding this f. The prospective primary participant agrees by application/proposal had one or more public transactions submitting this proposal that, should the proposed covered (Federal,State or local)terminated for cause or default. transaction be entered into,it shall not knowingly enter into any lower tier covered transaction with a person who is debarred, 2. Where the prospective primary participant is unable to suspended, declared ineligible, or voluntarily excluded from certify to any of the statements in this certification, such participation in this covered transaction, unless authorized by prospective participant shall attach an explanation to this the department or agency entering into this transaction. proposal. REQUIRED BY 23 CFR 633.102 -- • department or agency with which this transaction originated may pursue available remedies, including suspension and/or debarment. 2. Instructions for Certification - Lower Tier Covered Transactions: (Applicable to all subcontracts, purchase orders and other lower tier transactions of$25,000 or more-49 CFR 29) Certification Regarding Debarment,Suspension, ineligibility and Voluntary Exclusion—Lower Tier Covered a. By signing and submitting this proposal, the Transactions: prospective lower tier is providing the certification set out below. 1. The prospective lower tier participant certifies, by submission of this proposal, that neither it nor its principals is b. The certification in this clause is a material presently debarred, suspended, proposed for debarment, representation of fact upon which reliance was placed when declared ineligible, or voluntarily excluded from participation in this transaction was entered into. If it is later determined that this transaction by any Federal department or agency. the prospective lower tier participant knowingly rendered an erroneous certification, in addition to other remedies available 2. Where the prospective lower tier participant is unable to to the Federal Government, the department, or agency with certify to any of the statements in this certification, such which this transaction originated may pursue available prospective participant shall attach an explanation to this remedies,including suspension and/or debarment. proposal. 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 XII. CERTIFICATION REGARDING USE OF CONTRACT learns that its certification was erroneous by reason of FUNDS OR LOBBYING changed circumstances. (Applicable to all Federal-aid construction contracts and to d. The terms 'covered transaction," 'debarred," all related subcontracts which exceed$100,000-49 CFR 20) 'suspended," 'ineligible,'"primary covered transaction," 'participant,' 'person,' 'principal' 'proposal,' and 'voluntarily 1. The prospective participant certifies, by signing and excluded,'as used in this clause,have the meanings set out in submitting this bid or proposal, to the best of his or her the Definitions and Coverage sections of rules implementing knowledge and belief,that: Executive Order 12549. You may contact the person to which this proposal is submitted for assistance in obtaining a copy of a. No Federal appropriated funds have been paid or will those regulations. be paid, by or on behalf of the undersigned, to any person for influencing or attempting to influence an officer or employee of e. The prospective lower tier participant agrees by any Federal agency, a Member of Congress, an officer or submitting this proposal that, should the proposed covered employee of Congress, or an employee of a Member of transaction be entered into, it shall not knowingly enter into any Congress in connection with the awarding of any Federal lower tier covered transaction with a person who is debarred, contract, the making of any Federal grant, the making of any suspended, declared ineligible, or voluntarily excluded from Federal loan, the entering into of any cooperative agreement, participation in this covered transaction, unless authorized by and the extension, continuation, renewal, amendment, or the department or agency with which this transaction modification of any Federal contract, grant, loan, or originated. cooperative agreement. f. The prospective lower tier participant further agrees by b. If any funds other than Federal appropriated funds submitting this proposal that it will include this clause titled have been paid or will be paid to any person for influencing or 'Certification Regarding Debarment, Suspension, Ineligibility attempting to influence an officer or employee of any Federal and Voluntary Exclusion-Lower Tier Covered Transaction," agency, a Member of Congress, an officer or employee of without modification, in all lower tier covered transactions and Congress, or an employee of a Member of Congress in in all solicitations for lower tier covered