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HomeMy WebLinkAboutResolution-2002-0014 RESOLUTION NO 14-2002 Series of 2002 TITLE A RESOLUTION AUTHORIZING AN INTERGOVERNMENTAL AGREEMENT BETWEEN THE CITY OF WHEAT RIDGE AND THE COLORADO DEPARTMENT OF TRANSPORTATION FOR THE PURPOSE OF CONSTRUCTING THE TRAFFIC SAFETY IMPROVEMENTSATWEST 49TH AVENUE AND KIPLING STREET WHEREAS, Section 142 of the Home Rule Charter of the City of Wheat Ridge provides express authority to enter into intergovernmental agreements providing for cooperative efforts between governments, and WHEREAS, Wheat Ridge is currently proposing a traffic safety improvement project at the intersection of West 49th Avenue and Kipling Street; and WHEREAS, Wheat Ridge and the Colorado Department of Transportation have discussed the appropriation of funding for improvements at the intersection of West 49th Avenue and Kipling Street; and WHEREAS, the Parties desire to cooperate to the fullest extent possible to ensure that the construction project is accomplished according to the mutual desires of each party for the best interest of their respective citizens NOW, THEREFORE, BE IT RESOLVED that: Sec 1 The Mayor of the City of Wheat Ridge is hereby authorized to execute the Intergovernmental Agreement attached to hereto with the Colorado Department of Transportation to construct the traffic safety improvements at West 49th Avenue and Kipling Street. DONE AND RESOLVED THIS / ,; , Day of, ,',,, " ,2002 /c - f / v" '-_._-1"t~ " : ~ . I .. ; / It.. f ~ / !;. ( , 'Gr~chen Cerveny, Mayor~-- Attest: -yr, "' Wanda Sang, City Clerk /i '~'t-...., 17, , SHE M361-001 (13764) Kipling St., North of 1-70 to 50th Ave. Wheat Ridge/CDOT Region 6 (TDR/LWB) 07.HA6 00049 CMS: 02-153 CONTRACT rJ.-.. ~ THIS CONTRACT, made this .3 ~ day of j, \N~ JCDl- ~y and between the State of Colorado for the use and benefit of THE COLORADO DEPARTMENT OF TRANSPORTATION, hereInafter referred to as the State or CDOT, and the CITY OF WHEAT RIDGE, COLORADO, 7500 West 29th Street, Wheat RIdge, CO 80215, FEIN- 840595832, hereinafter referred to as the Local Agency, or the City FACTUAL RECITALS. 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 9991, Program 2000, FunctlOns 3020 & 3301, Object 2312 IP, Reporting Category 6240, Contract Encumbrance Number 13764, (Encumbrance amount under Function 3020 (Design) $38,000.00; Encumbrance amount under Function 330 I (Construction), $201,0 1 0 00, for a total Contract Encumbrance Amount of $239,01000) 2. Required approval, clearance and coordination have been accomplished from and with appropnate agencies. 3 Pursuant to Title I, Subtitle A, Section 1108 of the Transportation Equity Act for the 21st Century of 1998 (TEA-21) and to applicable provisions of Title 23 of the United States Code and Implementing regulations at Title 23 of the Code of Federal Regulations, as may be amended, (collectively referred to hereinafter as "the federal provisions"), certain Federal funds have been and will m 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 (FHW A), hereinafter referred to as the program. 4. Pursuant to S 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 -1- the program, mcludmg the admmIstration of federal funds for a program project performed by a Local Agency under a contract with the State. 5 The Local Agency has requested funding for a project M36l-00 I (13764) for the removal of Islands and the extenslOn of the raised median on K1plmg Street north of I-70 to 50th A venue. herem after referred to as "the Project" or "the Work" 6 Federal-aid funds, therefore, have been made available for the Work, which is more specifically described In Exhibit A (CDOT form #463 and/or a "Scope of Work") 7 The matchIng ratlO for this federal-aid project is 100% federal-aid funds to 0% Local Agency funds, It being understood that such ratio applies only to such costs as are elIgible for federal partICipatIOn, it bemg further understood that all non-participating costs shall be borne by the Local Agency at 100% 8 The Local Agency desires to comply with the federal provisions and other applIcable reqUIrements, Includmg the State's general administration and supervision of the project through this contract, III order to obtain federal funds for the project. 9 An appropnate ordinance or resolution, (Exhibit B attached hereto and incorporated herein) duly passed and adopted by the authonzed representatives of the Local Agency expressly authonzes the Local Agency to enter mto thIS contract and accept the responsibilities for of the Work which are Identified herem as the Local Agency's. 10 ThIS contract IS executed under the authority of ~~ 29-1-203, 43-1-110, 43-1-116, 43-2-10 I (4)( c) and 43-2-144, c.R.S., as amended, and the Local Agency ordmance/resolution. 11 The Local Agency IS adequately staffed and suitably equipped to undertake and satisfactorily complete some or all of the Work. 13 The State certifies that such work can be more advantageously performed by the Local Agency NOW, THEREFORE, it is hereby agreed that: I. ST ANDARD FORM CONTRACT This is a standard form contract that is deSigned to efficiently contract for and admmlster 2 types of program projects. 1) program projects which include the same basic work elements (design; -2- constructIOn, construction admmistratlOn by local agency; nght-of-way; utilities; etc ), and also, 2) program projects with specIfic dIfferences in those baSIC work elements (~, a specific proJect may mclude deSign but no constructlOn, or it may mclude desIgn and constructIon but the State will do the constructlOn admmlstratlOn, etc ) The form contract accommodates both types of projects by using qualifYlllg language to conditIon the applIcation of particular contract requirements, based on whether speCIfic work elements are mcluded m the proJect. For mstance, where the contract proVides .. "If the Work mcludes engineenngJdesign serVices, the Local Agency shall perform the following requirements ...", the Local Agency need perform those requirements only if engmeenngJdesign services are expressly included in the project, as defined in the Scope of Work. (Conversely, notwithstanding that language IS m the contract, the Local Agency can ignore those "reqUirements" if engmeeringJdesign services are NOT expressly included in the Scope of Work.) The Local Agency shall mterpret such qualIfymg language in that manner. By usmg such language, the form contract can apply to both the general and the specific types of projects, thus making it easier to administer and saving the State and the Local Agency time and expense. II. PROJECT DESCRIPTION "The Project" or "the Work" under this contract shall consist of the removal of Islands and the extension of the raised median on Kipling Street north of I-70 to 50th A venue, hereInafter referred to as "the ProJect" or "the Work", as more specifically described in the Exhibit A, attached hereto and made a part hereof. ill. INCORPORATION BY REFERENCE All federal and state statutes, regulations, speCifications, admmistration checklists, directives, procedures, documents, and publicatlOns that are specifically identified and/or referenced in thiS contract, together with all exhibits and attachments and addenda to thiS contract, are mcorporated herem by thiS reference as terms and conditlOns of this contract as though fully set forth. IV WORK RESPONSIBILITY -3- The Local Agency shall be responsible to perform all desIgn and/or nght-of-way and/or utIlity and/or constructIon and/or constructIOn admlmstration tasks reqUired to complete the Work, and the Local Agency shall comply With all applicable terms and condltlOns of this contract In performmg the Work, includmg those process and task responSibIlities addressed m the Pre- ConstructlOn and Construction AdmllllstratlOn ChecklIsts attached hereto and made a part hereof. The responsible party shall perform all such tasks III accordance With applicable reqUIrements and standards, including those in this contract and in applIcable law V PROJECT FUNDING PROVISIONS The fundIng provlslOns for the proJect are attached hereto and Incorporated herein as Exhibit C VI. PROJECT PAYMENT PROVISIONS A. The State will reimburse the Local Agency for the federal-aid share of the project charges following the State's review and approval of such charges, subject to the terms and conditIOns of this contract. Provided, however, that charges incurred by the Local Agency prior to the date of FHW A authorizatlOn for the project and pnor to the date thiS contract is executed by the State Controller or his designee will not be charged by the Local Agency to the project, and will not be reimbursed by the State, absent speCific FHW A and/or State Controller approval thereof B Upon execution of this contract the State is authorized, in its discretlOn, to perform any necessary admmistratlve support services pursuant to this contract. These services may be performed pnor to and in preparatlOn for any conditlOns or reqUirements of this contract, Includlllg pnor FHW A approval of project work. The Local Agency understands and agrees that the State may perform such services, and that payment for such services shall be at no cost to the State but shall be as proVided III Exhibit C, Section A. At the request of the Local Agency, the State shall also provide other assistance pursuant to this contract as may be agreed III writing. In the event that federal-aid proJect funds rem am 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 termmates this contract prior to -4- project approval or completIon for any reason, then all actualmcurred 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 mcurred direct costs, the bilhng procedure shall be as follows. I 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 penod 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 apportlOnments due the Local Agency from the Highway Users Tax Fund and to pay such funds directly to the State. Interim funds, until the State is reimbursed, shall be payable from the State Highway Supplementary Fund (400) 2. If the Local Agency fails to make tlmely 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 tlmely 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 mcurred 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 6, 2000 south Holly Street, Denver, CO 80222, (303) 757-9459. 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 commulllcations relatmg to the day-to-day actiVltles for the work shall be exchanged between representatlves of the State's Transportation Region 6 and -5- the Local Agency Until changed by notIce m wntmg, all routme correspondence shall be addressed as follows If to the State If to the Local Agency- Steven Nguyen City of Wheat Ridge 7500 West 29th Street Wheat Ridge, CO 80215 (303) 235-2862 Kevm Hsu CDOT ReglOn 6 2000 South Holly Street Denver, CO 80222 (303) 757-9159 B The State will reimburse the Local Agency for the federal-aid share of the project charges related to the Local Agency's portIOn of the Work, as proVided in Exhibit C. C. If the Work includes construction, the State, at its discretlOn, will review constructlOn plans, speCial provIsions and estimates and will cause the Local Agency to make those changes thereIn that the State determInes are necessary to assure complIance with State and FHW A requirements. D The State will perform a final project mspection prior to project acceptance as a Quality Control/Assurance activity When all project work has been satisfactorily completed, the State will sIgn the FHWA form 1212 vrn. 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 SectlOn IV (either the Local Agency or the State) for the Plans\design shall comply with the following requirements, as applicable. 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. -6- 3 prepare specIal provIsIOns and estimates m accord with the State's Roadway and Bndge Design Manuals and Standard SpeclficatlOns for Road and Bndge Constmctlon 4 include details of any requued detours III the Plans. III order to prevent any Interference of the constmctlOn work and to protect the travellllg publIc 5 stamp the Plans produced by a Colorado Registered ProfesslOnal Engllleer 6 If the Local Agency is the responsible party, it shall afford the State ample OPPOrtUlllty to review the Plans and make any changes in the Plans as directed by the State to comply With FHW A 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 constmction administratIOn. ProVided. however, that If federal-aid funds are to participate III the cost of such work to be done by a consultant, the Local Agency shall ensure that its procurement of that consultant contract (and the performance/provision of the Plans under that contract) complies with all applicable requirements of Title 23, Code of Federal Regulations (CFR), Part 172, (concerning the Administration of Engineering and Design Related Service Contracts), and with any procedures Implementlllg those requirements as proVided by the State, Illcluding those III attached #1 Those reqUlrements 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 wntten supplemental agreement and must have pnor approval of the State and FHW A. As soon as the contract With the consultant has been awarded by the Local Agency, one copy of the executed contract shall be submitted to the State. Any amendments to such contract shall be similarly submitted, c) all consultant billmgs under that contract shall comply with the State's standardized consultant billing format. Examples of the billmg formats for the vanous methods of contract payment are attached hereto and made a part hereof; -7- d) the Local Agency/Contractor shall also use the CDOT procedures as described m Attachment #1 to admmister that deSign consultant subcontract, to comply With sectlOns l72.5(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 certlfymg Local Agency/Contractor compliance with those CDOT Attachment #1 procedures and with the requirements of sections 172.5(b) and (d). f) the Local Agency shall ensure that its consultant contract conlains the following language verbatIm: I) "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/constructlOn of the proJect. The State IS an Intended third party beneficiary of this contract for that purpose" 2) "Upon advertisement of the project work for constructlOn, the consultant shall make available services as requested by the State to assist the State in the evaluation of constructlOn and the resolutlOn of constructlOn problems that may anse dunng the construction of the project." 