HomeMy WebLinkAbout2012-36 IGA with CDOT regarding Simba Run InterchangeRESOLUTION NO. 36
Series of 2012
A RESOLUTION APPROVING AN INTERGOVERNMENTAL AGREEMENT BETWEEN THE
TOWN OF VAIL, AND THE COLORADO DEPARTMENT OF TRANSPORTATION
REGARDING SIMBA RUN INTERCHANGE; AND SETTING FORTH DETAILS IN REGARD
THERETO.
WHEREAS, the Town of Vail (the "Town"), in the County of Eagle and State of Colorado
is a home rule municipal corporation duly organized and existing under the laws of the State of
Colorado and the Town Charter (the "Charter");
WHEREAS, the members of the Town Council of the Town (the "Council") have been
duly elected and qualified;
WHEREAS, the Town desires to partner with Colorado Department of Transportation
("CDOT") to study the feasibility of adding an underpass perpendicular to I-70 at approximately
mile marker 175, "Simba Run Interchange" (the �ProjecY');
WHEREAS, the Project would connect the north and south Frontage Roads and would
potentially improve pedestrian and vehicular circulation west of the main Vail exit;
WHEREAS, Certain Surface Transportation project funds are made available only for
eligible "Transportation Enhancement Activities";
WHEREAS, the purpose of this Intergovernmental Agreement ("IGA") is to disburse
Federal Enhancement funds to the Town pursuant to CDOT's Stewardship Agreement with the
Federal Highway Administration; and
WHEREAS, the Council's approval of Resolution No. 36, Series 2012, is required to enter
into an IGA.
NOW THEREFORE, BE IT RESOLVED BY THE TOWN COUNCIL OF THE TOWN OF
VAIL, COLORADO THAT:
Section 1. The Council hereby approves and authorizes the Town Manager to enter
into an Intergovernmental Agreement with CDOT, in substantially the same form as attached
hereto as Exhibit A and in a form approved by the Town Attorney.
Section 2. This Resolution shall take effect immediately upon its passage.
INTRODUCED, PASSED AND ADOPTED at a regular meeting of the Town Council of
the Town of Vail held this 18th day of December, 2012.
Andrew P. Daly,
Town Mayor
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Resolution No. 36, Series 2012
(FMLAWRK)
PROJECT STA 0702-327 (19094)
REGION 3/(wma)
Rev 7/01 /09
Routing # 13 HA3 50661
SAP # 271001789
Hokcoo�r re�u:r►nc:rtuirosN;s
(subjectto change).
STATE OF COLORADO
Department of Transportation
Agreement
with
Town of Vail
TABLE OF CONTENTS
1. PARTIES .........................................................................................................................................2
2. EFFECTIVE DATE AND NOTICE OF NONLIABILITY .....................................................................2
3. RECITALS .......................................................................................................................................2
4. DEFINITIONS ..................................................................................................................................2
5. TERM and EARLY TERMINATION . ................................................................................................ 3
6. SCOPE OF WORK ..........................................................................................................................4
7. OPTION LETTER MODIFICATION ..................................................................................................7
8. PAYMENTS .....................................................................................................................................8
9. ACCOUNTING ..............................................................................................................................10
10. REPORTING - NOTIFICATION ...................................................................................................10
11. LOCAL AGENCY RECORDS ......................................................................................................11
12. CONFIDENTIAL INFORMATION-STATE RECORDS ..................................................................12
13. CONFLICT OF INTEREST ..........................................................................................................12
14. REPRESENTATIONS AND WARRANTIES .................................................................................12
15. INSURANCE ...............................................................................................................................13
16. DEFAULT-BREACH ....................................................................................................................14
17. REMEDIES ..................................................................................................................................15
18. NOTICES and REPRESENTATIVES ...........................................................................................17
19. RIGHTS IN DATA, DOCUMENTS, AND COMPUTER SOFTWARE ............................................17
20. GOVERNMENTAL IMMUNITY ....................................................................................................17
21. STATEWIDE CONTRACT MANAGEMENT SYSTEM .................................................................17
22. FEDERAL REQUIREMENTS .......................................................................................................18
23. DISADVANTAGED BUSINESS ENTERPRISE (DBE) .................................................................18
24. DISPUTES ...................................................................................................................................18
25. GENERAL PROVISIONS ............................................................................................................19
26. COLORADO SPECIAL PROVISIONS ......................................................................................... 21
27. SIGNATURE PAGE .....................................................................................................................23
28. EXHIBIT A- SCOPE OF WORK AND FORM 463 ........................................................................1
29. EXHIBIT B- LOCAL AGENCY RESOLUTION ..............................................................................1
30. EXHIBIT C- FUNDING PROVISIONS ..........................................................................................1
31. EXHIBIT D- OPTION LETTER .....................................................................................................1
32. EXHIBIT E- LOCAL AGENCY CONTRACT ADMINISTRATION CHECKLIST .............................1
33. EXHIBIT F- CERTIFICATION FOR FEDERAL-AID CONTRACTS ...............................................1
34. EXHIBIT G- DISADVANTAGED BUSINESS ENTERPRISE ........................................................1
35. EXHIBIT H- LOCAL AGENCY PROCEDURES FOR CONSULTANT SERVICES ........................1
36. EXHIBIT I- FEDERAL-AID CONTRACT PROVISIONS ................................................................1
37. EXHIBIT J- FEDERAL REQUIREMENTS ....................................................................................1
38. EXHIBIT K- SUPPLEMENTAL FEDERAL PROVISIONS .....................................................1
1. PARTIES
THIS AGREEMENT is entered into by and between the Town of Vail, CDOT Vendor # 2000003,
("Local Agency"), and the STATE OF COLORADO acting by and through the Department of
Transportation ("State" or "CDOT").
2. EFFECTIVE DATE AND NOTICE OF NONLIABILITY
This Agreement shall not be effective or enforceable until it is approved and signed by the Colorado
State Controller or their designee ("Effective Date"). The State shall not be liable to pay or reimburse
the Local Agency for any performance hereunder, including, but not limited to costs or expenses
incurred, or be bound by any provision hereof prior to the Effective Date.
3. RECITALS
A. Authority, Appropriation, And Approval
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 and the
required approval, clearance and coordination have been accomplished from and with
appropriate agencies.
i. Federal Authority
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.
Pursuant to Title I, Subtitle A, Section 1108 of the "Transportation Equity Act for the 21 S�
Century" of 1998 (TEA-21) and/or the "Safe, Accountable, Flexible, Efficient Transportation
Equity Act: A Legacy for Users" (SAFETEA-LU) of 2005 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 are expected to continue to be allocated for
transportation projects requested by the Local Agency and eligible under the Surface
Transportation Improvement Program that has been proposed by the State and approved by
the Federal Highway Administration ("FHWA").
ii. State Authority
Pursuant to CRS §43-1-223 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. This Agreement is executed under the authority
of CRS § 23 U.S.C. § 101(a), CRS §§29-1-203, 43-1-110; 43-1-116, 43-2-101(4)(c) and 43-2-
144.
B. Consideration
The Parties acknowledge that the mutual promises and covenants contained herein and other
good and valuable consideration are sufficient and adequate to support this Agreement.
C. Purpose
The purpose of this Agreement is to disburse Federal Enhancement funds to the Local Agency
pursuant to CDOT's Stewardship Agreement with the FHWA.
D. References
All references in this Agreement to sections (whether spelled out or using the § symbol),
subsections, exhibits or other attachments, are references to sections, subsections, exhibits or
other attachments contained herein or incorporated as a part hereof, unless othenivise noted.
4. DEFINITIONS
The following terms as used herein shall be construed and interpreted as follows:
A. Agreement or Contract
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"AgreemenY' or "ContracY' means this Agreement, its terms and conditions, attached exhibits,
documents incorporated by reference under the terms of this Agreement, and any future
modifying agreements, exhibits, attachments or references that are incorporated pursuant to
Colroado State Fiscal Rules and Policies.
B. Agreement Funds
"Agreement Funds" means funds payable by the State to Local Agency pursuant to this
Agreement.
C. Budget
"Budget" means the budget for the Work described in Project Payment Provisions in Exhibit C.
D. Consultant and Contractor
"ConsultanY' means a professional engineer or designer hired by Local Agency to design the
Work and "Contractor" means the general construction contractor hired by Local Agency to
construct the Work.
E. Evaluation
"Evaluation" means the process of examining the Local Agency's Work and rating it based on
criteria established in §6 and Exhibits A and E.
F. Exhibits and Other Attachments
The following exhibit(s) are attached hereto and incorporated by reference herein: Exhibit A
(Scope of Work and Form 463), Exhibit B(Resolution), Exhibit C(Funding Provisions), Exhibit
D(Option Letter), Exhibit E(Checklist), Exhibit F(Certification for Federal-Aid Funds), Exhibit
G(Disadvantaged Business Enterprise), Exhibit H(Local Agency Procedures), Exhibit I
(Federal-Aid Contract Provisions), Exhibit J(Federal Requirements) and Exhibit K
(Supplemental Federal Provisions).
G. Goods
"Goods" means tangible material acquired, produced, or delivered by the Local Agency either
separately or in conjunction with the Services the Local Agency renders hereunder.
H. Oversight
"OversighY' means the term as it is defined in the Stewardship Agreement between CDOT and
the Federal Highway Administration ("FHWA") and as it is defined in the Local Agency Manual.
I. Party or Parties
"Party" means the State or the Local Agency and "Parties" means both the State and the Local
Agency
J. Work Budget
Work Budget means the budget described in Project Funding Provisions in Exhibit C.
K. Services
"Services" means the required services to be performed by the Local Agency pursuant to this
Contract.
L. Work
"Work" means the tasks and activities the Local Agency is required to perForm to fulfill its
obligations under this Contract and Exhibits A and E, including the performance of the
Services and delivery of the Goods.
M. Work Product
"Work Product" means the tangible or intangible results of the Local Agency's Work, including,
but not limited to, software, research, reports, studies, data, photographs, negatives or other
finished or unfinished documents, drawings, models, surveys, maps, materials, or work product
of any type, including drafts.
5. TERM and EARLY TERMINATION
The Parties' respective performances under this Agreement shall commence on the Effective Date.
This Agreement shall terminate five (5) years from date of contract execution (Controller's signature),
unless sooner terminated or completed as demonstrated by final payment and final audit.
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6. SCOPE OF WORK
A. Completion
The Local Agency shall complete the Work and other obligations as described herein in
Exhibits A and E. Work performed prior to the Effective Date or after final acceptance shall not
be considered part of the Work.
B. Goods and Services
The Local Agency shall procure Goods and Services necessary to complete the Work. Such
procurement shall be accomplished using the Contract Funds and shall not increase the
maximum amount payable hereunder by the State.
C. Employees
All persons employed hereunder by the Local Agency, or any Consultants or Contractor shall be
considered the Local Agencys', Consultants' or Contractors' employee(s) for all purposes and
shall not be employees of the State for any purpose.
D. State and Local Agency Committments
i. Design
If the Work includes preliminary design or final design or design work sheets, or special
provisions and estimates (collectively referred to as the "Plans"), the Local Agency shall
comply with and be responsible for satisfying the following requirements:
a) Perform or provide the Plans to the extent required by the nature of the Work.
b) Prepare final design in accordance with the requirements of the latest edition of the
American Association of State Highway Transportation Officials (AASHTO) manual or
other standard, such as the Uniform Building Code, as approved by the State.
c) Prepare provisions and estimates in accordance with the most current version of the
State's Roadway and Bridge Design Manuals and Standard Specifications for Road and
Bridge Construction or Local Agency specifications if approved by the State.
d) 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.
e) Stamp the Plans produced by a Colorado Registered Professional Engineer.
� Provide final assembly of Plans and all other necessary documents.
g) Be responsible for the Plans' accuracy and completness.
h) Make no further changes in the Plans following the award of the construetion contract to
Contractor unless agreed to in writing by the Parties. The Plans shall be considered final
when approved in writing by CDOT and when final they shall be incorporated herein.
ii. Local Agency Work
a) Local Agency shall comply with the requirements of the Americans With Disabilities Act
(ADA), and applicable federal regulations and standards as contained in the document
"ADA Accessibility Requirements in CDOT Transportation Projects".
b) Local Agency shall afford the State ample opportunity to review the Plans and make any
changes in the Plans that are directed by the State to comply with FHWA requirements.
c) Local Agency may enter into a contract with a Consultant to perform all or any portion of
the Plans and/or of construction administration. Provided, however, if federal-aid funds are
involved in the cost of such Work to be done by such Consultant, such Consultant contract
(and the performance/provision of the Plans under the contract) must comply with all
applicable requirements of 23 C.F.R. Part 172 and with any procedures implementing
those requirements as provided by the State, including those in Exhibit H. If the Local
Agency enters into a contract with a Consultant for the Work:
(1) Local Agency shall submit a certification that procurement of any Consultant
contract complies with the requirements of 23 C.F.R. 172.5(1) prior to entering into
such Consultant contract, subject to the State's approval. If not approved by the
State, the Local Agency shall not enter into such Consultant contract.
(2) Local Agency shall ensure that all changes in the Consultant contract have
prior approval by the State and FHWA and that they are in writing. Immediately
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after the Consultant contract has been awarded, one copy of the executed
Consultant contract and any amendments shall be submitted to the State.
(3) Local Agency shall require that all billings under the consultant contract comply
with the State's standardized billing format. Examples of the billing formats are
available from the CDOT Agreements Office.
(4) Local Agency (and any Consultant) shall comply with 23 C.F.R. 172.5(b) and
(d) and use the CDOT procedures described in Exhibit H to administer the
Consultant contract.
(5) Local Agency may expedite any CDOT approval of its procurement process
and/or consultant contract by submitting a letter to CDOT from the Local Agency's
attorney/authorized representative certifying compliance with Exhibit H and 23
C.F.R. 172.5(b)and (d).
(6) Local Agency shall ensure that the Consultant agreement complies with the
requirements of 49 CFR 18.36(i) and contains the following language verbatim:
(a) The design work under this Agreement shall be compatible with the
requirements of the contract befinreen 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 agreement for that
purpose.
(b) 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.
(c) 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 Sqecifications for Road and BridQe
Construction, in connection with this work.
d) The State, in its sole discretion, may review construction plans, special provisions and
estimates and may require the Local Agency to make such changes therein as the State
determines necessary to comply with State and FHWA requirements.
iii. Construction
a) If the Work includes construction, the Local Agency shall perform the construction in
accordance with the approved design plans and/or administer the construction in
accordance with the Exhibit E. Such administration shall include Work 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 and minor contract revisions; processing Construction Contractor
claims; construction supervision; and meeting the Quality Control requirements of the
FHWA/CDOT Stewardship Agreement, as described in the Local Agency Contract
Administration Checklist.
b) If the Local Agency is performing the Work, the State may, after providing written notice
of the reason for the suspension to the Local Agency, suspend the Work, wholly or in part,
due to the failure of the Local Agency or its Contractor to correct conditions which are
unsafe for workers 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) The Local Agency shall be responsible for the following:
(1) Appointing a qualified professional engineer, licensed in the State of Colorado,
as the Local Agency Project Engineer (LAPE), to perForm engineering
administration. The LAPE shall administer the Work in accordance with this
Agreement, the requirements of the construction contract and applicable State
procedures.
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(2) For the construction of the Work, advertising the call for bids upon approval by
the State and awarding the construction contract(s) to the low responsible
bidder(s).
(a) All advertising and bid awards, pursuant to this agreement, by the Local
Agency shall comply with applicable requirements of 23 U.S.C. §112 and 23
C.F.R. Parts 633 and 635 and C.R.S. § 24-92-101 et seq.
Those requirements include, without limitation, that the Local Agency and its
Contractor shall incorporate Form 1273 (Exhibit I) in its entirety verbatim into
any subcontract(s) for those services as terms and conditions therefore, as
required by 23 C.F.R. 633.102(e).