transactions. connection with this Federal contract, grant, loan, or cooperative agreement, the undersigned shall complete and g. A participant in a covered transaction may rely upon a submit Standard Form-LLL, "Disclosure Form to Report certification of a prospective participant in a lower tier covered Lobbying,"in accordance with its instructions. transaction that is not debarred, suspended, ineligible, or voluntarily excluded from the covered transaction, unless it 2. This certification is a material representation of fact upon knows that the certification is erroneous. A participant may which reliance was placed when this transaction was made or decide the method and frequency by which it determines the entered into. Submission of this certification is a prerequisite eligibility of its principals. Each participant may, but is not for making or entering into this transaction imposed by 31 required to,check the Nonprocurement List. U.S.C. 1352. Any person who fails to file the required certification shall be subject to a civil penalty of not less than h. Nothing contained in the foregoing shall be construed $10,000 and not more than$100,000 for each such failure. to require establishment of a system of records in order to render in good faith the certification required by this clause. 3. The prospective participant also agrees by submitting his The knowledge and information of participant is not required to or her bid or proposal that he or she shall require that the exceed that which is normally possessed by a prudent person language of this certification be included in all lower tier in the ordinary course of business dealings. subcontracts, which exceed $100,000 and that all such recipients shall certify and disclose accordingly. 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 transaction, in addition to other remedies available to the Federal Government, the REQUIRED BY 23 CFR 633.102 -- • I. EXHIBIT C FUNDING PROVISIONS A. The Local Agency has estimated the total cost the Work to be $102,000.00 which is to be funded as follows: BUDGETED FUNDS a Federal Funds $81,600.00 $ 80% of Participating Costs b Local Agency Matching Funds $20,400.00 20% of Participating Costs c Local Agency Matching for CDOT-Incurred Non-Participating $0.00 . Costs (Including Non-Participating Indirects) TOTAL BUDGETED FUNDS $102,000.00 ESTIMATED CDOT-INCURRED COSTS a Federal Share $0.00 % of Participating Costs b Local Share Local Agency Share of Participating Costs $0.00 Non-Participating Costs (Including Non- $0.00 Participating Indirects)(1c) Estimated to be Billed to Local Agency $0.00 TOTAL ESTIMATED CDOT-INCURRED COSTS $0.00 ESTIMATED PAYMENT TO LOCAL AGENCY a Federal Funds Budgeted (1a) $81,600.00 b Less Estimated Federal Share of CDOT-Incurred $0.00 . Costs (2a) TOTAL ESTIMATED PAYMENT TO LOCAL AGENCY $81,600.00 FOR CDOT ENCUMBRANCE PURPOSES Total Encumbrance Amount ($81,600.00 divided by $102,000.00 -36- • 80%) Less ROW Acquisition 3111 $0.00 Net to be encumbered as follows: $102,000.00 Design 2312 1P 3020 $10,000.00 Const 2312 1P 3301 $92,000.00 B. The matching ratio for the federal participating funds for this project is 80% federal-aid funds (CFDA#20 2050) to 20% Local Agency funds, it being understood that such ratio applies only to the$102,000.00 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 participating cost of performance of the Work exceeds $102,000.00, 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 non-participating costs; if additional federal funds are not made available, the local agency shall pay all such excess costs. If the total participating cost of performance of the Work is less than $102,000.00, 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 $81,600.00 (For CDOT accounting purposes, the federal funds of$81,600.00 and local matching funds of$20,400.00 will be encumbered for a total encumbrance of$102,000.00), 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 such cost is subject to revisions (in accord with the procedure in the previous sentence) agreeable to the parties prior to bid and award. D. The parties hereto agree that this contract is contingent upon all funds designated for the project herein being made available from federal and/or state and/or Local Agency sources, as applicable. Should these sources, either federal or Local Agency, fail to provide necessary funds as agreed upon herein, the contract may be terminated by either party, provided that any party terminating its interest and obligations herein shall not be relieved of any obligations which existed prior to the effective date of such termination or which may occur as a result of such termination. -37- APRIL 1980 Nondiscrimination Provisions: In compliance with Title VI of the Civil Rights Act of 1964 and with Section 162(a) of