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Home My WebLink About981822.tiff RESOLUTION RE: APPROVE CONTRACT FOR REPLACEMENT OF BRIDGE #47/68B AND AUTHORIZE CHAIR TO SIGN - 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 Replacement of Bridge #47/68B between the County of Weld, State of Colorado, by and through the Board of County Commissioners of Weld County, on behalf of the Public Works Department, and the Colorado Department Of Transportation, with terms and conditions being as stated in said contract, and WHEREAS, after review, the Board deems it advisable to approve said contract, a copy of which is attached hereto and incorporated herein by reference. NOW, THEREFORE, BE IT RESOLVED by the Board of County Commissioners of Weld County, Colorado, that the Contract for Replacement of Bridge #47/688 between the County of Weld, State of Colorado, by and through the Board of County Commissioners of Weld County, on behalf of the Public Works Department, and the Colorado Department of Transportation be, and hereby is, approved. BE IT FURTHER RESOLVED by the Board that the Chair be, and hereby is, authorized to sign said contract. The above and foregoing Resolution was, on motion duly made and seconded, adopted by the following vote on the 28th day of September, A.D., 1998. BOARD OF COUNTY COMMISSIONERS WED COUNTY, COLOR ATTEST: �j,�j► 4 ( "yv % Constance L. Harb rt, Chair Weld County Clerk .Ala 0 qt2 W. . Webster, Pro-Tem BY: Deputy Clerk to th a �•s. [� eorge . Baxter APP AS TO M: Dale K. Hall C y ttorn kit /L arbara J. Kirkmeyer 981822 EG0037 Rev 7/98(FMLAWRK) BRO C030-019, 12366 99 HA4 00025 WCR 47 @ Owl Creek Canal REGION 4,/(LEW) CONTRACT qq rcl THIS CONTRACT, made this .013day of Gal-O13 ,c , 19 by and between the State of Colorado for the use and benefit of THE COLORADO DEPARTMENT OF TRANSPORTATION,hereinafter referred to as the State or CDOT,and WELD COUNTY, STATE of COLORADO, 915 10th Street, Greeley, CO 80632, FEIN: 846000813,hereinafter referred to as the Local Agency, or the contractor. FACTUAL RECITALS. 1. Authority exists in the law and funds have been budgeted, appropriated and otherwise made available and a sufficient unencumbered balance thereof remains available for payment of project and Local Agency costs in Fund Number 400,Appropriation Code 010, Organization Number 9991, Program 2000, Function 3020, Object 2312 1P, Reporting Category 4220, Contract Encumbrance Number 12366, Phase D $45,000.00, Phase U $5,000.00 and Phase C $382,233.00 (Contract Encumbrance Amount: $432,233.00). 2. Required approval, clearance and coordination has been accomplished from and with appropriate agencies. 3. Pursuant to Title I,Part A, Section 1007 of the Intermodal Surface Transportation Efficiency Act of 1991 and to applicable provisions of Title 23 of the United States Code and implementing regulations at Title 23 of the Code of Federal Regulations,as may be amended, (collectively referred to hereinafter as "the federal provisions"), certain Federal funds have been and will in the future be, allocated for highway projects requested by Local Agencies and eligible under the Surface Transportation Program that has been proposed by the State and approved by the Federal Highway Administration(FHWA), hereinafter referred to as the program. -1- - - - - - - - - - - - - 4. Pursuant to § 43-1-223, C.R.S. and to applicable portions of the federal provisions, the State is responsible for the general administration and supervision of performance of projects in the program, including the administration of federal funds for a program project performed by a local agency under a contract with the State. 4.5 The Local Agency has requested that a certain local highway project be funded as part of the program, and by the date of execution of this contract the Local Agency (and/or the State) has completed and submitted a preliminary version of CDOT form#463 describing the general nature of that project work. The Local Agency understands that,before the project work is actually started, the description of the project work in that CDOT form #463 will likely be revised as a result of design changes made by CDOT, in conjunction and coordination with the Local Agency, in its internal review process. The Local Agency desires to agree to perform the project work as described in the Form #463, as it may be revised in that Process. 5. Federal-aid funds have been made available for project, BRO C030-019 for a bridge replacement and bridge rehabilitation of Weld County Road 47 at Owl CreekCanal as more specifically described in Exhibit A (the Form #463 and/or a"Scope of Work"), in Weld County, Colorado, hereinafter referred to as "the project" or "the work". 6. The matching ratio for this federal-aid project is 80% federal-aid funds to 20% Local Agency funds, it being understood that such ratio applies only to such costs as are eligible for federal participation, it being further understood that all non-participating costs shall be borne by the Local Agency at 100%. 7. 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 thru this contract, in order to obtain federal funds for the project. 8. The Local Agency has estimated the total cost of the Work and is prepared to provide its match share of the cost, as evidenced by an appropriate ordinance or resolution duly passed and adopted by the authorized representatives of the Local Agency,which expressly authorizes the Local Agency to enter into this contract and to expend its match share of the Work. 9. This contract is executed under the authority of Sections 29-1-203, 43-1-110, 43-1-116, 43-2-101(4)(c) and 43-2-144, C.R.S., as amended, and the Local Agency ordinance/resolution. -2- 10. The parties hereto desire to agree upon the division of responsibilities with regard to the project. 11. The Local Agency is adequately staffed and suitably equipped to undertake and satisfactorily complete some or all of the Work. 12. The State certifies that such work can be more advantageously performed by the Local Agency. NOW, THEREFORE, it is hereby agreed that: I. STANDARD FORM CONTRACT This is a standard form contract that is designed to efficiently contract for and administer 2 types of program projects: 1) program projects which include the same basic work elements (design; construction; construction administration by local agency; right-of-way; utilities; etc.); and, also, 2)program projects with specific differences in those basic work elements (e.g., a specific project may include design but no construction, or it may include design and construction but the State will do the construction administration, etc.) The form contract accommodates both types of projects by using qualifying language to condition the application of particular contract requirements, based on whether specific work elements are included in the project. For instance, where the contract provides ... "If the Work includes engineering/design services, the Local Agency shall perform the following requirements ...", the Local Agency need perform those requirements only if engineering/design services are expressly included in the project,as defined in the Scope of Work. (Conversely,notwithstanding that language is in the contract,the Local Agency can ignore those "requirements" if engineering/design services are NOT expressly included in the Scope of Work.) The Local Agency shall interpret such qualifying language in that manner. By using such language, the form contract can apply to both the general and the specific types of projects, thus making it easier to administer and saving the State and the Local Agency time and expense. II. PROJECT DESCRIPTION "The project" or "the Work" under this contract shall consist of a bridge replacement and bridge rehabilitation at Weld County Road 47 at Owl Creek Canal, hereinafter referred to as "the project" -3- or "the Work" in Weld County, Colorado, as more specifically described in Exhibit A, attached hereto and made a part hereof(the Form#463 and/or a "Scope of Work")as it may be revised by the parties in the design review process before the project work is actually started. III. INCORPORATION BY REFERENCE All federal and state statutes, regulations, specifications, administration checklists, directives, procedures, documents, and publications that are specifically identified and/or referenced in this contract, together with all exhibits and attachments and addenda to this contract, are incorporated herein by this reference as terms and conditions of this contract as though fully set forth. IV. WORK RESPONSIBILITY The Local Agency shall be responsible to perform (all design and/or right-of-way and/or utility and/or construction and/or construction administration tasks required to complete)the Work, and the Local Agency shall comply with all applicable terms and conditions of this contract in performing the Work, including those process and task responsibilities addressed in the Pre- Construction and Construction Administration Checklists attached hereto and made a part hereof. The responsible party shall perform all such tasks in accordance with applicable requirements and standards, including those in this contract and in applicable law. V. PROJECT FUNDING PROVISIONS A. The Local Agency has estimated the total cost the Work to be $455,500.00 which is to be funded as follows: a. Federal participating funds: (80%of$442,233.00) $353,786.00 b. Local Agency participating share: (20%of$442,233.00) $ 88,446.00 c. Local Agency Matching for CDOT-Incurred Non-Participating Cost(Including Non-participating Indirects) $13,268.00 -4- Total Funds: $455,500.00 B. The matching ratio for the federal participating funds for this project is 80% federal-aid funds(CFDA#20 2050)to 20%Local Agency funds,it being understood that such ratio applies only to the $442,233.00 that is eligible for federal participation, it being further understood that all non-participating costs are borne by the Local Agency at 100%. If the total actual cost of performance of the Work exceeds $442,233.00, and additional federal funds are made available for the project, the Local Agency shall pay 20%of all such costs eligible for federal participation and 100% of all nonparticipating costs; if additional federal funds are not made available, the local agency shall pay all such excess costs. If the total actual cost of performance of the Work is less than $442,233.00, 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 $349,786.00,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. VI. PROJECT PAYMENT PROVISIONS -5- A. The State will reimburse the Local Agency for the federal-aid share of the project charges following the State's review and approval of such charges, subject to the terms and conditions of this contract. Provided, however,that charges incurred by the Local Agency prior to the date of FHWA authorization for the project and prior to the date this contract is executed by the State Controller or his designee will not be charged by the Local Agency to the project, and will not be reimbursed by the State, absent specific FHWA and/or State Controller approval thereof. B. Upon execution of this contract the State is authorized, in its discretion, to perform any necessary administrative support services pursuant to this contract. These services may be performed prior to and in preparation for any conditions or requirements of this contract, including prior FHWA approval of project work. The Local Agency understands and agrees that the State may perform such services, and that payment for such services shall be at no cost to the State but shall be as provided in Section V.A. At the request of the Local Agency,the State shall also provide other assistance pursuant to this contract as may be agreed in writing. In the event that federal-aid project funds remain available for payment,the Local Agency understands and agrees the costs of 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. C. If the Local Agency is to be billed for CDOT incurred direct costs, the billing procedure shall be as follows: 1. Upon receipt of each bill from the State, the Local Agency will remit to the State the amount billed no later than 45 days after receipt of each bill. Should the Local Agency fail to pay moneys due the State within 45 days of demand or within such other period as may be agreed between the parties hereto,the Local Agency agrees that at the request of the State, the State Treasurer may withhold an equal amount from future apportionments due the Local Agency from the Highway Users Tax Fund and to pay such funds directly to the State. Interim funds, until the State is reimbursed, shall be payable from the State Highway Supplementary Fund (400). -6- 2. If the Local Agency fails to make timely payment to the State as required by this section (within 45 days after the date of each bill), the Local Agency shall pay interest to the State at a rate of one percent per month on the amount of the payment which was not made in a timely manner,until the billing is paid in full. The interest shall accrue for the period from the required payment date to the date on which payment is made. D. The Local Agency will prepare and submit to the State monthly charges for costs incurred relative to the project. The Local Agency will prepare project charges in accordance with the State's standard policies, procedures, and standardized billing format attached hereto and made a part hereof. VII. STATE COMMITMENTS A. The State will provide liaison with the Local Agency through the State's Region Director, Region 4, Karla Harding, 1420 2nd Street. Greeley, Colorado 80631, (970)-350-2101. Said Region Director will also be responsible for coordinating the State's activities under this contract. Said Region Director will also issue a"Notice to Proceed" to the Local Agency for commencement of the Work. All communication relating to the day-to-day activities for the work shall be exchanged between representatives of the State's Transportation Region 4 and the Local Agency. Until changed by notice in writing, all such notices and correspondence shall be addressed as follows: If to State: If to the Local Agency: Mr. Bob Patrick Mr. Drew Scheltinga rrTT CDOT Region 4 Resident Engineer Weld County Engineerl!J- 3201 W. Service Road, Unit A 915 10th Street Evans, CO 80620 P.O. Box 850 (970)350-2135 Greeley, CO 80632 B. The State will reimburse the Local Agency for the federal-aid share of the project charges, as provided in Section VI(A). C. If the Work includes construction, the State, at its discretion, will review construction plans, special provisions and estimates and will cause the Local Agency to make those changes -7- • therein that the State determines are necessary to assure compliance with State and FHWA requirements. D. The State will perform a final project inspection prior to project acceptance as a Quality Control activity. When all project work has been satisfactorily completed, the State will sign the FHWA form 1212. VIII. LOCAL AGENCY COMMITMENTS A. DESIGN. If"the Work" includes preliminary design, or final design (a.k.a. "construction plans"), or design work sheets,or special provisions and estimates (collectively referred to as "the Plans"), the party that is responsible under Section IV (either the Local Agency or the State)for the Plans\design shall comply with the following requirements, as applicable: 1. perform or provide the Plans, to the extent required by the nature of the Work. 2. prepare final design ("construction plans") in accord with the requirements of the latest edition of the American Association of State Highway Transportation Officials (AASHTO) manual. 3. prepare special provisions and estimates in accord with the State's Roadway and Bridge Design Manuals and Standard Specifications for Road and Bridge Construction. 4. include details of any required detours in the Plans, in order to prevent any interference of the construction work and to protect the traveling public. 5. stamp the Plans produced by a Colorado Registered Professional Engineer. 6. if the Local Agency is the responsible party, it shall afford the State ample opportunity to review the Plans and make any changes in the Plans as directed by the State to comply with FHWA requirements. 7. provide final assembly of the Plans and contract documents. 8. be responsible for the Plans being accurate and complete. 9. if the Local Agency is the responsible party, it may enter into a contract with a consultant to do all or any portion of the Plans and/or of construction administration. Provided however,that if federal-aid funds are to participate in the cost of such work to be done by a -8- consultant, the Local Agency shall ensure that its procurement of that consultant contract (and the performance/provision of the Plans under that contract)complies with all applicable requirements of Title 23, Code of Federal Regulations (CFR), Part 172, (concerning the Administration of Engineering and Design Related Service Contracts), and with any procedures implementing those requirements as provided by the State. Those requirements and procedures include, without limitation: a) the Local Agency/Contractor shall submit any design consultant subcontract to CDOT for approval prior to its execution by the Local Agency/Contractor, as required by section 172.5 (d); b) all changes in the contract shall be by written supplemental agreement and must have prior approval of the State and FHWA. As soon as the contract with the consultant has been awarded by the Local Agency, one copy of the executed contract shall be submitted to the State. Any amendments to such contract shall be similarly submitted; c) all consultant billings under that contract shall comply with the State's standardized consultant billing format. Examples of the billing formats for the various methods of contract payment are attached hereto and made a part hereof; d) the Local Agency/Contractor shall also use the CDOT procedures as described in Attachment #1 to administer that design consultant subcontract, to comply with sections 172.5(b) and (d); e) to expedite any CDOT approval, the Local Agency/Contractor's attorney, or other authorized representative, may also submit a letter to CDOT certifying Local Agency/Contractor compliance with those CDOT Attachment#1 procedures and with the requirements of sections 172.5(b) and (d). 0 the Local Agency shall ensure that its consultant contract contains the following language verbatim: 1) "The design work under this contract shall be compatible with the requirements of a separate contract between the Local Agency and the State(which is incorporated herein by this reference) for the design/construction of the project. The State is an intended third party beneficiary of this contract for that purpose." -9- 2) "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." 3) "The consultant shall review the construction contractor's shop drawings for conformance with the contract documents and compliance with the provisions of the State's publication, "Standard Specifications for Road and Bridge Construction", in connection with this work." 10. Following award of the construction contract(s)for the project,no further changes shall be made in the Plans except by agreement in writing between the parties. The Plans shall be considered final when approved and accepted by the parties hereto,and when final they shall be deemed incorporated herein. B. CONSTRUCTION. If"the Work" includes construction,the party that is responsible under Section IV (either the Local Agency or the State) for the construction/construction administration shall comply with the following requirements, as applicable: 1. administer the construction in accord with the project's Pre-construction and Contract Administration Checklists. Such administration shall include project inspection and testing; approving sources of materials; performing required plant and shop inspections; documentation of contract payments, testing, and inspection activities; preparing and approving pay estimates; preparing, approving, and securing the funding for contract modification orders (CMOs) and minor contract revisions (MCRs); processing contractor claims;construction supervision;and,meeting the Quality Control(QC)requirements of the FHWA/State stewardship program, all as more fully described in the project's Pre- construction and Contract Administration Checklists. 