(b) The Local Agency may accept or reject the proposal of the apparent low
bidder for Work on which competitive bids have been received. The Local
Agency must accept or reject such bid within three (3) working days after they
are publicly opened.
(c) As part of accepting bid awards, the Local Agency shall provide additional
funds, subject to their availability and appropriation, necessary to complete the
Work if no additional federal-aid funds are available.
(3) The requirements of this §6(D)(iii)(c)(2) also apply to any advertising and
awards made by the State.
(4) If all or part of the Work is to be accomplished by the Local Agency's personnel
(i.e. by force account) rather than by a competitive bidding process, the Local
Agency shall perform such work in accordance with pertinent State specifications
and requirements of 23 C.F.R. 635, Subpart B, Force Account Construction.
(a) Such Work will normally be based upon estimated quantities and firm unit
prices agreed to between the Local Agency, the State and FHWA in advance of
the Work, as provided for in 23 C.R.F. 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 the preceeding subsection is that the Local Agency may
agree to participate in the Work based on actual costs of labor, equipment
rental, materials supplies and supervision necessary to complete the Work.
Where actual costs are used, eligibility of cost items shall be evaluated for
compliance with 48 C.F.R. Part 31.
(c) If the State provides matching funds under this Agreement, rental rates for
publicly owned equipment shall be determined in accordance with the State's
Standard Specifications for Road and Brid4e Construction §109.04.
(d) All Work being paid under force account 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.
iv. State's Commitments
a) The State will perform a final project inspection of the Work as a quality
control/assurance activity. When all Work has been satisfactorily completed, the State will
sign the FHWA Form 1212.
b) Notwithstanding any consents or approvals given by the State for the Plans, the State
shall not be liable or responsible in any manner for the structural design, details or
construction of any major structures designed by, or that are the responsibility of, the Local
Agency as identified in the Local Agency Contract Administration Checklist, Exhibit E,
v. ROW and Acquistion/Relocation
a) If the Local Agency purchases a right of way for a State highway, including areas of
influence, the Local Agency shall immediately convey title to such right of way to CDOT
after the Local Agency obtains title.
b) Any acquisition/relocation activities shall comply with all applicable federal and state
statutes and regulations, including but not limited to the Uniform Relocation Assistance and
Real Property Acquisition Policies Act of 1970 as amended and the Uniform Relocation
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Assistance and Real Property Acquisition Policies for Federal and Federally Assisted
Programs as amended (49 C.F.R. Part 24), CDOT's Right of Way Manual, and CDOT's
Policy and Procedural Directives.
c) The Parties' respective compliance responsibilities depend on the level of federal
participation; provided however, that the State always retains Oversight responsibilities.
d) The Parties' respective responsibilities under each level in CDOT's Right of Way Manual
(located at http://www.dot.state.co.us/ROW Manual/) and reimbursement for the levels will
be under the following categories:
(1) Right of way acquisition (3111) for federal participation and non-participation;
(2) Relocation activities, if applicable (3109);
(3) Right of way incidentals, if applicable (expenses incidental to
acquisition/relocation of right of way — 3114).
vi. Utilities
If necessary, the Local Agency shall be responsible for obtaining the proper clearance or
approval from any utility company which may become involved in the Work. Prior to the Work
being advertised for bids, the Local Agency shall certify in writing to the State that all such
clearances have been obtained.
vii. Railroads
If the Work involves modification of a railroad company's facilities and such modification will
be accomplished by railroad company, the Local Agency shall make timely application to the
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 C.F.R. 646, subpart B, concerning federal-aid
projects involving railroad facilities and:
a) Execute an agreement setting out what work is to be accomplished and the location(s)
thereof, and which costs shall be eligible for federal participation.
b) Obtain the railroad's detailed estimate of the cost of the Work.
c) Establish future maintenance responsibilities for the proposed installation.
d) Proscribe future use or dispositions of the proposed improvements in the event of
abandonment or elimination of a grade crossing.
e) Establish future repair and/or replacement responsibilities in the event of accidental
destruction or damage to the installation.
viii. Environmental Obligations
The Local Agency shall perform all Work in accordance with the requirements of the current
federal and state environmental regulations including the National Environmental Policy Act
of 1969 (NEPA) as applicable.
ix. Maintenance Obligations
The Local Agency shall maintain and operate the Work constructed under this Agreement at
its own cost and expense during their useful life, in a manner satisfactory to the State and
FHWA, and the Local Agency shall provide for such maintenance and operations obligations
each year. Such maintenance and operations shall be conducted in accordance with all
applicable statutes, ordinances and regulations pertaining to maintaining such
improvements. The State and FHWA may make periodic inspections to verify that such
improvements are being adequately maintained.
7. OPTION LETTER MODIFICATION
Option Letters may be used to extend Agreement term, change the level of service within the current
term due to unexpected overmatch, add a phase without increasing contract dollars, or increase or
decrease the amount of funding. These options are limited to the specific scenarios listed below. The
Option Letter shall not be deemed valid until signed by the State Controller or an authorized delegate.
Following are the applications for the individual options under the Option Letter form:
Page 7 of 23
A. Option 1- Level of service chanqe within current term due to unexpected overmatch in an
overbid situation onlv.
In the event the State has contracted all project funding and the Local Agency's construction bid
is higher than expected, this option allows for additional Local Overmatch dollars to be provided
by the Local Agency to be added to the contract.
This option is only applicable for Local Overmatch on an overbid situation and shall not be
intended for any other Local Overmatch funding. The State may unilaterally increase the total
dollars of this contract as stipulated by the executed Option Letter (Exhibit D), which will bring
the maximum amount payable under this contract tothe amount indicated in Exhibit C-1
attached to the executed Option Letter (future changes to Exhibit C shall be labeled as C-2, C-
3, etc, as applicable). Performance of the services shall continue under the same terms as
established in the contract. The State will use the Financial Statement submitted by the Local
Agency for "Concurrence to Advertise" as evidence of the Local Agency's intent to award and it
will also provide the additional amount required to exercise this option. If the State exercises this
option, the contract will be considered to include this option provision.
B. Option 2— Option to add overlappinq phase without increasinq contract dollars.
The State may require the contractor to begin a phase that may include Design, Construction,
Environmental, Utilities, ROW Incidentals or Miscellaneous (this does not apply to
Acquisition/Relocation or Railroads) as detailed in Exhibit A and at the same terms and
conditions stated in the original contract with the contract dollars remaining the same. The State
may exercise this option by providing a fully executed option to the contractor within thirty (30) days
before the initial targeted start date of the phase, in a form substantially equivalent to Exhibit D. If
the State exercises this option, the contract will be considered to include this option provision.
C. Option 3- To update fundinq (increases and/or decreases) with a new Exhibit C.
This option can be used to increase and/or decrease the overall contract dollars (state, federal,
local match, local agency overmatch) to date, by replacing the original funding exhibit (Exhibit
C) in the Original Contract with an updated Exhibit C-1 (subsequent exhibits to Exhibit C-1
shall be labeled C-2, C-3, etc). The State may have a need to update changes to state, federal,
local match and local agency overmatch funds as outlined in Exhibit C-1, which will be attached
to the option form. The State may exercise this option by providing a fully executed option to the
contractor within thirty (30) days after the State has received notice of funding changes, in a
form substantially equivalent to Exhibit D. If the State exercises this option, the contract will be
considered to include this option provision.
8. PAYMENTS
The State shall, in accordance with the provisions of this §8, pay the Local Agency in the amounts
and using the methods set forth below:
A. Maximum Amount
The maximum amount payable to the Local Agency under this Agreement is set forth in Exhibit
C, and as determined by the State from available funds. Payments to the Local Agency are
limited to the unpaid encumbered balance of the Contract set forth in Exhibit C. The Local
Agency shall provide its match share of the costs as evidenced by an appropriate
ordinance/resolution or other authority letter which expressly authorizes the Local Agency the
authority to enter into this Agreement and to expend its match share of the Work. A copy of
such ordinance/resolution or authority letter is attached hereto as Exhibit B.
B. Payment
i. Advance, Interim and Final Payments
Any advance payment allowed under this Contract or in Exhibit C shafl comply with State
Fiscal Rules and be made in accordance with the provisions of this Contract or such Exhibit.
The Local Agency shall initiate any payment requests by submitting invoices to the State in
the form and manner set forth in approved by the State.
ii. Interest
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The State shall fully pay each invoice within 45 days of receipt thereof if the amount invoiced
represents perFormance by the Local Agency previously accepted by the State. Uncontested
amounts not paid by the State within 45 days shall bear interest on the unpaid balance
beginning on the 46th day at a rate not to exceed one percent per month until paid in full;
provided, however, that interest shall not accrue on unpaid amounts that are subject to a
good faith dispute.
The Local Agency shall invoice the State separately for accrued interest on delinquent
amounts. The billing shall reference the delinquent payment, the number of days interest to
be paid and the interest rate.
iii. Available Funds-Contingency-Termination
The State is prohibited by law from making commitments beyond the term of the State's
current fiscal year. Therefore, the Local Agency's compensation beyond the State's current
Fiscal Year is contingent upon the continuing availability of State appropriations as provided
in the Colorado Special Provisions. The State's performance hereunder is also contingent
upon the continuing availability of federal funds. Payments pursuant to this Contract shall be
made only from available funds encumbered for this Contract and the State's liability for such
payments shall be limited to the amount remaining of such encumbered funds. If State or
federal funds are not appropriated, or otherwise become unavailable to fund this Contract,
the State may terminate this Contract immediately, in whole or in part, without further liability
in accordance with the provisions hereof.
iv. Erroneous Payments
At the State's sole discretion, payments made to the Local Agency in error for any reason,
including, but not limited to overpayments or improper payments, and unexpended or excess
funds received by the Local Agency, may be recovered from the Local Agency by deduction
from subsequent payments under this Contract or other contracts, Agreements or
agreements between the State and the Local Agency or by other appropriate methods and
collected as a debt due to the State. Such funds shall not be paid to any party other than the
State.
C. Use of Funds
Contract Funds shall be used only for eligible costs identified herein.
D. Matching Funds
The Local Agency shall provide matching funds as provided in §8.A. and Exhibit C. The Local
Agency shall have raised the full amount of matching funds prior to the Effective Date and shall
report to the State regarding the status of such funds upon request. The Local Agency's
obligation to pay all or any part of any matching funds, whether direct or contingent, only extend
to funds duly and lawfully appropriated for the purposes of this Agreement by the authorized
representatives of the Local Agency and paid into the Local Agency's treasury. The Local
Agency represents to the State that the amount designated "Local Agency Matching Funds" in
Exhibit C has been legally appropriated for the purpose of this Agreement by its authorized
representatives and paid into its treasury. The Local Agency does not by this Agreement
irrevocably pledge present cash reserves for payments in future fiscal years, and this
Agreement is not intended to create a multiple-fiscal year debt of the Local Agency. The Local
Agency shall not pay or be liable for any claimed interest, late charges, fees, taxes or penalties
of any nature, except as required by the Local Agency's laws or policies.
E. Reimbursement of Local Agency Costs
The State shall reimburse the Local Agency's allowable costs, not exceeding the maximum total
amount described in Exhibit C and §8. The applicable principles described in 49 C.F.R. 18
Subpart C and 49 C.F.R. 18.22 shall govern the State's obligation to reimburse all costs
incurred by the Local Agency and submitted to the State for reimubursement hereunder, and the
Local Agency shall comply with all such principles. The State shall reimburse the Local Agency
for the federal-aid share of properly documented costs related to the Work after review and
approval thereof, subject to the provisions of this Agreement and Exhibit C. However, any costs
incurred by the Local Agency prior to the date of FHWA authorization for the Work and prior to
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the Effective Date shall not be reimbursed absent specific FHWA and State Controller approval
thereof. Costs shall be:
i. Reasonable and Necessary
Resonable and necessary to accomplish the Work and for the Goods and Services provided.
ii. Net Cost
Actual net cost to the Local Agency (i.e. the price paid minus any items of value received by
the Local Agency that reduce the cost actually incurred);
9. ACCOUNTING
The Local Agency shall establish and maintain accounting systems in accordance with generally
accepted accounting standards (a separate set of accounts, or as a separate and integral part of its
current accounting scheme). Such accounting systems shall, at a minimum, provide as follows:
A. Local Agency Performing the Work
If Local Agency is performing the Work, all allowable costs, including any approved services
contributed by the Local Agency or others, shall be documented using payrolls, time records,
invoices, contracts, vouchers, and other applicable records.
B. Local Agency-Checks or Draws
Checks issued or draws made by the Local Agency shall be made or drawn against properly
signed vouchers detailing the purpose thereof. All checks, payrolls, invoices, contracts,
vouchers, orders, and other accounting documents shall be on file in the office of the Local
Agency ,clearly identified, readily accessible, and to the extent feasible, kept separate and apart
from all other Work documents.
C. State-Administrative Services
The State may perform any necessary administrative support services required hereunder. The
Local Agency shall reimburse the State for the costs of any such services from the Budget as
provided for in Exhibit C. If FHWA funding is not available or is withdrawn, or if the Local Agency
terminates this Agreement prior to the Work being approved or completed, then all actual
incurred costs of such services and assistance provided by the State shall be the Local
Agency's sole expense.
D. Local Agency-Invoices
The Local Agency's invoices shall describe in detail the reimbursable costs incurred by the
Local Agency, for which it seeks reimbursement; the dates such costs were incurred; and the
amounts thereof, and shall not be submitted more often than monthly.
E. Invoicing Within 60 Days
The State shall not be liable to reimburse the Local Agency for any costs unless CDOT receives
such invoices within 60 days after the date for which payment is requested, including final
invoicing. Final payment to the Local Agency may be withheld at the discretion of the State until
completion of final audit. Any costs incurred by the Local Agency that are not allowable under
49 C.F.R. 18 shall be reimbursed by the Local Agency, or the State may offset them against any
payments due from the State to the Local Agency.
F. Reimbursement of State Costs
CDOT shall perform Oversight and the Local Agency shall reimburse CDOT for its related costs.
The Local Agency shall pay invoices within 60 days after receipt thereof. If the Local Agency
fails to remit payment within 60 days, at CDOT's request, the State is authorized to withhold an
equal amount from future apportionment due the Local Agency from the Highway Users Tax
Fund and to pay such funds directly to CDOT. Interim funds, shall be payable from the State
Highway Supplementary Fund (400) until CDOT is reimbursed. If the Local Agency fails to make
payment within 60 days, it shall pay interest to the State at a rate of one percent per month on
the delinquent amounts until the billing is paid in full. CDOT's invoices shall describe in detail
the reimbursable costs incurred, the dates incurred; and the amounts thereof, and shall not be
submitted more often than monthly.
10. REPORTING - NOTIFICATION
Page 10 of 23
Reports, Evaluations, and Reviews required under this §10 shall be in accordance with the
procedures of and in such form as prescribed by the State and in accordance with §19, if applicable.
A. Performance, Progress, Personnel, and Funds
The Local Agency shall submit a report to the State upon expiration or sooner termination of this
Agreement, containing an Evaluation and Review of the Local Agency's performance and the
final status of the Local Agency's obligations hereunder.
B. Litigation Reporting
Within 10 days after being served with any pleading related to this Agreement, in a legal action
filed with a court or administrative agency, the Local Agency shall notify the State of such action
and deliver copies of such pleadings to the State's principal representative as identified herein.
If the State or its principal representative is not then serving, such notice and copies shall be
delivered to the Executive Director of CDOT.
C. Noncompliance
The Local Agency's failure to provide reports and notify the State in a timely manner in
accordance with this §10 may result in the delay of payment of funds and/or termination as
provided under this Agreement.
D. Documents
Upon request by the State, the Local Agency shall provide the State, or its authorized
representative, copies of all documents, including contracts and subcontracts, in its possession
related to the Work.
