HomeMy WebLinkAboutResolution-2005-0026
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CITY OF WHEAT RIDGE, COLORADO
RESOLUTION NO. 26
Series of 2005
TITLE:
A RESOLUTION APPROVING A CONTRACT WITH THE
COLORADO DEPARTMENT OF TRANSPORTATION FOR THE
PURCHASE OF SNOW AND ICE CONTROL EQUIPMENT,
ALONG WITH AMENDING THE FISCAL YEAR 2005 GENERAL
FUND BUDGET TO REFLECT THE APPROVAL OF A
SUPPLEMENTAL BUDGET APPROPRIATION IN THE AMOUNT
OF $105,000
WHEREAS, the City Council wishes to provide for the early purchase of de-icing
equipment funded by a federal grant; and
WHEREAS, the City has negotiated a contract with the Colorado Department of
Transportation (CDOT), for the purpose of obtaining state approval and oversight for the
purchase of the de-icing equipment; and
WHEREAS, the cost of the purchase of the de-icing equipment is estimated not
to exceed $145,000, and
WHEREAS, CDOT will reimburse the City 80% of the costs of the de-icing
equipment in year 2006
NOW, THEREFORE, BE IT RESOLVED by the Wheat Ridge City Council, that:
Section 1. Contract Approved
The contract between the City and CDOT for Project AQC M361-003 purchase
of de-icing equipment, is hereby approved and the Mayor and City Clerk are authorized
and directed to execute the same
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Section 2,Budqet Amended
A supplemental budget appropriation in the amount of $105,000 from General
Fund unreserved fund balance to account #01-303-800-809
Section 3.Effective Date
Mill' 13> 'wos
This Resolution shall be effective immediately upon adoption
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DONE AND RESOLVED this .:' C) day of
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,2005
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'<?<<etchen Cerveny, Mayor -'
ATTEST
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STATE OF COLORADO
COLORADO DEPARTMENT OF TRANSPORTA nON
Region 6
Business Office
2000 South Holh Street
Denver Colorado 80222
(303) 757-'-)(,'-)1
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UEPAR\\Jk;~ OF ~~."\nOl'l
AQC M361-003
15218
June 23,2005
Tim Paranto
City of Wheat Ridge
Director ofPubhc Works
7500 West 29th Avenue
Wheat RIdge, CO 80215
Dear Mr Paranto,
Recently a fully executed orIginal contract should have been mailed to Wheat Ridge regardlllg
the purchase of de-Icer eqUIpment Please consider June 20, 2005 as the date of contract
executIon.
A photocopy ofthe contract IS attached for your records.
Please consider thIS letter as the notIce to proceed with the purchase of de-lcer eqUIpment as
listed III Exhibit A
If you have any questIOns or If you dId not receIve the orIgInal copy of the contract, then please
call me, or Jerry Hegwood at (303) 757-9908
SIncerely,
/~ ti~/J
b- CHARLES E. STEVENsoT \
1/ . BusIlless Manager
CES/dh/jh
Enclosures
cC' Hsu
Project File
Suspense File
(T-21/ADV$)
PROJECT AQC M361-003, (15218)
REGION 06 (RP)
Rev 10/03
05 HA6 00073
CMS ill 05-122
CONTRACT
THIS CONTRACT made thiS~~ of ~ 20.6by and between the State of
Colorado for the use and benefit of the Colorado Department of Transportation hereinafter referred to
as the State and CITY OF WHEAT RIDGE, 7500 West 29th Avenue, Wheat RIdge, Colorado, FEIN'
840595832, heremafter referred to as the "Contractor" or the "Local Agency"
RECIT ALS
1 Authonty exists m the law and funds have been budgeted, appropnated and otherwise made
available and a suffiCIent uncommitted balance thereof remains available for payment ofproject and
Local Agency costs m Fund Number 400, Appropriation Code 010, Organization Number 9991,
Program 2000, Function 3401, Object 2312 1P, Phase M, ReportIllg Category 6800, Contract
Encumbrance Number 15218, (Contract Encumbrance Amount. $0 00).
2, ReqUlred approval, clearance and coordIllation has been accomplished from and with appropriate
agencies.
3 Pursuant to Title I, Subtitle A, SectIOn 1108 ofthe Transportation Equity Act for the 2151 Century of
1998 (TEA-21) and to applicable provisions of Title 23 of the United States Code and implementIllg
regulations at Title 23 ofthe Code ofF ederal Regulations, as may be amended, (collectively referred to
heremafter as the "Federal PrOVIsIOns"), certain federal funds have been and will III the future be
allocated for transportation projects requested by Local Agencies and eligible under the Surface
TransportatIOn Improvement Program that has been proposed by the State and approved by the Federal
Highway AdministratIOn ("FHW A"), heremafter referred to as the "Program."
4 Pursuant to 23 C.F.R. S 630 701, Subpart G, the construction of a Local Agency Federal-Aid
Project may be advanced without obligating Federal Funds allocated to the State. Under that
program, lfthe Local Agency applies to and is approved by the Federal Highway AdministratIOn for
advanced authonzation of Federal funding for the project, and if the Local Agency agrees to provide
up-front all the Federal and Local Match fundmg needed for the project, the Local Agency will be
reimbursed the Federal share from Federal funds in a future fiscal year(s), subject to FHW A makIllg
funds for that project available to the State,
5. Pursuant to 9 43-1-223, C.R.S and to applicable portions of the Federal Provisions, the State IS
responsible for the general administration and supervision of performance of projects in the Program,
mcluding the admInistration of federal funds for a Program project performed by a Local Agency under
a contract With the State.
Page I of 18
6 The Local Agency has requested that a certain local transportation project be funded as part of the
Program, and by the date of execution of thiS contract, the Local Agency and/or the State has completed
and submitted a prehmmary versIOn of CDOT form #463 describing the general nature of the Work.
The Local Agency understands that, before the Work begms, form #463 may be revIsed as a result of
design changes made by CDOT, in coordmatIon with the Local Agency, in ItS mternal reVlew process.
The Local Agency desires to perform the Work described m form #463, as lt may be revised.
7 Federal funds are not currently available for this project, and the Local Agency desires to advance
the construction of that project pursuant to 23 C.P.R. S 630 701, Subpart G. The Local Agency
states it has read, understood, and complies with Subpart G.
8. The Local Agency has applied for and recelved advanced authorization for reimbursement of
future federal-aid funds that are anticipated to be budgeted and made available by FHW A to the State
m fiscal year 2006, as shown m the latest Transportatlon Improvement Plan (TIP) for project
AQC M361-244 (15218) That project is for purchase of one V-box spreader Unit and two
combination sand/liquld spreader Units for Wheat RIdge, Colorado, as more speCifically described in
Exhibit A (The form #463 and/or a "Scope of Work") in Wheat Ridge, Colorado, hereIllafterreferred
to as "the project" or "the work" The Local Agency's application and FHW A's subsequent approval
for advanced authorization are attached hereto and made a part hereof.
9 The matching ratIo for thiS federal-aid project is antiCipated to be 80% federal-aid funds to
20% Local Agency funds The Local Agency understands that such ratio applies only to such costs as
are eligible for federal participatIOn. The Local Agency also understands that all non-partlcipatmg
costs shall be borne by the Local Agency at 100%. The Local Agency further understands that the
Local Agency shall advance 100% of the estimated Federal-Aid and the Local Match funds for the
project.
10. The Local Agency understands and accepts the fact that future reimbursement of the Federal
fundmg for the cost of the work is contmgent upon the FHW A makmg such funds aVailable to the
State for that Project III future fiscal years, and to the budgetmg of such funds by the Transportation
Commission for reimbursement to the Local Agency. The Local Agency understands that the
FHW A has not currently obligated Federal funds for the project. The Local Agency also understands
that the State shall have no obligation to repay any funds advanced by the Local Agency for the cost
of the work from State funds, and that the State shall have no obligation to repay any funds advanced
by the Local Agency unless and untIl funds are made available by the FHW A and Budgeted by the
Transportation CommiSSIOn for that purpose.
11. The Local Agency deSlres to comply with the Federal PrOVisions and other applicable reqUirements,
mcluding the State's general admmlstratlOn and supervision of the Project through this contract, III
order to obtain federal funds.
12. The Local Agency has estimated the total cost of the Work and lS prepared to provide its match
share of the cost, as evidenced by an appropriate ordinancelresolution or other authonty letter, which
expressly authonzes the Local Agency the authonty to enter mto this contract and to expend its match
share of the Work. A copy of such ordinance/resolution or authonty letter is attached hereto as Exhibit
Page 2 of 18
13 This contract is executed under the authority of SS 29-1-203, 43-1-110; 43-1-116, 43-2-101 (4)(c)
and 43-2-144, C.R.S and Exhibit B.
14 The Local Agency IS adequately staffed and sUItably eqUIpped to undertake and satIsfactonly
complete some or all of the Work.
15. The Local Agency can more advantageously perfoon the Work.
THE PARTIES NOW AGREE THAT
Section 1. Scope of Work
The Project or the Work under this contract shall consist of the purchase of one V -box spreader
umt and two combmatlOn sand/liqUId spreader umts, III Wheat Ridge, Colorado, as more specifically
described III Exhibit A.
Section 2. Order of Precedence
In the event of conflicts or Illconsistencies between thiS contract and ItS exhibIts, such conflIcts
or IllconsistencIes shall be resolved by reference to the documents m the following order of prionty:
1 Special ProvISIons contained in sectIOn 28 of this contract
2. This contract
3. Exhibit A (Scope of Work)
4 Exhibit C (Fundmg Provisions)
5 Exhibit D (CertificatIOn for Federal-Aid Contracts)
6 Exhibit E (DBE Requirements)
7. Exhibit F (Contract Modification Tools)
8 Other Exhibits in descending order of their attachment.
Section 3. Term
ThiS contract shall be effective upon approval of the State Controller or designee, or on the
date made, whichever is later The teon of this contract shall contmue through the completion and
final acceptance of the Project by the State, FHW A and the Local Agency.
Section 4. Project Funding Provisions
The Local Agency has estimated the total cost of the Work and is prepared to provide its match
share of the cost, as evidenced by an appropriate ordinance/resolution or other authority letter, which
expressly authonzes the Local Agency the authority to enter Illto this contract and to expend its match
share of the Work. A copy of such ordinance/resolutIOn or authority letter IS attached hereto as Exhibit
B
Page 3 of 18
The fundmg provISIons for the Project are attached hereto as Exhibit C The Local Agency
shan provide Its share of the funds for the Project as outlIlled m Exhibit C
Section S. Project Payment Provisions
A. Contmgent upon antiCipated federal funds bemg made aVailable by FHW A for thiS purpose
and budgeted by the TransportatIOn CommIssion in fiscal year 2006, the State will reImburse the
Local Agency, after said funds have been budgeted and approved, for the federal-aid share of the
project charges followmg 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 advanced authorization for the project and prior to the date thIS contract is
executed by the State Controller or hiS deSignee will not be charged by the Local Agency to the
project, and WIll not be reimbursed by the State, absent specific FHW A approval thereof.
B The State will reimburse the Local Agency's reasonable, allocable, allowable costs of
performance of the Work, not exceedIllg the maximum total amount described m Exhibit C The
applicable pnnclples described III 49 C.F.R. 18 Subpart C and 49 C.F,R. 18.22 shall govern the
allow ability and allocabihty of costs under thiS contract. The Local Agency shall comply With all
such pnnclples. To be eligible for reimbursement, costs by the Local Agency shall be.
in accordance With the proVISIOns of Exhibit C and With the terms and conditIOns of
thiS contract;
2. necessary for the accomphshment of the Work,
3 reasonable in the amount for the goods and services provided,
4 actual net cost to the Local Agency (i.e. the price paid mmus any refunds, rebates, or
other items of value received by the Local Agency that have the effect of reducmg the
cost actually Illcurred),
5 Illcurred for Work performed after the effective date ofthls contract;
6 satIsfactonly documented,
C The Local Agency shall establish and maintam a proper accountmg system in accordance
With generally accepted accountIllg standards (a separate set of accounts, or as a separate and Illtegral
part of ItS current accountIllg scheme) to assure that project funds are expended and costs accounted
for m a manner conSIstent With thiS contract and project objectives.
