HomeMy WebLinkAbout09249RESOLUTION NO. 9249
A RESOLUTION APPROVING A CONTRACT BETWEEN PUEBLO,
A MUNICIPAL CORPORATION, AND THE COLORADO
DEPARTMENT OF TRANSPORTATION FOR THE
TRANSPORTATION ENHANCEMENT PROJECT STE M086 -29
RELATING TO THE D &RGW FREIGHT STATION PROJECT, AND
AUTHORIZING THE PRESIDENT OF COUNCIL TO EXECUTE
SAME
that:
BE IT RESOLVED BY THE CITY COUNCIL OF THE CITY OF PUEBLO, COLORADO,
SECTION 1
The Contract between Pueblo, a Municipal Corporation, and the State of Colorado, for the
use and benefit of the State Department of Transportation for Transportation Enhancement Project
STE M086 -029 (12944)(hereinafter referred to as the "Contract "), a copy of which is on file in the
office of the City Clerk, having been approved as to form by the City Attorney, is hereby approved,
subject only to annual appropriation for maintenance expense obligations in the future years.
SECTION 2
The President of the City Council is hereby authorized to execute and deliver said Contract
on behalf of the City of Pueblo, a Municipal Corporation, and the City Clerk shall affix the Seal of
the City thereto and attest same.
SECTION 3
The funds for the local match in the amount of $25,000 shall be available as per the
Agreement with the Southeastern Colorado Heritage Center, dated March 26, 2001.
SECTION 4
This resolution shall become effective upon final passage.
INTRODUCED March 26, 2001
BY Patrick Avalos
r
(FMLAWRK)
PROJECT STE M086-029,12944
REGION 2, /(reo)
Rev3 /99
00 HA2 00043
TRANSPORTATION ENHANCEMENT CONTRACT
2001
THIS CONTRACT, made this 26th day of March , 0_ by and between the
State of Colorado for the use and benefit of THE COLORADO DEPARTMENT OF
TRANSPORTATION, hereinafter referred to as the State or CDOT, and CITY OF PUEBLO,
STATE of COLORADO, 211 East D Street, Pueblo, CO 81002, FEIN: 846000615, hereinafter
referred to as the Local Agency, or the contractor.
FACTUAL RECITALS.
1. Authority exists in the law and funds have been budgeted, appropriated and otherwise made
available and a sufficient unencumbered balance thereof remains available for payment of project
and Local Agency costs in Fund Number 400, Appropriation Code 010, Organization Number
9991, Program 2000, Function 3301, Object 2311 1P, Project STE M086 -029, Phase C,
Reporting Category 2250, Contract Encumbrance Number 12944, (Contract Encumbrance
Amount: $125,000.00).
2. Required approval, clearance and coordination has been accomplished from and with
appropriate agencies.
3. Pursuant to Title I, Subtitle A, Section 1108 of the Transportation Equity Act for the 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 in the future be, allocated for highway projects requested by Local Agencies and eligible
under the Surface Transportation Program that has been proposed by the State and approved by
the Federal Highway Administration (FHWA), hereinafter referred to as the program.
3.5 Pursuant to § 1007(a) of TEA -21, at 23 U.S.C. § 133(d)(2), certain Surface Transportation
Project funds are made available only for eligible "Transportation Enhancement Activities ", as
defined in § 23 U.S.C. § 101(a), and this contract provides for the performance by the Local
Agency of a project for an eligible Transportation Enhancement Activity.
4. Pursuant to § 43 -1 -223, C.R.S. and to applicable portions of the federal provisions, the State
is responsible for the general administration and supervision of performance of projects in the
program, including the administration of federal funds for a program project performed by a local
agency under a contract with the State.
4.5 The Local Agency has requested that a certain local highway project be funded as part of the
program as a Transportation Enhancement Activity, and the Local Agency Represents that the
project is an eligible Transportation Enhancement Activity as defined in § 23 U.S.C. § 101(a),
and by the date of execution of this contract the Local Agency (and/or the State) has completed
and submitted a preliminary version of CDOT form #463 describing the general nature of that
project work. The Local Agency understands that, before the project work is actually started, the
description of the project work in that CDOT form #463 will likely be revised as a result of
design changes made by CDOT, in conjunction and coordination with the Local Agency, in its
internal review process. The Local Agency desires to agree to perform the project work as
described in the Form #463, as it may be revised in that Process.
5. Federal -aid funds have been made available for project, STE M086 -029 for the restoration of
the D &RGW freight station as more specifically described in Exhibit A (the Form #463 and/or a
Scope of Work), in Pueblo, Colorado, hereinafter referred to as "the project" or "the work ".
6. The matching ratio for this federal -aid project is 80% federal -aid funds to 20% Local Agency
funds, it being understood that such ratio applies only to such costs as are eligible for federal
participation, it being further understood that all non - participating costs shall be borne by the
Local Agency at 100 %.
7. The Local Agency desires to comply with the federal provisions and other applicable
requirements, including the State's general administration and supervision of the project through
this contract, in order to obtain federal funds for the project.
-2-
8. The Local Agency has estimated the total cost of the Work and is prepared to provide its
match share of the cost, as evidenced by an appropriate ordinance or resolution duly passed and
adopted by the authorized representatives of the Local Agency, which expressly authorizes the
Local Agency to enter into this contract and to expend its match share of the Work. A copy of
this ordinance or resolution is attached hereto and incorporated herein as Exhibit B.
9. This contract is executed under the authority of Sections 29 -1 -203, 43 -1 -110, 43 -1 -116,
43- 2- 101(4)(c) and 43 -2 -144, C.R.S., as amended, and the Local Agency ordinance /resolution.
10. The parties hereto desire to agree upon the division of responsibilities with regard to the
proj ect.
11. The Local Agency is adequately staffed and suitably equipped to undertake and satisfactorily
complete some or all of the Work.
12. The State certifies that such work can be more advantageously performed by the Local
Agency.
NOW, THEREFORE, it is hereby agreed that:
I. STANDARD FORM CONTRACT
This is a standard form contract that is designed to efficiently contract for and administer 2 types
of program projects: 1) program projects which include the same basic work elements (design;
construction; construction administration by local agency; right -of -way; utilities; etc.); and, also,
2) program projects with specific differences in those basic work elements (e.g., a specific
project may include design but no construction, or it may include design and construction but the
State will do the construction administration, etc.)
The form contract accommodates both types of projects by using qualifying language to
condition the application of particular contract requirements, based on whether specific work
elements are included in the project. For instance, where the contract provides ... "If the Work
includes engineering /design services, the Local Agency shall perform the following requirements
the Local Agency need perform those requirements only if engineering /design services are
expressly included in the project, as defined in the Scope of Work. (Conversely, notwithstanding
-3-
that language is in the contract, the Local Agency can ignore those "requirements" if
engineering /design services are NOT expressly included in the Scope of Work.)
The Local Agency shall interpret such qualifying language in that manner. By using such
language, the form contract can apply to both the general and the specific types of projects, thus
making it easier to administer and saving the State and the Local Agency time and expense.
II. PROJECT DESCRIPTION
1. "The project" or "the Work" under this contract shall consist of the the restoration of the
D &RGW freight station, hereinafter referred to as "the project" or "the Work" in Pueblo,
Colorado, as more specifically described in Exhibit A, attached hereto and made a part hereof
(the Form #463 and/or a "Scope of Work ") as it may be revised by the parties in the design
review process before the project work is actually started.
III. INCORPORATION BY REFERENCE
All federal and state statutes, regulations, specifications, administration checklists, directives,
procedures, documents, and publications that are specifically identified and /or referenced in this
contract, together with all exhibits and attachments and addenda to this contract, are incorporated
herein by this reference as terms and conditions of this contract as though fully set forth.
IV. WORK RESPONSIBILITY
The Local Agency shall be responsible to perform (all design and/or right -of -way and /or utility
and/or construction and /or construction administration tasks required to complete) the Work, and
the Local Agency shall comply with all applicable terms and conditions of this contract in
performing the Work, including those process and task responsibilities addressed in the Pre -
Construction and Construction Administration Checklists attached hereto and made a part hereof.
The responsible party shall perform all such tasks in accordance with applicable requirements
and standards, including those in this contract and in applicable law.
0
V. PROJECT FUNDING PROVISIONS
A. The Local Agency has estimated the total cost the Work to be $125,000.00 which is
to be funded as follows:
a. Federal participating funds:
(80% of $125,000.00) $100,000.00
b. Local Agency participating share:
(20% of $125,000.00) $ 25,000.00
Total Funds:
$125,000.00
B. The matching ratio for the federal participating funds for this project is 80%
federal -aid funds (CFDA #20 2050) to 20% Local Agency funds, it being understood that such
ratio applies only to the $125,000.00 that is eligible for federal participation, it being further
understood that all non - participating costs are borne by the Local Agency at 100 %. If the total
actual cost of performance of the Work exceeds $125,000.00, and additional federal funds are
made available for the project, the Local Agency shall pay 20% of all such costs eligible for
federal participation and 100% of all nonparticipating costs; if additional federal funds are not
made available, the local agency shall pay all such excess costs. If the total actual cost of
performance of the Work is less than $125,000.00, then the amounts of Local Agency and
federal -aid funds will be decreased in accordance with the funding ratio described herein. The
performance of the Work shall be at no cost to the State.
C. The maximum amount payable to the Local Agency under this contract shall be
$100,000.00, 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
-5-
is subject to revisions (in accord with the procedure in the previous sentence) agreeable to the
parties prior to bid and award.
D. The parties hereto agree that this contract is contingent upon all funds designated for
the project herein being made available from federal and /or state and/or Local Agency sources,
as applicable. Should these sources, either federal or Local Agency, fail to provide necessary
funds as agreed upon herein, the contract may be terminated by either party, provided that any
party terminating its interest and obligations herein shall not be relieved of any obligations which
existed prior to the effective date of such termination or which may occur as a result of such
termination.
VI. TRANSPORTATION ENHANCEMENT ADVANCE PAYMENT PROVISIONS
The advance payment provisions described herein shall apply only to the construction work
portion of an enhancement project. Payment for all work portions of the Project, including for
the design work, shall be on a reimbursment basis, as described below.
A. Pursuant to FHWA's approval under 23 U.S.C. § 133(e)(3)(B), the State will provide
an advance payment up to a maximum percentage of the total amount for the construction
portion of transportation enhancement project activities, in accord with the following procedures.
(1) the State will provide advance payment to the Local Agency of 70% of the federal funds
budgeted and available for the construction of this transportation enhancement project, in accord
with 23 U.S.C. § 133(e)(3)(B and as described herein.
(2) the Local Agency shall submit the following to the State representative identified in section
VII, after execution of this Contract: a) a financial statement for the construction of the
project; and B) an invoice for advance payment of 70% of the federal funds budgeted and
available for the construction of the project.
(3) After receipt of such statement and invoice, the State will issue a warrant to the Local
Agency in the amount of the approved advance payment of construction project funds, subject
S'l
however to the prior performance of the following: A) the satisfactory completion of the design
of the project; B) the State approving the Local Agency's construction contract; and C) the
State issuing to the Local Agency a Notice To Proceed with the construction of the project.
(4) the advanced funds shall be used by the local agency only for the performance of the
construction work of the project. Upon receipt of the notice to proceed from the State, the Local
Agency shall proceed expeditiously to start the construction work and prosecute it diligently to
completion. If for any reason the local agency does not start the construction work within 120
days of receipt of the notice to proceed, or if the Local Agency starts the construction work but
discontinues or abandons performance before completion, the Local Agency shall remit to the
State all federal funds reimbursed or advanced by the State for the project not later than 30 days
after the 120th day, or after the date the Local Agency discontinues /abandons performance, as
applicable.
(5) When the Project construction work is completed, the Local Agency shall submit to the State
all required paperwork for that construction work, together with a final statement of costs for that
construction work and a billing for the remaining 30% of the federal funds budgeted and
available for the Project construction work. The State shall not reimburse the Local Agency the
remaining 30% of the construction work costs until the State has reviewed the billings and has
inspected the completed project construction work, subject to the terms and conditions of this
contract.
B. Except as provided in A. above, the State will reimburse the Local Agency for the
federal -aid share of the project design, and other work following the State's review and approval
of such charges, subject to the terms and conditions of this contract. The Local Agency will
prepare and submit to the State monthly charges for costs incurred relative to the design, and
work portions of the project. Provided, however, that charges incurred by the Local Agency
prior to the date of FHWA authorization for the project and prior to the date this contract is
executed by the State Controller or his designee will not be charged by the Local Agency to the
project, and will not be reimbursed by the State, absent specific FHWA and/or State Controller
approval thereof.
-7-
C. Upon execution of this contract the State is authorized, in its discretion, to perform
any necessary administrative support services pursuant to this contract. These services may be
performed prior to and in preparation for any conditions or requirements of this contract,
including prior FHWA approval of project work. The Local Agency understands and agrees that
the State may perform such services, and that payment for such services shall be at no cost to the
State but shall be as provided in Section V.A. At the request of the Local Agency, the State shall
also provide other assistance pursuant to this contract as may be agreed in writing. In the event
that federal -aid project funds remain available for payment, the Local Agency understands and
agrees the costs of any such services and assistance shall be paid to the State from project funds
at the applicable rate. However, in the event that such funding is not made available or is
withdrawn for this contract, or if the Local Agency terminates this contract prior to project
approval or completion for any reason, then all actual incurred costs of such services and
assistance provided by the State shall be the sole expense of the Local Agency.
D. If the Local Agency is to be billed for CDOT incurred direct costs, the billing
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 period as
may be agreed between the parties hereto, the Local Agency agrees that at the request of
the State, the State Treasurer may withhold an equal amount from future apportionments
due the Local Agency from the Highway Users Tax Fund and to pay such funds directly
to the State. Interim funds, until the State is reimbursed, shall be payable from the State
Highway Supplementary Fund (400).
2. If the Local Agency fails to make timely payment to the State as required by this
section (within 45 days after the date of each bill), the Local Agency shall pay interest to
the State at a rate of one percent per month on the amount of the payment which was not
made in a timely manner, until the billing is paid in full. The interest shall accrue for the
period from the required payment date to the date on which payment is made.