2. if the Local Agency is the responsible party, 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 agreement, the requirements of the construction contract, and applicable State -10- procedures. The LAPE may be an employee of the Local Agency or may be a consultant. If the LAPE is an employee of the Local Agency, the LAPE shall be in responsible charge of the construction of the project (as provided in Section 12-25-102 C.R.S. as amended), notwithstanding any exception described in Section 12-25-103, C.R.S., as amended. 3. if the Local Agency is the responsible party, and if bids are to be let for the construction of the project, the Local Agency shall (in conjunction with the State) advertise the call for bids and (upon concurrence by the State) award the construction contract(s) to the low responsive, responsible bidder(s). a) In advertising and awarding the bid for the construction of a federal-aid project, the Local Agency shall comply with applicable requirements of 23 U.S.C. § 112 and 23 C.F.R. § § 633 and 635. Those requirements include, without limitation, that the Local Agency/Contractor shall physically incorporate the entire "Form 1273" (which, if relevant to this contract, is attached)verbatim into any subcontract(s)for those services as terms and conditions thereof, as required by 23 CFR 633.102(e). b) The Local Agency has the option to accept or reject the proposal of the low bidder for work on which competitive bids have been received. The Local Agency must declare the acceptance or rejection at the award conference or within 3 working days after said bids are publicly opened, whichever occurs later.) c) By indicating its concurrence in such award at the award conference,the Local Agency acting by or through its duly authorized representatives, agrees to provide additional funds, subject to their availability and appropriation for that purpose, if required to complete the Work under this project if no additional federal-aid funds will be made available for the project.) 4. In the event that all or part of the construction work is to be accomplished by Local Agency personnel (i.e.,by"force account"),rather than by a contractor pursuant to a contract with the Local Agency, the Local Agency will insure that all such force account work is accomplished in accordance with the pertinent State specifications and requirements and with 23 C.F.R. Part 635, Subpart B, "Force Account Construction". -11- a) Such work will normally be based upon estimated quantities and firm unit prices agreed to between the Local Agency, the State and the FHWA in advance of the Work, as provided for in Section 635.204(c). Such agreed unit prices shall constitute a commitment as to the value of the Work to be performed. b) An alternative to (a) is that the Local Agency may agree to participate in the Work based on actual costs of labor,equipment rental,materials supplies and supervision necessary to complete the Work. Where actual costs are used, eligibility of cost items shall be evaluated for compliance with Federal Acquisition Regulations (FAR), 48 C.F.R. Part 31. c) Rental rates for publicly owned equipment will be determined in accordance with Section 109.04 of the State's "Standard Specifications for Road and Bridge Construction". d) All force account work shall have prior approval of the State and/or FHWA and shall not be initiated until the State has issued a written notice to proceed. C. ROW ACOUISITION/RELOCATION. If acquisition and relocation assistance is required for the project, the Local Agency will be responsible to perform the acquisition and relocation assistance,as required by Sections 24-56-101, et seq., C.R.S. Prior to this project being advertised for bids, the Local Agency will certify in writing to the State that all right of way has been acquired in accordance with the applicable State and federal regulations, or that no additional right of way is required. D. UTILITIES. The Local Agency will be responsible for obtaining the proper clearance or approval from any utility company which may become involved in this project, by separate agreement between the Local Agency and the utility, if necessary. Prior to this project being advertised for bids,the Local Agency will certify in writing to the State that all such clearances have been obtained. E. RAILROADS. In the event the project involves modification of a railroad company's facilities at a railroad grade crossing whereby the Work is to be accomplished by railroad company forces, the Local Agency shall make timely application to the State Public Utilities Commission requesting its order providing -12- - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - for the installation of the proposed improvements and not proceed with that part of the work without compliance. The Local Agency shall also establish contact with the railroad company involved for the purpose of complying with applicable provisions of 23 Code of Federal Regulations 646, Subpart B, concerning federal-aid projects involving railroad facilities, including: 1. Executing an agreement setting out what work is to be accomplished and the location(s) thereof, and that the costs of the improvement shall be eligible for federal participation. 2. Obtaining the railroad's detailed estimate of the cost of the Work. 3. Establishing future maintenance responsibilities for the proposed installation. 4. Prescribing future use or dispositions of the proposed improvements in the event of abandonment or elimination of the grade crossing. 5. Establishing future repair and/or replacement responsibilities in the event of accidental destruction or damage to the installation. F. ENVIRONMENTAL. In its performance of the Work,the Local Agency shall comply with the applicable provisions of the State's approved Action Plan concerning federal environmental requirements, including all federal directives contained therein by reference. Copies of the applicable provisions may be requested from the Office of Environmental Services, Colorado Department of Transportation, 4201 E. Arkansas Avenue, Rm. 284, Denver Co 80222. G. RECORD KEEPING. The Local Agency shall maintain all books, documents, papers, accounting records and other evidence pertaining to costs incurred and to make such materials available for inspection at all reasonable times during the contract period and for 3 years from the date of final payment to the Local Agency. Copies of such records shall be furnished by the Local Agency if requested. The Local Agency shall,during all phases of the Work,permit duly authorized agents and employees of the State and the FHWA to inspect the project and to inspect,review and audit the project records. H. MAINTENANCE. The Local Agency will maintain and operate the improvements constructed under this contract, at its own cost and expense during their useful life, in a manner satisfactory to the State and FHWA, and will make ample provision for such maintenance each year. Such maintenance and operations -13- shall be in accordance with all applicable statutes and ordinances, and regulations promulgated thereunder,which define the Local Agency's obligation to maintain such improvements. The State and FHWA will make periodic inspections of the project to verify that such improvements are being adequately maintained. I. FEDERAL REQUIREMENTS. The Local Agency/Contractor shall at all times during the execution of this contract strictly adhere to, and comply with, all applicable federal and state laws, and their implementing regulations, as they currently exist and may hereafter be amended,which are incorporated herein by this reference as terms and conditions of this contract. The contractor shall also require compliance with these statutes and regulations in subgrant agreements permitted under this contract. A listing of some of the federal and state laws that may be applicable, depending on the Local Agency/Contractor work responsibilities under this contract, are described in ADDENDUM A. J. DBE REOUIREMENTS "If the Local Agency desires to use its own DBE Program to implement and administer the DBE provisions of Title 49 CFR Part 23 under this contract, it must submit a copy of its program's requirements to CDOT for review and approval before the execution of this contract. If the Local Agency uses it's program for this contract, the Local Agency shall be solely responsible to defend that DBE Program and its use of that Program against all legal and other challenges or complaints, at its sole cost and expense. Such responsibility includes, without limitation, determinations concerning DBE eligibility and certification, adequate legal and factual bases for DBE goals, and good faith efforts. CDOT approval (if any) of the Local Agency's DBE Program does not waive or modify the sole responsibility of the Local Agency for its use as described above." K. LOCAL AGENCY FUNDS The Local Agency shall provide its match share and indirect cost funds for the work as outlined in Section V.B. IX. GENERAL PROVISIONS -14- A. Notwithstanding any consents or approvals given by the State for the Plans,the State will not be liable or responsible in any manner for the structural design, details or construction of any major structures that are designed within the Work of this contract. B. If the Work involves construction,the State shall have the authority to suspend the Work, wholly or in part, by giving written notice thereof to the Local Agency, due to the failure of the Local Agency or its construction contractor to correct project conditions which are unsafe for the Workmen or for such periods as the State may deem necessary due to unsuitable weather, or for conditions considered unsuitable for the prosecution of the Work, or for any other condition or reason deemed by the State to be in the public interest. C. This contract may be terminated as follows: (a) Termination for Cause. If, through any cause,the Local Agency shall fail to fulfill, in a timely and proper manner, its obligations under this contract, or if the Local Agency shall violate any of the covenants, agreements, or stipulations of this contract, the State shall thereupon have the right to terminate this contract for cause by giving written notice to the Local Agency of its intent to terminate and at least ten (10) days opportunity to cure the default or show cause why termination is otherwise not appropriate. In the event of termination, all finished or unfinished documents, data, studies, surveys, drawings, maps, models, photographs, and reports or other material prepared by the Local Agency under this contract shall, at the option of the State, become its property, and the Local Agency shall be entitled to received just and equitable compensation for any services and supplies delivered and accepted. The Local Agency shall be obligated to return any payment advanced under the provisions of this contract. Notwithstanding above, the Local Agency shall not be relieved of liability to the State for any damages sustained by the State by virtue of any breach of the contract by the Local Agency. If after such termination it is determined, for any reason, that the Local Agency was not in default, or that the Local Agency's action/inaction was excusable, such termination shall be treated as a termination for convenience, and the rights and obligations of the parties shall be the same as if the contract had been terminated for convenience, as described herein. (b) Termination for Convenience. The State may terminate this contract at any time the State determines that the purposes of the distribution of funds under the contract would no longer -15- be served by completion of the project. The State shall effect such termination by giving written notice of termination to the Local Agency and specifying the effective date thereof, at least twenty (20) days before the effective date of such termination. (c) Termination Due to Loss of Funding. The parties hereto expressly recognize that the Local Agency is to be paid, reimbursed, or otherwise compensated with federal and/or State funds which are available to the State for the purposes of contracting for the project provided for herein, and therefore, the Local Agency expressly understands and agrees that all its rights, demands and claims to compensation arising under this contract are contingent upon availability of such funds to the State. In the event that such funds or any part thereof are not available to the State,the State may immediately terminate or amend this contract. D. Notwithstanding anything herein to the contrary, the parties understand and agree that all terms and conditions of this contract and attachments hereto which may require continued performance or compliance beyond the termination date of the contract shall survive such termination date and shall be enforceable by the State as provided herein in the event of such failure to perform or comply by the Local Agency. E. This contract is subject to such modifications as may be required by changes in federal or State law, or their implementing regulations. Any such required modification shall automatically be incorporated into and be part of this contract on the effective date of such change as if fully set forth herein. Except as specifically provided otherwise herein,no modification of this contract shall be effective unless agreed to in writing by both parties in an amendment to this contract that is properly executed and approved in accordance with applicable law. F. To the extent that this contract may be executed and performance of the obligations of the parties may be accomplished within the intent of the contract, the terms of this contract are severable,and should any term or provision hereof be declared invalid or become inoperative for any reason, such invalidity or failure shall not affect the validity of any other term or provision hereof. The waiver of any breach of a term hereof shall not be construed as a waiver of any other term, or the same term upon subsequent breach. G. This contract is intended as the complete integration of all understandings between the parties. No prior or contemporaneous addition, deletion, or other amendment hereto shall have any -16- force or effect whatsoever, unless embodied herein by writing. No subsequent novation, renewal, addition, deletion, or other amendment hereto shall have any force or effect unless embodied in a written contract executed and approved pursuant to the State Fiscal Rules. H. Except as herein otherwise provided, this contract shall inure to the benefit of and be binding upon the parties hereto and their respective successors and assigns. I. The Local Agency represents and warrants that it currently has no interest, and shall not acquire any interest, direct or indirect, that would conflict in any manner or degree with the performance of the Local Agency's obligations under this contract. The Local Agency's further covenants that, in the performance of this contract, it will not employ any person or firm having any such known interests. J. This contract shall become "effective" only upon the date it is executed by the State Controller,or designee. The term of this contract shall begin on the date first written above and shall continue through the completion and final acceptance of this project by the State, FHWA and Local Agency. K. The Special Provisions, Attachment LO (Certification for Federal-Aid Contracts), and Appendix B (DBE requirements)attached hereto are hereby made a part of this contract. The Local Agency shall comply with all applicable terms and conditions of such attachments. L. If a conflict occurs between the provisions of this contract proper and the attachments hereto, the priority to be used to resolve such a conflict shall be as follows: 1. The Special Provisions and the attachments enumerated in Section VI, paragraph K, above; and 2. This contract proper; 3. Other contract attachments and exhibits, in their respective order. M. It is expressly understood and agreed that the enforcement of the terms and conditions of this contract, and all rights of action relating to such enforcement, shall be strictly reserved to the parties hereto, and nothing contained in this contract shall give or allow any such claim or right of action by any other or third person on such contract. It is the express intention of the parties that any person or entity other than the parties receiving services or benefits under this contract be deemed to be an incidental beneficiary only. -17- N. The Local Agency assures and guarantees that it possesses the legal authority to enter into this contract. The Local Agency warrants that it has taken all actions required by its procedures, by- laws, and/or applicable law to exercise that authority, and to lawfully authorize its undersigned signatory to execute this contract and to bind the Local Agency to its terms. The person(s)executing this contract on behalf of the Local Agency warrants that they have full authorization to execute this contract. 0. The Local Agency and the State may use one or all of the Contract Modification Tools contained in ADDENDUM B, in order to more expeditiously change and amend the terms of this contract, if such use is warranted by the circumstances as described and authorized therein. -18- IN WITNESS WHEREOF,the parties hereto have executed this contract the day and year first above written. STATE OF COLORADO ATTEST: ROY ROMER, GOVERNOR By By 4 *. Chief Clerk ecutive irector DEPARTMENT OF TRANSPORTATION APPROVED: CLIFFORD W. HALL GALE A. NORTON State Controller Attorney General pp yp l` By t Mfr By BARRY B. RY Assistant Attorney General Civil Litigation Section L) WELD COUNTY, COLORADO .5, / By (by yalt 4 Constance L. Harbert (09/28/98) o he Board Title Chair gg ' f/, Federal Employer Identification By: d�2A /L de /l Deputy Clerk to the Number: 84-6000-813 Board -19- ATTACHMENT #1 THE LOCAL AGENCY SHALL USE THESE PROCEDURES TO IMPLEMENT FEDERAL-AID PROJECT AGREEMENTS WITH PROFESSIONAL CONSULTANT SERVICES Title 23 Code of Federal Regulations (CFR) 172 applies to a federally funded local agency project agreement administered by CDOT that involves professional consultant services. 23 CFR 172 and 23 CFR 172 (d) state that, "When federal- aid highway funds participate in the contract a local shall use the same procedures as used by the State to administer contracts . . . . Therefore, local agencies must comply with this CFR requirement and the following state procedures when obtaining professional consultant services under a federally funded consultant contract administered by CDOT. CDOT has formulated its procedures in Procedural Directive (P.D. ) 400.1 and the related operations guidebook titled "Obtaining Professional Consultant Services". This directive and guidebook incorporate requirements from both Federal and State regulations, i.e. , 23 CFR 172 and Colorado Revised Statute (C.R.S. ) 24-30-1401 et seq. Copies of the directive and the guidebook may be obtained upon request from CDOT's Agreements and Consultant Management Unit. [Local agencies should have their own written procedures on file for each method of procurement that addresses the items in 23 CFR 172.5 (b) (1-6) ] . Because the procedures and laws described in the Procedural Directive and the guidebook are quite lengthy, the subsequent steps serve as a short-hand guide to CDOT procedures that a local agency must follow in obtaining professional consultant services. This guidance follows the format of 23 CFR 172. The steps are: 1. The contracting local agency shall document the need for obtaining professional services. 