All allowable costs charged to the project, includmg any approved servIces
contributed by the Local Agency or others, shall be supported by properly executed
payrolls, time records, inVOices, contracts or vouchers evidencing m detail the nature
of the charges.
2. Any check or order drawn up by the Local Agency, includmg any item which IS or
will be chargeable against the project account shall be drawn up only m accordance
With a properly signed voucher then on file III the office of the Local Agency, which
will detail the purpose for which said check or order IS drawn. All checks, payrolls,
invoices, contracts, vouchers, orders or other accounting documents shall be clearly
Identified, readily accessible, and to the extent feasible, kept separate and apart from
Page 4 of 18
all other such documents,
D Upon executIOn of thIs contract, the State IS authonzed, in Its discretion, to perform any
necessary ammmstrative support services pursuant to thIs contract. These servIces may be performed
pnor to and III preparatIOn for any conditions or requirements ofthis contract, mcludmg pnor FHW A
approval of Work. The Local Agency understands and agrees that the State may perform such
services, and that payments for such servIces shall be at no cost to the State but shall be as prOVIded
for m Exhibit C. At the request of the Local Agency, the State shall also provide other assistance
pursuant to this contract as may be agreed m wntmg. 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 fundIllg IS not made available or IS Withdrawn for thiS contract, or if the Local
Agency termIllates this contract pnor to project approval or completIOn for any reason, then all actual
Illcurred costs of such servIces and assIstance proVIded by the State shall be the sole expense of the
Local Agency
E. lfthe Local Agency IS to be billed for CDOT mcurred costs, the billIllg procedure shall be as
follows:
Upon receipt of each bill from the State, the Local Agency will remit to the State the
amount billed no later than 60 days after receipt of each bill. Should the Local
Agency faIl to pay moneys due the State wlthm 60 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 apportIOnment due the Local Agency from the Highway Users Tax Fund
and to pay such funds directly to the State. Interim funds, until the State IS
reimbursed, shall be payable from the State Highway Supplementary Fund (400)
2. If the Local Agency fails to make timely payment to the State as reqUired by tills
section (wIthm 60 days after the date of each bill), the Local Agency shall pay
Illterest to the State at a rate of one percent per month on the amount ofthe payment
which was not made in a timely manner, until the billing is paid in full. The mterest
shall accrue for the penod from the reqUired payment date to the date on whIch
payment is made.
F In the event that Federal funds are budgeted and approved in the project, the Local Agency will
prepare and submit to the State monthly charges for costs Illcurred relative to the project. The Local
Agency will prepare project charges III accordance With the State's standard poliCies, procedures, and
standardized blllmg format attached hereto and made a part hereof as Exhibit D. The Local Agency
shall not bill the State for reImbursement of federal funds until such funds have been budgeted and
approved III the project.
G CDOT requires an annual accountIllg of all Local Agency costs that are anticipated to be
reimbursed. The Local Agency shall prepare a statement of all costs mcurred on the project for
whICh Federal funds are antiCipated to be reimbursed and shall submIt such a statement on or before
June 30th of each state fiscal year.
Page 5 of 18
1 Payments pursuant to this contract shall be made as earned, III whole or in part, from
available funds, encumbered for the purchase ofthe described services. The liability
of the State, at any time, for such payments shall be limlted to the amount remaining
of such encumbered funds.
2. In the event thiS contract IS termmated, final payment to the Local Agency may be
Withheld at the discretIOn of the State untIl completion of final audIt.
3 Incorrect payments to the Local Agency due to omission, error, fraud or defalcatIOn
shall be recovered from the Local Agency by deduction from subsequent payment
under thiS contract or other contracts between the State and Local Agency, or by the
State as a debt due to the State.
4 Any costs Illcurred by the Local Agency that are not allowable under 49 c.P.R. 18
shall be reimbursed by the Local Agency, or offset agamst current obligatIOns due by
the State to the Local Agency, at the State's election.
H. The Local Agency shall provide to the State, in advance, Local Agency funds in the full
amount of the estimated total costs of that part or parts of the work: A) for which the State is the
responsible party under Section IV, and B) the performance of which the state will contract out.
The state will use such Local Agency funds to encumber a State contract to pay a contractor's
performance of that work. The Local Agency shall provide that amount to the state no later than
30 days after the executIon of this contract. UntIl and unless the Local Agency proVides that full
amount to the State, the State shall have no obhgatlOn to proceed With that partes) of the work.
Section 6. State and Local Agency Commitments
The Local Agency Contract AdmIllistration Checklist m Exhibit G describes the Work to be
performed and assigns responsibIlity of that Work to either the Local Agency or the State. The
"Responsible Party" referred to m thiS contract means the Responsible Party as IdentIfied in the
Local Agency Contract AdmmIstratlOn Checklist m Exhibit G.
A. DeSIgn [Ifapphcable]
1. lfthe Work mcludes prelImmary deSign or final deSign (the "Constructron Plans"), or
deSign work sheets, or speCIal provIsions and estImates (collectively referred to as the "Plans"), the
responsible party shall comply WIth the followmg reqUirements, as applIcable'
a. perform or proVide the Plans, to the extent required by the nature of the
Work.
b. prepare final design (Constructron Plans) in accord with the reqUIrements of
the latest editIOn of the American Association of State Highway
TransportatIOn Officials (AASHTO) manual or other standard, such as the
Umform Building Code, as approved by CDOT.
c. prepare special provisions and estimates in accord with the State's Roadway
and Bridge Design Manuals and Standard Specifications for Road and Bridge
Construction or Local Agency specifications if approved by CDOT.
Page 6 of 18
d. Illclude details of any reqUired detours In the Plans, III order to prevent any
Illterference of the construction work and to protect the travelIllg public.
e. stamp the Plans produced by a Colorado Registered ProfeSSIOnal Engmeer.
f. provide final assembly of Plans and contract documents.
g. be responsible for the Plans bemg accurate and complete.
h. make no further changes III the Plans followIllg the award of the constructIOn
contract except by agreement III writing between the parties. The Plans shall
be considered final when approved and accepted by the parties hereto, and
when final they shall be deemed incorporated herein.
2. If the Local Agency is the responsible party:
a. The local agency shall comply With the reqUirements ofthe Amencans
WIth DIsabihtles Act (ADA), and applicable federal regulatIOns and
standards as contamed m the document "ADA Accessibihty ReqUirements
III CDOT Transportatlon ProJects"
b It shall afford the State ample opportumty to review the Plans and make
any changes III the Plans that are directed by the State to comply With
FHW A reqUirements.
c It may enter into a contract With a consultant to do all or any portIOn of the
Plans and/or of construction admmistratlOn. ProVided, however, that if
federal-aid funds are Illvolved in the cost of such work to be done by a
consultant, that consultant contract (and the performance/provIsIOn ofthe
Plans under the contract) must comply with all applicable requirements of
23 CFR Part 172 and with any procedures ImplementIllg those
requirements as proVided by the State, Including those m Attachment #1
(Exhibit H) attached hereto Ifthe Local Agency does enter mto a contract
with a consultant for the Work.
(I) It shall submit a certIficatIon that procurement of any deSign
consultant contract complied with the requirements of23 CFR 172.5( d) pnor
to entenng Illto contract. The State shall either approve or deny such
procurement. If dellled, the Local Agency may not enter into the contract.
(2) It shall ensure that all changes in the consultant contract have pnor
approval by the State and FHW A. Such changes III the contract shall be by
written supplement agreement. As soon as the contract with the consultant
has been awarded by the Local Agency, one copy of the executed contract
shall be submitted to the State. Any amendments to such contract shall also
be submitted.
(3) it shall require that all consultant billings under that contract shall
comply WIth the State's standardized billing format. Examples of the billmg
formats are available from the CDOT Agreements Office.
(4) It (or Its consultant) shall use the CDOT procedures described III
Attachment 1 [ change] to administer that deSign consultant subcontract, to
comply With 23 CFR 172.5(b) and (d).
Page 7 of 18
(5) It may expedite any CDOT approval of ItS procurement process and/or
consultant contract by submitting a letter to CDOT from the certifying Local
Agency's attorney/authonzed representative certlfymg compliance With
Attachment 1 [change] and 23 CFR 1 72. 5 (b) and (d)
(6) it shall ensure that its consultant contract complies With the
reqUirements of 49 CFR 18.36(i) and contams the followmg language
verbatim:
(a) "The desIgn work under thiS contract shall be compatible With
the reqUirements of the contract between the Local Agency and the
State (which IS mcorporated herem by thiS reference) for the
design/constructIOn of the project. The State is an mtended thIrd
party benefiCiary of this contract for that purpose."
(b) "Upon advertisement ofthe project work for constructIOn, the
consultant shall make aVailable services as requested by the State to
assist the State m the evaluation of constructIOn and the resolutlOn of
construction problems that may anse during the construction of the
project."
(c) "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 publIcatlOn, Standard
SpeCificatIOns for Road and Bndge ConstructIOn, m connectIOn With
this work."
d, The State, in ItS discretlOn, Will review construction plans, special proVISIons
and estimates and will cause the Local Agency to make changes therein that
the State determines are necessary to assure compliance with State and
FHW A reqUirements.
B. Construction [lfapphcable]
l. If the Work mcludes construction, the responsible party shall perform the
construction III accordance with the approved design plans and/or admiruster the
constructIOn allm accord with the Local Agency Contract AdmimstratlOn CheckliSt.
Such admIlllstratlon shall mclude project mspection and testIllg; approving sources of
materials, performmg reqUired plant and shop mspections; documentatIOn of contract
payments, testing and mspection actIVities; preparing and approvmg pay estimates;
preparing, approvIllg and secunng the fundIllg for contract modification orders and
mmor contract revisions, processing contractor claims; constructIon superviSIOn, and
meetmg the Quahty Control requirements of the FHW A/CDOT Stewardship
Agreement, as described in the Local Agency Contract AdmmlstratIon Checklist.
2. The State shall have the authonty to suspend the Work, wholly or in part, by giving
wntten notIce thereof to the Local Agency, due to the failure ofthe Local Agency or
its contractor to correct project conditions whIch are unsafe for workers or for such
Page 8 of 18
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pen ods as the State may deem necessary due to unsUitable weather, or for condItions
considered unsuitable for the prosecution of the Work, or for any other condition or
reason deemed by the State to be III the public Illterest.
3 If the Local Agency IS the responsible party:
a. It shall appoint a qualified profeSSIOnal engmeer, licensed in the State of
Colorado, as the Local Agency Project EngIlleer (LAPE), to perform that
administration. The LAPE shall admlmster the project III accordance With
thiS contract, the reqUirements of the construction contract and applicable
State procedures.
b Ifblds are to be let for the construction of the project, It shall advertise the
call for bids upon approval by the State and award the constructIOn
contract(s) to the low responsible bldder(s) upon approval by the State
(I) III advertising and awardmg the bid for the construction of a federal-
aid project, the Local Agency shall comply WIth applicable
requirements of 23 USC S 112 and 23 CFR Parts 633 and 635 and
C.R.S. 924-92-101 et seq Those reqUirements include, without
hmItatlOn, that the Local Agency/contractor shall mcorporate Form
1273 (Exhibit n III ItS entirety verbatim into any subcontract(s) for
those services as terms and conditIOns therefore, as required by 23
CFR 633 102(e).
(2) the Local Agency has the option to accept or reject the proposal of the
apparent low bidder for work on which competitive bids have been
received. The Local Agency must declare the acceptance or rejection
WIthin 3 workIllg days after said bids are publicly opened.
(3) by indicating its concurrence in such award, the Local Agency, acting
by or through ItS duly authonzed representatives, agrees to proVide
additIOnal funds, subject to their availability and appropnatlOn for
that purpose, If reqUired to complete the Work under thIS project If no
addItIOnal federal-aid funds will be made available for the project.