11. LOCAL AGENCY RECORDS
A. Maintenance
The Local Agency shall make, keep, maintain, and allow inspection and monitoring by the State
of a complete file of all records, documents, communications, notes and other written materials,
electronic media files, and communications, pertaining in any manner to the Work or the
delivery of Services (including, but not limited to the operation of programs) or Goods
hereunder. The Local Agency shall maintain such records until the last to occur of the following:
(i) a period of three years after the date this Agreement is completed or terminated, or (ii) three
years after final payment is made hereunder, whichever is later, or (iii) for such further period as
may be necessary to resolve any pending matters, or (iv) if an audit is occurring, or the Local
Agency has received notice that an audit is pending, then until such audit has been completed
and its findings have been resolved (collectively, the "Record Retention Period").
B. Inspection
The Local Agency shall permit the State, the federal government and any other duly authorized
agent of a governmental agency to audit, inspect, examine, excerpt, copy and/or transcribe the
Local Agency's records related to this Agreement during the Record Retention Period to assure
compliance with the terms hereof or to evaluate the Local Agency's performance hereunder.
The State reserves the right to inspect the Work at all reasonable times and places during the
term of this Agreement, including any extension. If the Work fails to conform to the requirements
of this Agreement, the State may require the Local Agency promptly to bring the Work into
conformity with Agreement requirements, at the Local Agency's sole expense. If the Work
cannot be brought into conformance by re-performance or other corrective measures, the State
may require the Local Agency to take necessary action to ensure that future performance
conforms to Agreement requirements and exercise the remedies available under this
Agreement, at law or in equity in lieu of or in conjunction with such corrective measures.
C. Monitoring
The Local Agency also shall permit the State, the federal government or any other duly
authorized agent of a governmental agency, in their sole discretion, to monitor all activities
conducted by the Local Agency pursuant to the terms of this Agreement using any reasonable
procedure, including, but not limited to: internal evaluation procedures, examination of program
data, special analyses, on-site checking, formal audit examinations, or any other procedures. All
Page 11 of 23
such monitoring shall be performed in a manner that shall not unduly interfere with the Local
Agency's performance hereunder.
D. Final Audit Report
If an audit is performed on the Local Agency's records for any fiscal year covering a portion of
the term of this Agreement, the Local Agency shall submit a copy of the final audit report to the
State or its principal representative at the address specified herein.
12. CONFIDENTIAL INFORMATION-STATE RECORDS
The Local Agency shall comply with the provisions of this §12 if it becomes privy to confidential
information in connection with its performance hereunder. Confidential information, includes, but is not
necessarily limited to, state records, personnel records, and information concerning individuals.
A. Confidentiality
The Local Agency shall keep all State records and information confidential at all times and to
comply with all laws and regulations concerning confidentiality of information. Any request or
demand by a third party for State records and information in the possession of the Local Agency
shall be immediately forwarded to the State's principal representative.
B. Notification
The Local Agency shall notify its agents, employees and assigns who may come into contact
with State records and confidential information that each is subject to the confidentiality
requirements set forth herein, and shall provide each with a written explanation of such
requirements before they are permitted to access such records and information.
C. Use, Security, and Retention
Confidential information of any kind shall not be distributed or sold to any third party or used by
the Local Agency or its agents in any way, except as authorized by the Agreement and as
approved by the State. The Local Agency shall provide and maintain a secure environment that
ensures confidentiality of all State records and other confidential information wherever located.
Confidential information shall not be retained in any files or otherwise by the Local Agency or its
agents, except as set forth in this Agreement and approved by the State.
D. Disclosure-Liability
Disclosure of State records or other confidential information by the Local Agency for any reason
may be cause for legal action by third parties against the Local Agency, the State or their
respective agents. The Local Agency shall indemnify, save, and hold harmless the State, its
employees and agents, against any and all claims, damages, liability and court awards including
costs, expenses, and attorney fees and related costs, incurred as a result of any act or omission
by the Local Agency, or its employees, agents, or assignees pursuant to this §12.
13. CONFLICT OF INTEREST
The Local Agency shall not engage in any business or personal activities or practices or maintain any
relationships which conflict in any way with the full performance of the Local Agency's obligations
hereunder. The Local Agency acknowledges that with respect to this Agreement, even the
appearance of a conflict of interest is harmful to the State's interests. Absent the State's prior written
approval, the Local Agency shall refrain from any practices, activities or relationships that reasonably
appear to be in conflict with the full performance of the Local Agency's obligations to the State
hereunder. If a conflict or appearance exists, or if the Local Agency is uncertain whether a conflict or
the appearance of a conflict of interest exists, the Local Agency shall submit to the State a disclosure
statement setting forth the relevant details for the State's consideration. Failure to promptly submit a
disclosure statement or to follow the State's direction in regard to the apparent conflict constitutes a
breach of this Agreement.
14. REPRESENTATIONS AND WARRANTIES
The Local Agency makes the following specific representations and warranties, each of which was
relied on by the State in entering into this Agreement.
A. Standard and Manner of Performance
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The Local Agency shall perform its obligations hereunder, including in accordance with the
highest professional standard of care, skill and diligence and in the sequence and manner set
forth in this Agreement.
B. Legal Authority — The Local Agency and the Local Agency's Signatory
The Local Agency warrants that it possesses the legal authority to enter into this Agreement and
that it has taken all actions required by its procedures, by-laws, and/or applicable laws to
exercise that authority, and to lawfully authorize its undersigned signatory to execute this
Agreement, or any part thereof, and to bind the Local Agency to its terms. If requested by the
State, the Local Agency shall provide the State with proof of the Local Agency's authority to
enter into this Agreement within 15 days of receiving such request.
C. Licenses, Permits, Etc.
The Local Agency represents and warrants that as of the Effective Date it has, and that at all
times during the term hereof it shall have, at its sole expense, all licenses, certifications,
approvals, insurance, permits, and other authorization required by law to perform its obligations
hereunder. The Local Agency warrants that it shall maintain all necessary licenses,
certifications, approvals, insurance, permits, and other authorizations required to properly
perform this Agreement, without reimbursement by the State or other adjustment in Agreement
Funds. Additionally, all employees and agents of the Local Agency performing Services under
this Agreement shall hold all required licenses or certifications, if any, to perform their
responsibilities. The Local Agency, if a foreign corporation or other foreign entity transacting
business in the State of Colorado, further warrants that it currently has obtained and shall
maintain any applicable certificate of authority to transact business in the State of Colorado and
has designated a registered agent in Colorado to accept service of process. Any revocation,
withdrawal or non-renewal of licenses, certifications, approvals, insurance, permits or any such
similar requirements necessary for the Local Agency to properly perform the terms of this
Agreement shall be deemed to be a material breach by the Local Agency and constitute
grounds for termination of this Agreement.
15. INSURANCE
The Local Agency and its contractors shall obtain and maintain insurance as specified in this section
at all times during the term of this Agreement: All policies evidencing the insurance coverage required
hereunder shall be issued by insurance companies satisfactory to the Local Agency and the State.
A. The Local Agency
i. Public Entities
If the Local Agency is a"public entity" within the meaning of the Colorado Governmental
Immunity Act, CRS §24-10-101, et seq., as amended (the "GIA"), then the Local Agency
shall maintain at all times during the term of this Agreement such liability insurance, by
commercial policy or self-insurance, as is necessary to meet its liabilities under the GIA. The
Local Agency shall show proof of such insurance satisfactory to the State, if requested by the
State. The Local Agency shall require each Agreement with their Consultant and Contractor,
that are providing Goods or Services hereunder, to include the insurance requirements
necessary to meet Consultant or Contractor liabilities under the GIA.
ii. Non-Public Entities
If the Local Agency is not a"public entity" within the meaning of the Governmental Immunity
Act, the Local Agency shall obtain and maintain during the term of this Agreement insurance
coverage and policies meeting the same requirements set forth in §15(B) with respect to
sub-contractors that are not "public entities".
B. Contractors
The Local Agency shall require each contract with Contractors, Subcontractors, or Consultants,
other than those that are public entities, providing Goods or Services in connection with this
Agreement, to include insurance requirements substantially similar to the following:
i. Worker's Compensation
Page 13 of 23
Worker's Compensation Insurance as required by State statute, and Employer's Liability
Insurance covering all of the Local Agency's Contractors, Subcontractors, or Consultant's
employees acting within the course and scope of their employment.
ii. General Liability
Commercial General Liability Insurance written on ISO occurrence form CG 00 01 10/93 or
equivalent, covering premises operations, fire damage, independent contractors, products
and completed operations, blanket Agreementual liability, personal injury, and advertising
liability with minimum limits as follows: (a) $1,000,000 each occurrence; (b) $1,000,000
general aggregate; (c) $1,000,000 products and completed operations aggregate; and (d)
$50,000 any one fire. If any aggregate limit is reduced below $1,000,000 because of claims
made or paid, contractors, subcontractors, and consultants shall immediately obtain
additional insurance to restore the full aggregate limit and furnish to the Local Agency a
certificate or other document satisfactory to the Local Agency showing compliance with this
provision.
iii. Automobile Liability
Automobile Liability Insurance covering any auto (including owned, hired and non-owned
autos) with a minimum limit of $1,000,000 each accident combined single limit.
iv. Additional Insured
The Local Agency and the State shall be named as additional insured on the Commercial
General Liability policies (leases and construction contracts require additional insured
coverage for completed operations on endorsements CG 2010 11/85, CG 2037, or
equivalent).
v. Primacy of Coverage
Coverage required of the Consultants or Contractors shall be primary over any insurance or
self-insurance program carried by the Local Agency or the State.
vi. Cancellation
The above insurance policies shall include provisions preventing cancellation or non-renewal
without at least 45 days prior notice to the Local Agency and the State by certified mail.
vii. Subrogation Waiver
All insurance policies in any way related to this Agreement and secured and maintained by
the Local Agency's Consultants or Contractors as required herein shall include clauses
stating that each carrier shall waive all rights of recovery, under subrogation or otherwise,
against the Local Agency or the State, its agencies, institutions, organizations, officers,
agents, employees, and volunteers.
C. Certificates
The Local Agency and all Contractors, subcontractors, or Consultants shall provide certificates
showing insurance coverage required hereunder to the State within seven business days of the
Effective Date of this Agreement. No later than 15 days prior to the expiration date of any such
coverage, the Local Agency and each contractor, subcontractor, or consultant shall deliver to
the State or the Local Agency certificates of insurance evidencing renewals thereof. In addition,
upon request by the State at any other time during the term of this Agreement or any sub-
contract, the Local Agency and each contractor, subcontractor, or consultant shall, within 10
days of such request, supply to the State evidence satisfactory to the State of compliance with
the provisions of this §15.
16. DEFAULT-BREACH
A. Defined
In addition to any breaches specified in other sections of this Agreement, the failure of either
Party to perform any of its material obligations hereunder in whole o� in part o� in a timely or
satisfactory manner, constitutes a breach.
B. Notice and Cure Period
In the event of a breach, notice of such shall be given in writing by the aggrieved Party to the
other Party in the manner provided in §16. If such breach is not cured within 30 days of receipt
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of written notice, or if a cure cannot be completed within 30 days, or if cure of the breach has
not begun within 30 days and pursued with due diligence, the State may exercise any of the
remedies set forth in §17. Nofinrithstanding anything to the contrary herein, the State, in its sole
discretion, need not provide advance notice or a cure period and may immediately terminate
this Agreement in whole or in part if reasonably necessary to preserve public safety or to
prevent immediate public crisis..
17. REMEDIES
If the Local Agency is in breach under any provision of this Agreement, the State shall have all of the
remedies listed in this §17 in addition to all other remedies set forth in other sections of this
Agreement following the notice and cure period set forth in §16(B). The State may exercise any or all
of the remedies available to it, in its sole discretion, concurrently or consecutively.
A. Termination for Cause and/or Breach
If the Local Agency fails to perform any of its obligations hereunder with such diligence as is
required to ensure its completion in accordance with the provisions of this Agreement and in a
timely manner, the State may notify the Local Agency of such non-performance in accordance
with the provisions herein. If the Local Agency thereafter fails to promptly cure such non-
performance within the cure period, the State, at its option, may terminate this entire Agreement
or such part of this Agreement as to which there has been delay or a failure to properly perform.
Exercise by the State of this right shall not be deemed a breach of its obligations hereunder.
The Local Agency shall continue performance of this Agreement to the extent not terminated, if
any.
i. Obligations and Rights
To the extent specified in any termination notice, the Local Agency shall not incur further
obligations or render further performance hereunder past the effective date of such notice,
and shall terminate outstanding orders and sub-Agreements with third parties. However, the
Local Agency shall complete and deliver to the State all Work, Services and Goods not
cancelled by the termination notice and may incur obligations as are necessary to do so
within this AgreemenYs terms. At the sole discretion of the State, the Local Agency shall
assign to the State all of the Local Agency's right, title, and interest under such terminated
orders or sub-Agreements. Upon termination, the Local Agency shall take timely, reasonable
and necessary action to protect and preserve property in the possession of the Local Agency
in which the State has an interest. All materials owned by the State in the possession of the
Local Agency shall be immediately returned to the State. All Work Product, at the option of
the State, shall be delivered by the Local Agency to the State and shall become the State's
property.
ii. Payments
The State shall reimburse the Local Agency only for accepted performance received up to
the date of termination. If, after termination by the State, it is determined that the Local
Agency was not in default or that the Local Agency's action or inaction was excusable, such
termination shall be treated as a termination in the public interest and the rights and
obligations of the Parties shall be the same as if this Agreement had been terminated in the
public interest, as described herein.
iii. Damages and Witholding
Notwithstanding any other remedial action by the State, the Local Agency also shall remain
liable to the State for any damages sustained by the State by virtue of any breach under this
Agreement by the Local Agency and the State may withhold any payment to the Local
Agency for the purpose of mitigating the State's damages, until such time as the exact
amount of damages due to the State from the Local Agency is determined. The State may
withhold any amount that may be due to the Local Agency as the State deems necessary to
protect the State, including loss as a result of outstanding liens or claims of former lien
holders, or to reimburse the State for the excess costs incurred in procuring similar goods or
Page 15 of 23
services. The Local Agency shall be liable for excess costs incurred by the State in procuring
from third parties replacement Work, Services or substitute Goods as cover.
B. Early Termination in the Public Interest
The State is entering into this Agreement for the purpose of carrying out the public policy of the
State of Colorado, as determined by its Governor, General Assembly, and/or Courts. If this
Agreement ceases to further the public policy of the State, the State, in its sole discretion, may
terminate this Agreement in whole or in part. Exercise by the State of this right shall not
constitute a breach of the State's obligations hereunder. This subsection shall not apply to a
termination of this Agreement by the State for cause or breach by the Local Agency, which shall
be governed by §17(A) or as otherwise specifically provided for herein.
i. Method and Content
The State shall notify the Local Agency of the termination in accordance with §17, specifying
the effective date of the termination and whether it affects all or a portion of this Agreement.
ii. Obligations and Rights
Upon receipt of a termination notice, the Local Agency shall be subject to and comply with
the same obligations and rights set forth in §17(A)(i).
iii. Payments
If this Agreement is terminated by the State pursuant to this §17(B), the Local Agency shall
be paid an amount which bears the same ratio to the total reimbursement under this
Agreement as the Services satisfactorily performed bear to the total Services covered by this
Agreement, less payments previously made. Additionally, if this Agreement is less than 60%
completed, the State may reimburse the Local Agency for a portion of actual out-of-pocket
expenses (not othervvise reimbursed under this Agreement) incurred by the Local Agency
which are directly attributable to the uncompleted portion of the Local Agency's obligations
hereunder; provided that the sum of any and all reimbursement shall not exceed the
maximum amount payable to the Local Agency hereunder.
