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Home My WebLink About20053128.tiff RESOLUTION RE: APPROVE CONTRACT FOR THE REPLACEMENT OF BRIDGE 87/42.5A OVER THE SOUTH PLATTE RIVER AND AUTHORIZE CHAIR TO SIGN - COLORADO DEPARTMENT OF TRANSPORTATION (CDOT) 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 Contract for the Replacement of Bridge 87/42.5 over the South Platte River between the County of Weld, State of Colorado, by and through the Board of County Commissioners of Weld County,on behalf of the Department of Public Works, and Colorado Department of Transportation(CDOT),commencing upon full execution,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 Contract for the Replacement of Bridge 87/42.5 over the South Platte River between the County of Weld, State of Colorado, by and through the Board of County Commissioners of Weld County, on behalf of the Department of Public Works, and Colorado Department of Transportation (CDOT) 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 26th day of October, A.D., 2005. I / %�OARD OF COUNTY COMMISSIONERS `ELD COUNTY, COLORADO ATTEST: iam H. Jer. - hair Weld County Clerk to the B js{ BY: it) ,g 1 (La M it , Pro- em ►r.uty C erk to the B. d 1 • �a, d Long 1�\� APPROVb AS M: `�UWk Robert asd n unty Attorney //V 762-14 Date of signature: �z X05 Glenn Vaac. 2005-3128 EG0052 (~(J PLC /1-0O-OS' MEMORANDUM TO: Clerk to the Board DATE: October 13, 2005 • COLORADO FROM: Frank B. Hempen, Jr., P.E. Director of Public Works/County Enginee SUBJECT: Agenda Item Weld County applied for three Federal Bridge Replacement Grants in 2003 and received approval on all three grants. The bridges numbers are 87/42.5A over the S. Platte River near Masters, 13/26A over the Big Thompson River near Johnstown, and 27/58A over Greeley/Loveland Canal near Greeley. The grants were approved in 2004,although funding was not scheduled until fiscal year 2006. Since then, Public Works has been notified that only our first priority project, Bridge 87/42.5A, could be funded in Fiscal Year 2006 and that only enough funds are available for design, utilities, and right-of-way. This is due to a shortage in anticipated funding. The remainder of the funds for construction and the other two projects is now scheduled for Fiscal Year 2007. This should not create a setback since the construction of Bridge 87/42.5A was scheduled for 2007/2008. Attached are four original Contracts with CDOT for the replacement of Bridge 87/42.5A over the South Platte River. Upon Chair's signature, please return all four original Contracts to Public Works and the resolution. Public Works will acquire signatures from CDOT and forward a signed copy for recording. pc: Wayne Howard, Senior Engineer Mona Weidenkeller - • M:\Francie\Agenda-Bridge 87-42A.doc 2005-3128 STATE OF COLORADO re I OT DEPARTMENT OF TRANSPORTATION Contracts & Market Analysis Branch 4201 East Arkansas Avenue,4th Floor West Denver,Colorado 80222-3400 Telephone:(303)757-9436 Facsimile: (303)757-9868 September 8, 2005 Mr. Wayne Howard, PE Project Manager Weld County P.O. Box 758 Greeley, Colorado 80632 RE: Contract 06 HA4 00032, BRO C030-032, (14990) Bridge replacement of structure WEL087.0-042.5A on Weld County Road 87 at the South Platte River Dear Mr. Howard: Enclosed please find four executory copies of the above referenced contract between Weld County and the Colorado Department of Transportation. Please have the County Official who is authorized to sign such contracts for the county sign the copies indicating the County's agreement with the terms and conditions of the contract, and provide a legal "Attest" signature by someone authorized to do so. (The purpose of the "Attest" signature is to certify that the individual signing such contracts does in fact have authority to sign. Please include titles and printed names where indicated.) Note: Do not complete the date blanks in the first paragraph on page 1 as these will be completed by the Attorney General's office. Additionally, as required by Paragraph 9 under Recitals, on page 2, please forward the appropriate ordinance or resolution expressly authorizing representatives of your organization to enter into this contract. Upon execution, please return three signed contracts to me at the address above. You may retain one copy for your records. This office will obtain the remaining necessary signatures and then send a fully executed original of the contract to you. Work cannot proceed until authorized by CDOT's project manager. Please contact me at (303) 757-9480 if you have any questions or if I can be of further assistance. Note: Subject to the rules of the Colorado State Controller in effect on the date this contract is prepared or fully executed by the State, the recitals, terms, and conditions of this contract shall remain valid for a period of six (6) months from the date of this letter. If this contract is not fully executed by all parties before the end of such six (6) month period, CDOT, at its sole discretion, may require a renewed contract request from your organization or agency, and the issuance of new executories. Sincerely,Cam ' °-/ \1 a,c)ap Lisa Lacroix Contracting Officer CDOT Agreements Enclosures (FMLAWRK)kr9.4r4a f r•e 9 . _® i e i- . .91a Rev 09/03 PROJECT BRO C030-032, (14990) 06 HA4 00032 REGION 4/(LML) CMS ID 06-049 ' 0 CONTRACT THIS CONTRACT made this d y of / 0A 2015,by and between the State of Colorado for the use and benefit of the Colorado Department of Transportation hereinafter referred to as the State and Weld County,PO Box 758,Greeley,Colorado,80632,FEIN: 846000813,hereinafter referred to as the "Contractor"or the"Local Agency." RECITALS 1. Authority exists in the law and funds have been budgeted, appropriated and otherwise made available and a sufficient uncommitted balance thereof remains available for payment of project and Local Agency costs in Fund Number 400, Appropriation Code 010, Organization Number 9991, Program 2000, Function 3020, 3301, and 3114, Object 2312 1P, Phase D, C, U and R, Reporting Category 4510 Contract Encumbrance Number 14990, (Contract Encumbrance Amount: $1,323,690.00). 2. Required approval, clearance and coordination has been accomplished from and with appropriate agencies. • 3. Pursuant to Title I,Subtitle A,Section 1108 of the Transportation Equity Act for the 2151 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 transportation projects requested by Local Agencies and eligible under the Surface Transportation Improvement Program that has been proposed by the State and approved by the Federal Highway Administration ("FHWA"),hereinafter referred to as the"Program." 4. Pursuant to § 43-1-223, C.R.S. and to applicable portions of the Federal Provisions, the State is responsible for the general administration and supervision of performance ofprojects in the Program, including the administration of federal funds for a Program project performed by a Local Agency under a contract with the State. 5. The Local Agency has requested that a certain local transportation project be funded as part of the Program, and by the date of execution of this contract, the Local Agency and/or the State has completed and submitted a preliminary version of CDOT form#463 describing the general nature of the Work. The Local Agency understands that,before the Work begins,form#463 may be revised as a result of design changes made by CDOT,in coordination with the Local Agency,in its internal review process. The Local Agency desires to perform the Work described in form#463,as it may be revised. 6. Federal-aid funds have been made available for project BRO C030-032(14990),which shall consist Page 1 of 17 _Rees-3%mod' of design, construction, utility and right-of-way for a bridge replacement of structure WEL087.0- 042.5A on Weld County Road 87 at the South Platte River,referred to as the"Project"or the"Work." Such Work will be performed in Weld County, Colorado, specifically described in Exhibit A. 7. The matching ratio for this federal aid project is 80%federal-aid funds to 20%Local Agency funds, it being understood that such ratio applies only to such costs as are eligible for federal participation,it being further understood that all non-participating costs shall be borne by the Local Agency at 100%. The STIP for Fiscal Year 2006 funding is$1,323,690.00;the STIP for Fiscal Year 2007 funding under this project is anticipated to be$826,000.00 in Federal funds and$237,000.00 in Local Agency Funds. If additional funding is made available under this project,then the contract amount shall be increased by an appropriate written modification to this contract. 8. The Local Agency desires to comply with the Federal Provisions and other applicable requirements, including the State's general administration and supervision of the Project through this contract, in order to obtain federal funds. 9. The Local Agency has estimated the total cost of the Work and is prepared to provide its match share of the cost, as evidenced by an appropriate ordinance/resolution or other authority letter which expressly authorizes the Local Agency the authority to enter into this contract and to expend its match share of the Work. A copy of such ordinance/resolution or authority letter is attached hereto as Exhibit B. 10. This contract is executed under the authority of§§29-1-203,43-1-110;43-1-116,43-2-101(4)(c) and 43-2-144, C.R.S. and Exhibit B. 11. The Local Agency is adequately staffed and suitably equipped to undertake and satisfactorily complete some or all of the Work. 12. The Local Agency can more advantageously perform the Work. THE PARTIES NOW AGREE THAT: Section 1. Scope of Work The Project or the Work under this contract shall consist of design, construction, utility and right-of-way for a bridge replacement of structure WEL087.0-042.5A on Weld County Road 87 at the South Platte River, in Weld County,Colorado, as more specifically described in Exhibit A. Section 2. Order of Precedence In the event of conflicts or inconsistencies between this contract and its exhibits,such conflicts or inconsistencies shall be resolved by reference to the documents in the following order of priority: 1. Special Provisions contained in section 29 of this contract 2. This contract 3. Exhibit A (Scope of Work) Page 2 of 17 4. Exhibit C (Funding Provisions) • 5. Exhibit D (Certification for Federal-Aid Contracts) 6. Exhibit E (DBE Requirements) 7. Exhibit F (Contract Modification Tools) 8. Other Exhibits in descending order of their attachment. Section 3. Term This contract shall be effective upon approval of the State Controller or designee,or on the date made,whichever is later. The term of this contract shall continue through the completion and final acceptance of the Project by the State, FHWA and the Local Agency. Section 4. Project Funding Provisions The Local Agency has estimated the total cost of the Work and is prepared to provide its match share of the cost,as evidenced by an appropriate ordinance/resolution or other authority letter which expressly authorizes the Local Agency the authority to enter into this contract and to expend its match share of the Work. A copy of such ordinance/resolution or authority letter is attached hereto as Exhibit B. The funding provisions for the Project are attached hereto as Exhibit C. The Local Agency shall provide its share of the funds for the Project as outlined in Exhibit C. Section 5. Project Payment Provisions A. The State will reimburse the Local Agency for the federal-aid share of the project charges after the State's review and approval of such charges, subject to the terms and conditions of this contract. However, any charges incurred by the Local Agency prior to the date of FHWA authorization for the Project and prior to the date this contract is executed by the State Controller or his designee will not be reimbursed absent specific FHWA and State Controller approval thereof. B. The State will reimburse the Local Agency's reasonable, allocable, allowable costs of performance of the Work, not exceeding the maximum total amount described in Exhibit C. The applicable principles described in 49 C.F.R. 18 Subpart C and 49 C.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 this contract; 2. necessary for the accomplishment of the Work; 3. reasonable in the amount for the goods and services provided; 4. actual net cost to the Local Agency(i.e.the price paid minus any refunds,rebates,or other items of value received by the Local Agency that have the effect of reducing the cost actually incurred); 5. incurred for Work performed after the effective date of this contract; 6. satisfactorily documented. Page 3 of 17 C. The Local Agency shall establish and maintain a proper accounting system in accordance with generally accepted accounting standards (a separate set of accounts, or as a separate and integral part of its current accounting scheme) to assure that project funds are expended and costs accounted for in a manner consistent with this contract and project objectives. 1. All allowable costs charged to the project, including any approved services contributed by the Local Agency or others, shall be supported by properly executed payrolls,time records,invoices,contracts or vouchers evidencing in detail the nature of the charges. 2. Any check or order drawn up by the Local Agency, including any item which is or will be chargeable against the project account shall be drawn up only in accordance with a properly signed voucher then on file in the office of the Local Agency,which will detail the purpose for which said check or order is drawn. All checks,payrolls, invoices,contracts,vouchers,orders or other accounting documents shall be clearly identified,readily accessible,and to the extent feasible,kept separate and apart from all other such documents. D. Upon execution of this contract, the State is authorized, in its discretion, to perform any necessary administrative support services pursuant to this contract. These services may be performed prior to and in preparation for any conditions or requirements of this contract,including prior FHWA approval of Work. The Local Agency understands and agrees that the State may perform such services, and that payments for such services shall be at no cost to the State but shall be as provided for in Exhibit C. At the request of the Local Agency, the State shall also provide other assistance pursuant to this contract as may be agreed in writing. In the event that federal-aid project funds remain available for payment,the Local Agency understands and agrees the costs of any such services and assistance shall be paid to the State from project funds at the applicable rate. However,in the event that such funding is not made available or is withdrawn for this contract, or if the Local Agency terminates this contract prior to project approval or completion for any reason, then all actual incurred costs of such services and assistance provided by the State shall be the sole expense of the Local Agency. E. If the Local Agency is to be billed for CDOT incurred costs,the billing procedure shall be as follows: 1. Upon receipt of each bill from the State,the Local Agency will remit to the State the amount billed no later than 60 days after receipt of each bill. Should the Local Agency fail to pay moneys due the State within 60 days of demand or within such other period as may be agreed between the parties hereto,the Local Agency agrees that, at the request of the State, the State Treasurer may withhold an equal amount from future apportionment due the Local Agency from the 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 60 days after the date of each bill), the Local Agency shall pay interest to the State at a rate of one percent per month on the amount of the payment Page 4 of 17 which was not made in a timely manner,until the billing is paid in full. The interest shall accrue for