This paragraph also apphes to projects advertised and awarded by the
State.
c. If all or part ofthe construction work is to be accomplished by Local Agency
personnel (i.e. by force account), rather than by a competitive blddmg
process, the Local Agency will ensure that all such force account work is
accomplIshed III accordance With the pertment State specifications and
requirements with 23 CFR 635, Subpart B, Force Account Construction.
(1) Such work will normally be based upon estimated quantities and firm
unit pnces agreed to between the Local Agency, the State and FHW A
in advance ofthe Work, as provided for III 23 CFR 635.204(c). Such
agreed umt pnces shall constitute a commitment as to the value of the
Page 9 ofl8
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Work to be performed.
(2) An alternative to the above is that the Local Agency may agree to
participate In the Work based on actual costs of labor, equipment
rental, materials supplies and supervision necessary to complete the
Work. Where actual costs are used, eligibility of cost Items shall be
evaluated for compliance with 48 CFR Part 31.
(3) Rental rates for publicly owned equipment will be determined In
accordance with the State's Standard Specifications for Road and
Bndge Construction S 109.04
(4) All force account work shall have prior approval of the State and/or
FHW A and shall not be imtiated untIl the State has issued a written
notice to proceed.
C. State's obligations
1. The State will perform a final project Inspection prior to project acceptance as a
Quality Control/Assurance activity When all Work has been satisfactorily
completed, the State will sign the FHW A Fonn 1212.
2. Notwithstanding any consents or approvals given by the State for the Plans, the State
will not be liable or responsible in any manner for the structural design, details or
constructIOn of any major structures that are deSigned by or are the responsibility of
the Local Agency as identified III the Local Agency Contract Admimstration
Checklist, Exhibit G, within the Work of thiS contract.
3 If the Work involves construction, the State shall have the authority to suspend the
Work, wholly or in part, by giving wntten notice thereof to the Local Agency, due
to the failure of the Local Agency or ItS construction contractor to correct project
conditions which are unsafe for the Workmen or for such periods as the State may
deem necessary due to unsuitable weather, or for conditions considered unsuitable
for the prosecutIOn of the Work, or for any other condition or reason deemed by
the State to be in the public Illterest.
Section 7. ROW Acquisition and Relocation
Pnor to this project being advertised for bids, the Responsible Party will certify in writing to
the State that all right of way has been acquired III accordance with the applicable State and federal
regulations, or that no additional right of way is reqUired.
Any acquisitIOn/relocation activities must comply with all federal and state statutes,
regulations, CDOT policies and procedures, 49 CFR Part 24, the government Wide Uniform Act
regulation, the FHW A Project Development Guide and CDOT's Right of Way Operations Manual.
Allocation of Responsibilities can be as follows:
Page 10 of 18
· Federal participatIOn III right of way acquisitIOn (3111 charges), relocation (31 09
charges) actIVItIes, if any, and nght of way lllcldentals (expenses incidental to
acqUisition/relocatIon of nght of way - 3114 charges),
· Federal partlcipatIon m nght of way acquisition (3111 charges), relocatIOn (3109
charges) but no partlclpatIOn in mCldental expenses (3114 charges), or
. No federal partlclpatIOn in nght of way acqmsltIon (311 charges) and relocatlOn
activities (3109 expenses)
Regardless of the optIon selected above, the State retaIlls overSight responsibilities. The
Local Agency's and the State's responsibllities for each optIOn is specifically set forth in CDOT's
Right of Way OperatIOn Manual. The manual is located at
hup. / /vvww .dot.state, co. us/DevelopProl ects/Dcsl gnSUpport.
Section 8. Utilities
Ifnecessary, the Responsible Party will be responsible for obtaimng the proper clearance or
approval from any utihty company which may become involved in thiS Project. Prior to this Project
being advertised for bids, the Responsible Party will certify III writIllg to the State that all such
clearances have been obtaIlled.
Section 9. Railroads
In the event the Project mvolves modification of a railroad company's faclhtles whereby the
Work lS to be accomplished by railroad company forces, the Responsible Party shall make timely
application to the Pubhc UtIlItles Commlssion requesting its order provldmg for the installatIOn of
the proposed Improvements and not proceed with that part of the Work wlthout comphance. The
Responsible Party shall also establish contact With the railroad company Illvolved for the purpose of
complying WIth applicable provIsIOns of 23 CFR 646, subpart B, concernIllg federal-aid projects
mvolvmg railroad faCIlities, Illcluding:
ExecutIllg an agreement settmg out what work is to be accomplished and the
10catIon(s) thereof, and that the costs ofthe improvement shall be eligible for federal
participatIOn.
2. ObtaIllIllg the railroad's detailed estimate ofthe cost ofthe Work.
3 EstablIshmg future mamtenance responsibilities for the proposed installatIOn.
4. Proscribmg future use or dispositIOns of the proposed improvements m the event of
abandonment or ehmlllatIon of a grade crossing.
5. EstabhshIllg future repair and/or replacement responsibilities in the event of
accldental destructIOn or damage to the lllstallatIOn,
Section 10. Environmental Obligations
The Local Agency shall perform all Work III accordance with the requirements of the current
federal and state environmental regulations includIllg the National EnVironmental Policy Act of 1969
(NEP A) as applicable.
Page 11 of 18
Section 11. Maintenance Obligations
The Local Agency will mamtain and operate the Improvements constructed under this
contract which are not located on the state highway system, at ItS own cost and expense during their
useful hfe, III a manner satisfactory to the State and FHW A. The Local Agency will make proper
provisions for such maintenance obligatIOns each year Such maintenance and operatIOns shall be
conducted m accordance With all applicable statutes, ordmances and regulations which define the
Local Agency's obligatIOns to mamtam such improvements. The State and FHWA will make
pen odIC inspectIOns ofthe project to venfythat such Improvements are bemg adequately mamtaIlled.
MaIlltenance for Improvements located on the state highway system will be performed by the State
or by separate contract.
Section 12. Federal Requirements
The Local Agency and/or their contractor shall at all tImes during the execution of thiS
contract stnctly adhere to, and comply With, all applicable federal and state laws, and their
Implementmg regulatIOns, as they currently eXist and may hereafter be amended, The contractor
shall also require compliance With these statutes and regulations in sub grant agreements permitted
under thiS contract. A IIstmg of certam federal and state laws that may be applicable are described III
Exhibit J
Section 13. Record Keeping
The Local Agency shall maintaIll a complete file of all records, documents, commurucatlOns,
and other wntten matenals, which pertaIll to the costs Incurred under this contract. The Local
Agency shall mamtain such records for a penod of SIX (6) years after the date oftermIllatlOn of this
contract or final payment hereunder, whichever is later, or for such further period as may be
necessary to resolve any matters which may be pendIng. The Local Agency shall make such
matenals available for Illspection at all reasonable times and shall permit duly authorized agents and
employees of the State and FHW A to mspect the project and to Inspect, review and audit the project
records.
Section 14. Termination Provisions
ThiS contract may be termlllated as follows.
A. TerminatIOn for Convenience. The State may termlllate this contract at any tIme the State
detenmnes that the purposes of the distribution of moneys under the contract would no longer be
served by completIOn of the project. The State shall effect such termination by givmg wntten notice
oftermIllation to the Local Agency and specifying the effective date thereof, at least twenty (20) days
before the effective date of such termlllation.
B. TermIllatlOn for Cause. If, through any cause, the Local Agency shall fail to fulfill, ill a timelye
Page 12 of 18
and proper manner, Its obligatIOns under this contract, or If the Local Agency shall violate any ofthe
covenants, agreements, or stipulatIOns oftrns contract, the State shall thereupon have the nght to
termmate this contract for cause by glVIllg wntten notice to the Local Agency of Its intent to
terrmnate and at least ten (10) days opportumty to cure the default or show cause why terminatIOn IS
otherwise not appropriate. In the event oftermmatlon, all fimshed or unfimshed documents, data,
studies, surveys, drawmgs, maps, models, photographs and reports or other matenal prepared by the
Local Agency under thiS contract shall, at the option ofthe State, become ItS property, and the Local
Agency shall be entitled to receive Just and eqUitable compensatIOn for any services and supplies
delivered and accepted. The Local Agency shall be obligated to return any payments advanced under
the provisions of thiS contract.
Notwlthstandlllg the above, the Local Agency shall not be relieved ofliabihty to the State for any
damages sustallled by the State by virtue of any breach of the contract by the Local Agency, and the
State may Withhold payment to the Local Agency for the purposes of mitIgatlllg its damages until
such time as the exact amount of damages due to the State from the Local Agency IS determmed.
If after such termlllatlOn It IS determIlled, for any reason, that the Local Agency was not III default
or that the Local Agency's actIOn/inactIOn was excusable, such terminatIOn shall be treated as a
termmatlOn for convemence, and the rights and obhgatlOns ofthe parties shall be the same as If the
contract had been ternunated for convemence, as described herein.
C TermIllatlOn Due to Loss of FundIllg. The parties hereto expressly recognIze that the Local
Agency IS to be paid, reimbursed, or otherwise compensated With federal and/or State funds which
are available to the State for the purposes of contractmg for the Project proVided for herem, and
therefore, the Local Agency expressly understands and agrees that aU its rights, demands and 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 termmate or amend thiS contract.
Section IS. Legal Authority
The Local Agency warrants that it possesses the legal authonty to enter into thiS contract and that
It has taken all actIOns required by its procedures, by-laws, and/or applicable law to exercise that
authonty, and to lawfully authonze ItS underSigned signatory to execute thiS contract and to bIlld the
Local Agency to its terms. The person(s) executlllg this contract on behalf of the Local Agency
warrants that such person(s) has full authorizatIOn to execute this contract.
Section 16. Representatives and Notice
The State will provide liaison with the Local Agency through the State's RegIOn Director, Region
6,2000 South Holly Street, Denver, Colorado 80222. Said ReglOn Dnectorwill also be responsible
for coordinatIllg the State's actiVIties under this contract and will also Issue a "Notice to Proceed" to
the Local Agency for commencement of the Work. All communications relatlllg to the day-to-day
actiVIties for the work shall be exchanged between representatIves of the State's TransportatIOn
Page 13 of18
RegIOn 6 and the Local Agency All communicatIOn, notices, and correspondence shall be addressed
to the individuals Identified below. Either party may from time to time desIgnate III wntIllg new or
substitute representatIves,
If to State'
Kevlll Hsu
Resident EngIlleer
CDOT RegIOn 6
2000 South Holly Street
Denver, Colorado 80222
(303) 984-5277
If to the Local Agency
Tim Paranto
CIty of Wheat RIdge
Director ofPubhc Works
7500 West 29th Avenue
Wheat Ridge, Colorado 80215
(303) 235-2860
Section 17. Successors
Except as herem otherwise prOVided, this contract shall mure to the benefit of and be bmding
upon the parties hereto and their respective successors and asSignS.
Section 18. Third Party Beneficiaries
It IS expressly understood and agreed that the enforcement ofthe terms and conditions oftlus
contract and all rights of action relatIllg to such enforcement, shall be stnctly reserved to the State
and the Local Agency NothIllg contaIlled m thiS contract shall give or allow any claim or nght of
action whatsoever by any other third person. It is the express intentIOn of the State and the Local
Agency that any such person or entity, other than the State or the Local Agency receivIllg services or
benefits under this contract shall be deemed an inCIdental benefiCiary only.
Section 19. Governmental Immunity
Notwithstandmg any other proviSIOn of thIs contract to the contrary, no term or condItIOn of
this contract shall be construed or mterpreted as a waiver, express or implied, of any of the
ImmumtIes, nghts, benefits, protectIOn, or other provisions of the Colorado Govemmentallmmunity
Act, ~ 24-10-101, et seq., c.R.S., as now or hereafter amended. The parties understand and agree
that habilrty for claims for IllJunes to persons or property ansIllg out of negligence of the State of
Colorado, ItS departments, IllstltutlOns, agenCIes, boards, offiCials and employees IS controlled and
hmlted by the provIsions of 9 24-10-101, et seq., C.R.S., as now or hereafter amended and the nsk
management statutes, ~S 24-30-1501, et seq., C.R.S., as now or hereafter amended.