the Federal Aid Highway Act of 1973, the Contractor, for itself, its assignees and successors in interest, agree as follows: A. Compliance with Regulations. The Contractor will comply with the Regulations of the Department of Transportation relative to nondiscrimination in Federally assisted programs of the Department of Transportation (Title 49, Code of Federal Regulations, Part 21, hereinafter referred to as the "Regulations"), which are herein incorporated by reference and made a part of this contract. B. Nondiscrimination. The Contractor, with regard to the work performed by it after award and prior to completion of the contract work, will not discriminate on the ground of race, color, sex, mental or physical handicap or national origin in the selection and retention of Subcontractors, including procurement of materials and leases of equipment. The Contractor will not participate either directly or indirectly in the discrimination prohibited by Section 21.5 of the Regulations, including employment practices when the contract covers a program set forth in Appendix C of the Regulations. C. Solicitations for Subcontracts, Including Procurement of Materials and Equipment. In all solicitations either by competitive bidding or negotiation made by the Contractor for work to be performed under a subcontract, including procurement of materials or equipment, each potential Subcontractor or supplier shall be notified by the Contractor of the Contractor's obligations under this contract and the Regulations relative to nondiscrimination on the ground of race, color, sex, mental or physical handicap or national origin. D. Information and Reports. The Contractor will provide all information and reports required by the Regulations, or orders and instructions issued pursuant thereto and will permit access to its books, records, accounts, other sources of information and its facilities as may be determined by the State or the FHWA to be pertinent to ascertain compliance with such Regulations, orders and instructions. Where any information required of the Contractor is in the exclusive possession of another who fails or refuses to furnish this information, the Contractor shall so certify to the State, or the FHWA as appropriate and shall set forth what efforts have been made to obtain the information. 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. -38- 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 FHWA may direct as a means of enforcing such provisions including sanctions for noncompliance; provided, however, that, in the event the Contractor becomes involved in, or is threatened with, litigation with a Subcontractor or supplier as a result of such direction, the Contractor may request the State to enter into such litigation to protect the interest of the State and in addition, the Contractor may request the FHWA to enter into such litigation to protect the interests of the United States. -39- • ADDENDUM A: FEDERAL REOUIREMENTS 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 Opportunity," as amended by Executive Order 11375 of October 13, 1967 and as supplemented in Department of Labor regulations (41 CFR Chapter 60) (All construction contracts awarded in excess of $10,000 by grantees and their contractors or 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). (Construction 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). -40- • F. Standards, orders, or requirements issued under section 306 of the Clear Air Act (42 U.S.C. 1857(h), section 508 of the Clean Water Act (33 U.S.C. 1368). Executive Order 11738, and Environmental Protection Agency regulations (40 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 of race, color, national origin, age, or handicap, be excluded from participation in or be subjected to discrimination in any program or activity funded, in whole or part, by federal funds; K. The Americans with Disabilities Act (Public Law 101-336; 42 USC 12101, 12102, 12111- 12117, 12131-12134, 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. O. 23 C.F.R. Part 172, concerning "Administration of Engineering and Design Related Contracts". P. 23 C.F.R Part 633, concerning "Required Contract Provisions for Federal-Aid Construction Contracts". Q. 23 C.F.R. Part 635, concerning "Construction and Maintenance Provisions". R. Title VI of the Civil Rights Act of 1964 and 162(a) of the 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. -41- 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 any funds other than Federal appropriated funds have been paid or will be paid to any person for influencing or attempting to influence an officer or of Congress, or an employee of a Member of Congress in connection with this Federal contract, grant, loan, or cooperative agreement, the undersigned shall complete and submit