E. 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 2, 905 Erie Street, Pueblo, Colorado 81002, (719) -546 -5452. Said Region
Director will also be responsible for coordinating the State's activities under this contract. Said
Region Director will also issue a "Notice to Proceed" to the Local Agency for commencement of
the Work. All communication relating to the day -to -day activities for the work shall be
exchanged between representatives of the State's Transportation Region 2 and the Local Agency.
Until changed by notice in writing, all such notices and correspondence shall be addressed as
follows:
If to State:
Richard Annand
CDOT Region 2
905 Erie Street
Pueblo, Colorado, 81002
(719) 546 -5410
If to the Local Agency:
William J. Zwick
City of Pueblo
211 East D Street
Pueblo, CO 81003
(719) 543 -6006
B. The State will advance /reimburse the Local Agency for the federal -aid share of the
project charges, as provided in Section VI.
C. If the Work includes construction, the State, at its discretion, will review construction
plans, special provisions and estimates and will cause the Local Agency to make those changes
therein that the State determines are necessary to assure compliance with State and FHWA
requirements.
Lai
D. The State will perform a final project inspection prior to project acceptance as a
Quality Control activity. When all project work has been satisfactorily completed, the State will
sign the FHWA form 1212.
VIII. LOCAL AGENCY COMMITMENTS
A. DESIGN.
If "the Work" includes preliminary design, or final design (a.k.a. "construction plans "), or design
work sheets, or special provisions and estimates (collectively referred to as "the Plans "), the
party that is responsible under Section IV (either the Local Agency or the State) for the
Plans \design shall comply with the following requirements, as applicable:
1. perform or provide the Plans, to the extent required by the nature of the Work.
2. prepare final design ( "construction plans ") in accord with the requirements of the latest
edition of the American Association of State Highway Transportation Officials
(AASHTO) manual.
3. prepare special provisions and estimates in accord with the State's Roadway and
Bridge Design Manuals and Standard Specifications for Road and Bridge Construction.
4. include details of any required detours in the Plans, in order to prevent any
interference of the construction work and to protect the traveling public.
5. stamp the Plans produced by a Colorado Registered Professional Engineer.
6. if the Local Agency is the responsible party, it shall afford the State ample
opportunity to review the Plans and make any changes in the Plans as directed by the
State to comply with FHWA requirements.
7. provide final assembly of the Plans and contract documents.
8. be responsible for the Plans being accurate and complete.
9. if the Local Agency is the responsible party, it may enter into a contract with a
consultant to do all or any portion of the Plans and/or of construction administration.
Provided, however, that if federal -aid funds are to participate in the cost of such work to
be done by a consultant, the Local Agency shall ensure that its procurement of that
consultant contract (and the performance /provision of the Plans under that contract)
-10-
complies with all applicable requirements of Title 23, Code of Federal Regulations
(CFR), Part 172, (concerning the Administration of Engineering and Design Related
Service Contracts), and with any procedures implementing those requirements as
provided by the State, including those described in Attachment 91. Those requirements
and procedures include, without limitation:
a) the Local Agency /Contractor shall submit any design consultant subcontract to
CDOT for approval prior to its execution by the Local Agency /Contractor, as required by
section 172.5 (d);
b) all changes in the contract shall be by written supplemental agreement and must
have prior approval of the State and FHWA. As soon as the contract with the consultant
has been awarded by the Local Agency, one copy of the executed contract shall be
submitted to the State. Any amendments to such contract shall be similarly submitted;
c) all consultant billings under that contract shall comply with the State's standardized
consultant billing format. Examples of the billing formats for the various methods of
contract payment are attached hereto and made a part hereof,
d) the Local Agency /Contractor shall also use the CDOT procedures as described in
Attachment #1 to administer that design consultant subcontract, to comply with sections
172.5(b) and (d);
e) to expedite any CDOT approval, the Local Agency /Contractor's attorney, or other
authorized representative, may also submit a letter to CDOT certifying Local
Agency /Contractor compliance with those CDOT Attachment 91 procedures and with the
requirements of sections 172.5(b) and (d).
f) the Local Agency shall ensure that its consultant contract contains the following
language verbatim:
1) "The design work under this contract shall be compatible with the
requirements of a separate contract between the Local Agency and the State
(which is incorporated herein by this reference) for the design/construction of the
project. The State is an intended third party beneficiary of this contract for that
purpose."
-11-
2) "Upon advertisement of the project work for construction, the consultant shall
make available services as requested by the State to assist the State in the
evaluation of construction and the resolution of construction problems that may
arise during the construction of the project."
3) "The consultant shall review the construction contractor's shop drawings for
conformance with the contract documents and compliance with the provisions of
the State's publication, "Standard Specifications for Road and Bridge
Construction ", in connection with this work."
10. Following award of the construction contract(s) for the project, no further changes
shall be made in the Plans except by agreement in writing between the parties. The Plans
shall be considered final when approved and accepted by the parties hereto, and when
final they shall be deemed incorporated herein.
B. CONSTRUCTION.
If "the Work" includes construction, the party that is responsible under Section IV (either the
Local Agency or the State) for the construction/construction administration shall comply with the
following requirements, as applicable:
1. administer the construction in accord with the project's Pre - construction and Contract
Administration Checklists. Such administration shall include project inspection and
testing; approving sources of materials; performing required plant and shop inspections;
documentation of contract payments, testing, and inspection activities; preparing and
approving pay estimates; preparing, approving, and securing the funding for contract
modification orders (CMOs) and minor contract revisions (MCRs); processing contractor
claims; construction supervision; and, meeting the Quality Control (QC) requirements of
the FHWA/State stewardship program, all as more fully described in the project's Pre -
construction and Contract Administration Checklists.
2. if the Local Agency is the responsible party, it shall appoint a qualified professional
engineer, licensed in the State of Colorado, as the Local Agency Project Engineer
(LAPE), to perform that administration. The LAPE shall administer the project in
accordance with this agreement, the requirements of the construction contract, and
-12-
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 exception described in Section 12 -25 -103,
C.R.S., as amended.
3. if the Local Agency is the responsible party, and if bids are to be let for the
construction of the project, the Local Agency shall (in conjunction with the State)
advertise the call for bids and (upon concurrence by the State) award the construction
contract(s) to the low responsive, responsible bidder(s).
a) In advertising and awarding the bid for the construction of a federal -aid project, the
Local Agency shall comply with applicable requirements of 23 U.S.C. § 112 and 23
C.F.R. § § 633 and 635. Those requirements include, without limitation, that the Local
Agency /Contractor shall physically incorporate the entire "Form 1273" (which, if
relevant to this contract, is attached) verbatim into any subcontract(s) for those services as
terms and conditions thereof, as required by 23 CFR 633.102(e).
b) The Local Agency has the option to accept or reject the proposal of the low bidder
for work on which competitive bids have been received. The Local Agency must declare
the acceptance or rejection at the award conference or within 3 working days after said
bids are publicly opened, whichever occurs later.)
c) By indicating its concurrence in such award at the award conference, the Local
Agency acting by or through its duly authorized representatives, agrees to provide
additional funds, subject to their availability and appropriation for that purpose, if
required to complete the Work under this project if no additional federal -aid funds will be
made available for the project.)
4. In the event that all or part of the construction work is to be accomplished by Local
Agency personnel (i.e., by "force account "), rather than by a contractor pursuant to a
contract with the Local Agency, the Local Agency will insure that all such force account
work is accomplished in accordance with the pertinent State specifications and
requirements and with 23 C.F.R. Part 635, Subpart B, "Force Account Construction ".
-13-
�-16
a) Such work will normally be based upon estimated quantities and firm unit prices
agreed to between the Local Agency, the State and the FHWA in advance of the Work, as
provided for in Section 635.204(c). Such agreed unit prices shall constitute a
commitment as to the value of the Work to be performed.
b) An alternative to (a) is that the Local Agency may agree to participate in the Work
based on actual costs of labor, equipment rental, materials supplies and supervision
necessary to complete the Work. Where actual costs are used, eligibility of cost items
shall be evaluated for compliance with Federal Acquisition Regulations (FAR), 48 C.F.R.
Part 31. c) Rental rates for publicly owned equipment will be determined in accordance
with Section 109.04 of the State's "Standard Specifications for Road and Bridge
Construction ".
d) All force account work shall have prior approval of the State and /or FHWA and shall
not be initiated until the State has issued a written notice to proceed.
C. ROW ACQUISITION /RELOCATION.
If "the Work" includes right of way acquisition and/or relocation, the party that is responsible
under Section IV (either the Local Agency or the State) for the right of way acquisition and/or
relocation shall comply with the following requirements, as applicable:
If acquisition and relocation assistance is required for the project, the Local Agency will be
responsible to perform the acquisition and relocation assistance, as required by Sections
24 -56 -101, et seq., C.R.S. Prior to this project being advertised forbids, the Local Agency will
certify in writing to the State that all right of way has been acquired in accordance with the
applicable State and federal regulations, or that no additional right of way is required.
D. UTILITIES.
The Local Agency will be responsible for obtaining the proper clearance or approval from any
utility company which may become involved in this project, by separate agreement between the
Local Agency and the utility, if necessary. Prior to this project being advertised for bids, the
Local Agency will certify in writing to the State that all such clearances have been obtained.
E. RAILROADS.
-14-
M
In the event the project involves modification of a railroad company's facilities at a railroad grade
crossing whereby the Work is to be accomplished by railroad company forces, the Local Agency
shall make timely application to the State Public Utilities Commission requesting its order
providing for the installation of the proposed improvements and not proceed with that part of the
work without compliance. The Local Agency shall also establish contact with the railroad
company involved for the purpose of complying with applicable provisions of 23 Code of
Federal Regulations 646, Subpart B, concerning federal -aid projects involving railroad facilities,
including:
1. Executing an agreement setting out what work is to be accomplished and the
location(s) thereof, and that the costs of the improvement shall be eligible for federal
participation.
2. Obtaining the railroad's detailed estimate of the cost of the Work.
3. Establishing future maintenance responsibilities for the proposed installation.
4. Prescribing future use or dispositions of the proposed improvements in the event of
abandonment or elimination of the grade crossing.
5. Establishing future repair and /or replacement responsibilities in the event of accidental
destruction or damage to the installation.
F. ENVIRONMENTAL.
In its performance of the Work, the Local Agency shall comply with the applicable provisions of
the State's approved Action Plan concerning federal environmental requirements, including all
federal directives contained therein by reference. Copies of the applicable provisions may be
requested from the Office of Environmental Services, Colorado Department of Transportation,
4201 E. Arkansas Avenue, Rm. 284, Denver Co 80222.
G. RECORD KEEPING.
The Local Agency shall maintain all books, documents, papers, accounting records and other
evidence pertaining to costs incurred and to make such materials available for inspection at all
reasonable times during the contract period and for 3 years from the date of final payment to the
Local Agency. Copies of such records shall be furnished by the Local Agency if requested.
-15-
- jt 111111121) 1,.1
The Local Agency shall, during all phases of the Work, permit duly authorized agents and
employees of the State and the FHWA to inspect the project and to inspect, review and audit the
project records.
H. MAINTENANCE.
The Local Agency will maintain and operate the improvements constructed under this contract,
at its own cost and expense during their useful life, in a manner satisfactory to the State and
FHWA, and will make ample provision for such maintenance each year. Such maintenance and
operations shall be in accordance with all applicable statutes and ordinances, and regulations
promulgated thereunder, which define the Local Agency's obligation to maintain such
improvements. The State and FHWA will make periodic inspections of the project to verify that
such improvements are being adequately maintained.
I. FEDERAL REQUIREMENTS.
The Local Agency /Contractor shall at all times during the execution of this contract strictly
adhere to, and comply with, all applicable federal and state laws, and their implementing
regulations, as they currently exist and may hereafter be amended, which are incorporated herein
by this reference as terms and conditions of this contract. The contractor shall also require
compliance with these statutes and regulations in subgrant agreements permitted under this
contract. A listing of some of the federal and state laws that may be applicable, depending on the
Local Agency /Contractor work responsibilities under this contract, are described in
ADDENDUM A.
J. DBE REQUIREMENTS
"If the Local Agency desires to use its own DBE Program to implement and administer the DBE
provisions of Title 49 CFR Part 23 under this contract, it must submit a copy of its program's
requirements to CDOT for review and approval before the execution of this contract. If the
Local Agency uses it's program for this contract, the Local Agency shall be solely responsible to
defend that DBE Program and its use of that Program against all legal and other challenges or
complaints, at its sole cost and expense. Such responsibility includes, without limitation,
determinations concerning DBE eligibility and certification, adequate legal and factual bases for
DBE goals, and good faith efforts. CDOT approval (if any) of the Local Agency's DBE Program
-16-
does not waive or modify the sole responsibility of the Local Agency for its use as described
above."
114001M. MUMMOMISIM "M
The Local Agency shall provide its match share and indirect cost funds for the work as outlined
in Section V.B.
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 construction of
any major structures that are designed within the Work of this contract.
B. If the Work involves construction, the State shall have the authority to suspend the
Work, wholly or in part, by giving written notice thereof to the Local Agency, due to the failure
of the Local Agency or its construction contractor to correct project conditions which are unsafe
for the Workmen or for such periods as the State may deem necessary due to unsuitable weather,
or for conditions considered unsuitable for the prosecution of the Work, or for any other
condition or reason deemed by the State to be in the public interest.
C. This contract may be terminated as follows:
(a) Termination for Cause. If, through any cause, the Local Agency shall fail to fulfill,
in a timely and proper manner, its obligations under this contract, or if the Local Agency shall
violate any of the covenants, agreements, or stipulations of this contract, the State shall
thereupon have the right to terminate this contract for cause by giving written notice to the Local
Agency of its intent to terminate and at least ten (10) days opportunity to cure the default or show
cause why termination is otherwise not appropriate. In the event of termination, all finished or
unfinished documents, data, studies, surveys, drawings, maps, models, photographs, and reports
or other material prepared by the Local Agency under this contract shall, at the option of the
State, become its property, and the Local Agency shall be entitled to received just and equitable
compensation for any services and supplies delivered and accepted. The Local Agency shall be
obligated to return any payment advanced under the provisions of this contract.
