HomeMy WebLinkAboutResolution-2002-0014
RESOLUTION NO 14-2002
Series of 2002
TITLE
A RESOLUTION AUTHORIZING AN INTERGOVERNMENTAL
AGREEMENT BETWEEN THE CITY OF WHEAT RIDGE AND THE
COLORADO DEPARTMENT OF TRANSPORTATION FOR THE PURPOSE
OF CONSTRUCTING THE TRAFFIC SAFETY IMPROVEMENTSATWEST
49TH AVENUE AND KIPLING STREET
WHEREAS, Section 142 of the Home Rule Charter of the City of Wheat
Ridge provides express authority to enter into intergovernmental agreements providing for
cooperative efforts between governments, and
WHEREAS, Wheat Ridge is currently proposing a traffic safety improvement
project at the intersection of West 49th Avenue and Kipling Street; and
WHEREAS, Wheat Ridge and the Colorado Department of Transportation
have discussed the appropriation of funding for improvements at the intersection of West
49th Avenue and Kipling Street; and
WHEREAS, the Parties desire to cooperate to the fullest extent possible to
ensure that the construction project is accomplished according to the mutual desires of
each party for the best interest of their respective citizens
NOW, THEREFORE, BE IT RESOLVED that:
Sec 1
The Mayor of the City of Wheat Ridge is hereby authorized to execute
the Intergovernmental Agreement attached to hereto with the
Colorado Department of Transportation to construct the traffic safety
improvements at West 49th Avenue and Kipling Street.
DONE AND RESOLVED THIS / ,; , Day of, ,',,, "
,2002
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.. ; / It.. f ~ / !;. ( ,
'Gr~chen Cerveny, Mayor~--
Attest:
-yr, "'
Wanda Sang, City Clerk
/i
'~'t-....,
17,
,
SHE M361-001 (13764)
Kipling St., North of 1-70 to 50th Ave.
Wheat Ridge/CDOT Region 6 (TDR/LWB)
07.HA6 00049
CMS: 02-153
CONTRACT
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THIS CONTRACT, made this .3 ~ day of j, \N~
JCDl-
~y and between the
State of Colorado for the use and benefit of THE COLORADO DEPARTMENT OF
TRANSPORTATION, hereInafter referred to as the State or CDOT, and the CITY OF WHEAT
RIDGE, COLORADO, 7500 West 29th Street, Wheat RIdge, CO 80215, FEIN- 840595832,
hereinafter referred to as the Local Agency, or the City
FACTUAL RECITALS.
Authority exists in the law and funds have been budgeted, appropriated and otherwise made
available and a sufficient unencumbered balance thereof remains available for payment of project
and Local Agency costs in Fund Number 400, Appropriation Code 010, Organization 9991, Program
2000, FunctlOns 3020 & 3301, Object 2312 IP, Reporting Category 6240, Contract Encumbrance
Number 13764, (Encumbrance amount under Function 3020 (Design) $38,000.00; Encumbrance
amount under Function 330 I (Construction), $201,0 1 0 00, for a total Contract Encumbrance Amount
of $239,01000)
2. Required approval, clearance and coordination have been accomplished from and with
appropnate agencies.
3 Pursuant to Title I, Subtitle A, Section 1108 of the Transportation Equity Act for the 21st
Century of 1998 (TEA-21) and to applicable provisions of Title 23 of the United States Code and
Implementing regulations at Title 23 of the Code of Federal Regulations, as may be amended,
(collectively referred to hereinafter as "the federal provisions"), certain Federal funds have been and
will m the future be, allocated for highway projects requested by Local Agencies and eligible under
the Surface Transportation Program that has been proposed by the State and approved by the Federal
Highway Administration (FHW A), hereinafter referred to as the program.
4. Pursuant to S 43-1-223, C.R.S. and to applicable portions of the federal provisions, the
State is responsible for the general administration and supervision of performance of projects in
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the program, mcludmg the admmIstration of federal funds for a program project performed by a
Local Agency under a contract with the State.
5 The Local Agency has requested funding for a project M36l-00 I (13764) for the removal of
Islands and the extenslOn of the raised median on K1plmg Street north of I-70 to 50th A venue.
herem after referred to as "the Project" or "the Work"
6 Federal-aid funds, therefore, have been made available for the Work, which is more
specifically described In Exhibit A (CDOT form #463 and/or a "Scope of Work")
7 The matchIng ratlO for this federal-aid project is 100% federal-aid funds to 0% Local Agency
funds, It being understood that such ratio applies only to such costs as are elIgible for federal
partICipatIOn, it bemg further understood that all non-participating costs shall be borne by the Local
Agency at 100%
8 The Local Agency desires to comply with the federal provisions and other applIcable
reqUIrements, Includmg the State's general administration and supervision of the project through this
contract, III order to obtain federal funds for the project.
9 An appropnate ordinance or resolution, (Exhibit B attached hereto and incorporated herein)
duly passed and adopted by the authonzed representatives of the Local Agency expressly authonzes
the Local Agency to enter mto thIS contract and accept the responsibilities for of the Work which are
Identified herem as the Local Agency's.
10 ThIS contract IS executed under the authority of ~~ 29-1-203, 43-1-110, 43-1-116,
43-2-10 I (4)( c) and 43-2-144, c.R.S., as amended, and the Local Agency ordmance/resolution.
11 The Local Agency IS adequately staffed and suitably equipped to undertake and satisfactorily
complete some or all of the Work.
13 The State certifies that such work can be more advantageously performed by the Local
Agency
NOW, THEREFORE, it is hereby agreed that:
I. ST ANDARD FORM CONTRACT
This is a standard form contract that is deSigned to efficiently contract for and admmlster 2 types of
program projects. 1) program projects which include the same basic work elements (design;
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constructIOn, construction admmistratlOn by local agency; nght-of-way; utilities; etc ), and also, 2)
program projects with specIfic dIfferences in those baSIC work elements (~, a specific proJect may
mclude deSign but no constructlOn, or it may mclude desIgn and constructIon but the State will do
the constructlOn admmlstratlOn, etc )
The form contract accommodates both types of projects by using qualifYlllg language to conditIon
the applIcation of particular contract requirements, based on whether speCIfic work elements are
mcluded m the proJect. For mstance, where the contract proVides .. "If the Work mcludes
engineenngJdesign serVices, the Local Agency shall perform the following requirements ...", the
Local Agency need perform those requirements only if engmeenngJdesign services are expressly
included in the project, as defined in the Scope of Work. (Conversely, notwithstanding that language
IS m the contract, the Local Agency can ignore those "reqUirements" if engmeeringJdesign services
are NOT expressly included in the Scope of Work.)
The Local Agency shall mterpret such qualIfymg language in that manner. By usmg such language,
the form contract can apply to both the general and the specific types of projects, thus making it
easier to administer and saving the State and the Local Agency time and expense.
II. PROJECT DESCRIPTION
"The Project" or "the Work" under this contract shall consist of the removal of Islands and the
extension of the raised median on Kipling Street north of I-70 to 50th A venue, hereInafter referred to
as "the ProJect" or "the Work", as more specifically described in the Exhibit A, attached hereto and
made a part hereof.
ill. INCORPORATION BY REFERENCE
All federal and state statutes, regulations, speCifications, admmistration checklists, directives,
procedures, documents, and publicatlOns that are specifically identified and/or referenced in thiS
contract, together with all exhibits and attachments and addenda to thiS contract, are mcorporated
herem by thiS reference as terms and conditlOns of this contract as though fully set forth.
IV WORK RESPONSIBILITY
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The Local Agency shall be responsible to perform all desIgn and/or nght-of-way and/or utIlity
and/or constructIon and/or constructIOn admlmstration tasks reqUired to complete the Work, and
the Local Agency shall comply With all applicable terms and condltlOns of this contract In
performmg the Work, includmg those process and task responSibIlities addressed m the Pre-
ConstructlOn and Construction AdmllllstratlOn ChecklIsts attached hereto and made a part hereof.
The responsible party shall perform all such tasks III accordance With applicable reqUIrements
and standards, including those in this contract and in applIcable law
V PROJECT FUNDING PROVISIONS
The fundIng provlslOns for the proJect are attached hereto and Incorporated herein as Exhibit C
VI. PROJECT PAYMENT PROVISIONS
A. The State will reimburse the Local Agency for the federal-aid share of the project charges
following the State's review and approval of such charges, subject to the terms and conditIOns of
this contract. Provided, however, that charges incurred by the Local Agency prior to the date of
FHW A authorizatlOn for the project and pnor to the date thiS contract is executed by the State
Controller or his designee will not be charged by the Local Agency to the project, and will not be
reimbursed by the State, absent speCific FHW A and/or State Controller approval thereof
B Upon execution of this contract the State is authorized, in its discretlOn, to perform any
necessary admmistratlve support services pursuant to this contract. These services may be
performed pnor to and in preparatlOn for any conditlOns or reqUirements of this contract,
Includlllg pnor FHW A approval of project work. The Local Agency understands and agrees that
the State may perform such services, and that payment for such services shall be at no cost to the
State but shall be as proVided III Exhibit C, Section A. At the request of the Local Agency, the
State shall also provide other assistance pursuant to this contract as may be agreed III writing. In
the event that federal-aid proJect funds rem am available for payment, the Local Agency
understands and agrees the costs of any such services and assistance shall be paid to the State
from project funds at the applIcable rate However, in the event that such funding is not made
available or is WIthdrawn for thiS contract, or if the Local Agency termmates this contract prior to
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project approval or completIon for any reason, then all actualmcurred costs of such services and
assistance provided by the State shall be the sole expense of the Local Agency
C. If the Local Agency IS to be billed for CDOT mcurred direct costs, the bilhng procedure shall
be as follows.
I Upon receipt of each bill from the State, the Local Agency will remit to the State the amount
billed no later than 45 days after receipt of each bill. Should the Local Agency fail to pay
moneys due the State within 45 days of demand or within such other penod as may be agreed
between the parties hereto, the Local Agency agrees that at the request of the State, the State
Treasurer may withhold an equal amount from future apportlOnments due the Local Agency from
the Highway Users Tax Fund and to pay such funds directly to the State. Interim funds, until the
State is reimbursed, shall be payable from the State Highway Supplementary Fund (400)
2. If the Local Agency fails to make tlmely payment to the State as required by thiS section
(Within 45 days after the date of each bill), the Local Agency shall pay interest to the State at a
rate of one percent per month on the amount of the payment which was not made in a tlmely
manner, until the billIng is paid in full The interest shall accrue for the period from the reqUIred
payment date to the date on which payment IS made
D The Local Agency will prepare and submit to the State monthly charges for costs mcurred
relative to the project. The Local Agency will prepare project charges In accordance with the
State's standard poliCies, procedures, and standardized billing format attached hereto and made a
part hereof
VII. STATE COMMITMENTS
A. The State will provide lIaison with the Local Agency through the State's Region Director,
Region 6, 2000 south Holly Street, Denver, CO 80222, (303) 757-9459. Said Region
Director will also be responsible for coordinating the State's activities under thiS contract.
Said Region Director will also Issue a "Notice to Proceed" to the Local Agency for
commencement of the Work. All commulllcations relatmg to the day-to-day actiVltles for the
work shall be exchanged between representatlves of the State's Transportation Region 6 and
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the Local Agency Until changed by notIce m wntmg, all routme correspondence shall be
addressed as follows
If to the State
If to the Local Agency-
Steven Nguyen
City of Wheat Ridge
7500 West 29th Street
Wheat Ridge, CO 80215
(303) 235-2862
Kevm Hsu
CDOT ReglOn 6
2000 South Holly Street
Denver, CO 80222
(303) 757-9159
B The State will reimburse the Local Agency for the federal-aid share of the project charges related
to the Local Agency's portIOn of the Work, as proVided in Exhibit C.
C. If the Work includes construction, the State, at its discretlOn, will review constructlOn plans,
speCial provIsions and estimates and will cause the Local Agency to make those changes thereIn
that the State determInes are necessary to assure complIance with State and FHW A requirements.
D The State will perform a final project mspection prior to project acceptance as a Quality
Control/Assurance activity When all project work has been satisfactorily completed, the State
will sIgn the FHWA form 1212
vrn. LOCAL AGENCY COMMITMENTS
A. DESIGN.
If "the Work" includes prelIminary deSign, or final deSign (a.k.a. "construction plans"), or design
work sheets, or special provisions and estimates (collectively referred to as "the Plans"), the party
that is responsible under SectlOn IV (either the Local Agency or the State) for the Plans\design shall
comply with the following requirements, as applicable.
perform or proVide the Plans, to the extent required by the nature of the Work.
2. prepare final design ("construction plans") in accord WIth the requirements of the latest
edition of the American Association of State Highway Transportation OffiCIals (AASHTO)
manual.
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3 prepare specIal provIsIOns and estimates m accord with the State's Roadway and Bndge
Design Manuals and Standard SpeclficatlOns for Road and Bndge Constmctlon
4 include details of any requued detours III the Plans. III order to prevent any Interference of
the constmctlOn work and to protect the travellllg publIc
5 stamp the Plans produced by a Colorado Registered ProfesslOnal Engllleer
6 If the Local Agency is the responsible party, it shall afford the State ample OPPOrtUlllty to
review the Plans and make any changes in the Plans as directed by the State to comply With
FHW A requirements.
7 prOVIde final assembly of the Plans and contract documents.
8 be responsible for the Plans being accurate and complete
9. if the Local Agency is the responsible party, it may enter into a contract with a consultant
to do all or any portion of the Plans and/or of constmction administratIOn. ProVided.
however, that If federal-aid funds are to participate III the cost of such work to be done by a
consultant, the Local Agency shall ensure that its procurement of that consultant contract
(and the performance/provision of the Plans under that contract) complies with all applicable
requirements of Title 23, Code of Federal Regulations (CFR), Part 172, (concerning the
Administration of Engineering and Design Related Service Contracts), and with any
procedures Implementlllg those requirements as proVided by the State, Illcluding those III
attached #1 Those reqUlrements and procedures include, without lImitation
a) the Local Agency/Contractor shall submit any deSign consultant subcontract to CDOT
for approval prior to its execution by the Local Agency/Contractor, as required by sectIon
172.5 (d);
b) all changes in the contract shall be by wntten supplemental agreement and must have
pnor approval of the State and FHW A. As soon as the contract With the consultant has been
awarded by the Local Agency, one copy of the executed contract shall be submitted to the
State. Any amendments to such contract shall be similarly submitted,
c) all consultant billmgs under that contract shall comply with the State's standardized
consultant billing format. Examples of the billmg formats for the vanous methods of
contract payment are attached hereto and made a part hereof;
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d) the Local Agency/Contractor shall also use the CDOT procedures as described m
Attachment #1 to admmister that deSign consultant subcontract, to comply With sectlOns
l72.5(b) and (d);
e) to expedite any CDOT approval, the Local Agency/Contractor's attorney, or other
authOrIzed representative, may also submit a letter to CDOT certlfymg Local
Agency/Contractor compliance with those CDOT Attachment #1 procedures and with the
requirements of sections 172.5(b) and (d).
f) the Local Agency shall ensure that its consultant contract conlains the following
language verbatIm:
I) "The design work under this contract shall be compatible with the requirements of
a separate contract between the Local Agency and the State (whIch IS incorporated
hereIn by this reference) for the design/constructlOn of the proJect. The State IS an
Intended third party beneficiary of this contract for that purpose"
2) "Upon advertisement of the project work for constructlOn, the consultant shall
make available services as requested by the State to assist the State in the evaluation
of constructlOn and the resolutlOn of constructlOn problems that may anse dunng the
construction of the project."