Standard Form-LLL, "Disclosure Form to Report Lobbying," in accordance with its instructions. This certification is a material representation of fact upon which reliance was placed when this transaction was made or entered into. Submission of this certification is a prerequisite for making or entering into this transaction imposed by Section 1352, Title 31, U.S. Code. Any person who fails to file the required certification shall be subject to a civil penalty of not less than $10,000 and not more than $100,000 for each such failure. The prospective participant also agree by submitting his or her bid or proposal that he or she shall require that the language of this certification be included in all lower tier subcontracts, which exceed $100,000 and that all such subrecipients shall certify and disclose accordingly. Required by 23 CFR 635.112 -42- APPENDIX B DISADVANTAGED BUSINESS ENTERPRISE (DBE) SECTION 1. Policy. It is the policy of the Colorado Department of Transportation (CDOT) that disadvantaged business enterprises shall have the maximum opportunity to participate in the performance of contracts financed in whole or in part with Federal funds under this agreement, pursuant to 49 CFR Part 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 maximum opportunity to participate in the performance of contracts and subcontracts financed in whole or in part with Federal funds provided under this agreement. In this regard, all participants or contractors shall take all necessary and reasonable steps in accordance with the CDOT DBE program (or a Local Agency DBE Program approved in advance by the State) to ensure that disadvantaged business enterprises have the maximum opportunity to compete for and perform contracts. Recipients and their contractors shall not discriminate on the basis of race, color, national origin, or sex in the award and performance of CDOT assisted contracts. SECTION 3 DBE Program. The 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 and will be mailed to the contractor upon request: Business Programs Office Colorado Department of Transportation 4201 East Arkansas Avenue, Room 287 Denver, Colorado 80222-3400 Phone: (303)757-9234 revised 1/22/98 Required by 49 CFR Part 23.41 43 ADDENDUM B: CONTRACT MODIFICATION TOOLS The Local Agency and the State may use a Funding Letter 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. FUNDING LETTER. The state may allocate more or less funds available on this contract using a Funding Letter substantially equivalent to Exhibit D and bearing the approval of the State Controller or his designee. The funding letter shall not be deemed valid until it shall have been approved by the State Controller or his designee. 44 Exhibit D COLORADO DEPARTMENT OF TRANSPORTATION AUTHORITY: CONTRACT FUNDING INCREASE/DECREASE AND APPROVAL LETTER State Controller Policy letter on June 12, 1996 Region: Complete section 1 and submit to CDOT Controller's office. CDOT Controller letter on May 23, 1996 (1)This form to be used for the following contracts/situations only(check the appropriate situation): _indefinite quantity, order more/add more _utility/railroad, underestimated total cost _CDOT construction, sum of CMO's LA construction, underestimated cost CDOT construction, underestimated total cost CDOT consultant, underestimated cost SECTION 1 (Region use) Date: (2) Project code (3) To: CDOT Controller (FAX#(303) 757-9573 or e-mail CONTROLLER) Project# (4) From: Office: (5) Phone# (5) FAX# (5) Region # (5) CDOT has executed a contract with: (6) Address: (6) FEIN # (6) Contract routing# (7) COFRS encumbrance#(indicate PO,SC or PG#) (8) Fund Orgn. Appro. Prgrm. Func. Object/Sub-obj N/P GBL Reporting Catg. Proj/Sub/Phase (9) (9) (9) (9) (9) (9) (9) (9) (9) Original contract amount Has a Budget Request been processed to cover the contract amount increase? $ (10) yes no (14) Previous Funding Letter(s) total Preparer's name (15) $ (11) (Funding letter 41 thru#J PHONE NO: This Funding Letter total Contract Administrator's/Business Manager's Approval $ (12) (16) (#� PHONE NO: Adjusted contract amount CDOT Designee Approval $ (13) (17) Local Agency approval (18) SECTION 2 (Controller's Office use) (19) Total allotment amount Commission budget $ (19) $ (19) If construction: CE charges Indirect chgs Adjusted contract amount plus total CE&indirect _CE pool elig. (19) $ (19) $ (19) charges calculation $ (19) I have reviewed the financial status of the project, organization, grant and have determined that sufficient funds are available to cover this increase, effective as of (19) State Controller or Delegee Date (20) (20) 45 EXAMPLE A(Lump Sum Contracts) Exhibit E,Page 1 of 5 Company Name: Project No. Address: Project Location Employer(FEIN)ID Number: Subaccount No. Invoice Number and Date: Progress Report Dated: % Completed: (1) Current Billing Period: From: To: BASIC AND/OR SUPPLEMENTAL CONTRACT TOTAL: (2) $ Total Billed to Date: $ Less: Retainage(10%of billing not to exceed 5%of contract) $ Less: Prior Payments: $ Prior Billing: $ Less Retainage: $ $ TOTAL CURRENT PAYMENT REQUEST: * $ (%To date of DBE work: I certify that the billed amounts are in agreement with the contract terms: Signature Title elate *%Completed x Contract Total=Total Current Payment Request (I) x (2) = (*) 46 EXAMPLE B(Cost Plus Fixed Fee Contracts) Exhibit E,Page 2 of 5 Company Name: Project No. Address: Employer(FEIN)ID Number: Project Location Invoice Number and Date: Progress Report Dated: Subaccount No. %Completed: BASIC AND/OR SUPPLEMENTAL CONTRACT TOTAL $ Prior period Billing Amount: $ Current Billing Period: From: To: DIRECT LABOR: (List Individually) Regular Direct Hourly Rate Overtime Cost Employee Name Classification Hours $ Hours * $ Current This Period Total Amount to 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 the same format—attach copies) %To Date on DBE Work $ $ Outside Services Management Expense(when applicable) $ $ TOTAL CURRENT PERIOD: $ $ TOTAL TO DATE: $ $ LESS: Retainage(10%of billing not to exceed 5%of contract) $ $ LESS: Prior Payments $ $ Prior Billing$ Less Retainage$ $ $ TOTAL CURRENT PAYMENT REQUEST $ $ I certify that the billed amounts are actual and in agreement with the contract terms: Signature title Date *Eligible classifications only: in accordance with contract 47 EXAMPLE C(Specific Rates of Pay Contracts) Exhibit E,Page 3 of 5 Company Name: Project No. Address: Employer(FEIN)ID Number: Project Location Invoice Number and Date: Progress Report Dated: Subaccount No. %Completed: BASIC AND/OR SUPPLEMENTAL CONTRACT TOTAL $ Prior Period Billing Amount $ Current Billing Period: From: To: PAY RATES: (List Individually) Regular Overtime Rates of Pay Cost Employee Name Classification Hours Hours* $/Hours** $ SUBTOTAL-PAY RATES: $ OTHER DIRECT COSTS (In-House) $ List individually—at actual rates as in final cost proposal;mileage(miles X$), CADD(hrs.x$),equip.rental(hrs. x$),etc. $ SUBTOTAL(Pay Rates and Other Direct Rates) OUTSIDE SERVICES(Subconsultants&Vendors)(List individually) $ (To be in the same format—attach copies) %To Date on DBE Work $ Outside Services Management Expense(when applicable) $ TOTAL CURRENT PERIOD: $ TOTAL TO DATE: $ LESS: Retainage(10%of billing not to exceed 5%of contract) $ LESS: Prior Payments $ Prior Billing$ Less Retainage$ TOTAL CURRENT PAYMENT REQUEST $ I certify that the billed amounts are actual and in agreement with the contract terms: Signature Title Date *Eligible classifications only: in accordance with contract **In accordance with contract 48 EXAMPLE D (Local Agency Billing) Date Exhibit E,Page 4 of 5 SECTION I. CONTRACT DATA Local Agency: Project No. Address: Employer(FEIN)ID Number: Project Location Invoice Number and Date: Completed: Subaccount No. BASIC AND/OR SUPPLEMENTAL CONTRACT TOTAL: $ Federal Share $ Local Agency Share $ State Share$ Prior Period Billing Amount: $ Current Billing Period : From: To: SECTION II. INCURRED COSTS DIRECT LABOR: (List individually) Employee Classification Regular Direct Hourly Overtime Cost Name Hours Rate $ Hours* $ Current Total to SUBTOTAL—DIRECT LABOR This Period Date 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 format- $ $ attach copies of invoices) TOTAL COSTS CURRENT PERIOD: $ TOTAL COSTS TO DATE: $ SECTION III. BILLING TOTAL BILLING CURRENT PERIOD ( %OF TOTAL COSTS): $ Prior Billing: $ I certify that the billed amounts are actual and in agreement with the contract terms. Signature Title Date *Eligible classifications only 49 EXAMPLE E(Fixed Multiplier Contracts) Exhibit E,Page 5 of 5 Company Name: Project No. Address: Employer(FEIN)ID Number: Project Location Invoice Number and Date: Progress Report Dated: Subaccount No. %Completed: BASIC AND/OR SUPPLEMENTAL CONTRACT TOTAL $ Prior Period Billing Amount: $ Current Billing Period: From: To: PAY RATES: (List Individually) Regular Certified Fixed Cost Employee Name Classification Hours Hourly Rates Multiplier $ SUBTOTAL-PAY RATES: $ OTHER DIRECT COSTS (In-House) $ List individually—at actual rates as in final cost proposal;mileage(miles X$), CADD(hrs. x$),equip.rental(hrs. x$),etc. $ SUBTOTAL(Pay Rates and Other Direct Rates) OUTSIDE SERVICES(Subconsultants&Vendors)(List individually) $ (To be in the same format—attach copies) %To Date on DBE Work $ Outside Services Management Expense(when applicable) $ TOTAL CURRENT PERIOD: $ TOTAL TO DATE: $ LESS: Retainage(10%of billing not to exceed 5%of contract) $ LESS: Prior Payments $ Prior Billing$ Less Retainage$ TOTAL CURRENT PAYMENT REQUEST $ I certify that the billed amounts are actual and in agreement with the contract terms: Signature Title Date 50 Hello