C. Remedies Not Involving Termination
The State, at its sole discretion, may exercise one or more of the following remedies in addition
to other remedies available to it:
i. Suspend Performance
Suspend the Local Agency's performance with respect to all or any portion of this Agreement
pending necessary corrective action as specified by the State without entitling the Local
Agency to an adjustment in price/cost or performance schedule. The Local Agency shall
promptly cease performance and incurring costs in accordance with the State's directive and
the State shall not be liable for costs incurred by the Local Agency after the suspension of
performance under this provision.
ii. Withold Payment
Withhold payment to the Local Agency until corrections in the Local Agency's perFormance
are satisfactorily made and completed.
iii. Deny Payment
Deny payment for those obligations not performed, that due to the Local Agency's actions or
inactions, cannot be perFormed or, if performed, would be of no value to the State; provided,
that any denial of payment shall be reasonably related to the value to the State of the
obligations not performed.
iv. Removal
Demand removal of any of the Local Agency's employees, agents, or contractors whom the
State deems incompetent, careless, insubordinate, unsuitable, or otherwise unacceptable, or
whose continued relation to this Agreement is deemed to be contrary to the public interest or
not in the State's best interest.
v. Intellectual Property
If the Local Agency infringes on a patent, copyright, trademark, trade secret or other
intellectual property right while performing its obligations under this Agreement, the Local
Agency shall, at the State's option (a) obtain for the State or the Local Agency the right to
Page 16 of 23
use such products and services; (b) replace any Goods, Services, or other product involved
with non-infringing products or modify them so that they become non-infringing; or,
(c) if neither of the forgegoing alternatives are reasonably available, remove any infringing
Goods, Services, or products and refund the price paid therefore to the State.
18. NOTICES and REPRESENTATIVES
Each individual identified below is the principal representative of the designating Party. All notices
required to be given hereunder shall be hand delivered with receipt required or sent by certi�ed or
registered mail to such Party's principal representative at the address set forth below. In addition to,
but not in lieu of a hard-copy notice, notice also may be sent by e-mail to the e-mail addresses, if any,
set forth below. Either Party may from time to time designate by written notice substitute addresses or
persons to whom such notices shall be sent. Unless otherwise provided herein, all notices shall be
effective upon receipt.
A. State:
B. Local Agency:
Gre Hall, Public Works Director
Town of Vail
1309 Elkhorn Drive
Vail, CO 81657
970 479-2158
hall vail ov.com
19. RIGHTS IN DATA, DOCUMENTS, AND COMPUTER SOFTWARE
Any software, research, reports, studies, data, photographs, negatives or other documents, drawings,
models, materials, or work product of any type, including drafts, prepared by the Local Agency in the
performance of its obligations under this Agreement shall be the exclusive property of the State and,
all Work Product shall be delivered to the State by the Local Agency upon completion or termination
hereof. The State's exclusive rights in such Work Product shall include, but not be limited to, the right
to copy, publish, display, transfer, and prepare derivative works. The Local Agency shall not use,
willingly allow, cause or permit such Work Product to be used for any purpose other than the
performance of the Local Agencys's obligations hereunder without the prior written consent of the
State.
20. GOVERNMENTAL IMMUNITY
Notwithstanding any other provision to the contrary, nothing herein shall constitute a waiver, express
or implied, of any of the immunities, rights, benefits, protection, or other provisions of the Colorado
Governmental Immunity Act, CRS §24-10-101, et seq., as amended. Liability for claims for injuries to
persons or property arising from the negligence of the State of Colorado, its departments, institutions,
agencies, boards, officials, and employees is controlled and limited by the provisions of the
Governmental Immunity Act and the risk management statutes, CRS §24-30-1501, et seq., as
amended.
21. STATEWIDE CONTRACT MANAGEMENT SYSTEM
If the maximum amount payable to the Local Agency under this Agreement is $100,000 or greater,
either on the Effective Date or at anytime thereafter, this §21 applies.
The Local Agency agrees to be governed, and to abide, by the provisions of CRS §24-102-205, §24-
102-206, §24-103-601, §24-103.5-101 and §24-105-102 concerning the monitoring of vendor
Page 17 of 23
performance on state agreements/contracts and inclusion of agreement/contract performance
information in a statewide contract management system.
The Local Agency's perFormance shall be subject to Evaluation and Review in accordance with the
terms and conditions of this Agreement, State law, including CRS §24-103.5-101, and State Fiscal
Rules, Policies and Guidance. Evaluation and Review of the Local Agency's performance shall be
part of the normal Agreement administration process and the Local Agency's performance will be
systematically recorded in the statewide Agreement Management System. Areas of Evaluation and
Review shall include, but shall not be limited to quality, cost and timeliness. Collection of information
relevant to the performance of the Local Agency's obligations under this Agreement shall be
determined by the specific requirements of such obligations and shall include factors tailored to match
the requirements of the Local Agency's obligations. Such performance information shall be entered
into the statewide Contract Management System at intenrals established herein and a final
Evaluation, Review and Rating shall be rendered within 30 days of the end of the Agreement term.
The Local Agency shall be notified following each performance Evaluation and Review, and shall
address or correct any identified problem in a timely manner and maintain work progress.
Should the final performance Evaluation and Review determine that the Local Agency demonstrated a
gross failure to meet the performance measures established hereunder, the Executive Director of the
Colorado Department of Personnel and Administration (Executive Director), upon request by CDOT,
and showing of good cause, may debar the Local Agency and prohibit the Local Agency from bidding
on future Agreements. The Local Agency may contest the final Evaluation, Review and Rating by: (a)
filing rebuttal statements, which may result in either removal or correction of the evaluation (CRS §24-
105-102(6)), or (b) under CRS §24-105-102(6), exercising the debarment protest and appeal rights
provided in CRS §§24-109-106, 107, 201 or 202, which may result in the reversal of the debarment
and reinstatement of the Local Agency, by the Executive Director, upon showing of good cause.
22. FEDERAL REQUIREMENTS
The Local Agency and/or their contractors, subcontractors, and consultants shall at all times during
the execution of this Agreement 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. A
listing of certain federal and state laws that may be applicable are described in Exhibit J.
23. DISADVANTAGED BUSINESS ENTERPRISE (DBE)
The Local Agency will comply with all requirements of Exhibit G and the Local Agency Contract
Administration Checklist regarding DBE requirements for the Work, except that if the Local Agency
desires to use its own DBE program to implement and administer the DBE provisions of 49 C.F.R.
Part 26 under this Agreement, it must submit a copy of its program's requirements to the State for
review and approval before the execution of this Agreement. If the Local Agency uses any State-
approved DBE program for this Agreement, 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 requirements and certification, adequate legal and factual bases for DBE goals and
good faith efforts. State approval (if provided) of the Local Agency's DBE program does not waive or
modify the sole responsibility of the Local Agency for use of its program.
24. DISPUTES
Except as othen�vise provided in this Agreement, any dispute concerning a question of fact arising
under this Agreement which is not disposed of by agreement, shall be decided by the Chief Engineer
of the Department of Transportation. The decision of the Chief Engineer will be final and conclusive
unless, within 30 calendar days after the date of receipt of a copy of such written decision, the Local
Agency mails or otherwise furnishes to the State a written appeal addressed to the Executive Director
of CDOT. In connection with any appeal proceeding under this clause, the Local Agency shall be
afforded an opportunity to be heard and to offer evidence in support of its appeal. Pending final
decision of a dispute hereunder, the Local Agency shall proceed diligently with the performance of this
Page 18 of 23
Agreement in accordance with the Chief Engineer's decision. The decision of the Executive Director
or his duly authorized representative for the determination of such appeals shall be final and
conclusive and serve as final agency action. This dispute clause does not preclude consideration of
questions of law in connection with decisions provided for herein.
Nothing in this Agreement, however, shall be construed as making final the decision of any
administrative official, representative, or board on a question of law.
25. GENERAL PROVISIONS
A. Assignment
The Local Agency's rights and obligations hereunder are personal and may not be transferred,
assigned or subcontracted without the prior, written consent of the State. Any attempt at
assignment, transfer, subcontracting without such consent shall be void. All assignments and
subcontracts approved by the Local Agency or the State are subject to all of the provisions
hereof. The Local Agency shall be solely responsible for all aspects of subcontracting
arrangements and performance.
B. Binding Effect
Except as otherwise provided in §25(A), all provisions herein contained, including the benefits
and burdens, shall extend to and be binding upon the Parties' respective heirs, legal
representatives, successors, and assigns.
C. Captions
The captions and headings in this Agreement are for convenience of reference only, and shall
not be used to interpret, define, or limit its provisions.
D. Counterparts
This Agreement may be executed in multiple identical original counterparts, all of which shall
constitute one agreement.
E. Entire Understanding
This Agreement represents the complete integration of all understandings between the Parties
and all prior representations and understandings, oral or written, are merged herein. Prior or
contemporaneous addition, deletion, or other amendment hereto shall not have any force or
affect whatsoever, unless embodied herein.
F. Indemnification - General
If Local Agency is not a"public entity" within the meaning of the Colorado Governmental
Immunity Act, CRS §24-10-101, et seq., the Local Agency shall indemnify, save, and hold
harmless the State, its employees and agents, against any and all claims, damages, liability and
court awards including costs, expenses, and attorney fees and related costs, incurred as a
result of any act or omision by the Local Agency, or its employees, agents, subcontractors or
assignees pursuant to the terms of this Agreement. This clause is not applicable to a Local
Agency that is a"public entity" within the meaning of the Colorado Governmental Immunity Act,
CRS §24-10-101, et seq.
G. Jurisdction and Venue
All suits, actions, or proceedings related to this Agreement shall be held in the State of Colorado
and exclusive venue shall be in the City and County of Denver.
H. Limitations of Liability
Any and all limitations of liability and/or damages in favor of the Local Agency contained in any
document attached to and/or incorporated by reference into this Agreement, whether referred to
as an exhibit, attachment, schedule, or any other name, are void and of no effect. This includes,
but is not necessarily limited to, limitations on (i) the types of liabilities, (ii) the types of
damages, (iii) the amount of damages, and (iv) the source of payment for damages.
I. Modification
i. By the Parties
Except as specifically provided in this Agreement, modifications of this Agreement shall not
be effective unless agreed to in writing by both parties in an amendment to this Agreement,
Page 19 of 23
properly executed and approved in accordance with applicable Colorado State law, State
Fiscal Rules, and Office of the State Controller Policies, including, but not limited to, the
policy entitled MODIFICATIONS OF AGREEMENTS - TOOLS AND FORMS.
ii. By Operation of Law
This Agreement is subject to such modifications as may be required by changes in Federal
or Colorado State law, or their implementing regulations. Any such required modification
automatically shall be incorporated into and be part of this Agreement on the effective date of
such change, as if fully set forth herein.
J. Order of Precedence
The provisions of this Agreement shall govern the relationship of the State and the Local
Agency. In the event of conflicts or inconsistencies between this Agreement and its exhibits and
attachments, such conflicts or inconsistencies shall be resolved by reference to the documents
in the following order of priority:
i. Colorado Special Provisions,
ii. The provisions of the main body of this Agreement,
iii. Exhibit A(Scope of Work and Form 463),
iv. Exhibit B(Local Agency Resolution),
v. Exhibit C (Funding Provisions),
vi. Exhibit D (Option Letter),
vii. Exhibit E(Local Agency Contract Administration Checklist),
viii. Other exhibits in descending order of their attachment.
K. Severability
Provided this Agreement can be executed and performance of the obligations of the Parties
accomplished within its intent, the provisions hereof are severable and any provision that is
declared invalid or becomes inoperable for any reason shall not affect the validity of any other
provision hereof.
L. Survival of Certain Agreement Terms
Notwithstanding anything herein to the contrary, provisions of this Agreement requiring
continued performance, compliance, or effect after termination hereof, shall survive such
termination and shall be enforceable by the State if the Local Agency fails to perform or comply
as required.
M. Taxes
The State is exempt from all federal excise taxes under IRC Chapter 32 (No. 84-730123K) and
from all State and local government sales and use taxes under CRS §§39-26-101 and 201 et
seq. Such exemptions apply when materials are purchased or services rendered to benefit the
State; provided however, that certain political subdivisions (e.g., City of Denver) may require
payment of sales or use taxes even though the product or service is provided to the State. The
Local Agency shall be solely liable for paying such taxes as the State is prohibited from paying
for or reimbursing the Local Agency for them.
N. Third Party Beneficiaries
Enforcement of this Agreement and all rights and obligations hereunder are reserved solely to
the Parties, and not to any third party. Any services or benefits which third parties receive as a
result of this Agreement are incidental to the Agreement, and do not create any rights for such
third parties.
O. Waiver
Waiver of any breach of a term, provision, or requirement of this Agreement, or any right or
remedy hereunder, whether explicitly or by lack of enforcement, shall not be construed or
deemed as a waiver of any subsequent breach of such term, provision or requirement, or of any
other term, provision, or requirement.
THE REST OF THIS PAGE INTENTIONALLY LEFT BLANK
Page 20 of 23
26. COLORADO SPECIAL PROVISIONS
The Special Provisions apply to all Agreements except where noted in italics.
1. CONTROLLER'S APPROVAL. CRS §24-30-202 (1).
This Agreement shall not be deemed valid until it has been approved by the Colorado State Controller or
designee.
2. FUND AVAILABILITY. CRS §24-30-202(5.5).
Financial obligations of the State payable after the current fiscal year are contingent upon funds for that
purpose being appropriated, budgeted, and otherwise made available.
3. GOVERNMENTAL IMMUNITY.
No term or condition of this Agreement shall be construed or interpreted as a waiver, express or implied,
of any of the immunities, rights, benefits, protections, or other provisions, of the Colorado Governmental
Immunity Act, CRS §24-10-101 et seq., or the Federal Tort Claims Act, 28 U.S.C. §§1346(b) and 2671 et
seq., as applicable now or hereafter amended.
4. INDEPENDENT CONTRACTOR.
The Local Agency shall perform its duties hereunder as an independent contractor and not as an
employee. Neither The Local Agency nor any agent or employee of The Local Agency shall be deemed to
be an agent or employee of the State. The Local Agency and its employees and agents are not entitled to
unemployment insurance or workers compensation benefits through the State and the State shall not pay
for or otherwise provide such coverage for The Local Agency or any of its agents or employees.
Unemployment insurance benefits shall be available to The Local Agency and its employees and agents
only if such coverage is made available by The Local Agency or a third party. The Local Agency shall pay
when due all applicable employment taxes and income taxes and local head taxes incurred pursuant to
this Agreement. The Local Agency shall not have authorization, express or implied, to bind the State to
any Agreement, liability or understanding, except as expressly set forth herein. The Local Agency shall
(a) provide and keep in force workers' compensation and unemployment compensation insurance in the
amounts required by law, (b) provide proof thereof when requested by the State, and (c) be solely
responsible for its acts and those of its employees and agents.
5. COMPLIANCE WITH LAW.
The Local Agency shall strictly comply with all applicable federal and State laws, rules, and regulations in
effect or hereafter established, including, without limitation, laws applicable to discrimination and unfair
employment practices.
6. CHOICE OF LAW.
Colorado law, and rules and regulations issued pursuant thereto, shall be applied in the interpretation,
execution, and enforcement of this Agreement. Any provision included or incorporated herein by
reference which conflicts with said laws, rules, and regulations shall be null and void. Any provision
incorporated herein by reference which purports to negate this or any other Special Provision in whole or
in part shall not be valid or enforceable or available in any action at law, whether by way of complaint,
defense, or otherwise. Any provision rendered null and void by the operation of this provision shall not
invalidate the remainder of this Agreement, to the extent capable of execution.
7. BINDING ARBITRATION PROHIBITED.
The State of Colorado does not agree to binding arbitration by any extra-judicial body or person. Any
provision to the contrary in this contact or incorporated herein by reference shall be null and void.
8. SOFTWARE PIRACY PROHIBITION. Governor's Executive Order D 002 00.
State or other public funds payable under this Agreement shall not be used for the acquisition, operation,
or maintenance of computer software in violation of federal copyright laws or applicable licensing
restrictions. The Local Agency hereby certifies and warrants that, during the term of this Agreement and
any extensions, The Local Agency has and shall maintain in place appropriate systems and controls to
prevent such improper use of public funds. If the State determines that The Local Agency is in violation of
this provision, the State may exercise any remedy available at law or in equity or under this Agreement,
including, without limitation, immediate termination of this Agreement and any remedy consistent with
federal copyright laws or applicable licensing restrictions.