Notwithstanding above, the Local Agency shall not be relieved of liability to the State for any
damages sustained by the State by virtue of any breach of the contract by the Local Agency.
-17-
If after such termination it is determined, for any reason, that the Local Agency was not in
default, or that the Local Agency's action/inaction was excusable, such termination shall be
treated as a termination for convenience, and the rights and obligations of the parties shall be the
same as if the contract had been terminated for convenience, as described herein.
(b) Termination for Convenience. The State may terminate this contract at any time the
State determines that the purposes of the distribution of funds under the contract would no longer
be served by completion of the project. The State shall effect such termination by giving written
notice of termination to the Local Agency and specifying the effective date thereof, at least
twenty (20) days before the effective date of such termination.
(c) Termination Due to Loss of Funding. The parties hereto expressly recognize that the
Local Agency is to be paid, reimbursed, or otherwise compensated with federal and/or State
funds which are available to the State for the purposes of contracting for the project provided for
herein, and therefore, the Local Agency expressly understands and agrees that all its rights,
demands and claims to compensation arising under this contract are contingent upon availability
of such funds to the State. In the event that such funds or any part thereof are not available to the
State, the State may immediately terminate or amend this contract.
D. Notwithstanding anything herein to the contrary, the parties understand and agree that
all terms and conditions of this contract and attachments hereto which may require continued
performance or compliance beyond the termination date of the contract shall survive such
termination date and shall be enforceable by the State as provided herein in the event of such
failure to perform or comply by the Local Agency.
E. This contract is subject to such modifications as may be required by changes in
federal or State law, or their implementing regulations. Any such required modification shall
automatically be incorporated into and be part of this contract on the effective date of such
change as if fully set forth herein. Except as specifically provided otherwise herein, no
modification of this contract shall be effective unless agreed to in writing by both parties in an
amendment to this contract that is properly executed and approved in accordance with applicable
law.
-18-
F. To the extent that this contract may be executed and performance of the obligations of
the parties may be accomplished within the intent of the contract, the terms of this contract are
severable, and should any term or provision hereof be declared invalid or become inoperative for
any reason, such invalidity or failure shall not affect the validity of any other term or provision
hereof. The waiver of any breach of a term hereof shall not be construed as a waiver of any other
term, or the same term upon subsequent breach.
G. This contract is intended as the complete integration of all understandings between
the parties. No prior or contemporaneous addition, deletion, or other amendment hereto shall
have any force or effect whatsoever, unless embodied herein by writing. No subsequent
novation, renewal, addition, deletion, or other amendment hereto shall have any force or effect
unless embodied in a written contract executed and approved pursuant to the State Fiscal Rules.
H. Except as herein otherwise provided, this contract shall inure to the benefit of and be
binding upon the parties hereto and their respective successors and assigns.
I. The Local Agency represents and warrants that it currently has no interest, and shall
not acquire any interest, direct or indirect, that would conflict in any manner or degree with the
performance of the Local Agency's obligations under this contract. The Local Agency's further
covenants that, in the performance of this contract, it will not employ any person or firm having
any such known interests.
J. This contract shall become "effective" only upon the date it is executed by the State
Controller, or designee. The term of this contract shall begin on the date first written above and
shall continue through the completion and final acceptance of this project by the State, FHWA
and Local Agency.
K. The Special Provisions, Attachment LO (Certification for Federal -Aid Contracts), and
Appendix B (DBE requirements) attached hereto are hereby made a part of this contract. The
Local Agency shall comply with all applicable terms and conditions of such attachments.
L. If a conflict occurs between the provisions of this contract proper and the attachments
hereto, the priority to be used to resolve such a conflict shall be as follows:
1. The Special Provisions and the attachments enumerated in Section VI, paragraph K,
above; and
-19-
2. This contract proper;
3. Other contract attachments and exhibits, in their respective order.
M. It is expressly understood and agreed that the enforcement of the terms and
conditions of this contract, and all rights of action relating to such enforcement, shall be strictly
reserved to the parties hereto, and nothing contained in this contract shall give or allow any such
claim or right of action by any other or third person on such contract. It is the express intention
of the parties that any person or entity other than the parties receiving services or benefits under
this contract be deemed to be an incidental beneficiary only.
N. The Local Agency assures and guarantees that it possesses the legal authority to enter
into this contract. The Local Agency warrants that it has taken all actions required by its
procedures, by -laws, and /or applicable law to exercise that authority, and to lawfully authorize its
undersigned signatory to execute this contract and to bind the Local Agency to its terms. The
person(s) executing this contract on behalf of the Local Agency warrants that they have full
authorization to execute this contract.
O. The Local Agency and the State may use one or all of the Contract Modification
Tools contained in ADDENDUM B, in order to more expeditiously change and amend the terms
of this contract, if such use is warranted by the circumstances as described and authorized
therein.
-20-
IN WITNESS WHEREOF, the parties hereto have executed this contract the day
and year first above written.
STATE OF COLORADO
ATTEST: BILL OWENS, GOVERNOR
By By :.
Chief Clerk Executive Director
DEPARTMENT OF TRANSPORTATION
APPROVED:
ARTHUR L. BARNHART KEN SALAZAR
State Controller Attorney General
By By
BARRY B. RYAN
Assistant Attorney General
Civil Litigation Section
ATTEST: (SEAL) CITY ()F PT/EBLO, COL )ORADO
By B
Title i ty Clerk T
tleYPresident of the City Council
Federal Employer Identification
Number: 846000615
-21-
__ ;. 11111111111311111 1 11
Colorado Department of Transportation
DESIGN DATA
Metric English
Page 1
Origin Date: 09/10/1999
Project code: 12944
STIP number: PB3855
Revise Date:
Project number: STE M086 -029
PE Project Code PE Project Number
Revision #:
Region: 02
Status: .^ preliminary , -, final revised
v
Project description: D &RGW Freight Depot (Pueblo)II
Prepared by:
Revised b y
Countyl: Pueblo ICounty2: ICounty3:
Date:
Date:
Municipality: Pueblo
Submitted by Proj.Mgr
ANNANDR
Approved by Preconstruction Engineer:
System code: IM NHS STP _ ^, OTHER
Oversight: * CDOT FHWA ^; OTHER
Date:
Planned length: 0
Geographic location:
In downtown Pueblo, Colorado at the corner of West B Street and Victoria Avenue. The property is in the Union Avenue Historic Business Zone
District. The building occupies 2 blocks of West B Street and is addressed as 201 West B Street.
FXHIRIT A
Terrain type: ice; Level ^i Plains Rolling Urban " . Mountainous
\/ J
Description of proposed construction /improvement (attach map showing site location)
Restoration of exterior freight station doors and transom windows; rehabilitation/capping of the concrete floor; rehabilitation/roofing/siding of the
metal storage building and stab i I izati on/repair of load bearing masonry walls.
Traffic (Note: use columns A, B, and /or C to identify facility described below)
Current year: Future year:
Facility location
Facility
ADT
DHV
DHV % trucks
ADT
DHV
Industrial
Commercial
Residential
Other
A
❑
❑
I ❑ I
❑
B
❑
❑
I ❑ 1
❑
❑ I ❑
1 ❑ 1
❑
RdwyClass Route Ref pt Endrefpt Functional classification I Facility type Rural code
t 1.
0
0
0
Local
Not Roadway
Not Roadway
1 2.
3.
Design Standards (identify substandard items with a checkmark in 1 st column and clarify in remarks)
A= B= I C=
Standard
Existing
Proposed
Ultimate
Standard
Existing
Proposed
Ultimate
Standard
Existing
Proposed
Ultimate
Surface type
Typical section type
# of travel lanes
Width of travel lanes
Shoulder wd. It. /median
Shoulder wd rt. /outside
Side slope dist. ( "z ")
Median width
Posted speed
Design speed
Max. superelevation
Min. radius
Min. horizontal ssd
Min. vertical ssd
Max. grade
Project under i -, 1R v; 3R 4R V. Other: criteria
Existing guardrail meets current standards: Yes . J:. No
Comments:
Variance in minimum design standards required —, Yes No
Justification attached ❑ Request to be submitted
Bridge (see item 4) ❑ See remarks
❑ Safety project
Not all standards
addressed
Stage construction
Resurfacing projects
Recommendations concerning safety aspects attached
CDOT Forth #463 6/97
Page 2
Project Code: 12944
Project Number: STE M086 -029
Revise Date:
Major Structures
h� =to stay, R =to be removed, P= proposed new structure Standard Structure Horizontal Vertical Year
Structure ID# I I Length I Ref. ointl Feature Intersected Width Rdwy Load Clearance Clearance Built
j Proposed treatment of bridges to remain in place (address bridge rail, capacity, and allowable surface thickness)
I
Project Characteristics (proposed)
Lighting Handicap ramps
Median type: depressed painted , raised none
Traffic control signals nStriping
Curb and gutter
Curb only
I Left -turn slots re
continuous width =
Sidewalk width =
Bikeway width =
Right -turn slots F
continuous width =
Parking lane width =
Detours
Signing: reconstruction permanent
Landscape requirements: (description)
Other: (description)
EXHIBIT A
• Right of Way Yes No Est. No.
ROW and /or perm. easement required: v
Relocation required:
Temporary easement required: v v
Changes in access:
Changes to connecting roads: v
Utilities (list names of known utility companies)
Railroad crossings # of crossings:
Railroad Name
greemen s
required
Present protection
Condition of x'ings
1
21
1
❑
3 1
1
❑
1
1
41
1 ❑
I
1
R ecommendations:
ki Environmental envProjCode: approved under project #:
Dated:
Major (refer to approved ROD)
�i Minor (refer to CDOT Form #128)
Intermediate (refer to approved FONSI)
Minor programmatic exclusion #:
C omments:
1 Coordination
Withdrawn lands (power sites, reservoirs, etc.) cleared through BLM forest service office Irrigation ditch name:
New traffic ordinance required Modify schedule of existing ordinance
Municipality:
Other:
a donstruction method noAdReason: r Design Local F/A
Advertised by: State P.O. RR F/A Entity /Agency contact name:
• Local Study Utility F/A Phone number:
None CDOT F/A Miscellaneous
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
CONSTRUCTION CONTRACT ADMINISTRATION CHECK LIST
Page 1
CDOT Region: 2 Project Code (SA #): 12944
Local Agency: City of Pueblo Project No.: STE M086 -029
CDOT Resident Engineer: David Miller Location: D&RGw Freight House
Local Agency Project Manager: Description: Restoration
CDOT Design or Project Engineer:
The following check list shall be utilized to establish the CONSTRUCTION
CONTRACT ADMINISTRATION responsibilities of the individual parties for this
project. THE CHECK LIST SHALL BE INCORPORATED INTO THE ENTITY AGREEMENT AT
PROJECT INCEPTION.
THE CHECK LIST SHALL BE PREPARED BY PLACING AN X UNDER THE RESPONSIBLE
AGENCY, OPPOSITE EACH OF THE TASKS LISTED BELOW. When CDOT is selected to
be responsible or co- responsible by option, the method of the Local
Agency's reimbursement for CDOT'S costs must be established.
WHEN A TASK DOES NOT APPLY TO THE PROJECT, NON- APPLICABLE (NA) SHALL BE
PLACED UNDER BOTH AGENCIES, AND AN EXPLANATION OF WHY IT IS NOT APPLICABLE
SHALL BE INCLUDED.
TASKS WHICH WILL BE PERFORMED BY HEADQUARTERS STAFF WILL BE SO INDICATED ON
THIS CHECK LIST.
THE REGION IN ACCORDANCE WITH ESTABLISHED POLICIES AND PROCEDURES, WHEN
APPLICABLE, SHALL DETERMINE WHO WILL PERFORM ALL OTHER TASKS WHICH ARE THE
RESPONSIBILITY OF CDOT.
THE RESIDENT ENGINEER OR CDOT DESIGNER SHALL IDENTIFY AND NOTIFY THE
APPROPRIATE STAKEHOLDERS, AND THOSE ON THE MINIMUM DISTRIBUTION LIST BELOW,
OF FIELD INSPECTION REVIEWS (F.I.R.) AND FINAL OFFICE REVIEWS (F.O.R.) FOR
ALL LOCAL AGENCY PROJECTS.
INSTRUCTIONS TO INITIATE THE CHECK LIST AND IF THE CONTRACT ADMINISTRATION
RESPONSIBILITIES HAVE CHANGED:
A preliminary check list shall be prepared by the CDOT Resident Engineer
(RE) with the CDOT Design PM, in cooperation with the LAPM, prior to the
F.I.R. and submitted to the Region Program Engineer (RPE) with the F.I.R.
notice. If Contract Administration responsibilities are changed after the
F.I.R., the CDOT RE, in cooperation with the LAPM, shall prepare a revised
check list and distribute copies. The CDOT RE shall prepare the FINAL
check list prior to the F.O.R. and submit copies to all persons receiving
the F.O.R. notice. The minimum distribution list is shown below.
PRELIMINARY CHECK LIST - DATE
REVISED CHECK LIST - DATE
FINAL CHECK LIST - DATE
COPY:
CDOT RE /PM
LA PM /PE
CDOT: RPE, Region
Materials Engr.,
Region EEO Rep.
REVISED 10/07/98
CONTRACT ADMINISTRATION CHECK LIST
PAGE 2 -
** RESPONSIBLE PARTY
LOCAL
NO. DESCRIPTION OF TASK AGENCY CDOT
1. Set Disadvantaged Business Enterprise (DBE) . . . . X
goals for the project. (CDOT Region EEO
Administrative Program Specialist)
2. Set On Job Training (OJT) goals for the . . . . .
project. (CDOT Region EEO Administrative
Program Specialist when CDOT is responsible.)
3. Assure the correct Federal Wage Decisions, X
all required DBE /OJT Special Provisions and
the FHWA Form 1273 are included in the Contract
documents. (CDOT RE or Designer)
This project is exempt from Davis -Bacon
requirements as determined by the functional
2 classification of the project location. (Note:
• Projects located on local roads and rural minor
collectors may be exempt.)