2. Prior to solicitation for consultant services, the contracting local agency shall develop a detailed scope of work and a list of evaluation factors and their relative importance. The evaluation factors are those identified in C.R.S. 24-30-1403. Also, a detailed cost estimate should be prepared for use during negotiations. 3. The contracting agency must advertise for contracts in conformity with the requirements of C.R.S. 24-30-1405. The public notice period, when such notice is required, is a minimum of 15 days prior to the selection of the three most qualified firms and the advertising should be done in one or more daily newspapers of general circulation. 4 . The request for consultant services should include the scope of work, the evaluation factors and their relative importance, the method of payment, and the goal of ten percent (10%) Disadvantaged Business Enterprise (DBE) participation as a minimum for the project. 5. The analysis and selection of the consultants should be done in accordance with C.R.S. 24-30-1403. This section of the regulation identifies the criteria to be used in the evaluation of CDOT pre- qualified prime consultants and their team. It also shows which criteria are used to short-list and to make a final selection. The short-list is based on the following evaluation factors: a. Qualifications, b. Approach to the project, -20- - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - c. Ability to furnish professional services. d. Anticipated design concepts, and e. Alternative methods of approach for furnishing the professional services. Evaluation factors for final selection are the consultant's: a. Abilities of their personnel, b. Past performance, c. Willingness to meet the time and budget requirement, d. Location, e. Current and projected work load, f. Volume of previously awarded contracts, and g. Involvement of minority consultants. Under 24-30-1401, cost shall not be considered as a factor in the evaluation of professional consultant services. 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 greaterthan $50, 000. Federal reimbursement for costs are limited to those costs allowable under the cost principles of 48 CFR 31. Fixed fees (profit) are determined with consideration given to size, complexity, duration, and degree of risk involved in the work. Profit is in the range of six (6) to fifteen (15) percent of the total direct and indirect costs. 7. A qualified local agency employee shall be responsible and in charge of the project to ensure that the work being pursued is complete, accurate, and consistent with the terms, conditions, and specifications of the contract. At the end of project, the local agency prepares a performance evaluation (a CDOT form is available) on the consultant. 8. Each of the steps listed above is to be documented in accordance with the provisions of 49 CFR 18.42, which provide for records to be kept at least three (3) years from the date that the local agency submits its final expenditure report. Records of projects under litigation shall be kept at least three (3) years after the case has been settled. The C.R.S. 24-30-1401 through 24-30-1408, 23 CFR Part 172, and P.D. 400. 1, provide additional details for complying with the eight (8) steps just discussed. -21- - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - hi WA- [,eC 4UOC ve„iuu Marc,, I '994 FHWA Form 1273 REQUIRED CONTRACT PROVISIONS FEDERAL-AID CONSTRUCTION CONTRACTS Page b. employ convict labor for any purpose within the limits of General 1 the project unless it is labor performed by convicts who are on II. Nondiscrimination 1 parole, supervised release, or probation. III. Nonsegregated Facilities 3 IV. Payment of Predetermined Minimum Wage 3 II. NONDISCRIMINATION V. Statements and Payrolls 6 VI. Record of Materials, Supplies, and Labor 6 (Applicable to all Federal-aid construction contracts and to all VII. Subletting or Assigning the Contract 7 related subcontracts of 510,000 or more.) VIII. Safety: Accident Prevention 7 IX. False Statements Concerning Highway Projects 7 1. Equal Employment Opportunity: Equal employment opportu- X. Implementation of Clean Air Act and Federal nity (EEO) requirements not to discriminate and to take Water Pollution Control Act 8 affirmative action to assure equal opportunity as set forth under Xl. Certification Regarding Debarment, Suspension, laws, executive orders, rules, regulations (28 CFR 35, 29 CFR Ineligibility, and Voluntary Exclusion 8 1630 and 41 CFR 60) and orders of the Secretary of Labor as XII. Certification Regarding Use of Contract Funds for modified by the provisions prescribed herein, and imposed Lobbying 9 pursuant to 23 U.S.C. 140 shall constitute the EEO and specific affirmative action standards for the contractor's project activities ATTACHMENTS under this contract. The Equal Opportunity Construction Contract Specifications set forth under 41 CFR 60-4.3 and the provisions A. Employment Preference for Appalachian Contracts of the American Disabilities Act of 1990 (42 U.S.C. 12101 el (included in Appalachian contracts only) seq.) set forth under 28 CFR 35 and 29 CFR 1630 are incorporated by reference in this contract. In the execution of I. GENERAL this contract,the contractor agrees to comply with the following minimum specific requirement activities of EEO: 1. These contract provisions shall apply to all work performed on the contract by the contractor's own organization and with the a. The contractor will work with the State highway agency assistance of workers under the contractor's immediate superin- (SHA)and the Federal Government in carrying out EEO obligations tendence and to all work performed on the contract by and in their review of his/her activities under the contract. piecework, station work, or by subcontract. b. The contractor will accept as his operating policy the 2. Except as otherwise provided for in each section, the following statement: contractor shall insert in each subcontract all of the stipulations contained in these Required Contract Provisions, and further "It is the policy of this Company to assure that applicants are require their inclusion in any lower tier subcontract or purchase employed, and that employees are treated during employ- order that may in turn be made. The Required Contract Provi- ment, without regard to their race, religion, sex, color, sions shall not be incorporated by reference in any case. The national origin, age or disability. Such action shall include: prime contractor shall be responsible for compliance by any employment, upgrading, demotion, or transfer; recruitment subcontractor or lower tier subcontractor with these Required or recruitment advertising; layoff or termination; rates of pay Contract Provisions. or other forms of compensation; and selection for training, including apprenticeship,preapprenticeship, and/or on-the-job 3. A breach of any of the stipulations contained in these training." Required Contract Provisions shall be sufficient grounds for termination of the contract. 2. EEO Officer: The contractor will designate and make known to the SHA contracting officers an EEO Officer who will 4. A breach of the following clauses of the Required Contract have the responsibility for and must be capable of effectively Provisions may also be grounds for debarment as provided in 29 administering and promoting an active contractor program of EEO CFR 5.12: and who must be assigned adequate authority and responsibility to do so. Section I, paragraph 2; Section IV, paragraphs 1, 2, 3, 4, and 7; 3. Dissemination of Policy: All members of the contractor's Section V, paragraphs 1 and 2a through 2g. staff who are authorized to hire, supervise, promote, and dis- charge employees, or who recommend such action, or who are 5. Disputes arising out of the labor standards provisions of substantially involved in such action, will be made fully cognizant Section IV(except paragraph 5) and Section V of these Required of,and will implement,the contractor's EEO policy and contractu- Contract Provisions shall not be subject to the general disputes al responsibilities to provide EEO in each grade and classification clause of this contract. Such disputes shall be resolved in accor- of employment. To ensure that the above agreement will be met, dance with the procedures of the U.S. Department of Labor(DOL) the following actions will be taken as a minimum: 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 a. Periodic meetings of supervisory and personnel office its subcontractors) and the contracting agency, the DOL, or the employees will be conducted before the start of work and then contractor's employees or their representatives. not less often than once every six months, at which time the contractor's EEO policy and its implementation will be reviewed 6. Selection of Labor: During the performance of this con- and explained. The meetings will be conducted by the EEO tract, the contractor shall not: Officer. a. discriminate against labor from any other State, posses- b. All new supervisory or personnel office employees will sion, or territory of the United States (except for employment be given a thorough indoctrination by the EEO Officer, covering preference for Appalachian contracts, when applicable, as all major aspects of the contractor's EEO obligations within thirty specified in Attachment A), or days following their reporting for duty with the contractor. REQUIRED BY 23 CFR 633.102 -22- c. All personnel who are engaged in direct recruitment for such corrective action shall include such other persons. Upon the project will be instructed by the EEO Officer in the contrac- completion of each investigation,the contractor will inform every tor's procedures for locating and hiring minority group employees. complainant of all of his avenues of appeal. d. Notices and posters setting forth the contractor's EEO 6. Training and Promotion: policy will be placed in areas readily accessible to employees, applicants for employment and potential employees. a. The contractor will assist in locating, qualifying, and increasing the skills of minority group and women employees, and e. The contractor's EEO policy and the procedures to applicants for employment. implement such policy will be brought to the attention of employ- ees by means of meetings, employee handbooks, or other b. Consistent with the contractor's work force require- appropriate means. ments and as permissible under Federal and State regulations,the contractor shall make full use of training programs, i.e., appren- 4. Recruitment: When advertising for employees,the contrac- ticeship, and on-the-job training programs for the geographical tor will include in all advertisements for employees the notation: area of contract performance. Where feasible, 25 percent of "An Equal Opportunity Employer." All such advertisements will apprentices or trainees in each occupation shall be in their first be placed in publications having a large circulation among year of apprenticeship or training. In the event a special provision minority groups in the area from which the project work force for training is provided under this contract,this subparagraph will would normally be derived. be superseded as indicated in the special provision. a. The contractor will,unless precluded by a valid bargain- c. The contractor will advise employees and applicants for ing agreement,conduct systematic and direct recruitment through employment of available training programs and entrance require- public and private employee referral sources likely to yield ments for each. qualified minority group applicants. To meet this requirement,the contractor will identify sources of potential minority group d. The contractor will periodically review the training and employees,and establish with such identified sources procedures promotion potential of minority group and women employees and whereby minority group applicants may be referred to the will encourage eligible employees to apply for such training and contractor for employment consideration. promotion. b. In the event the contractor has a valid bargaining agree- 7. Unions: If the contractor relies in whole or in part upon ment providing for exclusive hiring hall referrals, he is expected unions as a source of employees,the contractor will use his/her to observe the provisions of that agreement to the extent that the best efforts to obtain the cooperation of such unions to increase system permits the contractor's compliance with EEO contract opportunities for minority groups and women within the unions, provisions. (The DOL has held that where implementation of such and to effect referrals by such unions of minority and female agreements have the effect of discriminating against minorities or employees. Actions by the contractor either directly or through women, or obligates the contractor to do the same, such imple- a contractor's association acting as agent will include the proce- mentation violates Executive Order 11246, as amended.) dures 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 member- be discussed with employees. ship in the unions and increasing the skills of minority group employees and women so that they may qualify for higher paying 5. Personnel Actions: Wages, working conditions, and 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 project sites to insure that working conditions and employee c. The contractor is to obtain information as to the referral facilities do not indicate discriminatory treatment of project site practices and policies of the labor union except that to the extent personnel. such information is within the exclusive possession of the labor union and such labor union refuses to furnish such information to b. The contractor will periodically evaluate the spread of the contractor, the contractor shall so certify to the SHA and wages paid within each classification to determine any evidence shall set forth what efforts have been made to obtain such of discriminatory wage practices. information. c. The contractor will periodically review selected person- d. In the event the union is unable to provide the contractor nel actions in depth to determine whether there is evidence of with a reasonable flow of minority and women referrals within the discrimination. Where evidence is found, the contractor will time limit set forth in the collective bargaining agreement, the promptly take corrective action. If the review indicates that the contractor will, through independent recruitment efforts, fill the discrimination may extend beyond the actions reviewed, such employment vacancies without regard to race,color,religion, sex, corrective action shall include all affected persons. national origin, age or disability; making full efforts to obtain qualified and/or qualifiable minority group persons and women. d. The contractor will promptly investigate all complaints (The DOL has held that it shall be no excuse that the union with of alleged discrimination made to the contractor in connection which the contractor has a collective bargaining agreement with his obligations under this contract, will attempt to resolve providing for exclusive referral failed to refer minority employees.) such complaints, and will take appropriate corrective action In the event the union referral practice prevents the contractor within a reasonable time. If the investigation indicates that the from meeting the obligations pursuant to Executive Order 11246, discrimination may affect persons other than the complainant, REQUIRED BY 23 CFR 633.102 -23- as amended, and these special provisions, such contractor shall segregated facilities are maintained. The firm agrees that a immediately notify the SHA. breach of this certification is a violation of the EEO provisions of this contract. The firm further certifies that no employee will be B. Selection of Subcontractors, Procurement of Materials and denied access to adequate facilities on the basis of sex or Leasing of Equipment: The contractor shall not discriminate on disability. the grounds of race, color, religion, sex, national origin, age or disability in the selection and retention of subcontractors, includ- b. As used in this certification, the term "segregated ing procurement of materials and leases of 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 in segregated by explicit directive,or are, in fact, segregated on the 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 because of habit, local custom,or otherwise. The only exception to this contract. The contractor will use his best efforts to solicit will be for the disabled when the demands for accessibility bids from and to utilize DBE subcontractors or subcontractors override (e.g. disabled parking). with meaningful minority group and female representation among their employees. Contractors shall obtain lists of DBE construc- c. The contractor agrees that it has obtained or will obtain tion 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 material supply agreements of $10,000 or more and that it will subcontractor 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 available at reasonable times and places for inspection by autho- located on roadways classified as local roads or rural minor rized representatives of the SHA and the FHWA. collectors, 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 employment opportuni- 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 "the wage determination") which hiring, training, qualifying, and upgrading minority and female is 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 the mechanics, The wage determination (including any additional services of DBE subcontractors or subcontractors with meaningful classifications and wage rates conformed under paragraph 2 of minority and female representation among their employees. this Section IV and the DOL poster (WH-1321) or Form FHWA- 1495) shall be posted at all times by the contractor and its b. The contractors will submit an annual report to the SHA subcontractors at the site of the work in a prominent and each July for the duration of the project,indicating the number of accessible place where it can be easily seen by the workers. For minority, women, and non-minority group employees currently the purpose of this Section, contributions made or costs reason- engaged in each work classification required by the contract ably anticipated for bona fide fringe benefits under Section 1(b)(2) work. This information is to be reported on Form FHWA-1391. of the Davis-Bacon Act(40 U.S.C. 276a)on behalf of laborers or If on-the job training is being required by special provision, the mechanics are considered wages paid to such laborers or contractor will be required to collect and report training data. mechanics,subject to the provisions of Section IV, paragraph 3b, hereof. Also, for the purpose of this Section, regular III. NONSEGREGATED FACILITIES contributions made or costs incurred for more than a weekly period (but not less often than quarterly) under plans, funds, or (Applicable to all Federal-aid construction contracts and to all programs, which cover the particular weekly period, are deemed related subcontracts of 810,000 or more.) to be constructively made or incurred during such weekly period. Such laborers and mechanics shall be paid the appropriate wage a. By submission of this bid,the execution of this contract or rate and fringe benefits on the wage determination for the subcontract,or the consummation of this material supply agree- classification of work actually performed, without regard