3) "The consultant shall review the constructlOn contractor's shop drawings for
conformance WIth the contract documents and compliance with the provisions of the
State's publication, "Standard Specifications for Road and Bridge ConstructIOn", in
connectlOn with this work."
1 0 Followmg award of the constructIOn contract( s) for the project, no further changes shall
be made in the Plans except by agreement in wntIng between the parties. The Plans shall be
conSidered final when approved and accepted by the partIes hereto, and when final they shall
be deemed incorporated herein.
B. CONSTRUCTION.
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If "the Work" lllcludes constructlOn, the party that IS responsible under SectlOn IV (either the Local
Agency or the State) for the constructlOnlconstructlon admmlstratlon shall comply with the followlllg
reqUirements, as appl1cable
administer the construction m accord with thc proJect's Pre-constructlOn and Contract
AdmmlstratlOn Checklists Such admmistratlon shall include project lllspectlon and
testlllg; approVIng sources of matenals, performing required plant and shop InSpectlOns,
documentatlOn of contract payments, testlllg, and lllspectlOn actiVIties, prepanng and
approvlllg pay estimates, preparing, approving, and securing the funding for contract
modification orders (CMOs) and minor contract revisions (MCRs), processIng contractor
claims, construction superviSIOn, and, meeting the QualIty Control (QC) requirements ofthc
FHW A/State stewardship program, all as more fully described in the project's Pre-
constructlOn and Contract AdministratlOn Checklists.
2. if the Local Agency IS the responsible party, it shall appoInt a qualIfied profeSSIOnal
engineer, licensed in the State of Colorado, as the Local Agency Project EngIneer (LAPE), to
perform that administration. The LAPE shall administer the project in accordance With this
agreement, the requuements of the constructlOn contract, and applIcable State procedures.
The LAPE may be an employee of the Local Agency or may be a consultant. If the LAPE is
an employee of the Local Agency, the LAPE shall be In responsible charge of the
construction of the project (as provided in Section 12-25-102 C.R.S as amended),
notWithstanding any exceptlOn described in Section 12-25-103, c.R.S., as amended.
3 if the Local Agency is the responsible party, and if bids are to be let for the construction
of the project, the Local Agency shall (in conjunction With the State) advertise the call for
bids and (upon concurrence by the State) award the constructlOn contract(s) to the low
responsive, responsible bidder(s).
a) In advertiSIng and awardIng the bid for the construction of a federal-aid project, the
Local Agency shall comply with applicable requirements of23 U.S C. ~ 112 and 23 C.F.R.
~~ 633 and 635 Those requirements include, without lImitation, that the Local
Agency/Contractor shall physically incorporate the entire "Form 1273" (which, if relevant to
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thIS contract, IS attached) verbatIm Illto any subcontract(s) for those services as terms and
conditions thereof, as reqUired by 23 CFR 633 102(e)
b) The Local Agency has the optlOn to accept or reject the proposal of the low bidder for
work on which competitive bids have been received. The Local Agency must declare the
acceptance or rejectlOn at the award conference or withm 3 working days after said bIds are
publicly opened, whichever occurs later)
c) By mdicating Its concurrence in such award at the award conference, the Local Agency
actmg by or through its duly authorized representatives, agrees to proVide additional funds,
subject to then aVaIlabIlity and appropnation for that purpose, if required to complete the
Work under this project If no additional federal-aid funds Will be made avaIlable for the
project.)
4 In the event that all or part of the constructlOn work IS to be accomplIshed by Local
Agency personnel (~, by "force account"), rather than by a contractor pursuant to a contract
with the Local Agency, the Local Agency will insure that all such force account work IS
accomplished III accordance with the pertinent State specifications and requirements and with
23 C.F.R. Part 635, Subpart B, "Force Account Construction".
a) Such work Will normally be based upon estimated quantities and firm umt pnces agreed
to between the Local Agency, the State and the FHW A in advance of the Work, as proVided
for m Section 635.204(c) Such agreed unit pnces shall constitute a commitment as to the
value of the Work to be performed.
b) An alternative to (a) is that the Local Agency may agree to participate in the Work
based on actual costs of labor, equipment rental, matenals supplies and supervision necessary
to complete the Work. Where actual costs are used, eligibilIty of cost items shall be
evaluated for compliance with Federal AcquisitlOn Regulations (FAR), 48 c.F.R. Part 31. c)
Rental rates for publicly owned equipment will be determined In accordance With Section
109 04 of the State's "Standard Specifications for Road and Bndge Construction".
d) All force account work shall have prior approval of the State and/or FHW A and shall
not be imtlated until the State has issued a written notice to proceed.
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C. ROW ACQUISITION/RELOCA nON.
If "the Wark" includes right of way acqUISItion and/or relocatlOn, the party that IS responsible under
Section IV (either the Local Agency or the State) for the nght of way acqUIsition and/or relocatton
shall comply with the following reqUIrements, as applicable'
prepare nght-of-way plans that comply With Chapter 2 of the CDOT Right of Way
Manual and Federal-Aid Policy GUIde (F APG) Chapter I, Subchapter G, Part 630 Subpart B
Attachment. The Local Agency will be responsible for right of way plans changes that are
necessary to assure compliance With State and FHW A requirements.
2. be responsible for the plans belllg accurate and complete.
3 If the Local Agency is the responsible party, it shall perform Its proJect nght of way
responsiblhties III accordance wIth the CDOT Right of Way Manual, subject to the following
conditions for compliance with 23 CFR 710 and 23 CFR 712:
a. submit final nght of way plans to CDOT and obtalll CDOT approval thereof before
starting appraisals for right of way acquisition.
b not perform appraisal reVIew of parcels valued over $5,000 00 Such appraisal review
will be the State's responsibility
c. negotiation activities will be authorized by CDOT subsequent to appraisal review
d. submit all administrative settlements proposed by the Local Agency to CDOT, and
obtain CDOT approval thereof, before executing the purchase agreement.
4. perform appraisal and acqUlsition for the project, as reqUlred by Section 24-56-10 1, et
seq ,C.R.S However, if the State determines that such performance by the Local Agency
will jeopardize or is jeopardizing distributlOn of federal assistance funds, or that actIOn by the
State is necessary to comply with federal policy or procedures, then the State, III its
discretion, may perform the acquisitIOn and relocatton assistance Itself or may supervise and
direct the Local Agency in the performance of such acqmsitlOn and assistance Pnor to
taking such action, the State will proVide wntten notice to the Local Agency of the basis for
such detennination or action and will meet With the Local Agency to discuss possible
remedial measures. Prior to thIS project bemg advertised for bids, the Local Agency will
certify III writing to the State that all right of way has been acquired in accordance With the
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applicable State and Federal regulatlOns, or that no additIOnal nght of way IS required. The
"Check Pomts for Federal PartIcIpation m Right of Way AcqUIsitIOn and RelocatIOn" IS
attached hereto and made a part hereof.
If acqUisitIOn and relocation assistance IS reqUired for the proJect, the Local Agency will be
responsible to perform the acqUlsltlOn and relocatlOn aSSistance, as reqUired by SectlOns 24-56-10 I,
et seq., C.R.S Pnor to this project bemg advertised for bIds, the Local Agency wIll certify m
wntIng to the State that all nght of way has been acqUired in accordance With the applicable State
and federal regulatlOns, or that no additional right of way is required.
D UTILITIES.
The Local Agency will be responsible for obtaInmg the proper clearance or approval from any utility
company which may become involved In this project, by separate agreement between the Local
Agency and the utility, if necessary Prior to this proJect being advertised for bids, the Local Agency
wIll certIfy In writing to the State that all such clearances have been obtained.
E. RAILROADS.
In the event the project mvolves modificatlOn of a railroad company's faCIlIties at a railroad grade
crossmg whereby the Work is to be accomplished by railroad company forces, the Local Agency
shall make timely applicatlOn to the State Public Utilities COm1lliSSIOn requestIng its order proVidIng
for the installatIon of the proposed improvements and not proceed with that part of the work without
compliance. The Local Agency shall also establish contact With the railroad company involved for
the purpose of complYIng with applIcable provisions of23 Code of Federal RegulatlOns 646, Subpart
B, concernmg federal-aid projects involving railroad facilIties, mcludmg'
1 ExecutIng an agreement settmg out what work is to be accomplished and the 10catlOn(s)
thereof, and that the costs of the Improvement shall be eligible for federal participatlOn.
2. Obtammg the railroad's detailed estimate of the cost of the Work.
3. Establishmg future mamtenance responSIbilities for the proposed InstallatlOn.
4. Prescribing future use or dispositions of the proposed Improvements in the event of
abandonment or elimmation of the grade crosslllg.
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5 Estabhshmg future repmr and/or replacement responslbihtles m the event of accidental
destructIOn or damage to the mstallation.
F ENVIRONMENTAL.
The Local Agency shall perform all work m accord wIth the reqUirements of current federal and state
envIronmental regulation IncludIng the NatlOnal Environmental PolIcy Act of 1969 (NEPAl as
applicable.
G RECORD KEEPING.
The Local Agency shall maintalll all books, documents, papers, accountIng records and other
eVidence pertaimng to costs Incurred and to make such matenals aVaIlable for lllspectlOn at all
reasonable tImes during the contract penod and for 3 years from the date of final payment to the
Local Agency Copies of such records shall be furnished by the Local Agency if requested.
The Local Agency shall, dunng all phases of the Work, permit duly authorized agents and employees
of the State and the FHW A to inspect the project and to inspect, review and audit the proJect records.
H. MAINTENANCE.
The Local Agency will maIntain and operate the improvements constructed under thiS contract, at its
own cost and expense dunng their useful lIfe, in a manner satisfactory to the State and FHW A, and
wlll make ample proviSion for such maintenance each year Such mamtenance and operations shall
be m accordance with all applicable statutes and ordinances, and regulatlOns promulgated thereunder,
which define the Local Agency's obligation to maIntain such improvements. The State and FHW A
will make penodlc inspectlOns of the project to venfy that such improvements are being adequately
mallltaIned.
I. FEDERAL REQUIREMENTS.
The Local Agency/Contractor shall at all times dunng the execution of thiS contract strictly adhere
to, and comply With, all apphcable federal and state laws, and their implementing regulations, as they
currently exist and may hereafter be amended, which are Incorporated herein by thiS reference as
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terms and conditions of this contract. The contractor shall also require compliance with these
statutes and regulatlOns III subgrant agreements permitted under this contract. A IIstmg of some of
the federal and state laws that may be applIcable, dependIng on the Local Agency/Contractor work
responsibilities under thiS contract, are described m ADDENDUM A.
J DBE REOUIREMENTS
If the Local Agency desires to use Its own DBE Program to implement and admllllster the DBE
provisions of Title 49 CFR Part 23 under thiS contract, It must submit a copy of its program's
requirements to CDOT for review and approval before the executIOn of this contract. If the Local
Agency uses ItS program for this contract, the Local Agency shall be solely responsible to defend that
DBE Program and its use of that Program agamst all legal and other challenges or complalllts, at ItS
sole cost and expense Such responsibility includes, without limitatlOn, determinatlOns concerning
DBE elIgibility and certification, adequate legal and factual bases for DBE goals, and good fmth
efforts. CDOT approval (if any) ofthe Local Agency's DBE Program does not waive or modify the
sole responsibilIty of the Local Agency for ItS use as described above.
K. LOCAL AGENCY FUNDS
The Local Agency shall provide its match share and indirect cost funds for the work as outlIned in
SectlOn V
IX. GENERAL PROVISIONS
A. Notwithstanding any consents or approvals given by the State for the Plans, the State will
not be liable or responsible in any manner for the structural deSIgn, details or constructlOn of any
major structures that are deSigned within the Work of this contract.
B If the Work involves construction, the State shall have the authority to suspend the Work,
wholly or In part, by givlllg written notIce thereofto the Local Agency, due to the failure of the Local
Agency or ItS constructIOn contractor to correct project conditions which are unsafe for the Workmen
or for such pen ods as the State may deem necessary due to unsuitable weather, or for conditions
-14-
considered unsUItable for the prosecutlOn of the Work, or for any other condition or reason deemed
by the State to be in the public Interest.
C. This contract may be termlllated as follows
(a) Termination for Cause. If, through any cause, the Local Agency shall fat! to fulfill, In
a tlmely and proper manner, Its oblIgations under thiS contract, or If the Local Agency shall violate
any of the covenants, agreements, or stipulations of this contract, the State shall thereupon have the
nght to termlllate this contract for cause by giVIng written notice to the Local Agency of its Illtent to
terminate and at least ten (10) days opportumty to cure the default or show cause why terrmnatIon IS
otherwIse not appropriate. In the event of terminatlOn, all finished or unfinished documents, data,
studies, surveys, drawings, maps, models, photographs, and reports or other matenal prepared by the
Local Agency under this contract shall, at the option of the State, become its property, and the Local
Agency shall be entltled to receive Just and equitable compensation for any services and supplIes
delivered and accepted. The Local Agency shall be oblIgated to return any payment advanced under
the proVisions of this contract.
Notwlthstandmg above, the Local Agency shall not be relieved of liability to the State for any
damages sustained by the State by virtue of any breach of the contract by the Local Agency
If after such termInation it is determined, for any reason, that the Local Agency was not m default, or
that the Local Agency's action/inaction was excusable, such termlllatlOn shall be treated as a
termlllation for convenience, and the rights and obligatlOns of the parties shall be the same as if the
contract had been termmated for convemence, as described herem
(b) Termmation for Convemence. The State may termlllate thIS contract at any time the
State determines that the purposes of the distributlOn of funds under the contract would no longer be
served by completion of the project. The State shall effect such termmatlOn by glvmg wntten notIce
of terminatlOn to the Local Agency and speCIfying the effeCtlve date thereof, at least twenty (20) days
before the effectIve date of such terminatlon.
(c) TerminatlOn Due to Loss of Fundmg. The parties hereto expressly recogmze that the
Local Agency is to be paid, reimbursed, or otherWise compensated with federal and/or State funds
whlch are aVaIlable to the State for the purposes of contractIng for the project prOVided for herein,
and therefore, the Local Agency expressly understands and agrees that all Its rights, demands and
-15-
claims to compensatIOn ansmg under thIs contract are contmgent upon availability of such funds to
the State In the event that such funds or any part thereof are not avaIlable to the State, the State may
Immediately tern1inate or amend this contract.