3) "The consultant shall review the constructlOn 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 connectlOn with this work." 1 0 Followmg award of the constructIOn contract( s) for the project, no further changes shall be made in the Plans except by agreement in wntIng 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. -8- If "the Work" lllcludes constructlOn, the party that IS responsible under SectlOn IV (either the Local Agency or the State) for the constructlOnlconstructlon admmlstratlon shall comply with the followlllg reqUirements, as appl1cable administer the construction m accord with thc proJect's Pre-constructlOn and Contract AdmmlstratlOn Checklists Such admmistratlon shall include project lllspectlon and testlllg; approVIng sources of matenals, performing required plant and shop InSpectlOns, documentatlOn of contract payments, testlllg, and lllspectlOn actiVIties, prepanng and approvlllg 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 ofthc FHW A/State stewardship program, all as more fully described in the project's Pre- constructlOn and Contract AdministratlOn 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 requuements of the constructlOn contract, and applIcable State procedures. The LAPE may be an employee of the Local Agency or may be a consultant. If the LAPE is an employee of the Local Agency, the LAPE shall be In responsible charge of the construction of the project (as provided in Section 12-25-102 C.R.S as amended), notWithstanding any exceptlOn 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 constructlOn 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 of23 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 -9- thIS contract, IS attached) verbatIm Illto 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 optlOn 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 rejectlOn at the award conference or withm 3 working days after said bIds are publicly opened, whichever occurs later) c) By mdicating Its concurrence in such award at the award conference, the Local Agency actmg by or through its duly authorized representatives, agrees to proVide additional funds, subject to then aVaIlabIlity and appropnation 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 constructlOn work IS to be accomplIshed by Local Agency personnel (~, 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 III accordance with the pertinent State specifications and requirements and with 23 C.F.R. Part 635, Subpart B, "Force Account Construction". a) Such work Will normally be based upon estimated quantities and firm umt pnces agreed to between the Local Agency, the State and the FHW A in advance of the Work, as proVided for m Section 635.204(c) Such agreed unit pnces 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, matenals supplies and supervision necessary to complete the Work. Where actual costs are used, eligibilIty of cost items shall be evaluated for compliance with Federal AcquisitlOn 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 Bndge Construction". d) All force account work shall have prior approval of the State and/or FHW A and shall not be imtlated until the State has issued a written notice to proceed. -10- C. ROW ACQUISITION/RELOCA nON. If "the Wark" includes right of way acqUISItion and/or relocatlOn, the party that IS responsible under Section IV (either the Local Agency or the State) for the nght of way acqUIsition and/or relocatton shall comply with the following reqUIrements, as applicable' prepare nght-of-way plans that comply With Chapter 2 of the CDOT Right of Way Manual and Federal-Aid Policy GUIde (F APG) Chapter I, Subchapter G, Part 630 Subpart B Attachment. The Local Agency will be responsible for right of way plans changes that are necessary to assure compliance With State and FHW A requirements. 2. be responsible for the plans belllg accurate and complete. 3 If the Local Agency is the responsible party, it shall perform Its proJect nght of way responsiblhties III accordance wIth the CDOT Right of Way Manual, subject to the following conditions for compliance with 23 CFR 710 and 23 CFR 712: a. submit final nght of way plans to CDOT and obtalll CDOT approval thereof before starting appraisals for right of way acquisition. b not perform appraisal reVIew of parcels valued over $5,000 00 Such appraisal review will be the State's responsibility c. negotiation activities will be authorized by CDOT subsequent to appraisal review d. submit all administrative settlements proposed by the Local Agency to CDOT, and obtain CDOT approval thereof, before executing the purchase agreement. 4. perform appraisal and acqUlsition for the project, as reqUlred by Section 24-56-10 1, et seq ,C.R.S However, if the State determines that such performance by the Local Agency will jeopardize or is jeopardizing distributlOn of federal assistance funds, or that actIOn by the State is necessary to comply with federal policy or procedures, then the State, III its discretion, may perform the acquisitIOn and relocatton assistance Itself or may supervise and direct the Local Agency in the performance of such acqmsitlOn and assistance Pnor to taking such action, the State will proVide wntten notice to the Local Agency of the basis for such detennination or action and will meet With the Local Agency to discuss possible remedial measures. Prior to thIS project bemg advertised for bids, the Local Agency will certify III writing to the State that all right of way has been acquired in accordance With the -11- applicable State and Federal regulatlOns, or that no additIOnal nght of way IS required. The "Check Pomts for Federal PartIcIpation m Right of Way AcqUIsitIOn and RelocatIOn" IS attached hereto and made a part hereof. If acqUisitIOn and relocation assistance IS reqUired for the proJect, the Local Agency will be responsible to perform the acqUlsltlOn and relocatlOn aSSistance, as reqUired by SectlOns 24-56-10 I, et seq., C.R.S Pnor to this project bemg advertised for bIds, the Local Agency wIll certify m wntIng to the State that all nght of way has been acqUired in accordance With the applicable State and federal regulatlOns, or that no additional right of way is required. D UTILITIES. The Local Agency will be responsible for obtaInmg 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 mvolves modificatlOn of a railroad company's faCIlIties at a railroad grade crossmg whereby the Work is to be accomplished by railroad company forces, the Local Agency shall make timely applicatlOn to the State Public Utilities COm1lliSSIOn requestIng its order proVidIng for the installatIon of the proposed improvements and not proceed with that part of the work without compliance. The Local Agency shall also establish contact With the railroad company involved for the purpose of complYIng with applIcable provisions of23 Code of Federal RegulatlOns 646, Subpart B, concernmg federal-aid projects involving railroad facilIties, mcludmg' 1 ExecutIng an agreement settmg out what work is to be accomplished and the 10catlOn(s) thereof, and that the costs of the Improvement shall be eligible for federal participatlOn. 2. Obtammg the railroad's detailed estimate of the cost of the Work. 3. Establishmg future mamtenance responSIbilities for the proposed InstallatlOn. 4. Prescribing future use or dispositions of the proposed Improvements in the event of abandonment or elimmation of the grade crosslllg. -12- 5 Estabhshmg future repmr and/or replacement responslbihtles m the event of accidental destructIOn or damage to the mstallation. F ENVIRONMENTAL. The Local Agency shall perform all work m accord wIth the reqUirements of current federal and state envIronmental regulation IncludIng the NatlOnal Environmental PolIcy Act of 1969 (NEPAl as applicable. G RECORD KEEPING. The Local Agency shall maintalll all books, documents, papers, accountIng records and other eVidence pertaimng to costs Incurred and to make such matenals aVaIlable for lllspectlOn at all reasonable tImes during the contract penod 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, dunng all phases of the Work, permit duly authorized agents and employees of the State and the FHW A 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 dunng their useful lIfe, in a manner satisfactory to the State and FHW A, and wlll make ample proviSion for such maintenance each year Such mamtenance and operations shall be m accordance with all applicable statutes and ordinances, and regulatlOns promulgated thereunder, which define the Local Agency's obligation to maIntain such improvements. The State and FHW A will make penodlc inspectlOns of the project to venfy that such improvements are being adequately mallltaIned. I. FEDERAL REQUIREMENTS. The Local Agency/Contractor shall at all times dunng the execution of thiS contract strictly adhere to, and comply With, all apphcable 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 -13- terms and conditions of this contract. The contractor shall also require compliance with these statutes and regulatlOns III subgrant agreements permitted under this contract. A IIstmg 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 m ADDENDUM A. J DBE REOUIREMENTS If the Local Agency desires to use Its own DBE Program to implement and admllllster the DBE provisions of Title 49 CFR Part 23 under thiS contract, It must submit a copy of its program's requirements to CDOT for review and approval before the executIOn of this contract. If the Local Agency uses ItS program for this contract, the Local Agency shall be solely responsible to defend that DBE Program and its use of that Program agamst all legal and other challenges or complalllts, at ItS sole cost and expense Such responsibility includes, without limitatlOn, determinatlOns concerning DBE elIgibility and certification, adequate legal and factual bases for DBE goals, and good fmth efforts. CDOT approval (if any) ofthe 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 SectlOn V IX. GENERAL PROVISIONS A. Notwithstanding any consents or approvals given by the State for the Plans, the State will not be liable or responsible in any manner for the structural deSIgn, details or constructlOn 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 givlllg written notIce thereofto 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 pen ods as the State may deem necessary due to unsuitable weather, or for conditions -14- considered unsUItable for the prosecutlOn 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 termlllated as follows (a) Termination for Cause. If, through any cause, the Local Agency shall fat! to fulfill, In a tlmely 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 nght to termlllate this contract for cause by giVIng written notice to the Local Agency of its Illtent to terminate and at least ten (10) days opportumty to cure the default or show cause why terrmnatIon IS otherwIse not appropriate. In the event of terminatlOn, all finished or unfinished documents, data, studies, surveys, drawings, maps, models, photographs, and reports or other matenal prepared by the Local Agency under this contract shall, at the option of the State, become its property, and the Local Agency shall be entltled to receive 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. Notwlthstandmg 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 m default, or that the Local Agency's action/inaction was excusable, such termlllatlOn shall be treated as a termlllation for convenience, and the rights and obligatlOns of the parties shall be the same as if the contract had been termmated for convemence, as described herem (b) Termmation for Convemence. The State may termlllate thIS contract at any time the State determines that the purposes of the distributlOn of funds under the contract would no longer be served by completion of the project. The State shall effect such termmatlOn by glvmg wntten notIce of terminatlOn to the Local Agency and speCIfying the effeCtlve date thereof, at least twenty (20) days before the effectIve date of such terminatlon. (c) TerminatlOn Due to Loss of Fundmg. The parties hereto expressly recogmze that the Local Agency is to be paid, reimbursed, or otherWise compensated with federal and/or State funds whlch 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 -15- claims to compensatIOn ansmg under thIs contract are contmgent 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 tern1inate or amend this contract. D Notwithstanding anything herein to the contrary, the parties understand and agree that all terms and condltIons of this contract and attachments hereto whIch may reqUire contlllued performance or compliance beyond the terminatlOn date of the contract shall survive such terrmnation date and shall be enforceable by the State as provided herem in the event of such failure to perform or comply by the Local Agency E. This contract IS subject to such modificatlOns as may be required by changes In federal or State law, or their implementing regulations. Any such required modification shall automatlcally be mcorporated mto and be part ofthis contract on the effectlve 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 m accordance with applicable law. F. To the extent that this contract may be executed and performance of the obhgatlons of the parties may be accompl1shed withm the intent of the contract, the tenns of this contract are severable, and should any term or provision hereof be declared invalid or become moperative for any rea~on, such mvalIdity or failure shall not affect the valIdity of any other term or provislOn 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 mtended as the complete Integration of all understandmgs between the parties. No prior or contemporaneous additlOn, deletion, or other amendment hereto shall have any force or effect whatsoever, unless embodied herein by writmg. No subsequent novatlOn, renewal, addition, deletion, or other amendment hereto shall have any force or effect unless embodied III a wntten contract executed and approved pursuant to the State Fiscal Rules. H. Except as herein otherwise provided, thIS contract shallmure 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 mterest, and shall not acquire any Interest, direct or indIrect. that would conflict III any manner or degree with the -16- performance of the Local Agency's oblIgatIOns under this contract. The Local Agency's further covenants that, In the performance ofthis contract, It will not employ any person or firm havlllg any such known lllterests 1. ThIs contract shall become "effective" only upon the date It IS executed by the State Controller, or deSignee The term of thIs contract shall beglll on the date first wntten above and shall continue through the completion and final acceptance of thIS proJect by the State, FHW A and Local Agency K. 