the period from the required payment date to the date on which payment is made. F. The Local Agency will prepare and submit to the State,no more than monthly,charges for costs incurred relative to the project. The Local Agency's invoices shall include a description of the amounts of services performed, the dates of performance and the amounts and description of reimbursable expenses. The invoices will be prepared in accordance with the State's standard policies, procedures and standardized billing format to be supplied by the State. G. To be eligible for payment, billings must be received within 60 days after the period for which payment is being requested and final billings on this contract must be received by the State within 60 days after the end of the contract term. 1. Payments pursuant to this contract shall be made as earned,in whole or in part,from available funds,encumbered for the purchase of the described services. The liability of the State,at any time,for such payments shall be limited to the amount remaining 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 49 C.F.R. 18 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. Section 6. State and Local Agency Commitments The Local Agency Contract Administration Checklist in Exhibit G describes the Work to be performed and assigns responsibility of that Work to either the Local Agency or the State. The "Responsible Party" referred to in this contract means the Responsible Party as identified in the Local Agency Contract Administration Checklist in Exhibit G. A. Design [if applicable] 1. If the Work includes preliminary design or final design(the"Construction Plans"),or design work sheets,or special provisions and estimates(collectively referred to as the"Plans"),the responsible party shall comply with the following requirements, as applicable: a. perform or provide the Plans, to the extent required by the nature of the Work. b. prepare final design(Construction Plans)in accord with the requirements of the latest edition of the American Association of State Highway Page 5 of 17 Transportation Officials (AASHTO) manual or other standard, such as the Uniform Building Code, as approved by CDOT. c. prepare special provisions and estimates in accord with the State's Roadway and Bridge Design Manuals and Standard Specifications for Road and Bridge Construction or Local Agency specifications if approved by CDOT. d. include details of any required detours in the Plans, in order to prevent any interference of the construction work and to protect the traveling public. e. stamp the Plans produced by a Colorado Registered Professional Engineer. f. provide final assembly of Plans and contract documents. g. be responsible for the Plans being accurate and complete. h. make no further changes in the Plans following the award of the construction contract except by agreement in writing between the parties. The Plans shall be.considered final when approved and accepted by the parties hereto, and when final they shall be deemed incorporated herein. 2. If the Local Agency is the responsible party: a. The local agency shall comply with the requirements of the Americans With Disabilities Act(ADA), and applicable federal regulations and standards as contained in the document"ADA Accessibility Requirements in CDOT Transportation Projects". b. It shall afford the State ample opportunity to review the Plans and make any changes in the Plans that are directed by the State to comply with FHWA requirements. c. It may enter into a contract with a consultant to do all or any portion of the Plans and/or of construction administration. Provided, however, that if federal-aid funds are involved in the cost of such work to be done by a consultant, that consultant contract(and the performance/provision of the Plans under the contract)must comply with all applicable requirements of 23 CFR Part 172 and with any procedures implementing those requirements as provided by the State, including those in Attachment#1 (Exhibit H) attached hereto. If the Local Agency does enter into a contract with a consultant for the Work: (1) it shall submit a certification that procurement of any design consultant contract complied with the requirements of 23 CFR 172.5(d)prior to entering into contract. The State shall either approve or deny such procurement. If denied, the Local Agency may not enter into the contract. (2) it shall ensure that all changes in the consultant contract have prior approval by the State and FHWA. Such changes in the contract shall be by written supplement agreement. As soon as the contract with the consultant has been awarded by the Local Agency, one copy of the executed contract shall be submitted to the State. Any amendments to such contract shall also be submitted. (3) it shall require that all consultant billings under that contract shall comply with the State's standardized billing format. Examples of the billing Page 6 of 17 formats are available from the CDOT Agreements Office. (4) it (or its consultant) shall use the CDOT procedures described in Attachment 1 [change] to administer that design consultant subcontract, to comply with 23 CFR 172.5(b) and (d). (5) it may expedite any CDOT approval of its procurement process and/or consultant contract by submitting a letter to CDOT from the certifying Local Agency's attorney/authorized representative certifying compliance with Attachment 1 [change] and 23 CFR 172.5(b)and (d). (6) it shall ensure that its consultant contract complies with the requirements of 49 CFR 18.360) and contains the following language verbatim: (a) "The design work under this contract shall be compatible with the requirements of the contract between the Local Agency and the State (which is incorporated herein by this reference) for the design/construction of the project. The State is an intended third party beneficiary of this contract for that purpose." (b) "Upon advertisement of the project work for construction,the consultant shall make available services as requested by the State to assist the State in the evaluation of construction and the resolution of construction problems that may arise during the construction of the project." (c) "The consultant shall review the construction contractor's shop drawings for conformance with the contract documents and compliance with the provisions of the State's publication, Standard Specifications for Road and Bridge Construction,in connection with this work." d. The State,in its discretion,will review construction plans,special provisions and estimates and will cause the Local Agency to make changes therein that the State determines are necessary to assure compliance with State and FHWA requirements. B. Construction [if applicable] 1. If the Work includes construction, the responsible party shall perform the construction in accordance with the approved design plans and/or administer the construction all in accord with the Local Agency Contract Administration Checklist. Such administration shall include project inspection and testing;approving sources of materials; performing required plant and shop inspections; documentation of contract payments, testing and inspection activities; preparing and approving pay estimates;preparing, approving and securing the funding for contract modification orders and minor contract revisions; processing contractor claims; construction supervision; and meeting the Quality Control requirements of the FHWA/CDOT Stewardship Agreement,as described in the Local Agency Contract Administration Checklist. Page 7 of 17 2. The State shall have the authority to suspend the Work,wholly or in part,by giving written notice thereof to the Local Agency,due to the failure of the Local Agency or its contractor to correct project conditions which are unsafe for workers or for such periods as the State may deem necessary due to unsuitable weather,or for conditions considered unsuitable for the prosecution of the Work, or for any other condition or reason deemed by the State to be in the public interest. 3. If the Local Agency is the responsible party: a. it shall appoint a qualified professional engineer, licensed in the State of Colorado, as the Local Agency Project Engineer (LAPE), to perform that administration. The LAPE shall administer the project in accordance with this contract, the requirements of the construction contract and applicable State procedures. b. if bids are to be let for the construction of the project, it shall advertise the call for bids upon approval by the State and award the construction contract(s)to the low responsible bidder(s) upon approval by the State. (1) in advertising and awarding the bid for the construction of a federal- aid project, the Local Agency shall comply with applicable requirements of 23 USC § 112 and 23 CFR Parts 633 and 635 and C.R.S. § 24-92-101 et seq. Those requirements include, without limitation, that the Local Agency/contractor shall incorporate Form 1273 (Exhibit I) in its entirety verbatim into any subcontract(s) for those services as terms and conditions therefore, as required by 23 CFR 633.102(e). (2) the Local Agency has the option to accept or reject the proposal of the apparent low bidder for work on which competitive bids have been received. The Local Agency must declare the acceptance or rejection within 3 working days after said bids are publicly opened. (3) by indicating its concurrence in such award,the Local Agency,acting by or through its duly authorized representatives, agrees to provide additional funds, subject to their availability and appropriation for that purpose,if required to complete the Work under this project if no additional federal-aid funds will be made available for the project. This paragraph also applies to projects advertised and awarded by the State. c. If all or part of the construction work is to be accomplished by Local Agency personnel (i.e. by force account), rather than by a competitive bidding process, the Local Agency will ensure that all such force account work is accomplished in accordance with the pertinent State specifications and requirements with 23 CFR 635, Subpart B, Force Account Construction. (1) Such work will normally be based upon estimated quantities and firm Page 8 of 17 unit prices agreed to between the Local Agency,the State and FHWA in advance of the Work,as provided for in 23 CFR 635.204(c). Such agreed unit prices shall constitute a commitment as to the value of the Work to be performed. (2) An alternative to the above is that the Local Agency may agree to participate in the Work based on actual costs of labor, equipment rental, materials supplies and supervision necessary to complete the Work. Where actual costs are used, eligibility of cost items shall be evaluated for compliance with 48 CFR Part 31. (3) Rental rates for publicly owned equipment will be determined in accordance with the State's Standard Specifications for Road and Bridge Construction § 109.04. (4) All force account work shall have prior approval of the State and/or FHWA and shall not be initiated until the State has issued a written notice to proceed. D. State's obligations 1. The State will perform a final project inspection prior to project acceptance as a Quality Control/Assurance activity. When all Work has been satisfactorily completed, the State will sign the FHWA Form 1212. 2. Notwithstanding any consents or approvals given by the State for the Plans,the State will not be liable or responsible in any manner for the structural design, details or construction of any major structures that are designed by or are the responsibility of the Local Agency as identified in the Local Agency Contract Administration Checklist, Exhibit G,within the Work of this contract. Section 7. ROW Acquisition and Relocation Prior to this project being advertised for bids,the Responsible Party will certify in writing to the State that all right of way has been acquired in accordance with the applicable State and federal regulations, or that no additional right of way is required. Any acquisition/relocation activities must comply with all federal and state statutes, regulations, CDOT policies and procedures, 49 CFR Part 24, the government wide Uniform Act regulation,the FHWA Project Development Guide and CDOT's Right of Way Operations Manual. Allocation of Responsibilities can be as follows: • Federal participation in right of way acquisition(3111 charges),relocation(3109 charges) activities, if any, and right of way incidentals (expenses incidental to acquisition/relocation of right of way—3114 charges); • Federal participation in right of way acquisition(3111 charges),relocation(3109 charges)but no participation in incidental expenses (3114 charges); or • No federal participation in right of way acquisition(311 charges)and relocation Page 9 of 17 activities (3109 expenses). Regardless of the option selected above, the State retains oversight responsibilities. The Local Agency's and the State's responsibilities for each option is specifically set forth in CDOT's Right of Way Operation Manual. The manual is located at http://ww-w.dot.state.co.us/DevelopProjects/DesignSupport. Section 8. Utilities If necessary,the Responsible Party will be responsible for obtaining the proper clearance or approval from any utility company which may become involved in this Project. Prior to this Project being advertised for bids, the Responsible Party will certify in writing to the State that all such clearances have been obtained. Section 9. Railroads In the event the Project involves modification of a railroad company's facilities whereby the Work is to be accomplished by railroad company forces, the Responsible Party shall make timely application to the Public Utilities Commission requesting its order providing for the installation of the proposed improvements and not proceed with that part of the Work without compliance. The Responsible Party shall also establish contact with the railroad company involved for the purpose of complying with applicable provisions of 23 CFR 646, subpart B, concerning federal-aid projects involving railroad facilities, including: 1. Executing an agreement setting out what work is to be accomplished and the location(s)thereof,and that the costs of the improvement shall be eligible for federal participation. 2. Obtaining the railroad's detailed estimate of the cost of the Work. 3. Establishing future maintenance responsibilities for the proposed installation. 4. Proscribing future use or dispositions of the proposed improvements in the event of abandonment or elimination of a grade crossing. 