to skill, ment or purchase order, as appropriate, the bidder, Federal-aid except as provided in paragraphs 4 and 5 of this Section IV. construction contractor, subcontractor, material supplier, or vendor, as appropriate, certifies that the firm does not maintain b. Laborers or mechanics performing work in more than one or provide for its employees any segregated facilities at any of its classification may be compensated at the rate specified for each establishments, and that the firm does not permit its employees classification for the time actually worked therein, provided, that to perform their services at any location, under its control, where REQUIRED BY 23 CFR 633.102 -24- the employer's payroll records accurately set forth the time spent or subcontractors, as appropriate, shall either pay the benefit as in each classification in which work is performed. stated in the wage determination or shall pay another bona fide fringe benefit or an hourly case equivalent thereof. c. All rulings and interpretations of the Davis-Bacon Act and related acts contained in 29 CFR 1, 3, and 5 are herein b. If the contractor or subcontractor, as appropriate, does incorporated by reference in this contract. not make payments to a trustee or other third person, he/she may consider as a part of the wages of any laborer or mechanic the 2. Classification: amount of any costs reasonably anticipated in providing bona fide fringe benefits under a plan or program, provided, that the Secre- a. The SHA contracting officer shall require that any class tary of Labor has found, upon the written request of the contrac- of laborers or mechanics employed under the contract, which is tor, that the applicable standards of the Davis-Bacon Act have not listed in the wage determination, shall be classified in been met. The Secretary of Labor may require the contractor to conformance with the wage determination. set aside in a separate account assets for the meeting of obligations under the plan or program. b. The contracting officer shall approve an additional classification, wage rate and fringe benefits only when the 4. Apprentices and Trainees (Programs of the U.S. DOL)and following criteria have been met: Helpers: (1) the work to be performed by the additional classifi- a. Apprentices: cation requested is not performed by a classification in the wage determination; (1) Apprentices will be permitted to work at less than the predetermined rate for the work they performed when they (2) the additional classification is utilized in the area by are employed pursuant to and individually registered in a bona fide the construction industry; apprenticeship program registered with the DOL, Employment and Training Administration, Bureau of Apprenticeship and Training, (3) the proposed wage rate, including any bona fide or with a State apprenticeship agency recognized by the Bureau, fringe benefits, bears a reasonable relationship to the wage rates or if a person is employed in his/her first 90 days of probationary contained in the wage determination; and employment as an apprentice in such an apprenticeship program, who is not individually registered in the program, but who has (4) with respect to helpers, when such a classification been certified by the Bureau of Apprenticeship and Training or a prevails in the area in which the work is performed. State apprenticeship agency(where appropriate) to be eligible for probationary employment as an apprentice. c. If the contractor or subcontractors, as appropriate, the laborers and mechanics(if known)to be employed in the addition- (2) The allowable ratio of apprentices to journeyman- al classification or their representatives, and the contracting level employees on the job site in any craft classification shall not officer agree on the classification and wage rate (including the be greater than the ratio permitted to the contractor as to the amount designated for fringe benefits where appropriate),a report entire work force under the registered program. Any employee of the action taken shall be sent by the contracting officer to the listed on a payroll at an apprentice wage rate, who is not regis- DOL, Administrator of the Wage and Hour Division, Employment tered or otherwise employed as stated above, shall be paid not Standards Administration, Washington, D.C. 20210. The Wage less than the applicable wage rate listed in the wage determina- and Hour Administrator, or an authorized representative, will tion for the classification of work actually performed. In addition, approve, modify, or disapprove every additional classification any apprentice performing work on the job site in excess of the action within 30 days of receipt and so advise the contracting ratio permitted under the registered program shall be paid not less officer or will notify the contracting officer within the 30-day than the applicable wage rate on the wage determination for the period that additional time is necessary. work actually performed. Where a contractor or subcontractor is performing construction on a project in a locality other than that d. In the event the contractor or subcontractors, as appro- in which its program is registered,the ratios and wage rates (ex- priate,the laborers or mechanics to be employed in the additional pressed in percentages of the journeyman-level hourly rate) classification or their representatives, and the contracting officer specified in the contractor's or subcontractor's registered program do not agree on the proposed classification and wage rate shall be observed. (including the amount designated for fringe benefits, where appropriate), the contracting officer shall refer the questions, (3) Every apprentice must be paid at not less than the including the views of all interested parties and the recommenda- rate specified in the registered program for the apprentice's level tion of the contracting officer,to the Wage and Hour Administra- of progress, expressed as a percentage of the journeyman-level tor for determination. Said Administrator, or an authorized hourly rate specified in the applicable wage determination. representative, will issue a determination within 30 days of Apprentices shall be paid fringe benefits in accordance with the receipt and so advise the contracting officer or will notify the provisions of the apprenticeship program. If the apprenticeship contracting officer within the 30-day period that additional time program does not specify fringe benefits, apprentices must be is necessary paid the full amount of fringe benefits listed on the wage determi- nation for the applicable classification. If the Administrator for e. The wage rate (including fringe benefits where appropri- the Wage and Hour Division determines that a different practice ate) determined pursuant to paragraph 2c or 2d of this Section IV prevails for the applicable apprentice classification, fringes shall shall be paid to all workers performing work in the additional be paid in accordance with that determination. classification from the first day on which work is performed in the classification. (4) In the event the Bureau of Apprenticeship and Training, or a State apprenticeship agency recognized by the 3. Payment of Fringe Benefits: Bureau, withdraws approval of an apprenticeship program, the contractor or subcontractor will no longer be permitted to utilize a. Whenever the minimum wage rate prescribed in the apprentices at less than the applicable predetermined rate for the contract for a class of laborers or mechanics includes a fringe comparable work performed by regular employees until an accept- benefit which is not expressed as an hourly rate, the contractor able program is approved. REQUIRED BY 23 CFR 633.102 -25- 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, employed work performed unless they are employed pursuant to and by the contractor or any subcontractor the full amount of wages individually registered in a program which has received prior required by the contract. In the event of failure to pay any approval, evidenced by formal certification by the DOL, Employ- laborer or mechanic, including any apprentice, trainee, or helper, ment 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 employees after written notice to the contractor,take such action as may be on the job site shall not be greater than permitted under the plan necessary to cause the suspension of any further payment, approved by the Employment and Training Administration. Any advance,or guarantee of funds until such violations have ceased. employee listed on the payroll at a trainee rate who is not regis- tered and participating in a training plan approved by the Employ- 7. Overtime Requirements: ment and Training Administration shall be paid not less than the applicable wage rate on the wage determination for the classifica- No contractor or subcontractor contracting for any part tion of work actually performed. In addition, any trainee perform- of the contract work which may require or involve the employ- ing work on the job site in excess of the ratio permitted under the ment of laborers, mechanics, watchmen, or guards (including registered program shall be paid not less than the applicable wage apprentices,trainees, and helpers described in paragraphs 4 and rate on the wage determination for the work actually performed. 5 above) shall require or permit any laborer, mechanic, watch- man, or guard in any workweek in which he/she is employed on (3) Every trainee must be paid at not less than the rate such work, to work in excess of 40 hours in such workweek specified in the approved program for his/her level of progress, unless such laborer, mechanic, watchman, or guard receives expressed as a percentage of the journeyman-level hourly rate compensation at a rate not less than one-and-one-half times specified in the applicable wage determination. Trainees shall be his/her basic rate of pay for all hours worked in excess of 40 paid fringe benefits in accordance with the provisions of the hours in such workweek. trainee program. If the trainee program does not mention fringe benefits, trainees shall be paid the full amount of fringe benefits 8. Violation: listed on the wage determination unless the Administrator of the Liability for Unpaid Wages; Liquidated Damages: In the Wage and Hour Division determines that there is an apprentice- event of any violation of the clause set forth in paragraph 7 ship program associated with the corresponding journeyman-level above,the contractor and any subcontractor responsible thereof wage rate on the wage determination which provides for less shall be liable to the affected employee for his/her unpaid wages. than full fringe benefits for apprentices, in which case such In addition, such contractor and subcontractor shall be liable to trainees shall receive the same fringe benefits as apprentices. the United States (in the case of work done under contract for the District of Columbia or a territory,to such District or to such (4) In the event the Employment and Training Adminis- territory)for liquidated damages. Such liquidated damages shall tration withdraws approval of a training program, the contractor be computed with respect to each individual laborer, mechanic, or subcontractor will no longer be permitted to utilize trainees at watchman,or guard employed in violation of the clause set forth less than the applicable predetermined rate for the work per- in paragraph 7, in the sum of $10 for each calendar day on which formed until an acceptable program is approved. such employee was required or permitted to work in excess of the standard work week of 40 hours without payment of the c. Helpers: overtime wages required by the clause set forth in paragraph 7. Helpers will be permitted to work on a project if the 9. Withholding for Unpaid Wages and Liquidated 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 any authorized representative of the DOL withhold, or cause to be payroll at a helper wage rate, who is not a helper under a withheld,from any monies payable on account of work performed approved definition, shall be paid not less than the applicable by the contractor or subcontractor under any such contract or wage rate on the wage determination for the classification of any other Federal contract with the same prime contractor, or any work actually performed. 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 Apprentices and trainees working under apprenticeship and unpaid wages and liquidated damages as provided in the clause skill training programs which have been certified by the Secretary set forth 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 ments of paragraph 4 of this Section IV. The straight time hourly wage rates for apprentices and trainees under such programs will (Applicable to all Federal-aid construction contracts exceeding be established by the particular programs. The ratio of apprentic- $2,000 and to all related subcontracts, except for projects es and trainees to journeymen shall not be greater than permitted located on roadways classified as local roads or rural collectors, by the terms of the particular program. which are exempt.) 6. Withholding: 1. Compliance with Copeland Regulations(29 CFR 3): The SHA shall upon its own action or upon written The contractor shall comply with the Copeland Regulations of request of an authorized representative of the DOL withhold, or the Secretary of Labor which are herein incorporated by refer- cause to be withheld,from the contractor or subcontractor under ence. this contract or any other Federal contract with the same prime contractor, or any other Federally-assisted contract subject to 2. Payrolls and Payroll Records: REQUIRED BY 23 CFR 633.102 -26- 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 required under paragraph 2b of this Section V available for inspec- or cash equivalent thereof the types described in Section tion,copying,or transcription by authorized representatives of the 1(b)(2)(B) of the Davis Bacon Act); daily and weekly number of SHA, the FHWA, or the DOL, and shall permit such repre- hours worked; deductions made; and actual wages paid. In sentatives to interview employees during working hours on the addition, for Appalachian contracts, the payroll records shall job. If the contractor or subcontractor fails to submit the required contain a notation indicating whether the employee does, or does records or to make them available,the SHA,the FHWA,the DOL, not, normally reside in the labor area as defined in Attachment A, or all may, after written notice to the contractor, sponsor, appli- paragraph 1. Whenever the Secretary of Labor, pursuant to cant,or owner,take such actions as may be necessary to cause Section IV, paragraph 3b, has found that the wages of any the suspension of any further payment, advance, or guarantee of laborer or mechanic include the amount of any costs reasonably funds. Furthermore, failure to submit the required records upon anticipated in providing benefits under a plan or program de- request or to make such records available may be grounds for scribed in Section 1(b)(2)(B)of the Davis Bacon Act, the contrac- debarment action pursuant to 29 CFR 5.12. tor and each subcontractor shall maintain records which show that the commitment to provide such benefits is enforceable,that VI. RECORD OF MATERIALS,SUPPLIES,AND LABOR the plan or program is financially responsible, that the plan or program has been communicated in writing to the laborers or 1. On all Federal-aid contracts on the National Highway mechanics affected, and show the cost anticipated or the actual System,except those which provide solely for the installation of cost incurred in providing benefits. Contractors or subcontractors protective devices at railroad grade crossings, those which are employing apprentices or trainees under approved programs shall constructed on a force account or direct labor basis, highway maintain written evidence of the registration of apprentices and beautification contracts, and contracts for which the total final trainees, and ratios and wage rates prescribed in the applicable construction cost for roadway and bridge is less than 51,000,000 programs. (23 CFR 635) the contractor shall: c. Each contractor and subcontractor shall furnish, each a. Become familiar with the list of specific materials and week in which any contract work is performed, to the SHA supplies contained in Form FHWA-47, "Statement of Materials resident engineer a payroll of wages paid each of its employees and Labor Used by Contractor of Highway Construction Involving (including apprentices,trainees, and helpers, described in Section Federal Funds," prior to the commencement of work under this IV, paragraphs 4 and 5, and watchmen and guards engaged on contract. work during the preceding weekly payroll period). The payroll submitted shall set out accurately and completely all of the b. Maintain a record of the total cost of all materials and information required to be maintained under paragraph 2b of this supplies purchased for and incorporated in the work, and also of Section V. This information may be submitted in any form the quantities of those specific materials and supplies listed on desired. Optional Form WH-347 is available for this purpose and Form FHWA-47, and in the units shown on Form FHWA-47. may be purchased from the Superintendent of Documents (Federal stock number 029-005-0014-1), U.S. Government c. Furnish, upon the completion of the contract, to the Printing Office, Washington, D.C. 20402. The prime contractor SHA resident engineer on Form FHWA-47 together with the data is responsible for the submission of copies of payrolls by all required in paragraph 1b relative to materials and supplies, a final subcontractors. labor summary of all contract work indicating the total hours worked and the total amount earned. d. Each payroll submitted shall be accompanied by a "Statement of Compliance," signed by the contractor or subcon- 2. At the prime contractor's option, either a single report tractor or his/her agent who pays or supervises the payment of covering all contract work or separate reports for the contractor the persons employed under the contract and shall certify the and for each subcontract shall be submitted. following: VII. SUBLETTING OR ASSIGNING THE CONTRACT (1) that the payroll for the payroll period contains the information required to be maintained under paragraph 2b of this 1. The contractor shall perform with its own organization Section V and that such information is correct and complete; contract work amounting to not less than 30 percent(or a greater percentage if specified elsewhere in the contract) of the total (2)that such laborer or mechanic(including each helper, original contract price, excluding any specialty items designated apprentice, and trainee) employed on the contract during the by the State. Specialty items may be performed by subcontract payroll period has been paid the full weekly wages earned, and the amount of any such specialty items performed may be without rebate, either directly or indirectly, and that no deduc- deducted from the total original contract price before computing tions have been made either directly or indirectly from the full the amount of work required to be performed by the contractor's wages earned, other than permissible deductions as set forth in own organization (23 CFR 635). the Regulations, 29 CFR 3; a. "Its own organization"shall be construed to include only (3)that each laborer or mechanic has been paid not less workers employed and paid directly by the prime contractor and that the applicable wage rate and fringe benefits or cash equiva- equipment owned or rented by the prime contractor, with or lent for the classification of worked performed, as specified in the without operators. Such term does not include employees or applicable wage determination incorporated into the contract. REQUIRED BY 23 CFR 633.102 -27- 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 18 U.S.C. 1020 reads as follows: or 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, or of any State or Territory, or whoever, whether a or supervisor who is employed by the firm, has full authority to person, association, firm, or corporation, knowingly makes any direct performance of the work in accordance with the contract false statement, false representation, or false report as to the requirements, and is in charge of all construction operations character, quality, quantity, or cost of the material used or to be (regardless of who performs the work) and (b) such other of its used, or the quantity or quality of the work performed or to be own organizational resources (supervision, management, and performed,or the cost thereof in connection with the submission engineering services) as the SHA contracting officer determines of plans, maps,specifications, contracts, or costs of construction is necessary to assure the performance of the contract. on any 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 Whoever knowingly makes any false statement, false represen- SHA contracting officer, or authorized representative, and such ration, false report or false claim with respect to the character, consent when given shall not be construed to relieve the quality, quantity, or cost of any work performed or to be per- contractor of any responsibility for the fulfillment of the contract. formed, 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 repre- VIII. SAFETY:ACCIDENT PREVENTION sentation 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. 