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 conditlOns of such attachments. L. If a conflict occurs between the prOVIsions of this contract proper and the attachments hereto, the pnority to be used to resolve such a conflict shall be as follows: The Special Provisions; 2. This rest of the contract proper; 3 The attachments enumerated In Section IX, paragraph K, above, 4. Other contract attachments and exhIbIts, m 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 stnctly 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 mtentlOn of the partIes that any person or entIty other than the parties receiVIng services or benefits under this contract be deemed to be an InCidental benefiCiary only N. The Local Agency assures and guarantees that it possesses the legal authonty to enter lllto 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 authonty, and to lawfully authonze 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 authonzation to execute this contract. -17- o The Local Agency and the State may use one or all of the Contract ModificatIon Tools contallled III ADDENDUM B, III order to more expeditIously change and amend the terms of this contract, if such use IS warranted by the circumstances as described and authonzed therelll. -18- x. SPECIAL PROVISIONS (For Use On Iv with Inter-Governmental Contracts) 1. CONTROLLER'S APPROVAL. CRS 24-30-202 (1) This contract shall not be deemed valid until it has been approved by the Controller of the Slate of Colorado or such assistant as he may designate. 2. FUND AVAILABILITY. CRS 24-30-202 (5.5) Financial oblIgations of the State of Colorado payable after the current fiscal year are contingent upon funds for that purpose being appropriated, budgeted, and otherwise made avadable. 3. INDEMNIFICATION. Indemnity The contractor shall Indemnify, save, and hold harmless the State agaInst any and all clalITIS, damages, liability and court awards including costs, expenses, and attorney fees incurred as a result of any act or omission by the Contractor, or its employees, agents, subcontractors, or assIgnees pursuant to the terms of this contract. No term or condition of this contract shall be construed or interpreted as a waiver. express or Implied, of any of the immunities, rights, benefits, protection, or other provisions for the parties, of the Colorado Governmental Immunity Act, Section 24-10-101 et seq. c.R.S. or the Federal Tort Claims Act, 28 U.S.C 267 I et seq as applicable, as now or hereafter amended. 4. INDEPENDENT CONTRACTOR. 4 CCR 801-2 THE CONTRACTOR SHALL PERFORM ITS DlITIES HEREUNDER AS AN INDEPENDENT CONTRACTOR AND NOT AS t>,N EMPLOYEE. NEITHER THE CONTRACTOR NOR ANY AGENT OR EMPLOYEE OF THE CONTRACTOR SHALL BE OR SHALL BE DEEMED TO BE AN AGENT OR EMPLOYEE OF THE STATE. CONTRACTOR SHALL PAY WHEN DUE ALL REQUIRED EMPLOYMENT l' AXES AND INCOME TAX AND LOCAL HEAD TAX ON ANY MONIES PAID BY THE STATE PURSUANT TO THIS CONTRACT CONTRACTOR ACKNOWLEDGES THAT THE CONTRACTOR AND ITS EMPLOYEES ARE NOT ENTITLED TO UNEMPLOYMENT INSURANCE BENEFITS UNLESS THE CONTRACTOR OR THIRD PARTY PROVIDES SUCH COVERAGE AND THA l' THE STATE DOES NOT PAY FOR OR OTHERWISE PROVIDE SUCH COVERAGE. CONTRACTOR SHALL HAVE NO AUTHORIZATION. EXPRESS OR IMPLIED, TO BIND THE STATE TO ANY AGREEMENTS, LIABILITY, OR UNDERSTANDING EXCEPT AS EXPRESSLY SET FORTH HEREIN CONTRACTOR SHALL PROVIDE AND KEEP IN FORCE WORKERS' COMPENSATION (AND PROVIDE PROOF OF SUCH INSURANCE WHEN REQUESTED BY THE STATE) AND UNEMPLOYMENT COMPENSATION INSURANCE IN THE AMOUNTS REQUIRED BY LAW, AND SHALL BE SOLELY RESPONSIBLE FOR THE ACTS OF THE CONTRACTOR, ITS EMPLOYEES AND AGENTS. 5. NON-DISCRIMINATION. The contractor agrees to comply with the letter and the spirit of all applicable state and federal laws respecting discrimination and unfair employment practices. 6. CHOICE OF LAW. The laws of the State of Colorado and rules and regulations issued pursuant thereto shall be applied In the interpretation, execution, and enforcement of this contract. Any provision of this contract, whether or not incorporated herein by reference, which provides for arbitration by any extra-judicial body or person or which is otherwise in conflict with said laws, rules, and regulations shall be considered null and void. Nothmg contained in any provision incorporated herein by reference whIch purports to negate thiS or any other special provision in whole or in part shall be valid or enforceable or available in any action at law whether by way of complaint, defense, or otherwise. Any prOVision rendered null and void by the operation of this provision will not invalidate the remainder of this contract to the extent that the contract is capable of execution. At all times during the performance of this contract, the Contractor shall strictly adhere to all applicable federal and state laws, rules, and regulations that have been or may hereafter be established. -19- 7 EMPLOYEE FINANCIAL INTEREST. CRS 24-18-201 & CRS 24-50-507 The signaiOries aver that to theIr knowledge, no employee of the State of Colorado has any personal or beneficial mterest whatsoever m the service or property described hereIn. -20- THE P AR'I'lliS HERETO HAVE EXECUTED THis CONTRACT CITY OF WHEAT RIDGE Legal Name of Contracting Entity STATE OF COLORADO, BILL OWENS, GOVERNOR A~AS TO fORM gjJ ~~~ City Attorney BYcT'it:~~~ r ~ ~ F r Executive Director Department of Transportation 840595832 Social Security Number or FEIN LEGAL REVIEW By GR'tCUr-lG ,C~-ry ~ Pnnt Name & Title of Authonzed Officer CORPORATIONS. . "_~..B6~JTRACTS MUST BE APPROVED BY THE STATE CONTROLLER CRS 24-30-202 requires that the State Controller approve all state contracts. This contract is not valid until the State Controller, or such assistant as he may delegate, has signed it. The contractor is not authorized to begin performance until the contract is signed and dated below If performance begins prior to the date below, the State of Colorado may not be obligated to pay for the goods andlor services provided. )00 !}- -21- EXHIBIT A DESIGN DATA Revise Date: Project code: 13764 - STIP number' DR5-+77 Project number' SHE M36 1-00 1 PE Proiect Code PE Prolect Number Colorado Department of Transportation "'1'"Ongin Date: 01/09/2002 c: Metric i.; English Revision #' Page 1 Status: . preliminary , final Prepared by' Revised by' Steve Nguyen Date: U 1 /0912002 Date: Submitted by Proj,Mgr Approved by Preconsfruction Engineer' HSUK Region: 06 I revised Date: 0llU912002 Geographic location' Kipling St. North "fI-70 to 50th Ave Project description KIPLING ST FROM 1-70 TO 50TH County1 Vanous I County2: I County3: Municipality' Wheat Ridge System code: ~) 1M Oversight: . CDOT Planned length: NHS . STP OTHER - , OTHER .....) FHWA Terrain type: Level ' Plains , ) Rolling . Urban ) Mountainous Descrlptron of proposed construction/improvement (attach map showing site location) Remove islands from longer continuous turns 3.Ild accellanes. Extend raised median. II TraHic (Note: use columns A. B, andlor C to identify facility described below) Current year' Future year' Facility I I ADT DHV DHV % trucks ADT I I I I DHV Facility location Industrial Commercial Residential I U =:J ~ I =:J [1 I I DILl I I Other D o n Route Refpt Endrefpt Functional classification Facility type Rural code 999 Collector I major) 11 ndi vided > 2UU,000 A= B= c= ,- Lc [J [J C, Width of travel lanes C I Shoulder wd, IUmedian II i Shoulder wd rt.loutside C Side slope dist. ('z') C Median width [J! Posted speed D i Design speed ~i Max. superelevation LJ Min. radius C Min, horizontal ssd C Min, vertical ssd C Max, grade Project under I J 1 R U 3R Standard Existing Proposed Ultimate Standard Existing Proposed Ultimate Standard Existing Proposed Ultrmate Surface type Typical section type # of travel lanes !J 4R o Other' criteria Existing guardrail meets current standards: '_J Yes Comments: UNo Variance in minimum design standards required (~) Yes. No o Justification attached D Request to be submitted D Bridge (see item 4) D See remarks - I' Stage construction Resurfacing projects il Recommendations concerning safety aspects attached LJ Safety project Not all standards addressed COOT Form #463 712001 Page 2 Project C'~"e: 13764 I Project Number' SHE 1'vP~I-OOl I Revise Date: II Major Structures .- - S-to stay, R=to be removed, P-proposed new structure I Standard Structure Horizontal Vertical Year StrllctllrA In# I Lennth Ref. Point Feature Intersected Width Rdwy Load Clearance Clearance Built Proposed treatment of bridges to remain in place (address bridge rail. capacity, and allowable surface thickness) III Project Characteristics (proposed) Median type: () depressed C: painted . raised C I none n Lighting n Handicap ramps n Traffic control signals Striping !7l Curb and gutter n Curb only I Left-turn slots I : continuous width ~ , Sidewalk width ~ n Bikeway width ~ I Right-turn slots i I continuous width ~ n Parking lane width ~ il Detours Signing: I I construction n permanent Landscape requirements: (description) Other' (description) II Right of Way Yes No Est. No. [iii Utilities (list names of known utility companies) ROWand/or perm. easement required: 0 . Xcel Energy - Gas & Electric Distribution, Street Lighting, Relocation required: (' . Qwest Communications, AT& T Broadband, Arvada Water & ~) Sanitation. Valley Water District. Wheat Ridge Water District, Temporary easement required: 0 . Wheat Ridge Sanitation. Changes in access: 0 . Changes to connecting roads: 0 . III Railroad crossings # of crossings: Agreements Railroad Name required Present protection Condition of x'ings 1 U 2 0 3 LJ 4 0 Recommendations: III Environmental Type: CE Programmatic Categorical Exclusion #. FHWA Expanded List (Jul 27th, 1998) # 7 128 Initiation Date:01/14/2002 Revision Date: Clearance Action Date: Comments: D!fcoordination I Irrigation ditch name: ' : Withdrawn lands (power sites, reservoirs. etc.) cleared through BLM forest service office !- I New traffic ordinance required I 0 Modify schedule of existing ordinance I Municipality. Other' Construction method noAdReason: 0 Design o Local F/A Advertised by' - :> State o P.O o RR F/A Entity/Agency contact name: Steve Nguyen . Local o Study o Utility F/A Phone number' 303-235-2857 :=; CDOT F/A ~ I Miscellaneous - ) None , - if,] Remarks (Include additional pages if needed) Original to: Central files Copies to: Region Files, Region Env Manager. Staff Design Branch (QA), PMO. ROW, Staff Bridge or where appropriate EXHIBIT C FUNDING PROVISIONS A. The Local Agency has estimated the total cost the Work to be $257,00 00, which IS to be funded as follows: BUDGETED FUNDS J I Federal Funds I $257,000.00 a. $, 100% of Participatinq Costs , b. Local Aqency Matchinq Funds I $0.00 0% of Participatinq Costs c Local Agency Matching for CDOT-Incurred Non-Participating Costs $1,272.00 (Includinq Non-Participatinq Indirects) TOTAL BUDGETED FUNDS I $258,272.00 I ESTIMATED COOT-INCURRED COSTS , I , a. Federal Share $17,99000 0% of Participatinq Costs b. Local Share Local Aqency Share of Participatinq Costs $000 Non-Participating Costs (Including Non-Participating $1,272.00 Indirects)(1 c) Estimated to be Billed to Local Agency $1,272.00 TOTAL ESTIMATED CDOT-INCURRED COSTS $19,262.00 ESTIMATED PAYMENT TO LOCAL AGENCY I a. Federal Funds Budqeted (1 a) $257,000.00 b Less Estimated Federal Share of CDOT-Incurred Costs (2a) $17,99000 TOTAL ESTIMATED PAYMENT TO LOCAL AGENCY $239,010.00 -22- i , 1 i , FOR CDOTENCUMBRANCE PURPOSES , ! Total Encumbrance Amount ($239,010.00 divided $239,01000 by 100%) I Less ROW Acquisition 3111 , $000 , Net to be encumbered as follows $239,01000 I Desiqn 2312 1 P 3020 $38,00000 Const 2312 1 P 3301 $201,01000 ! B The matchmg ratio for the federal participating funds for this project is 100% federal-aId funds (CFDA #202050) to 0% Local Agency funds, it bemg understood that such ratio applies only to the $257,00000 that IS eligible for federal participation, It being further understood that all non-participatIng costs are borne by the Local Agency at 100% 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 $239,010.00, 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 herem bemg made available from federal and/or state and/or Local Agency sources, as applicable. Should these sources fail to prOVide necessary funds as agreed upon herein, the contract may be terminated by either party, provided that any party terminatmg its interest and obligations herem shall not be relIeved of any obligatlOns which eXisted prior to the effectIve date of such terrninatlOn or which may occur as a result of such termmation -23- 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 COOT 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 COOT. COOT has formulated its procedures in procedural Directive (P.o.) 400.1 and the related operations guidebook titled "obtaining Professional consultant services". This directlve and guidebook incorporate requirements from both Federal and State regulations, 1 .