CDOT RE or Designer Date
4. Advertise for bids /open bids. (CDOT . . . . . . . X
Construction Contracts Unit, Staff
Design Branch, when CDOT is responsible.)
S. Distribute "bid set" of plans and specifications
to the.person responsible for showing the
project. (CDOT Printing and visual Communications
Center, Division of Human Resources and
Administration when CDOT is responsible.)
6. Review work site and plan details with . . . . . X
prospective bidders while project is under
advertisement. (CDOT Resident Engineer when
CDOT is responsible.)
**
NOTE: Only one responsible party should be selected.
If both are selected, a supplemental agreement
specifying what task details are the responsibility
of each party shall be attached to the Check List.
When CDOT is responsible or co- responsible by option,
the method of the Local Agency's reimbursement for
CDOT's costs must be established by an attached
Memorandum of Understanding (MOU).
REVISED 10/07/98
e
CONTRACT ADMINISTRATION CHECK LIST
PAGE 3
** RESPONSIBLE PARTY
LOCAL
NO. DESCRIPTION OF TASK AGENCY CDOT
7. Determine compliance with DBE requirements
before the Contract is awarded:
a. Check CDOT Form #715 - Certificate of . . . . X
Proposed DBE Participation, when the low
bidder meets DBE goals. (CDOT Business
Programs Office, (303)757 -9234, Room 287,
Division of Human Resources and
Administration)
b. Evaluate CDOT Form #718 - DBE Good Faith . . . X
Effort Documentation, and determine if
the Contractor has made a good faith effort
when the low bidder does not meet DBE goals.
(CDOT Business Programs Office)
C. Approve /disapprove award of Contract by . . . X
completing CDOT Form #719 - DBE Participation
Summary. THIS FORM MUST BE COMPLETED BEFORE
THE CONTRACT IS AWARDED.
(CDOT Business Programs Office)
8. Approve rejection of low bidder . . . . . . . . . . X
9. Award Contract (CDOT Construction Contracts . . . . _
Unit, Staff Design Branch, when CDOT is
responsible.)
10. Distribute [number: minimum of six (6)]
"award sets" of plans and specifications to
CDOT Resident Engineer.
(Further distribution will then be made to the
Region Program Engineer (RPE), CDOT Staff
Construction & Materials (2 sets), the Region
Materials Engineer (RME), and others as required.
CDOT Printing and Visual Communications Center,
Division of Human Resources and Administration
when CDOT is responsible.)
**
NOTE: Only one responsible party should be selected.
Refer to page 2 for additional information.
REVISED 10/07/98
CONTRACT ADMINISTRATION CHECK LIST
PAGE 4
NO. DESCRIPTION OF TASK
11. Issue "Notice to Proceed" to the Contractor.
(CDOT Construction Contracts Unit, Staff
Design Branch, when CDOT is responsible.)
12. Conferences:
a. Preconstruction (Request Preconstruction
packet of information from Region EEO
Administrative Program Specialist prior
to the conference. CDOT Resident Engineer
when CDOT is responsible.)
b. Partnering . . . . . . . . . . . . . . . .
c. Presurvey:.
(1) Construction staking . . . . . . . .
(2) Monumentation . . . . . . . . . . .
d Structural concrete re our
** RESPONSIBLE PARTY
LOCAL
AGENCY CDOT
L - p . . . . . . . . . .
e. Concrete pavement prepaving . . . . . . . . . .
f. HBP prepaving . . . . . . . . . . . . . . . . .
13. Supervision of construction:
a. Professional Engineer (PE) registered . . . . .
in Colorado, who will be "in responsible
charge of construction supervision ".
Local Agency PE or CDOT RE /PE Phone number 2
If Consultant, company: wn-rF zi�wi ia
b. Develop and distribute public notice of . . . .
planned construction to the media and
local residents.
NOTE: Only one responsible party should be selected.
Refer to page 2 for additional information_
REVISED 10/07/98
CONTRACT ADMINISTRATION CHECK LIST
PAGE 5
NO. DESCRIPTION OF TASK
** RESPONSIBLE
LOCAL
AGENCY
C. Competent, experienced, staff who will
ensure the Contract work is constructed
in accordance with CDOT policies, standards
and procedures.
(Refer to the CDOT Procedural Directives and
the following CDOT Operating Manuals for guidance
and assistance - CDOT Local Agency Federal Aid
Construction Manual, CDOT Construction Manual, CDOT
Field Materials Manual, CDOT Survey Manual, CDOT
Standard Plans, CDOT Erosion Control Manual, CDOT
Davis -Bacon Manual, CDOT EEO /Labor Compliance Manual)
( 1) CDOT Form #205 - Sublet Permit Application:
(a) Check CDOT Form #713 - Contractor
DBE Subcontract, Supply and Service
Contract Statement. Sign Form #205
if Form #713 is complete. (CDOT
Region EEO Administrative Program
Specialist)
(b) Check and sign
after Form #713
the Region EEO
Specialist.
( 2) Construction inspection including . . .
calculations, measurements, and
documentation of interim and final
pay quantities.
approval of Form #205
has been checked by
Administrative Program
( 3) Conduct Contractor /Subcontractors
reviews to ensure conformance with
the Equal Employment Opportunity(EEO)
/Affirmative Action(AA) /DBE /OJT
requirements contained in the Contract.
(Standard Special Provisions, Project
Special Provisions and FHWA Form 1273)
(CDOT Region EEO Administrative
Program Specialist)
NOTE: Only one responsible party should be selected.
Refer to page 2 for additional information.
PARTY
CDOT
X
-_)L
X
REVISED 10/07/98
CONTRACT ADMINISTRATION CHECK LIST
PAGE 6 -
** RESPONSIBLE PARTY
LOCAL
NO. DESCRIPTION OF TASK AGENCY CDOT
( 4) Notify CDOT Region EEO Administrative
Program Specialist and request
assistance for all EEO /DBE /OJT/
Davis -Bacon questions or concerns.
( S) Complete and submit to the CDOT Region _X._
EEO Administrative Program Specialist,
the required number of CDOT Form #280 -
Equal Employment Opportunity and Labor
Compliance Verification.
( 6) Monitor DBE participation to ensure 4L
compliance with the "Commercially
Useful Function" requirements.
( 7) Complete and submit to the CDOT Region
EEO Administrative program Specialist,
the applicable number CDOT Form #200 -
OJT Training Questionnaire, when project
utilizes OJTs.
{ 8) Check certified payrolls to verify . . . .
Contractor /subcontractors are in
compliance with Contract requirements.
The checking shall be completed by
project personnel trained in payroll
checking. (Contact the Region EEO
Administrative Program Specialist for
training requirements.)
( 9) Coordinate submittals by Contractor . . -
and all subcontractors of FHWA Form 1391
(Highway Construction Contractor's Annual
EEO Report) to the CDOT Region EEO
Administrative Program Specialist. The
Report is due to the Region EEO
Administrative Program Specialist by
August 10 for all construction projects
Active during the last complete week of July.
NOTE: Only one responsible party should be selected.
Refer to page 2 for additional information.
REVISED 10/07/98
NO.
CONTRACT ADMINISTRATION CHECK LIST
PAGE 7 _
** RESPONSIBLE PARTY
LOCAL
DESCRIPTION OF TASK AGENCY CDOT
(10) Materials:
'(a) CDOT Form #250 -
Materials Documentation Record:
I) Fill out and distribute CDOT X
Form #250 before the Contractor
commences work.
II) Complete Form #250 after work X
is completed and distribute per
instructions in the CDOT Field
Materials Manual..
(b) Approve changes to typical section N
(c) Development, Checking, and Design mix
approvals:
I) Concrete . . . . . . . . . . . . . X
(i) Independent assurance testing . . . .
(The LA shall us AASHTO accredited
laboratories. The IAT lab shall not be
the same lab as the acceptance lab.
The LA shall develop, complete, and
distribute the CDOT Form #379 - Project
Independent Assurance Sampling Schedule.)
NOTE Only one responsible party should be selected.
Refer to page 2 for additional information.
X
REVISED 10/07/98
II) Hot Bituminous Pavement (HBP) . . .
(d)
Acceptance
of manufactured products.
k
(e)
Inspecting
fabrication of structural
�C
steel and prestressed concrete
structural
components.
K�
(f)
Inspecting
fabrication of bearing
devices.
.O N
(g)
Laboratory
Check testing . . . . . .
lq t�k
(h)
Acceptance
testing . . . . . . . . . .
(i) Independent assurance testing . . . .
(The LA shall us AASHTO accredited
laboratories. The IAT lab shall not be
the same lab as the acceptance lab.
The LA shall develop, complete, and
distribute the CDOT Form #379 - Project
Independent Assurance Sampling Schedule.)
NOTE Only one responsible party should be selected.
Refer to page 2 for additional information.
X
REVISED 10/07/98
CONTRACT ADMINISTRATION CHECK LIST
PAGE 8 _
** RESPONSIBLE PARTY
LOCAL
NO. DESCRIPTION OF TASK AGENCY CDOT
(11) Approve sources of materials . . . . . . . .x
(12) Approve shop drawings . . . . . . . . . .
(13) Perform Traffic Control Inspections_
(14) Approve traffic signal equipment . . . . . _X_
(15) Construction surveying . . . . . . . . . .
(16) ROW monumentation . . . . . . . . . . . .
(17) Prepare, approve and sign vouchers
for interim and final Contractor
pay estimates. (CDOT Resident Engineer and
Region Finals Engineer if CDOT is responsible.)
Provide the name(s) and phone number(s) of
The person(s) authorized for this task.
)hJJJ\X(&N A Zvi % Ck.. SeNnioc-'tea f&�c( 543 (omlo
LA Administrator* Phone Number
1W,. `1 1 9 S4- -7W
LAPE F'r , „G, �. Phone Number
(18) Prepare, approve and sign vouchers . . . .
for interim and final Utility
Company billings for utility
relocation work.
(19) Prepare and authorize Change Orders: .Z
i.e. CDOT Form #94 - Minor Contract
Revision (MCR) and CDOT Form #90 -
Contract Modification Order (CMO)
(20) Approve Change Orders (MCRs and CMOs) . . . -)�_
(21) Approve Federal -Aid funding for MCRs /CMOs. _
(22) Monitor project financial status and . . _ _
submit monthly in a format acceptable
to the Region, such as CDOT Form #65a -
Project Financial Status Report.
NOTE: Only one responsible party should be selected.
Refer to page 2 for additional information.
REVISED 10/07/98
w
CONTRACT ADMINISTRATION CHECK LIST
PAGE 9
** RESPONSIBLE PARTY
LOCAL
NO. DESCRIPTION OF TASK AGENCY CDOT
(23) Prepare and submit monthly progress . . . X
reports to the Region Finals Engineer:
CDOT Form #110a - Status of Active
Construction Projects, and CDOT Form
#517a - Status of Construction Project
Finals. Due by the 1st of each month.
(24) Contractor claims /dispute resolution . . .
Local Agency must follow CDOT
procedures unless Section 105.17 of
the Standard Specifications is modified
by a Project Special Provision. ALL
contracts let for bid by the Local Agency
shall contain a project special provision
removing CDOT from the resolution process.
14. Make monthly progress and final payments . . . . .
to the Contractor for completed work. (CDOT
Center for Accounting, Division of Human
Resources and Administration when CDOT is
responsible.)
15. Make monthly progress and final payments to . . . .
Utility Companies for completed utility
relocation work. (CDOT Center for Accounting,
Division of Human Resources and Administration
when CDOT is responsible.)
16. Conduct routine, random, project reviews . . . . .
to ensure the project is being administered
in accordance with the terms of the construction
Contract and the approved project specific
agreement between CDOT and the local agency.
Provide the name and phone number of the person
responsible for this task.
&b 4(A V + . tt---X-f ftRCA7t t - T E . I N L . (, 7 t 91 543 - - 7 600
Name of LA or CDOT RE /PE Phone Number
NOTE: Only one responsible party should be selected.
Refer to page 2 for additional information.
REVISED 10/07/98
M
CONTRACT ADMINISTRATION CHECK LIST
PAGE 10 _
NO. DESCRIPTION OF TASK
** RESPONSIBLE PARTY
LOCAL
AGENCY CDOT
17. Joint FHWA /CDOT Quality Assurance (QA) Review . . . X
Teams will conduct select program reviews in
accordance with CDOT's Stewardship Plan.
(CDOT Staff Construction & Materials)
18. Conduct final project inspection, complete and X
submit CDOT Form #1212a - Final Acceptance
Report. CDOT Resident Engineer with mandatory
LA participation. .
19. Final project acceptance, write final project . . . �C
acceptance letter and distribute per
procedures in the CDOT Construction Manual.
20. Advertise for final settlement. (CDOT Staff . . . X
Construction when CDOT is responsible.)
21. Prepare and distribute final "as constructed" . . . -X-
plans per procedures in the Construction Manual.
Retain original cross sections with final documents.
22. Check final quantities, final plans and the . . . . K
final pay estimate.
23.
Sign final pay estimate sheets and voucher. . . . .
y
24.
Check material records . . . . . . . . . . . . . . .
X
25.
Submit final materials certification. . . . . . . .
X
26.
Obtain CDOT Form #17 - Contractor DBE Payment . . .
u
Certification, from the Contractor and submit
to Region Program /Finals Engineer.
27.
Obtain FHWA Form PR 47 (Statement of Materials
X
and Labor Used ...) from the Contractor, check
and submit to Region Program /Finals Engineer.
(REQUIRED ONLY ON NHS PROJECTS WITH TOTAL
FINAL PAYMENT EXCEEDING $1,000,000.)
28.
Complete and submit CDOT Form #950 - . . . . . . .
X
Project Closure.
29.
Retain project records. (For six years . . .
X _
from date of project closure.)
NOTE: Only one responsible party should be selected.
Refer to page 2 for additional information.
REVISED 10/07/98
Z
PRE- CONSTRUCTION ADMINISTRATION CHECKLIST
Region: 2 Project Code #: 12944
Local Agency: City of Pueblo Project #: STE M086 -029
Project Manager: RE Annand Location: B & Victoria St
Resident Engineer: David L Miller Description: Historic Preservation
The following checklist shall be utilized to establish the PRE - CONSTRUCTION ADMINISTRATION
CHECKLIST responsibilities of the individual parties to this agreement.