3551, as amended and comply with all applicable Federal, State, and local laws govern- 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 S10,000 or imprisoned not more equipment and take any other needed actions as it determines, or than 5 years or both." as the SHA contracting off icer 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 5100,000 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 Section 107 of the Contract Work Hours and Safety Standards of this contract, unless such contract is exempt under the Clean Act(40 U.S.C. 333). Air Act, as amended (42 U.S.C. 1857 g1;gg., as amended by Pub.L. 91-604), and under the Federal Water Pollution Control 3. Pursuant to 29 CFR 1926.3, it is a condition of this Act,as amended (33 U.S.C. 1251 glggq., as amended by Pub.L. contract that the Secretary of Labor or authorized representative 92-500). Executive Order 11738, and regulations in implementa- thereof, shall have right of entry to any site of contract perfor- tion thereof 140 CFR 15) is not listed, on the date of contract mance to inspect or investigate the matter of compliance with the award, on the U.S. Environmental Protection Agency (EPA) List construction safety and health standards and to carry out the of Violating Facilities pursuant to 40 CFR 15.20. duties of the Secretary under Section 107 of the Contract Work Hours and Safety Standards Act (40 U.S.C. 333). 2. That the firm agrees to comply and remain in compliance with all the requirements of Section 114 of the Clean Air Act and IX. FALSE STATEMENTS CONCERNING HIGHWAY PROJECTS Section 308 of the Federal Water Pollution Control Act and all regulations and guidelines listed thereunder. In order to assure high quality and durable construction in conformity with approved plans and specifications and a high 3. That the firm shall promptly notify the SHA of the receipt of degree of reliability on statements and representations made by any communication from the Director,Office of Federal Activities, engineers, contractors, suppliers, and workers on Federal-aid EPA, indicating that a facility that is or will be utilized for the highway projects, it is essential that all persons concerned with REQUIRED BY 23 CFR 633.102 -2e- 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 method and frequency by which it determines the eligibility of its as the government 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" (Nonprocure- XI. CERTIFICATION REGARDING DEBARMENT,SUSPENSION, ment List) which is compiled by the General Services Administra- INELIGIBILITY AND VOLUNTARY EXCLUSION tion. 1. Instructions for Certification - Primary Covered Transac- I. Nothing contained in the foregoing shall be construed to tions: require establishment of a system of records in order to render in good faith the certification required by this clause. The knowl- (Applicable to all Federal-aid contracts-49 CFR 29) edge and information of participant is not required to exceed that which is normally possessed by a prudent person in the ordinary a. By signing and submitting this proposal, the prospective course of business dealings. primary participant is providing the certification set out below. j. Except for transactions authorized under paragraph f of b. The inability of a person to provide the certification set these instructions, if a participant in a covered transaction out below will not necessarily result in denial of participation in knowingly enters into a lower tier covered transaction with a this covered transaction. The prospective participant shall submit person who is suspended, debarred, ineligible, or voluntarily an explanation of why it cannot provide the certification set out excluded from participation in this transaction, in addition to other below. The certification or explanation will be considered in remedies available to the Federal Government, the department or connection with the department or agency's determination agency may terminate this transaction for cause or default. 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 c. The certification in this clause is a material representa- Voluntary Exclusion--Primary Covered Transactions tion of fact upon which reliance was placed when the department or agency determined to enter into this transaction. If it is later 1. The prospective primary participant certifies to the best of determined that the prospective primary participant knowingly its knowledge and belief,that it and its principals: rendered an erroneous certification, in addition to other remedies available to the Federal Government, the department or agency a. Are not presently debarred, suspended, proposed for 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 immedi- ate written notice to the department or agency to whom this b. Have not within a 3-year period preceding this proposal proposal is submitted if any time the prospective primary partici- been convicted of or had a civil judgement rendered against them pant learns that its certification was erroneous when submitted for commission of fraud or a criminal offense in connection with or has become erroneous by reason of changed circumstances. obtaining, attempting to obtain, or performing a public (Federal, State or local)transaction or contract under a public transaction; e. The terms "covered transaction," "debarred," "suspend- violation of Federal or State antitrust statutes or commission of ed," "ineligible," "lower tier covered transaction," "participant," embezzlement,theft,forgery, bribery, falsification or destruction "person," "primary covered transaction," "principal," "proposal," of records, making false statements, or receiving stolen property; and "voluntarily excluded," as used in this clause, have the meanings set out in the Definitions and Coverage sections of rules c. Are not presently indicted for or otherwise criminally or implementing Executive Order 12549. You may contact the civilly charged by a governmental entity(Federal, State or local) department or agency to which this proposal is submitted for with commission of any of the offenses enumerated in paragraph assistance in obtaining a copy of those regulations. 1 b of this certification; and f. The prospective primary participant agrees by submitting d. Have not within a 3-year period preceding this applica- this proposal that, should the proposed covered transaction be tion/proposal had one or more public transactions (Federal, State entered into, it shall not knowingly enter into any lower tier or local)terminated for cause or default. covered transaction with a person who is debarred, suspended, declared ineligible, or voluntarily excluded from participation in 2. Where the prospective primary participant is unable to this covered transaction, unless authorized by the department or certify to any of the statements in this certification, such agency entering into this transaction. prospective participant shall attach an explanation to this proposal. g. The prospective primary participant further agrees by submitting this proposal that it will include the clause titled "Certification Regarding Debarment, Suspension, Ineligibility and Voluntary Exclusion-Lower Tier Covered Transaction," provided by the department or agency entering into this covered transac- 2. Instructions for Certification - Lower Tier Covered Transac- tion, without modification, in all lower tier covered transactions tions: and in all solicitations for lower tier covered transactions. (Applicable to all subcontracts, purchase orders and other lower tier transactions of $25,000 or more -49 CFR 29) REQUIRED BY 23 CFR 633.102 -29- a. By signing and submitting this proposal, the prospective lower tier is providing the certification set out below. 1. The prospective lower tier participant certifies, by submis- sion of this proposal, that neither it nor its principals is presently b. The certification in this clause is a material representa- debarred,suspended, proposed for debarment, declared ineligible, tion of fact upon which reliance was placed when this transaction or voluntarily excluded from participation in this transaction by was entered into. If it is later determined that the prospective any Federal department or agency. lower tier participant knowingly rendered an erroneous certification, in addition to other remedies available to the Federal 2. Where the prospective lower tier participant is unable to Government,the department, or agency with which this transac- certify to any of the statements in this certification, such tion originated may pursue available remedies, including suspen- prospective participant shall attach an explanation to this sion and/or debarment. proposal. c. The prospective lower tier participant shall provide ' ' immediate written notice to the person to which this proposal is submitted if at any time the prospective lower tier participant XII. CERTIFICATION REGARDING USE OF CONTRACT FUNDS learns that its certification was erroneous by reason of changed FOR LOBBYING circumstances. (Applicable to all Federal-aid construction contracts and to all d. The terms"covered transaction," "debarred," "suspend- related subcontracts which exceed $100,000-49 CFR 20) ed," "ineligible," "primary covered transaction," "participant," "person," "principal," "proposal," and "voluntarily excluded," as 1. The prospective participant certifies, by signing and submit- used in this clause, have the meanings set out in the Definitions ting this bid or proposal, to the best of his or her knowledge and and Coverage sections of rules implementing Executive Order belief,that: 12549. You may contact the person to which this proposal is submitted for assistance in obtaining a copy of those regulations. a. No Federal appropriated funds have been paid or will be paid, by or on behalf of the undersigned, to any person for e. The prospective lower tier participant agrees by submit- influencing or attempting to influence an officer or employee of ting this proposal that, should the proposed covered transaction any Federal agency,a Member of Congress,an officer or employ- be entered into, it shall not knowingly enter into any lower tier ee of Congress, or an employee of a Member of Congress in covered transaction with a person who is debarred, suspended, connection with the awarding of any Federal contract,the making declared ineligible, or voluntarily excluded from participation in of any Federal grant,the making of any Federal loan,the entering this covered transaction, unless authorized by the department or into of any cooperative agreement, and the extension, continua- agency with which this transaction originated. tion, renewal, amendment, or modification of any Federal contract, grant, loan, or cooperative agreement. f. The prospective lower tier participant further agrees by submitting this proposal that it will include this clause titled b. If any funds other than Federal appropriated funds have "Certification Regarding Debarment, Suspension, Ineligibility and been paid or will be paid to any person for influencing or attempt- Voluntary Exclusion-Lower Tier Covered Transaction," without ing to influence an officer or employee of any Federal agency, a modification, in all lower tier covered transactions and in all Member of Congress, an officer or employee of Congress, or an solicitations for lower tier covered transactions. employee of a Member of Congress in connection with this Federal contract, grant, loan, or cooperative agreement, the g. A participant in a covered transaction may rely upon a undersigned shall complete and submit Standard Form-LLL, certification of a prospective participant in a lower tier covered "Disclosure Form to Report Lobbying," in accordance with its transaction that is not debarred, suspended, ineligible, or volun- instructions. tarily excluded from the covered transaction,unless it knows that the certification is erroneous. A participant may decide the 2. This certification is a material representation of fact upon method and frequency by which it determines the eligibility of its which reliance was placed when this transaction was made or principals. Each participant may, but is not required to, check the entered into. Submission of this certification is a prerequisite for Nonprocurement List. making or entering into this transaction imposed by 31 U.S.C. 1352. Any person who fails to file the required certification shall h. Nothing contained in the foregoing shall be construed to be subject to a civil penalty of not less than $10,000 and not require establishment of a system of records in order to render in more than $100,000 for each such failure. good faith the certification required by this clause. The knowl- edge and information of participant is not required to exceed that 3. The prospective participant also agrees by submitting his or which is normally possessed by a prudent person in the ordinary her bid or proposal that he or she shall require that the language course of business dealings. of this certification be included in all lower tier subcontracts, which exceed 8100,000 and that all such recipients shall certify I. Except for transactions authorized under paragraph e of and disclose accordingly. these instructions, if a participant in a covered transaction knowingly enters into a lower tier covered transaction with a person who is suspended, debarred, ineligible, or voluntarily excluded from participation in this transaction,in addition to other remedies available to the Federal Government,the department or agency with which this transaction originated may pursue available remedies, including suspension and/or debarment. Certification Regarding Debarment,Suspension, Ineligibility and Voluntary Exclusion--Lower Tier Covered Transactions: REQUIRED BY 23 CFR 633-102 -30- ADDENDUM A: FEDERAL REQUIREMENTS Federal laws and regulations that may be applicable to the Work include: A. The "Uniform Administrative Requirements for Grants and Cooperative Agreements to State and Local Governments (Common Rule), at 49 Code of Federal Regulations, Part 18, except to the extent that other applicable federal requirements (including the provisions of 23 CFR Parts 172 or 633 or 635) are more specific than provisions of Part 18 and therefore supersede such Part 18 provisions. The requirements of 49 CFR 18 include, without limitation: 1) the Local Agency/Contractor shall follow applicable procurement procedures, as required by section 18.36(d); 2) the Local Agency/Contractor shall request and obtain prior CDOT approval of changes to any subcontracts in the manner, and to the extent required by, applicable provisions of section 18.30; 3) the Local Agency/Contractor shall comply with section 18.37 concerning any subgrants; 4) to expedite any CDOT approval, the Local Agency/Contractor's attorney, or other authorized representative, shall also submit a letter to CDOT certifying Local Agency/Contractor compliance with section 18.30 change order procedures, and with 18.36(d) procurement procedures, and with 18.37 subgrant procedures, as applicable; 5) the Local Agency/Contractor shall incorporate the specific contract provisions described in 18.36(i) (which are also deemed incorporated herein) into any subcontract(s) for such services as terms and conditions of those subcontracts. B. Executive Order 11246 of September 24, 1965 entitled "Equal Employment 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 -31- Protection Agency regulations (40 CFR Part 15) (contracts, subcontracts, and subgrants of amounts in excess of$100,000). G. Mandatory standards and policies relating to energy efficiency which are contained in the state energy conservation plan issued in compliance with the Energy Policy and Conservation Act (Pub. L. 94-163). H. Office of Management and Budget Circulars A-87, A-21 or A-122,and A-102 or A-110, whichever is applicable. I. The Hatch Act (5 USC 1501-1508) and Public Law 95-454 Section 4728. These statutes state that federal funds cannot be used for partisan political purposes of any kind by any person or organization involved in the administration of federally-assisted programs. J. 42 USC 6101 et seq. 42 USC 2000d, 29 USC 794, and implementing regulation, 45 C.F.R. Part 80 et. seq.. These acts require that no person shall, on the grounds of race, color, national origin, age, or handicap, be excluded from participation in or be subjected to discrimination in any program or activity funded, in whole or part, by federal funds; K. The Americans with Disabilities Act (Public Law 101-336; 42 USC 12101, 12102, 12111-12117, 12131-12134, 12141-12150, 12161-12165, 12181-12189, 12201-12213 47 USC 225 and 47 USC 611. L. The Uniform Relocation Assistance and Real Property Acquisition Policies Act, as amended(Public Law 91-646,as amended and Public Law 100-17, 101 Stat. 246-256). (If the contractor is acquiring real property and displacing households or businesses in the performance of this contract.) M. The Drug-Free Workplace Act (Public Law 100-690 Title V, subtitle D,41 USC 701 et seq.). N. The Age Discrimination Act of 1975, 42 U.S.C. Sections 6101 et. seq. and its implementing regulation,45 C.F.R. Part 91; Section 504 of the Rehabilitation Act of 1973,29 U.S.C. 794,as amended, and implementing regulation 45 C.F.R. Part 84. O. 23 C.F.R. Part 172, concerning "Administration of Engineering and Design Related Contracts". P. 23 C.F.R Part 633, concerning "Required Contract Provisions for Federal-Aid Construction Contracts". Q. 23 C.F.R. Part 635, concerning "Construction and Maintenance Provisions". R. Title VI of the Civil Rights Act of 1964 and 162(a) of the Federal Aid Highway Act of 1973. The requirements for which are shown in the Nondiscrimination Provisions, which are attached hereto and made a part hereof. -32- APRIL 1980 Nondiscrimination Provisions: In compliance with Title VI of the Civil Rights Act of 1964 and with Section 162(a) of the Federal Aid Highway Act of 1973,the Contractor, for itself, its assignees and successors in interest,agree as follows: A. compliance with Regulations. The Contractor will comply with the Regulations of the Department of Transportation relative to