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 COOT'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 COOT 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 requ~rem~nts Of.C.R.S: 24-3~-~405. The public ~otice period, when such notlce lS requ1red, 1S a mln1mum of 15 days pr10r 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 relati~e importance, t~e method of paym~nt, and ~h~ go~l of ten ~e~cent (10%) D1sadvantaged BUS1ness Enterprise (DBE) part1clpat1on as a m1nlmum for the project. 5. The analysis and selection of the consultants should be done in ~ccor0a~ce with C:R.S: 24-30-1403. This section of the regulation lden~l~les t~e cr1ter1a to be used ~n the evaluation of CDOT pre- quallfled prlme con~ultants and the1r team. It also shows which criteria are used to short-l1st and to make a final selection. The short-list is based on the following evaluation factors: a. Qualifications, b. Approach to the project, c. Ability to furnish professional services. d. Anticipated design concepts, and e. . Alternative methods of approach for furnishing the professional serV1ces. -24- 6. 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 orofessional consultant services. Once a consultant is selected, the local agency enters into negotiations with the consultant to obtain a fair and reasonable price for the anticipated work. pre-negotiation audits are prepared for contracts expected to be greater than $50,000. Federal reimbursement for costs are limited to those costs allowable under the cost principles of 48 CFR 31. Fixed fees (profit) are determined with consideration given to size, complexity, duration, and degree of risk involved in the work. Profit is in the range of six (6) to flfteen (15) percent of the total direct and indirect costs. 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 COOT form is available) on the consultant. 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.O. 400.1 p~ovide additional details for complying with the eight (8) steps just ' dlscussed 7. 8. -25- FHWA Form 1273 FHWA-1273 Electronic version March 10. 1994 _ REQUIRED CONTRACT PROVISIONS FEDERAL-AID CONSTRUCTION CONTRACTS Page 1 1 3 3 6 6 7 7 7 I. General II. Nondiscrimination III. Nonsegregated Facilities IV Payment of Predetermined Minimum Wage V Statements and Payrolls VI. Record of Materials. Supplies, and Labor VII. Subletting or Assigning the Contract VIII. Safety. Accident Prevention IX. False Statements Concerning Highway Projects X. Implementation of Clean Air Act and Federal Water Pollution Control Act XI. Certification Regarding Debarment, Suspension. Ineligibility. and Voluntary Exclusion XII. Certification Regarding Use of Contract Funds for Lobbying .. ............. ATTACHMENTS A. Employment Preference for Appalachian Contracts (Included in Appalachian contracts only) I. GENERAL 1 These contract provisions shall apply to all work performed on the contract by the contractor's own organization and with the assistance of workers under the contractor's immediate superin- tendence and to all work performed on the contract by piecework. station work, or by subcontract. 2. Except as otherwise provided for in each section. the contractor shall insert in each subcontract all of the stipulations contained in these Required Contract Provisions. and further require their inclusion in any lower tier subcontract or purchase order that may In turn be made. The Required Contract Provisions shall not be incorporated by reference in any case. The prime contractor shall be responsible for compliance by any subcontractor or lower tier subcontractor wtth these Required Contract Provisions. 3. A breach of any of the stipulations contained in these Required Contract Provisions shall be sufficient grounds for termination of the contract. 4 A breach of the following clauses of the Required Contract Provisions may also be grounds for debarment as provided in 29 CFR 5.12: Section I. paragraph 2; Section IV, paragraphs 1,2.3.4, and 7, Section V. paragraphs 1 and 2a through 2g. 5. Disputes arising out of the labor standards provisions of Section IV (except paragraph 5) and Section V of these Required Contract Provisions shall not be subject to the general disputes clause of this contract. Such disputes shall be resolved in accordance with the procedures of the U.S. Department of Labor (DOL) as set forth in 29 CFR 5, 6, and 7 Disputes within the meaning of this clause include disputes between the contractor (or any of Its subcontractors) and the contracting agency, fhe DOL, or the contractor's employees or their representatives. 6. Selection of labor: During the performance of this contract. the contractor shall not: a. discriminate against labor from any other State, possession, or territory of the United Stafes (except for employment preference for Appalachian contracts, when applicable, as specified In Attachment A). or c. All personnel who are engaged in direct recruitment for the project will be Instructed by the EEO Officer in the contractor's procedures for locating and hiring minority group employees. b. employ convict labor for any purpose within the limits of the project unless it is labor performed by convicts who are on parole. supervised release, or probation. II. NONDISCRIMINATION (Applicable to all Federal-aid construction contracts and to all related subcontracts of $10,000 or more.) 8 1 Equal Employment Opportunity. Equal employment opportu- nity (EEO) requirements not to discriminate and to take affirmative action to assure equal opportunity as set forth under laws, executive orders. rules, regulations (28 CFR 35. 29 CFR 1630 and 41 CFR 60) and orders of the Secretary of Labor as modified by the provisions prescribed herein, and imposed pursuant to 23 U.S.C. 140 shall constitute the EEO and specific affirmative action standards for the contractor's project activities under thiS contract. The Equal Opportunity Construction Contract Specifications set forth under 41 CFR 60-4.3 and the provisions of the American DisabllitJes Act of 1990 (42 U.S.C 12101 g! lliill.) set forth under 28 CFR 35 and 29 CFR 1630 are incorporated by reference in this contract. In the execution of this contract, the contractor agrees to comply with the following minimum specific requirement activities of EEO' 8 9 a. The contractor will work with the State highway agency (SHA) and the Federal Govemment in carrying out EEO obligations and in their review of his/her activities under the contract. b. The contractor will accept as his operating polley the following statement: "It is the policy of this Company to assure that applicants are employed, and that employees are treated during employment. without regard to their race, religion. sex, color, national origin, age or disability. Such action shall include: employment. upgrading, demotion, or transfer; recruitment or recruitment advertising; layoff or termination; rates of payor other forms of compensation; and selection for training, including apprentice- ship. preapprenticeship, and/or on-the-job training." 2. EEO Officer: The contractor will designate and make known to the SHA contracting officers an EEO Officer who will have the responsibility for and must be capable of effectively administering and promoting an active contractor program of EEO and who must be assigned adequate authority and responsibility to do so. 3. Dissemination of Policy: All members of the contractor's staff who are authorized to hire, supervise. promote, and discharge employees, or who recommend such action. or who are substantially involved in such action, will be made fully cognizant of, and will implement, the contractors EEO policy and contractual responSibili- ties to provide EEO in each grade and classification of employment. To ensure that the above agreement will be met, the following actions will be taken as a minimum: a. Periodic meetings of supervisory and personnel office employees will be conducfed before the start of work and then not less often than once every six months, at which time Ihe contractors EEO policy and its implementation will be reviewed and explained. The meetings will be conducted by the EEO Officer b. All new supervisory or personnel office empioyees will be given a thorough indoctrination by the EEO Officer, covering all major aspects of the contractors EEO obligations within thirty days following their reporting for duty with the contractor d. Notices and posters setting forth the contractor's EEO policy will be placed in areas readily accessible to employees. applicants for employment and potential employees. e. The contractor's EEO policy and the procedures to Implement such policy will be brought to the attention of employees by REQUIRED BY 23 CFR 633 102 -26- means of meetings, employee handbooks, or other appropriate means. 4 Recruitment: When advertising for employees, the contractor will include in all advertisements for employees the notation: 'An Equal Opportunity Employer' All such advertisements will be placed in publications having a large circulation among minority groups in the area from which the project work force would normally be derived. a. The contractor will, unless precluded by a valid bargaining agreement, conduct systematic and direct recruitment through public and private employee referral sources likely to yield qualified minority group applicants. To meet this requirement, the contractor will identify sources of potential minority group employees, and establish with such identified sources procedures whereby minority group applicants may be referred to the contractor for employment consideration. b. In the event the contractor has a valid bargaining agreement providing for exclusive hiring hall referrals. he is expected to observe the provisions of that agreemerltto the extent that the system permits the contractors compliance with EEO contract provisions. (The DOL has held that where implementation of such agreements have the effect of discriminating against minorities or women, or obligates the contractor to do the same, such implementation violates Executive Order 11246, as amended.) c. The contractor will encourage his present employees to refer minority group applicants for employment. Information and procedures with regard to referring minority group applicants will be discussed with employees. 5. Personnel Actions: Wages, working conditions, and employee benefits shall be established and administered, and personnel actions of every type. including hiring, upgrading. promotion, transfer. demotion, layoff. and termination. shall be taken without regard to race. color. religion. sex. national origin, age or disability The following procedures shall be followed: a. The contractor will conduct periodic inspections of project sites to insure that working conditions and employee facilities do not indicate discriminatory treatment of project site personnel. b. The contractor will periodically evaluate the spread of wages paid within each classification to determine any evidence of discriminatory wage practices. c. The contractor will periodically review selected personnel actions in depth to determine whether there is evidence of discrimi- nation. Where evidence is found, the contractor will promptly take corrective action. If the review indicates that the discrimination may extend beyond the actions reviewed. such corrective action shall include all affected persons. d. The contractor will promptly investigate all complaints of alleged discrimination made to the contractor in connection with his obligations under this contract, will attempt 10 resolve such com- plaints. and will take appropriate corrective action within a reasonable time. If the investigation indicates that the discrimination may affect d. In the event the union is unable to provide the contractor with a reasonable flow of minority and women referrals within the time limit set forth in the collective bargaining agreement, the contractor will, through independent recruitment efforts. fill the employment vacancies without regard to race, color. religion, sex, national origin, age or disability; making full efforts to obtain qualified and/or qualifi- able minority group persons and women. (The DOL has held that it shall be no excuse that the union with which the contractor has a collective bargaining agreement providing for exclusive referral failed to refer minority employees.) In the event the union referral practice prevents the contractor from meeting the obligations pursuant to Executive Order 11246. as amended, and these special provisions, such contractor shall immediately notify the SHA. 8. Selection of Subcontractors, Procurement of Materials and Leasing of Equipment: The contractor shall not discriminate on the grounds of race, color, religion. sex, national origin. age or disability in persons other than the complainant, such corrective action shall include such other persons. Upon completion of each Investigation, the contractor will inform every complainant ot all of hiS avenues of appeal. 6, Training and Promotion: a, The contractor will assist in locating, qualifying, and increasing the skills of minority group and women empioyees, and applicants for employment. b. Consistent with the contractor's work force requirements and as permissible under Federal and State regulations, the contractor shall make full use of training programs, i.e., apprenticeship. and on.the-job training programs for the geographical area of contract performance, Where feasible. 