9. EMPLOYEE FINANCIAL INTEREST. CRS §§24-18-201 and 24-50-507.
The signatories aver that to their knowledge, no employee of the State has any personal or beneficial
interest whatsoever in the service or property described in this Agreement.
Page 21 of 23
The Local Agency 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 services and The Local Agency
shall not employ any person having such known interests.
10. VENDOR OFFSET. CRS §§24-30-202 (1) and 24-30-202.4.
(Not Applicab/e to/ntergovemmenta/ agreements] Subject to CRS §24-30-202.4 (3.5), the State
Controller may withhold payment under the State's vendor offset intercept system for debts owed to State
agencies for.• (a) unpaid child support debts or child support arrearages; (b) unpaid balances of tax,
accrued interest, or other charges specified in CRS §39-21-101, et seq.; (c) unpaid loans due to the
Student Loan Division of the Department of Higher Education; (d) amounts required to be paid to the
Unemployment Compensation Fund; and (e) other unpaid debts owing to the State as a result of final
agency determination or judicial action.
11. PUBLIC CONTRACTS FOR SERV/CES. CRS §8-17.5-101.
(Not Applicab/e to Agreements re/ating to the offer, issuance, or sa/e of securities, investment
advisory services or fund management services, sponsored projects, Intergovemmental
Agreements, or information technology services or products and servicesj The Local Agency
certifies, warrants, and agrees that it does not knowingly employ or contract with an illegal alien who shall
perform work under this Agreement and shall confirm the employment eligibility of all employees who are
newly hired for employment in the United States to perform work under this Agreement, through
participation in the E-Verify Program or the State program established pursuant to CRS §8-17.5-
102(5)(c), The Local Agency shall not knowingly employ or contract with an illegal alien to perform work
under this Agreement or enter into a contract with a subcontractor that fails to certify to The Local Agency
that the subcontractor shall not knowingly employ or contract with an illegal alien to perform work under
this Agreement. The Local Agency (a) shall not use E-Verify Program or State program procedures to
undertake pre-employment screening of job applicants while this Agreement is being performed, (b) shall
notify the subcontractor and the contracting State agency within three days if The Local Agency has
actual knowledge that a subcontractor is employing or contracting with an illegal alien for work under this
Agreement, (c) shall terminate the subcontract if a subcontractor does not stop employing or contracting
with the illegal alien within three days of receiving the notice, and (d) shall comply with reasonable
requests made in the course of an investigation, undertaken pursuant to CRS §8-17.5-102(5), by the
Colorado Department of Labor and Employment. If The Local Agency participates in the State program,
The Local Agency shall deliver to the contracting State agency, Institution of Higher Education or political
subdivision, a written, notarized affirmation, affirming that The Loca/ Agency has examined the legal work
status of such employee, and shall comply with all of the other requirements of the State program. If The
Local Agency fails to comply with any requirement of this provision or CRS §8-17.5-101 et seq., the
contracting State agency, institution of higher education or political subdivision may terminate this
Agreement for breach and, if so terminated, The Loca/ Agency shall be liable for damages.
12. PUBLIC CONTRACTS WITH NATURAL PERSONS. CRS §24-76.5-101.
The Local Agency, if a natural person eighteen (18) years of age or older, hereby swears and affirms
under penalty of perjury that he or she (a) is a citizen or otherwise lawfully present in the United States
pursuant to federal law, (b) shall comply with the provisions of CRS §24-76.5-101 et seq., and (c) has
produced one form of identification required by CRS §24-76.5-103 prior to the effective date of this
Agreement.
SPs Effective 1 /1 /09
THE REST OF THIS PAGE INTENTIONALLY LEFT BLANK
Page 22 of 23
27. SIGNATURE PAGE
Agreement Routing Number 13 HA3 50661
THE PARTIES HERETO HAVE EXECUTED THIS AGREEMENT
* Persons signing for The Local Agency hereby swear and affirm that they are authorized to act on The Local
Agency's behalf and acknowledge that the State is relying on their representations to that effect.
THE LOCAL AGENCY STATE OF COLORADO
Town of Vail JOHN W. HICKENLOOPER, GOVERNOR
CDOT Vendor # 2000003
Print:
Title: Timothy J. Harris, P.E., Chief Engineer
for ponald E. Hunt, Executive Director
Colorado Department of Transportation
*Signature
2nd The Local Agency Signature if Needed LEGAL REVIEW
Print: John W. Suthers, Attorney General
Title:
By:
Signature - Assistant Attorney General
*Signature
ALL AGREEMENTS REQUIRE APPROVAL BY THE STATE CONTROLLER
CRS §24-30-202 requires the State Controller to approve all State Agreements. This Agreement is not valid until
signed and dated below by the State Controller or delegate. The Local Agency is not authorized to begin
performance until such time. If The Local Agency begins perForming prior thereto, the State of Colorado is not
obligated to pay The Local Agency for such performance or for any goods and/or services provided hereunder.
By:
STATE CONTROLLER
David J. McDermott, CPA
Colorado Department of Transporation
Date:
Page 23 of 23
28. EXHIBIT A— SCOPE OF WORK and FORM 463
SimUa Run Interch�nge
Scope of «'ork «i#h the To«� of �'ail
11-7-2012
T'l�e Siuiba Run project is a p�rtnerstup �vith the Tow�n of Vail to study the feasibility of adding an underpass
perpendici�lar to I-70 at approxunately ntile marker 175. The pr�posed unc%rpass woutd connect the north
and south Frontage Roads uid would potentially unprove �destrian and vehicular circulation west of ihe
mau� Vail e�cit. The Tow-n of Vail wrill manage the projec3, will draft the project scape of work and hire a
consultant to prepare the study, iucoiporatiug their dollars as well as CDOT's dollars to fiind the project. The
main focus of the study shoidd be to id�utify the transportation problem to be solved and if there are any
enviroumental red flags for t�e project. The study should obtaiu traffic and other relevant data tuat wo�ild
form the basis for the project piupose and need_ CDOT recomtnends consideration of Plaxming and
Enc�uonuiental Linkage (PEL} guid�nce in 23 CFR 450 Appendix A so tl�at plannuig work is maximally
usefiil for azry subsequent NEPA process.
T}ie $125,000 fee for the Toivn of Vail (and th�ir consultant) will cover as much of the following as possible
�tiith the fiuids available fron7 GDOT and the Towv of Vail=
To re-examine the need for the Sunba Run Underpass by means of a PEL Repor�_ The project will re-
u�lyze the altematives presented in the Vail Transportarion Master Plan, as well as groduce desiga,
fiuiding, sc�edulu�g and phasing rerouraiendations to actueve tl�e altematives_
Work �ith stakeholders to analyze and develop a range of unpro�•ements to reduce congestion and
nv�rove operational performance and safety of the 173 and 176 intemhauges as well as the Frontage
Roads. The project �vil� assist TOV, t,"DOT, and resource agencies in identifying issues of importance
to each respective agei�cy.
The Towm of Vail's Consultant will produce documents and deliverables in a fonn that can be
incarporated by reference, as appropriate, in subsequent NEPA docu�tient(s) as outlined in Appendix
A to �3 CFR Part 454 — Lin�.iug tl�e Transportation Flantung and NEPA Pracesses.
THE REST OF THIS PAGE INTENTIONALLY LEFT BLANK
Exhibit A- Page 1 of 4
CALORODODEPnRTr1ENTOFTRANSPORTAT1oN �4�05fi4,2t1d2 PmJ�tc7aoeii(SAiij i90G4 STIPSSSP4328
D E S I G N DATA Rc�+-Daoe: aao)ea a STA 07D2-327 --
Re�na�on *: D �aE Oooe:
Page t to 3 R�' ��3 �o�ccc cseucnpnan: t-7fl Vai15� Run
Stapa: � Pnrlimin�y �1 �inal L1 Rev�sed
Caurtg: 037
�bmroea BY P6t BA6COCKJ Apqvvetl by arcigr�rn Ergu}eer
p�: wlu� Vail
,, �COOe: N-µHS Nan-Inlerstate
�tr�sea by: n B. t,a�e AdministeEeii
Da¢r: Plametl � 1.OD0
Geogaperc �ocauort: VA� AID.IACENT TO I-70 MP 174.9
Type ot TwiaM: Mourrt�ous
DecceqCart af a�pPp�pp COrK1171CtlonrlmpOVM�E�.nt�At�2CX1 rt73P 6h0�M°99 al6e loc.illor�}
FEASIBILTY STUDY FOR UNDERPAaS TO CONhF£CT NOFtTH �3 50UTH FRONTAGE RDS
Project CharacLeristies i�l �� fT]Pel= L�P�� Ll Patrtea ❑ Ra�cea [� *wne
L; L�^9 L1 �^�,P R� iJ Trartic Cmrd Sgna�c L1 �^9
�j cuo a,a �une� (J ouro onry ❑ ��t-rim, s�oa ❑ con��w�s w�-
U:�a�e wian� (� aueway wwm- ❑ rz�c-rur� s� ❑ con�nuo�s wxsn-
[] vartmg une wkfn- U D�tous Spning [� Cm�orn (] aesma�
l� t�P�+9�+�t�ePta^e ❑ ome►iacccmPaor+y:
Ripitit oi Way Yez!NO Eat � Utitities {Ki namee ottr�nrn u�r mnf�arlee}
ROYN' a.br Pevrn. Eacen^,erx Requlrzu 1Jo Unkno�
FdHCCaOOr: ReqrKetl 1Jo
TH:!IpO�• E3iEr!Itlri REqW1Etl: NO
Ceurge� M �cAeer. tdo
ct�angcs b connewng �toax: No
Railroad (�rrassiogs x d Ciocc�ngc:
Reodronendaiona '
Environmentai rype: �ppmrea anr v!ro�ea coae �F aea�ea unaer. v,oJrCt #t aearea tl�aec
P-CE matic 08J28t2U12
C�nanents:
cooranaaon
;_] watxraw�n c� �aawer �, Rcservara. eee.� aebea araqi eu� a Fareu ,e�aer o�nce mqanm �lcn wmr:
J n►ew rr�c aaunce Req�wrea LI ►�►Y scneawe a Eacqng ora�ance Mw+dpyuy- Wa1
Otl�er.
C�struction Nethod AQ�Hd6�C 8}. N011O Rli60n: ��,tigency s]aKact Kane: cviane r
Naae 9i7� B-4385
Satety Considerstions Ptqed unGec Gcwntal meets anent staidaiCC: No
LI vanaice h hNnrmm oecigi ��qurea [J �1r P� nu ae staneares cammems:
lJ .�sretanan ktaaKe �l � ro ee su aaoe�eo
- e tsee:ern tx , :,eeRm�ur�
C.awtrudlm M in re�r�azRai
31i ptoJear
Evah�alkf� Cam 6r icL7Ee'G
Exhibit A- Page 2 of 4
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�3b � ���g� �, 4 4 � �r,,� a�"' � y� � � � �,
� � 6 �p� � a � $ ! a � + $ � a a � S@ $ � � "' � �z i m "
p�� r O � d?�� f� i: Q�1 {
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Exhibit A- Page 3 of 4
3of3 CoOel4;°.�Aa'Y' 3ro s IFeM6epaee:
P� �� 1�
19�4 5TA 07Q2-327
wjar Strucbures s- m ataj. R- ao oe removetl. �- popacea new cm,ca�e
��� I• I��, I'�� I���� I��`�"° I� I� I�' I`�� I�R
ampocea rrearnei,t or �agea m Rerna�n M�naaaeaess nnage rae. c�paaty, ana anosraae wrtacu,g niacnecs�:
� Remirks
;tITd3 Rlll N9IEICfl3ffi�
„cope a Wloac wm me Tow, ot van
1 r•�-2012
rne �nda Run p�a�ea K a para�e�up a�m me Tawn a vax ro camy e�e teasio�ty at aaang an ur�pau
pP.rpet�4112f BD F70 2t appf07tlm3lely rtNe maelcH 175. Tlle p�Oqo�M V10dpaii raDtl m�Mx�d tilE norttl
a�wc saAh Frontage Roaa� and waye pooenualy smpra�e peoetlnar+arw verliewrcyaAatlm weu af the
maa, v� e�at. Tne rown a vau wu managa ewe pra��aa. w�a arst me Pio}eet soope a wart a,a r� a
ecneuwrrt �o prepane tne ceuofr. hcorporanng ne�a adwia ae •�+ex ai CDOTxs eorars m ruiw tne pro}ea. rne
maa, roa,s af ene awdy slwWU oe b iae�tlry me transpatatbn praakm m oe cawea aia rc mae are any
rmrror.nerc� rea nagc ror one peqec�. n,e strdy u,oua ooan tramc ana viner reie,anc mra mat �o+ra
?artn Te bacK 1br fee projed pirpoce antl neea �UOT recdnmenOS aonsWecatlon uf Pnming xW
enwa,me[rtai unaQe (s�E!) g�aarac tn z3 e PR asa Apoerwx A w mac p�rtr9ng.at X mawmaly
USeNI Tar 3ny L�DiEquEnt HEPA prooeii.
ThF St25.000 TE! 60► fiE TOM91 Of Y3N [iP10 �71lY COftiUR3fYi�'MII CAN2t M rt4)Ch Of 711E fiAOMlfg 76 pOKld!
rACt � tcnCC araIR9DVe Tfom COOT antl tlhe ToM1 oT YaM:
� 7o re-eI3rvH'�e re meetl fir ifle Slmda Run Untleepac6 by me7ns oT a P£L ft2�pat. Ti�e pro)ed atl rearaaalyz!
me anernatlo� pre:enfea h mQ v3u Trdruporsana, Mxter P�an. u wew u pmaeor aeugt+q>: �a
tura�n9. ceneaang ai+a pna�rig �ne m aa+�ew� n�e aroem�.+cs.
wac w� s&atenaners w anay¢e ana oevesoQ a rarr�e ar arpiv,+e� n nrauoe conqeaton ana
IIfi�3f�1�! c7¢lt30Dn�Y p!!lbnM1311pt 3f�tl bd�' Cf th! 173 an0 1i6 tlkfdlaflgli li N!M X 01! PIOnA7�E
Ra�i66. Thie ptOJECt. wi� 7f616t TOY. CDOT. and R60ulce 2gEndE6 M WEIt�yMfg !�!!c aC impWt�Vf�Ct
Oo l3ch R6�edNt 3qertc'Y_
.. rne rown ot valpK Cw16u1fa�t tia� proauce aaumenm� ana dNlveraoFCS m a 1�orm mat �cs+ ae
hfa7iparaEeC by releeer�e, ac apiqopnak, tn stoce¢Rrt NEPA Oocunen�al as �etl k� Appentlbi
A 1n :3 GfR Pat S� 71 U�tin¢ �e Tr9R6partNlon PtavYng 3nE NEPA Proce66ec.
Exhibit A- Page 4 of 4
29. EXHIBIT B- LOCAL AGENCY RESOLUTION
LOCAL AGENCY
ORDINANCE
or
RESOLUTION
Exhibit B- Page 1 of 1
30. EXHIBIT C— FUNDING PROVISIONS STA 0702-327 (19094)
A. Cost of Work Estimate
The Local Agency has estimated the totai cost the Work to be $125,000.00 which is to be
funded as follows:
1 BUDGETEDFUNDS
a. Federal Funds
b. Local Agency Matching Funds
TOTAL BUDGETED FUNDS
2 ESTIMATED CDOT-INCURRED COSTS
a. Federal Share
b. Local Share
Local Agency Share of Participating Costs
Non-Participating Costs (Including Non-Participating Indirects)
Estimated to be Billed to Local Agency
TOTAL ESTIMATED CDOT-INCURRED COSTS
3 ESTIMATED PAYMENT TO LOCAL AGENCY
a. Federal Funds Budgeted (1 a)
b. Less Estimated Federal Share of CDOT-Incurred Costs (2a)
TOTAL ESTIMATED PAYMENT TO LOCAL AGENCY
FOR CDOT ENCUMBRANCE PURPOSES
Estimated Total Encumbrance Amount
Less ROW Acquisition 3111 and/or ROW Relocation 3109
Net to be encumbered as follows:
$0.00
$0.00
WBS Element 19094.10.30 Desi n 3020
WBS Element 19094.20.10 Const 3301
$125,000
$0
125
$0.