Section 20. Severability
To the extent that thiS contract may be executed and performance of the obligations of the
parties may be accomphshed withm the mtent of the contract, the terms of this contract are severable,
and should any term or provision hereofbe declared invalid or become inoperative for any reason,
such Illvalidlty or failure shall not affect the vahdlty of any other term or provision hereof.
Section 21. Waiver
Page 14 of 18
The Waiver of any breach of a term, provisIOn, or requirement of this contract shall not be
construed or deemed as a waiver of any subsequent breach of such term, provision, or reqUirement,
or of any other tenn, provIsIon or reqUirement.
Section 22. Entire Understanding
This contract is intended as the complete IlltegratlOn of all understandmgs between the
parties. No prior or contemporaneous additIOn, deletIOn, or other amendment hereto shall have any
force or effect whatsoever, unless embodied herem by wnting. No subsequent novatIOn, renewal,
addition, deletIOn, or other amendment hereto shall have any force or effect unless embodied in a
wntmg executed and approved pursuant to the State Fiscal Rules.
Section 23. Survival of Contract Terms
NotwlthstandIllg anythmg hereIll to the contrary, the parties understand and agree that all
terms and conditions of thiS contract and the exhibits and attachments hereto which may require
contmued performance, compliance or effect beyond the termIllatlon date of the contract shall
survIVe such termmatlOTI date and shall be enforceable by the State as provided herein III the event of
such faIlure to perform or comply by the Local Agency
Section 24. Modification and Amendment
ThIS contract IS subject to such modIfications as may be required by changes III federal or
State law, or their implementing regulatIOns. Any such reqUired modification shall automatically be
incorporated lllto and be part ofthls contract on the effective date of such change as If fully set forth
hereIll. Except as proVIded above, no modifIcatIon ofthls contract shall be effective unless agreed to
III wnting by both parties III an amendment to thiS contract that IS properly executed and approved III
accordance With applicable law.
Section 25. Funding Letters
The State may allocate more or less funds available on this contract using a Fundmg Letter
substantially eqUivalent to Exhibit F and bearing the approval ofthe State Controller or his deSignee.
The funding letter shall not be deemed vahd until It shall have been approved by the State Controller
or his designee.
Section 26. Disadvantaged Business Enterprise (DBE)
The Local Agency will comply with all requHements of Exhibit E and the Local Agency
Contract Admimstration Checkhst regardmg DBE requirements for the Work, except that If the
Local Agency desires to use ItS own DBE program to implement and admimster the DBE proviSIOns
of 49 CFR Part 26 under this contract, It must submit a copy of ItS program's reqUirements to the
State for review and approval before the execution of this contract. If the Local Agency uses its
program for this contract, the Local Agency shall be solely responsible to defend that DBE program
Page 15 ofl8
and Its use of that program agamst all legal and other challenges or complamts, at Its sole cost and
expense. Such responsibility Illcludes, without limitation, determinations concernmg DBE ehgibihty
requirements and certIfication, adequate legal and factual bases for DBE goals and good faith efforts.
State approval (If provided) ofthe Local Agency's DBE program does not Waive or modify the sole
responsiblhty of the Local Agency for Its use as described above.
Section 27. Disputes
Except as otherwise provided m thiS contract, any dispute concerning a question of fact
ansIllg under thIS contract which IS not disposed of by agreement will be decided by the Cluef
EngIlleer ofthe Department of Transportation, The decision of the Chief Engineer will be final and
conclusive unless, wlthm 30 calendar days after the date of receipt of a copy of such wntten decIsIon,
the Local Agency mails or otherwIse furnishes to the State a wntten appeal addressed to the
Executive Director ofthe Department of Transportation. In connectIOn with any appeal proceedIllg
under thiS clause, the Local Agency shall be afforded an opportumty to be heard and to offer
eVidence III support of Its appeal. PendIllg final deCISIOn ofa dispute hereunder, the Local Agency
shall proceed diligently With the performance of the contract in accordance with the CluefEngineer's
deCISIOn. The decision of the Executive Difector or his duly authorized representative for the
determmatlon of such appeals will be final and conclUSIve and serve as final agency actIOn. Tills
dIspute clause does not preclude consideration of questions of law in connection With decisions
prOVided for hereIll. NothIllg in thiS contract, however, shall be construed as making final the
deCision of any administrative offiCial, representative, or board on a questIOn of law.
Page 16 of18
Section 28.
. <.,',' .~.,~ :-;'-:';ii';":':'c".. ;~:"';':-;":Y'!,"';r~C \"i.~..i.')~,~-\r~:~,:'l~"
""~>F!,;-;SeECIAl!FPR:C)VISIO "
',' ,~~~:~~f~~.;f~~>;~~~~).x~"~.; \~' \:'~~1~~~~~g~~#_~:
(For Use Onlv with Inter-Governmental Conlractsl
CONTROLLER'S APPROVAL CRS 24.30-202 (1)
This contract shall not be deemed valid until it has been approved by the Controller of the State of Colorado or such assistant as he may
designate.
2. FUND AVAILABILITY CRS 24-30-202 (5.5)
Financial obligations of the State of Colorado payable after the current fiscal year are contingent upon funds for that purpose being appropriated,
budgeted, and otherwise made available.
3. INDEMNIFICATION
To the extent authorized by law, the contractor shall indemnify, save, and hold harmless the State against any and all claims, damages, liability and
court awards including costs. expenses, and attorney fees incurred as a result of any act or omission by the Contractor, or its employees, agents,
subcontractors, or assignees pursuant to the terms of this contract
No term or condition of this contract shall be construed or interpreted as a waiver, express or implied, of any of the immunities, rights, benefits,
protection, or other provisions for the parties, of the Colorado Governmental Immunity Act, CRS 24-10-101 et seq, or the Federal Tort Claims Act,
28 U,S,C. 2671 et seq, as applicable, as now or hereafter amended.
4 INDEPENDENT CONTRACTOR 4 CCR 801-2
THE CONTRACTOR SHALL PERFORM ITS DUTIES HEREUNDER AS AN INDEPENDENT CONTRACTOR AND NOT AS AN EMPLOYEE.
NEITHER THE CONTRACTOR NOR ANY AGENT OR EMPLOYEE OF THE CONTRACTOR SHALL BE OR SHALL BE DEEMED TO BE AN
AGENT OR EMPLOYEE OF THE STATE. CONTRACTOR SHALL PAY WHEN DUE ALL REQUIRED EMPLOYMENT TAXES AND INCOME
TAX AND LOCAL HEAD TAX ON ANY MONIES PAID BY THE STATE PURSUANT TO THIS CONTRACT CONTRACTOR ACKNOWLEDGES
THAT THE CONTRACTOR AND ITS EMPLOYEES ARE NOT ENTITLED TO UNEMPLOYMENT INSURANCE BENEFITS UNLESS THE
CONTRACTOR OR THIRD PARTY PROVIDES SUCH COVERAGE AND THAT THE STATE DOES NOT PAY FOR OR OTHERWISE PROVIDE
SUCH COVERAGE. CONTRACTOR SHALL HAVE NO AUTHORIZATION, EXPRESS OR IMPLIED, TO BIND THE STATE TO ANY
AGREEMENTS, LIABILITY, OR UNDERSTANDING EXCEPT AS EXPRESSLY SET FORTH HEREIN. CONTRACTOR SHALL PROVIDE AND
KEEP IN FORCE WORKERS' COMPENSATION (AND PROVIDE PROOF OF SUCH INSURANCE WHEN REQUESTED BYTHE 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 artlitration by any
extra-judicial body or person or which is otherwise in conflict with said laws, rules, and regulations shall be considered null and void. Nothing
contained in any provision incorporated herein by reference which purports to negate this or any other special provision in whole or in part shall
be valid or enforceable or available in any action at law whether by way of complaint, defense, or otherwise, Any provision rendered null and void
by the operation of this provision will not invalidate the remainder of this contract to the extent that the contract is capable of execution.
At all times during the performance of this contract, the Contractor shall strictly adhere to all applicable federal and state laws, rules, and
regulations that have been or may hereafter be established,
7 SOFTWARE PIRACY PROHIBITION Governor's Executive Order D 002 00
No State or other public funds payable under this Contract shall be used for the acquisition, operation, or maintenance of computer software in
violation of United States copyright laws or applicable licensing restrictions. The Contractor hereby certifies that. for the term of this Contracl and
any extensions, the Contractor has in place appropriate systems and controls to prevent such improper use of public funds. If the State
determines that the Contractor is in violation of this paragraph, the State may exercise any remedy available at law or equity or under this
Contract, including, without limitation, immediate termination of the Contract and any remedy consistent with Uniled States copyright laws or
applicable licensing restrictions.
8. EMPLOYEE FINANCIAL INTEREST CRS 24-18-201 & CRS 24-50-507
The signatories aver that to their knowledge, no employee of the State of Colorado has any personal or beneficial interest whatsoever in the
service or property described herein.
Effective Dale: April 1, 2004
Page 17 of18
THE PARTIES HERETO HAVE EXECUTED THIS CONTRACT
CONTRACTOR:
STATE OF COLORADO'
BILL OWENS, GOVERNOR
CITY OF WHEAT RIDGE
Legal Name of Contracting Entity
By c,.,~ SV\o..~
P ExecutivltDirector
DepartmQ;t of Transportation
840595832
LEGAL REVIEW
KEll 8^w'.ct.r1
ATTORNEY GENERAL
~T<' "n vV I.cithef'.,'
GF~fiTi~~ I-t E: rv C If'f:v C rJ'4
Print Name & Title of Authorized Officer -----'
By J<~,-- ( r&.c-L-.
Co
ALL CONTRACTS MUST BE APPROVED
rporale seal here, if available)
CORPORATIONS.
(A corporate attestation is required.)
Attest (Seal)
(
CRS 24-30-202 requires that the State Controller approve all state contracts, This contract is not valid until the State Controller,
or such assistant as he may delegate, has signed it. The contractor is not authorized to begin performance until the contract is
signed and dated below If performance begins prior to the date below, the State of Colorado may not be obligated to pay for
the goods and/or services provided.
Date
STATE CONTROLLER:
LESLIE M SHENEFEL T
By
Effective Date: July 1, 2004
Page 18 of 18
Exhibit A
De-leer Equipment
2 combination liquid/solid applicator units installed in
tandem truck beds @ $40,000
1 deicer pump
$80,000
$15,000
$40,000
$ 5,000
$ 5,000
$145,000
1 V-box spreader unit installed in a single axle dump truck
210,000 gallon tanks
Misc. supplies and installation
TOTAL
Exhibit B
LOCAL AGENCY
ORDINANCE
or
RESOLUTION
CITY OF WHEAT RIDGE, COLORADO
RESOLUTION NO. 26
Series of 2005
TITLE:
A RESOLUTION APPROVING A CONTRACT WITH THE
COLORADO DEPARTMENT OF TRANSPORTATION FOR THE
PURCHASE OF SNOW AND ICE CONTROL EQUIPMENT,
ALONG WITH AMENDING THE FISCAL YEAR 2005 GENERAL
FUND BUDGET TO REFLECT THE APPROVAL OF A
SUPPLEMENTAL BUDGET APPROPRIATION IN THE AMOUNT
OF $105,000
WHEREAS, the City Council wishes to provide for the early purchase of de-icing
equipment funded by a federal grant; and
WHEREAS, the City has negotiated a contract with the Colorado Department of
Transportation (CDOT), for the purpose of obtaining state approval and oversight for the
purchase of the de-icing equipment; and
WHEREAS, the cost of the purchase of the de-icing equipment is estimated not
to exceed $145,000; and
WHEREAS, CDOT will reimburse the City 80% of the costs of the de-icing
equipment in year 2006
NOW, THEREFORE, BE IT RESOLVED by the Wheat Ridge City Council, that:
Section 1. Contract Approved
The contract between the City and CDOT for Project AQC M361-003 purchase
of de-icing equipment, is hereby approved and the Mayor and City Clerk are authorized
and directed to execute the same
Section 2.Budqet Amended.
A supplemental budget appropriation in the amount of $105,000 from General
Fund unreserved fund balance to account #01-303-800-809.