RESPONSIBLE PARTY
NO.
DESCRIPTION OF TASK
LOCAL AGENCY
CDOT
1.
Transportation Improvement Program (T.I.P.)
X
X
2.
Design Data (CDOT Form #463)
X
X
3.
Funding Authorization
X
4.
LA/CDOT Project Agreement
X
X
5.
Utility, Railroad, and Consultant Agreements
X
X
6.
Consultant Selection
X
X
7.
Field Inspection Review (FIR)
X
X
8.
Environmental Processes (CDOT Form 128)
X
X*
9.
Design Approval
10.
Final Office Review (FOR)
X
X
11.
Force Account Justification
X
12.
Proprietary Item Justification
X
13.
Davis -Bacon Wage Rates (_Yes _No)
X
X
14.
Rights -of Way
X
X
15.
Plans, Specifications and Construction Cost Estimates
X
16.
LA Ad and Award
X
X
17.
Construction Administration
X
18.
Final Inspection
X
X
19.
Other:
X Preliminary Checklist Date: 7/16/99
Revised Checklist Date:
Final Checklist Date:
*Requires FHWA concurrence /involvement.
4/29/96
Modified 7/7199
EXAMPLE A (Lump Sum Contracts)
Qompany Name:
Rrojeot No
Address: '
Project Location
Employer (FEIN) ID Number:
Subaccount No.
Invoice Number and Date:
Progress Report Dated:
%o Completed: (1)
Current Billing Period: From: To:
BASIC AND/ OR SUPPLEMENTAL CONTRACT TOTAL: (
$
Total Billed to Date:
$
Less: Retainage (10% of billing not to exceed 5% of contract)
$
Less: Prior Payments:
$
Prior Billing: $ Less Retainage: $
$
TOTAL CURRENT PAYMENT REQUEST: *
$
(% To Date of DBE Work: )
1 certify that the billed amounts are In agreement with the contract terms:
Signature Title
% Completed x Contract Total = Total Curent Payment Request
( X ( = (* )
Date
EXAMPLE B (Cost Pius Fixed Fee Contracts)
comp'agy. "ame.;
Project. Ho.
Address:
Employer (FEIN) ID Number:
Project Location
Invoice Number and Date:
Progress Report Dated:
Subaocount No.
% Completed:
BASIC AND/ OR SUPPLEMENTAL CONTRACT TOTAL $
Prior Period Billing Amount: $
Current Billing Period: From: To:
DiRECT LABOR: (Ust individually)
Employee Name
Classification
Regular
Hours
Direct Hourly
Rate $
Overtime
Hours *
Cost
$
Current
This Period
Total Amount to
Date (Optional
SUBTOTAL - DIRECT LABOR
$
$
INDIRECT ( %) (As specified in contract)
$
$
OTHER DIRECT COSTS (In - House)
List individually - at actual cost as In final cost proposal, mileage (miles x $),
CADD (hrs. x $), equip. rental (hrs. x $), etc.
$
$
SUBTOTAL (DIRECT LABOR, INDIRECT & OTHER DIRECT COSTS)
$
$
FEE ( %) (As specified in the contract)
$
$
OUTSIDE SERVICES (Subconsultants & Vendors) (Ust individually)
(To be in this same format - attach copies)
$
$
% To Date on DBE Work
$
$
Outside Services Managemehi Expense (when applicable)
$
$
TOTAL CURRENT PERIOD:
$
$
TOTAL TO DATE:
$
$
LESS: Retaina a 109'° of billing not to exceed 5 % of contract
$
$
LESS: Prior Payments
$
$
Prior Billing Less Retaina e
$
$
TOTAL CURRENT PAYMENT REQUEST
$
$
I certify that the billed amounts are actual and in agreement with the.contract terms:
Signature Title Date
* Eligible classifications only; in accordance with contract
EXAMPLE C (Specific Rates Of Pay Contracts)
•Com an :Name:
Project No.
Address:
Employer FEIN ID Number:
Project Location
Invoice Number and Date:
Progress Report Dated:
Subaccount No.
% Completed:
BASIC AND/ OR SUPPLEMENTAL CONTRACT TOTAL $
Prior Period Billing Amount: $
Current Billing Period: From: To:
PAY RATES: (List
individually)
Name
Classification
Regular
Hours
Overtime
Hours *
Rate of Pay
$ / Hours **
Cost
$
— Employee
SUBTOTAL - PAY RATES:
$
OTHER DIRECT COSTS In - House
List individually - at actual rates as in final cost proposal; mileage (miles x $),
CADD hrs. x $), equip. rental hrs. x $), etc.
$
SUBTOTAL (Pay Rates. and Other Direct Rates
$
OUTSIDE SERVICES (Subcbnsultants & Vendors) (List individually)
o be in this same format - attach copies
$
%To Date on DBE Work .
Outside Services Management Expense when applicable)
$
TOTAL CURRENT PERIOD:
$
TOTAL TO DATE:
$
LESS: Retaina a 10 1 /6 of billing not to exceed 5 % of contract
$
LESS: Prior Pa me 'ts
$
Prior Billing $ Less Retaina e $
TOTAL CURRENT PAYMENT REQUEST:
$
I certify that the billed amounts are actual and in agreement with the contract terms:
r Signature Title
* Eligible classifications only; in accordance with contract
** In aocordance.with contract
Date
EXMWLE D (Local Agency Billing)
Date
SECTION I. (QONTBACT DATA
Local Ageacgi Project No.
Address: '
Employer (FEIN) ID Number: Project Location
Invoice Number and Date:
% Completed: Subaccount No.
BASIC AND /OR SUPPLEMENTAL CONTRACT TOTAL:
Federal Share
Local Agency Share
State Share
$
S
Prior Period Billing Amount:
Current Billinv.Period: From:
To:
DIRECT.LABOR: individually)
Employee Classifi- Regular
Name cation Hours
Direct Hourly Overtime Cost
Rate $ Hours* $
Current
This Period
SUBTOTAL - DIRECT LABOR $
BENEFITS . % OF DIRECT LABOR $
OTHER DIRECT COSTS (In- House)
List individually -at actual cost;
mileage (miles x $), CADD (hrs. k
equip rental (hrs. x $), etc..
OUTSIDE SERVICES (Consultants & Vendors)
(List individually) (To be in this same format- $
attach copies of invoices)
TOTAL COSTS CURRENT PERIOD: $
TOTAL COSTS TO DATE:
Total to
Date
SECTION III. BILLING
TOTAL BILLING CURRENT PERIOD
( % OF TOTAL COSTS): $
Prior Billing: $_-- --
I certify that the billed amounts are actual and in agreement with the
contract terms:
Signature Title Date
k Eligible classifications only.
ATTACHMENT #1
THE LOCAL AGENCY SHALL USE THESE PROCEDURES TO IMPLEMENT FEDERAL -AID PROJECT
AGREEMENTS WITH PROFESSIONAL CONSULTANT SERVICES
Title 23 Code of Federal Regulations (CFR) 172 applies to a federally funded
local agency project agreement administered by CDOT that involves professional
consultant services. 23 CFR 172 and 23 CFR 172(d) state that, "When federal -
aid highway funds participate in the contract a local shall use the same
procedures as used by the State to administer contracts ... ". Therefore,
local agencies must comply with this CFR requirement and the following state
procedures when obtaining professional consultant services under a federally
funded consultant contract administered by CDOT.
CDOT has formulated its procedures in Procedural Directive (P.D.) 400.1 and
the related operations guidebook titled "obtaining Professional Consultant
services ". This directive and guidebook incorporate requirements from both
Federal and State regulations, i.e., 23 CFR 172 and Colorado Revised statute
(C.R.S.) 24 -30 -1401 et seq. Copies of the directive and the guidebook may be
obtained upon request from CDOT's Agreements and consultant Management Unit.
[Local agencies should have their own written procedures on file for each
method of procurement that addresses the items in 23 CFR 172.5(b)(1 -6)].
Because the procedures and laws described in the Procedural Directive and the
guidebook are quite lengthy, the subsequent steps serve as a short -hand guide
to CDOT procedures that a local agency must follow in obtaining professional
consultant services. This guidance follows the format of 23 CFR 172. The
steps are:
1. The contracting local agency shall document the need for obtaining
professional services.
Prior to solicitation for consultant services, the contracting local
agency shall develop a detailed scope of work and a list of evaluation
factors and their relative importance. The evaluation factors are those
identified in C.R.S. 24 -30 -1403. Also, a detailed cost estimate should
be prepared for use during negotiations.
3. The contracting agency must advertise for contracts in conformity with
the requirements of C.R.s. 24 -30 -1405. The public notice period, when
such notice is required, is a minimum of 15 days prior to the selection
of the three most qualified firms and the advertising should be done in
one or more daily newspapers of general circulation.
The request for consultant services should include the scope of work, the
evaluation factors and their relative importance, the method of payment,
and the goal of ten percent (10 %) Disadvantaged Business Enterprise (DBE)
participation as a minimum for the project.
5. The analysis and selection of the consultants should be done in
accordance with C.R.S. 24 -30 -1403. This section of the regulation
identifies the criteria to be used in the evaluation of CDOT pre -
qualified prime consultants and their team. It also shows which criteria
are used to short -list and to make a final selection.
The short -list is based on the following evaluation factors:
a. Qualifications,
b. Approach to the project,
C. A ity to furnish professional services.
d. Anticipated design concepts, and
e. Alternative methods of approach for furnishing the professional
services.
-22-
i Illll��lIIIIII�11'li I �.; __
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. Locati
e. Current and projected work load,
f. volume of previously awarded contracts, and
g. Involvement of minority consultants.
under 24 -30 -1401 cost shall not be considered as a factor in the
evaluation of professional consultant services.
6. once a consultant is selected, the local agency enters into negotiations
with the consultant to obtain a fair and reasonable price for the
anticipated work. Pre - negotiation audits are prepared for contracts
expected to be 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 fifteen (15) percent of the total direct and
indirect costs.
7. A qualified local agency employee shall be responsible and in charge of
the project to ensure that the work being pursued is complete, accurate,
and consistent with the terms, conditions, and specifications of the
contract. At the end of project, the local agency prepares a performance
evaluation (a CDOT form is available) on the consultant.
8. Each of the steps listed above is to be documented in accordance with the
provisions of 49 CFR 18.42, which provide for records to be kept at least
three (3) years from the date that the local agency submits its final
expenditure report. Records of projects under litigation shall be kept
at least three (3) years after the case has been settled.
The C.R.S. 24 -30 -1401 through 24 -30 -1408, 23 CFR Part 172, and P.D. 400.1,
provide additional details for complying with the eight (8) steps just
discussed.
-23-
FHWA Form 1273
REQUIRED CONTRACT PROVISIONS
FEDERAL -AID CONSTRUCTION CONTRACTS
Page
I. General ................................... ............................... 1
II. Nondiscrimination ................... ............................... 1
III. Nonsegregated Facilities ......... ............................... 3
IV. Payment of Predetermined Minimum Wage........... 3
V. Statements and Payrolls ......... ............................... 6
VI. Record of Materials, Supplies, and Labor ............... 6
VII. Subletting or Assigning the Contract ...................... 7
Vlll. Safety: Accident Prevention ... ............................... 7
IX. False Statements Concerning Highway Projects.... 7
X. Implementation of Clean Air Act and Federal
Water Pollution Control Act ..................... ............................... 8
XI. Certification Regarding Debarment, Suspension,
Ineligibility, and Voluntary Exclusion ....... ............................... 8
XII. Certification Regarding Use of Contract Funds for
Lobbying .................................................. ............................... 9
ATTACHMENTS
A. Employment Preference for Appalachian Contracts
(included in Appalachian contracts 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.
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.
11. NONDISCRIMINATION
(Applicable to all Federal -aid construction contracts and to all
related subcontracts of $10,000 or more.)
1. Equal Employment Opportunity: Equal employment
opportunity (EEO) requirements not to discriminate and to take
affirmative action to assure equal opportunity as set forth under
laws, executive orders, rules, regulations (28 CFR 35, 29 CFR
1630 and 41 CFR 60) and orders of the Secretary of Labor as
modified by the provisions prescribed herein, and imposed
pursuant to 23 U.S.C. 140 shall constitute the EEO and specific
affirmative action standards for the contractor's project activities
under this contract. The Equal Opportunity Construction Contract
Specifications set forth under 41 CFR 60 -4.3 and the provisions of
the American Disabilities Act of 1990 (42 U.S.C. 12101 et se q.) set
forth under 28 CFR 35 and 29 CFR 1630 are incorporated by
reference in this contract. In the execution of this contract, the
contractor agrees to comply with the following minimum specific
requirement activities of EEO:
a. The contractor will work with the State highway agency
(SHA) and the Federal Government in carrying out EEO obliga-
tions and in their review of his /her activities under the contract.
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 subcontrac-
tor or lower tier subcontractor with these Required Contract
Provisions.
3. A breach of any of the stipulations contained in these
Required Contract Provisions shall be sufficient grounds for
termination of the contract.
4. A breach of the following clauses of the Required Contract
Provisions may also be grounds for debarment as provided in 29
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 accor-
dance with the procedures of the U.S. Department of Labor (DOL)
as set forth in 29 CFR 5, 6, and 7. Disputes within the meaning of
this clause include disputes between the contractor (or any of its
subcontractors) and the contracting agency, the DOL, or the
contractor's employees or their representatives.