$0.
$125,000.
$0.
$125,000
$0.0
B. Matching Funds
The matching ratio for the federal participating funds for this Work is 100% federal-aid funds
(CFDA #20 2050) to 0% 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 participating cost of
performance of the Work exceeds $125,000.00, and additional federal funds are made available
for the Work, the Local Agency shall pay 0% of all such costs eligible for federal participation
and 100% of all non-participating costs; if additional federal funds are not made available, the
Exhibit C- Page 1 of 2 SA19041
Local Agency shall pay all such excess costs. If the total participating 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.
C. Maximum Amount Payable
The maximum amount payable to the Local Agency under this Agreement shall be $125,000.00
(For CDOT accounting purposes, the federal funds of $125,000.00 will be encumbered for a
total encumbrance of $125,000.00), unless such amount is increased by an appropriate written
modification to this Agreement executed before any increased cost is incurred. *Note: $0.00 is
currently available for the Work. Funds will be encumbered by Option Letter or Formal
Amendment as they become authorized. 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 Agreement, and that such cost is
subject to revisions (in accord with the procedure in the previous sentence) agreeable to the
parties prior to bid and award.
D. Single Audit Act Amendment
All state and local government and non-profit organization Sub-The Local Agencys receiving
more than $500,000 from all funding sources defined as federal financial assistance for Single
Audit Act Amendment purposes, shall comply with the audit requirements of OMB Circular A-
133 (Audits of States, Local Governments and Non-Profit Organizations) see also, 49 C.F.R.
18.20 through 18.26. The Single Audit Act Amendment requirements applicable to Sub-The
Local Agencys receiving federal funds are as follows:
i. Expenditure less than $500,000
If the Sub-The Local Agency expends less than $500,000 in Federal funds (all federal
sources, not just Highway funds) in its fiscal year then this requirement does not apply.
ii. Expenditure exceeding than $500,000-Highway Funds Only
If the Sub-The Local Agency expends more than $500,000 in Federal funds, but only
received federal Highway funds (Catalog of Federal Domestic Assistance, CFDA 20.205)
then a program specific audit shall be performed. This audit will examine the "financial"
procedures and processes for this program area.
iii. Expenditure exceeding than $500,000-Multiple Funding Sources
If the Sub-The Local Agency expends more than $500,000 in Federal funds, and the Federal
funds are from multiple sources (FTA, HUD, NPS, etc.) then the Single Audit Act applies,
which is an audit on the entire organization/entity.
iv. Independent CPA
Single Audit shall only be conducted by an independent CPA, not by an auditor on staff. An
audit is an allowable direct or indirect cost.
Exhibit C- Page 2 of 2 SA19041
31. EXHIBIT D— OPTION LETTER
SAMPLE IGA OPTION LETTER
(This option has been created by the Office of the State Controller for CDOT use only)
NOTE: This option is limited to the specific contract scenarios listed below
AND may not be used in place of exercising a formal amendment.
Date: State Fiscal Year: Option Letter No. CLIN Routing #
Original Contract CMS # Option Letter CMS #
Ori inal Contract SAP # O tion Letter SAP #
Vendor name:
A. SUBJECT: (Choose applicab/e options listed be/ow AND in section 8 and de/ete the rest)
1. Level of service change within current term due to an unexpected Local overmatch on an overbid
situation ONLY;
2. Option to add phasing to include Design, Construction, Environmental, Utilities, ROW incidentals or
Miscellaneous ONLY (does not apply to Acquisition/Relocation or Railroads);
3. Option to update funding (a new Exhibit C must be attached with the option letter and shall be
labeled C-1 (future changes for this option shall be labeled as follows: C-2, C-3, C-4, etc.)
B. REQUIRED PROVISIONS. All Option Letters shall contain the appropriate provisions set forth
below:
(Insert the followina lanauaqe for use with Option #1):
In accordance with the terms of the original Agreement (insert FY. Apencv code & CL/N routinq # of
Basic Contract) between the State of Colorado, Department of Transportation and (insert the Local
Aqencv's name here), the State hereby exercises the option to record a level of service change due to
unexpected overmatch dollars due to an overbid situation. The Agreement is now increased by
(indicaie additiona/ dollars here) specified in Paragraph/Section/Provision of the
original Agreement.
llnsert the followina lanauaae for use with Option #2):
In accordance with the terms of the original Agreement (insert FY. Aqencv code & CL/N routinq #
Basic Contract) between the State of Colorado, Department of Transportation and (insert the Local
Aqencv's name here), the State hereby exercises the option to add an overlapping phase in indicate
Fiscal Year here) that will include (describe which phase will be added and inc/ude all that applv —
Desiqn, Construction, Environmental. Utilities, ROW incidentals or Miscellaneous). Total funds for
this Agreement remain the same (indicate total dollars here) as referenced in
Paragraph/Section/Provision/Exhibit of the original Agreement.
(Insert the followinq lanquaae for use with Option #3):
In accordance with the terms of the original Agreement (insert FY, Aqencv code & CL/N routinq # of
Basic Confract) between the State of Colorado, Department of Transportation and (insert the Local
Apencv's name here), the State hereby exercises the option to update funding based on changes
from state, federal, local match and/or local agency overmatch funds. The Agreement is now (select
one: increased and/ordecreased) by (insert dollars here) specified in Paragraph/-Section/-
Provision/Exhibit of the original Agreement. A new Exhibit C-1 is made part of the
original Agreement and replaces Exhibit C. (The following is a NOTE only so please delete when
Exhibit D- Page 1 of 2
using this option: future changes for this option for Exhibit C shall be labeled as follows: C-2, C-3, C-4,
etc.)
(The followinq lanauacte must be included on ALL options):
The amount of the current Fiscal Year contract value is (increased/decreasec� by ($ amount of
chan e to a new Agreement value of ($ ) to satisfy services/goods ordered under the
Agreement for the current fiscal year (indicafe Fiscal Year). The first sentence in
Paragraph/Section/Provision is hereby modified accordingly.
The total Agreement value to include all previous amendments, option letters, etc. is
(� �•
The effective date of this Option Letter is upon approval of the State Controller or delegate.
State of Colorado:
John W. Hickenlooper, Governor
By: Date:
Executive Director, Colorado Department of Transportation
ALL CONTRACTS MUST BE APPROVED BY THE STATE CONTROLLER
CRS §24-30-202 requires the State Controller to approve all State Contracts. This Agreement is not valid
until signed and dated below by the State Controller or delegate. Contractor is not authorized to begin
performance until such time. If the Local Agency begins performing prior thereto, the State of Colorado
is not obligated to pay the Local Agency for such pe�formance or for any goods and/or services
provided hereunder.
By:
Date:
Form Updated: June 12, 2008
State Controller
David J. McDermott, CPA
Exhibit D- Page 2 of 2
32. EXHIBIT E— LOCAL AGENCY CONTRACT ADMINISTRATION CHECKLIST
LOCAL AGENCY CONTRACT ADMINISTRATION CHECKLIST
The following checklist has been developed to ensure that all required aspects of a
project approved for Federal funding have been addressed and a responsible party
assigned for each task.
After a project has been approved for Federal funding in the Statewide Transportation
Improvement Program, the Colorado Department of Transportation (CDOT) Project
Manager, Local Agency project manager, and CDOT Resident Engineer prepare the
checklist. It becomes a part of the contractual agreement between the Local Agency
and CDOT. The CDOT Agreements Unit will not process a Local Agency agreement
without this completed checklist. It will be reviewed at the Final Office Review meeting
to ensure that ali parties remain in agreement as to who is responsible for performing
individual tasks.
xvi
Exhibit E— Page 1 of 5
COLORADO DEPARTMENT OF TRANSPORTATION
LOCAL AGENCY CONTRACT ADMINISTRATION CHECKLIST
Projecx No. STIP No. Project Code Region
STE M055-031
SDR 6745.048 19042 6
Project Location Date
Peoria-Smith Commuter Rail Station BikelPed Access im rovements 04/20/2012
Project Description
Peoria-Smith Commuter Rail Station BikelPed Access Improvements
Local Agency Local Agency Project Manager
Cit of Aurora Tom McMinimee
CDOT Resident Engineer CDOT Project Manager
Matthew Pacheco Carol Anderson
INSTRUCTIONS:
This chedclist shall be utilized to establish the contract administration respons�bilities of the individual parties to this agreement.
The chedclist becomes an attachment to the Local Agency agreement. Section numbers correspond to the applicable chapters
of the CDOT Local Agency Manual.
The chedclist shall be prepared by placing an "X" under the responsible party, opposite each of the tasks. The "X" denotes the
party respons�ble for initiating and executing ihe task. Only one responsible party should be selected. When neither CDOT nor
the Local Agency is responsible for a task, not applicable (NA) shall be noted. In addition, a"#" will denote that CDOT must
concur or approve.
Tasks that will be performed by Headquarters staff wili be indicated. The Regions, in accordance with established policies and
procedures, wili determine who wili perform all other tasks that are the responsibility of CDOT.
The chedclist shall be prepared by the CDOT Resident Engineer or the CDOT Project Manager, in cooperation with the Local
Agency Project Manager, and submitted to the Region Program Engineer. li contract administration responsibilities change, the
COOT Resident En ineer, in eration with the Local A en Pro' ct Mana er, will r are and distribute a revised chedclist.
CDOT Form 1243 09106 Paga1 ot 4
Previous editlons aze obsolsro and may not be used
Exhibit E— Page 2 of 5
N0. I DESCRIPTION OF TASK
PARTY
LA CDOT
PROJECT DEVELOPMENT CIVIL RIGHTS AND LABOR COMPLIANCE
6.1 Set Underutilized Disadvantaged Business Enterprise (UBDE) Goals tor ConsuRant and x
This project ❑ is � is not exempt from Davis-Bacon requirements as determined by the
iundional class'rfication of the project location (Projeds located on local roads and rural
minor collectors may be exempt.)
04/25/2012
i File) Date
zero it total construction is less than $1 million (CDc
�Ensure the correct Federal Wage Decision, all required Disadvantaged Business I (
EnterpriselOn-the•Job Training special provisions and FHWA Form 1273 are induded in the
Contract (CDOT Residern Er�gineer) X
RTISE, BID AND AWARD
Obtain Aooroval for Advertisement Period oi Less Than Three Weeks X
Is Under
vneu� �.vvi rvini i i�- �ennwate �i n�aeu �nuaiuunceu voc raucq,7auun wuen �ne
bw bidder meets UDBE oals X
Evaluate CDOT Form 718 - Underutilized DBE Good Faith Effort Documentation and
determine if ihe Contractor has made a good faith effort when the low bidder dces not meet X
DBE aoals
X
• Construction staking
• Mnnumantatinn
is in CDOT Cor�shuction
Pavement
X
x
A rroTessiona� tngineer �rt� registerea in coioraao, wno Hnn tie °m respons�ie cnarge ot
consiruction supervisbn."
Steve Clark 303-739-7329
Local Agency Professional Engineer or Phone number X
CDOT Farm 1243 09106 Paga2 ot 4
Prevlous editlons are obsolete and may not be used
Exhibit E— Page 3 of 5
RESPONSIBLE
N0. DESCRIPTION OF TASK PARTY
LA CDOT
` Provide competem, e�erienced staff who will ensure the Contract work is constructed in
accordance with the lans and s citicatans X
Construction ins ction and documentation X
8.6 rove Sh Drawin s X
8.7 Pertorm Traffic Control Ins ctions X
8.8 Perform Construction Surve in X
8.9 Monument Ri ht-of-Wa X
8.10 Prepare and Approve Interim and Final Contractor Pay Estimates X
Provide the name and phone number of the person author¢ed for this task.
Steve Clark 303-739-7329
Local A enc Re resentative Phone number
8.11 Pre aze and rove Interim and Final Utilit and Railroad Biilin s X
8.12 Pre are Local A enc Reimbursement R uests X
8.13 Pr are and Authorize Chan e Orders X
8.14 rove All Chan e Orders X
8.15 Monitor Pro'ect Financial Status X
8.16 Pre are and Submit Month Pro ress Re rts X
8.17 Resolve Contractor Claims and Di utes X
8.18 Condud Routine and Random Project Reviews
Provide the name and phone number of the person responsible for this task. X
Matthew Pacheco 303-972-9112
CDOT Resident En ineer Phone number
MATERIALS
9.1 Conduct Materials Pre-Constructan Meetin X
9.2 Complete CDOT Form 250 - Materials Documentation Record
• Generate form, which includes determining the minimum number oi required tests and X
applicable material submittals for all materials placed on the project
• Updatetheform as work progresses X
• Com lete and distribute iorm after work is com leted X
9.3 Perform Pro'ect Acce tance Sam les and Tests X
9.4 Perform Laborato Verificatbn Tests X
9.5 Accept Manutactured Products X
Inspection of slructural components:
• Fabrication of structural steel and pre-stressed concrete structural components X
• Bridge modular expansion devices (0" to 6" or greater) X
• Fabrication of bearin devices X
9.6 rove Sources of Materials X
9J Independent Assurance Testing (IA'�, Local Agency Procedures CDOT Procedures
• Generate IAT schedule X
• Schedule and provide notitication X
• Conduct IAT X
9.8 Approve mix designs
• Concrete X
• Hot mix as haR X
9.9 Chedc Final Materials Documentatbn X
9.10 Com lete and Distrbute Final Materials Documentation X
CDOT Fam 1243 09/08 Page3 of 4
Prevlous editbns are obsolete and may not be used
Exhibit E— Page 4 of 5
cc: CDOT Resident Engineer/Project Manager
CDOT Region Program Engineer
CDOT Region EEO/Civil Rights Specialist
CDOT Region Materials Engineer
CDOT Contracts and Market Malysis Branch
Local Agency Project Manager
CDOT Fam 1243 09/06 Pagea of 4
Previaus edltlons are obsolero and may not be used
Exhibit E— Page 5 of 5
33. EXHIBIT F— CERTIFICATION FOR FEDERAL-AID CONTRACTS
The Local Agency certifies, by signing this Agreement, to the best of its knowledge and belief, that:
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 mod�cation of any Federal contract,
Agreement, loan, or cooperative agreement.
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, Agreement, 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 sub-recipients shall certify and disclose accordingly.
Required by 23 CFR 635.112
Exhibit F— Page 1 of 1
34. EXHIBIT G— DISADVANTAGED BUSINESS ENTERPRISE
SECTION 1. Poiicy
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 Obliqation.
The recipient or its the Local Agency 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 Proqram.
The Local Agency (sub-recipient) 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 and will be mailed to the Local Agency upon request:
Business Programs Office
Colorado Department of Transportation
4201 East Arkansas Avenue, Room 287
Denver, Colorado 80222-3400
Phone: (303) 757-9234
revised 1/22/98 Required by 49 CFR Part 23.41
Exhibit G- Page 1 of 1
35. EXHIBIT H— LOCAL AGENCY PROCEDURES FOR CONSULTANT SERVICES
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 172.1
states "The policies and procedures involve federally funded contracts for engineering and design
related services for projects subject to the provisions of 23 U.S.C. 112(a) and are issued to ensure
that a qualified consultant is obtained through an equitable selection process, that prescribed work
is properly accomplished in a timely manner, and at fair and reasonable cost" and according to 23
CFR 172.5 "Price shall not be used as a factor in the analysis and selection phase." Therefore, local
agencies must comply with these CFR requirements 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
CRS §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].