Section 3.Effective Date
M"y 23, 7005
This Resolution shall be effective immediately upon adoption
,.J '
DONE AND RESOLVED this 21, day of '---rf( (,; ~1
........-----------
,2005
ATTEST
~~
RESO 001
2
EXHIBIT C FUNDING PROVISIONS
A. The Local Agency has estimated the total cost the Work to be $145,000.00 whIch IS to be
funded in the future as follows:
1 BUDGETED FUNDS
a. Federal Funds $116.00000
(80% of Participating Costs)
b Local Agency Matching Funds $29,00000
(20% of Participating Costs)
Local Agency Matching for COOT -
c. Incurred Non-Participating Costs $000
(Including Non-Participating Indirects)
TOTAL BUDGETED FUNDS $145,000.00
2 ESTIMATED COOT -INCURRED COSTS
a, Federal Share $000
(80% of Participating Costs)
b Local Share
Local Agency Share of Participating Costs $000
Non-Participating Costs (Including Non-
Participating Indirects) $0,00
Estimated to be Billed to Local Agency $000
TOTAL ESTIMATED COOT-INCURRED COSTS $000
3 ESTIMATED PAYMENT TO LOCAL AGENCY
a. Federal Funds Budgeted (1 a) $116,00000
b Less Estimated Federal Share of COOT-Incurred Costs (2a) $000
TOTAL ESTIMATED PAYMENT TO LOCAL AGENCY $116,00000
FOR COOT ENCUMBRANCE PURPOSES
Total Encumbrance Amount ($116,000.00
divided by 80%) $145,00000
Less ROW Acquisition 3111 and/or
ROW Relocation 3109 $000
Net to be encumbered as follows' I $145,000.00
Miscellaneous] I I $145,00000
Exhibit C - Page 1 of2
B. The matchIllg ratio for the federal partlclpatIllg funds for this project IS 80% federal-aId funds
(CFDA#20 2050) to 20% Local Agency funds, it bemg understood that such ratio applIes
only to the $145,000.00 that IS elIgible for federal particlpatlOn, It bemg further understood
that all non-partlclpatmg costs are borne by the Local Agency at 100%. If the total
partlcipatmg cost of performance of the Work exceeds $145,000.00, and addltlOnal federal
funds are made available for the project, the Local Agency shall pay 80% of all such costs
ehgible for federal partlclpatlOn and 100% of all non-partlclpatIllg costs; If additional federal
funds are not made aVailable, the local agency shall pay all such excess costs. If the total
particlpatIllg cost of performance of the Work IS less than $145,00000, then the amounts of
Local Agency and federal-aId funds will be decreased m accordance WIth the fundIllg ratlO
described hereIll. 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 $116,000 00
(For CDOT accountIllg purposes, the federal funds of$116,000 00 and local matchmg funds
of $29,00000 Will be encumbered for a total encumbrance of $145,00000), unless such
amount is mcreased by an appropnate wntten modIficatlOn to thiS contract executed before
any Illcreased cost IS mcurred. It IS understood and agreed by the parties hereto that the total
cost ofthe Work stated hereinbefore IS the best estimate available, based on the design data
as approved at the time of executlOn ofthis contract, and that such cost IS subject to reVISlOns
(Ill accord With the procedure m the prevlOUS sentence) agreeable to the partIeS pnor to bid
and award,
D The parties hereto agree that thiS contract IS con tIll gent upon all funds deSignated for the
project hereIll beIllg made available from federal and/or state and/or Local Agency sources,
as applicable. Should these sources, either federal or Local Agency, fail to provIde necessary
funds as agreed upon herein, the contract may be terminated by either party, provided that
any party terminatmg its mterest and oblIgatlOns herem shall not be relieved of any
obhgatlOns which eXisted pnor to the effective date of such termmatlOn or which may occur
as a result of such termIllatIon.
Exhibit C - Page 2 of 2
Exhibit D
A TT ACHMENT LO
Certification for Federal-Aid Contracts
The contractor certifies, by SlgnIllg this contract, to the best of its knowledge and belref, that:
1 No Federal appropnated funds have been paId or will be paId, by or on behalf or the
underSigned, to any person for IllfluencIllg or attemptIllg to Illfluence 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 m connection with the awarding of any Federal loan, the entenng mto of any
cooperatIve agreement, and the extenSIOn, contIlluatlOn, renewal, amendment, or modificatIOn of any
Federal contract, grant, loan, or cooperatIve agreement.
2. If any funds other than Federal appropnated funds have been paId or will be paid to any
person for influencIllg or attempting to Illfluence an officer or of Congress, or an employee of a
Member of Congress m connectIon with thiS Federal contract, grant, loan, or cooperative agreement,
the underSigned shall complete and submIt Standard Form-LLL, "Disclosure Form to Report
Lobbymg," m accordance With ItS mstructlOns.
This certificatIOn IS a material representatIOn of fact upon which relrance was placed when this
transactIOn was made or entered mto SubmiSSion ofthis certificatIOn IS a prereqUisite for makmg or
entering mto thiS transactIOn Imposed by SectIon 1352, Title 31, D.S Code. Any person who fails to
file the reqUIred certificatIOn shall be subject to a clVll 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 Illcluded III all lower tier subcontracts, winch exceed
$100,000 and that all such subreclplents shall certify and disclose accordmgly.
Required by 23 CFR 635 112
Exhibit D - Page 1 of 1
Exhibit E
DISADV ANT AGED BUSINESS ENTERPRISE (DBE)
SECTION 1 PolIcy.
It is the polIcy of the Colorado Department of Transportation (CDOT) that disadvantaged business
enterpnses shall have the maximum opportUnIty to participate III the performance of contracts
financed III 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 III advance by the State) apply to thiS
agreement.
SECTION 2 DBE ObligatIOn.
The recipient or its contractor agrees to ensure that disadvantaged business enterpnses as determined
by the Office of CertificatIOn at the Colorado Department of Regulatory Agencies have the maximum
opportumty to participate III the performance of contracts and subcontracts financed III whole or III
part with Federal funds provided under thiS agreement. In this regard, all participants or contractors
shall take all necessary and reasonable steps III accordance With the CDOT DBE program (or a Local
Agency DBE Program approved III advance by the State) to ensure that disadvantaged busIlless
enterpnses have the maximum opportUnIty to compete for and perform contracts. Recipients and
their contractors shall not dlscnmlllate on the basis of race, color, national onglll, or sex m the award
and performance of CDOT aSSisted contracts.
SECTION 3 DBE Program.
The contractor (subrecipient) shall be responsible for obtaIllIllg the Disadvantaged BusIlless
Enterpnse Program of the Colorado Department of Transportation, 1988, as amended, and shall
comply With the applicable provisions of the program. (If applicable).
A copy of the DBE Program is available from and will be mailed to the contractor upon request:
BusIlless Programs Office
Colorado Department of TransportatIOn
4201 East Arkansas Avenue, Room 287
Denver, Colorado 80222-3400
Phone (303) 757-9234
revised 1/22/98
Required by 49 CFR Part 23 41
Exhibit E ~ Page 1 of]
---
Exhibit F
COLORADO DEPARTMENT OF TRANSPORTATION CONTRACT AUTHORITY'
FUNDING INCREASE/DECREASE AND APPROVAL LETTER Region State Controller Policy letter on June 12, 1996
Comolete section 1 and submit to COOT Controller's office. COOT Controller letter on Mav 23, 1996
(1 )This form to be used for the following contracts/situations only (check the appropriate situation)'
_indefinite quantity, order more/add more _utility/railroad, underestimated total cost
- COOT construction, sum of CMO's _LA construction, underestimated cost
COOT construction, underestimated tolal cost COOT consultant, underestimated cost
SECTION 1 (ReQion use)
Date (2) Proiect code (3)
To COOT Controller (FAX #(303) 757-9573 or e-mail CONTROLLER) Project # (4)
From Office. (5) Phone # (5) FAX # (5)
Reqion # (5)
COOT has executed a contract with. (6)
Address (6)
FEIN # (6) Contract routing # (7) COFRS encumbrance # (indicate PO, SC or PC #)
(8)
Fund Orgn Appro prg rm. Func. Object/Sub-obj N/P GBL Reporting Catg Proj/Sub/Phase
(9) (9) (9) (9) (9) (9) (9) (9) (9)
Original contract amount Has a Budget Request been processed to cover the contract amount increase?
$ (10) yes no (14)
Previous Funding Letter(s) total Preparer's name (15)
$ (11)
(Funding letter #1 thru #---1 PHONE NO'
This Funding Letter total Contract Administrator's/Business Manager's Approval
$ (12) (16)
(# ----.J PHONE NO'
Adjusted contract amount COOT Designee Approval
$ (13) (17)
Local Agency approval
(18)
SECTION 2 (Controller's Office use) (19)
Total allotment amount Commission budget
$ (19) $ (19)
If construction. CE charges Indirect chgs Adjusted contract amount plus total CE & indirect
_CE pool elig (19) $ (19) $ (19) charges calculation S (19)
I have reviewed the financial status of the project, organization, grant and have determined that sufficient funds are available
to cover this increase, effective as of (19)
State Controller or Delegee Date
(20) (20)
Exhibit F - Page 1 of 1
----
Exhibit G
LOCAL AGENCY
CONTRACT ADMINISTRATION
CHECKLIST
CDOT Form 1243
INTENTIONALL Y OMITTED
Exhibit G - Page 1 of 1
----
Exhibit H
A TT ACHMENT #1
THE LOCAL AGENCY SHALL USE THESE PROCEDURES TO IMPLEMENT FEDERAL-AID
PROJECT AGREEMENTS WITH PROFESSIONAL CONSULTANT SERVICES
Title 23 Code of Federal Regulations (CFR) 172 applies to a federally funded local agency project agreement
administered by CDOT thai involves professional consultant services. 23 CFR 172 and 23 CFR 172( d) state that, "When
federal-aid highway funds participale in the contract a local shall use the same procedures as used by the State to
administer contracts " Therefore, local agencies must comply with this CFR requirement and the following state
procedures when obtaining professional consultant services under a federally funded consultant contract administered by
CDOT
CDOT has fonnulaled its procedures in Procedural Directive (P.D ) 400 I and the related operations guidebook titled
"Obtaining Professional Consultant Services" This directive and guidebook incorporale requirements from both Federal
and State regulations, i.e., 23 CFR 172 and Colorado Revised Statute (CR.S ) 24-30-1401 et seq. Copies of !he directive
and the guidebook may be obtained upon request from CDOT's Agreements and Consultant Management Unit. [Local
agencies should have !heir own "'TIlten procedures on file for each method of procurement that addresses the Ilems m 23
CFR 172.5(b)(l-6)).
Because the procedures and laws described in the Procedural Directive and the guidebook are qUite lengthy, the
subsequent steps serve as a short-hand guide to CDOT procedures Ihat a local agency must follow in obtaining
professional consultanl services, This guidance follows the format of 23 CFR 172. The steps are:
The contracting local agency shall document Ihe need for obtaining professional services.
2. Prior to solicitation for consultant services, !he contracting local agency shall develop a detailed scope of work
and a list of evaluation factors and Iheir relative importance. The evaluation faclors are those identified in CR.S,
24-30-1403 Also, a detailed cost estimate should be prepared for use during negotJatlOns.
3 The contracting agency must advertise for contracts in confonnity wi!h the requirements ofCR.S. 24-30-1405
The public notice period, when such notice is required, is a minimum of 15 days prior to !he selection of the three
most qualified fums and the advertising should be done in one or more daily newspapers of general circulation.
4 The request for consultant services should include !he scope of work, !he evaluation factors and !heir relative
importance, the me!hod of payment, and the goal often percent (10%) Disadvantaged Business Enterprise (DBE)
participation as a minimum for the project.
5 The analysis and selectIOn of the consultants should be done in accordance with CR.S, 24-30-1403 This section
of the regulation identifies the criteria 10 be used in !he evaluation ofCDOT pre-qualified prime consultants and
their team It also shows which criteria are used to short-lisl and 10 make a final selection,
The short-lisl is based on the followmg evaluation factors:
a. Qualifications,
b Approach to the project,
c. Ability to furnish professional services.
d. AntiCIpated design concepts, and
e. Alternative me!hods of approach for furnishing !he professional services.