D Notwithstanding anything herein to the contrary, the parties understand and agree that all
terms and condltIons of this contract and attachments hereto whIch may reqUire contlllued
performance or compliance beyond the terminatlOn date of the contract shall survive such
terrmnation date and shall be enforceable by the State as provided herem in the event of such failure
to perform or comply by the Local Agency
E. This contract IS subject to such modificatlOns as may be required by changes In federal or
State law, or their implementing regulations. Any such required modification shall automatlcally be
mcorporated mto and be part ofthis contract on the effectlve date of such change as If fully set forth
herein. Except as specifically provided otherwise herein, no modificatIOn of this contract shall be
effective unless agreed to in writing by both parties in an amendment to this contract that IS properly
executed and approved m accordance with applicable law.
F. To the extent that this contract may be executed and performance of the obhgatlons of the
parties may be accompl1shed withm the intent of the contract, the tenns of this contract are severable,
and should any term or provision hereof be declared invalid or become moperative for any rea~on,
such mvalIdity or failure shall not affect the valIdity of any other term or provislOn hereof. The
waiver of any breach of a term hereof shall not be construed as a waiver of any other term, or the
same term upon subsequent breach.
G. ThiS contract IS mtended as the complete Integration of all understandmgs between the
parties. No prior or contemporaneous additlOn, deletion, or other amendment hereto shall have any
force or effect whatsoever, unless embodied herein by writmg. No subsequent novatlOn, renewal,
addition, deletion, or other amendment hereto shall have any force or effect unless embodied III a
wntten contract executed and approved pursuant to the State Fiscal Rules.
H. Except as herein otherwise provided, thIS contract shallmure to the benefit of and be
bindIng upon the parties hereto and their respective successors and assigns.
I. The Local Agency represents and warrants that It currently has no mterest, and shall not
acquire any Interest, direct or indIrect. that would conflict III any manner or degree with the
-16-
performance of the Local Agency's oblIgatIOns under this contract. The Local Agency's further
covenants that, In the performance ofthis contract, It will not employ any person or firm havlllg any
such known lllterests
1. ThIs contract shall become "effective" only upon the date It IS executed by the State
Controller, or deSignee The term of thIs contract shall beglll on the date first wntten above and shall
continue through the completion and final acceptance of thIS proJect by the State, FHW A and Local
Agency
K. Attachment LO (Certification for Federal-Aid Contracts), and AppendIX B (DBE
reqUIrements) attached hereto are hereby made a part of thiS contract. The Local Agency shall
comply With all applicable terms and conditlOns of such attachments.
L. If a conflict occurs between the prOVIsions of this contract proper and the attachments
hereto, the pnority to be used to resolve such a conflict shall be as follows:
The Special Provisions;
2. This rest of the contract proper;
3 The attachments enumerated In Section IX, paragraph K, above,
4. Other contract attachments and exhIbIts, m their respective order
M. It IS expressly understood and agreed that the enforcement of the terms and conditions of
this contract, and all rights of action relating to such enforcement, shall be stnctly reserved to the
parties hereto, and nothing contained in this contract shall give or allow any such claim or right of
actIon by any other or third person on such contract. It IS the express mtentlOn of the partIes that any
person or entIty other than the parties receiVIng services or benefits under this contract be deemed to
be an InCidental benefiCiary only
N. The Local Agency assures and guarantees that it possesses the legal authonty to enter lllto
this contract. The Local Agency warrants that it has taken all actions required by its procedures, by-
laws, and/or applIcable law to exercise that authonty, and to lawfully authonze its underSigned
SIgnatory to execute thiS contract and to bind the Local Agency to Its terms. The person(s) executIng
thiS contract on behalf of the Local Agency warrants that they have full authonzation to execute this
contract.
-17-
o The Local Agency and the State may use one or all of the Contract ModificatIon Tools
contallled III ADDENDUM B, III order to more expeditIously change and amend the terms of this
contract, if such use IS warranted by the circumstances as described and authonzed therelll.
-18-
x. SPECIAL PROVISIONS (For Use On Iv with Inter-Governmental Contracts)
1. CONTROLLER'S APPROVAL. CRS 24-30-202 (1)
This contract shall not be deemed valid until it has been approved by the Controller of the Slate of
Colorado or such assistant as he may designate.
2. FUND AVAILABILITY. CRS 24-30-202 (5.5)
Financial oblIgations of the State of Colorado payable after the current fiscal year are contingent upon
funds for that purpose being appropriated, budgeted, and otherwise made avadable.
3. INDEMNIFICATION.
Indemnity The contractor shall Indemnify, save, and hold harmless the State agaInst any and all clalITIS,
damages, liability and court awards including costs, expenses, and attorney fees incurred as a result of any
act or omission by the Contractor, or its employees, agents, subcontractors, or assIgnees pursuant to the
terms of this contract.
No term or condition of this contract shall be construed or interpreted as a waiver. express or Implied, of
any of the immunities, rights, benefits, protection, or other provisions for the parties, of the Colorado
Governmental Immunity Act, Section 24-10-101 et seq. c.R.S. or the Federal Tort Claims Act, 28 U.S.C
267 I et seq as applicable, as now or hereafter amended.
4. INDEPENDENT CONTRACTOR. 4 CCR 801-2
THE CONTRACTOR SHALL PERFORM ITS DlITIES HEREUNDER AS AN INDEPENDENT CONTRACTOR AND NOT
AS t>,N EMPLOYEE. NEITHER THE CONTRACTOR NOR ANY AGENT OR EMPLOYEE OF THE CONTRACTOR
SHALL BE OR SHALL BE DEEMED TO BE AN AGENT OR EMPLOYEE OF THE STATE. CONTRACTOR SHALL PAY
WHEN DUE ALL REQUIRED EMPLOYMENT l' AXES AND INCOME TAX AND LOCAL HEAD TAX ON ANY MONIES
PAID BY THE STATE PURSUANT TO THIS CONTRACT CONTRACTOR ACKNOWLEDGES THAT THE
CONTRACTOR AND ITS EMPLOYEES ARE NOT ENTITLED TO UNEMPLOYMENT INSURANCE BENEFITS UNLESS
THE CONTRACTOR OR THIRD PARTY PROVIDES SUCH COVERAGE AND THA l' THE STATE DOES NOT PAY FOR
OR OTHERWISE PROVIDE SUCH COVERAGE. CONTRACTOR SHALL HAVE NO AUTHORIZATION. EXPRESS OR
IMPLIED, TO BIND THE STATE TO ANY AGREEMENTS, LIABILITY, OR UNDERSTANDING EXCEPT AS
EXPRESSLY SET FORTH HEREIN CONTRACTOR SHALL PROVIDE AND KEEP IN FORCE WORKERS'
COMPENSATION (AND PROVIDE PROOF OF SUCH INSURANCE WHEN REQUESTED BY THE STATE) AND
UNEMPLOYMENT COMPENSATION INSURANCE IN THE AMOUNTS REQUIRED BY LAW, AND SHALL BE
SOLELY RESPONSIBLE FOR THE ACTS OF THE CONTRACTOR, ITS EMPLOYEES AND AGENTS.
5. NON-DISCRIMINATION.
The contractor agrees to comply with the letter and the spirit of all applicable state and federal laws
respecting discrimination and unfair employment practices.
6. CHOICE OF LAW.
The laws of the State of Colorado and rules and regulations issued pursuant thereto shall be applied In the
interpretation, execution, and enforcement of this contract. Any provision of this contract, whether or not
incorporated herein by reference, which provides for arbitration by any extra-judicial body or person or
which is otherwise in conflict with said laws, rules, and regulations shall be considered null and void.
Nothmg contained in any provision incorporated herein by reference whIch purports to negate thiS or any
other special provision in whole or in part shall be valid or enforceable or available in any action at law
whether by way of complaint, defense, or otherwise. Any prOVision rendered null and void by the
operation of this provision will not invalidate the remainder of this contract to the extent that the contract is
capable of execution.
At all times during the performance of this contract, the Contractor shall strictly adhere to all applicable
federal and state laws, rules, and regulations that have been or may hereafter be established.
-19-
7 EMPLOYEE FINANCIAL INTEREST. CRS 24-18-201 & CRS 24-50-507
The signaiOries aver that to theIr knowledge, no employee of the State of Colorado has any personal or
beneficial mterest whatsoever m the service or property described hereIn.
-20-
THE P AR'I'lliS HERETO HAVE EXECUTED THis CONTRACT
CITY OF WHEAT RIDGE
Legal Name of Contracting Entity
STATE OF COLORADO,
BILL OWENS, GOVERNOR
A~AS TO fORM gjJ
~~~
City Attorney
BYcT'it:~~~ r ~ ~
F r Executive Director
Department of Transportation
840595832
Social Security Number or FEIN
LEGAL REVIEW
By
GR'tCUr-lG ,C~-ry ~
Pnnt Name & Title of Authonzed Officer
CORPORATIONS.
. "_~..B6~JTRACTS MUST BE APPROVED BY THE STATE CONTROLLER
CRS 24-30-202 requires that the State Controller approve all state contracts. This contract is not valid until the State
Controller, or such assistant as he may delegate, has signed it. The contractor is not authorized to begin
performance until the contract is signed and dated below If performance begins prior to the date below, the State of
Colorado may not be obligated to pay for the goods andlor services provided.
)00 !}-
-21-
EXHIBIT A
DESIGN DATA
Revise Date:
Project code: 13764 - STIP number' DR5-+77
Project number' SHE M36 1-00 1
PE Proiect Code PE Prolect Number
Colorado Department of Transportation "'1'"Ongin Date: 01/09/2002
c: Metric
i.; English
Revision #'
Page 1
Status: . preliminary , final
Prepared by' Revised by'
Steve Nguyen
Date: U 1 /0912002 Date:
Submitted by Proj,Mgr Approved by Preconsfruction Engineer'
HSUK
Region: 06
I revised
Date: 0llU912002
Geographic location'
Kipling St. North "fI-70 to 50th Ave
Project description KIPLING ST FROM 1-70 TO 50TH
County1 Vanous I County2: I County3:
Municipality' Wheat Ridge
System code: ~) 1M
Oversight: . CDOT
Planned length:
NHS . STP
OTHER
-
, OTHER
.....) FHWA
Terrain type: Level ' Plains , ) Rolling . Urban ) Mountainous
Descrlptron of proposed construction/improvement (attach map showing site location)
Remove islands from longer continuous turns 3.Ild accellanes. Extend raised median.
II TraHic (Note: use columns A. B, andlor C to identify facility described below)
Current year' Future year'
Facility
I
I ADT
DHV
DHV % trucks
ADT
I
I
I
I
DHV
Facility location
Industrial Commercial Residential I
U =:J ~ I
=:J [1 I I
DILl I I
Other
D
o
n
Route
Refpt
Endrefpt
Functional classification
Facility type
Rural code
999
Collector I major)
11 ndi vided
> 2UU,000
A=
B=
c=
,-
Lc
[J
[J
C, Width of travel lanes
C I Shoulder wd, IUmedian
II i Shoulder wd rt.loutside
C Side slope dist. ('z')
C Median width
[J! Posted speed
D i Design speed
~i Max. superelevation
LJ Min. radius
C Min, horizontal ssd
C Min, vertical ssd
C Max, grade
Project under I J 1 R U 3R
Standard Existing Proposed Ultimate Standard Existing Proposed Ultimate Standard Existing Proposed Ultrmate
Surface type
Typical section type
# of travel lanes
!J 4R
o Other'
criteria
Existing guardrail meets current standards: '_J Yes
Comments:
UNo
Variance in minimum design standards required (~) Yes. No
o Justification attached D Request to be submitted
D Bridge (see item 4) D See remarks
- I' Stage construction
Resurfacing projects
il Recommendations concerning safety aspects attached
LJ Safety project
Not all standards
addressed
COOT Form #463
712001
Page 2 Project C'~"e: 13764 I Project Number' SHE 1'vP~I-OOl I Revise Date:
II Major Structures .- -
S-to stay, R=to be removed, P-proposed new structure I Standard Structure Horizontal Vertical Year
StrllctllrA In# I Lennth Ref. Point Feature Intersected Width Rdwy Load Clearance Clearance Built
Proposed treatment of bridges to remain in place (address bridge rail. capacity, and allowable surface thickness)
III Project Characteristics (proposed) Median type: () depressed C: painted . raised C I none
n Lighting n Handicap ramps n Traffic control signals Striping
!7l Curb and gutter n Curb only I Left-turn slots I : continuous width ~
, Sidewalk width ~ n Bikeway width ~ I Right-turn slots i I continuous width ~
n Parking lane width ~ il Detours Signing: I I construction n permanent
Landscape requirements: (description) Other' (description)
II Right of Way Yes No Est. No. [iii Utilities (list names of known utility companies)
ROWand/or perm. easement required: 0 . Xcel Energy - Gas & Electric Distribution, Street Lighting,
Relocation required: (' . Qwest Communications, AT& T Broadband, Arvada Water &
~) Sanitation. Valley Water District. Wheat Ridge Water District,
Temporary easement required: 0 . Wheat Ridge Sanitation.
Changes in access: 0 .
Changes to connecting roads: 0 .
III Railroad crossings # of crossings:
Agreements
Railroad Name required Present protection Condition of x'ings
1 U
2 0
3 LJ
4 0
Recommendations:
III Environmental
Type: CE Programmatic Categorical Exclusion #. FHWA Expanded List (Jul 27th, 1998) # 7
128 Initiation Date:01/14/2002 Revision Date: Clearance Action Date:
Comments:
D!fcoordination I Irrigation ditch name:
' : Withdrawn lands (power sites, reservoirs. etc.) cleared through BLM forest service office
!- I New traffic ordinance required I 0 Modify schedule of existing ordinance I Municipality.
Other'
Construction method noAdReason: 0 Design o Local F/A
Advertised by' - :> State o P.O o RR F/A Entity/Agency contact name: Steve Nguyen
. Local o Study o Utility F/A Phone number' 303-235-2857
:=; CDOT F/A ~ I Miscellaneous
- ) None , -
if,] Remarks (Include additional pages if needed)
Original to: Central files
Copies to: Region Files, Region Env Manager. Staff Design Branch (QA), PMO. ROW, Staff Bridge or where appropriate
EXHIBIT C FUNDING PROVISIONS
A. The Local Agency has estimated the total cost the Work to be $257,00 00, which IS to be
funded as follows:
BUDGETED FUNDS J
I
Federal Funds I $257,000.00
a.
$, 100% of Participatinq Costs
,
b. Local Aqency Matchinq Funds I $0.00
0% of Participatinq Costs
c Local Agency Matching for CDOT-Incurred Non-Participating Costs
$1,272.00
(Includinq Non-Participatinq Indirects)
TOTAL BUDGETED FUNDS I $258,272.00
I
ESTIMATED COOT-INCURRED COSTS ,
I
,
a. Federal Share
$17,99000
0% of Participatinq Costs
b. Local Share
Local Aqency Share of Participatinq Costs $000
Non-Participating Costs (Including Non-Participating $1,272.00
Indirects)(1 c)
Estimated to be Billed to Local Agency
$1,272.00
TOTAL ESTIMATED CDOT-INCURRED COSTS
$19,262.00
ESTIMATED PAYMENT TO LOCAL AGENCY
I
a. Federal Funds Budqeted (1 a) $257,000.00
b Less Estimated Federal Share of CDOT-Incurred
Costs (2a) $17,99000
TOTAL ESTIMATED PAYMENT TO LOCAL AGENCY $239,010.00
-22-
i , 1 i
,
FOR CDOTENCUMBRANCE PURPOSES ,
!