25 percent of apprentices or trainees in each occupation shall be in their first year of apprenticeship or training, In the event a special provision for training is provided under this contract. this subparagraph will be superseded as Indicated in the special provision, c. The contractor will advise employees and appltcants for employment of available training programs and entrance require. ments for each, d, The contractor will periodically review the training and promotion potential of minority group and women employees and will encourage eligible employees to apply for such training and promotion, 7 Unions: If the contractor relies in whole or in part upon unions as a source of employees, the contractor will use his/her best efforts to obtain the cooperation of such unions to increase opportunities for minority groups and women within the unions, and to effect referrals by such unions of minority and female employees, Actions by the contractor either directly or through a contractor's association acting as agent will include the procedures set forth below' a. The contractor will use best efforts to develop, in cooperation with the unions, joint training programs aimed toward qualifying more minority group members and women for membership in the unions and increasing the skills of minority group employees and women so that they may qualify for higher paying employment. b, The contractor will use best efforts to incorporate an EEO clause into each union agreement to the end that such union will be contractually bound to refer applicants without regard to their race, color, religion. sex. national origin, age or disability c, The contractor is to obtain information as to the referral practices and policies of the labor union except that to the extent such information is within the exclusive possession of the labor union and such labor union refuses to furnish such information to the contractor, the contractor shall so certify to the SHA and shall set forth what efforts have been made to obtain such information, the selection and retention of subcontractors, including procurement of materiais and leases of equipment. a, The contracfor shall notify all potential subcontractors and suppliers of his/her EEO obligations under this contract. b, Disadvantaged business enterprises (DBE), as defined in 49 CFR 23, shall have equal opportunity to compete for and perform subcontracts which the contractor enters into pursuant to this contract. The contractor will use his best efforts to solicit bids from and to utilize DBE subcontractors or subcontractors with meaningful minority group and female representation among their employees, Contractors shall obtain lists of DBE construction firms from SHA personnel. c, The contractor will use his best efforts to ensure subcon- t'actor compliance with their EEO obligations. REQUIRED BY 22 CFR 613 102 -27- 9 Records and Reports: The contractor shall keep such records as necessary to document compliance with the EEO requirements. Such records shall be retained for a period of three years following completion of the contract work and shall be available at reasonable times and places for inspection by authorized representatives of the SHA and the FHWA. a. The records kept by the contractor shall document the 101l0wing: (1) The number of minority and non-minority group members and women employed in each work classification on the project; (2) The progress and eHorts being made in cooperation with unions, when applicable, to increase employment opportunities for minorities and women; (3) The progress and eHorts being made in locating, hiring. training, qualifying, and upgrading minority and female employees; and (4) The progress and eHorts being made in securing the services of DBE subcontractors or subcontractors with meaningful minority and female representation among their employees. b. The contractors will submit an annual report to the SHA each July for the duration of the project, indicating the number of minority, women. and non-minority group empioyees currently engaged in each work classification required by the contract work. This tnformation is to be reported on Fonn FHW A-1391 If on-the job training is being required by special provision. the contractor will be required to collect and report training data. III. NONSEGREGATED FACiliTIES (Applicable to all Federal-aid construction contracts and to all related subcontracts of $10.000 or more.) a. By submission of this bid. the execution of this contract or subcontract, or the consummation of this material supply agreement or purchase order. as appropriate, the bidder, Federal-aid construc- tion contractor. subcontractor, material supplier, or vendor. as appro- priate, certifies that the finn does not maintain or provide for its employees any segregated facilities at any of its establishments, and that the finn does not pennit its employees to perfonn their services at any location, under its control, where segregated facilities are maintained. The finn agrees that a breach of this certification is a violation of the EEO provisions of this contract. The finn further certifies that no employee will be denied access to adequate facilities on the basis of sex or disability b. As used in this certification, the term "segregated facilities" means any waiting rooms, work areas, restrooms and washrooms, restaurants and other eating areas, timeclocks, locker rooms, and b. Laborers or mechanics perfonning work in more than one classification may be compensated at the rate specified for each classification for the time actually worked therein. provided, that the employer's payroll records accurately set forth the time spent in each classification in which work is pertormed. c. All rulings and interpretations of the Davis-Bacon Act and related acts contained in 29 CFR 1.3, and 5 are herein incorporated by reference in this contract. 2. Classification: a. The SHA contracting oHicer shall require that any class of laborers or mechanics employed under the contract. which is not listed in the wage determination. shall be classified in confonnance with the wage determination. other storage or dressing areas. parking lots, drinking fountains, recreation or entertainment areas, transportation, and housing facilities provided for employees which are segregated by explicit directive, or are, in fact, segregated on the basis of race. color. religion, national origin. age or disability, because of habit, local custom. or otherwise. The only exception will be for the disabled when the demands for accessibility override (e.g. disabled parking). c. The contractor agrees that it has obtained or will obtain identical certification from proposed subcontractors or material suppliers prior to award of subcontracts or consummation of material supply agreements of $10,000 or more and that it will retain such certifications in its files. IV PAYMENT OF PREDETERMINED MINIMUM WAGE (Applicable to all Federal-aid construction contracts exceeding $2.000 and to all related subcontracts. except for projects located on roadways classified as local roads or rural minor collectors. which are exempt.) General: a. All mechanics and laborers employed or working upon the site of the work will be paid unconditionally and not less often than once a week and without subsequent deduction or rebate on any account [except such payroll deductions as are permitted by regulations (29 CFR 3) issued by the Secretary of Labor under the Copeland Act (40 U.S.C. 276c)] the full amounts of wages and bona fide fringe benefits (or cash equivalents thereof) due at time of payment. The payment shall be computed at wage rates not iess than those contained in the wage detennination of the Secretary of Labor (hereinafter "the wage determination") which is attached hereto and made a part hereof. regardless of any contractual relationship which may be alleged to exist between the contractor or its subcontractors and such laborers and mechanics. The wage detennination (includ- ing any additional classifications and wage rates conformed under paragraph 2 of this Section IV and the DOL poster (WH-1321) or Form FHW A-1495) shall be posted at all times by the contractor and its subcontractors at the site of the work in a prominent and accessibie place where it can be easily seen by the workers. For the purpose of this Section, contributions made or costs reasonably anticipated for bona fide fringe benefits under Section 1 (b)(2) of the Davis-Bacon Act (40 U.S.C. 276a) on behalf of laborers or mechanics are considered wages paid to such laborers or mechanics, subject to the provisions of Section IV. paragraph 3b. hereof. Also. for the purpose of this Section, regular contributions made or costs incurred for more than a weekly period (but not less often than quarterly) under plans, funds, or programs, which cover the particular weekly period. are deemed to be constructively made or incurred during such weekly period. Such laborers and mechanics shall be paid the appropriate wage rate and fringe benefits on the wage detennination for the classification of work actually perfonned. without regard to skill, except as provided in paragraphs 4 and 5 of this Section IV b. The contracting officer shall approve an additional classification. wage rate and fringe benefits only when the following criteria have been met: (1) the work to be perfonned by the additional classification requested is not perfonned by a classification in the wage detennination; (2) the additional classification is utilized in the area by the construction tndustry; (3) the proposed wage rate, including any bona fide fringe benefits, bears a reasonable relationship to the wage rates contained in the wage delennination; and (4) with respect to helpers, when such a classification prevails in the area in which the work is performed. REQUIRED BY 23 CFR 633 102 -28- c. If the contractor or subcontractors, as appropriate. the laborers and mechanics (if known) to be employed In the additional classification or their representatives, and the contracting officer agree on the classification and wage rate (including the amount designated for fringe benefits where appropriate), a report of the action taken shall be sent by the contracting officer to the DOL, Administrator of the Wage and Hour Division, Employment Standards Administration, Washington, DC. 20210. The Wage and Hour Administrator. or an authorized representative, will approve, modify, or disapprove every additional classification action within 30 days of receipt and so advise the contracting officer or will notify the contracting officer within the 30-day period that additional time is necessary d. In the event the contractor or subcontractors, as appropriate, the laborers or mechanics to be employed in the additional classification or their representatives, and the contracting officer do not agree on the proposed classification and wage rate (including the amount designated for fringe benefits, where appropriate). the contracting officer shall refer the questions, including the views of all interested parties and the recommendation of the contracting officer. to the Wage and Hour Administrator for determination. Said Adminis- trator, or an authorized representative, will issue a determination within 30 days of receipt and so advise the contracting officer or will notify the contracting officer within the 30-day period that additional time is necessary e. The wage rate (including fringe benefits where appropriate) determined pursuant to paragraph 2c or 2d ot this Section IV shall be paid to all workers performing work in the additional classification from the first day on which work is performed in the classification. 3. Payment of Fringe Benefits: a. Whenever the minimum wage rate prescribed in the contract for a class of laborers or mechanics includes a fringe benefit which is not expressed as an houriy rate, the contractor or subcontractors, as appropriate. shall either pay Ihe benefit as stated in the wage determination or shall pay another bona fide fringe benefil or an hourly case equivalent thereof. b. If the contractor or subcontractor, as appropriate, does 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 amount of any costs reasonably anticipated in providing bona fide fringe benefits under a plan or program. provided, that the Secretary of Labor has found, upon the written request of the contractor. that the applicable standards of the Davis-Bacon Act have been met. The Secretary of Labor may require the contractor to set aside in a separate account assets for the meeting of obligations under the plan or program. 