Evalualion factors for final selection are !he consultant's:
a. Abilities of their personnel,
b Past performance,
c. Willingness to meet the time and budget requirement,
d. Location,
Exhibit H - Page 1 of 2
Exhibit H
e Current and projecled work load,
f. Volume of previously awarded conlracts, and
g. Involvement of minority consultants,
Under 24-30-1401. cost shall not be considered as a factor in the evaluation of professional consultant
services.
6 Once a consultant is selected, the local agency enters into negotiations with the consultant to obtain a fair and
reasonable price for the anticipated work. Pre-negotiation audits are prepared for contracts expected to be grealer
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, duralion, and degree of
risk involved in the work. Profit is in the range of six (6) to fifteen (15) percent of the total direct and indirect
costs.
7 A qualified local agency employee shall be responsible and in charge of the projecI to ensure that the work being
pursued is complete, accurate, and consistent wilh the terms, conditions, and specifications of the contract. At the
end of project, the local agency prepares a perfonnance evaluation (a CDOT form is available) on the consultant.
8 Each of the steps listed above is to be documented in accordance with the provisions of 49 CFR 18.42, which
provide for records to be kepi at least three (3) years from the date that the local agency submits its final
expenditure report. Records of projects under litigation shall be kept at least three (3) years after the case has
been settled.
The C.R.S. 24-30-1401 through 24-30-1408,23 CFR Part 172, and P,D 400 I, provide additional details for complying
with the eighl (8) steps just discussed,
Exhibit H - Page 2 on
FHWA Form 1273
Exhibit I
FHWA-1273 Electronic version - March 10, 1994
REQUIRED CONTRACT PROVISIONS
FEDERAL-AID CONSTRUCTION CONTRACTS
I. General 1
II. Nondiscrimination 1
111. Nonsegregated Facilities 3
IV Payment of Predetermined Minimum Wage 3
V Statements and Payrolls 6
VI. Record of Materials, Supplies, and Labor 6
VII. Subletting or Assigning the Contract..., 7
VIII. Safety' Accident Prevention 7
IX. False Statements Conceming Highway Projects. 7
X, Implementation of Clean Air Act and Federal
Water Pollution Control Act....""" 8
XL Certification Regarding Debarment, Suspension,
Ineligibility, and Voluntary Exclusion 8
XII. Certification Regarding Use of Contract Funds for
Lobbying 9
ATTACHMENTS
A. Employment Preference for Appalachian Contracts
(included in Appalachian contracts onty)
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 Provi-
sions shall not be incorporated by reference in any case. The
prime contractor shall be responsible for compliance by any
subcontractor or lower tier subcontractor with these Required
Contract Provisions.
3. A breach of any of the stipulations contained in these
Required Contract Provisions shall be sufficient grounds 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
CFR5.12:
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 accor-
dance 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, the DOL, or the
contractor's employees or their representatives.
6. Selection of labor: During the performance of this con-
tract, the contractor shall not:
a, discriminate against labor from any other State, posses-
sion, or terrilory of the United States (except for employment
preference for Appalachian contracts, when applicable, as
specified in Attachment A), or
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.)
1 Equal Employment Opportunity. Equal employment
opportunity (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 Disabilities Act of 1990 (42 U,S.C. 12101 g! ~.)
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'
a. The contractor will work with the State highway agency
(SHA) and the Federal Government in carrying out EEO obliga-
tions and in their review of hislher activities under the contract
b. The contractor will accept as his operating policy the
following statement:
"It is the policy of this Company to assure that applicants are
employed, and that employees are trealed during employ-
ment, without regard to their race, religion, sex, color,
national origin, age or disability. Such action shall include:
employment, upgrading, demotion, or transfer; recruitmenl or
recruitment advertising; layoff or termination; rates of payor
other forms of compensation; and selection for training,
including apprenticeship, preapprenticeship, andlor
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
Exhibit I - Page 1 of 9
of, and will implement, the contracto~s EEO policy and contractual
responsibilities 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 conducted before the start of work and then not
less often than once every six months, at which time the contract-
or's 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 employees will be
given a thorough indoctrination by the EEO Officer, covering all
major aspects of the contractor's EEO obligations within thirty
dayS following their reporting for duty with the contractor
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.
d. Notices and posters setting forth the contractor's EEO
policy will be placed in areas readily accessible to employees,
applicants for employment and potential employees.
e. The contractor's EEO policy and the procedures to
implement such policy will be brought to the attention of employ-
ees by means of meetings, employee handbooks, or other
appropriate means,
4 Recruitment: When advertising for employees, the contrac-
tor will include in all advertisements for employees the notation:
"An Equal Opportunity Employer" All such advertisements will be
placed in publications having a 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 bargain-
ing agreement, conduct syStematic and direct recruitment through
public and private employee referral sources likely to yield
qualified minority group applicants. To meet this requirement, the
contractor will identify sources of potential minolity group
employees, and establish with such identified sources procedures
whereby minority group applicants may be referred to the
contractor for employment consideration.
b, In the event the contractor has a valid bargaining agree-
ment providing for exclusive hiring hall referrals, he is expected to
observe the provisions of that agreement to the extent that the
system permits the contracto~s compliance with EEO contract
provisions. (The DOL has held that where implementation of such
agreements have the effect of discriminating against minolities or
women, or obligates the contractor to do the same, such
implementation violates Executive Order 11246, as amended.)
c. The contractor w',1I encourage his present employees to
refer minority group applicants for employment Infonnation and
procedures with regard 10 referring minolity 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 tennination, 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 siles to insure that working conditions and employee
facilities do not indicale discriminatory treatment of project site
personnel.
b, The contractor will periodically evaluate the spread of
wages paid within each classification to detennine any evidence of
Exhibit I
discriminatory wage practices.
c. The contractor will periodically review selected personnel
actions in depth to determine whether there is evidence of
discrimination. Where evidence is found, the contractor will
promptly take corrective action, If the review indicates that the
discrimination may extend beyond the actions reviewed, such
corrective action shall include a\l affected persons.
d, The contractor will promptly investigate all complaints of
alleged discrimination made to the contractor in connection with
his obligations under this contract, will attempt to resolve such
complaints, and will take appropriate corrective action within a,
reasonable time, If the investigation indicates that the
discrimination may affect persons other than the complainant,
such corrective action shall include such other persons. Upon
completion of each investigation, the contractor will inform every
complainant of 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 employees, 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, Le"
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
pfOv\sion for tra\ning is provided under this contract, this subpara-
graph will be superseded as indicated in the special provision,
c, The contractor will advise employees and applicants for
employment of available training programs and entrance
requirements 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 hislher
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 dause 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 infonnation 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 fumish 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 infonnation.
d. In the event the union is unable to provide the contractor
Exhibit I - Page 2 of 9
REQUIRED BY 23 CFR 633.102
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,
naUonal origin, age or disability; making full efforts to obtain
qualified and/or qualifiable 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 the selection and retention of subcontractors, including
procurement of materials and leases of equipment
a. The contractor shall notify all potenUal subcontractors
and suppliers of hislher 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 representaUon 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-
tractor compliance with their EEO obligations.
9 Records and Reports: The contractor shall keep such
records as necessary to document compliance with the EEO
requirements, Such records shall be retained for a periOd of three
years following compleUon of the contract work and shall be
available at reasonable times and places for inspection byautho-
rized representatives of the SHA and the FHW A,
a. The records kept by the contractor shall document the
following:
(1) The number of minority and non-minority group
members and women employed in each work classification on the
project:
(2) The progress and efforts being made in cooperation
with unions, when applicable, to increase employment opportuni-
ties for minorities and women;
(3) The progress and efforts being made in locating,
hiring, training, qualifying, and upgrading minority and female
employees; and
(4) The progress and efforts being made in securing
the services of DBE subcontractors or subcontractors with
meaningful minority and female representation among their
employees.
b. The contractors will submit an annual report to the SHA
each July for the duraUon of the project, indicaUng the number of
minority, women, and non-minority group employees currently
engaged in each work classification required by the contract work.
This information is to be reported on Form FHWA-1391 If on-the
job training is being required by special provision, the contractor
will be required to collect and report training data.
III. NONSEGREGATED FACILITIES
(Applicable to all Federal-aid construction contracts and to all
Exhibit I
related subcontracts of $10,000 or more,)
a, By submission of this bid, the execuUon of this contract
or subcontract, or the consummation of this material supply agree-
ment or purchase order, as appropriate, the bidder, Federal-aid
construction contractor, subcontractor, material supplier, or
vendor, as appropriate, certifies that the firm does not maintain or
provide for its employees any segregated facilities at any of its
establishments, and that the firm does not permit its employees to
perform their services at any location, under its control, where
segregated facilities are maintained. The firm agrees that a
breach of this certification is a violation of the EEO provisions of
this contract The firm 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 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 direcUve, or are, in fact, segregated on the basis of race,
color, religion, naUonal origin, age or disability, because of habit,
local custom, or otherwise. The only excepUon 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
malerial 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 uncondiUonally and not less often
than once a week and without subsequent deducUon or rebate on
any account [except such payroll deductjons 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 rales nol
less than those contained in the wage determinaUon of the
Secretary of Labor (hereinafter "the wage determination") which is
attached hereto and made a part hereof. regardless of any
contractual relaUonship which may be alleged to exist between the
contractor or its subcontractors and such laborers and mechanics.
The wage determination (including any additional c1assificaUons
and wage rates conformed under paragraph 2 of this Section IV
and the DOL poster (WH-1321) or Form FHWA-1495) shall be
posted at all Umes by the contractor and its subcontractors at the
site of the work in a prominent and accessibte place where it can
be easily seen by the workers. For the purpose of this Section,
conlribuUons made or costs reasonably anticipated for bona fide
fringe benefits under Section 1(bX2) 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 provi-
sions of Sectjon IV, paragraph 3b, hereof. Also, for the purpose of
this Section, regular contribuUons 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 we<!kly period. Such laborers and mechanics shall be paid
the appropriate wage rate and fringe benefits on the wage
Exhibit I - Page 3 of 9
REQUIRED BY 23 CFR 633 102
determination for the classification of wor1< actually performed,
without regard 10 skill, except as provided in paragraphs 4 and 5
of this Secton IV
b, Laborers or mechanics performing wor1< 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 wor1< is performed.
c. All rulings and interpretations of the Davis-Bacon Act and
related acts contained in 29 CFR 1, 3, and 5 are herein incorpo-
rated by reference in this contract.