6. Selection of Labor: During the performance of this con-
tract, the contractor shall not:
a. discriminate against labor from any other State, posses-
sion, or territory of the United States (except for employment
preference for Appalachian contracts, when applicable, as
specified in Attachment A), or
b. The contractor will accept as his operating policy the
following statement:
"It is the policy of this Company to assure that applicants are
employed, and that employees are treated during employ-
ment, without regard to their race, religion, sex, color, national
origin, age or disability. Such action shall include: employ-
ment, upgrading, demotion, or transfer; recruitment or
recruitment advertising; layoff or termination; rates of pay or
other forms of compensation; and selection for training,
including apprenticeship, 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 contractor's EEO policy and contractual
responsibilities to provide EEO in each grade and classification of
employment. To ensure that the above agreement will be met, the
following actions will be taken as a minimum:
a. Periodic meetings of supervisory and personnel office
employees will be conducted before the start of work and then not
less often than once every six months, at which time the contract-
or's EEO policy and its implementation will be reviewed and
explained. The meetings will be conducted by the EEO Officer.
b. All new supervisory or personnel office employees will be
given a thorough indoctrination by the EEO Officer, covering all
major aspects of the contractor's EEO obligations within thirty days
following their reporting for duty with the contractor.
iwa 11 �zjl�tl�.d..__ _1_1.
_1.y
c. All personnel who are engaged in direct recruitment for
the project will be instructed by the EEO Officer in the contractor's
procedures for locating and hiring minority group employees.
d. Notices and posters setting forth the contractor's EEO
policy will be placed in areas readily accessible to employees,
applicants for employment and potential employees.
e. The contractor's EEO policy and the procedures to
implement such policy will be brought to the attention of employ-
ees by means of meetings, employee handbooks, or other
appropriate means.
4. Recruitment: When advertising for employees, the contrac-
tor will include in all advertisements for employees the notation:
"An Equal Opportunity Employer." All such advertisements will be
placed in publications having a large circulation among minority
groups in the area from which the project work force would
normally be derived.
a. The contractor will, unless precluded by a valid bargain-
ing agreement, conduct systematic and direct recruitment through
public and private employee referral sources likely to yield qualified
minority group applicants. To meet this requirement, the contrac-
tor 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 agree-
ment providing for exclusive hiring hall referrals, he is expected to
observe the provisions of that agreement to the extent that the
system permits the contractor's 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 imple-
mentation 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. 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
d. The contractor will promptly investigate all complaints of
alleged discrimination made to the contractor in connection with
his obligations under this contract, will attempt to resolve such
complaints, and will take appropriate corrective action within a
reasonable time. If the investigation indicates that the discrimina-
tion may affect persons other than the complainant, such correc-
tive action shall include such other persons. Upon completion of
each investigation, the contractor will inform every complainant of
all of his avenues of appeal.
6. Training and Promotion:
a. The contractor will assist in locating, qualifying, and
increasing the skills of minority group and women employees, and
applicants for employment.
b. Consistent with the contractor's work force requirements
and as permissible under Federal and State regulations, the
contractor shall make full use of training programs, i.e., appren-
ticeship, 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 applicants 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 member-
ship 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.
qualified and /or qualifiable minority group persons and women.
(The DOL has held that it shall be no excuse that the union with
which the contractor has a collective bargaining agreement provid-
ing 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
REQUIRED BY 23 CFR 633.102 -25-
pWY.
ytim mall tj 1 1
amended, and these special provisions, such contractor shall
immediately notify the SHA.
8. Selection of Subcontractors, Procurement of Materials
and Leasing of Equipment: The contractor shall not discriminate
on the grounds of race, color, religion, sex, national origin, age or
disability in the selection and retention of subcontractors, including
procurement of materials and leases of equipment.
a. The contractor shall notify all 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-
tractor compliance with their EEO obligations.
9. Records and Reports: The contractor shall keep such
records as necessary to document compliance with the EEO
requirements. Such records shall be retained for a period of three
years following completion of the contract work and shall be
available at reasonable times and places for inspection by autho-
rized representatives of the SHA and the FHWA.
a. The records kept by the contractor shall document the
following:
(1) The number of minority and non - minority group
members and women employed in each work classification on the
project;
(2) The progress and efforts being made in cooperation
with unions, when applicable, to increase employment opportuni-
ties for minorities and women;
(3) The progress and efforts being made in locating,
hiring, training, qualifying, and upgrading minority and female
employees; and
(4) The progress and efforts being made in securing the
services of DBE subcontractors or subcontractors with meaningful
minority and female representation among their employees.
b. The contractors will submit an annual report to the SHA
each July for the duration of the project, indicating the number of
minority, women, and non - minority group employees currently
engaged in each work classification required by the contract work.
This information is to be reported on Form FHWA -1391. If on -the -
job training is being required by special provision, the contractor
will be required to collect and report training data.
111. 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 agree-
ment or purchase order, as appropriate, the bidder, Federal -aid
construction contractor, subcontractor, material supplier, or
vendor, as appropriate, certifies that the firm does not maintain or
provide for its employees any segregated facilities at any of its
establishments, and that the firm does not permit its employees to
perform their services at any location, under its control, where
segregated facilities are maintained. The firm agrees that a
breach of this certification is a violation of the EEO provisions of
this contract. The firm further certifies that no employee will be
denied access to adequate facilities on the basis of sex or
disability.
b. As used in this certification, the term "segregated
facilities" means any waiting rooms, work areas, restrooms and
washrooms, restaurants and other eating areas, timeclocks, locker
rooms, and other storage or dressing areas, parking lots, drinking
fountains, recreation or entertainment areas, transportation, and
housing facilities provided for employees which are segregated by
explicit 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.)
1. 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
less than those contained in the wage determination 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 determination (including any additional classifications
and wage rates conformed under paragraph 2 of this Section IV
and the DOL poster (WH -1321) or Form FHWA -1495) shall be
posted at all times by the contractor and its subcontractors at the
site of the work in a prominent and accessible 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 provi-
sions 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
determination for the classification of work actually performed,
without regard to skill, except as provided in paragraphs 4 and 5 of
this Section IV.
REQUIRED BY 23 CFR 633.102 -26-
b. Laborers or mechanics performing 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 performed.
c. All rulings and interpretations of the Davis -Bacon Act and
related acts contained in 29 CFR 1, 3, and 5 are herein incorpo-
rated by reference in this contract.
2. Classification:
a. The SHA contracting officer shall require that any class of
laborers or mechanics employed under the contract, which is not
listed in the wage determination, shall be classified in conformance
with the wage determination.
b. The contracting officer shall approve an additional
classification, wage rate and fringe benefits only when the
following criteria have been met:
(1) the work to be performed by the additional classifi-
cation requested is not performed by a classification in the wage
determination;
(2) the additional classification is utilized in the area by
the construction industry;
(3) the proposed wage rate, including any bona fide
fringe benefits, bears a reasonable relationship to the wage rates
contained in the wage determination; and
(4) with respect to helpers, when such a classification
prevails in the area in which the work is performed.
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 Stan-
dards Administration, Washington, D.C. 20210. The Wage and
Hour Administrator, or an authorized representative, will approve,
modify, or disapprove every additional classification action within
30 days of receipt and so advise the contracting officer or will
notify the contracting officer within the 30 -day period that
additional time is necessary.
d. In the event the contractor or subcontractors, as appro-
priate, the laborers or mechanics to be employed in the additional
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 Administrator, 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 appropri-
ate) determined pursuant to paragraph 2c or 2d of 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 hourly rate, the contractor or
subcontractors, as appropriate, shall either pay the benefit as
stated in the wage determination or shall pay another bona fide
fringe benefit or an hourly case equivalent thereof.
b. If the contractor or subcontractor, as appropriate, does
not make payments to a trustee or other third person, he /she may
consider as a part of the wages of any laborer or mechanic the
amount of any costs reasonably anticipated in providing bona fide
fringe benefits under a plan or program, provided, that the Secre-
tary of Labor has found, upon the written request of the contractor,
that the applicable standards of the Davis -Bacon Act have been
met. The Secretary of Labor may require the contractor to set
aside in a separate account assets for the meeting of obligations
under the plan or program.
4. Apprentices and Trainees (Programs of the U.S. DOL)
and Helpers:
a. Apprentices:
(1) Apprentices will be permitted to work at less than the
predetermined rate for the work they performed when they are
employed pursuant to and individually registered in a bona fide
apprenticeship program registered with the DOL, Employment and
Training Administration, Bureau of Apprenticeship and Training, or
with a State apprenticeship agency recognized by the Bureau, or if
a person is employed in his /her 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 shall 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 payroll at an apprentice wage rate, who is not registered or
otherwise employed as stated above, shall be paid not less than
the applicable wage rate listed in the wage determination for the
classification of work actually performed. In addition, any appren-
tice performing work on the job site in excess of the ratio permitted
under the registered program shall be paid not less than the
applicable wage rate on the wage determination for the work
actually performed. Where a contractor or subcontractor is
performing construction on a project in a locality other than that in
which its program is registered, the ratios and wage rates (ex-
pressed in percentages of the journeyman -level hourly rate)
specified in the contractor's or subcontractor's registered program
shall be observed.
(3) Every apprentice must be paid at not less than the
rate specified in the registered program for the apprentice's level of
progress, expressed as a percentage of the journeyman -level
hourly rate specified in the applicable wage determination.
Apprentices shall be paid fringe benefits in accordance with the
provisions of the apprenticeship program. If the apprenticeship
program does not specify fringe benefits, apprentices must be paid
the full amount of fringe benefits listed on the wage determination
for the applicable classification. If the Administrator for the Wage
and Hour Division determines that a different practice prevails for
the applicable apprentice classification, fringes shall be paid in
accordance with that determination.
(4) In the event the Bureau of Apprenticeship and
Training, or a State apprenticeship agency recognized by the
Bureau, withdraws approval of an apprenticeship program, the
REQUIRED BY 23 CFR 633.102 -27-
contractor or subcontractor will no longer be permitted to utilize
apprentices at less than the applicable predetermined rate for the
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, Employ-
ment and Training Administration.
(2) The ratio of trainees to journeyman -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 regis-
tered and participating in a training plan approved by the Employ-
ment and Training Administration shall be paid not less than the
applicable wage rate on the wage determination for the classifica-
tion of work actually performed. In addition, any trainee perform-
ing work on the job site in excess of the ratio permitted under the
registered program shall be paid not less than the applicable wage
rate on the wage determination for the work actually performed.
(3) Every trainee must be paid at not less than the rate
specified in the approved program for his /her level of progress,
expressed as a percentage of the journeyman -level hourly rate
specified in the applicable wage determination. Trainees shall be
paid fringe benefits in accordance with the provisions of the trainee
program. If the trainee program does not mention fringe benefits,
trainees shall be paid the full amount of fringe benefits listed on
the wage determination unless the Administrator of the Wage and
Hour Division determines that there is an apprenticeship program
associated with the corresponding journeyman -level wage rate on
the wage determination which provides for less than full fringe
benefits for apprentices, in which case such trainees shall receive
the same fringe benefits as apprentices.
(4) In the event the Employment and Training Adminis-
tration withdraws approval of a training program, the contractor or
subcontractor will no longer be permitted to utilize trainees at less
than the applicable predetermined rate for the work performed until
an acceptable program is approved.
c. Helpers:
Helpers will be permitted to work on a project if the
helper classification is specified and defined on the applicable
wage determination or is approved pursuant to the conformance
procedure set forth in Section IV.2. Any worker listed on a payroll
at a helper wage rate, who is not a helper under a approved defini-
tion, shall be paid not less than the applicable wage rate on the
wage determination for the classification of work actually per-
formed.
5. Apprentices and Trainees (Programs of the U.S. DOT):
Apprentices and trainees working under apprenticeship and
skill training programs which have been certified by the Secretary
of Transportation as promoting EEO in connection with Federal -aid
highway construction programs are not subject to the requirements
of paragraph 4 of this Section IV. The straight time hourly wage
rates for apprentices and trainees under such programs will be
established by the particular programs. The ratio of 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 written request
of an authorized representative of the DOL withhold, or cause to
comparable work performed by regular employees until an accept-
able program is approved.
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 subcontractor the full amount of wages
required by the contract. In the event of failure to pay any laborer
or mechanic, including any apprentice, trainee, or helper, em-
ployed or working on the site of the work, all or part of the wages
required by the contract, the SHA contracting officer may, after
written notice to the contractor, take such action as may be
necessary to cause the suspension of any further payment,
advance, or guarantee of funds until such violations have ceased.
7. Overtime Requirements:
No contractor or subcontractor contracting for any part of
the contract work which may require or involve the 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 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 his /her basic rate of pay for
all hours worked in excess of 40 hours in such workweek.
B. 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 States (in the case of work done under contract for the
District of Columbia or a territory, to such District or to such
territory) for liquidated damages. Such liquidated damages shall
be computed with respect to each individual laborer, mechanic,
watchman, or guard employed in violation of the clause set forth in
paragraph 7, in the sum of $10 for each calendar day on which
such employee was required or permitted to work in excess of the
standard work week of 40 hours without payment of the overtime
wages required by the clause set forth in paragraph 7.
9. Withholding for Unpaid Wages and 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 construction contracts exceeding
$2,000 and to all related subcontracts, except for projects located
on roadways classified as local roads or rural collectors, which are
exempt.)
1. Compliance with Copeland Regulations (29 CFR 3):
REQUIRED BY 23 CFR 633.102 -28-
The contractor shall comply with the Copeland Regulations of
the Secretary of Labor which are herein incorporated by reference.
a. Payrolls and basic records relating thereto shall be
maintained by the contractor and each subcontractor during the
course of the work and preserved for a period of 3 years from the
date of completion of the contract for all laborers, mechanics,
apprentices, trainees, watchmen, helpers, and guards working at
the site of the work.
b. The payroll records shall contain the name, social
security number, and address of each such employee; his or her
correct classification; hourly rates of wages paid (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 indicat-
ing 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 has been communicated in
writing to the laborers or mechanics affected, and show the cost
anticipated or the actual cost incurred in providing benefits.
Contractors or subcontractors employing apprentices or trainees
under approved programs shall maintain written evidence of the
registration of apprentices and trainees, and ratios and wage rates
prescribed in the applicable programs.
c. Each contractor and subcontractor shall furnish, each
week in which any contract work is performed, to the SHA resident
engineer a payroll of wages paid each of its employees (including
apprentices, trainees, and helpers, described in Section IV, para-
graphs 4 and 5, and watchmen and guards engaged on work
during the preceding weekly payroll period). The payroll submitted
shall set out accurately and completely all of the information
required to be maintained under paragraph 2b of this Section V.