5. Establishing future repair and/or replacement responsibilities in the event of accidental destruction or damage to the installation. Section 10. Environmental Obligations The Local Agency shall perform all Work in accordance with the requirements of the current federal and state environmental regulations including the National Environmental Policy Act of 1969 (NEPA) as applicable. Section 11. Maintenance Obligations The Local Agency will maintain and operate the improvements constructed under this contract at its own cost and expense during their useful life,in a manner satisfactory to the State and FHWA. The Local Agency will make proper provisions for such maintenance obligations each year. Such maintenance and operations shall be conducted in accordance with all applicable statutes, Page 10 of 17 ordinances and regulations which define the Local Agency's obligations to maintain such improvements. The State and FHWA will make periodic inspections of the project to verify that such improvements are being adequately maintained. Section 12. Federal Requirements The Local Agency and/or their contractor shall at all times during the execution of this contract strictly adhere to, and comply with, all applicable federal and state laws, and their implementing regulations, as they currently exist and may hereafter be amended. The contractor shall also require compliance with these statutes and regulations in subgrant agreements permitted under this contract. A listing of certain federal and state laws that may be applicable are described in Exhibit J. Section 13. Record Keeping The Local Agency shall maintain a complete file of all records,documents,communications, and other written materials which pertain to the costs incurred under this contract. The Local Agency shall maintain such records for a period of six(6)years after the date of termination of this contract or final payment hereunder, whichever is later, or for such further period as may be necessary to resolve any matters which may be pending. The Local Agency shall make such materials available for inspection at all reasonable times and shall permit duly authorized agents and employees of the State and FHWA to inspect the project and to inspect,review and audit the project records. Section 14. Termination Provisions This contract may be terminated as follows: A. Termination for Convenience. The State may terminate this contract at any time the State determines that the purposes of the distribution of moneys under the contract would no longer be served by completion of the project. The State shall effect such termination by giving written notice of termination to the Local Agency and specifying the effective date thereof, at least twenty (20) days before the effective date of such termination. B. Termination for Cause. If, through any cause,the Local Agency shall fail to fulfill,in a timely and proper manner,its obligations under this contract,or 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 receive just and equitable compensation for any services and supplies delivered and accepted. The Local Agency shall be obligated to return any payments advanced under the provisions of this contract. Page 11 of 17 Notwithstanding the above,the Local Agency shall not be relieved of liability to the State for any damages sustained by the State by virtue of any breach of the contract by the Local Agency,and the State may withhold payment to the Local Agency for the purposes of mitigating its damages until such time as the exact amount of damages due to the State from the Local Agency is determined. If after such termination it is determined, for any reason, that the Local Agency was not in default or that the Local Agency's action/inaction was excusable,such termination shall be treated as a termination for convenience,and the rights and obligations of the parties shall be the same as if the contract had been terminated for convenience, as described herein. C. Termination Due to Loss of Funding. The parties hereto expressly recognize that the Local Agency is to be paid,reimbursed,or otherwise compensated with federal and/or State funds which are available to the State for the purposes of contracting for the Project provided for herein, and therefore,the Local Agency expressly understands and agrees that all its rights,demands and claims to compensation arising under this contract are contingent upon availability of such funds to the State. In the event that such funds or any part thereof are not available to the State, the State may immediately terminate or amend this contract. Section 15. Legal Authority The Local Agency warrants that it possesses the legal authority to enter into this contract and that it has taken all actions required by its procedures,by-laws,and/or applicable law to exercise that authority,and to lawfully authorize its undersigned signatory to execute this contract and to bind the Local Agency to its terms. The person(s) executing this contract on behalf of the Local Agency warrants that such person(s)has full authorization to execute this contract. Section 16. Representatives and Notice The State will provide liaison with the Local Agency through the State's Region Director, Region 4, 1420 2nd Street, Greeley, Colorado 80631, (970)350-2101. Said Region Director will also be responsible for coordinating the State's activities under this contract and will also issue a "Notice to Proceed" to the Local Agency for commencement of the Work. All communications relating to the day-to-day activities for the work shall be exchanged between representatives of the State's Transportation Region 4 and the Local Agency. All communication, notices, and correspondence shall be addressed to the individuals identified below. Either party may from time to time designate in writing new or substitute representatives. If to State: If to the Local Agency: Wendy Turner Wayne Howard CDOT Region 4 Traffic Weld County 1420 2nd Street PO Box 758 Greeley, Colorado 80631 Greeley, Colorado 80632 Page 12 of 17 (970)350-2182 (970)350-4000 Section 17. Successors 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. Section 18. Third Party Beneficiaries 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 State and the Local Agency. Nothing contained in this contract shall give or allow any claim or right of action whatsoever by any other third person. It is the express intention of the State and the Local Agency that any such person or entity,other than the State or the Local Agency receiving services or benefits under this contract shall be deemed an incidental beneficiary only. Section 19. Governmental Immunity Notwithstanding any other provision of this contract to the contrary,no term or condition of this contract shall be construed or interpreted as a waiver, express or implied, of any of the immunities,rights,benefits,protection,or other provisions of the Colorado Governmental Immunity Act, § 24-10-101, et seq., C.R.S., as now or hereafter amended. The parties understand and agree that liability for claims for injuries to persons or property arising out of negligence of the State of Colorado, its departments,institutions, agencies,boards, officials and employees is controlled and limited by the provisions of§ 24-10-101, et seq., C.R.S., as now or hereafter amended and the risk management statutes, §§ 24-30-1501, et seq., C.R.S., as now or hereafter amended. Section 20. Severability To the extent that this contract may be executed and performance of the obligations of the parties 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. Section 21. Waiver The waiver of any breach of a term, provision, or requirement of this contract shall not be construed or deemed as a waiver of any subsequent breach of such term,provision,or requirement, or of any other term, provision or requirement. Section 22. Entire Understanding This contract is intended as the complete integration of all understandings between the parties. No prior or contemporaneous addition,deletion,or other amendment hereto shall have any force or effect whatsoever, unless embodied herein by writing. No subsequent novation,renewal, Page 13 of 17 addition, deletion, or other amendment hereto shall have any force or effect unless embodied in a writing executed and approved pursuant to the State Fiscal Rules. Section 23. Survival of Contract Terms Notwithstanding anything herein to the contrary, the parties understand and agree that all terms and conditions of this contract and the exhibits and attachments hereto which may require continued performance, compliance or effect beyond the 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. Section 24. Modification and Amendment This contract is subject to such modifications as may be required by changes in federal or State law,or their implementing regulations. Any such required modification shall automatically be incorporated into and be part of this contract on the effective date of such change as if fully set forth herein. Except as provided above,no modification of this contract shall be effective unless agreed to in writing by both parties in an amendment to this contract that is properly executed and approved in accordance with applicable law. Section 25. Funding Letters The State may allocate more or less funds available on this contract using a Funding Letter substantially equivalent to Exhibit F 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. Section 26. Disadvantaged Business Enterprise (DBE) The Local Agency will comply with all requirements of Exhibit E and the Local Agency Contract Administration Checklist regarding DBE requirements for the Work, except that if the Local Agency desires to use its own DBE program to implement and administer the DBE provisions of 49 CFR Part 26 under this contract, it must submit a copy of its program's requirements to the State for review and approval before the execution of this contract. If the Local Agency uses its program for this contract,the Local Agency shall be solely responsible to defend that DBE program and its use of that program against all legal and other challenges or complaints, at its sole cost and expense. Such responsibility includes, without limitation, determinations concerning DBE eligibility requirements and certification,adequate legal and factual bases for DBE goals and good faith efforts. State approval (if provided) of the Local Agency's DBE program does not waive or modify the sole responsibility of the Local Agency for its use as described above. Section 27. Disputes Except as otherwise provided in this contract, any dispute concerning a question of fact arising under this contract which is not disposed of by agreement will be decided by the Chief Engineer of the Department of Transportation. The decision of the Chief Engineer will be final and Page 14 of 17 conclusive unless, within 30 calendar days after the date of receipt of a copy of such written decision,the Local Agency mails or otherwise furnishes to the State a written appeal addressed to the Executive Director of the Department of Transportation. In connection with any appeal proceeding under this clause,the Local Agency shall be afforded an opportunity to be heard and to offer evidence in support of its appeal. Pending final decision of a dispute hereunder, the Local Agency shall proceed diligently with the performance of the contract in accordance with the Chief Engineer's decision. The decision of the Executive Director or his duly authorized representative for the determination of such appeals will be final and conclusive and serve as final agency action. This dispute clause does not preclude consideration of questions of law in connection with decisions provided for herein. Nothing in this contract, however, shall be construed as making final the decision of any administrative official, representative, or board on a question of law. Section 28. Single Audit Act Amendment All state and local government and non-profit organization Sub-Grantees receiving more than $300,000 from all funding sources, that are defined as federal financial assistance for Single Audit Act Amendment purposes, shall comply with the audit requirements of OMB Circular A-133 (Audits of States, Local Governments and Non-Profit Organizations) see also, 49 CFR 18.20 through 18.26. The Single Audit Act Amendment requirements that apply to Sub-Grantees receiving federal funds are as follows: a) If the Sub-Grantee expends less than $300,000 in Federal funds (all federal sources, not just Highway funds) in its fiscal year then this requirement does not apply. b)If the Sub-Grantee expends more than $300,000 in Federal funds, but only received federal Highway funds(Catalog of Federal Domestic Assistance,CFDA 20.205)then a program specific audit shall be performed. This audit will examine the"financial"procedures and processes for this program area. c)If the Sub-Grantee expends more than$300,000 in Federal funds,and the Federal funds are from multiple sources(FTA,HUD,NPS,etc.)then the Single Audit Act applies,which is an audit on the entire organization/entity. d)Single Audit can only be conducted by an independent CPA, not by an auditor on staff. e)An audit is an allowable direct or indirect cost. • Page 15 of 17 Section 29. SPECIAL PROVISIONS jFor Use Only with Inter-Governmental Contracts) 1. CONTROLLERS 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 To the extent authorized by law,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. 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 byway 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. SOFTWARE PIRACY PROHIBITION Governor's Executive Order D 002 00 No State or other public funds payable under this Contract shall be used for the acquisition,operation,or maintenance of computer software in violation of United States copyright laws or applicable licensing restrictions.The Contractor hereby certifies that,for the term of this Contract and any extensions, the Contractor has in place appropriate systems and controls to prevent such improper use of public funds. If the State determines that the Contractor is in violation of this paragraph,the State may exercise any remedy available at law or equity or under this Contract,including,without limitation,immediate termination of the Contract and any remedy consistent with United States copyright laws or applicable licensing restrictions. 8. 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. Effective Date:August 1,2005 Page 16 of 17 THE PARTIES HERETO HAVE EXECUTED THIS CONTRACT CONTRACTOR: STATE OF COLORADO: BILL OWENS,GOVERNOR Weld County By Cn S. a — Legal Name of Contracting Entityxecutiv n c erector Departm of Transportation 846000813 Social Security Number or FEIN `/v•---'i LEGAL REVIEW: Signature of Authorized Officer JOHN W. SUTHERS ATTORNEY GENERAL William H. Jerke, Chair By �tiLA, - &L.e Print Name&Title of Authorized Officer 10/26/2005 CORPORATIONS: (A corporate att ation 's ire \A-Alit , cce 6.4 Attest(Seal)By „ 1 tit , .�: S2 � re U� ( porate seal here,if available) Dep ty Clerk to the Board `n c F..", ALL CONTRACTS MUST BE APPROVED BY THE ST Qt LER CRS 24-30-202 requires that the State Controller approve all state contracts.This contract is not valid until the State Controller, or such assistant as he may delegate,has signed it.The contractor is not authorized to begin performance until the contract is signed and dated below. If performance begins prior to the date below,the State of Colorado may not be obligated to pay for the goods and/or services provided. STATE CONTROLLER: LESLIE M. SHENEFELT By e /M Date Effective Date:August 1,2005 Page 17 of 17 a'dOS --,a/aJ) Exhibit A FORM 463 or SCOPE OF WORK • Colorado Department of Transportation Origin Date: Project code: 14990 STIP number: UF5779 DESIGN DATA Revise Date: Project number:BRO C030-032 • PE Project Code PE Project Number I Metric [j English Revision#: Page 1 Region: 04 Status: 0 preliminary (0 final (a revised I Prepared by: Revised by: Project description:WCR 87 Bridge @ S. Platte R. Wendy Turner Countyl: Weld ICounty2: ICounty3: Date: 08/23/2005 Date: Municipality: Submitted by Proj.Mgr Approved by Preconstruction Engineer: System code: Not on any Federal-Aid System 7I1SRI. I Oversight: Exempt Date: Planned length: Geographic location: In Weld County Terrain type: () Level C,) Plains • Rolling Q Urban tJ Mountainous Description of proposed construction/improvement(attach map showing site location) Off System Bridge Replacement on Weld County Road 87 at the South Platte River. OTraffic (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 J ❑ Li B I I I I I I ❑ I ❑ I ❑ I ❑i c I I I I I IIII ©RdwyClass Route Refpt Endrefpt Functional classification Facility type Rural code 1. 999 Local Undivided 5,000-49,999 2. 