Total Encumbrance Amount ($239,010.00 divided $239,01000
by 100%)
I Less ROW Acquisition 3111 , $000
,
Net to be encumbered as follows $239,01000
I Desiqn 2312 1 P 3020 $38,00000
Const 2312 1 P 3301 $201,01000
!
B The matchmg ratio for the federal participating funds for this project is 100% federal-aId
funds (CFDA #202050) to 0% Local Agency funds, it bemg understood that such ratio
applies only to the $257,00000 that IS eligible for federal participation, It being further
understood that all non-participatIng costs are borne by the Local Agency at 100% The
performance of the Work shall be at no cost to the State
C The maximum amount payable to the Local Agency under thiS contract shall be
$239,010.00, unless such amount is increased by an appropriate written modification to
thiS contract executed before any increased cost is incurred. It is understood and agreed
by the parties hereto that the total cost of the Work stated hereInbefore is the best estimate
aVaIlable, based on the desIgn data as approved at the time of executIOn of thIS contract,
and that such cost IS subject to revisions (in accord with the procedure in the previous
sentence) agreeable to the parties prior to bid and award.
D The parties hereto agree that this contract is contIngent upon all funds deSignated for the
proJect herem bemg made available from federal and/or state and/or Local Agency
sources, as applicable. Should these sources fail to prOVide necessary funds as agreed
upon herein, the contract may be terminated by either party, provided that any party
terminatmg its interest and obligations herem shall not be relIeved of any obligatlOns
which eXisted prior to the effectIve date of such terrninatlOn or which may occur as a
result of such termmation
-23-
ATTACHMENT #1
THE LOCAL AGENCY SHALL USE THESE PROCEDURES TO IMPLEMENT FEDERAL-AID PROJECT
AGREEMENTS WITH PROFESSIONAL CONSULTANT SERVICES
Title 23 code of Federal Regulations (CFR) 172 applies to a federally funded
local agency project agreement administered by COOT that involves professional
consultant services 23 CFR 172 and 23 CFR 172(d) state that, "when federal-
aid highway funds participate in the contract a local shall use the same
procedures as used by the State to administer contracts.. ,". Therefore,
local agencies must comply with this CFR requirement and the following state
procedures when obtaining professional consultant services under a federally
funded consultant contract administered by COOT.
COOT has formulated its procedures in procedural Directive (P.o.) 400.1 and
the related operations guidebook titled "obtaining Professional consultant
services". This directlve and guidebook incorporate requirements from both
Federal and State regulations, 1 .e., 23 CFR 172 and colorado Revised Statute
(C.R.S.) 24-30-1401 et seq. Copies of the directive and the guidebook may be
obtained upon request from COOT'S Agreements and consultant Management unit.
[Local agencies should have their own written procedures on file for each
method of procurement that addresses the items in 23 CFR 172.5(b)(1-6)].
Because the procedures and laws described in the procedural Directive and the
guidebook are quite lengthy, the subsequent steps serve as a short-hand guide
to COOT procedures that a local agency must follow in obtaining professional
consultant services. This guidance follows the format of 23 CFR 172. The
steps are'
1. The contracting local agency shall document the need for obtaining
professional services.
2. prior to solicitation for consultant services, the contracting local
agency shall develop a detailed scope of work and a list of evaluation
factors and their relative importance. The evaluation factors are those
identified in C.R.S. 24-30-1403. Also, a detailed cost estimate should
be prepared for use during negotiations.
3. The contracting agency must advertise for contracts in conformity with
the requ~rem~nts Of.C.R.S: 24-3~-~405. The public ~otice period, when
such notlce lS requ1red, 1S a mln1mum of 15 days pr10r to the selection
of the three most qualified firms and the advertising should be done in
one or more daily newspapers of general circulation.
4. The request for consultant services should include the scope of work the
evaluation factors and their relati~e importance, t~e method of paym~nt,
and ~h~ go~l of ten ~e~cent (10%) D1sadvantaged BUS1ness Enterprise (DBE)
part1clpat1on as a m1nlmum for the project.
5. The analysis and selection of the consultants should be done in
~ccor0a~ce with C:R.S: 24-30-1403. This section of the regulation
lden~l~les t~e cr1ter1a to be used ~n the evaluation of CDOT pre-
quallfled prlme con~ultants and the1r team. It also shows which criteria
are used to short-l1st and to make a final selection.
The short-list is based on the following evaluation factors:
a. Qualifications,
b. Approach to the project,
c. Ability to furnish professional services.
d. Anticipated design concepts, and
e. . Alternative methods of approach for furnishing the professional
serV1ces.
-24-
6.
Evaluation factors for final selection are the consultant's:
a. Abilities of their personnel,
b. Past performance,
c. willingness to meet the time and budget requirement,
d. Location,
e. Current and projected work load,
f. volume of previously awarded contracts, and
g. Involvement of minority consultants.
under 24-30-1401. cost shall not be considered as a factor in the
evaluation of orofessional consultant services.
Once a consultant is selected, the local agency enters into negotiations
with the consultant to obtain a fair and reasonable price for the
anticipated work. pre-negotiation audits are prepared for contracts
expected to be greater than $50,000. Federal reimbursement for costs are
limited to those costs allowable under the cost principles of 48 CFR 31.
Fixed fees (profit) are determined with consideration given to size,
complexity, duration, and degree of risk involved in the work. Profit is
in the range of six (6) to flfteen (15) percent of the total direct and
indirect costs.
A qualified local agency employee shall be responsible and in charge of
the project to ensure that the work being pursued is complete, accurate,
and consistent with the terms, conditions, and specifications of the
contract. At the end of project, the local agency prepares a performance
evaluation (a COOT form is available) on the consultant.
Each of the steps listed above is to be documented in accordance with the
provisions of 49 CFR 18.42, which provide for records to be kept at least
three (3) years from the date that the local agency submits its final
expenditure report. Records of projects under litigation shall be kept
at least three (3) years after the case has been settled.
The C.R.S. 24-30-1401 through 24-30-1408, 23 CFR Part 172, and P.O. 400.1
p~ovide additional details for complying with the eight (8) steps just '
dlscussed
7.
8.
-25-
FHWA Form 1273
FHWA-1273 Electronic version March 10. 1994
_ REQUIRED CONTRACT PROVISIONS
FEDERAL-AID CONSTRUCTION CONTRACTS
Page
1
1
3
3
6
6
7
7
7
I. General
II. Nondiscrimination
III. Nonsegregated Facilities
IV Payment of Predetermined Minimum Wage
V Statements and Payrolls
VI. Record of Materials. Supplies, and Labor
VII. Subletting or Assigning the Contract
VIII. Safety. Accident Prevention
IX. False Statements Concerning Highway Projects
X. Implementation of Clean Air Act and Federal
Water Pollution Control Act
XI. Certification Regarding Debarment, Suspension.
Ineligibility. and Voluntary Exclusion
XII. Certification Regarding Use of Contract Funds for
Lobbying .. .............
ATTACHMENTS
A. Employment Preference for Appalachian Contracts
(Included in Appalachian contracts only)
I. GENERAL
1 These contract provisions shall apply to all work performed on
the contract by the contractor's own organization and with the
assistance of workers under the contractor's immediate superin-
tendence and to all work performed on the contract by piecework.
station work, or by subcontract.
2. Except as otherwise provided for in each section. the contractor
shall insert in each subcontract all of the stipulations contained in
these Required Contract Provisions. and further require their inclusion
in any lower tier subcontract or purchase order that may In turn be
made. The Required Contract Provisions shall not be incorporated by
reference in any case. The prime contractor shall be responsible for
compliance by any subcontractor or lower tier subcontractor wtth
these Required Contract Provisions.
3. A breach of any of the stipulations contained in these Required
Contract Provisions shall be sufficient grounds for termination of the
contract.
4 A breach of the following clauses of the Required Contract
Provisions may also be grounds for debarment as provided in 29 CFR
5.12:
Section I. paragraph 2;
Section IV, paragraphs 1,2.3.4, and 7,
Section V. paragraphs 1 and 2a through 2g.
5. Disputes arising out of the labor standards provisions of Section
IV (except paragraph 5) and Section V of these Required Contract
Provisions shall not be subject to the general disputes clause of this
contract. Such disputes shall be resolved in accordance with the
procedures of the U.S. Department of Labor (DOL) as set forth in 29
CFR 5, 6, and 7 Disputes within the meaning of this clause include
disputes between the contractor (or any of Its subcontractors) and the
contracting agency, fhe DOL, or the contractor's employees or their
representatives.
6. Selection of labor: During the performance of this contract.
the contractor shall not:
a. discriminate against labor from any other State, possession,
or territory of the United Stafes (except for employment preference for
Appalachian contracts, when applicable, as specified In Attachment
A). or
c. All personnel who are engaged in direct recruitment for the
project will be Instructed by the EEO Officer in the contractor's
procedures for locating and hiring minority group employees.
b. employ convict labor for any purpose within the limits of the
project unless it is labor performed by convicts who are on parole.
supervised release, or probation.
II. NONDISCRIMINATION
(Applicable to all Federal-aid construction contracts and to all
related subcontracts of $10,000 or more.)
8
1 Equal Employment Opportunity. Equal employment opportu-
nity (EEO) requirements not to discriminate and to take affirmative
action to assure equal opportunity as set forth under laws, executive
orders. rules, regulations (28 CFR 35. 29 CFR 1630 and 41 CFR 60)
and orders of the Secretary of Labor as modified by the provisions
prescribed herein, and imposed pursuant to 23 U.S.C. 140 shall
constitute the EEO and specific affirmative action standards for the
contractor's project activities under thiS contract. The Equal
Opportunity Construction Contract Specifications set forth under 41
CFR 60-4.3 and the provisions of the American DisabllitJes Act of
1990 (42 U.S.C 12101 g! lliill.) set forth under 28 CFR 35 and 29
CFR 1630 are incorporated by reference in this contract. In the
execution of this contract, the contractor agrees to comply with the
following minimum specific requirement activities of EEO'
8
9
a. The contractor will work with the State highway agency
(SHA) and the Federal Govemment in carrying out EEO obligations
and in their review of his/her activities under the contract.
b. The contractor will accept as his operating polley the
following statement:
"It is the policy of this Company to assure that applicants are
employed, and that employees are treated during employment.
without regard to their race, religion. sex, color, national origin,
age or disability. Such action shall include: employment.
upgrading, demotion, or transfer; recruitment or recruitment
advertising; layoff or termination; rates of payor other forms of
compensation; and selection for training, including apprentice-
ship. preapprenticeship, and/or on-the-job training."
2. EEO Officer: The contractor will designate and make known to
the SHA contracting officers an EEO Officer who will have the
responsibility for and must be capable of effectively administering and
promoting an active contractor program of EEO and who must be
assigned adequate authority and responsibility to do so.
3. Dissemination of Policy: All members of the contractor's staff
who are authorized to hire, supervise. promote, and discharge
employees, or who recommend such action. or who are substantially
involved in such action, will be made fully cognizant of, and will
implement, the contractors EEO policy and contractual responSibili-
ties to provide EEO in each grade and classification of employment.
To ensure that the above agreement will be met, the following actions
will be taken as a minimum:
a. Periodic meetings of supervisory and personnel office
employees will be conducfed before the start of work and then not
less often than once every six months, at which time Ihe contractors
EEO policy and its implementation will be reviewed and explained.
The meetings will be conducted by the EEO Officer
b. All new supervisory or personnel office empioyees will be
given a thorough indoctrination by the EEO Officer, covering all major
aspects of the contractors EEO obligations within thirty days following
their reporting for duty with the contractor
d. Notices and posters setting forth the contractor's EEO policy
will be placed in areas readily accessible to employees. applicants for
employment and potential employees.
e. The contractor's EEO policy and the procedures to
Implement such policy will be brought to the attention of employees by
REQUIRED BY 23 CFR 633 102 -26-
means of meetings, employee handbooks, or other appropriate
means.
4 Recruitment: When advertising for employees, the contractor
will include in all advertisements for employees the notation: 'An
Equal Opportunity Employer' All such advertisements will be placed
in publications having a large circulation among minority groups in the
area from which the project work force would normally be derived.
a. The contractor will, unless precluded by a valid bargaining
agreement, conduct systematic and direct recruitment through public
and private employee referral sources likely to yield qualified minority
group applicants. To meet this requirement, the contractor will identify
sources of potential minority group employees, and establish with
such identified sources procedures whereby minority group applicants
may be referred to the contractor for employment consideration.
b. In the event the contractor has a valid bargaining agreement
providing for exclusive hiring hall referrals. he is expected to observe
the provisions of that agreemerltto the extent that the system permits
the contractors compliance with EEO contract provisions. (The DOL
has held that where implementation of such agreements have the
effect of discriminating against minorities or women, or obligates the
contractor to do the same, such implementation violates Executive
Order 11246, as amended.)
c. The contractor will encourage his present employees to refer
minority group applicants for employment. Information and
procedures with regard to referring minority group applicants will be
discussed with employees.
5. Personnel Actions: Wages, working conditions, and employee
benefits shall be established and administered, and personnel actions
of every type. including hiring, upgrading. promotion, transfer.
demotion, layoff. and termination. shall be taken without regard to
race. color. religion. sex. national origin, age or disability The
following procedures shall be followed:
a. The contractor will conduct periodic inspections of project
sites to insure that working conditions and employee facilities do not
indicate discriminatory treatment of project site personnel.
b. The contractor will periodically evaluate the spread of wages
paid within each classification to determine any evidence of
discriminatory wage practices.
c. The contractor will periodically review selected personnel
actions in depth to determine whether there is evidence of discrimi-
nation. Where evidence is found, the contractor will promptly take
corrective action. If the review indicates that the discrimination may
extend beyond the actions reviewed. such corrective action shall
include all affected persons.
d. The contractor will promptly investigate all complaints of
alleged discrimination made to the contractor in connection with his
obligations under this contract, will attempt 10 resolve such com-
plaints. and will take appropriate corrective action within a reasonable
time. If the investigation indicates that the discrimination may affect
d. In the event the union is unable to provide the contractor with
a reasonable flow of minority and women referrals within the time limit
set forth in the collective bargaining agreement, the contractor will,
through independent recruitment efforts. fill the employment
vacancies without regard to race, color. religion, sex, national origin,
age or disability; making full efforts to obtain qualified and/or qualifi-
able minority group persons and women. (The DOL has held that it
shall be no excuse that the union with which the contractor has a
collective bargaining agreement providing for exclusive referral failed
to refer minority employees.) In the event the union referral practice
prevents the contractor from meeting the obligations pursuant to
Executive Order 11246. as amended, and these special provisions,
such contractor shall immediately notify the SHA.