2. Classification:
a. The SHA contracting officer shall require that any class
of laborers or mechanics employed under the contract, which is
not listed in the wage determinaton, shall be classified in
conformance with the wage determination.
b. The contracting officer shall approve an additional
classification, wage rate and fringe benefits only when the
following criteria have been met:
(1) the wor1< to be performed by the additonal
classification requested is not performed by a classification in the
wage determination;
(2) the addiUonal classification is utlized in the area by
the construction industry;
(3) the proposed wage rate, including any bona fide
fringe benefits, bears a reasonable relationship to the wage rates
contained in the wage determination; and
(4) with respect to helpers, when such a classification
prevails in the area in which the wor1< is performed.
c. If the contractor or subcontractors, as appropriate, the
laborers and mechanics (if known) to be employed in the addition-
al classification or their representatives, and the contracting officer
agree on the classification and wage rate (including the amount
designated for fringe benefits where appropriate), a report of the
acton taken shall be sent by the contracting officer to the DOL,
Administrator of the Wage and Hour Division, Employment Stan-
dards Administration, Washington, D,C. 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 appro-
priate, the laborers or mechanics to be employed In the additional
c1assificaton or their representatives, and the contracting officer
do not agree on the proposed classificaton and wage rate
(including the amount designated for fringe benefils, where
appropriate), the contracting officer shall refer the questions,
including the views of all interested parties and the recommenda-
ton of the contracting officer, to the Wage and Hour Administrator
for determination. Said Administrator, or an authorized represen-
tative, will issue a determination within 30 days of receipt and so
advise the contracting officer or will notify the contracting officer
within the 3o-day period that additional time is necessary
e. The wage rate (including fringe benefits where appropri-
ate) determined pursuant to paragrap!12c or 2d of this Seeton IV
shall be paid to all wor1<ers performing work in the additional
classification from the first day on which wor1< is performed in the
classification,
3. Payment of Fringe Benefits:
Exhibit I
a. Whenever the minimum wage rate prescribed in the
contract for a class of laborers or mechanics includes a fringe
benefit which is not expressed as an hourly rate, the contractor or
subcontractors, as appropriate, shall either pay the benefit as
stated in the wage determination or shall pay another bona fide
fringe benefit 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 Secre-
tary 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:
a, Apprentices:
(1) Apprentices will be permitted to work at less than
the predetermined rate for the wor1< they performed when they are
employed pursuant to and individually registered in a bona fide
apprenticeship program registered with the DOL, Employment and
Training Administration, Bureau of Apprenticeship and Training, or
with a State apprenticeship agency recognized by the Bureau, or if
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 joumeyman-
level employees on the job site in any craft classification shall not
be greater than the ratio permitted to the contractor as to the
entire wor1< force under the registered program. Any employee
listed on a payroll at an apprentice wage rate, who is not regis-
tered or otherwise employed as stated above, shall be paid not
less than the applicable wage rate listed in the wage determina-
tion for the classification of wor1< actually performed. In addition,
any apprentice performing wor1< on the job site in excess of the
ratio permitted under the registered program shall be paid not less
than the applicable wage rate on the wage determination for the
work actually performed. 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 (ex-
pressed in percentages of the joumeyman-Ievel hourly rate)
specified in the contractor's or subcontractor'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 of 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 of fringe benefits listed on the wage determi-
nation for the applicable classification. If the Administrator for the
Wage and Hour Division delermines that a different practice
prevails for the applicable apprentice classification, 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
Exhibit I - Page 4 of 9
REQUIRED BY 23 CFR 633 102
comparable work performed by regular employees until an accept-
able program is approved.
b. Trainees:
(1) Excepl 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-Ievel 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 shall be paid nolless
than the applicable wage rate on the wage determination for the
classification of work actually performed. In addition, any trainee
performing work on the job site in excess of the ratio permitted
under the registered program shall be paid not less than the
applicable wage rate on the wage determination for the work
actually performed.
(3) Every trainee must be paid at not less than the rate
specified in the approved program for his/her level of progress,
expressed as a percentage of the journeyman.level hourly fate
specified in the applicable 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 of the
Wage and Hour Division determines Ihat there is an apprentice-
ship program associated with the corresponding journeyman-level
wage rate on the wage determination which provides for less than
full fringe benefits for apprentices, in which case such trainees
shall receive the same fringe benefits as apprentices,
(4) In the event the Employment and Training
Administration withdraws approval of a training program, the
contractor or subcontractor will no longer be permitted to utilize
trainees at less than the applicable predetermined rate for the
work performed until an acceptable program is approved.
c, Helpers:
Helpers will be permitted to work on a project if the
helper classification is specified and defined on the applicable
wage determination or is approved pursuant to the conformance
procedure set forth in Section IV.Z. Any worker listed on a payroll
at a helper wage rate, who is not a helper under a approved
definition, shall be paid not less than the applicable wage rate on
the wage determination for the classification of work actually per-
formed.
5. Apprentices and Trainees (Programs of the U,S. DOT):
Apprentices and trainees working under apprenticeship and
skill training programs which have been certified by the Secretary
of Transportation as promoting EEO in connection with Federal-
aid highway construction programs are not subject to the require-
ments of paragraph 4 of this Section IV The straight time hourly
wage rates for apprentices and trainees under such programs will
be established by the particular programs. The ratio of apprentic-
es and trainees to journeymen shall not be greater than permitted
by the terms of the particular program.
6. Withholding:
The SHA shall upon its own action or upon written request
of an authorized representative of the DOL withhold, or cause to
be withheld, from the contractor or subcontractor under this
Exhibit I
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, em-
ployed by the contractor or any subcontractor 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 written notice to the contractor, 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 emptoyment of
laborers, mechanics, watchmen, or guards (including apprentices,
trainees, and helpers described in paragraphs ~ and 5 above}
shall require or permit any laborer, mechanic, watchman, orguard
in any workweek in which he/she is employed on such work, to
work in excess of 40 hours in such workweek unless such laborer,
mechanic, watchman, or guard receives compensation at a rate
not less than one-and-one-half times hislher basic rate of pay for
all hours worked in excess of 40 hours in such workweek.
8. Viotatlon:
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 States (in the case of work done under contract for the
District of Columbia or a territory, 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 Uquldated 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 wor\< performed
by the contractor or subcontractor under any such contract or any
other Federat 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 10 be necessary 10
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 construction 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:
ExhibIt I - Page 5 of 9
REQUIRED BY 23 CFF 633 102
a. Payrolls and basic records relating thereto shall be
maintained by the contractor and each subcontractor during the
course of the work and preserved for a period of 3 years from the
date of completion of the contract for all laborers, mechanics,
apprentices, trainees, watchmen, helpers, and guards working at
the site of the work,
b. The payroll records shall contain the name, social
security number, and address of each such employee; his or her
correct classification; hourly rates of wages paid (induding 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, tor
Appalachian contracts, the payroll records shall contain a notation
indicating whether the employee does, or does not. normally
reside in the labor area as defined in Attachment A, paragraph 1
Whenever the Secretary of Labor, 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)(8) at the Davis Bacon Act, the contractor and each
subcontractor shall maintain records which show that the commit-
ment to provide such benefits is enforceable, that the plan or
program is financially responsible, that the plan or program has
been communicated in writing to the 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, para-
graphs 4 and 5, and watchmen and guards engaged on work
during the preceding weekly payroll period). The payroll submitted
shall set out accurately and completely all of the information
required to be maintained under paragraph 2b of this Section V
This information may be submitted in any form desired, Optional
Form WH-347 is available for this purpose and maybe purchased
from the Superintendent of Documents (Federal stock number
029-005-0014-1), U.S. Government Printing Office, Washington,
D.C. 20402, The prime contractor is responsible tor the submis-
sion of copies of payrolls by all subcontractors,
d. Each payroll submitted shall be accompanied by a
"Statement of Compliance," signed by the contractor or subcon-
tractor or hislher agent who pays or supervises the payment of the
persons employed under the contract and shall certify the follow-
ing:
(1) that the payroll for the payroll period contains the
information required to be maintained under paragraph 2b of this
Section V and that such information is correct and complete;
(2) that such laborer or mechanic (including each
helper, apprentice, and trainee) employed on the contract during
the payroll period has been paid the full weekly wages earned,
without rebate, either directly or indirectly, and that no deductions
have been made either directly or indirectly from the full wages
eamed, 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 applicable wage rate and fringe benefits or cash
equivalent for the classification of worked performed, as specified
in the applicable wage determination incorporated into the
contract.
e. The weekly submission of a properly executed certifica-
tion set forth on the reverse side of Optional Form WH-347 shall
Exhibit I
satisfy the requirement for 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 FHWA, or the DOL, and shall permit such repre-
sentatives to interview employees during working hours on the job.
If the contractor or subcontractor fails to submit the required
records orto make them available, the SHA, the FHWA, 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,
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, h"ghway
beautification contracts, and contracts for which the total final
construction cost for roadway and bridge is less 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, "Statement of Materials
and Labor Used by Contractor of Highway Construction Involving
Federal Funds," prior to the commencement of 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-4 7 together with 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 earned,
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
contract work amounting to not less than 30 percent (or a greater
percentage if specified elsewhere in the contract) of the total
original contract price, excluding any specialty items designated by
the State. Specialty items may be performed by subcontract and
the amount of any such speciatty items performed may be
deducted from the total original contract price before computing
the amount of work required to be performed by the contractor's
own organization (23 CFR 635).
a. "lis own organization" shall be construed to include only
workers employed and paid directly by Ihe prime contractor and
equipment owned or rented by the prime contractor, with or
without operators. Such lerm does not include employees or
equipment of a subcontractor, assignee, or agent of the prime
contractor
b. "Specialty lIems. shall be construed to be limited to
work that requires highly specialized knowledge, abilities. or
Exhibit I - Page 6 of 9
REQUIRED BY 23 CFR 633 102
equipment not ordinarily available in the type of contracting
organizations qualified and expected to bid on the contract as a
whole and in general are to be limited to minor components of the
overall contract
2, The contract amount upon which the requirements set forth
in paragraph 1 of Section VII is computed includes the cost of
material and manufactured products which are to be purchased or
produced by the contractor under the contract provisions.
3, The contractor shall furnish (a) a competent superintendent
or supervisor who is employed by the finn, has full authority to
direct performance of the work in accordance with the contract
requirements, and is in charge of all construction operations
(regardless of who perfonns the work) and (b) such other of its
own organizational resources (supervision, management, and
engineering services) as the SHA contracting officer detennines is
necessary to assure the performance of the contract.
4 No portion of the contract shall be sublet, assigned or
otherwise disposed of except with the written consent of the SHA
contracting officer. or authorized representative, and such consent
when given shall not be construed to relieve the contractor of any
responsibility for the fulfillment of the contract Written consent
will be given only afler the SHA has assured that each subcontract
is evidenced in writing and that it contains all pertinent proviSions
and requirements of the prime contract.
VIII. SAFETY ACCIDENT PREVENTION
1 tn the perfonnance of this contract the contractor shall
comply with all applicable Federal, State, and local laws governing
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 detennine, 10 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
pertonnance 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 the contractor enters into
pursuant to this contract, that the contractor and any subcontractor
shall not permit any employee, in perfonnance of the contract, to
work in surroundings or under conditions which are unsanitary,
hazardous or dangerous to hisfher 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 performance to
inspect or investigate the matter of compliance with the construc-
tion safety and heatth 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).
IX. fAlSE STATEMENTS CONCERNING HIGHWAY
PROJECTS
In order to assure high quality and durable construction in
confonnity 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 perfonn their functions as carefully, thoroughly, and
honestly as possibie. Willful falsification, distortion, or misrepre-
sentation with respect to any facts related to the project is a
violation of Federal law. To prevent any misunderstanding
regarding the seriousness of these and similar acts, the following
notice shall be posted on each Federal-aid highway projecI (23
Exhibit I
CFR 635) in one or more places where it is readily available to all
persons concemed 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 T emtory, or whoever, whether a person,
association, finn, or corporation, knowingly makes any false
statement, false representation, or false report as to the character,
qualify, quantity, or cost of the material used or to be used, or the
quantify or quality of the work perfonned or to be perfonned, 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 approval to the Secretary of
Transportation; or
Whoever knowingly makes any false statement, false
representation, false report or false claim wifh respect to the
character, quality, quantity, or cost of any work perfonned or to be
perfonned, or materials fumished or to be fumished, in connection
with the construction of any highway or related project approved
by the Secretary of Transportation; or
Whoever knowingly makes any false statement or false
representation as to material fact in any statement, certificate, or
report submitted pursuant to proviSions of the Federal-aid Roads
Act approved July 1, 1916, (39 Stat 355), as amended and
supplemented;
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
(Applicabte 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, untess such contract is exempt under the Ciean Air
Act, as amended (42 U.S C. 1857 m~., as amended by Pub.L
91-604), and under the Federal Water Pollution Control Act as
amended (33 U.SC 1251 m~., as amended byPub.L 92-500),
Executive Order 11738, and regulations in implementation thereof
(40 CFR 15) is not iisted, 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 finn 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
3. That the finn shall promptly notify the SHA of the receipt of any
communication from 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 Thai the finn agrees to include or cause to be included the
requirements of paragraph 1 through 4 of this Section X in every
nonexempt subCOntract, and further agrees to take such action as
the government may direct as a means of enforcing such
requirements.