3. ©Design Standards (Identify substandard items with a checkmark in 1st column and clarify in remarks) Standard Existing Proposed Ultimate Standard Existing Proposed Ultimate Standard Existing Proposed Ultimate Ill Surface type Typical section type #of travel lanes Li Width of travel lanes Eli Shoulder wd. It./median Shoulder wd rt./outside r 1 Side slope dist. ("z") Median width (`r r- Posted speed 1 Design speed I Max. superelevation I I Min.radius Min. horizontal ssd r1 Min.vertical ssd a+ at Max.grade d Project under C ) 1R C) 3R (_) 4R • Other: BRO criteria Existing guardrail meets current standards: ( ) Yes O No Q Variance in minimum design standards required () Yes C) No L i Safety project Comments: F Hi Justification attached Request to be submitted Not all standards m j Bridge(see item 4) See remarks addressed I �Stage construction X 1-1 LL, Resurfacing projects Recommendations conceming safety aspects attached CDOT Form#463 12/2003 Page 2 Project Code: 14990 I Project Number: BRO C030-032 I Revise Date: -II Major Structures . S=to stay,R=to be removed,P=proposed new structure J Standard Structure Horizontal Vertical Year Structure ID# I Length Ref. Point Feature Intersected Width Rdwy Load Clearance Clearance Built WEL087.0-042.5A Proposed treatment of bridges to remain in place(address bridge rail,capacity,and allowable surface thickness) ©Project Characteristics (proposed) Median type:( ) depressed it) painted ) raised i ; none 1 I Lighting Handicap ramps rn Traffic control signals LjStdping LLCurb and gutter Curb only P1 Left-turn slots continuous width= r 1Sidewalk width= L—Bikeway width= n Right-turn slots r 'continuous width= Fr Parking lane width= Detours Signing: (construction LII permanent Landscape requirements:(description) Other (description) Seeding,Mulching Bridge Replacement 6 Right of Way Yes No Est.No. EI Utilities (list names of known utility companies) ROW and/or perm.easement required: Relocation required: () • Temporary easement required: • it Changes in access: Changes to connecting roads: fiRailroad crossings #of crossings: Agreements Railroad Name required Present protection Condition of x'ings 1 i 3I I iii I I I 4I I ❑ I Recommendations: ['Environmental Type: (—\ Comments: n Coordination 9c--)\Withdrawn lands(power sites, reservoirs,etc.)cleared through BLM forest service office Irrigation ditch name: New traffic ordinance required I I i Modify schedule of existing ordinance Municipality:Weld County CI Other: d. Construction method noAdReason:/,,,) Design C Local F/A Advertised by: ( State ( ) P.O. O RR F/A Entity/Agency contact name: Wayne Howard Q l— • Local ii) Study () Utility F/A Phone number: 970-356-4000 m O None !_) CDOT F/A Miscellaneous ®Remarks (Include additional pages if needed) X LLJ Weld County will is responsible for design,utilities,environmental, ROW,advertisement,award,and construction management. Original to: Central files Copies to: Region Files, Region Environmental Program Manager, Staff ROW,Staff Bridge or other when appropriate Exhibit B LOCAL AGENCY ORDINANCE or RESOLUTION iflairrE NOV - 8 72/35 RESOLUTION WELD COUNTY PUBLIC WORKS DEPT RE: APPROVE CONTRACT FOR THE REPLACEMENT OF BRIDGE 87/42.5A OVER THE SOUTH PLATTE RIVER AND AUTHORIZE CHAIR TO SIGN - COLORADO DEPARTMENT OF TRANSPORTATION (CDOT) 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 Contract for the Replacement of Bridge 87/42.5 over the South Platte River between the County of Weld,State of Colorado,by and through the Board of County Commissioners of Weld County,on behalf of the Department of Public Works, and Colorado Department of Transportation(CDOT),commencing upon full execution,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 Contract for the Replacement of Bridge 87/42.5 over the South Platte River between the County of Weld, State of Colorado, by and through the Board of County Commissioners of Weld County, on behalf of the Department of Public Works, and Colorado Department of Transportation (CDOT) 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 26th day of October, A.D., 2005. I� I / "OARD OF COUNTY COMMISSIONERS - X12 ELD COUNTY, COLORADO � � •at ATTEST: gay� �} �� (� �•='f, "ssc�7 ..>.. ( ,�:: { '•st" �; iam H. Jer. hair Weld County Clerk to the B. n Prr r o BY: - °4 . 1 Q.61 M\�`il , Pro- em =•utyC 'rkto the B•$ d • OD 'd Long a APPROV AS • % J m Robert asd n �B6unty ttomeyV i Glenn Vaa Date of signature: " I2 105 2005-3128 CO . pcA) EG0052 -o o-os— EXHIBIT C 'FUNDING PROVISIONS A. The Local Agency has estimated the total cost the Work to be$1,384,000.00 which is to be funded as follows: 1 BUDGETED FUNDS a. Federal Funds $1,074,092.00 (80% of Participating Costs) b. Local Agency Matching Funds $268,738.00 (20%of Participating Costs) Local Agency Matching for CDOT- c. Incurred Non-Participating Costs $40,310.00 (Including Non-Participating Indirects) TOTAL BUDGETED FUNDS $1,384,000.00 2 ESTIMATED CDOT-INCURRED COSTS a. Federal Share $16,000.00 (80%of Participating Costs) b. Local Share Local Agency Share of Participating Costs $4,000.00 Non-Participating Costs(Including Non- Participating Indirects) $2,000.00 Estimated to be Billed to Local Agency $6,000.00 TOTAL ESTIMATED CDOT-INCURRED COSTS $22,000.00 3 ESTIMATED PAYMENT TO LOCAL AGENCY a. Federal Funds Budgeted (1a) $1,074,952.00 b. Less Estimated Federal Share of CDOT-Incurred Costs (2a) $16,000.00 TOTAL ESTIMATED PAYMENT TO LOCAL AGENCY $1,058,952.00 FOR CDOT ENCUMBRANCE PURPOSES Total Encumbrance Amount ($1,058,952.00 divided by 80%) $1,323,690.00 Less ROW Acquisition 3111 and/or ROW Relocation 3109 $0.00 Net to be encumbered as follows: $1,323,690.00 Design 2312 1P 3020 $384,000.00 Fiscal Year 2006 Construction 2312 1P 3301 $839,690.00 Utility 2312 1P 3301 $20,000.00 ROW2312 1P 3114 $80,000.00 Exhibit C—Page 1 of 2 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 $1,323,690.00 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 $1,323,690.00, 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 $1,323,690.00, 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 $1,058,952.00 (For CDOT accounting purposes, the federal funds of$1,058,952 and local matching funds of $264,738.00 will be encumbered for a total encumbrance of $1,323,690.00),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. Exhibit C—Page 2 of 2 Exhibit D Certification for Federal-Aid Contracts The contractor certifies, by signing this contract, to the best of its knowledge and belief, that: 1. No Federal appropriated funds have been paid or will be paid, by or on behalf or the undersigned,to any person for influencing or attempting to influence an officer or employee of any Federal agency, a Member of Congress, an officer or employee of Congress, or an employee of a Member of Congress in connection with the awarding of any Federal loan,the entering into of any cooperative agreement,and the extension,continuation,renewal,amendment,or modification of any Federal contract, grant, loan, or cooperative agreement. 2. If any funds other than Federal appropriated funds have been paid or will be paid to any person for influencing or attempting to influence an officer or of Congress, or an employee of a Member of Congress in connection with this Federal contract,grant,loan,or cooperative agreement, the undersigned shall complete and submit Standard Form-LLL, "Disclosure Form to Report Lobbying," in accordance with its instructions. This certification is a material representation of fact upon which reliance was placed when this transaction was made or entered into. Submission of this certification is a prerequisite for making or entering into this transaction imposed by Section 1352,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 Exhibit D—Page 1 of 1 Exhibit E 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 Depailuient 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 Exhibit E—Page 1 of 1 • Exhibit F COLORADO DEPARTMENT OF TRANSPORTATION CONTRACT AUTHORITY: FUNDING INCREASE/DECREASE AND APPROVAL LETTER Region: State Controller Policy letter on June 12, 1996 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#1 thru#.3 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 (1 8) 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) Exhibit F—Page 1 of 1 Exhibit G LOCAL AGENCY CONTRACT ADMINISTRATION CHECKLIST CDOT Form 1243 Exhibit G—Page 1 of 1 COLORADO DEPARTMENT OF TRANSPORTATION LOCAL AGENCY CONTRACT ADMINISTRATION CHECKLIST Project No. STIP No. Project Code Region BRO C030-032 UF5779 14990 4 Project Location Date WCR 87 Bridge @ S. Platte R. 8/23/05 Project Description WCR 87 @ S. Platte R. Local Agency Local Agency Project Manager Weld County Wayne Howard CDOT Residert E i eer CDOT Project Manager Pete, Graham tier tiencli turner INSTRUCTIONS: This checklist shall be utilized to establish the contract administration responsibilities of the individual parties to this agreement. The checklist becomes an attachment to the Local Agency agreement. Section numbers correspond to the applicable chapters of the CDOT Local Agency Manual. The checklist shall be prepared by placing an"X" under the responsible party, opposite each of the tasks. The"X" denotes the party responsible for initiating and executing the task. Only one responsible party should be selected.When neither CDOT nor the Local Agency is responsible for a task, not applicable(NA)shall be noted. In addition,a"#"will denote that CDOT must concur or approve. Tasks that will be performed by Headquarters staff will be indicated.The Regions,in accordance with established policies and procedures, will determine who will perform all other tasks that are the responsibility of CDOT. The checklist shall be prepared by the CDOT Resident Engineer or the CDOT Project Manager, in cooperation with the Local Agency Project Manager, and submitted to the Region Program Engineer. If contract administration responsibilities change,the CDOT Resident Engineer, in cooperation with the Local Agency Project Manager,will prepare and distribute a revised checklist. RESPONSIBLE NO. DESCRIPTION OF TASK PARTY LA CDOT TIP /STIP AND LONG-RANGE PLANS 2-1 I Review to ensure consistency with STIP and amendments thereto I I X FEDERAL FUNDING OBLIGATION AND AUTHORIZATION 4-1 Authorize funding by phases(CDOT Form 418-Federal-aid Program Data.Requires FHWA X concurrence/involvement) PROJECT DEVELOPMENT 5-1 Prepare Design Data-CDOT Form 463 X X 5-2 Prepare Local Agency/CDOT Inter-Governmental Agreement(see also Chapter 3) X 5-3 Conduct consultant selection/execute agreement X # 5-4 Conduct Design Scoping Review meeting X # 5-5 Conduct public involvement X 5-6 Conduct Field Inspection Review X X 5-7 Conduct environmental processes(may require FHWA concurrence/involvement) X X 5-8 Acquire right-of-way(may require FHWA concurrence/involvement) X # 5-9 Obtain utility and railroad agreements X 5-10 Conduct Final Office Review X X 5-11 Justify force account work by the Local Agency X # 5-12 Justify proprietary items X # 5-13 Document design exceptions-CDOT Form 464 X # 5-14 Prepare plans, specifications and construction cost estimates X # 5-15 Ensure authorization of funds - X CDOT Form 1243 07/02 Pagel of 4 Previous editions are obsolete and may not be used • RESPONSIBLE NO. DESCRIPTION OF TASK PARTY LA CDOT PROJECT DEVELOPMENT CIVIL RIGHTS AND LABOR COMPLIANCE 6-1 Set Underutilized Disadvantaged Business Enterprise (UBDE)goals for consultant and X construction Contracts(CDOT Region EEO/Civil Rights Specialist) 6-2 Determine applicability of Davis-Bacon Act X This project 0 is ❑ is not exempt from Davis-Bacon requirements as determined by the functional classification of the project location (Projects located on local roads and rural minor collectors may be exempt.) Vkid, Graham 8- 23•OS CDOT Resident Engineer Date 6-3 Set On-the-Job Training goals. Goal is zero if total construction is less than$1 million(CDOT X Region EEO/Civil Rights Specialist) ` Ensure the correct Federal Wage Decision, all required Disadvantaged Business ' .:'a Enterprise/On-the-Job Training special provisions and FHWA Form 1273 are included in the , Contract(CDOT Resident Engineer) X ADVERTISE, BID AND AWARD 7-1 Obtain approval for advertisement period of less than three weeks X tf 7-2 Advertise for bids X 7-3 Distribute"advertisement set"of plans and specifications X 7-4 Review worksite and plan details with prospective bidders while project is under X advertisement 7-5 Open bids X 7:6 Process bids for com.liance a t ;ry 1.' 12 * • `' ww* Check CDOT Form 715-Certificate of Proposed Underutilized DBE Participation when the i>;•H ' low bidder meets UDBE goals X Evaluate CDOT Form 718-Underutilized DBE Good Faith Effort Documentation and determine if the Contractor has made a good faith effort when the low bidder does not meet X s F n _.,.�kK DBE goals • Submit required documentation for CDOT award concurrence X 7-7 Concurrence from CDOT to award X 7-8 Approve rejection of low bidder X 7-9 Award Contract X 7-10 Provide"award"and"record"sets of plans and specifications X CONSTRUCTION MANAGEMENT 8-1 Issue Notice to Proceed to the Contractor I X j 8-2 Conduct conferences: Preconstruction (Appendix B) X Presurvey • Construction staking X • Monumentation X Partnering (Optional) X Structural Concrete Pre-Pour(Agenda is in CDOT Construction Manual) X Concrete Pavement Pre-Paving (Agenda is in CDOT Construction Manual) X HBP Pre-Paving(Agenda is in CDOT Construction Manual) X 8-3 Develop and distribute Public Notice of Planned Construction to media and local residents X 8-4 Supervise construction ' A Professional Engineer(PE) registered in Colorado,who will be"in responsible charge of construction supervision." • he, Howar 970 -350-4Cbo ce' Local Arlen Professional Engin er or Phone number CDOT Form 1243 07/02 Page2 of 4 Previous editions are obsolete and may not be used RESPONSIBLE NO. DESCRIPTION OF TASK PARTY LA CDOT CDOT Resident Engineer Provide competent, experienced staff who will ensure the Contract work is constructed in accordance with the plans and specifications X :< Construction inspection and documentation X 8-5 Approve shop drawings X 8-6 Perform traffic control inspections X X 8-7 Perform construction surveying X 8-8 Monument right-of-way X 8-9 Prepare and approve interim and final Contractor pay estimates X Provide the name and phone number of the person authorized for this task. l,Jo.gnt howard 470-3519-4000 Local Age cy Representative Phone number 8-10 Prepare and approve interim and final utility/railroad billings X 8-11 Prepare Local Agency reimbursement requests X 8-12 Prepare and authorize change orders X 8-13 Approve all change orders X 8-14 Monitor project financial status X 8-15 Prepare and submit monthly progress reports X 8-16 Resolve Contractor claims/disputes X 8-17 Conduct routine, random project reviews Provide the name and phone number of the person responsible for this task. X kit Ca.ha in 970-350-2126 CDOT Resident Engineer Phone number MATERIALS 9-1 Conduct Materials Preconstruction meeting X 9-2 CDOT Form 250-Materials Documentation Record • Generate form,which includes determining the minimum number of required tests and X applicable material submittals for all materials placed on the project • Update the form as work progresses X • Complete and distribute form after work is completed X 9-3 Perform project acceptance samples and tests X 9-4 Perform laboratory verification tests X 9-5 Accept manufactured products X Inspection of structural components: • Fabrication of structural steel and pre-stressed concrete structural components X • Bridge modular expansion devices (0"to 6"or greater) X • Fabrication of bearing devices X 9-6 Approve sources of materials X 9-7 Independent Assurance Testing (IAT), Local Agency Procedures O CDOT Procedures • Generate IAT schedule X • Schedule and provide notification X • Conduct IAT X 9-8 Approve mix designs • Concrete X • Hot bituminous pavement X 9-9 Check final materials documentation X 9-10 Complete and distribute final materials documentation X CDOT Form 1243 07/02 Page3 of 4 Previous editions are obsolete and may not be used • • CONSTRUCTION CIVIL RIGHTS AND LABOR COMPLIANCE 10-1 Fulfill project bulletin board and preconstruction packet requirements X 10-2 CDOT Form 205-Sublet Permit Application Review and sign completed CDOT Form 205 for each subcontractor, and submit to X # EEO/Civil Rights Specialist 10-3 Conduct employee interviews.Complete CDOT Form 280-Equal Employment Opportunity X and Labor Compliance Verification 10-4 Monitor Disadvantaged Business Enterprise participation to ensure compliance with the X "commercially useful function"requirements 10-5 Conduct trainee interviews. Complete CDOT Form 200-OJT Training Questionnaire when X project utilizes on-the-job trainees 10-6 Check certified payrolls(Contact the Region EEO/Civil Rights Specialists for training requirements.) X 10-7 Submit FHWA Form 1391 -Highway Construction Contractor's Annual EEO Report X FINALS 11-1 Conduct final project inspection, and complete and submit CDOT Form 1212-Final X Acceptance Report(Resident Engineer with mandatory Local Agency participation.) 