8. Selection of Subcontractors, Procurement of Materials and
Leasing of Equipment: The contractor shall not discriminate on the
grounds of race, color, religion. sex, national origin. age or disability in
persons other than the complainant, such corrective action shall
include such other persons. Upon completion of each Investigation,
the contractor will inform every complainant ot all of hiS avenues of
appeal.
6, Training and Promotion:
a, The contractor will assist in locating, qualifying, and
increasing the skills of minority group and women empioyees, and
applicants for employment.
b. Consistent with the contractor's work force requirements and
as permissible under Federal and State regulations, the contractor
shall make full use of training programs, i.e., apprenticeship. and
on.the-job training programs for the geographical area of contract
performance, Where feasible. 25 percent of apprentices or trainees
in each occupation shall be in their first year of apprenticeship or
training, In the event a special provision for training is provided under
this contract. this subparagraph will be superseded as Indicated in the
special provision,
c. The contractor will advise employees and appltcants for
employment of available training programs and entrance require.
ments for each,
d, The contractor will periodically review the training and
promotion potential of minority group and women employees and will
encourage eligible employees to apply for such training and
promotion,
7 Unions: If the contractor relies in whole or in part upon unions
as a source of employees, the contractor will use his/her best efforts
to obtain the cooperation of such unions to increase opportunities for
minority groups and women within the unions, and to effect referrals
by such unions of minority and female employees, Actions by the
contractor either directly or through a contractor's association acting
as agent will include the procedures set forth below'
a. The contractor will use best efforts to develop, in cooperation
with the unions, joint training programs aimed toward qualifying more
minority group members and women for membership in the unions
and increasing the skills of minority group employees and women so
that they may qualify for higher paying employment.
b, The contractor will use best efforts to incorporate an EEO
clause into each union agreement to the end that such union will be
contractually bound to refer applicants without regard to their race,
color, religion. sex. national origin, age or disability
c, The contractor is to obtain information as to the referral
practices and policies of the labor union except that to the extent such
information is within the exclusive possession of the labor union and
such labor union refuses to furnish such information to the contractor,
the contractor shall so certify to the SHA and shall set forth what
efforts have been made to obtain such information,
the selection and retention of subcontractors, including procurement
of materiais and leases of equipment.
a, The contracfor shall notify all potential subcontractors and
suppliers of his/her EEO obligations under this contract.
b, Disadvantaged business enterprises (DBE), as defined in 49
CFR 23, shall have equal opportunity to compete for and perform
subcontracts which the contractor enters into pursuant to this contract.
The contractor will use his best efforts to solicit bids from and to
utilize DBE subcontractors or subcontractors with meaningful minority
group and female representation among their employees,
Contractors shall obtain lists of DBE construction firms from SHA
personnel.
c, The contractor will use his best efforts to ensure subcon-
t'actor compliance with their EEO obligations.
REQUIRED BY 22 CFR 613 102 -27-
9 Records and Reports: The contractor shall keep such records
as necessary to document compliance with the EEO requirements.
Such records shall be retained for a period of three years following
completion of the contract work and shall be available at reasonable
times and places for inspection by authorized representatives of the
SHA and the FHWA.
a. The records kept by the contractor shall document the
101l0wing:
(1) The number of minority and non-minority group
members and women employed in each work classification on the
project;
(2) The progress and eHorts being made in cooperation
with unions, when applicable, to increase employment opportunities
for minorities and women;
(3) The progress and eHorts being made in locating, hiring.
training, qualifying, and upgrading minority and female employees;
and
(4) The progress and eHorts being made in securing the
services of DBE subcontractors or subcontractors with meaningful
minority and female representation among their employees.
b. The contractors will submit an annual report to the SHA each
July for the duration of the project, indicating the number of minority,
women. and non-minority group empioyees currently engaged in each
work classification required by the contract work. This tnformation is
to be reported on Fonn FHW A-1391 If on-the job training is being
required by special provision. the contractor will be required to collect
and report training data.
III. NONSEGREGATED FACiliTIES
(Applicable to all Federal-aid construction contracts and to all
related subcontracts of $10.000 or more.)
a. By submission of this bid. the execution of this contract or
subcontract, or the consummation of this material supply agreement
or purchase order. as appropriate, the bidder, Federal-aid construc-
tion contractor. subcontractor, material supplier, or vendor. as appro-
priate, certifies that the finn does not maintain or provide for its
employees any segregated facilities at any of its establishments, and
that the finn does not pennit its employees to perfonn their services at
any location, under its control, where segregated facilities are
maintained. The finn agrees that a breach of this certification is a
violation of the EEO provisions of this contract. The finn further
certifies that no employee will be denied access to adequate facilities
on the basis of sex or disability
b. As used in this certification, the term "segregated facilities"
means any waiting rooms, work areas, restrooms and washrooms,
restaurants and other eating areas, timeclocks, locker rooms, and
b. Laborers or mechanics perfonning work in more than one
classification may be compensated at the rate specified for each
classification for the time actually worked therein. provided, that the
employer's payroll records accurately set forth the time spent in each
classification in which work is pertormed.
c. All rulings and interpretations of the Davis-Bacon Act and
related acts contained in 29 CFR 1.3, and 5 are herein incorporated
by reference in this contract.
2. Classification:
a. The SHA contracting oHicer shall require that any class of
laborers or mechanics employed under the contract. which is not
listed in the wage determination. shall be classified in confonnance
with the wage determination.
other storage or dressing areas. parking lots, drinking fountains,
recreation or entertainment areas, transportation, and housing
facilities provided for employees which are segregated by explicit
directive, or are, in fact, segregated on the basis of race. color.
religion, national origin. age or disability, because of habit, local
custom. or otherwise. The only exception will be for the disabled
when the demands for accessibility override (e.g. disabled parking).
c. The contractor agrees that it has obtained or will obtain
identical certification from proposed subcontractors or material
suppliers prior to award of subcontracts or consummation of material
supply agreements of $10,000 or more and that it will retain such
certifications in its files.
IV PAYMENT OF PREDETERMINED MINIMUM WAGE
(Applicable to all Federal-aid construction contracts exceeding
$2.000 and to all related subcontracts. except for projects located on
roadways classified as local roads or rural minor collectors. which are
exempt.)
General:
a. All mechanics and laborers employed or working upon the
site of the work will be paid unconditionally and not less often than
once a week and without subsequent deduction or rebate on any
account [except such payroll deductions as are permitted by
regulations (29 CFR 3) issued by the Secretary of Labor under the
Copeland Act (40 U.S.C. 276c)] the full amounts of wages and bona
fide fringe benefits (or cash equivalents thereof) due at time of
payment. The payment shall be computed at wage rates not iess than
those contained in the wage detennination of the Secretary of Labor
(hereinafter "the wage determination") which is attached hereto and
made a part hereof. regardless of any contractual relationship which
may be alleged to exist between the contractor or its subcontractors
and such laborers and mechanics. The wage detennination (includ-
ing any additional classifications and wage rates conformed under
paragraph 2 of this Section IV and the DOL poster (WH-1321) or
Form FHW A-1495) shall be posted at all times by the contractor and
its subcontractors at the site of the work in a prominent and
accessibie place where it can be easily seen by the workers. For the
purpose of this Section, contributions made or costs reasonably
anticipated for bona fide fringe benefits under Section 1 (b)(2) of the
Davis-Bacon Act (40 U.S.C. 276a) on behalf of laborers or mechanics
are considered wages paid to such laborers or mechanics, subject to
the provisions of Section IV. paragraph 3b. hereof. Also. for the
purpose of this Section, regular contributions made or costs incurred
for more than a weekly period (but not less often than quarterly) under
plans, funds, or programs, which cover the particular weekly period.
are deemed to be constructively made or incurred during such weekly
period. Such laborers and mechanics shall be paid the appropriate
wage rate and fringe benefits on the wage detennination for the
classification of work actually perfonned. without regard to skill, except
as provided in paragraphs 4 and 5 of this Section IV
b. The contracting officer shall approve an additional
classification. wage rate and fringe benefits only when the following
criteria have been met:
(1) the work to be perfonned by the additional classification
requested is not perfonned by a classification in the wage
detennination;
(2) the additional classification is utilized in the area by the
construction tndustry;
(3) the proposed wage rate, including any bona fide fringe
benefits, bears a reasonable relationship to the wage rates contained
in the wage delennination; and
(4) with respect to helpers, when such a classification
prevails in the area in which the work is performed.
REQUIRED BY 23 CFR 633 102 -28-
c. If the contractor or subcontractors, as appropriate. the
laborers and mechanics (if known) to be employed In the additional
classification or their representatives, and the contracting officer
agree on the classification and wage rate (including the amount
designated for fringe benefits where appropriate), a report of the
action taken shall be sent by the contracting officer to the DOL,
Administrator of the Wage and Hour Division, Employment Standards
Administration, Washington, DC. 20210. The Wage and Hour
Administrator. or an authorized representative, will approve, modify, or
disapprove every additional classification action within 30 days of
receipt and so advise the contracting officer or will notify the
contracting officer within the 30-day period that additional time is
necessary
d. In the event the contractor or subcontractors, as appropriate,
the laborers or mechanics to be employed in the additional
classification or their representatives, and the contracting officer do
not agree on the proposed classification and wage rate (including the
amount designated for fringe benefits, where appropriate). the
contracting officer shall refer the questions, including the views of all
interested parties and the recommendation of the contracting officer.
to the Wage and Hour Administrator for determination. Said Adminis-
trator, or an authorized representative, will issue a determination
within 30 days of receipt and so advise the contracting officer or will
notify the contracting officer within the 30-day period that additional
time is necessary
e. The wage rate (including fringe benefits where appropriate)
determined pursuant to paragraph 2c or 2d ot this Section IV shall be
paid to all workers performing work in the additional classification from
the first day on which work is performed in the classification.
3. Payment of Fringe Benefits:
a. Whenever the minimum wage rate prescribed in the contract
for a class of laborers or mechanics includes a fringe benefit which is
not expressed as an houriy rate, the contractor or subcontractors, as
appropriate. shall either pay Ihe benefit as stated in the wage
determination or shall pay another bona fide fringe benefil or an
hourly case equivalent thereof.
b. If the contractor or subcontractor, as appropriate, does not
make payments to a trustee or other third person, he/she may
consider as a part of the wages of any laborer or mechanic the
amount of any costs reasonably anticipated in providing bona fide
fringe benefits under a plan or program. provided, that the Secretary
of Labor has found, upon the written request of the contractor. that the
applicable standards of the Davis-Bacon Act have been met. The
Secretary of Labor may require the contractor to set aside in a
separate account assets for the meeting of obligations under the plan
or program.
4 Apprentices and Trainees (Programs of the U,S. DOL) and
Helpers:
b. Trainees:
(1) Except as provided in 29 CFR 5.16, trainees will not be
permitted to work at less than the predetermined rate for the work
performed unless they are employed pursuant to and individually
registered in a program which has received prior approval, evidenced
by formal certification by the DOL, Employment and Training
Administration.
(2) The ratio of trainees to joumeyman-level employees on
the job site shall not be greater than permitted under the plan
approved by the Employment and Training Administration. Any
employee listed on the payroll at a trainee rate who is not registered
and participating in a training plan approved by the Employment and
Training Administration shali be paid not less than the applicable
wage rate on the wage determination for the classification of work
actualiy performed. In addition, any trainee performing work on the
job site in excess of the ratio permitted under the registered program
shali be paid not less than the applicable wage rate on the wage
determination for the work actuaily performed.
a. Apprenllces:
(1) Apprentices will be permiNed to work at less than the
predetermined rate for the work they performed when they are
employed pursuant to and individually registered in a bona fide
apprenticeship program registered with the DOL, Empioyment and
Training Administration. Bureau of Apprenticeship and Training, or
with a State apprenticeship agency recognized by the Bureau, or il a
person is employed in hislher first 90 days of probationary
employment as an apprentice in such an apprenticeship program,
who is not individually registered in the program, but who has been
certified by the Bureau of Apprenticeship and Training or a State
apprenticeship agency (where appropriate) to be eligible for
probationary employment as an apprentice.
(2) The allowable ratio of apprentices to journeyman-level
employees on the job site in any craft classification shail not be
greater than the ratio permitted to the contractor as to the entire work
force under the registered program. Any employee listed on a payroil
at an apprentice wage rate, who IS not registered or otherwise
employed as stated above, shall be paid not less than the applicabie
wage rate listed in the wage determination for the classification of
work actually performed. In addition. any apprentice performing work
on the job site in excess of Ihe ratio permiNed under the registered
program shall be paid not less than the applicable wage rate on the
wage determination for the work actually performed. Where a
contractor or subcontractor is performing construction on a project in a
locality other than that in which its program is registered, the ratios
and wage rates (expressed in percentages of the journeyman-level
hourly rate) specified in the contracto~s or subcontracto~s registered
program shall be observed.
(3) Every apprentice must be paid at not less than the rate
specified in the registered program for the apprentice's level of
progress, expressed as a percentage ot the journeyman-level hourly
rate specified in the applicable wage determination. Apprentices shall
be paid fringe benefits in accordance with the provisions of the
apprenticeship program. If the apprenticeship program does not
specify fringe benefits. apprentices must be paid the full amount ot
fringe benefits listed on the wage determination for the applicable
classification. If the Administrator for the Wage and Hour Division
determines that a different practice prevails for the applicable
apprentice classitication. fringes shall be paid in accordance with that
determination.
(4) In the event the Bureau of Apprenticeship and Training,
or a State apprenticeship agency recognized by the Bureau,
withdraws approval of an apprenticeship program, the contractor or
subcontractor will no longer be permitted to utilize apprentices at less
than the applicable predetermined rate for the comparable work
pertormed by regular employees until an acceptable program is
approved.
(3) Every trainee must be paid at not less than the rate
specified in the approved program for hislher level of progress.
expressed as a percentage of the journeyman-level hourly rate
specified in the applicabie wage determination. Trainees shall be
paid fringe benefits in accordance with the provisions of the trainee
program. If the trainee program does not mention fringe benefits.
trainees shall be paid the full amount of fringe benefits listed on the
wage determination unless the Administrator ot the Wage and Hour
Division determines that there is an apprenticeship program
associated with the corresponding joumeyman-Ievel wage rate on the
wage determination which provides for less than full fringe benellts for
apprentices, in which case such trainees shail receive the same fringe
benefits as apprentices.
(4) In the event the Employment and Training Adminis-
tration w"ithdraws approval of a training program. the contractor or
subcontractor will no longer be permitted to utilize trainees at less
than the applicable predetermined rate for the work performed until an
acceptabie program is approved.
REQUIRED BY 23 CFR A33 102 -29-
c. Helpers:
Helpers will be permitted to work on a project if the helper
classification is specified and defined on the applicable wage
determination or is approved pursuant to the conformance procedure
set forth in Section IV.2. Any worker listed on a payroll at a heiper
wage rate. who is not a helper under a approved definition, shall be
paid not less than the applicable wage rate on the wage determination
for the classification of work actually performed.