4 Apprentices and Trainees (Programs of the U,S. DOL) and Helpers: b. Trainees: (1) Except as provided in 29 CFR 5.16, trainees will not be permitted to work at less than the predetermined rate for the work performed unless they are employed pursuant to and individually registered in a program which has received prior approval, evidenced by formal certification by the DOL, Employment and Training Administration. (2) The ratio of trainees to joumeyman-level employees on the job site shall not be greater than permitted under the plan approved by the Employment and Training Administration. Any employee listed on the payroll at a trainee rate who is not registered and participating in a training plan approved by the Employment and Training Administration shali be paid not less than the applicable wage rate on the wage determination for the classification of work actualiy performed. In addition, any trainee performing work on the job site in excess of the ratio permitted under the registered program shali be paid not less than the applicable wage rate on the wage determination for the work actuaily performed. a. Apprenllces: (1) Apprentices will be permiNed to work at less than the predetermined rate for the work they performed when they are employed pursuant to and individually registered in a bona fide apprenticeship program registered with the DOL, Empioyment and Training Administration. Bureau of Apprenticeship and Training, or with a State apprenticeship agency recognized by the Bureau, or il a person is employed in hislher first 90 days of probationary employment as an apprentice in such an apprenticeship program, who is not individually registered in the program, but who has been certified by the Bureau of Apprenticeship and Training or a State apprenticeship agency (where appropriate) to be eligible for probationary employment as an apprentice. (2) The allowable ratio of apprentices to journeyman-level employees on the job site in any craft classification shail not be greater than the ratio permitted to the contractor as to the entire work force under the registered program. Any employee listed on a payroil at an apprentice wage rate, who IS not registered or otherwise employed as stated above, shall be paid not less than the applicabie wage rate listed in the wage determination for the classification of work actually performed. In addition. any apprentice performing work on the job site in excess of Ihe ratio permiNed under the registered program shall be paid not less than the applicable wage rate on the wage determination for the work actually performed. Where a contractor or subcontractor is performing construction on a project in a locality other than that in which its program is registered, the ratios and wage rates (expressed in percentages of the journeyman-level hourly rate) specified in the contracto~s or subcontracto~s registered program shall be observed. (3) Every apprentice must be paid at not less than the rate specified in the registered program for the apprentice's level of progress, expressed as a percentage ot the journeyman-level hourly rate specified in the applicable wage determination. Apprentices shall be paid fringe benefits in accordance with the provisions of the apprenticeship program. If the apprenticeship program does not specify fringe benefits. apprentices must be paid the full amount ot fringe benefits listed on the wage determination for the applicable classification. If the Administrator for the Wage and Hour Division determines that a different practice prevails for the applicable apprentice classitication. fringes shall be paid in accordance with that determination. (4) In the event the Bureau of Apprenticeship and Training, or a State apprenticeship agency recognized by the Bureau, withdraws approval of an apprenticeship program, the contractor or subcontractor will no longer be permitted to utilize apprentices at less than the applicable predetermined rate for the comparable work pertormed by regular employees until an acceptable program is approved. (3) Every trainee must be paid at not less than the rate specified in the approved program for hislher level of progress. expressed as a percentage of the journeyman-level hourly rate specified in the applicabie wage determination. Trainees shall be paid fringe benefits in accordance with the provisions of the trainee program. If the trainee program does not mention fringe benefits. trainees shall be paid the full amount of fringe benefits listed on the wage determination unless the Administrator ot the Wage and Hour Division determines that there is an apprenticeship program associated with the corresponding joumeyman-Ievel wage rate on the wage determination which provides for less than full fringe benellts for apprentices, in which case such trainees shail receive the same fringe benefits as apprentices. (4) In the event the Employment and Training Adminis- tration w"ithdraws approval of a training program. the contractor or subcontractor will no longer be permitted to utilize trainees at less than the applicable predetermined rate for the work performed until an acceptabie program is approved. REQUIRED BY 23 CFR A33 102 -29- c. Helpers: Helpers will be permitted to work on a project if the helper classification is specified and defined on the applicable wage determination or is approved pursuant to the conformance procedure set forth in Section IV.2. Any worker listed on a payroll at a heiper wage rate. who is not a helper under a approved definition, shall be paid not less than the applicable wage rate on the wage determination for the classification of work actually performed. 5. Apprentices and Trainees (Programs of the U.S. DOT): Apprentices and trainees working under apprenticeship and skill training programs which have been certified by the Secretary of Transportation as promoting EEO in connection with Federal-aid highway construction programs are not subject to the requirements of paragraph 4 of this Section IV The straight time hourty wage rates for apprentices and trainees under such programs will be established by the particular programs. The ratio of apprentices and trainees to journeymen shall not be greater than permitted by the terms of the particular program. 6. Withholding: The SHA shall upon its own action or upon wrillen request of an authorized representative of the DOL withhold, or cause to be withheld. from the contractor or subcontractor under this contract or any other Federal contract with the same prime contractor, or any other Federally-assisted contract subject to Davis-Bacon prevailing wage requirements which is held by the same prime contractor. as much of the accrued payments or advances as may be considered necessary to pay laborers and mechanics, including apprentices. trainees. and helpers, employed by the contractor or any subcon- tractor the full amount of wages required by the contract. In the event of failure to pay any laborer or mechanic, including any apprentice. trainee, or helper, employed or working on the site of the work. all or part of the wages required by the contract, the SHA contracting officer may. after wrillen notice to the contraclor. take such action as may be necessary to cause the suspension of any further payment. advance, or guarantee of funds until such violations have ceased. 7 Overtime Requirements: No contractor or subcontractor contracting for any part of the contract work which may require or involve the employment of laborers, mechanics. watchmen. or guards (including apprentices. trainees, and helpers described in paragraphs 4 and 5 above) shall require or permit any laborer, mechanic, watchman, or guard in any workweek in which he/she is employed on such work, to work in a. Payrolls and basic records relabng thereto shall be maintained by the contractor and each subcontractor during the course of the work and preserved for a period of 3 years from the date of completion of the contract for all laborers, mechanics. apprentices, trainees, watchmen, helpers, and guards working at the site of the work. b. The payroll records shall contain the name, social security number, and address of each such employee; his or her correct classification; hourly rates of wages paid (including rates of contributions or costs anticipated for bona fide fringe benefits or cash equivalent thereof the types described in Section 1 (b)(2)(B) of the Davis Bacon Act); daily and weekly number of hours worked; deductions made; and actual wages paid. In addition. for Appala- chian contracts. the payroll records shall contain a notation indicating whether the employee does, or does not, normally reside in the labor area as defined in Attachment A, paragraph 1 Whenever the Secretary of Labor, pursuant to Section IV, paragraph 3b, has found that the wages of any laborer or mechanic include the amount of any costs reasonably anticipated in providing benefits under a plan or program described in Section 1 (b)(2)(B) of the Davis Bacon Act, the contractor and each subcontractor shall maintain records which show that the commitment to provide such benefits is enforceable, that the plan or program is financially responsible. that the plan or program excess of 40 hours in such workweek unless such laborer, mechanic, watchman, or guard receives compensation at a rate not less than one-and-one-half times hisJher basic rate of pay for all hours worked in excess of 40 hours in such workweek. 8. Violation: Liability for Unpaid Wages; Liquidated Damages: In the event of any violation of the clause set forth in paragraph 7 above. the contractor and any subcontractor responsible thereof shall be liable to the affected employee for his/her unpaid wages. In addition, such contractor and subcontractor shall be liable to the United Stales (in the case of work done under contract for the District of Columbia or a terrilory. to such District or to such territory) for liquidated damages. Such liquidated damages shall be computed with respect to each individual laborer. mechanic. watchman. or guard employed in violation of the clause set forth in paragraph 7, in the sum of $10 for each calendar day on which such employee was required or permitted to work in excess of the standard work week of 40 hours without payment of the overtime wages required by the clause set forth in paragraph 7 9 Withholding for Unpaid Wages and Liquidated Damages: The SHA shall upon its own action or upon written request of any authorized representative of the DOL withhold. or cause to be withheld. from any monies payable on account of work performed by the contractor or subcontractor under any such contract or any other Federal contract with the same prime contractor. or any other Federally-assisted contract subject to the Contract Work Hours and Safety Standards Act, which is held by the same prime contractor. such sums as may be determined to be necessary to satisfy any liabilities of such contractor or subcontractor for unpaid wages and liquidated damages as provided in the clause set forth in paragraph 8 above. V STATEMENTS AND PAYROLLS (Applicable to all Federal-aid constructton contracts exceeding $2,000 and to all related subcontracts. except for projects located on roadways classified as local roads or rural collectors, which are exempt.) 1 Compliance with Copeland Regulations (29 CFR 3): The contractor shall comply with the Copeland Regulations of the Secretary of Labor which are herein incorporated by reference. 2. Payrolls and Payroll Records: has been communicated in writing fo the laborers or mechanics affected. and show the cost anticipated or the actual cost incurred in providing benefits. Contractors or subcontractors employing apprentices or trainees under approved programs shall maintain written evidence of the registration of apprentices and trainees. and ratios and wage rates prescribed in the applicable programs. c. Each contractor and subcontractor shall furnish, each week in which any contract work is performed, to the SHA resident engineer a payroll of wages paid each of its employees (including apprentices. trainees. and helpers. described in Section IV, paragraphs 4 and 5. and watchmen and guards engaged on work during the preceding weekly payroll period). The payroll submilled shall set out accurately and completely all of the information required to be maintained under paragraph 2b of this Section V This information may be submitted in any form desired. Optional Form WH-347 is available forthis purpose and may be purchased from the Superintendent of Documents (Federal stock number 029-005.0014-1). U.S. Govemment Printing Office. Washington, D.C. 20402. The prime contractor is responsible for the submission of copies of payrolls by all subcontractors. d. Each payroll submitted shall be accompanied by a "Statement of Compliance," signed by the contractor or subcontractor REQUIRED BY 23 CFR 633 102 30- or hislher agent who pays or supervises the payment of the persons employed under the contract and shall certify the tollowing: (1) that the payroll for the payroll period contains the information required to be maintained under paragraph 2b of this Section V and that such intormation is correct and complete; (2) that such laborer or mechanic (including each helper, apprentice, and trainee) employed on the contract during the payroll period has been paid the full weekly wages earned. without rebate, either directly or indirectly. and Ihat no deductions have been made either directly or indirectly from the full wages earned, other than permissible deductions as set forth in the Regulations, 29 CFR 3; (3) that each laborer or mechanic has been paid not less that the applicabie wage rate and fringe benefits or cash equivalent for Ihe classification of worked pertormed. as specified in the applicable wage determination incorporated into the contract. e. The weekly submission of a properly executed certification set forth on the reverse side of Optional Form WH-347 shall satisfy the requirement tor submission of the "Statement of Compliance" required by paragraph 2d of this Section V f. The falsification of any of the above certifications may subject the contractor to civil or criminal prosecution under 18 U.S.C 1001 and 31 U.S.C.231 g. The contractor or subcontractor shall make the records required under paragraph 2b of this Section V available for inspection, copying. or transcription by authorized representatives of the SHA, the FHW A, or the DOL. and shall pennit such representatives to interview employees during working hours on the job. If the contractor or subcontractor fails to submit the required records or to make them available. the SHA. the FHW A, the DOL, or all may, after written notice to the contractor. sponsor, applicant, or owner, take such actions as may be necessary to cause the suspension of any further payment, advance, or guarantee of funds. Furthermore, failure to submit the required records upon request or to make such records available may be grounds for debarment action pursuant to 29 CFR 5.12. a. "Its own organization" shall be construed to include only workers employed and paid directly by the prime contractor and equipment owned or rented by the prime contractor, with or without operators. Such term does not include employees or equipment of a subcontractor, assignee. or agent of the prime contractor b. "Specialty Items" shall be construed to be limited to work that requires highly specialized knowledge, abilities, or equipment not ordinarily available in the type of contracting organizations qualified and expected to bid on the contract as a whole and in general are to be limited to minor components of the overall contract. 2. The contract amount upon which the requirements set forth tn paragraph 1 of Section VII is computed includes the cost of material and manufactured producls which are to be purchased or produced by the contractor under the contract provisions. 3. The contractor shall furnish (a) a competent superintendent or supervisor who is employed by the firm. has full authority to direct periormance of the work in accordance with the contract require- ments. and is in charge of all construction operations (regardless of who periorms the work) and (b) such other of its own organizational resources (supervision. management, and engineering services) as the SHA contracting officer determines is necessary to assure the periormance of the contract. 