11-2 Write final project acceptance letter X 11-3 Advertise for final settlement X 11-4 Prepare and distribute final As-Constructed plans X 11-5 Check final quantities,final plans and the final pay estimate X 11-6 Check material documentation and submit final material certification(see Chapter 9) X 11-7 Obtain CDOT Form 17-Contractor DBE Payment Certification from the Contactor and X submit to the Resident Engineer 11-8 Process final payment X 11-9 Obtain FHWA Form 47-Statement of Materials and Labor Used ... from the Contractor X 11-10 Complete and submit CDOT Form 950- Project Closure X 11-11 Retain project records for six years from date of project closure X X 11-12 Retain final version of this checklist and distribute copies X cc: CDOT Resident Engineer/Project Manager CDOT Region Program Engineer CDOT Region EEO/Civil Rights Specialist CDOT Region Materials Engineer CDOT Contracts and Market Analysis Branch Local Agency Project Manager CDOT Form 1243 07/02 Pageiv of 4 Previous editions are obsolete and may not be used Exhibit H 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: I. 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 often 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, Exhibit H—Page 1 of 2 • Exhibit H f. Volume of previously awarded contracts,and g. Involvement of minority consultants. Under 24-30-1401,cost shall not be considered as a factor in the evaluation of professional consultant services. 6. Once a consultant is selected,the local 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 of48 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. • Exhibit H—Page 2 of 2 Exhibit I FHWA-1273 Electronic version—March 10.1994 FHWA Form 1273 REQUIRED CONTRACT PROVISIONS FEDERAL-AID CONSTRUCTION CONTRACTS I. General 1 6. Selection of Labor: During the performance of this con- II. Nondiscrimination 1 tract,the contractor shall not: III. Nonsegregated Facilities 3 IV. Payment of Predetermined Minimum Wage 3 a. discriminate against labor from any other State,posses- V. Statements and Payrolls 6 sion, or territory of the United States (except for employment VI. Record of Materials,Supplies,and Labor 6 preference for Appalachian contracts, when applicable, as VII. Subletting or Assigning the Contract 7 specified in Attachment A),or VIII. Safety: Accident Prevention 7 IX. False Statements Concerning Highway Projects 7 b. employ convict labor for any purpose within the limits of X. Implementation of Clean Air Act and Federal the project unless it is labor performed by convicts who are on Water Pollution Control Act 8 parole,supervised release,or probation. XI. Certification Regarding Debarment,Suspension, Ineligibility,and Voluntary Exclusion 8 II. NONDISCRIMINATION XII. Certification Regarding Use of Contract Funds for Lobbying 9 (Applicable to all Federal-aid construction contracts and to all related subcontracts of$10,000 or more.) ATTACHMENTS 1. Equal Employment Opportunity: Equal employment A. Employment Preference for Appalachian Contracts opportunity(EEO)requirements not to discriminate and to take (included in Appalachian contracts only) affirmative action to assure equal opportunity as set forth under laws,executive orders, rules,regulations(28 CFR 35,29 CFR I. GENERAL 1630 and 41 CFR 60)and orders of the Secretary of Labor as modified by the provisions prescribed herein, and imposed 1. These contract provisions shall apply to all work performed pursuant to 23 U.S.C. 140 shall constitute the EEO and specific on the contract by the contractor's own organization and with the affirmative action standards for the contractor's project activities assistance of workers under the contractors immediate superin- under this contract. The Equal Opportunity Construction Contract tendence and to all work performed on the contract by piecework, Specifications set forth under4l CFR 60-4.3 and the provisions of station work,or by subcontract. the American Disabilities Act of 1990(42 U.S.C. 12101 et seq.) set forth under 28 CFR 35 and 29 CFR 1630 are incorporated by 2. Except as otherwise provided for in each section, the reference in this contract. In the execution of this contract,the contractor shall insert in each subcontract all of the stipulations contractor agrees to comply with the following minimum specific contained in these Required Contract Provisions, and further requirement activities of EEO: require their inclusion in any lower tier subcontract or purchase order that may in turn be made. The Required Contract Provi- a. The contractor will work with the State highway agency sions shall not be incorporated by reference in any case. The (SHA)and the Federal Govemment in carrying out EEO obliga- prime contractor shall be responsible for compliance by any bons and in their review of his/her activities under the contract. subcontractor or lower tier subcontractor with these Required Contract Provisions. b. The contractor will accept as his operating p p g policy the following statement: 3. A breach of any of the stipulations contained in these Required Contract Provisions shall be sufficient grounds for "It is the policy of this Company to assure that applicants are termination of the contract. employed,and that employees are treated during employ- ment, without regard to their race, religion, sex, color, 4. A breach of the following clauses of the Required Contract national origin,age or disability. Such action shall include: Provisions may also be grounds for debarment as provided in 29 employment,upgrading,demotion,or transfer;recruitment or CFR 5.12: recruitment advertising;layoff or termination;rates of pay or other forms of compensation; and selection for training, Section I,paragraph 2; including apprenticeship, preapprenticeship, and/or Section IV,paragraphs 1,2,3,4,and 7; on-the-job training." Section V,paragraphs 1 and 2a through 2g. 2. EEO Officer: The contractor will designate and make 5. Disputes arising out of the labor standards provisions of known to the SHA contracting officers an EEO Officer who will Section IV(except paragraph 5)and Section V of these Required have the responsibility for and must be capable of effectively Contract Provisions shall not be subject to the general disputes administering and promoting an active contractor program of EEO clause of this contract. Such disputes shall be resolved in accor- and who must be assigned adequate authority and responsibility dance with the procedures of the U.S.Department of Labor(DOL) to do so. as set forth in 29 CFR 5,6,and 7. Disputes within the meaning of this clause include disputes between the contractor(or any of its 3. Dissemination of Policy: All members of the contractor's subcontractors) and the contracting agency, the DOL, or the staff who are authorized to hire, supervise, promote, and contractor's employees or their representatives. discharge employees,or who recommend such action,or who are Exhibit I - Page 1 of 9 Exhibit I substantially involved in such action,will be made fully cognizant personnel. of, and will implement, the contractor's EEO policy and contractual responsibilities to provide EEO in each grade and b. The contractor will periodically evaluate the spread of classification of employment. To ensure that the above wages paid within each classification to determine any evidence agreement will be met,the following actions will be taken as a of discriminatory wage practices. minimum: c. The contractor will periodically review selected a. Periodic meetings of supervisory and personnel office personnel actions in depth to determine whether there is evidence employees will be conducted before the start of work and then not of discrimination. Where evidence is found, the contractor will less often than once every six months,at which time the contract- promptly take corrective action. If the review indicates that the or's EEO policy and its implementation will be reviewed and discrimination may extend beyond the actions reviewed, such explained. The meetings will be conducted by the EEO Officer. corrective action shall include all affected persons. b. All new supervisory or personnel office employees will d. The contractor will promptly investigate all complaints of be given a thorough indoctrination by the EEO Officer,covering alleged discrimination made to the contractor in connection with all major aspects of the contractor's EEO obligations within thirty his obligations under this contract, will attempt to resolve such days following their reporting for duty with the contractor. complaints, and will take appropriate corrective action within a. reasonable time. If the investigation indicates that the c. All personnel who are engaged in direct recruitment for discrimination may affect persons other than the complainant, the project will be instructed by the EEO Officer in the contractor's such corrective action shall include such other persons. Upon procedures for locating and hiring minority group employees. completion of each investigation,the contractor will inform every complainant of all of his avenues of appeal. d. Notices and posters selling forth the contractors 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,and implement such policy will be brought to the attention of employ- applicants for employment. ees 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 regulations, the 4. Recruitment: When advertising for employees, the contractor shall make full use of training programs, i.e., contractor will include in all advertisements for employees the apprenticeship, and on-the-job training programs for the notation: "An Equal Opportunity Employer." All such geographical area of contract performance. Where feasible,25 advertisements will be placed in publications having a large percent of apprentices or trainees in each occupation shall be in circulation among minority groups in the area from which the their first year of apprenticeship or training. In the event a special project work force would normally be derived. provision for training is provided under this contract,this subpara- graph will be superseded as indicated in the special provision. a. The contractor will,unless precluded by a valid bargain- ing agreement,conduct systematic and direct recruitment through c. The contractor will advise employees and applicants for public and private employee referral sources likely to yield employment of available training programs and entrance qualified minority group applicants. To meet this requirement,the requirements for each. contractor will identify sources of potential minority group employees,and establish with such identified sources procedures d. The contractor will periodically review the training and whereby minority group applicants may be referred to the promotion potential of minority group and women employees and contractor for employment consideration. will encourage eligible employees to apply for such training and promotion. b. In the event the contractor has a valid bargaining agree- ment providing for exclusive hiring hall referrals,he is expected to 7. Unions: If the contractor relies in whole or in part upon observe the provisions of that agreement to the extent that the unions as a source of employees,the contractor will use his/her system permits the contractors compliance with EEO contract best efforts to obtain the cooperation of such unions to increase provisions. (The DOL has held that where implementation of opportunities for minority groups and women within the unions, such agreements have the effect of discriminating against and to effect referrals by such unions of minority and female minorities or women,or obligates the contractor to do the same, employees. Actions by the contractor either directly or through a such implementation violates Executive Order 11246, as contractor's association acting as agent will include the amended.) procedures set forth below: c. The contractor will encourage his present employees to a. The contractor will use best efforts to develop, in refer minority group applicants for employment. Information and cooperation with the unions,joint training programs aimed toward procedures with regard to referring minority group applicants will qualifying more minority group members and women for be discussed with employees. membership in the unions and increasing the skills of minority group employees and women so that they may qualify for higher 5. Personnel Actions: Wages, working conditions, and 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 union taken without regard to race,color,religion,sex,national origin, will be contractually bound to refer applicants without regard to age or disability. The following procedures shall be followed: their race,color,religion,sex,national origin,age or disability. a. The contractor will conduct periodic inspections of c. The contractor is to obtain information as to the referral project sites to insure that working conditions and employee practices and policies of the labor union except that to the extent facilities do not indicate discriminatory treatment of project site such information is within the exclusive possession of the labor Exhibit I -Page 2 of 9 REQUIRED BY 23 CFR 633.102 -- Exhibit I union and such labor union refuses to furnish such information to This information is to be reported on Form FHWA-1391. If on-the the contractor,the contractor shall so certify to the SHA and shall job training is being required by special provision,the contractor set forth what efforts have been made to obtain such information. will be required to collect and report training data. d. In the event the union is unable to provide the contractor III. NONSEGREGATED FACILITIES with a reasonable flow of minority and women referrals within the time limit set forth in the collective bargaining agreement, the (Applicable to all Federal-aid construction contracts and to all contractor will, through independent recruitment efforts, fill the related subcontracts of$10,000 or more.) employment vacancies without regard to race,color,religion,sex, national origin, age or disability; making full efforts to obtain a. By submission of this bid,the execution of this contract qualified and/or qualifiable minority group persons and women. or subcontract, or the consummation of this material supply (The DOL has held that it shall be no excuse that the union with agreement or purchase order,as appropriate,the bidder,Federal- which the contractor has a collective bargaining agreement aid construction contractor, subcontractor, material supplier,or providing for exclusive referral failed to refer minority employees.) vendor,as appropriate,certifies that the firm does not maintain or In the event the union referral practice prevents the contractor provide for its employees any segregated facilities at any of its from meeting the obligations pursuant to Executive Order 11246, establishments,and that the firm does not permit its employees to as amended,and these special provisions,such contractor shall perform their services at any location, under its control, where immediately notify the SHA. segregated facilities are maintained. The firm agrees that a breach of this certification is a violation of the EEO provisions of B. Selection of Subcontractors,Procurement of Materials this contract. The firm further certifies that no employee will be and Leasing of Equipment: The contractor shall not denied access to adequate facilities on the basis of sex or discriminate on the grounds of race,color,religion,sex,national disability. origin, age or disability in the selection and retention of subcontractors,including procurement of materials and leases of b. As used in this certification, the term "segregated equipment. facilities"means any waiting rooms,work areas,restrooms and washrooms, restaurants and other eating areas, timeclocks, a. The contractor shall notify all potential subcontractors locker rooms,and other storage or dressing areas,parking lots, and suppliers of his/her EEO obligations under this contract. drinking fountains, recreation or entertainment areas,transpor- tation, and housing facilities provided for employees which are b. Disadvantaged business enterprises(DBE),as defined segregated by explicit directive,or are,in fact,segregated on the in 49 CFR 23, shall have equal opportunity to compete for and basis of race, color, religion, national origin, age or disability, perform subcontracts which the contractor enters into pursuant to because of habit,local custom,or otherwise. The only exception this contract. The contractor will use his best efforts to solicit bids will be for the disabled when the demands for accessibility from and to utilize DBE subcontractors or subcontractors with override(e.g.disabled parking). meaningful minority group and female representation among their employees. Contractors shall obtain lists of DBE construction c. The contractor agrees that it has obtained or will obtain firms from SHA personnel. identical certification from proposed subcontractors or material suppliers prior to award of subcontracts or consummation of c. The contractor will use his best efforts to ensure subcon- material supply agreements of$10,000 or more and that it will tractor compliance with their EEO obligations. retain such certifications in its files. 