5. Apprentices and Trainees (Programs of the U.S. DOT):
Apprentices and trainees working under apprenticeship and skill
training programs which have been certified by the Secretary of
Transportation as promoting EEO in connection with Federal-aid
highway construction programs are not subject to the requirements of
paragraph 4 of this Section IV The straight time hourty wage rates for
apprentices and trainees under such programs will be established by
the particular programs. The ratio of apprentices and trainees to
journeymen shall not be greater than permitted by the terms of the
particular program.
6. Withholding:
The SHA shall upon its own action or upon wrillen request of
an authorized representative of the DOL withhold, or cause to be
withheld. from the contractor or subcontractor under this contract or
any other Federal contract with the same prime contractor, or any
other Federally-assisted contract subject to Davis-Bacon prevailing
wage requirements which is held by the same prime contractor. as
much of the accrued payments or advances as may be considered
necessary to pay laborers and mechanics, including apprentices.
trainees. and helpers, employed by the contractor or any subcon-
tractor the full amount of wages required by the contract. In the event
of failure to pay any laborer or mechanic, including any apprentice.
trainee, or helper, employed or working on the site of the work. all or
part of the wages required by the contract, the SHA contracting officer
may. after wrillen notice to the contraclor. take such action as may be
necessary to cause the suspension of any further payment. advance,
or guarantee of funds until such violations have ceased.
7 Overtime Requirements:
No contractor or subcontractor contracting for any part of the
contract work which may require or involve the employment of
laborers, mechanics. watchmen. or guards (including apprentices.
trainees, and helpers described in paragraphs 4 and 5 above) shall
require or permit any laborer, mechanic, watchman, or guard in any
workweek in which he/she is employed on such work, to work in
a. Payrolls and basic records relabng thereto shall be
maintained by the contractor and each subcontractor during the
course of the work and preserved for a period of 3 years from the date
of completion of the contract for all laborers, mechanics. apprentices,
trainees, watchmen, helpers, and guards working at the site of the
work.
b. The payroll records shall contain the name, social security
number, and address of each such employee; his or her correct
classification; hourly rates of wages paid (including rates of
contributions or costs anticipated for bona fide fringe benefits or cash
equivalent thereof the types described in Section 1 (b)(2)(B) of the
Davis Bacon Act); daily and weekly number of hours worked;
deductions made; and actual wages paid. In addition. for Appala-
chian contracts. the payroll records shall contain a notation indicating
whether the employee does, or does not, normally reside in the labor
area as defined in Attachment A, paragraph 1 Whenever the
Secretary of Labor, pursuant to Section IV, paragraph 3b, has found
that the wages of any laborer or mechanic include the amount of any
costs reasonably anticipated in providing benefits under a plan or
program described in Section 1 (b)(2)(B) of the Davis Bacon Act, the
contractor and each subcontractor shall maintain records which show
that the commitment to provide such benefits is enforceable, that the
plan or program is financially responsible. that the plan or program
excess of 40 hours in such workweek unless such laborer, mechanic,
watchman, or guard receives compensation at a rate not less than
one-and-one-half times hisJher basic rate of pay for all hours worked
in excess of 40 hours in such workweek.
8. Violation:
Liability for Unpaid Wages; Liquidated Damages: In the event of
any violation of the clause set forth in paragraph 7 above. the
contractor and any subcontractor responsible thereof shall be liable to
the affected employee for his/her unpaid wages. In addition, such
contractor and subcontractor shall be liable to the United Stales (in
the case of work done under contract for the District of Columbia or a
terrilory. to such District or to such territory) for liquidated damages.
Such liquidated damages shall be computed with respect to each
individual laborer. mechanic. watchman. or guard employed in
violation of the clause set forth in paragraph 7, in the sum of $10 for
each calendar day on which such employee was required or permitted
to work in excess of the standard work week of 40 hours without
payment of the overtime wages required by the clause set forth in
paragraph 7
9 Withholding for Unpaid Wages and Liquidated Damages:
The SHA shall upon its own action or upon written request of any
authorized representative of the DOL withhold. or cause to be
withheld. from any monies payable on account of work performed by
the contractor or subcontractor under any such contract or any other
Federal contract with the same prime contractor. or any other
Federally-assisted contract subject to the Contract Work Hours and
Safety Standards Act, which is held by the same prime contractor.
such sums as may be determined to be necessary to satisfy any
liabilities of such contractor or subcontractor for unpaid wages and
liquidated damages as provided in the clause set forth in paragraph 8
above.
V STATEMENTS AND PAYROLLS
(Applicable to all Federal-aid constructton contracts exceeding
$2,000 and to all related subcontracts. except for projects located on
roadways classified as local roads or rural collectors, which are
exempt.)
1 Compliance with Copeland Regulations (29 CFR 3):
The contractor shall comply with the Copeland Regulations of the
Secretary of Labor which are herein incorporated by reference.
2. Payrolls and Payroll Records:
has been communicated in writing fo the laborers or mechanics
affected. and show the cost anticipated or the actual cost incurred in
providing benefits. Contractors or subcontractors employing
apprentices or trainees under approved programs shall maintain
written evidence of the registration of apprentices and trainees. and
ratios and wage rates prescribed in the applicable programs.
c. Each contractor and subcontractor shall furnish, each week
in which any contract work is performed, to the SHA resident engineer
a payroll of wages paid each of its employees (including apprentices.
trainees. and helpers. described in Section IV, paragraphs 4 and 5.
and watchmen and guards engaged on work during the preceding
weekly payroll period). The payroll submilled shall set out accurately
and completely all of the information required to be maintained under
paragraph 2b of this Section V This information may be submitted in
any form desired. Optional Form WH-347 is available forthis purpose
and may be purchased from the Superintendent of Documents
(Federal stock number 029-005.0014-1). U.S. Govemment Printing
Office. Washington, D.C. 20402. The prime contractor is responsible
for the submission of copies of payrolls by all subcontractors.
d. Each payroll submitted shall be accompanied by a
"Statement of Compliance," signed by the contractor or subcontractor
REQUIRED BY 23 CFR 633 102 30-
or hislher agent who pays or supervises the payment of the persons
employed under the contract and shall certify the tollowing:
(1) that the payroll for the payroll period contains the
information required to be maintained under paragraph 2b of this
Section V and that such intormation is correct and complete;
(2) that such laborer or mechanic (including each helper,
apprentice, and trainee) employed on the contract during the payroll
period has been paid the full weekly wages earned. without rebate,
either directly or indirectly. and Ihat no deductions have been made
either directly or indirectly from the full wages earned, other than
permissible deductions as set forth in the Regulations, 29 CFR 3;
(3) that each laborer or mechanic has been paid not less
that the applicabie wage rate and fringe benefits or cash equivalent
for Ihe classification of worked pertormed. as specified in the
applicable wage determination incorporated into the contract.
e. The weekly submission of a properly executed certification
set forth on the reverse side of Optional Form WH-347 shall satisfy
the requirement tor submission of the "Statement of Compliance"
required by paragraph 2d of this Section V
f. The falsification of any of the above certifications may subject
the contractor to civil or criminal prosecution under 18 U.S.C 1001
and 31 U.S.C.231
g. The contractor or subcontractor shall make the records
required under paragraph 2b of this Section V available for inspection,
copying. or transcription by authorized representatives of the SHA, the
FHW A, or the DOL. and shall pennit such representatives to interview
employees during working hours on the job. If the contractor or
subcontractor fails to submit the required records or to make them
available. the SHA. the FHW A, the DOL, or all may, after written
notice to the contractor. sponsor, applicant, or owner, take such
actions as may be necessary to cause the suspension of any further
payment, advance, or guarantee of funds. Furthermore, failure to
submit the required records upon request or to make such records
available may be grounds for debarment action pursuant to 29 CFR
5.12.
a. "Its own organization" shall be construed to include only
workers employed and paid directly by the prime contractor and
equipment owned or rented by the prime contractor, with or without
operators. Such term does not include employees or equipment of a
subcontractor, assignee. or agent of the prime contractor
b. "Specialty Items" shall be construed to be limited to work
that requires highly specialized knowledge, abilities, or equipment not
ordinarily available in the type of contracting organizations qualified
and expected to bid on the contract as a whole and in general are to
be limited to minor components of the overall contract.
2. The contract amount upon which the requirements set forth tn
paragraph 1 of Section VII is computed includes the cost of material
and manufactured producls which are to be purchased or produced
by the contractor under the contract provisions.
3. The contractor shall furnish (a) a competent superintendent or
supervisor who is employed by the firm. has full authority to direct
periormance of the work in accordance with the contract require-
ments. and is in charge of all construction operations (regardless of
who periorms the work) and (b) such other of its own organizational
resources (supervision. management, and engineering services) as
the SHA contracting officer determines is necessary to assure the
periormance of the contract.
4. No portion of the contract shall be sublet. assigned or otherwise
disposed of except with the written consent of the SHA contracting
officer. or authorized representative, and such consent when given
shall not be construed to relieve the contractor of any responsibility for
the fulfillment of the contract. Written consent will be given only after
the SHA has assured that each subcontract is evidenced in writing
VI. RECORD OF MATERIALS, SUPPLIES, AND LABOR
1 On all Federal-aid contracts on the National Highway System.
except those which provide solely for the Installation of protective
devices at railroad grade crossings. those which are constructed on a
force account or direct labor basis, highway beautification contracts,
and contracts for which the total final construction cost for roadway
and bridge ts iess than $1,000.000 (23 CFR 635) the contractor shall:
a. Become familiar with the list of specific materials and
supplies contained in Form FHWA-47. 'Stalement of Materials and
Labor Used by Contractor of Highway Construction Involving Federal
Funds,' prior to the commencement ot work under this contract
b. Maintain a record of the total cost of all materials and
supplies purchased for and incorporated in the work. and also of the
quantities of those specific materials and supplies listed on Form
FHWA.47, and In the units shown on Form FHWA-47
c. Furnish, upon the completion of the contract. to the SHA
resident engineer on Form FHW A.47 together wtth the data required
in paragraph 1 b relative to materials and supplies. a final labor
summary of all contract work indicating the total hours worked and the
total amount eamed.
2. At the prime contractor's option. either a single report covering
all contract work or separate reports for the contractor and for each
subcontract shall be submitted.
VII. SUBLETTING OR ASSIGNING THE CONTRACT
1 The contractor shall perform with its own organization conlract
work amounting to not less than 30 percent (or a greater percentage if
specified elsewhere in the contract) of Ihe lotal original contract price.
excluding any specialty items designated by the State. Specialty
items may be perionned by subcontract and the amount of any such
specialty items performed may be deducted from the total original
contract price betore compuling the amount ot work required to be
perionned by the contractor's own organization (23 CFR 635).
and that it contains all pertinent provisions and requirements of the
prime contract.
VIII. SAFETY: ACCIDENT PREVENTION
1 In the performance of this contract the contractor shall comply
with all applicable Federal, Slate. and local laws goveming safety,
health, and sanitation (23 CFR 635). The contractor shall provide all
safeguards, safety devices and protective equipment and take any
other needed actions as it detennines, or as the SHA contracting
officer may delermine. to be reasonably necessary to protect the life
and health of employees on the job and the safety of the public and to
protect property in connection with the perionnance of the work
covered by the contract.
2. It is a condition of this contract, and shall be made a condition of
each subcontract, which Ihe contractor enters into pursuant to this
contract, thatlhe contractor and any subcontractor shall not pennil
any employee. in perfonnance of the contract, to work in surroundings
or under conditions which are unsanitary, hazardous or dangerous to
hislher health or safety, as detennined under construction safety and
health standards (29 CFR 1926) promulgated by the Secretary of
Labor. in accordance with Section 107 of the Contract Work Hours
and Safety Standards Act (40 U.S.C 333).
3. Pursuant to 29 CFR 1926.3, it is a condition of this contract that
the Secretary of Labor or authorized representative thereof, shall have
right of entry to any site of contract periormance to inspect or
investigate the matter of compliance with the construction safety and
health standards and to carry out the duties of the Secretary under
Section 107 of the Contract Work Hours and Safety Standards Act (40
U.S.C.333).
REQUIRED BY 23 CFR E33 102 31-
IX. FALSE STATEMENTS CONCERNING HIGHWAY PROJECTS
In order to assure high quality and durable construction in
conformity with approved plans and specifications and a high degree
of reliability on statements and representations made by engineers,
contractors, suppliers. and workers on Federal-aid highway projects, it
is essential that all persons concerned with the project perform their
functions as carefully. thoroughly, and honestly as possible. Willful
falsification, distortion, or misrepresentation with respectto any facts
related to the project is a violation of Federal law. To prevent any
misunderstanding regarding the seriousness of these and similar acts.
the following notice shall be posted on each Federal-aid highway
project (23 CFR 635) in one or more pi aces where it is readily
available to all persons concerned with the project:
NOTICE TO ALL PERSONNEL ENGAGED ON FEDERAL-AID
HIGHWAY PROJECTS
18 U.S.C. 1020 reads as follows:
"Whoever, being an officer, agent, or employee of the United
States, or of any State or Territory. or whoever, whether a person,
association, firm, or corporation. knowingly makes any false
statement, false representation, or fatse report as to the character,
quality, quantity. or cost of the material used or to be used, or the
quantity or quality of the work performed or to be performed, or the
cost thereof in connection with the submission of plans, maps,
specifications, contracts, or costs of construction on any highway or
related project submitted for approvaf to the Secretary of
Transportation; or
Whoever knowingly makes any false statement. false represen.
tation, false report or false claim with respect to the character. quality,
quantity, or cost of any work performed or to be performed, or
materials furnished or to be furnished, in connection with the
construction of any highway or related project approved by the
Secretary of Transportation; or
3. That the firm shall promptly notify the SHA of the receipt of any
communication trom the Director, Office of Federal Activities, EPA,
indicating that a facility that is or will be utilized for the contract is
under consideration to be listed on the EPA List of Violating Facilities.
4 That the firm agrees to include or cause to be included the
requirements of paragraph 1 through 4 of this Section X in every
nonexempt subcontract. and further agrees to take such action as the
govemment may direct as a means of enforcing such requirements.
XI. CERTIFICATION REGARDING DEBARMENT, SUSPENSION,
INELIGIBILITY AND VOLUNTARY EXCLUSION
1 Instructions for Certification - Primary Covered Transac-
tions:
(Applicable to all Federal-aid contracts - 49 CFR 29)
a. By signing and submitting this proposal. the prospective
primary partiCipant is providing the certification set out below
b. The inability of a person to provide the certification set out
below will not necessarily result in denial of participation in this
covered transaction. The prospective participant shall submit an
explanation of why it cannot provide the certification set out below
The certification or explanation will be considered in connection with
the department or agency's determination whether to enter into this
transaction. However, failure of the prospective primary participant to
furnish a certification or an explanation shall disqualify such a person
from participation in this transaction.
c. The certification in this clause is a material representation of
fact upon which reliance was placed when the department or agency
determined to enter into this transaction. If it is later determined that
the prospective primary participant knowingly rendered an erroneous
certification, in addition to other remedies available to the Federal
Whoever knowingly makes any false statement or false repre-
sentation as to material fact in any statement, certificate, or report
submitted pursuant to provisions of the Federal.aid Roads Act
approved July " 1916, (39 Stat. 355), as amended and supple-
mented;
Shall be fined not more that $10,000 or imprisoned not more than 5
years or both."