Because the procedures and laws described in the Procedural Directive and the guidebook are
quite lengthy, the subsequent steps serve as a short-hand guide to CDOT procedures that a local
agency must follow in obtaining professional consultant services. This guidance follows the format
of 23 CFR 172. The steps are:
1. The contracting local agency shall document the need for obtaining professional services.
2. Prior to solicitation for consultant services, the contracting local agency shall develop a
detailed scope of work and a list of evaluation factors and their relative importance. The
evaluation factors are those identified in C.R.S. 24-30-1403. Also, a detailed cost estimate
should be prepared for use during negotiations.
3. The contracting agency must advertise for contracts in conformity with the requirements of
C.R.S. 24-30-1405. The public notice period, when such notice is required, is a minimum of
15 days prior to the selection of the three most qualified firms and the advertising should be
done in one or more daily newspapers of general circulation.
4. The request for consultant services should include the scope of work, the evaluation factors
and their relative importance, the method of payment, and the goal of 10% for Disadvantaged
Business Enterprise (DBE) participation as a minimum for the project.
5. The analysis and selection of the consultants shall be done in accordance with CRS §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 Work,
c. Ability to furnish professional services.
d. Anticipated design concepts, and
e. Alternative methods of approach for furnishing the professional services.
Exhibit H- Page 1 of 2
Evaluation factors for final selection are the consultant's:
a. Abilities of their personnel,
b. Past performance,
c. Willingness to meet the time and budget requirement,
d. Location,
e. Current and projected work load,
f. Volume of previously awarded contracts, and
g. Involvement of minority consultants.
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 reimbursements 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 to 15 percent of the total direct and
indirect costs.
7. A qualified local agency employee shall be responsible and in charge of the Work 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 Work, 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 years from the date that the
local agency submits its final expenditure report. Records of projects under litigation shall be
kept at least three years after the case has been settled.
CRS §§24-30-1401 through 24-30-1408, 23 CFR Part 172, and P.D. 400.1, provide additional
details for complying with the preceeding eight (8) steps.
Exhibit H- Page 2 of 2
36. EXHIBIT I- FEDERAL-AID CONTRACT PROVISIONS
FHWA Form 1273
REQUIRED CONTRACT PROVISIONS
FEDERAL-AID CONSTRUCTION CONTRACTS
I. General 1
II. Nondiscrimination .................................................................................... 1
III. Norrsegregated Facilities ....................................................................... 3
IV.PaymeM of Predetermined Minimum Wage ........................................... 3
V.Stalements and Payrdls ......................................................................... 6
VI.Record of Materials, Supplies. and Labor ............................................... 6
VII. Subletting or Assigning ihe Contract .................................... 7
VIII. Safety: Accident PrevenGon ................................................. 7
IX.False Statements Concerning Highway Projeds .................................... 7
X.Implementation of Clean Air Act and Federal
Water Pollution Contrd Act ..................................................................... 8
XI.Certification Regarding Debarment, Suspension,
Ineligibility, and Voluntary Exdusion ....................................................... 8
XII. Certification Regarding Use of Contrad Funds for
Lobbying................................................................................................... 9
ATTACHMENTS
A. Employment Preference for Appalachian Contrads
(induded in Appalachian corrtracts only)
1. GENERAL
1. These coMrad provisions shall apply to all work performed on the
contract by the contradors own organization and with the assistance of
workers under the contrectors immediate superintendence and to all
work performed on the coMract by piecework, station work, or by
subcontract.
2. Except as Whervvise provided for in each section, the coniractor
shall insert in each subcontrad all of the stipulaGons contained in these
Required Contract Provisions, a�d further require their inGusion in any
lower tier subcoMract or purchase order that may in turn be made. The
Required Cor�trad Provisions shall not be incorporated by reference in
any case. The prime contraclor shall be responsible for compliance by
any subcontractor or lower tier subcontractor with these Required
Contract Provisions.
3. A breach of any of the stipulations contained in these Required
Contract Provisions shall be suffident grounds for terminffiion of the
contracl.
4. A breach of the following Gauses of the Required Contrad
Provisions may also be grounds for debarment as provided in 29 CFR
5.12:
Section I, paragraph 2;
Sedion 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 Gause of this
Agreement. Such disputes shall be resalved in accordance with the
procedures of the U.S. DepaRment of Labor (DOL) as set foAh in 29
CFR 5, 6, and 7. Disputes within the meaning of this Gause indude
disputes belween the contractor (or any of its subcornractors) and the
contracting agency, the DOL, or the contractors employees or their
representatives.
6. SelecUon of Labor: During the performance of this Agreement,
the contractor shall not:
a. discriminate against labor from any other State, possession, or
territory of the United States (except for employment preference for
Appalachian coMracts, when applicable, as specified in Attachment A),
or
b employ convid labor for any purpose within the limits oi the
project unless ft is labor performed by convicts who are on parole,
supervised release, or probation.
FHWA-1273 Eledronic version — March 10, 1994
(ApplicaWe to all Federal-aid construdion contrads and to all related
subcontracts of $10,000 or more.)
1. Equal EmploymeM Opportunity: Equal employmeM opportunity
(EEO) requirements not to discriminate and to take affirmative action to
assure equal oppoRunity 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 presc�bed
herein, and imposed pursuaM to 23 U.S.C. 140 shall constitute ihe EEO
and specific affirmative adion standards for the coMractors projed
aclivities under this Agreement. The Equal Opportunity Construction
Contract Specifications set forth under 41 CFR 60-4.3 and the
provisions of the American Disabilities Act oi 1990 (42 U.S.C. 12101 et
�.) set forth under 28 CFR 35 and 29 CFR 1630 are incorporated by
reference in this Agreement. in the execution of this Agreement, the
contraclor 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 Govemment in carrying out EEO obligations and in their
review of his/her activities under the contract.
b. The contractor will accept as his operating policy the following
stalement:
"It is the policy of this Company to assure that applicaMs are
employed, and that employees are treated during employment,
without regard to their race, religion, sex, cdor, national origin, age
or disability. Such adion shall inGude: employment, upgrading,
demotion, or trensFer, recruitment or recruitment advertising; IayoH
or termination; rates of pay or other forms of compensation; and
selection for training, inGuding apprenticeship, pre-apprenticeship,
and/or on-the-job training"
2. EEO Officer: The contractor will designate and make known to the
SHA contracting �cers an EEO Officer who will have the responsibilky
for and must be capable of eifectively 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 contradors staff
who are authorized to hire, supervise, promote, and discharge
employees, or who recommend such action, or who are substantially
involved in such adion, will be made fully cognizant of, and will
implement, the contractors EEO policy and contradual responsibilities
to provide EEO in each grade and dassification 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 oKce
employees will be conducted before the start of work and then not less
often than once every six months, at which time the contradots EEO
policy and ks implementation will be reviewed and explained. The
meetings will be conduded 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 contractors EEO obligations within thirty days following
their reporting for duty with the contractor.
c. All personnel who are engaged in dired reuuitment for the
project will be instruded by the EEO Officer in the contractors
pracedures for locating and hiring minority group employees.
d. No6ces and posters setting forth the contradors EEO policy
will be placed in areas readily accessible to employees, applicants for
employment and potential employees.
e. The contradors EEO policy and the procedures to implemeM
such policy will be brought to the attention of employees by means of
meetings, employee handbooks, or other appropriate means.
II. NONDISCRIMINATION 4. Recruitrnent: When adveRising for employees, the contractor will
indude in all advertisements for employees the notation: "An Equal
Exhibit I- Page 1 of 8 REQUIRED BY 23 CFR 633.102 —
OppoAunity Employer." All such adveRisements will be placed in
publications having a large dreulation among minority groups in the area
from which the projed work force would normally be derived.
a. The contrector will, unless preGuded by a valid bargaining
agreemeM, conduct systematic and direct recruRment through public
and private employee retertal sources likely to yield qualified minority
group applicants. To meet this requirement, the contreclor will identify
sources of potential minority group employees, and establish with such
identified sources procedures whereby minority group applicants may be
referred to the contrador for employment consideration.
b. In the event the contractor has a valid bargaining agreement
providing for exdusive hiring hall referrals, he is expected to observe the
provisions of that agreement to the exteM that the system permks the
contractors compliance with EEO contract provisions. (The DOL has
held that where implemeMations of such agreements have the effed of
discriminating against minorities or women, or obligates ihe contrador to
do lhe same, such implementation violates Execulive Order 11246, as
amended.)
c. The contreGor will enwurage 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 adions of
every type, induding hiring, upgrading, promotion, transfer, demotion,
layoff, and termination, shall be taken without regard to race, color,
religion, sex, nalional origin, age or disability. The following procedures
shall be fdlowed:
a. The contrador will conduct periodic inspections of project sites
to insure that working conditio�s 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 Gassification to determine any evidence of
discriminatory wage practices.
c. The contrador will periodically review seleded personnel
actions in depth to determine whether there is evidence of discrimi-
nation. Where evidence is found, the contractor will promptly take
corredive action. If the review indicates that the discrimination may
exlend beyond the adions reviewed, such corredive action shall indude
all aifected persons.
d. The contrador will promptly investigate all complaints of alleged
discrimination made to the coMractor in connedion with his obligations
under this Agreement, will atlempt to resolve such complaints, a�d will
take appropriate carzedive action within a. reasonable time. If the
investigation indicates that the discrimination may affect persons other
than the complainant, such corrective action shall inGude such other
persons. Upon completion of each investigation, the contractor will
inform every complainant of all of his avenues of appeal.
6. Training and PromoUon:
a. The contrador will assist in locating, qualifying, and inueasing
the skills of minority group and women employees, and applicants for
employment.
b. Consistent with the contractors work torce requiremeMs and
as permissible under Federal and State regulations, the contractor shall
make full use of treining programs, i.e., apprenticeship, and on-the-job
training programs for the geographical area of contract pertortnance.
Where feasiWe, 25 percent of apprentices or trainees in each occupation
shall be in their first year of apprenticeship or training. In the event a
speaal provision for training is provided under this Agreement, this
subparagraph will be superseded as indicated in the special provision.
c. The contrador will advise employees and applicants for
employment of availaWe training programs and entrance requirements
for each.
d. The contractor will periodically review the training and
promoGo� poteMial 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 contrador 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. Adions by ihe contractor
either directly or through a contractor's association ading as agent will
include the procedures set forth below:
a. The contrector will use best efforts to develop, in cooperation
with the unions, jant training progrems aimed toward qualifying more
minority group members and women for membership in the unions and
increasing the skills of minority group employees and women so that
they may qualify for higher paying employment.
b. The contractor will use best efforts to incorporate an EEO
dause into each union agreemeM to the end that such union will be
co�tractually bound to refer applicants without regard to their race, color,
religion, sex, national origin, age or disability.
c. The contrador is to obtain information as to the referral
practices and poliaes of the labor union except that to the exterrt such
information is within the exdusive possession of the labor union and
such labor union refuses to fumish such information to the coMrador,
the contrador shall so certify to the SHA and shall set foAh what efforts
have been made to obtain such information.
d. In the event the union is unade to provide the contrador with a
reasonable flow of minority and women referrels within the time limit set
forth in the cdlective bargaining agreement, the contrador will, through
independent recruitment efforts, fill the employment vacanaes withoul
regard to race, color, religion, sex, national origin, age or disability;
making full efforts to obtai� qual'died and/or qualifiable minority group
persons and women. (The DOL has held that it shall be no excuse that
the union with which the coMractor has a collective bargaining
agreement providing for exclusive refercal failed to refer minority
employees.) In the event the union referral pradice prevents the
contractor from meeting the obligations pursuant to Executive Order
11246, as ame�ded, and these spedal provisions, such contractor shall
immediately notify the SHA.
e. Selectlon of SubconUactors, PrceuremeM of Materials and
Leasing of Equipment The contrador shall not discriminate on the
grounds of race, color, religion, sex, national origin, age or disability in
the selection and reteMion of subcontractors, induding procurement of
materials and leases oi equipment.
a. The contrador shall notify all potential subcontractors and
suppliers of hislher EEO obligations under this AgreemeM.
b. Disadvantaged business enterprises (DBE), as defined in 49
CFR 23, shall have equal opportunity to compete tor and perfortn
subcontrects which the contractor enters iMo pursuant to this
Agreement. The contractor will use his best etforts to sdicit 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 contrador will use his best efforts to ensure subcontractor
compliance with their EEO obligations.
9. Records and Reports: The cornrector 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 contrect work and shall be available at reaso�able times and
places for inspection by authorized representatives oi the SHA and the
FHWA.
a. The records kept by the contrador shall document the
following:
(1) The number oi minority and non-minority group members
and women employed in each work dassification on the projed;
(2) The progress and efforts being made in cooperation with
unions, when applicable, to increase employment opportunities for
minorities and women;
(3) The progress and eHorts being made in locating, hiring,
training, qualifying, and upgrading minority and female employees; and
(4) The progress and etforts being made in securing the
services of DBE subcontradors or subcontractors with meaningful
minority and female representaGon 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 dassification required by the contract work. This infortnation is to
Exhibit I- Page 2 of 8
REQUIRED BY 23 CFR 633.102 -
be reported on Form FHWA-1391. If on-the job training is being required
by spadal provision, the contrador will be required to collect and report
training data.
III. NONSEGREGATED FACIUTIES
(Applicable to all Federal-aid construction contrads and to all related
subcontracts of $10,000 or more.)
a. By submission of this bid, the execution of this Agreement or
subcontract, or the consummffiion of this material supply agreement or
purchase order, as appropriate, the bidder, Federal-aid construdion
coMractor, subcontractor, material supplier, or vendor, as appropriate,
certifies that the firtn dces not maiMain or provide for its employees any
segregated facilities at any of its establishments, and that the firm does
not permit its employees to perfortn their services at any location, under
its control, where segregated facilities are maintained. The firm agrees
that a breach of this certification is a vidation of the EEO provisions M
this Agreement. The firm further certifies that no employee will be denied
access to adequate facilities on the basis oi sex or disability.
b. As used in this certification, the term "segregated fadlities"
means any waiting rooms, work areas, restrooms and washrooms,
restaurants and other eating areas, timedocks, Ixker 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 othervvise. The only
exception will be for the disabled when the demands for accessibility
override (e.g. disaWed parking).
c. The contrador agrees that it has obtained or will obtain identical
certification from proposed subcontractors or material suppliers prior to
award of subcoMracts or consummation of material supply agreements
of $10,000 or more and that it will retain such ceAifications in its files.
IV. PAYMENT OF PREDETERMINED MINIMUM WAGE
(Applicable to all Federal-aid construdion corrtrads exceeding
$2,000 and to all related subcordracts, except for projects located on
roadways dassified 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 oRen than once a
week and without subsequent deducGon or rebate on any account
jexcept such payrdl dedudions as are permitted by regulations (29 CFR
3) issued by the Secretary of Labor under the Copeland Ad (40 U.S.C.
276c)] the full amounts of wages and bona fide Tringe ben�ts (or cash
equivalents thereof) due at Gme of payment. The payme�t shall be
computed at wage rates not less than those contained in the wage
determination of the Secretary of Labor (hereinafler'Yhe wage determi-
nation") which is attached hereto and made a part hereof, regardless of
any contractual relalionship which may be alleged to epst between the
contrador or its subcontractors and such laborers and mechanics. The
wage determi�ation (induding any additional dassifications and wage
rates conformed under paragraph 2 of this Sedion IV and the DOL
poster (WH-1321) or Form FHWA-1495) shall be posted at all times by
the contrector and Rs 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, coniributions made or costs
reasonaWy aMiapaled for bona fide fringe benefits under Section 1(b)(2)
of the Davis-Bxon Ad (40 U.S.C. 276a) on behalf of laborers or
mechanics are considered wages paid to such laborers or mechanics,
subject to the provisions of Seclion IV, paragraph 3b, hereoi. 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 benefrts on the wage determi�ation for the dassification
of work actually peAormed, without regard to skill, except as provided in
paragraphs 4 and 5 oi this Sedion IV.
b. Laborers or mechanics performing work in more than one
dassification may be compensated at the rate specified for each
dassification for the time actually worked therein, provided, that the
employers payroll records accurately set forth the time speM in each
dassification in which work is pertormed.
c. All rulings and interpretations of the DavisBacon Ad and
related ads contained i� 29 CFR 1, 3, and 5 are herein incorporaled by
reference in this Agreement.