This information may be submitted in any form desired. Optional
Form WH -347 is available for this purpose and may be purchased
from the Superintendent of Documents (Federal stock number
029 - 005 - 0014 -1), U.S. Government Printing Office, Washington,
D.C. 20402. The prime contractor is responsible for the submis-
sion of copies of payrolls by all subcontractors.
d, Each payroll submitted shall be accompanied by a
"Statement of Compliance," signed by the contractor or subcon-
tractor or his /her agent who pays or supervises the payment of the
persons employed under the contract and shall certify the follow-
ing:
(1) that the payroll for the payroll period contains the
information required to be maintained under paragraph 2b of this
Section V and that such information is correct and complete;
(2) that such laborer or mechanic (including each helper,
apprentice, and trainee) employed on the contract during the
payroll period has been paid the full weekly wages earned, without
rebate, either directly or indirectly, and that no deductions have
been made either directly or indirectly from the full wages 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 applicable wage rate and fringe benefits or cash equiva-
2. Payrolls and Payroll Records:
lent for the classification of worked performed, as specified in the
applicable wage determination incorporated into the contract.
e. The weekly submission of a properly executed certifica-
tion set forth on the reverse side of Optional Form WH -347 shall
satisfy the requirement for submission of the "Statement of
Compliance" required by paragraph 2d of this Section V.
f. The falsification of any of the above certifications may
subject the contractor to civil or criminal prosecution under 18
U.S.C. 1001 and 31 U.S.C. 231.
g. The contractor or subcontractor shall make the records
required under paragraph 2b of this Section V available for inspec-
tion, copying, or transcription by authorized representatives of the
SHA, the FHWA, or the DOL, and shall permit such repre-
sentatives to interview employees during working hours on the job.
If the contractor or subcontractor fails to submit the required
records or to make them available, the SHA, the FHWA, the DOL,
or all may, after written notice to the contractor, sponsor, applicant,
or owner, take such actions as may be necessary to cause the
suspension of any further payment, advance, or guarantee of
funds. Furthermore, failure to submit the required records upon
request or to make such records available may be grounds for
debarment action pursuant to 29 CFR 5.12.
VI. RECORD OF MATERIALS, SUPPLIES, AND LABOR
1. On all Federal -aid contracts on the National Highway
System, except those which provide solely for the installation of
protective devices at railroad grade crossings, those which are
constructed on a force account or direct labor basis, highway
beautification contracts, and contracts for which the total final
construction cost for roadway and bridge is less than $1,000,000
(23 CFR 635) the contractor shall:
a. Become familiar with the list of specific materials and
supplies contained in Form FHWA -47, "Statement of Materials and
Labor Used by Contractor of Highway Construction Involving
Federal Funds," prior to the commencement of work under this
contract.
b. Maintain a record of the total cost of all materials and
supplies purchased for and incorporated in the work, and also of
the quantities of those specific materials and supplies listed on
Form FHWA -47, and in the units shown on Form FHWA -47.
c. Furnish, upon the completion of the contract, to the SHA
resident engineer on Form FHWA -47 together with the data
required in paragraph 1b relative to materials and supplies, a final
labor summary of all contract work indicating the total hours
worked and the total amount earned.
2. At the prime contractor's option, either a single report
covering all contract work or separate reports for the contractor
and for each subcontract shall be submitted.
VII. SUBLETTING OR ASSIGNING THE CONTRACT
1. The contractor shall perform with its own organization
contract work amounting to not less than 30 percent (or a greater
percentage if specified elsewhere in the contract) of the total
original contract price, excluding any specialty items designated by
the State. Specialty items may be performed by subcontract and
the amount of any such specialty items performed may be
deducted from the total original contract price before computing
the amount of work required to be performed by the contractor's
own organization (23 CFR 635).
REQUIRED BY 23 CFR 633.102 -29-
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
in paragraph 1 of Section VII is computed includes the cost of
material and manufactured products which are to be purchased or
produced by the contractor under the contract provisions.
3. The contractor shall furnish (a) a competent superintendent
or supervisor who is employed by the firm, has full authority to
direct performance of the work in accordance with the contract
requirements, and is in charge of all construction operations
(regardless of who performs 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 performance of the contract.
4. No portion of the contract shall be sublet, assigned or
otherwise disposed of except with the written consent of the SHA
contracting officer, or authorized representative, and such consent
when given shall not be construed to relieve the contractor of any
responsibility for the fulfillment of the contract. Written consent will
be given only after the SHA has assured that each subcontract is
evidenced in writing and that it contains all pertinent provisions and
requirements of the prime contract.
VIII. SAFETY: ACCIDENT PREVENTION
1. In the performance of this contract the contractor shall
comply with all applicable Federal, State, and local laws governing
safety, health, and sanitation (23 CFR 635). The contractor shall
provide all safeguards, safety devices and protective equipment
and take any other needed actions as it determines, or as the SHA
contracting officer may determine, 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
performance of the work covered by the contract.
2. It is a condition of this contract, and shall be made a
condition of each subcontract, which the contractor enters into
pursuant to this contract, that the contractor and any subcontractor
shall not permit any employee, in performance of the contract, to
work in surroundings or under conditions which are unsanitary,
hazardous or dangerous to his/her health or safety, as determined
under construction safety and health standards (29 CFR 1926)
promulgated by the Secretary of Labor, in accordance with Section
107 of the Contract Work Hours and Safety Standards Act (40
U.S.C. 333).
3. Pursuant to 29 CFR 1926.3, it is a condition of this contract
that the Secretary of Labor or authorized representative thereof,
shall have right of entry to any site of contract performance to
inspect or investigate the matter of compliance with the construc-
tion safety and 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).
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 misrepre-
sentation with respect to any facts related to the project is a
violation of Federal law. To prevent any misunderstanding
regarding the seriousness of these and similar acts, the following
notice shall be posted on each Federal -aid highway project (23
CFR 635) in one or more places 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 false 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 approval 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
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 1, 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 et seq., as amended by Pub.L.
91 -604), and under the Federal Water Pollution Control Act, as
amended (33 U.S.C. 1251 et seg., 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
REQUIRED BY 23 CFR 633.102 -30-
M 91 1®111 11111. 1' i ILI
Section 308 of the Federal Water Pollution Control Act and all
regulations and guidelines listed thereunder.
3. That the firm shall promptly notify the SHA of the receipt of any
communication from the Director, Office of Federal Activities, EPA,
indicating that a facility that is or will be utilized for the contract is
under consideration to be listed on the EPA List of Violating
Facilities.
4. 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 government may direct as a means of enforcing such require-
ments.
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 disquali-
fy 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 Government, the department or agency
may terminate this transaction for cause of default.
d. The prospective primary participant shall provide immedi-
ate written notice to the department or agency to whom this
proposal is submitted if any time the prospective primary partici-
pant learns that its certification was erroneous when submitted or
has become erroneous by reason of changed circumstances.
e. The terms "covered transaction," "debarred," "suspend-
ed," "ineligible," "lower tier covered transaction," "participant,"
"person," "primary covered transaction," "principal," "proposal,"
and "voluntarily excluded," as used in this clause, have the
meanings set out in the Definitions and Coverage sections of rules
implementing Executive Order 12549. You may contact the
department or agency to which this proposal is submitted for
assistance in obtaining a copy of those regulations.
f. The prospective primary participant agrees by submitting
this proposal that, should the proposed covered transaction be
entered into, it shall not knowingly enter into any lower tier covered
transaction with a person who is debarred, suspended, declared
ineligible, or voluntarily 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 titled "Certifi-
cation Regarding Debarment, Suspension, Ineligibility and Volun-
tary 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
transaction that is not debarred, suspended, ineligible, or volun-
tarily 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 nonprocure-
ment portion of the "Lists of 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 for transactions authorized under paragraph f of
these instructions, if a participant in a covered transaction
knowingly enters into a lower tier covered transaction with a
person who is suspended, debarred, ineligible, or voluntarily
excluded from participation in this transaction, in addition to other
remedies available to the Federal Government, the department or
agency may terminate this transaction for cause or default.
Certification Regarding Debarment, Suspension, Ineligibility
and Voluntary Exclusion -- Primary Covered Transactions
1. The prospective primary participant certifies to the best of its
knowledge and belief, that it and its principals:
a. Are not presently debarred, suspended, proposed for
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 performing a public (Federal,
State or local) transaction or contract under a public transaction;
violation of Federal or State antitrust statutes or commission of
embezzlement, theft, forgery, bribery, falsification or destruction of
records, making false statements, or receiving stolen property;
c. Are not presently indicted for or otherwise criminally or
civilly charged by a governmental entity (Federal, State or local)
with commission 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.
REQUIRED BY 23 CFR 633.102 -31-
2. Instructions for Certification - Lower Tier Covered
Transactions:
a. By signing and submitting this proposal, the prospective
lower tier is providing the certification set out below.
b. The certification in this clause is a material representation
of fact upon which reliance was placed when this transaction was
entered into. If it is later determined that the prospective lower tier
participant knowingly rendered an erroneous certification, in
addition to other remedies available to the Federal Government,
the department, or agency with which this transaction originated
may pursue available remedies, 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," "suspend-
ed," "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 submit-
ting this proposal that, should the proposed covered transaction be
entered into, it shall not knowingly enter into any lower tier covered
transaction with a person who is debarred, suspended, declared
ineligible, or voluntarily excluded from participation in this covered
transaction, unless authorized by the department or agency with
which this transaction originated.
f. The prospective lower tier participant further agrees by
submitting this proposal that it will include this clause titled
"Certification Regarding Debarment, Suspension, Ineligibility and
Voluntary Exclusion -Lower Tier Covered Transaction," without
modification, in all lower tier covered transactions and in all
solicitations for lower tier covered transactions.
g. A participant in a covered transaction may rely upon a
certification of a prospective participant in a lower tier covered
transaction that is not debarred, suspended, ineligible, or volun-
tarily 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
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 a of
these instructions, if a participant in a covered transaction
knowingly enters into a lower tier covered transaction with a
person who is suspended, debarred, ineligible, or voluntarily
excluded from participation in this transaction, in addition to other
remedies available to the Federal Government, the department or
agency with which this transaction originated may pursue available
remedies, including suspension and /or debarment.
(Applicable to all subcontracts, purchase orders and other lower
tier transactions of $25,000 or more - 49 CFR 29)
Certification Regarding Debarment, Suspension, Ineligibility
and Voluntary Exclusion —Lower Tier Covered 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 prospec-
tive participant shall attach an explanation to this proposal.
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 submit-
ting this bid or proposal, to the best of his or her knowledge and
belief, that:
a. No Federal appropriated funds have been paid or will be
paid, by or on behalf of the undersigned, to any person for
influencing or attempting to influence an officer or employee of any
Federal agency, a Member of Congress, an officer or 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,
grant, loan, or cooperative agreement.
b. If any funds other than Federal appropriated funds have
been paid or will be paid to any person for influencing or attempt-
ing to influence an officer or employee of any Federal agency, a
Member of Congress, an officer or employee of Congress, or an
employee of a Member of Congress in connection with this Federal
contract, grant, loan, or cooperative agreement, the undersigned
shall complete and submit Standard Form -LLL, "Disclosure Form
to Report Lobbying," in accordance with its instructions.
2. 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 31 U.S.C.
1352. Any person who fails to file the required certification shall
be subject to a civil penalty of not less than $10,000 and not more
than $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 that the language of
this certification be included in all lower tier subcontracts, which
exceed $100,000 and that all such recipients shall certify and
disclose accordingly.
REQUIRED BY 23 CFR 633.102 -32-
ADDENDUM A: FEDERAL REQUIREMENTS
Federal laws and regulations that may be applicable to the Work include:
A. The "Uniform Administrative Requirements for Grants and Cooperative Agreements to State and
Local Governments (Common Rule), at 49 Code of Federal Regulations, Part 18, except to the
extent that other applicable federal requirements (including the provisions of 23 CFR Parts
172 or 633 or 635) are more specific than provisions of Part 18 and therefore supersede such
Part 18 provisions. The requirements of 49 CFR 18 include, without limitation:
1) the Local Agency /Contractor shall follow applicable procurement procedures, as required by
section 18.36(d);
2) the Local Agency /Contractor shall request and obtain prior CDOT approval of changes to any
subcontracts in the manner, and to the extent required by, applicable provisions of section 18.30;
3) the Local Agency /Contractor shall comply with section 18.37 concerning any subgrants;
4) to expedite any CDOT approval, the Local Agency /Contractor's attorney, or other authorized
representative, shall also submit a letter to CDOT certifying Local Agency /Contractor compliance
with section 18.30 change order procedures, and with 18.36(d) procurement procedures, and with
18.37 subgrant procedures, as applicable;
5) the Local Agency /Contractor shall incorporate the specific contract provisions described in
18.36(i) (which are also deemed incorporated herein) into any subcontract(s) for such services as
terms and conditions of those subcontracts.
B. Executive Order 11246 of September 24, 1965 entitled "Equal Employment Opportunity," as
amended by Executive Order 11375 of October 13, 1967 and as supplemented in Department of
Labor regulations (41 CFR Chapter 60) (All construction contracts awarded in excess of $10,000 by
grantees and their contractors or subgrantees).
C. The Copeland "Anti- Kickback" Act (18 U.S.C. 874) as supplemented in Department of Labor
regulations (29 CFR Part 3) (All contracts and subgrants for construction or repair).
D. The Davis -Bacon Act (40 U.S.C. 276a to a -7) as supplemented by Department of Labor
regulations (29 CFR Part 5) (Construction contracts in excess of $2,000 awarded by grantees and
subgrantees when required by Federal grant program legislation. This act requires that all laborers
and mechanics employed by contractors or sub - contractors to work on construction projects financed
by federal assistance must be paid wages not less than those established for the locality of the project
by the Secretary of Labor).
E. Sections 103 and 107 of the Contract Work Hours and Safety Standards Act (40 U.S.C. 327 -330)
as supplemented by Department of Labor regulations (29 CFR Part 5). (Construction contracts
awarded by grantees and subgrantees in excess of $2,000, and in excess of $2,500 for other contracts
which involve the employment of mechanics or laborers).