nondiscrimination in Federally assisted programs of the Department of Transportation (Title 49, Code of Federal Regulations, Part 21, hereinafter referred to as the "Regulations"), which are herein incorporated by reference and made a part of this contract. B. Nondiscrimination. The Contractor, with regard to the work performed by it after award and prior to completion of the contract work, will not discriminate on the ground of race, color, sex, mental or physical handicap or national origin in the selection and retention of Subcontractors, including procurement of materials and leases of equipment. The Contractor will not participate either directly or indirectly in the discrimination prohibited by Section 21.5 of the Regulations, including employment practices when the contract covers a program set forth in Appendix C of the Regulations. C. Solicitations for Subcontracts, Including Procurement of Materials and Equipment. In all solicitations either by competitive bidding or negotiation made by the Contractor for work to be performed under a subcontract, including procurement of materials or equipment, each potential Subcontractor or supplier shall be notified by the Contractor of the Contractor's obligations under this contract and the Regulations relative to nondiscrimination on the ground of race, color, sex, metal or physical handicap or national origin. D. Information and Reports. The Contractor will provide all information and reports required by the Regulations, or orders and instructions issued pursuant thereto and will permit access to its books, records,accounts, other sources of information and its facilities as may be determined by the State or the FHWA to be pertinent to ascertain compliance with such Regulations, orders and instructions. Where any information required of the Contractor is in the exclusive possession of another who fails or refuses to furnish this information, the Contractor shall so certify to the State, or the FHWA as appropriate and shall set forth what efforts have been made to obtain the information. page 1 of 2 pages -33- E. Sanctions for Noncompliance. In the event of the Contractor's noncompliance with the nondiscrimination provisions of this contract, the State shall impose such contract sanctions as it or the FHWA may determine to be appropriate, including, but not limited to: (1) Withholding of payments to the Contractor under the contract until the Contractor complies, and/or; (2) Cancellation, termination or suspension of the contract, in whole or in part. F. Incorporation of Provisions. The Contractor will include the provisions of paragraphs A through F in every subcontract, including procurement of materials and leases of equipment, unless exempt by the Regulations, orders, or instructions issued pursuant thereto. The Contractor will take such action with respect to any subcontract or procurement as the State or the 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. page 2 of 2 pages -34- ATTACHMENT LO Certification for Federal-Aid Contracts The contractor certifies, by signing this contract, to the best of its knowledge and belief, that: (1) No Federal appropriated funds have been paid or will be paid, by or on behalf or the undersigned, to any person for influencing or attempting to influence an officer or employee of any Federal agency, a Member of Congress, an officer or employee of Congress, or an employee of a Member of Congress in connection with the awarding of any Federal loan, the entering into of any cooperative agreement, and the extension, continuation, renewal, amendment, or modification of any Federal contract, grant, loan, or cooperative agreement. (2) If any funds other than Federal appropriated funds have been paid or will be paid to any person for influencing or attempting to influence an officer or of Congress, or an employee of a Member of Congress in connection with this Federal contract, grant, loan, or cooperative agreement,the undersigned shall complete and submit Standard Form-LLL, "Disclosure Form to Report Lobbying," in accordance with its instructions. This certification is a material representation of fact upon which reliance was placed when this transaction was made or entered into. Submission of this certification is a prerequisite for making or entering into this transaction imposed by Section 1352, Title 31, U.S. Code. Any person who fails to file the required certification shall be subject to a civil penalty of not less than$10,000 and not more than $100,000 for each such failure. The prospective participant also agree by submitting his or her bid or proposal that he or she shall require that the language of this certification be included in all lower tier subcontracts, which exceed $100,000 and that all such subrecipients shall certify and disclose accordingly. Required by 23 CFR 635.112 -35- APPENDIX B DISADVANTAGED BUSINESS ENTERPRISE (DBE) SECTION 1. Policy. It is the policy of the Colorado Department of Transportation (CDOT) that disadvantaged business enterprises shall have the maximum opportunity to participate in the performance of contracts financed in whole or in part with Federal funds under this agreement, pursuant to 49 CFR Part 23. Consequently, the 49 CFR Part IE DBE requirements the Colorado Department of Transportation DBE Program(or a Local Agency DBE Program approved in advance by the State) apply to this agreement. SECTION 2. DBE Obligation. The recipient or its contractor agrees to ensure that disadvantaged business enterprises as determined by the Office of Certification at the Colorado Department of Regulatory Agencies have the maximum opportunity to participate in the performance of contracts and subcontracts financed in whole or in part with Federal funds provided under this agreement. In this regard, all participants or contractors shall take all necessary and reasonable steps in accordance with the CDOT DBE program (or a Local Agency DBE Program approved in advance by the State) to ensure that disadvantaged business enterprises have the maximum opportunity to compete for and perform contracts. Recipients and their contractors shall not discriminate on the basis of race, color, national origin, or sex in the award and performance of CDOT assisted contracts. SECTION 3 DBE Program. The contractor(subrecipient) shall be responsible for obtaining the Disadvantaged Business Enterprise Program of the Colorado Department of Transportation, 1988, as amended, and shall comply with the applicable provisions of the program. (If applicable). A copy of the DBE Program is available from: Business Programs Office Colorado Department of Transportation 4201 East Arkansas Avenue, Room 287 Denver, Colorado 80222-3400 Phone: (303)757-9234 and will be mailed to the contractor upon request. revised 1/22/98 Required by 49 CFR Part 23.41 -36- ADDENDUM B: CONTRACT MODIFICATION TOOLS The Local Agency and the State may use one or all of the following Contract Modification Tools, in order to more expeditiously change and amend the terms of this contract, if such use is warranted by the circumstances as described and authorized therein. A. CHANGE ORDER. Bilateral changes within the general scope of the contract, as defined above, may be executed using the simplified change order letter process described in this paragraph and the sample letter attached for any of the following reasons: a. Where the agreed changes result in no adjustment to the [price] [ceiling cost], delivery schedule, or other terms and conditions of the contract. The change letter will contain a mutual release of claims for adjustment of price, cost, time for performance, or other terms and conditions, whether based on costs of changed work or direct or indirect impacts on unchanged work, as a result of the change; or b. Where the changes to the contract are priced based on the unit prices to be paid for the goods or services in [Exhibit ] [Attachment ] of the contract; or c. Where the changes to the contract are priced based on established catalog prices generally extended to the public; The written change letter will be substantially in the form at Exhibit , must bear the signature of the authorized agency official, the contractor, and--except where the parties agree on the face of the change order that no price/cost, schedule, or other contract adjustments are due the contractor--the State Controller or his designee. The change order letter shall refer to the basic contract and include a detailed description of the changes to the contract, the price or cost ceiling adjustment, the effective date, and(where applicable) the time within which the changed work must be done. B. FUNDING LETTER. Under this Contract, the Local Agency has agreed to provide funding based on the terms as described herein as needed to satisfactorily perform and complete the work, subject to the availability of funding. Funds are currently available and encumbered for the work in the amount specified above. However, the total cost to complete the work, and the resulting total funding amount(s) to be provided by the State and Local Agency in exchange therefor, as described in this Contract or otherwise made known to the Local Agency, are only estimated. -37- If the parties determine that they have underestimated/overestimated these total cost of the work, they have the right to take the following action: A. to increase/decrease the amount of available funds under this Contract. In the event of this action, the State will notify the Local Agency thereof by Funding Letter. The Funding Letter will be in a form substantially equivalent to that in Exhibit A and it shall not be deemed valid until it shall have been signed by the Local Agency and approved by the State Controller or such assistant as he may designate. C. Task Order. CDOT may order the performance of additional Work within the Scope by issuing a Task Order Letter to the Contractor, as follows: a. After consultation with CDOT, the Contractor shall prepare a Scope proposal for additional Work (or "Task Proposal"). Each proposal shall identify: the particular tasks to be performed, as well as the time for that performance; and the maximum compensation that the State shall be obligated to pay for the satisfactory performance and completion of the Work in that proposal, using the same cost rates/structure as contained in the Contract. The Task Proposal shall reference this original Contract between the parties. b. Each proposal shall be as negotiated and agreed by the parties. The Contractor shall submit that proposal to the Department, all in a form acceptable to the Department. c. If the State desires the contractor to perform the Work proposal, a Task Order Letter in the form attached as Appendix H shall be prepared and signed by the parties. Performance of the Work, and payment for that work, shall be governed by the standards and procedures set forth in the UPWP and this Contract. d. Upon such negotiation and agreement by the parties, and upon execution of the Task Order Letter, the contractor warrants that performance will be successfully completed within the time and [price] [cost ceiling] identified in the Task Order. The State's financial commitment memorialized by the Task Order Letter shall not be effective until signed by the Controller or such assistant as he may designate. e. The maximum amount for all tasks/services identified in a proposal shall not exceed the maximum amount described in that proposal. The State's financial obligation for a particular proposal is limited by that amount, and the contractor shall accept no Task Orders which result in a cumulative proposal value which exceeds the "not to exceed" value. Upon proper execution and approval, this letter shall become an amendment to this Agreement and, except for the General and Special Provisions of the Agreement, the letter shall supersede the Agreement in the event of a conflict between the two. -38- The Contractor shall not commence work to be performed under each Work Scope proposal until the date specified by the Department in the Task Order letter, and the Contractor shall complete same by the date specified in the proposal, unless the time thereof is extended. -39- Appendix : Work Change Order Letter Date: State Fiscal Year 1996-97 Change Order Letter No. In accordance with Paragraph of contract routing number , between the State of Colorado Department of Transportation and [Contractor] covering the period of 1997 through , the undersigned agree that the Work Scope/Schedule/Plan affected by this change letter are modified as follows: Services The Work Scope/Schedule/Plan is amended by (describe change). Price/Cost The maximum amount payable by CDOT for the Work as described in Paragraph is (Increased/decreased) by ($ amount of change)to a new total of($_ ), based on the pricing/cost in the Contract. That Paragraph is hereby modified accordingly; OR The parties agree that the changes made herein are "no cost" changes and shall not be the basis for claims for adjustment to [price] [cost ceiling], or other terms or conditions of the contract. The parties waive and release each other from any claims or demands for adjustment to the contract, including but not limited to price, cost, and schedule, whether based on costs of changed work or direct or indirect impacts on unchanged work. Controller approval of this "no cost" change is not required. Contractor initials. CDOT initials. Upon proper execution and approval, this letter shall become an amendment to this Agreement and, except for the General and Special Provisions of the Agreement, the letter shall supersede the Agreement in the event of a conflict between the two. This change to the contract is intended to be effective as of , but, except with respect to "no cost" changes identified above, in no event shall it be deemed valid until it shall have been approved by the State Controller or such assistant as he may designate. Please sign, date, and return all copies of this letter on or before 19 -40- Contractor Name: State of Colorado: Roy Romer, Governor By: By: Name For the Executive Director Title Colorado Department of Transportation APPROVALS: FOR THE STATE CONTROLLER Clifford W. Hall By: By: For CDOT State Controller or Designee -41- Appendix : Task Order Letter Date: State Fiscal Year 1996-97 Task Order Letter No. In accordance with Paragraph of contract routing number , between the State of Colorado for the use and benefit of its Department of Transportation and [Contractor] covering the period of 19_through 19_the undersigned agree that the services affected by this Task Order Letter are ordered/modified as follows: Task Order Description The contractor shall perform the task in accordance with [the following specifications/statement of work] [the contractor's Task Proposal dated , as amended by amended Task Proposal dated , both of which are hereby incorporated by reference]. Price/Cost The [price] [maximum amount payable by the State] for service described above is ($_ ) for a new contract total of($ _). Performance Period. The contractor will complete the performance in this Task Order by [date]. This Task Order is executed pursuant to paragraph of the original Contract. The parties agree that all work shall be performed according to the standards and terms set forth in the original Contract. In the event of any conflict or inconsistency between this amendment and the original Contract, such conflict or inconsistency shall be resolved by reference to these documents in the following order: Special Provisions, original Contract, attachments/exhibits to the original Contract, this Task Order Letter, attachments/exhibits to this Task Order Letter, then Task Order Proposal. -42- This Task Order is effective as of . In no event shall it be deemed valid until it shall have been approved by the State Controller or such assistant as he may designate. Contractor Name: State of Colorado: Roy Romer, Governor By: By: Name For the Executive Director Title Colorado Department of Transportation APPROVALS: FOR THE STATE CONTROLLER Clifford W. Hall By: State Controller or Designee -43- COLORADO DEPARTMENT OF TRANSPORTATION OrigDate: Project Code: 12366 Number UF3461 DESIGN DATA Project Number BRO C030-019 RevDate' PE Project Code PE Prefect Number ❑METRIC SI ENGLISH RevNumber. Page,of 2 EXHIBIT A 04 Status: ®prelim. 0 final ❑revised Project Description: WCR 47 9 OWL CREEK CANAL eEtiy: ,,. ,„ Countyl: Weld ICounty2: ICourutyJ: Prepared by: " Revla Munldpalty: Date: I I System Code: CI Ins CI NHS ❑STP ®OTHER Date: Oversight 0 CDOT 0 FHWA ®OTHER Submitted by Proj Mgr. I I Roulet: 999 refPtl: endRelPtl: STUNPFI Approved by Preconstr ucllon Engineer Route2: refPt2: endRefPt2: Date: Route3: relPt3: endRelPt3: Planned Length: 1.500 Geographic Location: hCR 47 9 OWL CREEK CANAL Terrain type: ❑level ❑riling ❑mountainous Description of proposed constnationlmprovement(attach map showing site location) BRIDGE REPLACEMENT AND REHABILITATION aTraffic(Note:use columns A,B,and/or C to identify facility described below) A= County Road 47 B= C= RdwyClass Urban 1 Rural a.anent year b.future year r ility Type: Functional Classification: Facility Location: Freeway _Prin.Medal _Industrial A B C A a C. Expreay Mi .Arterial _Commercial ADT ADT Divided Collector(major) _Residential DHV Undivided Collector(minor) Other DHV%Muclrs Not Roadway ?Local © Design Standards (dangly substandard items with an•In 1st column&clarify In remarks) Scurce(s)d Mandard(s)CDOT Design Manual/AASHTO Guide Existing Proposed Ultimate • A B C A B C A B C , A B C a Surface type b. Typical section type c. 4 of travel lanes d. Width of travel lanes e. Shoulder width IL/median f. _ Shoulder width nJouaside — I Side slope 1 .rz9 R Medan width . l• Posted speed J. Design speed 1. Max.etyerelevatlon I. MM.radius m. Min.horizontal SSD n. Min.vertical SSD o. Max.tirade Project under ❑1R ❑3R ❑4R ❑Other criteria Existing guardrail meets torrent standards: ❑yes 0 no Variance in minimum design standards required ❑yes 0 no 0 Gately project Comment ❑Justlscaton attached 0 Request to be submitted ❑Bridge(see Item 4) 0 See remarks not all standards addressed ❑Stage construction Resurfacing projects ❑Recommendations concerning safety aspects attached CDOT Form 4463 4/96 Project Code Project Number RevDate Page 2 of 2 12366 BRO C030-019 ▪ Major structures S.b stay,Rao be removed,Pcropoeed new structure Standard Structure Loading Horizontal Vertical • Structure ID Length Ref.Point Feature Intersected Width Rdwy Width ®HS ❑MS Clearance Clearance Year Built WEL047.0-068.08 Proposed treatment of bridges to remain in place(address bridge rail,capacity,and allowable surfacing thlclmess) © Project characteristics (proposed) ❑Wag 0 Handicap ramps Median type: 0 depressed ❑painted ❑raised ❑Curb and gutter ❑Curb only 0 Len-turn slots ❑continuous wldtit= ❑Sidewalks width= ❑Bikeways wldU 0 Right-turn slots 0 continuous wide.= ❑Parldng lanes width- B Detours Signing: B construction ❑permanent ❑Traffic control signals ❑Strpkg Other:(description) Landscaping requirements:(desalptton) ElRight of Way Yes No Est.No. El Utilities (list names of known utility companies) ROW and/or peon.easement required: ❑ B Reacaaon required ❑ B Temporary easement required: 0 el Changes in access: ❑ B Clnnpes to connecting roads: ❑ B CIRailroad crossings 11 of crossings: reemerts Railroad name uired Present protection Condition of zings 1. ❑ 2. 0 3. 0 4. 