4. No portion of the contract shall be sublet. assigned or otherwise disposed of except with the written consent of the SHA contracting officer. or authorized representative, and such consent when given shall not be construed to relieve the contractor of any responsibility for the fulfillment of the contract. Written consent will be given only after the SHA has assured that each subcontract is evidenced in writing VI. RECORD OF MATERIALS, SUPPLIES, AND LABOR 1 On all Federal-aid contracts on the National Highway System. except those which provide solely for the Installation of protective devices at railroad grade crossings. those which are constructed on a force account or direct labor basis, highway beautification contracts, and contracts for which the total final construction cost for roadway and bridge ts iess than $1,000.000 (23 CFR 635) the contractor shall: a. Become familiar with the list of specific materials and supplies contained in Form FHWA-47. 'Stalement of Materials and Labor Used by Contractor of Highway Construction Involving Federal Funds,' prior to the commencement ot work under this contract b. Maintain a record of the total cost of all materials and supplies purchased for and incorporated in the work. and also of the quantities of those specific materials and supplies listed on Form FHWA.47, and In the units shown on Form FHWA-47 c. Furnish, upon the completion of the contract. to the SHA resident engineer on Form FHW A.47 together wtth the data required in paragraph 1 b relative to materials and supplies. a final labor summary of all contract work indicating the total hours worked and the total amount eamed. 2. At the prime contractor's option. either a single report covering all contract work or separate reports for the contractor and for each subcontract shall be submitted. VII. SUBLETTING OR ASSIGNING THE CONTRACT 1 The contractor shall perform with its own organization conlract work amounting to not less than 30 percent (or a greater percentage if specified elsewhere in the contract) of Ihe lotal original contract price. excluding any specialty items designated by the State. Specialty items may be perionned by subcontract and the amount of any such specialty items performed may be deducted from the total original contract price betore compuling the amount ot work required to be perionned by the contractor's own organization (23 CFR 635). and that it contains all pertinent provisions and requirements of the prime contract. VIII. SAFETY: ACCIDENT PREVENTION 1 In the performance of this contract the contractor shall comply with all applicable Federal, Slate. and local laws goveming safety, health, and sanitation (23 CFR 635). The contractor shall provide all safeguards, safety devices and protective equipment and take any other needed actions as it detennines, or as the SHA contracting officer may delermine. to be reasonably necessary to protect the life and health of employees on the job and the safety of the public and to protect property in connection with the perionnance of the work covered by the contract. 2. It is a condition of this contract, and shall be made a condition of each subcontract, which Ihe contractor enters into pursuant to this contract, thatlhe contractor and any subcontractor shall not pennil any employee. in perfonnance of the contract, to work in surroundings or under conditions which are unsanitary, hazardous or dangerous to hislher health or safety, as detennined under construction safety and health standards (29 CFR 1926) promulgated by the Secretary of Labor. in accordance with Section 107 of the Contract Work Hours and Safety Standards Act (40 U.S.C 333). 3. Pursuant to 29 CFR 1926.3, it is a condition of this contract that the Secretary of Labor or authorized representative thereof, shall have right of entry to any site of contract periormance to inspect or investigate the matter of compliance with the construction safety and health standards and to carry out the duties of the Secretary under Section 107 of the Contract Work Hours and Safety Standards Act (40 U.S.C.333). REQUIRED BY 23 CFR E33 102 31- IX. FALSE STATEMENTS CONCERNING HIGHWAY PROJECTS In order to assure high quality and durable construction in conformity with approved plans and specifications and a high degree of reliability on statements and representations made by engineers, contractors, suppliers. and workers on Federal-aid highway projects, it is essential that all persons concerned with the project perform their functions as carefully. thoroughly, and honestly as possible. Willful falsification, distortion, or misrepresentation with respectto any facts related to the project is a violation of Federal law. To prevent any misunderstanding regarding the seriousness of these and similar acts. the following notice shall be posted on each Federal-aid highway project (23 CFR 635) in one or more pi aces where it is readily available to all persons concerned with the project: NOTICE TO ALL PERSONNEL ENGAGED ON FEDERAL-AID HIGHWAY PROJECTS 18 U.S.C. 1020 reads as follows: "Whoever, being an officer, agent, or employee of the United States, or of any State or Territory. or whoever, whether a person, association, firm, or corporation. knowingly makes any false statement, false representation, or fatse report as to the character, quality, quantity. or cost of the material used or to be used, or the quantity or quality of the work performed or to be performed, or the cost thereof in connection with the submission of plans, maps, specifications, contracts, or costs of construction on any highway or related project submitted for approvaf to the Secretary of Transportation; or Whoever knowingly makes any false statement. false represen. tation, false report or false claim with respect to the character. quality, quantity, or cost of any work performed or to be performed, or materials furnished or to be furnished, in connection with the construction of any highway or related project approved by the Secretary of Transportation; or 3. That the firm shall promptly notify the SHA of the receipt of any communication trom the Director, Office of Federal Activities, EPA, indicating that a facility that is or will be utilized for the contract is under consideration to be listed on the EPA List of Violating Facilities. 4 That the firm agrees to include or cause to be included the requirements of paragraph 1 through 4 of this Section X in every nonexempt subcontract. and further agrees to take such action as the govemment may direct as a means of enforcing such requirements. XI. CERTIFICATION REGARDING DEBARMENT, SUSPENSION, INELIGIBILITY AND VOLUNTARY EXCLUSION 1 Instructions for Certification - Primary Covered Transac- tions: (Applicable to all Federal-aid contracts - 49 CFR 29) a. By signing and submitting this proposal. the prospective primary partiCipant is providing the certification set out below b. The inability of a person to provide the certification set out below will not necessarily result in denial of participation in this covered transaction. The prospective participant shall submit an explanation of why it cannot provide the certification set out below The certification or explanation will be considered in connection with the department or agency's determination whether to enter into this transaction. However, failure of the prospective primary participant to furnish a certification or an explanation shall disqualify such a person from participation in this transaction. c. The certification in this clause is a material representation of fact upon which reliance was placed when the department or agency determined to enter into this transaction. If it is later determined that the prospective primary participant knowingly rendered an erroneous certification, in addition to other remedies available to the Federal Whoever knowingly makes any false statement or false repre- sentation as to material fact in any statement, certificate, or report submitted pursuant to provisions of the Federal.aid Roads Act approved July " 1916, (39 Stat. 355), as amended and supple- mented; Shall be fined not more that $10,000 or imprisoned not more than 5 years or both." X. IMPLEMENTATION OF CLEAN AIR ACT AND FEDERAL WATER POLLUTION CONTROL ACT (Applicable to all Federal.aid construction contracts and to all related subcontracts of $100.000 or more.) By submission of this bid or the execution of this contract, or subcontract, as appropriate, the bidder, Federal-aid construction contractor, or subcontractor, as appropriate. will be deemed to have stipulated as follows: 1 That any facility that is or will be utilized in the performance of this contract. unless such contract is exempt under the Clean Air Act. as amended (42 U.S.C. 1857 ~ ~.. as amended by Pub.L. 91-604), and under the Federal Water Pollution Control Act. as amended (33 U.S.C. 1251 ~~., as amended by Pub.L. 92-500), Executive Order 11738, and regulations in implementation thereof (40 CFR 15) is not listed. on the date of contract award. on the U.S. Environmental Protection Agency (EPA) List of Violating Facilities pursuant to 40 CFR 15.20. 2. That the firm agrees to comply and remain in compliance with all the requirements of Section 114 of the Clean Air Act and Section 308 of the Federal Water Pollution Control Act and all regulations and guidelines listed thereunder Government, the department or agency may terminate this transaction for cause of default. d. The prospective primary participant shall provide immediate written notice to the department or agency to whom this proposal is submitted if any time the prospective primary participant learns that its certification was erroneous when submitted or has become erroneous by reason of changed circumstances. e. The terms "covered transaction," 'debarred," 'suspended," 'ineligible," "lower tier covered transaction," 'participant," 'person," 'primary covered transaction," 'principal," 'proposal," and "voluntarily excluded," as used in this clause, have the meanings set out in the Definitions and Coverage sections of rules implementing Executive Order 12549 You may contact the department or agency to which this proposal is submitted for assistance in obtaining a copy ot those regulations. f. The prospective primary participant agrees by submitting this proposal that. should the proposed covered transaction be entered into. it shall not knowingly enter into any lower tier covered transaction with a person who is debarred, suspended, declared ineiigible, or voluntartly excluded from participation in this covered transaction. unless authorized by the department or agency entering into this transaction. g. The prospective primary participant further agrees by submitting this proposal that it will include the clause tilled 'Certifi- cation Regarding Debarment. Suspension, Ineligibility and Voluntary Exclusion-Lower Tier Covered Transaction," provided by the department or agency entering into this covered transaction. without modification, in all lower tier covered transactions and in all solicitations for lower tier covered transactions. h. A participant in a covered transaction may rely upon a certification of a prospective participant in a lower tier covered REQUIRED BY 23 CFR 631 102 -32 transaction that is not debarred, suspended. ineligible. or voluntarily excluded from the covered transaction. unless it knows that the certification is erroneous. A participant may decide the method and frequency by which it determines the eligibility of its principals. Each participant may, but is not required to. check the non procurement portion ot the 'Lists 01 Parties Excluded From Federal Procurement or Nonprocurement Programs' (Nonprocurement List) which is compiled by the General Services Administration. I. Nothing contained in the foregoing shall be construed to require establishment of a system of records in order to render in good faith the certification required by this clause. The knowledge and information of participant is not required to exceed that which is normally possessed by a prudent person in the ordinary course of business dealings. j. Except tor transactions authorized under paragraph 1 01 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 Govemment. the department or agency may terminate this transaction tor cause or default. Certification Regarding Debarment, Suspension, Ineligibility and Voluntary Exclusion-Primary Covered Transactions 1 The prospective primary participant certifies to the best of its knowledge and belief. that it and its prtncipals: a. By signing and submitting this proposal, the prospective lower tier is providing the certification set out below. b. The certification in this clause is a material representation of fact upon which reliance was placed when this transaction was entered into. If it is later determined that the prospective lower tier participant knowingly rendered an erroneous certification. in addition to other remedies available to the Federal Government, the depart- ment, or agency with which this transaction originated may pursue available remedies. including suspension and/or debarment. c. The prospective lower tier participant shall provide immediate written notice to the person to which this proposal is submitted if at any time the prospective lower tier participant learns that its certification was erroneous by reason of changed circum- stances. d. The terms 'covered transaction,' 'debarred,' 'suspended,' 'ineligible,' 'primary covered transaction,' 'participant,' 'person,' 'principal,' 'proposal,' and 'voluntarily excluded,' as used in this clause, have the meanings set out in the Definitions and Coverage sections of rules implementing Executive Order 12549. You may contact the person to which this proposal is submitted for assistance in obtaining a copy of those regulations. e. The prospective lower tier participant agrees by submitting this proposal that. should the proposed covered transaction be entered into. it shall not knowingly enter into any lower tier covered transaction with a person who is debarred. suspended, declared ineligible, or voluntarily excluded from participation in this covered transaction, unless authorized by the department or agency with which this transaction originated. f. The prospective lower tier participant further agrees by submitting this proposal that it will include this clause liIIed 'Certification Regarding Debarment, Suspension, Ineligibility and Voluntary Exciusion-Lower Tier Covered Transaction,' without modification, in all lower tier covered transactions and in all solicitations for lower tier covered transactions. a. Are not presently debarred, suspended, proposed tor debarment. declared ineligible. or voluntarily excluded from covered transactions by any Federal department or agency; b. Have not within a 3.year period preceding this proposal been convicted of or had a civil judgement rendered against them for commission of fraud or a criminal offense in connection with obtaining, attempting to obtain, or pertorming a public (Federai. State or local) transaction or contract under a public transaction; violation of Federal or State antitrust statutes or commission of embezzlement. theft, forgery. bribery, falsification or destruction of records. maKing false statements, or receiving stolen property; c. Are not presently indicted for or otherwise crlminaliy or civilly charged by a governmental entily (Federal, State or local) with commission of any of the offenses enumerated in paragraph 1 b of this certification; and d. Have not within a 3-year period preceding this applica- tion/proposal had one or more public transactions (Federal. State or local) terminated for cause or default. 