9. Records and Reports: The contractor shall keep such IV. PAYMENT OF PREDETERMINED MINIMUM WAGE records as necessary to document compliance with the EEO requirements. Such records shall be retained for a period of three (Applicable to all Federal-aid construction contracts exceeding years following completion of the contract work and shall be $2,000 and to all related subcontracts,except for projects located available at reasonable times and places for inspection by autho- on roadways classified as local roads or rural minor collectors, rized representatives of the SHA and the FHWA. which are exempt.) a. The records kept by the contractor shall document the 1. General: following: a. All mechanics and laborers employed or working upon (1) The number of minority and non-minority group the site of the work will be paid unconditionally and not less often members and women employed in each work classification on the than once a week and without subsequent deduction or rebate on project; any account[except such payroll deductions as are permitted by regulations(29 CFR 3)issued by the Secretary of Labor under the (2)The progress and efforts being made in cooperation Copeland Act(40 U.S.C.276c)]the full amounts of wages and with unions,when applicable,to increase employmentopportuni- bona fide fringe benefits(or cash equivalents thereof)due at time ties for minorities and women; of payment. The payment shall be computed at wage rates not less than those contained in the wage determination of the (3) The progress and efforts being made in locating, Secretary of Labor(hereinafter"he wage determination")which is hiring, training, qualifying, and upgrading minority and female attached hereto and made a part hereof, regardless of any employees;and contractual relationship which may be alleged to exist between the contractor or its subcontractors and such laborers and (4) The progress and efforts being made in securing mechanics. The wage determination (including any additional the services of DBE subcontractors or subcontractors with classifications and wage rates conformed under paragraph 2 of meaningful minority and female representation among their this Section IV and the DOL poster(WH-1321)or Form FHWA- employees. 1495) shall be posted at all times by the contractor and its subcontractors at the site of the work in a prominent and b. The contractors will submit an annual report to the SHA accessible place where it can be easily seen by the workers. For each July for the duration of the project,indicating the number of the purpose of this Section,contributions made or costs reason- minority, women, and non-minority group employees currently ably anticipated for bona fide fringe benefits under Section 1(b)(2) engaged in each work classification required by the contract work. of the Davis-Bacon Act(40 U.S.C.276a)on behalf of laborers or Exhibit I - Page 3 of 9 REQUIRED BY 23 CFR 633.102 -- Exhibit I mechanics are considered wages paid to such laborers or within the 30-day period that additional time is necessary mechanics,subject to the provisions of Section IV,paragraph 3b, hereof. Also,for the purpose of this Section,regular contributions e. The wage rate(including fringe benefits where appropri- made or costs incurred for more than a weekly period (but not ate)determined pursuant to paragraph 2c or 2d of this Section IV less often than quarterly)under plans,funds,or programs,which shall be paid to all workers performing work in the additional cover the particular weekly period, are deemed to be classification from the first day on which work is performed in the constructively made or incurred during such weekly period. Such classification. laborers and mechanics shall be paid the appropriate wage rate and fringe benefits on the wage determination for the 3. Payment of Fringe Benefits: classification of work actually performed,without regard to skill, except as provided in paragraphs 4 and 5 of this Section IV. a. Whenever the minimum wage rate prescribed in the contract for a class of laborers or mechanics includes a fringe b. Laborers or mechanics performing work in more than benefit which is not expressed as an hourly rate,the contractor or one classification may be compensated at the rate specified for subcontractors, as appropriate, shall either pay the benefit as each classification for the time actually worked therein,provided, stated in the wage determination or shall pay another bona fide that the employers payroll records accurately set forth the time fringe benefit or an hourly case equivalent thereof. spent in each classification in which work is performed. b. If the contractor or subcontractor,as appropriate,does c. All rulings and interpretations of the Davis-Bacon Act not make payments to a trustee or other third person,he/she may and related acts contained in 29 CFR 1, 3, and 5 are herein consider as a part of the wages of any laborer or mechanic the incorporated by reference in this contract. amount of any costs reasonably anticipated in providing bona fide fringe benefits under a plan or program,provided,that the Secre- 2. Classification: tary of Labor has found,upon the written request of the contrac- tor,that the applicable standards of the Davis-Bacon Act have a. The SHA contracting officer shall require that any class been met. The Secretary of Labor may require the contractor to of laborers or mechanics employed under the contract,which is set aside in a separate account assets for the meeting of not listed in the wage determination, shall be classified in obligations under the plan or program. conformance with the wage determination. 4. Apprentices and Trainees(Programs of the U.S.DOL) b. The contracting officer shall approve an additional and Helpers: classification, wage rate and fringe benefits only when the following criteria have been met: a. Apprentices: (1) the work to be performed by the additional (1) Apprentices will be permitted to work at less than classification requested is not performed by a classification in the the predetermined rate for the work they performed when they are wage determination; employed pursuant to and individually registered in a bona fide apprenticeship program registered with the DOL, Employment (2) the additional classification is utilized in the area by and Training Administration, Bureau of Apprenticeship and the construction industry; Training,or with a State apprenticeship agency recognized by the Bureau, or if a person is employed in his/her first 90 days of (3) the proposed wage rate,including any bona fide probationary employment as an apprentice in such an apprentice- fringe benefits,bears a reasonable relationship to the wage rates ship program,who is not individually registered in the program, contained in the wage determination;and but who has been certified by the Bureau of Apprenticeship and Training or a State apprenticeship agency(where appropriate)to (4) with respect to helpers,when such a classification be eligible for probationary employment as an apprentice. prevails in the area in which the work is performed. (2) The allowable ratio of apprentices to joumeyman- c. If the contractor or subcontractors,as appropriate,the level employees on the job site in any craft classification shall not laborers and mechanics(if known)to be employed in the addition- be greater than the ratio permitted to the contractor as to the al classification or their representatives, and the contracting entire work force under the registered program. Any employee officer agree on the classification and wage rate (including the listed on a payroll at an apprentice wage rate,who is not regis- amount designated for fringe benefits where appropriate),a report tered or otherwise employed as stated above,shall be paid not of the action taken shall be sent by the contracting officer to the less than the applicable wage rate listed in the wage determina- DOL,Administrator of the Wage and Hour Division,Employment lion for the classification of work actually performed. In addition, Standards Administration,Washington,D.C.20210. The Wage any apprentice performing work on the job site in excess of the and Hour Administrator, or an authorized representative, will ratio permitted under the registered program shall be paid not less approve, modify, or disapprove every additional classification than the applicable wage rate on the wage determination for the action within 30 days of receipt and so advise the contracting work actually performed. Where a contractor or subcontractor is officer or will notify the contracting officer within the 30-day period performing construction on a project in a locality other than that in that additional time is necessary. which its program is registered,the ratios and wage rates (ex- pressed in percentages of the journeyman-level hourly rate) d. In the event the contractor or subcontractors,as appro- specified in the contractor's or subcontractor's registered program priate,the laborers or mechanics to be employed in the additional shall be observed. classification or their representatives,and the contracting officer do not agree on the proposed classification and wage rate (3) Every apprentice must be paid at not less than the (including the amount designated for fringe benefits, where rate specified in the registered program for the apprentice's level appropriate), the contracting officer shall refer the questions, of progress,expressed as a percentage of the journeyman-level including the views of all interested parties and the recommenda- hourly rate specified in the applicable wage determination. tion of the contracting officer,to the Wage and Hour Administrator Apprentices shall be paid fringe benefits in accordance with the for determination. Said Administrator,or an authorized represen- provisions of the apprenticeship program. If the apprenticeship tative,will issue a determination within 30 days of receipt and so program does not specify fringe benefits,apprentices must be advise the contracting officer or will notify the contracting officer paid the full amount of fringe benefits listed on the wage determi- Exhibit I - Page 4 of 9 REQUIRED BY 23 CFR 633.102 -- • Exhibit I nation for the applicable classification. If the Administrator for the ments of paragraph 4 of this Section IV. The straight time hourly Wage and Hour Division determines that a different practice wage rates for apprentices and trainees under such programs will prevails for the applicable apprentice classification,fringes shall be established by the particular programs. The ratio of apprentic- be paid in accordance with that determination. es and trainees tojoumeymen shall not be greater than permitted by the terms of the particular program. (4) In the event the Bureau of Apprenticeship and Training, or a State apprenticeship agency recognized by the 6. Withholding: Bureau, withdraws approval of an apprenticeship program,the contractor or subcontractor will no longer be permitted to utilize The SHA shall upon its own action or upon written request apprentices at less than the applicable predetermined rate for the of an authorized representative of the DOL withhold,or cause to comparable work performed by regular employees until an be withheld, from the contractor or subcontractor under this acceptable program is approved. contract or any other Federal contract with the same prime contractor, or any other Federally-assisted contract subject to b. Trainees: Davis-Bacon prevailing wage requirements which is held by the same prime contractor, as much of the accrued payments or (1) Except as provided in 29 CFR 5.16,trainees will not advances as may be considered necessary to pay laborers and be permitted to work at less than the predetermined rate for the mechanics, including apprentices, trainees, and helpers, em- work performed unless they are employed pursuant to and ployed by the contractor or any subcontractor the full amount of individually registered in a program which has received prior wages required by the contract. In the event of failure to pay any approval, evidenced by formal certification by the DOL, laborer or mechanic,including any apprentice,trainee,or helper, Employment and Training Administration. employed or working on the site of the work, all or part of the wages required by the contract,the SHA contracting officer may, (2) The ratio of trainees to journeyman-level after written notice to the contractor,take such action as may be employees on the job site shall not be greater than permitted necessary to cause the suspension of any further payment, under the plan approved by the Employment and Training advance,or guarantee of funds until such violations have ceased. Administration. Any employee listed on the payroll at a trainee rate who is not registered and participating in a training plan 7. Overtime Requirements: approved by the Employment and Training Administration shall be paid not less than the applicable wage rate on the wage determi- No contractor or subcontractor contracting for any part of nation for the classification of work actually performed. In the contract work which may require or involve the employment of addition,any trainee performing work on the job site in excess of laborers,mechanics,watchmen,or guards(including apprentices, the ratio permitted under the registered program shall be paid not trainees, and helpers described in paragraphs 4 and 5 above) less than the applicable wage rate on the wage determination for shall require or permit any laborer,mechanic,watchman,or guard the work actually performed. in any workweek in which he/she is employed on such work,to work in excess of 