0 Recommendations: © Environmental envprojCode: approved under project 11 ❑Major(refer to approved ROD)dated: ❑Minor(refer to COOT Form 11128)dated ❑Intermediate(refer to approved FONSI)dated: ❑Minor programmatic exclusion t. Comments: 10 Coordination ❑Withdrawn lends(power sites,reservoirs,etc.)cleared through BLM or forest service office Irrigation ditch name: ❑New traffic ordinance required Municipality: ❑Modify schedule of existing ordinance Other. LA Contract IIConstruction method noAMReaaon:❑design ❑Local F/A Advertised Br ❑State 0 P.O. ❑RR F/A Entity/Agency contact name: Drew Sobel tinga B Local ❑Study ❑Utility F/A Phone 11: 356-4000 x3750 ❑None ❑CDOT F/A ❑Miscellaneous ® Remarks (Include additional pages If needed) County to do Design, AD, Award, Construction Management Original to Central files- Copies to: Region Fees,Region Environmental Manager,Staff Design Bragch(OA),PMO,ROW,Staff Bridge or other when appropriate. PRE-CONSTRUCTION ADMINISTRATION CHECKLIST Region: ( Project Code #:_ 3(° Local Agency: We co Project #: KC CO` , -O19 Design Project Manager: \ce cu S r Location: Li---)c-C), c\ 1 Cam' CA 13) C-cee0Q, o._ Resident Engineer: b cc Lc\ Description: cZesoace.,,kcndQ.E��too The following checklist shall be utilized to establish the PRE-CONSTRUCTION ADMINISTRATION CHECKLIST responsibilities of the individual parties to this agreement. RESPONSIBLE PARTY LOCAL NO. DESCRIPTION OF TASK AGENCY CDOT 1. Transportation Improvement Program (T.I.P.) X 2. Design Data (CDOT Form # 463) 3. Funding Authorization X* 4. LA/CDOT Project Agreement X X 5. Utility, Railroad, and Consultant Agreements X 6. Consultant Selection 7. Field Inspection Review (FIR) v� 8. Public Hearings U 9. Environmental Processes X* 10. Design Approval C. 11. Final Office Review (FOR) X X 12. Force Account Justification 13. Proprietary Item Justification 14. Davis-Bacon Wage Rates (— Yes No) X 15. Design Exceptions X RESPONSIBLE PARTY LOCAL Nth DESCRIPTION OF TASK AGENCY CDOT 16. Rights-of-Way YX X 17. Plans, Specifications, and Construction Cost Estimates /\ 18. EEO/DBE Requirements X 19. Advertising Less Than Three Weeks X X 20. LA Ad and Award �X X 21. Construction Administration (` X Preliminary Checklist Date: 7/ 3dI96 Revised Checklist Date: Final Checklist Date: * Requires FHWA concurrence/involvement. 04/29/96 CONSTRUCTION CONTRACT ADMINISTRATION CHECK LIST Page 1 CDOT Region: 44 Project Code (SA#) : \D-3(c , Local Agency: tj�AC) CU,,,,-v\--LA Project No. : Q('`Q, Cc�36-C k CDOT Design Project Manager: 1re,u s , ,T Location: We , y"1 Dim\ C4c .CancA Local Agency Project Manager: Dce.,.3 ,Qhe\lancjc.Description: Q3A.v.kcd gspoCe rwn"k- c_ \nctiC3 CDOT Resident Engineer: \D PcAc,c1c �z The following check list shall be utilized to establish the CONSTRUCTION CONTRACT ADMINISTRATION responsibilities of the individual parties to this agreement . THE CHECK LIST SHALL BE INCORPORATED INTO THE ENTITY AGREEMENT AT PROJECT INCEPTION. THE CHECK LIST SHALL BE PREPARED BY PLACING AN X UNDER THE RESPONSIBLE AGENCY, OPPOSITE EACH OF THE TASKS LISTED BELOW. When CDOT is selected to be responsible or co-responsible by option, the method of the Local Agency's reimbursement for CDOT'S costs must be established. WHEN NEITHER CDOT NOR THE LOCAL AGENCY WILL BE RESPONSIBLE FOR A PARTICULAR TASK, NON-APPLICABLE (NA) SHALL BE PLACED UNDER BOTH AGENCIES AND AN EXPLANATION OF WHY NEITHER AGENCY IS RESPONSIBLE SHALL BE INCLUDED. TASKS WHICH WILL BE PERFORMED BY HEADQUARTERS STAFF WILL BE SO INDICATED. THE REGIONS, IN ACCORDANCE WITH ESTABLISHED POLICIES AND PROCEDURES WHEN APPLICABLE, SHALL DETERMINE WHO WILL PERFORM ALL OTHER TASKS WHICH ARE THE RESPONSIBILITY OF CDOT. THE DESIGN PROJECT MANAGER SHALL NOTIFY THE APPROPRIATE RESIDENT ENGINEER, AND THOSE ON THE MINIMUM DISTRIBUTION LIST BELOW, OF FIELD INSPECTION REVIEWS (F.I.R. ) AND FINAL OFFICE REVIEWS (F.O.R. ) FOR ALL L. A. PROJECTS. IF A CHECK LIST WAS NOT INCORPORATED INTO THE ORIGINAL PROJECT AGREEMENT OR THE CONSTRUCTION CONTRACT ADMINISTRATION RESPONSIBILITIES HAVE CHANGED THE FOLLOWING PROCEDURES SHALL BE USED: A preliminary check list shall be prepared, by the CDOT Project Manager, prior to the F. I .R. and submitted to the Region Construction Engineer (RCE) with the F. I .R. notice. If Contract Administration responsibilities are changed after the F. I .R. , the CDOT Project Manager, shall prepare a revised check list and distribute copies. The CDOT Project Manager shall prepare the FINAL check list prior to the F.O.R. and submit copies to all persons receiving the F.O.R. notice. The minimum distribution list is shown below. PRELIMINARY CHECK LIST - DATE 7/ 300 b COPY: CDOT PM LA PM/PE _ REVISED CHECK LIST - DATE CDOT RCE CDOT RME FINAL CHECK LIST - DATE CDOT RE/PE C_Acrr a--cam REVISED 10/16/96 CONTRACT ADMINISTRATION CHECK LIST PAGE 2 ** RESPONSIBLE PARTY LOCAL NO. DESCRIPTION OF TASK AGENCY CDOT 1 . Set Disadvantaged Business Enterprise (DBE) . . . . X goals for the project. (CDOT Region EEO Administrative Program Specialist) 2 . Set On Job Training (OJT) goals for the project. (CDOT Region EEO Administrative Program Specialist when CDOT is responsible. ) 3 . Assure the correct Federal Wage Decisions, . . . . X all required DBE/OJT Special Provisions and the FHWA Form 1273 are included in the Contract documents . (CDOT Region Design Project Manager) This project is exempt from Davis-Bacon requirements as determined by the functional classification of the project location. (Note: n Projects located on local roads and rural minor N ) collectors may be exempt. ) CDOT Design Project Manager Date 4 . Advertise for bids/open bids . (CDOT Construction Contracts Unit, Staff Design Branch, when CDOT is responsible. ) 5 . Distribute "bid set" of plans and specifications to the person responsible for showing the project. (CDOT Printing and Visual Communications Center, Division of Human Resources and Administration when CDOT is responsible. )6 . Review work site and plan details with /u` prospective bidders while project is under advertisement. (CDOT Resident Engineer when CDOT is responsible. ) ** NOTE: Only one responsible party should be selected. If both are selected, a supplemental agreement specifying what task details are the responsibility of each party shall be attached to the Check List. When CDOT is responsible or co-responsible by option, the method of the Local Agency' s reimbursement for CDOT' S costs must be established by an attached memorandum of understanding (MOU) . REVISED 10/16/96 CONTRACT ADMINISTRATION CHECK LIST PAGE 3 ** RESPONSIBLE PARTY LOCAL NO. DESCRIPTION OF TASK AGENCY CDOT 7 . Determine compliance with DBE requirements before the Contract is awarded: a. Check CDOT Form #715 - Certificate of . . . . X Proposed DBE Participation, when the low bidder meets DBE goals . (CDOT Business Programs Office, (303) 757-9234, Room 287 , Division of Human Resources and Administration) b. Evaluate CDOT Form #718 - DBE Good Faith . . . X Effort Documentation, and determine if the Contractor has made a good faith effort when the low bidder does not meet DBE goals . (CDOT Business Programs Office) c . Approve/disapprove award of Contract by . . . X completing CDOT Form #719 - DBE Participation Summary. THIS FORM MUST BE COMPLETED BEFORE THE CONTRACT IS AWARDED. (CDOT Business Programs Office) 8 . Approve rejection of low bidder X 9 . Award Contract (CDOT Construction Contracts . . . Unit, Staff Design Branch, when CDOT is responsible. ) 10 . Distribute (o [number: minimum of six (6) ] . . . . "award sets" of plans and specifications to CDOT Region Resident Engineer. (Further distribution will then be made to the Region Construction Engineer (RCE) , CDOT Staff Construction, CDOT Staff Materials, and the Region Materials Engineer (RME) , and others as required. CDOT Printing and Visual Communications Center, Division of Human Resources and Administration when CDOT is responsible. ) ** NOTE: Only one responsible party should be selected. Refer to page 2 for additional information. REVISED 10/16/96 CONTRACT ADMINISTRATION CHECK LIST PAGE 4 ** RESPONSIBLE PARTY LOCAL NO. DESCRIPTION OF TASK AGENCY CDOT 11 . Issue "Notice to Proceed" to the Contractor. . . . (CDOT Construction Contracts Unit, Staff Design Branch, when CDOT is responsible. ) 12 . Conferences : a. Preconstruction (Request Pre-construction . . . 1' packet of information from Region EEO Administrative Program Specialist prior to the conference. CDOT Resident Engineer when CDOT is responsible. ) b. Partnering 7C c . Presurvey: (1) Construction staking 7` (2) Monumentation /' d. Structural concrete prepour X e. Concrete pavement prepaying n1A f. HBP prepaying 13 . Supervision of construction: �( a. Professional Engineer (PE) registered /` in Colorado, who will be "in responsible charge of construction supervision" . Ucew 3SC. `Ickoo Y. -15e, Local Agency PE Phone number b. Develop and distribute public notice of . . . . planned construction to the media and local residents . ** NOTE: Only one responsible party should be selected. Refer to page 2 for additional information. REVISED 10/16/96 CONTRACT ADMINISTRATION CHECK LIST PAGE 5 ** RESPONSIBLE PARTY LOCAL NO. DESCRIPTION OF TASK AGENCY CDOT c. Competent, experienced, staff who will . . . . ensure the Contract work is constructed in accordance with CDOT policies, standards and procedures . (Refer to the CDOT Procedural Directives and the following CDOT Operating Manuals for guidance and assistance - Local Agency Construction Manual, CDOT Construction Manual, CDOT Field Materials Manual, CDOT Survey Manual, CDOT Standard Plans, CDOT Erosion Control Manual, CDOT Davis-Bacon Manual . ) ( 1) CDOT Form #205 - Sublet Permit Application: (a) Check CDOT Form #713 - Contractor . . X DBE Subcontract, Supply and Service Contract Statement. Sign Form #205 if Form #713 is complete. (CDOT Region EEO Administrative Program Specialist) (b) Check and sign approval of Form #205 . after Form #713 has been checked by the Region EEO Administrative Program Specialist . u ( 2) Construction inspection including . . . . /` calculations, measurements, and documentation of interim and final pay quantities . ( 3) Conduct Contractor/Subcontractors . . . . X reviews to ensure conformance with the Equal Employment Opportunity(EEO) /Affirmative Action(AA) /DBE/OJT requirements contained in the Contract. (Standard Special Provisions, Project Special Provisions and FHWA Form 1273 ) (CDOT Region EEO Administrative Program Specialist) ** NOTE: Only one responsible party should be selected. Refer to page 2 for additional information. REVISED 10/16/96 CONTRACT ADMINISTRATION CHECK LIST PAGE 6 ** RESPONSIBLE PARTY LOCAL NO. DESCRIPTION OF TASK AGENCY CDOT ( 4) Notify CDOT Region EEO Administrative . . Program Specialist and request assistance for all EEO/DBE/OJT/ Davis-Bacon questions or concerns . ( 5) Complete and submit to the CDOT Region . . EEO Administrative Program Specialist, the required number of CDOT Form #280 - Equal Employment Opportunity and Labor Compliance Verification.( 6) Monitor DBE participation to ensure . . �//( compliance with the "Commercially Useful Function" requirements . ( 7) Complete and submit to the CDOT Region . . EEO Administrative program Specialist, the applicable number CDOT Form #200 - OJT Training Questionnaire, when project utilizes OJTs . ( 8) Check certified payrolls to verify . . . . Contractor/subcontractors are in compliance with Contract requirements. The checking shall be completed by project personnel trained in payroll checking. (Contact the Region EEO Administrative Program Specialist for training requirements . ) ( 9) Coordinate submittals by Contractor . . . ( C and all subcontractors of FHWA Form 1391 (Highway Construction Contractor's Annual EEO Report) to the CDOT Region EEO Administrative Program Specialist. The Report is due to the Region EEO Administrative Program Specialist by August 10 for all construction projects Active during the last complete week of July. ** NOTE: Only one responsible party should be selected. Refer to page 2 for additional information. REVISED 10/16/96 CONTRACT ADMINISTRATION CHECK LIST PAGE 7 ** RESPONSIBLE PARTY LOCAL NO. DESCRIPTION OF TASK AGENCY CDOT (10) Materials : (a) CDOT Form #250 - Materials Documentation Record: I) Fill out and distribute CDOT . . X Form #250 before the Contractor commences work. II) Complete Form #250 after work . . X is completed distribute per instructions in CDOT Materials Manual . (b) Approve changes to typical section . (c) Development, Checking, and Design mix approvals: I) Concrete F II) Hot Bituminous Pavement (HBP) . . (d) Acceptance of manufactured products . Y- (e) Inspecting fabrication of structural steel and prestressed concrete structural components. (f) Inspecting fabrication of bearing . . )C devices. (g) Laboratory Check testing )C (h) Acceptance testing (i) Independent assurance testing . . . X (The LA shall us AASHTO accredited laboratories . The IAT lab shall not be the same lab as the acceptance lab. The LA shall develop, complete, and distribute the CDOT Form #379 -Project Independent Assurance Sampling Schedule . ) ** NOTE : Only one responsible party should be selected. Refer to page 2 for additional information. REVISED 07/24/98 CONTRACT ADMINISTRATION CHECK LIST PAGE 8 ** RESPONSIBLE PARTY LOCAL NO. DESCRIPTION OF TASK AGENCY CDOT (11) Approve sources of materials (12) Approve shop drawings X (13 ) Perform Traffic Control Inspections . . x (14) Approve traffic signal equipment NA (15) Construction surveying (16) ROW monumentation /\ (17) Prepare, approve and sign vouchers . . . x for interim and final Contractor pay estimates. (CDOT RE if CDOT is responsible. ) Provide the name (s) and phone number (s) of The person(s) authorized for this task. 1T)reL - 9,4--"--(0C1-, X 3.14 LA Administrator Phone Number ( ) ew �CVVC IElvtc� 3SCn--c4OuC LAPE Phone Number (18) Prepare, approve and sign vouchers . . . . for interim and final Utility Company billings for utility relocation work. (19) Prepare and authorize CDOT Form #94 . . . X - Minor Contract Revision (MCR) and CDOT Form #90 - Contract Modification Order (CMO) (20) Approve MCRs and CMOs )C (21) Approve Federal-Aid funding for MCRs/CMOs . X (22) Monitor project financial status and . . . submit monthly in a format acceptable to the Region, such as CDOT Form #65 - Project Financial Status Report . ** NOTE: Only one responsible party should be selected. Refer to page 2 for additional information. REVISED 10/16/96 CONTRACT ADMINISTRATION CHECK LIST PAGE 9 ** RESPONSIBLE PARTY LOCAL NO. DESCRIPTION OF TASK AGENCY CDOT (23 ) Prepare and submit monthly progress . . . / ' 1C reports to the Region Construction Engineer: CDOT Form #110a - Status of Active Construction Projects, and CDOT Form #517a - Status of Construction Project Finals . (24) Contractor claims/dispute resolution . . . Local Agency must follow CDOT procedures unless Section 105 . 17 of the Standard Specifications is modified by a Project Special Provision. ALL contracts let for bid by the Local Agency shall contain a project special provision removing CDOT from the resolution process. J 14 . Make monthly progress and final payments /\ to the Contractor for completed work. (CDOT Center for Accounting, Division of Human Resources and Administration when CDOT is responsible. ) 15 . Make monthly progress and final payments to . . . . >C Utility Companies for completed utility relocation work. (CDOT Center for Accounting, Division of Human Resources and Administration when CDOT is responsible. ) 16 . Conduct routine, random, project reviews X C to ensure the project is being administered in accordance with the terms of the construction Contract and the approved project specific agreement between CDOT and the local agency. Provide the name and phone number of the person responsible for this task. Thc-c.c,.> Sc\nek.irk rcoc ?Sto— O6 K 3`75c Name of LA Phone Number ** NOTE: Only one responsible party should be selected. Refer to page 2 for additional information. REVISED 10/16/96 CONTRACT ADMINISTRATION CHECK LIST PAGE 10 ** RESPONSIBLE PARTY LOCAL, NO. DESCRIPTION OF TASK AGENCY CDOT 17 . Joint FHWA/CDOT Quality Assurance (QA) Review . . X Teams will conduct select program reviews in accordance with CDOT' s Stewardship Plan. (CDOT Staff Construction & Materials) 18 . Conduct final project inspection, complete and . . X submit CDOT Form #1212a - Final Acceptance Report. CDOT Resident Engineer with mandatory LA participation. 19. Final project acceptance, write final project . . . }� acceptance letter and distribute per procedures in the CDOT Construction Manual . 20. Advertise for final settlement. (CDOT Staff . . . X Construction when CDOT is responsible. ) 21 . Prepare and distribute final "as constructed" . . . X plans per procedures in the Construction Manual . 22 . Check final quantities, final plans and the . . . . final pay estimate. 23. Sign final pay estimate sheets and voucher 24 . Check material records X 25. Submit final materials certification X 26. Obtain CDOT Form #17 - Contractor DBE Payment . . Certification, from the Contractor and submit to Region Program Engineer. 27 . Obtain FHWA Form PR 47 (Statement of Materials . . w- and Labor Used . . . ) from the Contractor, check and submit to Region Construction Engineer. (REQUIRED ONLY ON NHS PROJECTS WITH TOTAL FINAL PAYMENT EXCEEDING $1,000,000. ) 28 . Complete and submit CDOT Form #950 - Project Closure. 