2. Where the prospective primary participant is unable to certify to any of the statements in this certification, such prospective participant shall attach an explanation to this proposal. 2. Instructions for Certification - Lower Tier Covered Transac- tions: (Applicable to all subcontracts, purchase orders and other lower tier transactions of $25,000 or more - 49 CFR 29) g. A participanl in a covered transaction may rely upon a certification of a prospective participant in a lower tier covered transaction that is not debarred. suspended, ineligible, or voluntarily excluded trom the covered transaction. unless it knows that the certification is erroneous. A participant may decide the method and frequency by which it determines the eligibility of its principals. Each participant may. but is not required to, check the Nonprocurement List. h. Nothing contained in the foregoing shall be construed to require establishment of a system of records in order to render in good faith the certification required by this clause. The knowledge and information of participant is not required to exceed that which is normally possessed by a prudent person in the ordinary course of business dealings. I. Except for transactions authorized under paragraph e of these instructions, if a participant in a covered transaction knowingiy enters into a lower tier covered transaction with a person who is suspended. debarred. ineligible, or voluntarily excluded trom participation in this Iransaction, in addition to other remedies available 10 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: 1 The prospective lower tier participant certifies. by submission of this proposal, that neither it nor its principals is presently debarred, suspended. proposed for debarment, declared ineligible, or voluntarily excluded from participation in this transaction by any Federal department or agency 2. Where the prospective lower tier participant is unable to certify to any of the statements in this certification. such prospective participant shall attach an explanation to this proposal. REQUIRED BY 21 CFR 63~ 102 -3.,- XII. CERTIFICATION REGARDING USE OF CONTRACT FUNDS FOR LOBBYING (Applicable to all Federal-aid construction contracts and to all related subcontracts which exceed $100,000 - 49 CFR 20) 1 The prospective participant certifies, by signing and submitting this bid or proposal. to the best of his or her knowledge and belief, that: a. No Federal appropriated funds have been paid or will be paid, by or on behalf of 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 contract, the making of any Federal grant, the making of any Federal loan, the entering into of any cooperative agreement. and the extension, continuation, renewal. amendment, or modification of any Federal contract. granl, loan, or cooperative agreement. b. If any funds olher than Federal appropriated funds have been paid or will be paid 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 wilh 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, 2, This certification is a malerial 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 31 U.S,C. 1352, Any person who fails to file the required certification shall be subject to a civil penalty of not less Ihan $10,000 and not more Ihan $100.000 for each such failure. 3, The prospective participant also agrees by submitting his or her bid or proposal that he or she shall require Ihallhe language of this certification be included In all lower tier subcontracts, which exceed $100,000 and that all such recipients shall certify and disclose accordingly REQUIRED BY 23 CFR 633 102 -34- ADDENDUM A: FEDERAL REQUIREMENTS Federal laws and regulatlOns that may be applicable to the Work Include A. The "Umform Admimstrative 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 mclude, WIthout limItation. I) 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 provislOns of sectIOn 18.30; 3) the Local Agency/Contractor shall comply with section 18.37 concerning any sub grants; 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 l8.36(d) procurement procedures, and With 18.37 sllbgrant procedures, as applicable, 5) the Local Agency/Contractor shall incorporate the specific contract provisions described III 18.36(i) (which are also deemed incorporated herein) mto 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 regulatlOns (41 CFR Chapter 60) (All construction contracts awarded in excess of $1 0,000 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 III 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 estabhshed 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 III 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 reqmrements 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 EnvHonmental -3':>- ProtectlOn 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 III the state energy conservatlOn plan Issued m 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-In, and A-I02 or A-IlO. whichever is applicable 1. The Hatch Act (5 use 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 80et. ~ These acts reqUire that no person shall, on the grounds of race, color, national origlll, age, or handicap, be excluded from participation in or be subjected to discnmmation m any program or actiVity funded, in whole or part, by federal funds; K. The Amencans 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 AcquisitlOn 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 (Pubhc Law 100-690 Title V, subtitle D, 41 USC 701 et seg.) N The Age DiscriminatIOn Act of 1975, 42 U.S.c. Sections 610 I et. seq. and its implementing regulation, 45 C.F.R. Part 91; Section 504 ofthe RehabilitatlOn 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 "Admmistration of Engineenng and DeSign Related Contracts". P 23 C.F.R Part 633, concernmg "Required Contract Provisions for Federal-Aid Construction Contracts" Q 23 C.F.R. Part 635, concernIng "ConstructlOn and Maintenance ProVisions" R. Title VI of the Civil RIghts Act of 1964 and I 62(a) of the Federal Aid Highway Act of 1973 The reqUirements for which are shown in the Nondiscnmination ProVisions, which are attached hereto and made a part hereof -36- 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 Requlations. 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, Includinq 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. E. Sanctions for Noncompliance. In the event of the Contractor's noncompliance with the nondiscrimination provisions of this contract, the State shall impose such -37- 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. ~38- 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 -39- APPENDIX B DISADV ANT AGED BUSINESS ENTERPRISE (DBE) SECTION I Policv. It is the policy of the Colorado Department of TransportatIOn (CDOT) that disadvantaged busllless enterpnses shall have the maximum Opportulllty to participate III 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 opportumty to participate m 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 busllless enterpnses have the maximum opportunity to compete for and perform contracts. Recipients and their contractors shall not discriminate on the basis of race, color, national ongin, or sex III 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 420 I East Arkansas A venue, 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 -40- ADDENDUM B: CONTRACT MODIFICATION TOOLS The Local Agency and the State may use one or all of the followmg 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 usmg the sImplified change order letter process described in this paragraph and the sample letter attached for any of the followmg reasons. a. Where the agreed changes result m no adjustment to the [price] [ceilmg 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 pnces to be paid for the goods or servIces in [Exhibit _1 [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 attached hereto, must bear the signature of the authorized agency official, the contractor, anduexcept 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. -41- Funds are currently available and encumbered for the work m the amount specified above However, the total cost to complete the work, and the resulting total fundmg amount(s) to be provided by the State and Local Agency in exchange therefor, as described m this Contract or otherwise made known to the Local Agency, are only estimated. If the parties determme that they have underestimated/overestimated the total cost of the work, they have the right to take the following action A. to lllcrease/decrease the amount of available funds under thiS Contract. In the event of this actlOn, the State will notify the Local Agency thereof by Funding Letter. The Funding Letter will be in a form substantially equivalent to the form attached hereto, 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 Wark in that proposal, using the same cost rates/structure as contamed in the Contract. The Task Proposal shall reference this origmal 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 hereto, 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 executlOn 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 memonalized by the Task Order Letter shall not be effective until signed by the Controller or such assistant as he may designate. -42- e The maximum amount for all tasks/services identified m a proposal shall not exceed the maximum amount described m that proposal. The State's financial oblIgatlOn for a particular proposal IS lImited by that amount, and the contractor shall accept no Task Orders which result III 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 ProvislOns of the Agreement, the letter shall supersede the Agreement m the event of a conflict between the two. The Contractor shall not commence work to be performed under each Work Scope proposal until the date specified by the Department m the Task Order letter, and the Contractor shall complete same by the date speCified III the proposal, unless the time thereof is extended. -43- 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] covenng 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 u______________________________ (describe change) Price/Cost The maximum amount payable by CDOT for the Work as described in Paragraph _ is (mcreased/decreased) by ($ amount of change) to a new total of ($ ), based on the pncInglcost 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 [pnce] [cost ceiling], or other terms or conditlOns 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 pnce, 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 mitlals. CDOT initIals. Upon proper execution and approval, this letter shall become an amendment to this Agreement and, except for the General and Special ProvislOns of the Agreement, the letter shall supersede the Agreement in the event of a conflict between the two This change to the contract IS mtended to be effective as of , but. except with respect to "no cost" changes Identified above, in no event shall it be deemed valid until It shall have been approved bv the State Controller or such assistant as he mav deSignate. Please sign, date, and return all copies of thIS letter on or before 19_ -44- Contractor Name State of Colorado' Bill Owens, Governor By: Name Title By' For the Executive Director Colorado Department of Transportation APPROV ALS FOR THE ST ATE CONTROLLER Arthur L. Barnhart By: For CDOT State Controller or Designee -45- 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] covenng 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 followlllg 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 [pnce) [maximum amount payable by the State) for [servicel 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 onglllaI Contract. The parties agree that all work shall be performed according to the standards and terms set forth III the onginal 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 onginal Contract, this Task Order Letter, attachments/exhibIts to thiS Task Order Letter, then Task Order Proposal -46- 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 mav designate Contractor Name. State of Colorado. Bill Owens, Governor By' Name Title By' For the Executive Director Colorado Department of Transportation APPROV ALS: FOR THE STATE CONTROLLER Arthur L. Barnhart By: State Controller or Designee -47-