40 hours in such workweek unless such laborer, (3) Every trainee must be paid at not less than the rate mechanic,watchman,or guard receives compensation at a rate specified in the approved program for his/her level of progress, not less than one-and-one-half times his/her basic rate of pay for expressed as a percentage of the joumeyman-level hourly rate all hours worked in excess of 40 hours in such workweek. specified in the applicable wage determination. Trainees shall be paid fringe benefits in accordance with the provisions of the 8. Violation: trainee program. If the trainee program does not mention fringe benefits,trainees shall be paid the full amount of fringe benefits Liability for Unpaid Wages; Liquidated Damages: In the listed on the wage determination unless the Administrator of the event of any violation of the clause set forth in paragraph 7 above, Wage and Hour Division determines that there is an apprentice- the contractor and any subcontractor responsible thereof shall be ship program associated with the corresponding journeyman-level liable to the affected employee for his/her unpaid wages. In wage rate on the wage determination which provides for less than addition,such contractor and subcontractor shall be liable to the full fringe benefits for apprentices,in which case such trainees United States (in the case of work done under contract for the shall receive the same fringe benefits as apprentices. District of Columbia or a territory, to such District or to such territory)for liquidated damages. Such liquidated damages shall (4) In the event the Employment and Training be computed with respect to each individual laborer,mechanic, Administration withdraws approval of a training program, the watchman,or guard employed in violation of the clause set forth contractor or subcontractor will no longer be permitted to utilize in paragraph 7,in the sum of$10 for each calendar day on which trainees at less than the applicable predetermined rate for the such employee was required or permitted to work in excess of the work performed until an acceptable program is approved. standard work week of 40 hours without payment of the overtime wages required by the clause set forth in paragraph 7. c. Helpers: 9. Withholding for Unpaid Wages and Liquidated Helpers will be permitted to work on a project if the Damages: helper classification is specified and defined on the applicable wage determination or is approved pursuant to the conformance The SHA shall upon its own action or upon written request of procedure set forth in Section IV.2. Any worker listed on a payroll any authorized representative of the DOL withhold,or cause to be at a helper wage rate, who is not a helper under a approved withheld,from any monies payable on account of work performed definition,shall be paid not less than the applicable wage rate on by the contractor or subcontractor under any such contract or any the wage determination for the classification of work actually per- other Federal contract with the same prime contractor, or any formed. other Federally-assisted contract subject to the Contract Work Hours and Safety Standards Act,which is held by the same prime 5. Apprentices and Trainees(Programs of the U.S.DOT): contractor,such sums as may be determined to be necessary to satisfy any liabilities of such contractor or subcontractor for unpaid Apprentices and trainees working under apprenticeship and wages and liquidated damages as provided in the clause set forth skill training programs which have been certified by the Secretary in paragraph 8 above. of Transportation as promoting EEO in connection with Federal- aid highway construction programs are not subject to the require- V. STATEMENTS AND PAYROLLS Exhibit I- Page 5 of 9 REQUIRED BY 23 CFR 633.102 -- Exhibit I (2) that such laborer or mechanic (including each (Applicable to all Federal-aid construction contracts exceeding helper,apprentice,and trainee)employed on the contract during $2,000 and to all related subcontracts,except for projects located the payroll period has been paid the full weekly wages earned, on roadways classified as local roads or rural collectors,which without rebate,either directly or indirectly,and that no deductions are exempt.) have been made either directly or indirectly from the full wages earned, other than permissible deductions as set forth in the 1. Compliance with Copeland Regulations(29 CFR 3): Regulations,29 CFR 3; The contractor shall comply with the Copeland Regulations of (3)that each laborer or mechanic has been paid not the Secretary of Labor which are herein incorporated by refer- less that the applicable wage rate and fringe benefits or cash ence. equivalent for the classification of worked performed,as specified in the applicable wage determination incorporated into the 2. Payrolls and Payroll Records: contract. a. Payrolls and basic records relating thereto shall be e. The weekly submission of a properly executed certifica- maintained by the contractor and each subcontractor during the tion set forth on the reverse side of Optional Form WH-347 shall course of the work and preserved for a period of 3 years from the satisfy the requirement for submission of the "Statement of date of completion of the contract for all laborers, mechanics, Compliance"required by paragraph 2d of this Section V. 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 rates g. The contractor or subcontractor shall make the records of contributions or costs anticipated for bona fide fringe benefits or required under paragraph 2b of this Section V available for cash equivalent thereof the types described in Section 1(b)(2)(B) inspection,copying,or transcription by authorized representatives of the Davis Bacon Act); daily and weekly number of hours of the SHA,the FHWA,or the DOL,and shall permit such repre- worked;deductions made;and actual wages paid. In addition,for sentatives to interview employees during working hours on the Appalachian contracts,the payroll records shall contain a notation job. If the contractor or subcontractor fails to submit the required indicating whether the employee does, or does not, normally records or to make them available,the SHA,the FHWA,the DOL, reside in the labor area as defined in Attachment A,paragraph 1. or all may,after written notice to the contractor,sponsor,appli- Whenever the Secretary of Labor, pursuant to Section IV, cant,or owner,take such actions as may be necessary to cause paragraph 3b, has found that the wages of any laborer or the suspension of any further payment,advance,or guarantee of mechanic include the amount of any costs reasonably antidpated funds. Furthermore,failure to submit the required records upon in providing benefits undera plan or program described in Section request or to make such records available may be grounds for 1(b)(2)(B) of the Davis Bacon Act, the contractor and each debarment action pursuant to 29 CFR 5.12. subcontractor shall maintain records which show that the commit- ment to provide such benefits is enforceable, that the plan or VI. RECORD OF MATERIALS,SUPPLIES,AND LABOR program is financially responsible,that the plan or program has been communicated in writing to the laborers or mechanics 1. On all Federal-aid contracts on the National Highway affected,and show the cost anticipated or the actual cost incurred System,except those which provide solely for the installation of in providing benefits. Contractors or subcontractors employing protective devices at railroad grade crossings,those which are apprentices or trainees under approved programs shall maintain constructed on a force account or direct labor basis, highway written evidence of the registration of apprentices and trainees, beautification contracts, and contracts for which the total final and ratios and wage rates prescribed in the applicable programs. 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 employees supplies contained in Form FHWA-47,"Statement of Materials (including apprentices,trainees,and helpers,described in Section and Labor Used by Contractor of Highway Construction Involving IV,paragraphs 4 and 5,and watchmen and guards engaged on Federal Funds,"prior to the commencement of work under this work during the preceding weekly payroll period). The payroll contract. submitted shall set out accurately and completely all of the information required to be maintained under paragraph 26 of this b. Maintain a record of the total cost of all materials and Section V. This information may be submitted in any form supplies purchased for and incorporated in the work,and also of desired. Optional Form WH-347 is available for this purpose and the quantities of those specific materials and supplies listed on may be purchased from the Superintendent of Documents Form FHWA-47,and in the units shown on Form FHWA-47. (Federal stock number 029-005-0014-1), U.S. Government Printing Office,Washington,D.C.20402. The prime contractor is c. Fumish, upon the completion of the contract, to the responsible for the submission of copies of payrolls by all SHA resident engineer on Form FHWA-47 together with the data subcontractors. required in paragraph 1 b relative to materials and supplies,a final labor summary of all contract work indicating the total hours d. Each payroll submitted shall be accompanied by a worked and the total amount earned. "Statement of Compliance,"signed by the contractor or subcon- tractor or his/her agent who pays or supervises the payment of 2. At the prime contractor's option, either a single report the persons employed under the contract and shall certify the covering all contract work or separate reports for the contractor 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 complete; 1. The contractor shall perform with its own organization contract work amounting to not less than 30 percent(or a greater ExhibitI - Page 6 of 9 REQUIRED BY 23 CFR 633.102 -- Exhibit I percentage if specified elsewhere in the contract) of the total tion safety and health standards and to carry out the duties of the original contract price,excluding any specialty items designated Secretary under Section 107 of the Contract Work Hours and by the State. Specialty items may be performed by subcontract Safety Standards Act(40 U.S.C.333). and the amount of any such specialty items performed may be deducted from the total original contract price before computing IX. FALSE STATEMENTS CONCERNING HIGHWAY the amount of work required to be performed by the contractor's PROJECTS own organization(23 CFR 635). In order to assure high quality and durable construction in a. "Its own organization"shall be construed to include only conformity with approved plans and specifications and a high workers employed and paid directly by the prime contractor and degree of reliability on statements and representations made by equipment owned or rented by the prime contractor, with or engineers, contractors, suppliers, and workers on Federal-aid without operators. Such term does not include employees or highway projects,it is essential that all persons concerned with equipment of a subcontractor, assignee, or agent of the prime the project perform their functions as carefully,thoroughly,and contractor. honestly as possible. Willful falsification,distortion,or misrepre- sentation with respect to any facts related to the project is a b. "Specialty Items" shall be construed to be limited to violation of Federal law. To prevent any misunderstanding work that requires highly specialized knowledge, abilities, or regarding the seriousness of these and similar acts,the following equipment not ordinarily available in the type of contracting notice shall be posted on each Federal-aid highway project(23 organizations qualified and expected to bid on the contract as a CFR 635)in one or more places where it is readily available to all whole and in general are to be limited to minor components of the persons concerned with the project: overall contract. NOTICE TO ALL PERSONNEL ENGAGED ON FEDERAL-AID 2. The contract amount upon which the requirements set forth HIGHWAY PROJECTS in paragraph 1 of Section VII is computed includes the cost of material and manufactured products which are to be purchased or 18 U.S.C.1020 reads as follows: produced by the contractor under the contract provisions. "Whoever,being an officer, agent,or employee of the United 3. The contractor shall furnish(a)a competent superintendent States,orof any State or Territory,or whoever,whether a person, or supervisor who is employed by the firm,has full authority to association, firm, or corporation, knowingly makes any false direct performance of the work in accordance with the contract statement,false representation,or false report as to the charac- requirements, and is in charge of all construction operations ter,quality,quantity,or cost of the material used or to be used,or (regardless of who performs the work)and(b)such other of its the quantity or quality of the work performed or to be performed, own organizational resources (supervision, management, and or the cost thereof in connection with the submission of plans, engineering services)as the SHA contracting officer determines is maps, specifications, contracts, or costs of construction on any necessary to assure the performance of the contract. highway or related project submitted for approval to the Secretary of Transportation;or 4. No portion of the contract shall be sublet, assigned or otherwise disposed of except with the written consent of the SHA Whoever knowingly makes any false statement, false contracting officer, or authorized representative, and such representation, false report or false claim with respect to the consent when given shall not be construed to relieve the character,quality,quantity,or cost of any work performed or to be contractor of any responsibility for the fulfillment of the contract. performed,or materials furnished or to be furnished,in connection Written consent will be given only after the SHA has assured that with the construction of any highway or related project approved each subcontract is evidenced in writing and that it contains all by the Secretary of Transportation;or pertinent provisions and requirements of the prime contract. Whoever knowingly makes any false statement or false VIII. SAFETY:ACCIDENT PREVENTION representation as to material fact in any statement,certificate,or report submitted pursuant to provisions of the Federal-aid Roads 1. In the performance of this contract the contractor shall Act approved July 1, 1916, (39 Stat. 355), as amended and comply with all applicable Federal,State,and local laws govem- supplemented; ing safety, health,and sanitation(23 CFR 635). The contractor shall provide all safeguards, safety devices and protective Shall be fined not more that$10,000 or imprisoned not more equipment and take any other needed actions as it determines,or than 5 years or both." as the SHA contracting officer may determine,to be reasonably necessary to protect the life and health of employees on the job X. IMPLEMENTATION OF CLEAN AIR ACT AND FEDERAL and the safety of the public and to protect property in connection WATER POLLUTION CONTROL ACT 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 pursuant to this contract,that the contractor and any subcontrac- By submission of this bid or the execution of this contract, or tor shall not permit any employee,in performance of the contract, subcontract,as appropriate,the bidder,Federal-aid construction to work in surroundings or under conditions which are unsanitary, contractor, or subcontractor, as appropriate,will be deemed to hazardous or dangerous to his/her health or safety,as determined have stipulated as follows: under construction safety and health standards(29 CFR 1926) promulgated by the Secretary of Labor, in accordance with 1. That any facility that is or will be utilized in the performance of Section 107 of the Contract Work Hours and Safety Standards this contract,unless such contract is exempt under the Clean Air Act(40 U.S.C.333). Act,as amended(42 U.S.C.1857 et sec.,as amended by Pub.L. 91-604),and under the Federal Water Pollution Control Act,as 3. Pursuant to 29 CFR 1926.3,it is a condition of this contract amended (33 U.S.C. 1251 et seq., as amended by Pub.L. 92- that the Secretary of Labor or authorized representative thereof, 500),Executive Order 11738,and regulations in implementation shall have right of entry to any site of contract performance to thereof(40 CFR 15)is not listed,on the date of contract award, inspect or investigate the matter of compliance with the construc- on the U.S. Environmental Protection Agency (EPA) List of Exhibit - Page 7 of 9 REQUIRED BY 23 CFR 633.102 -- Exhibit I Violating Facilities pursuant to 40 CFR 15.20. agency entering into this transaction. 