X. IMPLEMENTATION OF CLEAN AIR ACT AND FEDERAL
WATER POLLUTION CONTROL ACT
(Applicable to all Federal.aid construction contracts and to all related
subcontracts of $100.000 or more.)
By submission of this bid or the execution of this contract, or
subcontract, as appropriate, the bidder, Federal-aid construction
contractor, or subcontractor, as appropriate. will be deemed to have
stipulated as follows:
1 That any facility that is or will be utilized in the performance of this
contract. unless such contract is exempt under the Clean Air Act. as
amended (42 U.S.C. 1857 ~ ~.. as amended by Pub.L. 91-604),
and under the Federal Water Pollution Control Act. as amended (33
U.S.C. 1251 ~~., as amended by Pub.L. 92-500), Executive Order
11738, and regulations in implementation thereof (40 CFR 15) is not
listed. on the date of contract award. on the U.S. Environmental
Protection Agency (EPA) List of Violating Facilities pursuant to 40
CFR 15.20.
2. That the firm agrees to comply and remain in compliance with all
the requirements of Section 114 of the Clean Air Act and Section 308
of the Federal Water Pollution Control Act and all regulations and
guidelines listed thereunder
Government, the department or agency may terminate this transaction
for cause of default.
d. The prospective primary participant shall provide immediate
written notice to the department or agency to whom this proposal is
submitted if any time the prospective primary participant learns that its
certification was erroneous when submitted or has become erroneous
by reason of changed circumstances.
e. The terms "covered transaction," 'debarred," 'suspended,"
'ineligible," "lower tier covered transaction," 'participant," 'person,"
'primary covered transaction," 'principal," 'proposal," and "voluntarily
excluded," as used in this clause, have the meanings set out in the
Definitions and Coverage sections of rules implementing Executive
Order 12549 You may contact the department or agency to which
this proposal is submitted for assistance in obtaining a copy ot those
regulations.
f. The prospective primary participant agrees by submitting this
proposal that. should the proposed covered transaction be entered
into. it shall not knowingly enter into any lower tier covered transaction
with a person who is debarred, suspended, declared ineiigible, or
voluntartly excluded from participation in this covered transaction.
unless authorized by the department or agency entering into this
transaction.
g. The prospective primary participant further agrees by
submitting this proposal that it will include the clause tilled 'Certifi-
cation Regarding Debarment. Suspension, Ineligibility and Voluntary
Exclusion-Lower Tier Covered Transaction," provided by the
department or agency entering into this covered transaction. without
modification, in all lower tier covered transactions and in all
solicitations for lower tier covered transactions.
h. A participant in a covered transaction may rely upon a
certification of a prospective participant in a lower tier covered
REQUIRED BY 23 CFR 631 102 -32
transaction that is not debarred, suspended. ineligible. or voluntarily
excluded from the covered transaction. unless it knows that the
certification is erroneous. A participant may decide the method and
frequency by which it determines the eligibility of its principals. Each
participant may, but is not required to. check the non procurement
portion ot the 'Lists 01 Parties Excluded From Federal Procurement or
Nonprocurement Programs' (Nonprocurement List) which is compiled
by the General Services Administration.
I. Nothing contained in the foregoing shall be construed to
require establishment of a system of records in order to render in
good faith the certification required by this clause. The knowledge
and information of participant is not required to exceed that which is
normally possessed by a prudent person in the ordinary course of
business dealings.
j. Except tor transactions authorized under paragraph 1 01 these
instructions. if a participant in a covered transaction knowingly enters
into a lower tier covered transaction with a person who is suspended.
debarred. ineligible, or voluntarily excluded from participation in this
transaction, in addition to other remedies available to the Federal
Govemment. the department or agency may terminate this transaction
tor cause or default.
Certification Regarding Debarment, Suspension, Ineligibility
and Voluntary Exclusion-Primary Covered Transactions
1 The prospective primary participant certifies to the best of its
knowledge and belief. that it and its prtncipals:
a. By signing and submitting this proposal, the prospective
lower tier is providing the certification set out below.
b. The certification in this clause is a material representation of
fact upon which reliance was placed when this transaction was
entered into. If it is later determined that the prospective lower tier
participant knowingly rendered an erroneous certification. in addition
to other remedies available to the Federal Government, the depart-
ment, or agency with which this transaction originated may pursue
available remedies. including suspension and/or debarment.
c. The prospective lower tier participant shall provide
immediate written notice to the person to which this proposal is
submitted if at any time the prospective lower tier participant learns
that its certification was erroneous by reason of changed circum-
stances.
d. The terms 'covered transaction,' 'debarred,' 'suspended,'
'ineligible,' 'primary covered transaction,' 'participant,' 'person,'
'principal,' 'proposal,' and 'voluntarily excluded,' as used in this
clause, have the meanings set out in the Definitions and Coverage
sections of rules implementing Executive Order 12549. You may
contact the person to which this proposal is submitted for assistance
in obtaining a copy of those regulations.
e. The prospective lower tier participant agrees by submitting
this proposal that. should the proposed covered transaction be
entered into. it shall not knowingly enter into any lower tier covered
transaction with a person who is debarred. suspended, declared
ineligible, or voluntarily excluded from participation in this covered
transaction, unless authorized by the department or agency with which
this transaction originated.
f. The prospective lower tier participant further agrees by
submitting this proposal that it will include this clause liIIed
'Certification Regarding Debarment, Suspension, Ineligibility and
Voluntary Exciusion-Lower Tier Covered Transaction,' without
modification, in all lower tier covered transactions and in all
solicitations for lower tier covered transactions.
a. Are not presently debarred, suspended, proposed tor
debarment. declared ineligible. or voluntarily excluded from covered
transactions by any Federal department or agency;
b. Have not within a 3.year period preceding this proposal been
convicted of or had a civil judgement rendered against them for
commission of fraud or a criminal offense in connection with
obtaining, attempting to obtain, or pertorming a public (Federai. State
or local) transaction or contract under a public transaction; violation of
Federal or State antitrust statutes or commission of embezzlement.
theft, forgery. bribery, falsification or destruction of records. maKing
false statements, or receiving stolen property;
c. Are not presently indicted for or otherwise crlminaliy or civilly
charged by a governmental entily (Federal, State or local) with
commission of any of the offenses enumerated in paragraph 1 b of this
certification; and
d. Have not within a 3-year period preceding this applica-
tion/proposal had one or more public transactions (Federal. State or
local) terminated for cause or default.
2. Where the prospective primary participant is unable to certify to
any of the statements in this certification, such prospective participant
shall attach an explanation to this proposal.
2. Instructions for Certification - Lower Tier Covered Transac-
tions:
(Applicable to all subcontracts, purchase orders and other lower tier
transactions of $25,000 or more - 49 CFR 29)
g. A participanl in a covered transaction may rely upon a
certification of a prospective participant in a lower tier covered
transaction that is not debarred. suspended, ineligible, or voluntarily
excluded trom the covered transaction. unless it knows that the
certification is erroneous. A participant may decide the method and
frequency by which it determines the eligibility of its principals. Each
participant may. but is not required to, check the Nonprocurement List.
h. Nothing contained in the foregoing shall be construed to
require establishment of a system of records in order to render in
good faith the certification required by this clause. The knowledge
and information of participant is not required to exceed that which is
normally possessed by a prudent person in the ordinary course of
business dealings.
I. Except for transactions authorized under paragraph e of
these instructions, if a participant in a covered transaction knowingiy
enters into a lower tier covered transaction with a person who is
suspended. debarred. ineligible, or voluntarily excluded trom
participation in this Iransaction, in addition to other remedies available
10 the Federal Government, the department or agency with which this
transaction originated may pursue available remedies. including
suspension and/or debarment.
Certification Regarding Debarment, Suspension, Ineligibility
and Voluntary Exclusion-Lower Tier Covered Transactions:
1 The prospective lower tier participant certifies. by submission of
this proposal, that neither it nor its principals is presently debarred,
suspended. proposed for debarment, declared ineligible, or voluntarily
excluded from participation in this transaction by any Federal
department or agency
2. Where the prospective lower tier participant is unable to certify
to any of the statements in this certification. such prospective
participant shall attach an explanation to this proposal.
REQUIRED BY 21 CFR 63~ 102 -3.,-
XII. CERTIFICATION REGARDING USE OF CONTRACT FUNDS
FOR LOBBYING
(Applicable to all Federal-aid construction contracts and to all
related subcontracts which exceed $100,000 - 49 CFR 20)
1 The prospective participant certifies, by signing and submitting
this bid or proposal. to the best of his or her knowledge and belief,
that:
a. No Federal appropriated funds have been paid or will be
paid, by or on behalf of the undersigned. to any person for influencing
or attempting to influence an officer or employee of any Federal
agency, a Member of Congress, an officer or employee of Congress,
or an employee of a Member of Congress in connection with the
awarding of any Federal contract, the making of any Federal grant,
the making of any Federal loan, the entering into of any cooperative
agreement. and the extension, continuation, renewal. amendment, or
modification of any Federal contract. granl, loan, or cooperative
agreement.
b. If any funds olher than Federal appropriated funds have
been paid or will be paid to any person for influencing or attempting to
influence an officer or employee of any Federal agency, a Member of
Congress, an officer or employee of Congress, or an employee of a
Member of Congress in connection wilh this Federal contract, grant.
loan, or cooperative agreement. the undersigned shall complete and
submit Standard Form-LLL, "Disclosure Form to Report Lobbying,' in
accordance with its instructions,
2, This certification is a malerial representation of fact upon which
reliance was placed when this transaction was made or entered Into,
Submission of this certification is a prerequisite for making or entering
into this transaction imposed by 31 U.S,C. 1352, Any person who
fails to file the required certification shall be subject to a civil penalty
of not less Ihan $10,000 and not more Ihan $100.000 for each such
failure.
3, The prospective participant also agrees by submitting his or her
bid or proposal that he or she shall require Ihallhe language of this
certification be included In all lower tier subcontracts, which exceed
$100,000 and that all such recipients shall certify and disclose
accordingly
REQUIRED BY 23 CFR 633 102 -34-
ADDENDUM A: FEDERAL REQUIREMENTS
Federal laws and regulatlOns that may be applicable to the Work Include
A. The "Umform Admimstrative Requirements for Grants and Cooperative Agreements to State and
Local Governments (Common Rule), at 49 Code of Federal RegulatIOns, Part 18. except to the extent
that other applicable federal requirements (including the provisions of 23 CFR Parts 172 or 633 or
635) are more specific than provisions of Part 18 and therefore supersede such Part 18 provisions.
The requirements of 49 CFR 18 mclude, WIthout limItation.
I) the Local Agency/Contractor shall follow applicable procurement procedures, as reqUired by
section 18.36(d);
2) the Local Agency/Contractor shall request and obtain prior CDOT approval of changes to any
subcontracts in the manner, and to the extent reqUired by, applicable provislOns of sectIOn 18.30;
3) the Local Agency/Contractor shall comply with section 18.37 concerning any sub grants;
4) to expedite any CDOT approval, the Local Agency/Contractor's attorney, or other authorized
representative, shall also submit a letter to CDOT certifying Local Agency/Contractor complIance with
sectIOn 18 30 change order procedures, and with l8.36(d) procurement procedures, and With 18.37
sllbgrant procedures, as applicable,
5) the Local Agency/Contractor shall incorporate the specific contract provisions described III 18.36(i)
(which are also deemed incorporated herein) mto any subcontract(s) for such services as terms and
conditions of those subcontracts.
B. Executive Order 11246 of September 24, 1965 entitled "Equal Employment Opportunity," as
amended by Executive Order 11375 of October 13, 1967 and as supplemented in Department of Labor
regulatlOns (41 CFR Chapter 60) (All construction contracts awarded in excess of $1 0,000 by grantees
and theIr contractors or subgrantees).
C. The Copeland "Anti-Kickback" Act (18 U.S C 874) as supplemented In Department of Labor
regulatIons (29 CFR Part 3) (All contracts and subgrants for construction or repair)
D The Davis-Bacon Act (40 U.S C. 276a to a-7) as supplemented by Department of Labor regulations
(29 CFR Part 5) (Construction contracts III excess of $2,000 awarded by grantees and subgrantees when
required by Federal grant program legislation. This act reqUires that all laborers and mechanics
employed by contractors or sub-contractors to work on construction projects financed by federal
assistance must be paid wages not less than those estabhshed for the locality of the project by the
Secretary of Labor).
E. Sections 103 and 107 of the Contract Work Hours and Safety Standards Act (40 U.S C. 327-330) as
supplemented by Department of Labor regulations (29 CFR Part 5). (Construction contracts awarded by
grantees and subgrantees III excess of $2,000, and in excess of $2,500 for other contracts which involve
the employment of mechanics or laborers)
F Standards, orders, or reqmrements Issued under section 306 of the Clear Air Act (42 U.S C. 1857(h),
section 508 of the Clean Water Act (33 U.S.c. 1368). Executive Order 11738, and EnvHonmental
-3':>-
ProtectlOn Agency regulations (40 CFR Part 15) (contracts, subcontracts, and subgrants of amounts in
excess of $100,000)
G Mandatory standards and poliCies relatIng to energy effiCIency which are contaIned III the state energy
conservatlOn plan Issued m compliance WIth the Energy Policy and Conservation Act (Pub L. 94-163)
H. Office of Management and Budget Circulars A-87, A-21 or A-In, and A-I02 or A-IlO. whichever
is applicable
1. The Hatch Act (5 use 1501-1508) and PublIc Law 95-454 Section 4728 These statutes state that
federal funds cannot be used for partisan polItIcal purposes of any kind by any person or organizatIOn
Involved In the administration of federally-assisted programs.
J 42 USC 6101 et seq. 42 USC 2000d, 29 USC 794, and implementing regulation, 45 c.F.R. Part 80et.
~ These acts reqUire that no person shall, on the grounds of race, color, national origlll, age, or
handicap, be excluded from participation in or be subjected to discnmmation m any program or actiVity
funded, in whole or part, by federal funds;
K. The Amencans with DisabilIties Act (Public Law 101-336,42 USC 12101, 12102, 12111-12117,
12131-12134,12141-12150, 12161-12165, 12181-12189, 12201-12213 47 USC 225 and 47 USC 611.
L. The Uniform Relocation Assistance and Real Property AcquisitlOn PoliCies Act, as amended (Public
Law 91-646, as amended and PublIc Law 100-17, 101 Stat. 246-256) (If the contractor is acqUiring real
property and displaCIng households or businesses In the performance of this contract.)