29. Retain project records . (For six years from date of project closure. ) ** NOTE : Only one responsible party should be selected. Refer to page 2 for additional information. REVISED 07/24/98 SPECIAL PROVISIONS CONTROLLER'S APPROVAL .This contract shall not be deemed valid until it shall have been approved by the Controller of the State of Colorado or such assistant as he may designate. This provision is applicable to any contract involving the payment of money by the State. FUND AVAILABILITY 2.Financial obligations of the State of Colorado payable after the current fiscal year are contingent upon funds for that purpose being appropriated,budgeted, and otherwise made available. BOND REQUIREMENT 3.If this contact involves the payment of more than fifty thousand dollars for the construction,erection,repair,maintenance,or improvement of any building, road.bridge,viaduct,tunnel,excavation or other public work for this State,the contractor shall,before catering upon the performance of any such work included in this contract,duly execute and deliver to the State official who will sign the contract,a good and sufficient bond or other acceptable surety to be approved by said official in a penal sum not less than one-half of the total amount payable by the terms of this contract Such bond shall be duly executed by a qualified connote surety conditioned upon the faithful performance of the contract and in addition,shall provide that if the contactor or his subcontractors fail to duly pay for any labor,materials,team hive,sustenance,provisions,provendor or other supplies used or consumed by such contractor or his subcontractor in performance of the work contacted to be done or fails to pay any person who supplies rental machinery,tools,or equipment in the prosecution of the work the surety will pay the same in an amount not exceeding the sum specified in the bond,together with interest at the rate of eight per cent per annum. Unless such bond is created,delivered and filed,no claim in favor of the contractor arising under such contract shall be audited,allowed or paid. A certified or cashier's check or a bank money order payable to the Treasurer of the State of Colorado may be accepted in lieu of a bond. This provision is in compliance with CRS 38-26-106. INDEMNIFICATION 4.To the extent authorized by law,the contractor shall indemnify,save,and hold harmless the State,its employees and agents,against any and all runimc, 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 contact DISCRIMINATION AND AFFIRMATIVE ACTION The:contractor agrees to comply with the letter and spirit of the Colorado Antidiscrimination Act of 1957,as amended,and other applicable law respecting Asa®matien and u nfaG iremploymentpractic s(CRS 24-34402),and as required by Executive Order,Equal Opportunity and Affirmative Action,dated April 16,1975.Prvsumu thereto,the following provisions shall be contained in all State sonnets or sub-contract. During the performance of this contact,the contractor agrees as follows: (a)The contractor will not discriminate against any employee or applicant for employment because of race,creed,color,national origin,sex,marital status, religion,ancestry,Mind or physical handicap,or age.The contractor will take affirmative action to insure that applicants are employed,and that employees are treated during employment,without regard to the above mentioned characteristics.Such action shall include,but not be limited to the following.employment upgrading,demotion,or transfer,recruitment or recruitment advertisings;lay-offs or terminations;rates of pay or other forms of compensation;and selection for training,including apprenticeship.The contractor agrees to post in conspicuous places,available to employees and applicants for employment,notices to be provided by the contracting officer setting forth provisions of this non-discrimination clause. (b)The contractor will,in all solicitations or advertisements for employees placed by or on behalf of the contractor,state that all qualified applicants will receive consideration for employment without regard to race,need,color,national origin,sex,marital status,religion,ancestry,mental or physical handicap,or age. (e)The contractor will send to each labor union or representative of workers with which he has a collective bargaining agreement or other contract or .tmdastanding,notice to be provided by the contracting officer,advising the labor union or workers'representative of the contractor's commitment under the Executive Order,Equal Opportunity and Affirmative Action,dated April 16,1975,and of the rules,regulations,and relevant Orders of the Governor. (d)The contractor and labor unions will finish all information and reports required by Executive Order,Equal Opportunity and Affirmative Action of April 16, 1975,and by the mks,regulations and Orders of the Governor,or pursuant thereto,and will permit access to his books,records,and accounts by the contacting agency and the office of the Governor or his designee for purposes of investigation to ascertain compliance with such rules,regulations and orders. (e)A labor organization will not exclude any individual otherwise qualified from full membership rights in such labor organization,or expel any such individual from membership in such labor organization or discriminate against any of its members in the full enjoyment of work opportunity because of race,creed,color, sex,national origin,or ancestry. (t)A labor organization,or the employees or members thereof will not aid,abet,incite,compel or coerce the doing of any act defined in this contract to be discriminatory or obstruct or prevent any person from complying with the provisions of this contract or any order issued thereunder,or attempt,either directly r indirectly,to commit any act defined in this contract to be discriminatory. (g) In the event of the contractor's non-compliance with the non-discrimination clauses of this contract or with any of such rules,regulations,or orders,this contract may be canceled,terminated or suspended in whole or in part aid the contractor may be declared ineligible for further Slate contracts in accordance with procedures,authorized in Executive Order,Equal Opportunity and Affirmative Action of April 16,1975 and the rules,regulations,or orders promulgated •Form fiwbo2B(GElatt97) Reviser 06101/97 Page 1 of?pages Required by State Fiscal Rules • in accordance therewith,and such other sanctions as may be imposed and remedies as may be invoked as provided in Executive Order,Equal Opportunity and Affirmative Action of April 16,1975,or by rules,regulations,or orders promulgated in accordance therewith,or as otherwise provided by law. (h) The contractor will include the provisions of paragraphs(a)through(h)in every subcontract and subcontractor purchase order unless exempted by rules, — regulations,or orders issued pursuant to Executive Order,Equal Opportunity and Affirmative Action of April 16,1975,so that such provisions will be agency may. upon each subcontractor or vendor. The contractor will take such action with respect to any subcontracting or purchase order as the contacting agency may;. direct,as a means of enforcing such provisions,including sanctions for non-compliance;provided,however,that in the event the contractor becomes involved in,or is threatened with,litigation,with the subcontractor or vendor as a result of such direction by the contracting agency,the contractor may request the State of Colorado to enter into such litigation to protect the interest of the State of Colorado. COLORADO LABOR PREFERENCE b. When a construction contract for a public project is to be awarded to a bidder,a resident bidder shall be allowed a preference against a non-resident bidder torn a state or foreign country equal to the preference given or required by the state or foreign country in which the non-resident bidder is a resident If it is determined by the officer responsible for awarding the bid that compliance with the subsection.06 may cause denial of federal funds which would otherwise be available or would otherwise be inconsistent with requirements of Federal law,this subsection shall be suspended,but only to the extent nerncary to prevent denial of the moneys or to eliminate the inconsistency with Federal requirements(CRS 8-19-101 and 102). GENERAL 7. 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 by reference which purports to negate this or any other special provision in whole or in actionat incorporated herein by way of complaint,defense,or otherwise. Any shall be valid or this provision will available invalidate in at law rwhether provision rendered null and void by the operation of provision not the remainder of this contract to the extent that the contract is capable of execution. 8. 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. 9. Pursuant to CRS 24-30-202.4(as amended),the state controller may withhold debts owed to state agencies under the vendor offset intercept system for. (a)unpaid child support debt or child support arrearages;(b)unpaid balance of tax,accrued interest, or other durges specified in Article 22, Title 39, CRS; (c)unpaid loans due to the student loan division of the department of higher education;(d)owed amounts required to be paid to the unemployment compensation. fund;and(e)other unpaid debts owing to the state or any agency therm£the amount of which is found to be owing as a result of final agency determination or reduced to judgment as certified by the controller. 10. The signatories aver that they are familiar with CRS 18-8-301,et seq.,(Bribery and Corrupt Influences)and CRS 18-8-401,et seq.,(Abuse of Public Office), and that no violation of such provisions is present t 1. The signatories aver that to their knowledge,no state employee has any personal or beneficial interest whatsoever in the service or property described herein. • WHEREOF,the parties hereto have executed this Contract on the day first above written. Contractor. - State of Colorado (Full Legal Name) ROY ROMER,GOVERNOR By Position(Tttle) By Social Security Number or Federal I.D.Number of PUBLIC HEALTH AND ENVIRONMENT If Corporation,Town/City/r!s,mty,or Equivalent ROGRAM APPROVAL: Attest(Affix Seal) By Corporate Secretary,or Equivalent,To sty/County Clerk APPROVALS ATTORNEY CONTROLLER • By By A.Norton Clifford W.Hall Form 6-AGa2C(GF2mda197) Revised 0691/97 Page 2 which is the last of 2 pages COLORADO DEPARTMENT OF TRANSPORTATION AUTHORITY: CONTRACT FUNDING INCREASE/DECREASE AND APPROVAL LETTER State Controller Policy letter on June 12, 1996 Region: Complete section 1 and submit to COOT Controller's office. COOT Controller letter on May 23, 1996_ 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 COOT construction,sum of CMO's _LA construction, underestimated cost — DOT construction, underestimated total cost COOT consultant, underestimated cost SECTION 1 (Region use) Date: Project code To: COOT Controller(FAX #(303) 757.9573 or e-mail CONTROLLER) Project# From: Office: Phone# FAX# Region # COOT has executed a contract with: Address: FEIN N Contract routing# COFRS encumbrancer(Indicate PO.SC or PG s) Fund Orgn. APpro. Prgnn. Func. Object/Sub-obi NIP GBL Reporting Cate. Proj/SubtPhase Original contract amount Has a Budget Request been processed to cover the contract amount increase? $ _yes_no Previous Funding Letter(s) total Preparer's name $ (Fwa^o'^^ar•h wu••__) PHONE NO: This Funding Letter total Contract Administrator's/Business Manager's Approval PHONE NO: Adjusted contract amount COOT Designee Approval S Local Agency approval SECTION 2(Controller's Office use) Total allotment amount Commission budget $ $ It construction: CE charges Indirect chgs Adjusted contract amount plus total CL&indirect CE pool elig_ $ S charges calculation$ 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 COOT Controller's approval signature Date COOT Form 111a6a 1197 EXAMPLE A (Lump Sum Contracts) Company Name: Project No. Address: • Project Location Employer (FEIN) ID Number: Subaccount No. Invoice Number and Date: Progress Report Dated: %Completed: (1) Current Billing Period: From: To: BASIC AND/OR SUPPLEMENTAL CONTRACT TOTAL: (2) $ Total Billed to Date: $ Less: Retainage (10%of billing not to exceed 5%of contract) $ Less: Prior Payments: $. Prior Billing : $ Less Retainage: $ $ TOTAL CURRENT PAYMENT REQUEST: * $ (%To Date of DBE Work: I certify that the billed amounts are in agreement with the contract terms: Signature Title Date * % Completed x Contract Total =Total Curent Payment Request (1) x (2) = ( * ) . EXAMPLE B (Cost Plus Fixed Fee Contracts) Company Namea Project No. Address: Employer (FEIN) ID Number: Project Location Invoice Number and Date: • . Progress Report Dated: Subaccount No. %Completed: BASIC AND/OR SUPPLEMENTAL CONTRACT TOTAL $ Prior Period Billing Amount: $ Current Billing Period: From: To: DIRECT LABOR: (List individually) Regular Direct Hourly Overtime Cost Employee Name Classification Hours Rate $ Hours * $ Current Total Amount to This Period Date (Optional) SUBTOTAL- DIRECT LABOR $ $ INDIRECT (%) (As specified in contract) $ $ OTHER DIRECT COSTS (In - House) List individually- at actual cost as in final cost proposal;mileage (miles x$), $ $ CADD(hrs.x$),equip. rental(hrs.x$),etc. SUBTOTAL (DIRECT LABOR, INDIRECT&OTHER DIRECT COSTS) $ $ FEE (%) (As specified in the contract) $ $ OUTSIDE SERVICES(Subconsultants&Vendors) (Ust individually) $ $ (To be in this same format-attach copies) %To Date on OBE Work $ $ Outside Services Management Expense(when applicable) $ $ TOTAL CURRENT PERIOD: $ $ TOTAL TO DATE: $ $ LESS: Retainage (10%of billing not to exceed 5%of contract) $ $ LESS: Prior Payments $ $ Prior Billing$ Less Retainage $ $ $ TOTAL CURRENT PAYMENT REQUEST $ $ I certify that the billed amounts are actual and in agreement with the contract terms: Signature Title Date * Eligible classifications only;in accordance with contract • EXAMPLE C (Specific Rates Of Pay Contracts) Company,Name: Project No. Address: Employer (FEIN) ID Number: Project Location Invoice Number and Date: Progress Report Dated: Subaccount No. %Completed: BASIC AND/OR SUPPLEMENTAL CONTRACT TOTAL $ Prior Period Billing Amount: $ Current Billing Period: From: To: PAY RATES: (List individually) Regular Overtime Rate of Pay Cost Employee Name Classification Hours Hours * $/Hours** $ SUBTOTAL- PAY RATES: $ OTHER DIRECT COSTS (In - House) List individually-at actual rates as in final cost proposal;mileage (miles x$), $ CADD(hrs.x$), equip. rental (hrs.x$),etc. SUBTOTAL (Pay Rates and Other Direct Rates) $ OUTSIDE SERVICES (Subcbnsultants&Vendors) (Ust individually) $ (To be in this same format-attach copies) %To Date on DBE Work • Outside Services Management Expense (when applicable) $ TOTAL CURRENT PERIOD: $ TOTAL TO DATE: $ LESS: Retainage (10%of billing not to exceed 5%of contract) $ LESS: Prior Payments $ Prior Billing$ Less Retainage $ TOTAL CURRENT PAYMENT REQUEST: $ I certify that the billed amounts are actual and in agreement with the contract terms: Signature Title Date * Eligible classifications only;in accordance with contract ** In accordance,with contract EXAMPLE D (Local Agency Billing) Date SECTION I. CONTRACT DATA Local Agency: Project No. Address: Employer (FEIN) ID Number: Project Location Invoice Number and Date: t Completed: Subaccount No. BASIC AND/OR SUPPLEMENTAL CONTRACT TOTAL: $ Federal Share $ Local Agency Share $ State Share $ Prior Period Billing Amount: $ Current Billing Period: From: To: SECTION II. INCURRED COSTS DIRECT.LABOR: (List individually) Employee Classifi- Regular Direct Hourly Overtime Cost Name cation Hours Rate $ Hours* $ Current Total to This Period Date SUBTOTAL - DIRECT LABOR $ $ BENEFITS • t OF DIRECT LABOR $ $ - OTHER DIRECT COSTS (In-House) List individually-at actual cost; mileage (miles x $) , CADD (hrs. x $) , $ $ equip rental (hrs. x $), eta. OUTSIDE SERVICES (Consultants & Vendors) (List individually) (To be in this same format- S $ attach copies of invoices) TOTAL COSTS CURRENT PERIOD: $ - TOTAL COSTS TO DATE: $ SECTION III. BILLING - TOTAL BILLING CURRENT PERIOD ( . t OF TOTAL COSTS) : . $ Prior Billing: $ I certify that the billed amounts are actual and in agreement with the contract terms: Signature Title Date * Eligible classifications only. - - ZXAMPLE E: FIXED MULTIPLIER Company Name: Project No. Address: Employer (FEIN)ID Number: Project Location Invoice Number and Date: Progress Report Dated: • Subaccount No. %Completed: BASIC AND/OR SUPPLEMENTAL CONTRACT TOTAL $ Prior Period Wiling Amount: S Current Billing Period: From: To: PAY RATES: (list individually) x _x Regular Certified Fixed Cost Employee Name Classification Hours Hourly Rate Multiplier $ SUBTOTAL- PAY RATES: S OTHER DIRECT COSTS (in- House) _ List individually•at actual rates as in final cost proposal;mileage(miles x$). S CADD(hrs.x S),equip.rental(hrs.x$).etc. SUBTOTAL (Pay Rates and Other Direct Rates) S OUTSIDE SERVICES (Subconsultants&Vendors) (list Individually) S(To be In this same format-attach copies) %To Date on DBE Work Outside Services Management Expense (when applicable) S TOTAL CURRENT PERIOD: S TOTAL TO DATE: J S LESS: Retalnage (10%of biting not to exceed 51 of contract) S LESS: Pilot Payments Prior Rifling$ Less Retainage $ TOTAL CURRENT PAYMENT REQUEST: S I certify that the billed amounts are actual and In agreement with the contract terms: Signature Title Date • ague classifications only;In accordance with contract •• In accordance with contrail SEP. -18' 98 (FRI ( 13.52 NORTH FROG ENG OFC P. 002 CTVe, GENERAL PROVISIONS BUDGET/ESTIMATED COST DETAILS uc 3t-ib( (CAN BE USED IF LOCAL IS PERFORMING SOME OP ALL OF THE WORK, OR IF CDOT IS PERFORMING ALL OF THE WORK) Va (CL, III. GENERAL PROVISIONS -O Cow �'��l vual CC C.c. nJ.! A. The (State or Local Agency) has estimated the total cost of the 12caalau cot r\IC r e • • hereinafter referred to as THE WORK" to be $ 0o which is to be funded as follows; Ss, ,1g� 1. BUDGETED FUNDS at. a. Federal Funds C 8O % of Participating Costs) $,3S3.75 (c) b. Local Agency Matching Funds (.4a.% of Participating Costs) $ 887N to.so c. Local Agency Matching for CDOT-Incurred Non-Participating Costs (Including Non-Participating Indirects) A/A Lupo via . Ce S. — ca — NOTE: TOTAL INDIRECTS (P * N)ARE ESTIMATED AT fl% OF TOTAL COSTS. TOTAL BUDGETED FUNDS $<l 4a,333,Sun/ 2. ESTIMATED CDOT-INCURRED COSTS �""� 'm; 13a c7.50 Ci _ 1 uTML 1I Li Ss • 5u.a rjOa]�] a. Federal Share (90 % of Participating Costs) $_4 b. Local Share !Anal Agency Share of Participating Cost Dc'•= $ /po 1 Non-Participating Costs, (Including Non-Participating Indirects) y $ D o Estimated to be Billed to ► oral Agency $tizoov \ TOTAL ESTIMATED CDOT-INCURRED COSTS $ CJL a 3. ,&.STIMATED PAYMENT TO LOCAL AGENCY a. Federal Fund Budgeted (la) $ 3s3 16L, b. Less Estimated Federal Share of CDOT-Incurred Costs (2a) $ Hoof.) TOTAL ESTIMATED PAYMENT TO LOCAL AGENCY $ jt et,`1 a C, SUBJECT TO SECTION OF THIS CONTRACT. ATTACHED ARE THE PRECONSTRUCTION AND/OR CONSTRUCTION CONTRACT ADMINISTRATION CHECK- SHEET(S)FOR THIS CONTRACT. IF SUPPLEMENT,STATE REASON FOR CHANGE: BASIC CONTRACT COVERED THIS SUPPLEMENT COVERS SEP. -18' 98(FRI j 13 53 NORTH PROG ENG 0FC P. 003 ENCUMBRANCE DETAILS Local Projects PROJECT CODE \x3(04• , PROJECT NUMBER )RC C Q3O -c tj DATE: el6I4& SELECTION METHOD: ' TYPE OF-COTILTRACT: to VENDOR NAME: weld Co“...(4,),. FEIN NUMB bl-ttoviel w ADDRESS: )Caw SC?nQA tf(t.. CURRENT ENCUMBRANCE(PO)NO.^ o) tfliaola Co,.nM(�nce (If Contract is a Supplement, S IL. W ¶.4• P.O 8.:* 1561 Previous Routing No. Is h o) t re.e_t.,...j Co Boto3D_ Fund 400, APprop• 010, Orgn 9991, Program ≥oc' , Reporting Category Sal, et Total Estimated Payment to the Local from General Provisions + Federal Pro-Rata ( Re %) = $ 4 Si , a-33 (4) - $ Soon (5)Less ROW Acquisition 3111 • = $ Li 3a, D-33,_ Net to be encumbered as follows: iST,' 1 i�. Y�y�+—+.x• eJ � __,,�.� : y` t � " i u': � 1L . n,),Airkete0,u r5x`� %1 ? i 4:311M4.1. a uu t ►�o y' S►�t i 't:41'."4.."1". r' � -t . 3ozo $ $ $ ` �- G... . x311 1P 310: $ $ i! i is . s $ 4-V 3a :33 (n For Center for Procurement Contract Services use only. w Basic Coding Elements, including FEIN Number must be the saute to be used on the payment. (3) If original contract, Accounts Payable completes. (4) If Third Party Consultant Contract, total budgeted funds for work to be performed. If Inenl Match Project, Total Funds anticipated for Non-State Costs (Federal $ and Match 5). (°) ROW Acquisition Encumbrance (Mill's) arc initiated separately by Staff ROW. Originating Office Contact )rrn.k �11.,rnp t fit{ (Name) Phone: 0170 -3SO -.]t5O I , - AHI MEMORANDUM TO: Bruce Barker, County Attorney DATE: Sept. 21, 1998 COLORADO C. T Contract with 11 elPublic Works SUBECCDOT for Bridge 47/68B On Page 4 under, Section V, PROJECT FUNDING PROVISIONS, the federal participating funds are shown as $353,786. On Page 5 under Paragraph C, the maximum amount payable to the local agency is indicated as $349,786. The$4,000 difference is for the federal share of the Colorado Department of Transportation incurred costs, and it is not itemized in this contract. Attached are copies of the worksheets developed by the CDOT itemizing all the cost aspects of the contract. The $4,000 is shown toward the bottom of the first page entitled General Provisions Budget/Estimated Cost Details. It is highlighted by a large arrow. All the dollar amounts contained in the contract can be found on the attachments. Thank you for reviewing the contract. If you have further questions, please call. cc: Frank B. Hempen, Jr., Director of Public Works/County Engineer Bridge file 47/68B m:wpfilesVdrew\47-68b.ds 981822 STATE OF COLORADO DEPARTMENT OF TRANSPORTATION Pr; DOT 1 azo 2 St. Greeley,Colorado 80631 (970)353-1232 DL September 11, 1998 Mr. Drew Scheltinga BRO C030-019 Weld County Engineering Dept. WCR 47 at Owl 915 10°' St. Creek Canal P.O. Box 850 12366 Greeley, CO 80632 Dear Ron: Enclosed are four executory copies of the Local Agency Contract number 99 HA4 00024 for the captioned project. One copy is for your review and comments or file until you receive the filly executed contract. This contract provides for county funds and project administration. Attach a Local Agency Resolution to each copy. If the resolution contains a dollar amount, such amount shall not be less than the amount of the county's contribution as shown in the contract. Three copies of the contract are to be signed by the person authorized to sign for the County. Do not date the first page. Return the three signed copies to me for State action. One fully executed copy will be returned to you for your files. If you have any questions, please call me at 350-2190. Thank you. Sincere , r? Irene Stumpf Project Manager Enclosures cc: file Evans RE Hello