2. That the firm agrees to comply and remain in compliance with g. The prospective primary participant further agrees by all the requirements of Section 114 of the Clean Air Act and submitting this proposal that it will include the clause titled Section 308 of the Federal Water Pollution Control Act and all "Certification Regarding Debarment,Suspension,Ineligibility and regulations and guidelines listed thereunder. Voluntary Exclusion-Lower Tier Covered Transaction,"provided by the department or agency entering into this covered transac- 3. That the firm shall promptly notify the SHA of the receipt of any tion,without modification, in all lower tier covered transactions communication from the Director, Office of Federal Activities, and in all solicitations for lower tier covered transactions. EPA, indicating that a facility that is or will be utilized for the contract is under consideration to be listed on the EPA List of h. A participant in a covered transaction may rely upon a Violating Facilities. certification of a prospective participant in a lower tier covered transaction that is not debarred,suspended,ineligible,or volun- 4. That the firm agrees to include or cause to be included the tarily excluded from the covered transaction,unless it knows that requirements of paragraph 1 through 4 of this Section X in every the certification is erroneous. A participant may decide the nonexempt subcontract,and further agrees to take such action as method and frequency by which it determines the eligibility of its the govemment may direct as a means of enforcing such principals. Each participant may,but is not required to,check the requirements. nonprocurement portion of the"Lists of Parties Excluded From Federal Procurement or Nonprocurement Programs" XI. CERTIFICATION REGARDING DEBARMENT, (Nonprocurement List)which is compiled by the General Services SUSPENSION, Administration. INELIGIBILITY AND VOLUNTARY EXCLUSION I. Nothing contained in the foregoing shall be construed to 1. Instructions for Certification - Primary Covered require establishment of a system of records in order to render in Transactions: good faith the certification required by this clause. The knowledge and information of participant is not required to exceed (Applicable to all Federal-aid contracts-49 CFR 29) that which is normally possessed by a prudent person in the ordinary course of business dealings. a. By signing and submitting this proposal,the prospective primary participant is providing the certification set out below. j. Except for transactions authorized under paragraph f of these instructions, if a participant in a covered transaction b. The inability of a person to provide the certification set knowingly enters into a lower tier covered transaction with a out below will not necessarily result in denial of participation in person who is suspended, debarred, ineligible, or voluntarily this covered transaction. The prospective participant shall submit excluded from participation in this transaction,in addition to other an explanation of why it cannot provide the certification set out remedies available to the Federal Government,the department or below. The certification or explanation will be considered in agency may terminate this transaction for cause or default. connection with the department or 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, Ineligibility and Voluntary Exclusion—Primary Covered c. The certification in this clause is a material Transactions representation of fact upon which reliance was placed when the department or agency determined to enter into this transaction. If 1. The prospective primary participant certifies to the best of its it is later determined that the prospective primary participant knowledge and belief,that it and its principals: knowingly rendered an erroneous certification,in addition to other remedies available to the Federal Govemment,the department or a. Are not presently debarred,suspended, proposed for agency may terminate 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 proposal this proposal is submitted if any time the prospective primary been convicted of or had a civil judgement rendered againstthem participant teams that its certification was erroneous when for commission of fraud or a criminal offense in connection with submitted or has become erroneous by reason of changed obtaining,attempting to obtain,or performing a public(Federal, circumstances. State or local)transaction or contract under a public transaction; violation of Federal or State antitrust statutes or commission of e. The terms "covered transaction," "debarred," embezzlement,theft,forgery,bribery,falsification or destruction of "suspended: "ineligible," "lower tier covered transaction," records,making false statements,or receiving stolen property; "participant,""person,""primary covered transaction,""principal," "proposal," and "voluntarily excluded," as used in this clause, c. Are not presently indicted for or otherwise criminally or have the meanings set out in the Definitions and Coverage civilly charged by a governmental entity(Federal,State or local) sections of rules implementing Executive Order 12549. You may with commission of any of the offenses enumerated in paragraph contact the department or agency to which this proposal is lb of this certification;and submitted for assistance in obtaining a copy of those regulations. d. Have not within a 3-year period preceding this f. The prospective primary participant agrees by submitting application/proposal had one or more public transactions this proposal that, should the proposed covered transaction be (Federal,State or local)terminated for cause or default. entered into, it shall not knowingly enter into any lower tier covered transaction with a person who is debarred,suspended, 2. Where the prospective primary participant is unable to declared ineligible, or voluntarily excluded from participation in certify to any of the statements in this certification, such this covered transaction,unless authorized by the department or prospective participant shall attach an explanation to this Exhibit I - Page 8 of 9 REQUIRED BY 23 CFR 633.102 -- Exhibit I proposal. person who is suspended, debarred, ineligible, or voluntarily excluded from participation in this transaction,in addition to other remedies available to the Federal Government,the department or agency with which this transaction originated may pursue available remedies,including suspension and/or debarment. 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 prospective Transactions: lower tier is providing the certification set out below. 1. The prospective lower tier participant certifies, by b. The certification in this clause is a material submission of this proposal, that neither it nor its principals is representation of fact upon which reliance was placed when this presently debarred, suspended, proposed for debarment, transaction was entered into. If it is later determined that the declared ineligible, or voluntarily excluded from participation in prospective lower tier participant knowingly rendered an this transaction by any Federal department or agency. erroneous certification,in addition to other remedies available to the Federal Govemment,the department,or agency with which 2. Where the prospective lower tier participant is unable to this transaction originated may pursue available remedies, certify to any of the statements in this certification,such prospec- including suspension and/or debarment. tive participant shall attach an explanation to this 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 changed FUNDS OR LOBBYING circumstances. (Applicable to all Federal-aid construction contracts and to all d. The terms "covered transaction," "debarred," 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,bysigning and submit- excluded,"as used in this clause, have the meanings set out in ting this bid or proposal,to the best of his or her knowledge and the Definitions and Coverage sections of rules implementing belief,that: Executive Order 12549. You may contact the person to which this proposal is submitted for assistance in obtaining a copy of those a. No Federal appropriated funds have been paid or will be regulations. 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 employ- submitting this proposal that, should the proposed covered ee of Congress, or an employee of a Member of Congress in transaction be entered into,it shall not knowingly enter into any connection with the awarding of any Federal contract,the making lower tier covered transaction with a person who is debarred, of any Federal grant,the making of any Federal loan,the entering suspended, declared ineligible, or voluntarily excluded from into of any cooperative agreement,and the extension,continua- participation in this covered transaction,unless authorized by the tion, renewal, amendment, or modification of any Federal department or agency with which this transaction originated. contract,grant,loan,or cooperative agreement. f. The prospective lower tier participant further agrees by b. If any funds other than Federal appropriated funds have submitting this proposal that it will include this clause titled been paid or will be paid to any person for influencing or attempt- "Certification Regarding Debarment,Suspension,Ineligibility and ing to influence an officer or employee of any Federal agency,a Voluntary Exclusion-Lower Tier Covered Transaction," without Member of Congress,an officer or employee of Congress,or an modification, in all lower tier covered transactions and in all employee of a Member of Congress in connection with this solicitations for lower tier covered transactions. Federal contract, grant, loan, or cooperative agreement, the undersigned shall complete and submit Standard Form-LLL, g. A participant in a covered transaction may rely upon a "Disclosure Form to Report Lobbying," in accordance with its certification of a prospective participant in a lower tier covered instructions. transaction that is not debarred,suspended,ineligible,or volun- tarily excluded from the covered transaction,unless it knows that 2. This certification is a material representation of fact upon the certification is erroneous. A participant may decide the which reliance was placed when this transaction was made or method and frequency by which it determines the eligibility of its entered into. Submission of this certification is a prerequisite for principals. Each participant may,but is not required to,check the making or entering into this transaction imposed by 31 U.S.C. Nonprocurement List. 1352. 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 h. Nothing contained in the foregoing shall be construed to than$100,000 for each such failure. require establishment of a system of records in order to render in good faith the certification required by this clause. The knowl- 3. The prospective participant also agrees by submitting his or edge and information of participant is not required to exceed that her bid or proposal that he or she shall require that the language which is normally possessed by a prudent person in the ordinary of this certification be included in all lower tier subcontracts,which course of business dealings. 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 Exhibit I -Page 9 of 9 REQUIRED BY 23 CFR 633.102 -- • Exhibit J 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). 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 Exhibit J—Page 1 of 3 • Exhibit J funds cannot be used for partisan political purposes of any kind by any person or organization involved in the administration of federally-assisted programs. J. 42 USC 6101 et 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. S. Nondiscrimination Provisions: In compliance with Title VI of the Civil Rights Act of 1964 and with Section 162(a)of the Federal Aid Highway Act of 1973,the Contractor, for itself,its assignees and successors in interest,agree as follows: 1. 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. 2. Nondiscrimination. The Contractor,with regard to the work performed by it after award and prior to completion of the contract work,will not discriminate on the ground of race,color,sex,mental or physical handicap or national origin in the selection and retention of Subcontractors,including procurement of materials and leases of equipment. The Contractor will not participate either directly or indirectly in the discrimination prohibited by Section 21.5 of the Regulations,including employment practices when the contract covers a program set forth in Appendix C of the Regulations. 3. Solicitations for Subcontracts,Including Procurement of Materials and Equipment.In all solicitations either by competitive bidding or negotiation made by the Contractor for work to be performed under a subcontract, Exhibit J—Page 2 of 3 Exhibit J • including procurement of materials or equipment, each potential Subcontractor or supplier shall be notified by the Contractor of the Contractor's obligations under this contract and the Regulations relative to nondiscrimination on the ground of race,color,sex,mental or physical handicap or national origin. 4. Information and Reports. The Contractor will provide all information and reports required by the Regulations,or orders and instructions issued pursuant thereto and will permit access to its books,records,accounts, other sources of information and its facilities as may be determined by the State or the FHWA to be pertinent to ascertain compliance with such Regulations, orders and instructions. Where any information required of the Contractor is in the exclusive possession of another who fails or refuses to furnish this information,the Contractor shall so certify to the State,or the FHWA as appropriate and shall set forth what efforts have been made to obtain the information. 5. Sanctions for Noncompliance. In the event of the Contractor's noncompliance with the nondiscrimination provisions of this contract,the State shall impose such contract sanctions as it or the FHWA may determine to be appropriate, including,but not limited to: a. Withholding of payments to the Contractor under the contract until the Contractor complies, and/or; b. Cancellation,termination or suspension of the contract, in whole or in part. 6. Incorporation of Provisions. The Contractor will include the provisions of paragraphs A through F in every subcontract,including procurement of materials and leases of equipment,unless exempt by the Regulations, orders,or instructions issued pursuant thereto. 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. Exhibit J—Page 3 of 3 MEMORANDUM COLORADO TO: Clerk to the Board DATE : December 12, 2005 FROM: Frances Collins V SUBJECT: Item for Recording The enclosed original (doc # 2005-3128) is submitted with signatures from the State of Colorado. Enclosures pc: Wayne Howard, Senior Engineer M:AFrancfcAAgendaSignaturc.DOC Hello