F. Standards, orders, or requirements issued under section 306 of the Clear Air Act (42 U.S.C.
1857(h), section 508 of the Clean Water Act (33 U.S.C. 1368). Executive Order 11738, and
-33-
Environmental Protection Agency regulations (40 CFR Part 15) (contracts, subcontracts, and
subgrants of amounts in excess of $100,000).
G. Mandatory standards and policies relating to energy efficiency which are contained in the state
energy conservation plan issued in compliance with the Energy Policy and Conservation Act (Pub.
L. 94 -163).
H. Office of Management and Budget Circulars A -87, A -21 or A -122, and A -102 or A -110,
whichever is applicable.
I. The Hatch Act (5 USC 1501 -1508) and Public Law 95 -454 Section 4728. These statutes state that
federal funds cannot be used for partisan political purposes of any kind by any person or
organization involved in the administration of federally- assisted programs.
J. 42 USC 6101 et seq. 42 USC 2000d, 29 USC 794, and implementing regulation, 45 C.F.R. Part
80 et. se g.. These acts require that no person shall, on the grounds of race, color, national origin,
age, or handicap, be excluded from participation in or be subjected to discrimination in any program
or activity funded, in whole or part, by federal funds;
K. The Americans with Disabilities Act (Public Law 101 -336; 42 USC 12101, 12102, 12111 - 12117,
12131- 12134, 12141- 12150, 12161- 12165, 12181 - 12189, 12201 -12213 47 USC 225 and 47 USC
611.
L. The Uniform Relocation Assistance and Real Property Acquisition Policies Act, as amended
(Public Law 91 -646, as amended and Public Law 100 -17, 101 Stat. 246 -256). (If the contractor is
acquiring real property and displacing households or businesses in the performance of this contract.)
M. The Drug -Free Workplace Act (Public Law 100 -690 Title V, subtitle D, 41 USC 701 et seq.
N. The Age Discrimination Act of 1975, 42 U.S.C. Sections 6101 et. seq. and its implementing
regulation, 45 C.F.R. Part 91;
Section 504 of the Rehabilitation Act of 1973, 29 U.S.C. 794, as amended, and implementing
regulation 45 C.F.R. Part 84.
O. 23 C.F.R. Part 172, concerning "Administration of Engineering and Design Related Contracts ".
P. 23 C.F.R Part 633, concerning "Required Contract Provisions for Federal -Aid Construction
Contracts".
Q. 23 C.F.R. Part 635, concerning "Construction and Maintenance Provisions ".
R. Title VI of the Civil Rights Act of 1964 and 162(a) of the Federal Aid Highway Act of 1973.
The requirements for which are shown in the Nondiscrimination Provisions, which are attached
hereto and made a part hereof.
-34-
APRIL 1980
Nondiscrimination Provisions:
In compliance with Title VI of the Civil Rights Act of 1964 and with Section 162(a)
of the Federal Aid Highway Act of 1973, the Contractor, for itself, its assignees and
successors in interest, agree as follows:
A. Compliance with Regulations. The Contractor will comply with the Regulations
of the Department of Transportation relative to nondiscrimination in Federally
assisted programs of the Department of Transportation (Title 49, Code of Federal
Regulations, Part 21, hereinafter referred to as the "Regulations "), which are
herein incorporated by reference and made a part of this contract.
B. Nondiscrimination. The Contractor, with regard to the work performed by it
after award and prior to completion of the contract work, will not discriminate on
the ground of race, color, sex, mental or physical handicap or national origin in
the selection and retention of Subcontractors, including procurement of materials
and leases of equipment. The Contractor will not participate either directly or
indirectly in the discrimination prohibited by Section 21.5 of the Regulations,
including employment practices when the contract covers a program set forth in
Appendix C of the Regulations.
C. Solicitations for Subcontracts, Including Procurement of Materials and Equip-
ment. 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.
-35-
E. Sanctions for Noncompliance. In the event of the Contractor's noncompliance
with the nondiscrimination provisions of this contract, the State shall impose
such contract sanctions as it or the FHWA may determine to be appropriate,
including, but not limited to:
(1) Withholding of payments to the Contractor under the contract until the
Contractor complies, and /or;
(2) Cancellation, termination or suspension of the contract, in whole or in part.
F. Incorporation of Provisions. The Contractor will include the provisions of
paragraphs A through F in every subcontract, including procurement of materials
and leases of equipment, unless exempt by the Regulations, orders, or
instructions issued pursuant thereto. The Contractor will take such action with
respect to any subcontract or procurement as the State or the FHWA may direct
as a means of enforcing such provisions including sanctions for noncompliance;
provided, however, that, in the event the Contractor becomes involved in, or is
threatened with, litigation with a Subcontractor or supplier as a result of such
direction, the Contractor may request the State to enter into such litigation to
protect the interest of the State and in addition, the Contractor may request the
FHWA to enter into such litigation to protect the interests of the United States.
-36-
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
-37-
APPENDIX B
DISADVANTAGED BUSINESS ENTERPRISE (DBE)
SECTION 1. Policy.
It is the policy of the Colorado Department of Transportation (CDOT) that disadvantaged business
enterprises shall have the maximum opportunity to participate in the performance of contracts
financed in whole or in part with Federal funds under this agreement, pursuant to 49 CFR Part 23.
Consequently, the 49 CFR Part IE DBE requirements the Colorado Department of Transportation
DBE Program (or a Local Agency DBE Program approved in advance by the State) apply to this
agreement.
SECTION 2. DBE Obligation.
The recipient or its contractor agrees to ensure that disadvantaged business enterprises as determined
by the Office of Certification at the Colorado Department of Regulatory Agencies have the
maximum opportunity to participate in the performance of contracts and subcontracts financed in
whole or in part with Federal funds provided under this agreement. In this regard, all participants or
contractors shall take all necessary and reasonable steps in accordance with the CDOT DBE program
(or a Local Agency DBE Program approved in advance by the State) to ensure that disadvantaged
business enterprises have the maximum opportunity to compete for and perform contracts.
Recipients and their contractors shall not discriminate on the basis of race, color, national origin, or
sex in the award and performance of CDOT assisted contracts.
SECTION 3 DBE Program.
The contractor (subrecipient) shall be responsible for obtaining the Disadvantaged Business
Enterprise Program of the Colorado Department of Transportation, 1988, as amended, and shall
comply with the applicable provisions of the program. (If applicable).
A copy of the DBE Program is available from:
Business Programs Office
Colorado Department of Transportation
4201 East Arkansas Avenue, Room 287
Denver, Colorado 80222 -3400
Phone: (303)757 -9234
and will be mailed to the contractor upon request.
revised 1/22/98
Required by 49 CFR Part 23.41
-38-
ADDENDUM B: CONTRACT MODIFICATION TOOLS
The Local Agency and the State may use one or all of the following Contract Modification Tools, in
order to more expeditiously change and amend the terms of this contract, if such use is warranted by
the circumstances as described and authorized therein.
A. CHANGE ORDER.
Bilateral changes within the general scope of the contract, as defined above, may be executed using
the simplified change order letter process described in this paragraph and the sample letter attached
for any of the following reasons:
a. Where the agreed changes result in no adjustment to the [price] [ceiling cost], delivery schedule,
or other terms and conditions of the contract. The change letter will contain a mutual release of
claims for adjustment of price, cost, time for performance, or other terms and conditions, whether
based on costs of changed work or direct or indirect impacts on unchanged work, as a result of the
change; or
b. Where the changes to the contract are priced based on the unit prices to be paid for the goods or
services in [Exhibit _] [Attachment I of the contract; or
c. Where the changes to the contract are priced based on established catalog prices generally
extended to the public;
The written change letter will be substantially in the form at Exhibit , must bear the signature of
the authorized agency official, the contractor, and -- except where the parties agree on the face of the
change order that no price /cost, schedule, or other contract adjustments are due the contractor- -the
State Controller or his designee. The change order letter shall refer to the basic contract and include
a detailed description of the changes to the contract, the price or cost ceiling adjustment, the effective
date, and (where applicable) the time within which the changed work must be done.
B. FUNDING LETTER.
Under this Contract, the Local Agency has agreed to provide funding based on the terms as described
herein as needed to satisfactorily perform and complete the work, subject to the availability of
funding.
Funds are currently available and encumbered for the work in the amount specified above. However,
the total cost to complete the work, and the resulting total funding amount(s) to be provided by the
State and Local Agency in exchange therefor, as described in this Contract or otherwise made known
to the Local Agency, are only estimated.
-39-
R 0111111 IIII I1110111111�
If the parties determine that they have underestimated /overestimated these total cost of the work,
they have the right to take the following action:
A. to increase /decrease the amount of available funds under this Contract.
In the event of this action, the State will notify the Local Agency thereof by Funding Letter. The
Funding Letter will be in a form substantially equivalent to that in Exhibit A and it shall not be
deemed valid until it shall have been signed by the Local Agency and approved by the State
Controller or such assistant as he may designate.
C. Task Order.
CDOT may order the performance of additional Work within the Scope by issuing a Task Order
Letter to the Contractor, as follows:
a. After consultation with CDOT, the Contractor shall prepare a Scope proposal for additional
Work (or "Task Proposal "). Each proposal shall identify: the particular tasks to be performed, as
well as the time for that performance; and the maximum compensation that the State shall be
obligated to pay for the satisfactory performance and completion of the Work in that proposal, using
the same cost rates /structure as contained in the Contract. The Task Proposal shall reference this
original Contract between the parties.
b. Each proposal shall be as negotiated and agreed by the parties. The Contractor shall submit that
proposal to the Department, all in a form acceptable to the Department.
c. If the State desires the contractor to perform the Work proposal, a Task Order Letter in the form
attached as Appendix H shall be prepared and signed by the parties. Performance of the Work, and
payment for that work, shall be governed by the standards and procedures set forth in the UPWP and
this Contract.
d. Upon such negotiation and agreement by the parties, and upon execution of the Task Order
Letter, the contractor warrants that performance will be successfully completed within the time and
[price] [cost ceiling] identified in the Task Order. The State's financial commitment memorialized
by the Task Order Letter shall not be effective until signed by the Controller or such assistant as he
may designate.
e. The maximum amount for all tasks /services identified in a proposal shall not exceed the
maximum amount described in that proposal. The State's financial obligation for a particular
proposal is limited by that amount, and the contractor shall accept no Task Orders which result in a
cumulative proposal value which exceeds the "not to exceed" value.
Upon proper execution and approval, this letter shall become an amendment to this Agreement and,
except for the General and Special Provisions of the Agreement, the letter shall supersede the
Agreement in the event of a conflict between the two.
-40-
, . 111 1=11 E U 11111 ' IL
The Contractor shall not commence work to be performed under each Work Scope proposal until the
date specified by the Department in the Task Order letter, and the Contractor shall complete same by
the date specified in the proposal, unless the time thereof is extended.
-41-
Appendix: Work Change Order Letter
Date:
State Fiscal Year 1996 -97
Change Order Letter No.
In accordance with Paragraph of contract routing number , between the State of Colorado
Department of Transportation and
[Contractor]
covering the period of 1997 through , the undersigned agree that the
Work Scope /Schedule /Plan affected by this change letter are modified as follows:
Services
The Work Scope /Schedule /Plan is amended by -------------------------- - - - - -- (describe change).
Price /Cost
The maximum amount payable by CDOT for the Work as described in Paragraph _ is
( increased /decreased by ( amount of change to a new total of ( ) , based on the pricing /cost in the
Contract. That Paragraph is hereby modified accordingly;
OR
The parties agree that the changes made herein are "no cost" changes and shall not be the basis for claims for
adjustment to [price] [cost ceiling], or other terms or conditions of the contract. The parties waive and
release each other from any claims or demands for adjustment to the contract, including but not limited to
price, cost, and schedule, whether based on costs of changed work or direct or indirect impacts on unchanged
work. Controller approval of this "no cost" change is not required. Contractor initials. CDOT
initials.
Upon proper execution and approval, this letter shall become an amendment to this Agreement and, except
for the General and Special Provisions of the Agreement, the letter shall supersede the Agreement in the
event of a conflict between the two.
This change to the contract is intended to be effective as of , but, except with respect to "no
cost" changes identified above, in no event shall it be deemed valid until it shall have been approved by the
State Controller or such assistant as he may designate
Please sign, date, and return all copies of this letter on or before 19
-42-
op
Coritractor Name:
State of Colorado:
Bill Owens, Governor
By: By:
Name For the Executive Director
Title Colorado Department of Transportation
APPROVALS:
FOR THE STATE CONTROLLER
Arthur L. Barnhart
For CDOT State Controller or Designee
-43-
M AI I r 'ipmil� I IIII11WMI
Appendix: Task Order Letter
Date:
State Fiscal Year 1996 -97
Task Order Letter No.
In accordance with Paragraph of contract routing number , between the State of Colorado for
the use and benefit of its Department of Transportation and
[Contractor]
covering the period of 19_ through — 19 _ the undersigned agree that the
services affected by this Task Order Letter are ordered/modified as follows:
Task Order Description
The contractor shall perform the task in accordance with [the following
specifications /statement of work] [the contractor's Task Proposal dated , as amended by
amended Task Proposal dated , both of which are hereby incorporated by reference].
Price /Cost
The [price] [maximum amount payable by the State] for [service]
described above is ( ) for a new contract total of (
Performance Period.
The contractor will complete the performance in this Task Order by
[date].
This Task Order is executed pursuant to paragraph of the original Contract. The parties agree that all
work shall be performed according to the standards and terms set forth in the original Contract. In the event
of any conflict or inconsistency between this amendment and the original Contract, such conflict or
inconsistency shall be resolved by reference to these documents in the following order: Special Provisions,
original Contract, attachments /exhibits to the original Contract, this Task Order Letter, attachments /exhibits
to this Task Order Letter, then Task Order Proposal.
-44-
This Task Order is effective as of
In no event shall it be deemed valid until it
shall have been approved by the State Controller or such assistant as he may designate
Contractor Name:
By:
Name
Title
APPROVALS:
FOR THE STATE CONTROLLER
Arthur L. Barnhart
By:
State of Colorado:
Bill Owens, Governor
For the Executive Director
Colorado Department of Transportation
State Controller or Designee