ExhibIt I - Page 7 of 9
REQUIRED BY 23 CFR 633.102
XI. CERTIFICATION REGARDING DEBARMENT,
SUSPENSION,
INELIGIBILITY AND VOLUNTARY EXCLUSION
1 Instructions for Certification - Primary Covered
Transactions,
(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 be\ow
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 exptanation shall
disqualify such a person from participation in this transaction,
c. The certification in this dause 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 Govemment, the department or
agency may terminate this transaction for cause of default
d. The prospective primary participant shall provide immedi-
ate written notice to the department or agency to whom this
proposal is submitted if any lime the prospective primary partici-
pant 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 of those regulations.
f. The prospective primary participant agrees by submitting
this proposal that, should the proposed covered transaction be
entered into, it shall not knowingly enter into any lower tier covered
transaction with a person who is debarred, suspended, dedared
ineligible, or voluntarily excluded from participation in this covered
transaction, unless authorized by the department or agency
entering inlo this transaction.
g. The prospective primary participant further agrees by
submitting this proposal that it will indude the clause titled
"Certification Regarding Debarment. Suspension, Ineligibility and
Voluntary Exdusion-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
transaction that is not debarred, suspended, inetigible, or volun-
tarily exduded 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 01 its
principals. Each participant may, but is not required to, check the
nonprocurement portion of the "Lists 01 Parties Exduded From
Federal Procurement or Nonprocurement Programs" (Nonprocure-
ment List) which is compiled by the General Services
Administration.
Exhibit I
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 lor transactions authorized under paragraph f of
these instructions, il 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 Irom participation in this transaction, in addition to other
remedies available to the Federal Govemment, the department or
agency may terminate this transaction for 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
knowiedge and belief, that it and its principals:
a, Are not presently debarred, suspended, proposed for
debarment, declared ineligible, or voluntarily excluded Irom
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 01 Iraud or a criminal offense in connection with
obtaining, attempting to obtain, or performing a public (Federal,
State or local) transaction or contract under a public transaction;
violation of Federal or State antitrust statutes or commission of
embezzlement, theft, lorgery, bribery, falsification or destruction 01
records, making lalse statements, or receiving stolen property;
c. Are not presently indicted for or otherwise criminally or
civilly charged by a governmental entity (Federal, State or local)
with commission 01 any of the offenses enumerated in paragraph
1b of this certification; and
d, Have not within a 3-year period preceding this
application/proposal had one or more publiC transactions (Federal,
State or local) terminated lor 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
Transactions:
(Applicable to all subcontracts, purchase orders and other lower
tier transactions 01 $25,000 or more - 49 CFR 29)
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 department, or agency with which
this transaction originated may pursue available remedies.
induding suspension andlor debannent
Exhibit I - Page 8 of 9
REQUIRED BY 23 CFR 633 102
c. The prospective lower tier participant shall provide
immediate written notice to the person 10 which this proposal is
submitted if at any time Ihe prospective lower tier participant
leams that its certification was erroneous by reason of changed
circumstances.
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 titled
"Certification Regarding Debarment, Suspension, Ineligibility and
Voluntary Exclusion-Lower Tier Covered Transaction," without
modificalion, in all lower tier covered transactions and in all
solicitations for lower tier covered transactions.
g. A participant 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 volun-
tarilyexcluded from the covered transaction, unless it knows that
the certification is erroneous. A participant may decide the
method and frequency by which it delermines 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
knowingly enters into a lower tier covered transaction with a
person who is suspended, debarred, ineligible, or voluntarily
excluded from participation in this transaction, in addition to other
remedies available to the Federal Government, the department or
agency with which this transaction originated may pursue
available remedies, including suspension andlor debarment.
Certification Regarding Debarment, Suspension,
Ineligibility and Voluntary Exclusion-Lower Tier Covered
Transactions:
1 The prospeclive 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 10 any of the statements in this certification, such prospec-
tive participant shall attach an explanation to this proposal.
Exhibit I
XII. CERTIFICATION REGARDING USE OF CONTRACT
FUNDS OR 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 submit-
ting 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 employ-
ee 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, continua-
lion, renewal, amendment, or modification of any Federal contract,
grant, loan, or cooperative agreement.
b, If any funds other than Federal appropriated funds have
been paid or will be paid to any person for influencing or attempt-
ing 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 this
Federal contract, grant, loan, or cooperative agreement, the
undersigned shall complete and submit Standard Form-LLL,
"Oisclosure Form to Report Lobbying," in accordance with its
instructions.
2, This certification is a material representalion 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 nolless than $10,000 and not more
than $100,000 for each such failure.
3, The prospective participant also agrees by submilling 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 recipients shall certify and
disclose accordingly
Exhibit I - Page 9 of 9
REQUIRED BY 23 CFR 633 102
Exhibit J
FEDERAL REQUIREMENTS
Federal laws and regulations that may be applicable to the Work include'
A. The "Uniform Admmistrative Requirements for Grants and Cooperative Agreements to State and Local
Governments (Common Rule), at 49 Code of Federal Regulations, Part 18, except to the extent that other applicable
federal requirements (including the provisions of 23 CFR Parts 172 or 633 or 635) are more specific than
provisions of Part 18 and therefore supersede such Part 18 provisions. The requirements of 49 CFR 18 include,
WIthout limitation,
1 the Local Agency/Contractor shall follow applicable procurement procedures, as required by section 18.36( d);
2. the Local Agency/Contractor shall request and obtain prior CDOT approval of changes to any subcontracts in the
manner, and to the extent required by, applicable provIsions of section 18,30;
3 the Local Agency/Contractor shall comply WIth section 18.37 concerning any subgrants;
4 to expedite any CDOT approval, the Local Agency/Contractor's attorney, or other authorized representative, shall
also submit a letter to CDOT certifymg Local Agency/Contractor compliance with section 18.30 change order
procedures, and with 18.36(d) procurement procedures, and WIth 18,37 subgrant procedures, as apphcable;
5 the Local Agency/Contractor shall mcorporate the specific contract provisions described in 18.36(i) (which are also
deemed incorporated herein) into any subcontract(s) for such services as terms and conditions of those subcontracts.
B. Executive Order 11246 of September 24, 1965 entitled "Equal Employment Opportumty," as amended by
ExecutIVe Order 11375 of October 13, 1967 and as supplemented in Department of Labor regulations (41 CFR Chapter
60) (All construction contracts awarded in excess of $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 in excess of $2,000 awarded by grantees and subgrantees when required by Federal
grant program legislatIOn, This act requires that all laborers and mechanics employed by contractors or sub-contractors
to work on construction projects financed by federal assistance must be paId wages not less than those 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 regulalions (29 CFR Part 5), (Construction contracts awarded by grantees and
subgrantees in excess of $2,000, and m excess of $2,500 for other contracts which involve the employment of
mechanics or laborers).
F. Standards, orders, or reqUirements Issued under sectJon 306 of the Clear AIr Act (42 US C I 857(h), sectIOn
508 of the Clean Water Act (33 U.S.C 1368). Executive Order 11738, and Environmental Protection Agency
regulations (40 CFR Part 15) (contracts, subcontracts, and sub grants of amounts in excess of $100,000).
G Mandatory standards and policies relatmg to energy effiCIency which are contained in the state energy
conservation plan Issued in compliance w1th the Energy Policy and Conservation Act (Pub. L 94-163),
H, Office of Management and Budget CIrculars A-87, A-21 or A-122, and A-I02 or A-I 10, whichever is
applicable.
I. The Hatch Act (5 USC 1501-1508) and Public Law 95-454 Section 4728. These statules state that federal
Exhiblt J - Page 1 on
Exhibit J
funds cannot be used for partisan polItIcal purposes of any kind by any person or organization involved m the
adrmmstration of federally-assisted programs.
J. 42 use 6101 et seq. 42 use 2000d, 29 USC 794, and implementing regulatIOn, 45 C.F,R. Part 80 et. seq,
These acts require that no person shall, on the grounds of race, color, national ongm, age, or handicap, be excluded
from participatIOn in or be subjected to discriminatIOn in any program or actiVIty funded, m whole or part, by federal
funds;
K. The Americans with Disabilities Act (public Law 101-336,42 USC 12101,12102,12111-12117,12131-
12134,12141-12150,12161-12165,12181-12189,12201-12213 47 USC 225 and 47 use 611.
L The Umform Relocation Assistance and Real Property Acquisition Policies Act, as amended (public Law 91-
646, as amended and Public Law 100-17, 101 Stat. 246-256). (If the contractor is acqUIring real property and
dlsp]acing households or busmesses m the performance ofthlS contract.)
M, The Drug-Free Workplace Act (Public Law 100-690 Title V, subtItle D, 41 USC 701 et seq.),
N. The Age Discnmination Act of 1975, 42 U,S e Sections 6101 et. seq. and its lmplementing regulation, 45
C.F.R. Part 91, Section 504 of the RehabIlitalion Act of 1973, 29 U.S C 794, as amended, and implementing
regulatIOn 45 C.F.R. Part 84
o 23 c.F.R. Part 172, concerning "Administration of Engineering and Design Related Contracts"
P 23 C.F.R Part 633, concernmg "ReqUIred Contract Provisions for Federal-Aid ConstructIOn Contracts"
Q 23 C.F.R. Part 635, concerning "Construction and Maintenance Provisions"
R. TItle VI of the Civil Rights Act of 1964 and I 62(a) of the Federal Aid Highway Act of 1973 The
reqUlrements for which are shown in the Nondiscrimination Provisions, which are attached hereto and made a part
hereof
S. Nondiscnmination ProvlslOns:
In compliance WIth Title VI of the Civil Rights Act of 1964 and with Section I 62(a) of the Federal Aid Highway Act of
1973, the Contractor, for itself, its assignees and successors in interest, agree as follows.
I Compliance with RegulatIOns, The Contractor will comply with the Regulations of the Department of
Transportation relative to nondIscrimination in Federally assisted programs of the Department of Transportation (Title
49, Code of Federal Regulations, Part 21, hereinafterreferred to as the "Regulations"), which are herein incorporated
by reference and made a part of this contract.
2, NondiscriminatIon, The Contractor, with regard to the work performed by it after award and pnor to
completion of the contract work, will not discriminate on the ground of race, color, sex, mental or physical handicap or
national ongm in the selection and retention of Subcontractors, including procurement of materials and leases of
eqUIpment. The Contractor will not partlcipate either directly or indirectly m the discrimination prohibited by SectIOn
21,5 of the Regulalions, including employmenl practices when the contract covers a program set forth in Appendix C of
the Regulations.
3. SolIcitations for Subcontracts. Includmg Procurement of Materials and Equipment. In all solicitatIOns
Exhibit J - Page 2 of 3
..,
Exhibit J
either by competItIve biddmg 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 ofthe Contractor's obligations under this contract and the RegulatIOns relative to nondlscrimmatlOn on the
ground of race, color, sex, mental or physIcal handicap or national origm.
4 Information and Reports. The Contractor will proVide all mformation and reports reqUired by the
Regulations, or orders and mstructlOns issued pursuant thereto and will permit access to Its books, records, accounts,
other sources of information and ItS facihties as may be detennmed by the State or the FHW A to be pertinent to
ascertain compliance with such Regulations, orders and instructions. Where any information required of the Contractor
IS m Ihe exclusive possession of another who fails or refuses to furnish this information, the Contractor shall so certIfy
to the State, or the FHW A as appropriate and shall set forth what efforts have been made to obtain the information.
5 Sanctions for Noncompliance, In the event of the Contractor's noncompliance with the
nondiscriminatIOn proVIsions of this contract, the State shall impose such contract sanctions as it or the FHW A may
determine to be appropriate, including, but nOllimited to.
a. Withholding of payments to the Contractor under the contract until the Contractor complies, and/or;
b Cancellation, termmation or suspension of the contract, in whole or in part,
6 Incorporation of PrOVIsions. The Contractor will include the provisions of paragraphs A through F m
every subcontract, Including procurement of materials and leases of equipment, unless exempt by the Regulations,
orders, or instructions issued pursuant thereto The Contractor will take such action with respect to any subcontract or
procurement as the State or the FHW A may direct as a means of enforcing such proviSIOns mcludmg 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 Ihe interest of the State and in addition, the Contractor may request the FHW A to enter into
such htlgation to protect the interests of the United States,
Exhibit J ~ Page 3 of 3