M. The Drug-Free Workplace Act (Pubhc Law 100-690 Title V, subtitle D, 41 USC 701 et seg.)
N The Age DiscriminatIOn Act of 1975, 42 U.S.c. Sections 610 I et. seq. and its implementing
regulation, 45 C.F.R. Part 91;
Section 504 ofthe RehabilitatlOn Act of 1973,29 U.S.c. 794, as amended, and implementIng regulation
45 C.F.R. Part 84
o 23 C.F.R. Part 172, concerning "Admmistration of Engineenng and DeSign Related Contracts".
P 23 C.F.R Part 633, concernmg "Required Contract Provisions for Federal-Aid Construction
Contracts"
Q 23 C.F.R. Part 635, concernIng "ConstructlOn and Maintenance ProVisions"
R. Title VI of the Civil RIghts Act of 1964 and I 62(a) of the Federal Aid Highway Act of 1973 The
reqUirements for which are shown in the Nondiscnmination ProVisions, which are attached hereto and
made a part hereof
-36-
APRIL 1980
Nondiscrimination Provisions:
In compliance with Title VI of the Civil Rights Act of 1964 and with Section 162(a) of
the Federal Aid Highway Act of 1973, the Contractor, for itself, its assignees and
successors in interest, agree as follows
A. Compliance with Requlations. The Contractor will comply with the Regulations of
the Department of Transportation relative to nondiscrimination in Federally assisted
programs of the Department of Transportation (Title 49, Code of Federal
Regulations, Part 21 , hereinafter referred to as the "Regulations"), which are herein
incorporated by reference and made a part of this contract.
B. Nondiscrimination. The Contractor, with regard to the work performed by it after
award and prior to completion of the contract work, will not discriminate on the
ground of race, color, sex, mental or physical handicap or national origin in the
selection and retention of Subcontractors, including procurement of materials and
leases of equipment. The Contractor will not participate either directly or indirectly
in the discrimination prohibited by Section 21.5 of the Regulations, including
employment practices when the contract covers a program set forth in AppendiX C
of the Regulations.
C. Solicitations for Subcontracts, Includinq Procurement of Materials and Equipment.
In all solicitations either by competitive bidding or negotiation made by the
Contractor for work to be performed under a subcontract, including procurement of
materials or equipment, each potential Subcontractor or supplier shall be notified by
the Contractor of the Contractor's obligations under this contract and the
Regulations relative to nondiscrimination on the ground of race, color, sex, metal or
physical handicap or national origin.
D. Information and Reports. The Contractor will provide all information and reports
required by the Regulations, or orders and instructions issued pursuant thereto and
will permit access to its books, records, accounts, other sources of information and
its facilities as may be determined by the State or the FHWA to be pertinent to
ascertain compliance with such Regulations, orders and instructions. Where any
information required of the Contractor is in the exclusive possession of another who
fails or refuses to furnish this information, the Contractor shall so certify to the
State, or the FHWA as appropriate and shall set forth what efforts have been made to
obtain the information.
E. Sanctions for Noncompliance. In the event of the Contractor's noncompliance with
the nondiscrimination provisions of this contract, the State shall impose such
-37-
contract sanctions as it or the FHWA may determine to be appropriate, including, but
not limited to.
(1) Withholding of payments to the Contractor under the contract until the
Contractor complies, and / or;
(2) Cancellation, termination or suspension of the contract, in whole or in part.
F. Incorporation of Provisions. The Contractor will include the provisions of
paragraphs A through F in every subcontract, including procurement of materials
and leases of equipment, unless exempt by the Regulations, orders, or instructions
issued pursuant thereto. The Contractor will take such action with respect to any
subcontract or procurement as the State or the FHWA may direct as a means of
enforcing such provisions including sanctions for noncompliance; provided,
however, that, in the event the Contractor becomes involved in, or is threatened
with, litigation with a Subcontractor or supplier as a result of such direction, the
Contractor may request the State to enter into such litigation to protect the interest
of the State and in addition, the Contractor may request the FHWA to enter into such
litigation to protect the interests of the United States.
~38-
ATTACHMENT LO
Certification for Federal-Aid Contracts
The contractor certifies, by signing this contract, to the best of its knowledge and
belief, that.
(1) No Federal appropriated funds have been paid or will be paid, by or on behalf
or the undersigned, to any person for influencing or attempting to influence an
officer or employee of any Federal agency, a Member of Congress, an officer or
employee of Congress, or an employee of a Member of Congress in connection
with the awarding of any Federal loan, the entering into of any cooperative
agreement, and the extension, continuation, renewal, amendment, or modification
of any Federal contract, grant, loan, or cooperative agreement.
(2) If any funds other than Federal appropriated funds have been paid or will be
paid to any person for influencing or attempting to influence an officer or of
Congress, or an employee of a Member of Congress in connection with this Federal
contract, grant, loan, or cooperative agreement, the undersigned shall complete
and submit Standard Form-LLL, "Disclosure Form to Report Lobbying," in
accordance with its instructions.
This certification is a material representation of fact upon which reliance was
placed when this transaction was made or entered into. Submission of this
certification is a prerequisite for making or entering into this transaction imposed
by Section 1352, Title 31, U.s. Code. Any person who fails to file the required
certification shall be subject to a civil penalty of not less than $10,000 and not
more than $100,000 for each such failure.
The prospective participant also agree by submitting his or her bid or proposal
that he or she shall require that the language of this certification be included in all
lower tier subcontracts, which exceed $100,000 and that all such subrecipients
shall certify and disclose accordingly.
Required by 23 CFR 635.112
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APPENDIX B
DISADV ANT AGED BUSINESS ENTERPRISE (DBE)
SECTION I Policv.
It is the policy of the Colorado Department of TransportatIOn (CDOT) that disadvantaged busllless
enterpnses shall have the maximum Opportulllty to participate III the performance of contracts
financed in whole or in part with Federal funds under this agreement, pursuant to 49 CFR Part 23
Consequently, the 49 CFR Part IE DBE reqUirements the Colorado Department of TransportatIOn
DBE Program (or a Local Agency DBE Program approved in advance by the State) apply to this
agreement.
SECTION 2. DBE Obligation.
The reCIpient or its contractor agrees to ensure that disadvantaged business enterprises as determined
by the Office of Certification at the Colorado Department of Regulatory Agencies have the
maximum opportumty to participate m the performance of contracts and subcontracts financed In
whole or in part with Federal funds provided under this agreement. In this regard, all partiCIpants or
contractors shall take all necessary and reasonable steps in accordance With the CDOT DBE program
(or a Local Agency DBE Program approved in advance by the State) to ensure that disadvantaged
busllless enterpnses have the maximum opportunity to compete for and perform contracts.
Recipients and their contractors shall not discriminate on the basis of race, color, national ongin, or
sex III the award and performance of CDOT assisted contracts.
SECTION 3 DBE Program.
The contractor (subrecipient) shall be responsible for obtaining the Disadvantaged Business
Enterprise Program of the Colorado Department of Transportation, 1988, as amended, and shall
comply with the applIcable provisions of the program. (If applicable)
A copy of the DBE Program is available from.
Business Programs Office
Colorado Department of Transportation
420 I East Arkansas A venue, Room 287
Denver, Colorado 80222-3400
Phone
(303)757-9234
and will be mailed to the contractor upon request.
reVised 1/22/98
Required by 49 CFR Part 23 41
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ADDENDUM B: CONTRACT MODIFICATION TOOLS
The Local Agency and the State may use one or all of the followmg Contract Modification Tools.
in order to more expeditiously change and amend the terms of this contract, if such use IS
warranted by the circumstances as described and authorized therein
A. CHANGE ORDER.
Bilateral changes within the general scope of the contract, as defined above, may be executed
usmg the sImplified change order letter process described in this paragraph and the sample letter
attached for any of the followmg reasons.
a. Where the agreed changes result m no adjustment to the [price] [ceilmg cost], delivery
schedule, or other terms and conditions of the contract. The change letter will contain a mutual
release of claIms for adjustment of price, cost, time for performance, or other terms and
condItions, whether based on costs of changed work or direct or indirect impacts on unchanged
work, as a result of the change; or
b Where the changes to the contract are priced based on the unit pnces to be paid for the
goods or servIces in [Exhibit _1 [Attachment _] of the contract; or
C. Where the changes to the contract are priced based on established catalog prices
generally extended to the public;
The written change letter will be substantially in the form attached hereto, must bear the
signature of the authorized agency official, the contractor, anduexcept where the partIes agree on
the face of the change order that no price/cost, schedule, or other contract adjustments are due the
contractor--the State Controller or hiS designee The change order letter shall refer to the basic
contract and include a detailed description of the changes to the contract, the price or cost ceiling
adjustment, the effective date, and (where applicable) the time within which the changed work
must be done
B. FUNDING LETTER.
Under thiS Contract, the Local Agency has agreed to provide funding based on the terms as
described herein as needed to satisfactorily perform and complete the work, subJect to the
availability of funding.
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Funds are currently available and encumbered for the work m the amount specified above
However, the total cost to complete the work, and the resulting total fundmg amount(s) to be
provided by the State and Local Agency in exchange therefor, as described m this Contract or
otherwise made known to the Local Agency, are only estimated.
If the parties determme that they have underestimated/overestimated the total cost of the work,
they have the right to take the following action
A. to lllcrease/decrease the amount of available funds under thiS Contract.
In the event of this actlOn, the State will notify the Local Agency thereof by Funding Letter. The
Funding Letter will be in a form substantially equivalent to the form attached hereto, and it shall
not be deemed valid until It shall have been sIgned by the Local Agency and approved by the
State Controller or such assistant as he may designate.
C. Task Order.
CDOT may order the performance of additional Work within the Scope by issuing a Task Order
Letter to the Contractor, as follows.
a. After consultation with CDOT, the Contractor shall prepare a Scope proposal for additional
Work (or "Task Proposal") Each proposal shall identify' the partIcular tasks to be performed, as
well as the time for that performance; and the maximum compensation that the State shall be
oblIgated to pay for the satIsfactory performance and completion of the Wark in that proposal,
using the same cost rates/structure as contamed in the Contract. The Task Proposal shall
reference this origmal Contract between the parties.
b. Each proposal shall be as negotiated and agreed by the parties. The Contractor shall submit
that proposal to the Department, all in a form acceptable to the Department.
c. If the State desires the contractor to perform the Work proposal, a Task Order Letter in the
form attached hereto, shall be prepared and signed by the parties. Performance of the Work, and
payment for that work, shall be governed by the standards and procedures set forth in the UPWP
and this Contract.
d. Upon such negotiation and agreement by the partIes, and upon executlOn of the Task Order
Letter, the contractor warrants that performance will be successfully completed withIn the time
and [price] [cost ceiling] identified in the Task Order The State's finanCIal commitment
memonalized by the Task Order Letter shall not be effective until signed by the Controller or
such assistant as he may designate.
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e The maximum amount for all tasks/services identified m a proposal shall not exceed the
maximum amount described m that proposal. The State's financial oblIgatlOn for a particular
proposal IS lImited by that amount, and the contractor shall accept no Task Orders which result III a
cumulative proposal value which exceeds the "not to exceed" value.
Upon proper execution and approval, this letter shall become an amendment to this Agreement and,
except for the General and SpeCial ProvislOns of the Agreement, the letter shall supersede the
Agreement m the event of a conflict between the two.
The Contractor shall not commence work to be performed under each Work Scope proposal until the
date specified by the Department m the Task Order letter, and the Contractor shall complete same by
the date speCified III the proposal, unless the time thereof is extended.
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Appendix Work Change Order Letter
Date
State Fiscal Year 1996-97
Change Order Letter No
In accordance With Paragraph _ of contract routIng number _, between the State of Colorado
Department of Transportation and
[Contractor]
covenng the period of 1997 through , the undersigned agree that the
Work Scope/Schedule/Plan affected by thIS change letter are modified as follows.
Services
The Work Scope/Schedule/Plan is amended by u______________________________ (describe change)
Price/Cost
The maximum amount payable by CDOT for the Work as described in Paragraph _ is
(mcreased/decreased) by ($ amount of change) to a new total of ($ ), based on the pncInglcost in the
Contract. That Paragraph is hereby modIfied accordingly;
OR
The parties agree that the changes made herein are "no cost" changes and shall not be the basiS for claims for
adjustment to [pnce] [cost ceiling], or other terms or conditlOns of the contract. The parties waive and
release each other from any claims or demands for adjustment to the contract, including but not limited to
pnce, cost, and schedule, whether based on costs of changed work or direct or indirect impacts on unchanged
work. Controller approval of this "no cost" change IS not reqUired. Contractor mitlals. CDOT
initIals.
Upon proper execution and approval, this letter shall become an amendment to this Agreement and, except
for the General and Special ProvislOns of the Agreement, the letter shall supersede the Agreement in the
event of a conflict between the two
This change to the contract IS mtended to be effective as of , but. except with respect to "no
cost" changes Identified above, in no event shall it be deemed valid until It shall have been approved bv the
State Controller or such assistant as he mav deSignate.
Please sign, date, and return all copies of thIS letter on or before
19_
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Contractor Name
State of Colorado'
Bill Owens, Governor
By:
Name
Title
By'
For the Executive Director
Colorado Department of Transportation
APPROV ALS
FOR THE ST ATE CONTROLLER
Arthur L. Barnhart
By:
For CDOT State Controller or Designee
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Appendix: Task Order Letter
Date
State Fiscal Year 1996-97
Task Order Letter No
In accordance with Paragraph _ of contract routIng number _, between the State of Colorado for the
use and benefit of its Department of Transportation and
[Contractor]
covenng the period of 19_ through 19_ the undersigned agree that the
services affected by this Task Order Letter are ordered/modified as follows.
Task Order Description
The contractor shall perform the task in accordance with [the followlllg
specifications/statement of work) (the contractor's Task Proposal dated , as amended by
amended Task Proposal dated , both of which are hereby incorporated by reference)
Price/Cost
The [pnce) [maximum amount payable by the State) for [servicel
described above _ IS ($ ) for a new contract total of ($
Performance Period.
The contractor will complete the performance in thIS Task Order by
[date].
ThIS Task Order is executed pursuant to paragraph _ of the onglllaI Contract. The parties agree that all
work shall be performed according to the standards and terms set forth III the onginal Contract. In the event
of any conflict or inconsistency between this amendment and the original Contract, such conflict or
inconSistency shall be resolved by reference to these documents in the following order' SpeCial ProVIsions,
origInal Contract, attachments/exhibits to the onginal Contract, this Task Order Letter, attachments/exhibIts
to thiS Task Order Letter, then Task Order Proposal
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This Task Order IS effective as of In no event shall It be deemed valid until It shall have been
approved by the State Controller or such assIstant as he mav designate
Contractor Name.
State of Colorado.
Bill Owens, Governor
By'
Name
Title
By'
For the Executive Director
Colorado Department of Transportation
APPROV ALS:
FOR THE STATE CONTROLLER
Arthur L. Barnhart
By:
State Controller or Designee
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