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 dassified in conformance with the
wage determination.
b. The contracting officer shall approve an add'Rional
dassification, wage rete and fringe benefits only when the following
criteria have been met:
(1) the work to be performed by the addi6onal Gassfication
requested is not performed by a dassification in the wage detertninalion;
(2) the additional dassification is ulilized in the area by the
construclion industry;
(3) the proposed wage rate, induding any bona fide fringe
benefds, bears a reasonable relationship to the wage rates contained in
the wage determination; and
(4) with resped to helpers, when such a classification
prevails in the area in which the work is performed.
c. If the contrador or subcontractors, as appropriate, the laborers
and mechanics (ii known) to be employed in the add'Rional classification
or their representatives, and the contrading officer agree on the
dassfication and wage rate (induding the amount designated for fringe
benefits where appropriate), a report of the action taken shall be sent by
the wntracting officer to the DOL, Administretw oi the Wage and Hour
Division, Employme�t Standards Administration, Washington, D.C.
20210. The Wage and Hour Administrator, or an aulhorized representa
tive, will approve, modify, or disapprove every additional dassification
action within 30 days of receipt and so advise the coMrading officer or
will notify the corrtracting oificer within the 30-day period that additional
time is necessary.
d. In the event the contrador or subcontractors, as appropriate,
the laborers or mechanics to be employed in the addkional dassification
or their representatives, and the contracting oificer do not agree on the
proposed Gassificatio� and wage rate (induding the amount designated
for fringe benefds, where appropriate), the contracting oificer shall refer
the queslions, induding the views of all interested parties and the
recommendation o( the contrecting officer, to the Wage and Hour
Administrator for detertnination. Said Administrator, or an authorized
representative, will issue a determination within 30 days of raceipt and
so advise the contrading oificer or will notHy the cornracting officer
within the 30-day period that additional time is necessary
e. The wage rate (induding (ringe benefits where appropriate)
determined pursuaM to paregraph 2c or 2d oi 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 dassification.
3. Payment of Fringe Benefits:
a. Whenever the minimum wage rate prescribed in the contract
for a dass of laborers or mechanics includes a fri�ge benefd which is not
expressed as an houAy rate, the contrador or subcontractors, as
appropriate, shall either pay the benefR as stated in ihe wage
determination or shall pay another bona fide fringe benefit or an hourly
case equivalerrt thereof.
b. If the contredor or subcontractor, as appropriate, does not
make payments to a trustea 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 antidpated in providing bona fide fringe benefits under
a plan or progrem, provided, that the Secretary oi Labor has found, upon
the wririen request ot the coMractor, that the applicable standards of the
Davis-Bacon Act have been met. The Secretary oi Labor may require
the coMractor to set aside in a separate accouM assets for the meeting
of obligffiions under the plan or program.
4. Apprentices and Trainees (Programs of the U.S. DOL) and
Helpers:
a. Apprernices:
(1) AppreMices will be permitted to work at less than the
predetermined rate for the work they performed when they are employed
Exhibit I- Page 3 of 8 REQUIRED BY 23 CFR 633.102 —
pursuant to and individually registered in a bona fide apprenticeship
program registered with the DOL, Employment and Training
Administretion, Bureau of Apprenticeship and Training, or with a State
apprenticeship agency recognized by the Bureau, or if a person is
employed in hislFier first 90 days of probatio�ary employmeM as an
apprenGce in such an apprenticeship program, who is not individually
registered in the program, but who has baen certified by the Bureau of
Apprenticeship and Training or a State apprenticeship agency (where
appropriate) to be eligible for probationary employment as an
appreMice.
(2) The allowable ratio of apprentices to journeyman-level
employees on the job site in any craft dassification 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 payrdl at an
apprentice wage rate, who is not registered or othervvise employed as
stated above, shall be paid not less than the applicable wage rate listed
in the wage determination for the dassification of work adually
peAormed. In addition, any appren6ce pertorming 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 adually performed. Where a contrector or subcontrador is
performing construdion on a project in a locality other than that in which
its program is registered, the ratios and wage rates (expressed in
percentages oi the journeyman-level hourly rate) spedfied in the
contrador'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 appren6ce's level of progress,
expressed as a percentage oi the journeyman-level hourly rate spacified
in the applicable wage determination. Apprentices shall be paid fringe
ben�ts in accordance with the provisions of the appreMiceship
program. If the apprenticeship program dces not spedfy iringe benefds,
apprentices must be paid the full amount of fringe benefits listed on the
wage determination for the applicable dassification. If the Administrator
for the Wage and Hour Division determines that a different practice
prevails for the applicade apprerrtice dassification, fringes shall be paid
in accordance with that determination.
(4) In the event the Bureau of Apprenticeship and Training,
or a State apprenticeship agency recognized by the Bureau, withdraws
approval of an apprenticeship program, the contractor or subcoMrador
will no longer be permitted to utilize apprentices at less than the
applicable predetermined rete for the comparable work perfortned by
regular employees unGl an acceptable progrem is approved.
b. Trainees:
(1) Excepl as provided in 29 CFR 5.16, trainees will not be
permitted to work at less than the predetermined rate for the work
performed unless they are employed pursuant to and individually
regislered in a program which has received prior approval, evidenced by
formal certification by the DOL, Employment and Treining
Administretion.
(2) The ratio of trainees to joumeyman-level employees on
the job site shall not be greater than pertnitted under the plan approved
by the Employment and Training Administration. Any employee listed on
the payroll at a trainee rate who is not registered and partidpating in a
training plan approved by the Employment and Training Administration
shall be paid not less than the applicable wage rate on the wage
determination for the dassification of work actually pertormed. In
addition, any trainee performing work on ihe 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 treinee must be paid at not less than the rate
specified in the approved program for hislher level of progress,
expressed as a percentage oi 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 (ringe ben�ts, trainees shall be paid
the full amount of fringe benefits listed on the wage determination unless
the Administrator oi the Wage and Hour Division determines that there is
an apprenticeship program assodated with the corresponding
journeyman-level wage rate on the wage determination which provides
for less than full fringe benefits for apprentices, in which case such
trainees shall receive the same fringe benefits as apprentices.
(4) In the event the Employment and Training Administration
withdrews approval oF a training progrem, the contrador or
subcontractor will no longer be permitted to utilize trainees at less than
the applicable predetermined rate for the work performed uMil an
acceptable program is approved.
c. Helpers:
Helpers will be permitted to work on a project if the helper
dassification is spec�ed and d�ned on the applicable wage determina-
tion or is approved pursuant to the coniormance procedure set foAh in
Section IV.2. Any worker listed on a payrdl at a helper wage rate, who is
not a helper under a approved definition, shall be paid not less than the
applicable wage rate on the wage determination for the Gassification of
work adually performed.
5. ApprenUces and Trainees (Prognms 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 streight time hourly wage rates for
apprentices and trainees under such programs will be established by the
particular progrems. The ratio of apprenGces and trainees to joumeymen
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 oi an
authorized representative of the DOL withhold, or cause to be withheld,
from the contractor or subcontractor under this Agreement or any other
Federal contract with the same prime contrador, or any other Federally-
assisted contract subjed to Davis-Bacon prevailing wage requiremeMs
which is held by the same prime contrador, as much of the accrued
payments or advances as may be considered necessary to pay laborers
and mechanics, induding appreMices, trainees, and helpers, employed
by the contraclor or any subcontrector the full amount oi wages required
by the contrect. In the event of failure to pay any laborer or mechanic,
including any apprentice, trainee, or helper, employed or working on the
site of the work, all or part oi the wages required by the contrad, the
SHA contreding officer may, after written notice to the contractor, take
such action as may be necessary to cause the suspension of any fuAher
payment, advance, or guarantee of funds until such vidations have
ceased.
7. Overfime Requirements:
No contrador or subcoMractor contracting for any part of the
contract work which may require or invdve the employment o( laborers,
mechanics, watchmen, or guards (inGuding apprentices, trainees, and
helpers described in paragraphs 4 and 5 above) shall require or pertnR
any laborer, mechanic, watchman, or guard in any workweek in which
he/she is employed on such work, to work in excess oi 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.
8. Violation:
Liability for Unpaid Wages; Liquidated Damages: In the event of any
violation of the dause set forth in paragraph 7 above, the contrador and
any subcontractor responsible thereof shall be liable to the affected
employee for his/her unpaid wages. In add'Rion, such contrador and
subcontractor shall be liable to the United States (in the case of work
done under contract for the Distrid of Columbia or a territory, to such
District or to such territory) for liquidated damages. Such liquidated
damages shall be computed with resped to each individual laborer,
mechanic, watchman, or guard employed in vidation of the dause 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 wcek of 40 hours without payment of the overtime wages
required by the Gause set torth in paragreph 7.
9. Withholding for Unpaid Wages and Liquidated Damages:
The SHA shall upon its own action or upon written request of any
authorized representative oi the DOL withhold, or cause to be withheld,
from any monies payable on account of work performed by the
contractor or subcontrador under any such contrect or any other
Federal contract with the same prime contrador, or any other Federally-
assisted contrad subjed 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 safisfy any liabilities of such
contractor or subcontractor for unpaid wages and liquidated damages as
provided in the dause set forth in paragraph 8 above.
Exhibit I- Page 4 of 8
REQUIRED BY 23 CFR 633.102 —
V. STATEMENTS AND PAYROLLS
(Applicable to all Federal-aid construdion contrads exceeding $2,000
and to �I related subcontrads, except for projects located on roadways
dass�ed as local roads or rurel cdlectors, which are exempt.)
1. Compliance with Copeland Regulations (29 CFR 3):
The contractor shall comply with the Copeland Regulations of the
Secretary of Labor which are herein incorporated by reference.
2. Payrolls and Payroll Records:
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 oi 3 years from the date of
completion of the contrad for all laborers, mechanics, appreMices,
trainees, watchmen, helpers, and guards working at the site of the work.
b. The payroll records shall wntain the name, social security
number, and address of each such employee; his or her correet
dassiTication; hourly rates of wages paid (inGuding rates of contributions
or costs anticipated for bona fide fringe benefits or cash equivalent
thereof the types described in Sedion 1(b)(2)(B) of ihe Davis Bacon
Act); daily and weekly number of hours worked; deductions made; and
actual wages paid. In addition, for Appalachian contrads, the payroll
records shall contain a notation indicating whether the employee does,
or dces not, normally reside in the labor area as d�ned 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
inGude the amou�t of any costs reasonably antiapated in providing
ben�ts under a plan or progrem described in Section 1(b)(2)(B) of the
Davis Bacon Ad, the coMractor and each subcontractor shall maintain
records which show that the commitment to provide such benefds is
enforceable, that the plan or program is finandaliy responsible, that the
plan or program has been communicated in writing to the laborers or
mechanics affected, and show the cost antidpated or the actual cost
incurred in providing benefits. CoMractors or subcontradors employing
apprentices or trainees under approved programs shall maintain written
evidenee of the registration of apprentices and trainees, and rffiios and
wage rates prescribed in the applicable progrems.
c. Each contrador and subcontrador shall fumish, each week in
which any contract work is peAormed, to the SHA resident engineer a
payroll of wages paid each oi its employees (including apprentices,
trainees, and helpers, described in Sedion IV, paragraphs 4 and 5, and
watchmen and guards engaged on work during the preceding weekly
payroll period). The payroll submiried 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 irom the Superintendent of Documents (Federal
stock number 029-OOS0014-1), U.S. Government Printing Office,
Washington, D.C. 20402. The prime contractor is responsible for the
submission of copies of payrolls by all subcontractors.
d. Each payroll submitted shall be accompanied by a"Statement
of Compliance" signed by the contractor or subcontrador or his/her
agent who pays or supervises the payment of the persons employed
under the contract and shall certify the fdlowing:
(1) that the payroll for the payroll period w�tains the
information required to be maintained under paragraph 2b of this
Section V and that such iMormation is correct and complete;
(2) ihat such laborer or mechanic (inGuding each helper,
apprentice, and trainee) employed on the contract during the payroll
period has been paid the full weekly wages earned, without rebate,
either diredly or indirectly, and that no deductions have been made
either directly or indiredly from the full wages earned, other than
permissible dedudions as set forth in the Regulations, 29 CFR 3;
(3) that each laborer or mechanic has been paid not less that
the applicable wage rate and fringe benefits or cash equivalent for the
dassificatian of worked performed, as specified in the applicable wage
detertnination incorporeted into the contrect.
e. The weekly submission of a propeAy executed certification set
foAh on the reverse side of Optional Form WH-347 shall satisry the
requirement for submission of the "Statement of Compliance" required
by paragraph 2d of this Sedion V.
i. The falsification of any o( the above certifications may subject
the contrector to avil or criminal prosecution under 18 U.S.C. 1001 and
31 U.S.C. 237.
g. The contractor or subcontractor shall make the records
required under paragraph 2b of this Sedion V available for inspection,
copying, or transcription by authorized representatives of the SHA, the
FHWA, or the DOL, and shall pertnit such represeMatives to interview
employees during working hours on the job. If the contrector 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. FuAhermore, failure to submit the required
records upon request or to make such records available may be grounds
for debarment adion pursuant to 29 CFR 5.12.
VI. RECORD OF MATERIALS, SUPPLIES, AND LABOR
1. On all Federel-aid contracts on the National Highway System,
except those which provide solely for the installation of protective
devices at railroad grede crossings, those which are constructed on a
force account or direct labor basis, highway beaut�cation contracts, and
contracts for which the total final construdion 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 Mate�als and
Labor Used by Contrador of Highway Construdion Involving Federal
Funds," prior to the commencement of work under this Agreement.
b. Maintain a recard 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 unks shown on Form FHWA-47.
c. Fumish, upon the completion of the contract, to the SHA
resident engineer on Fortn FHWA-47 together with the data required in
paragraph 1 b relative to materials and supplies, a final labor summary of
all contract work indicating the total hours worked and the total amount
earned.
2. At the prime coMractor's option, either a single report covering all
contract work or separate reports for the contrador and for each
subcontract shall be submitted.
VII. SUBLETTiNG OR ASSIGNING THE CONTRACT
1. The contrador shall perform with Rs own organization wntrad
work amounting to not less than 30 percent (or a greater perceMage if
spacified elsewhere in the corrtrect) oi the total original contrad price,
exduding any specialty items designated by the State. Specialty items
may be pe�formed by subcorrtract and the amount of any such spedalty
items peAormed may be deducted irom the total original contrad price
before computing the amount oi work required to be performed by the
coMractors own organization (23 CFR 635).
a. "Its own organization" shall be construed to indude only
workers employed and paid diredly by the prime contractor and
equipment owned or rented by the prime contractor, with or without
operators. Such term does not inGude employees or equipmeM of a
subcontractor, assignee, or agent of the prime wrrtractor.
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
expeded to bid on the contrad as a whole and in generel 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 wmputed ineludes the cost of material and
manufactured products which are to be purchased or produced by the
contractor under the contrad provisions.
3. The contractor shall fumish (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 oi all construction operations (regardless of who
performs the work) and (b) such olher of its own organization�
resources (supervision, management, and engineering services) as the
SHA contracting officer determines is necessary to assure the
pertormance of the contrad.
4. No poAion of the contrad shall be suWet, assigned or othervvise
Exhibit I- Page 5 of 8 REQUIRED BY 23 CFR 633.102 —
disposed of except with the wririen consent of the SHA contracting
officer, or authorized representative, and such consent when given shall
not be construed to relieve the coMractor of any responsibility for ihe
fulfillmeni of the contrad. Written consent will be given only after the
SHA has assured that each subcontract is evidenced in writing and that
it corrtains all peAinent provisions and requirements of the prime
contract.
VIII. SAFETY: ACCIDENT PREVENTION
1. In the performance of this Agreemerrt the contredor shall comply
wilh all applicable Federal, State, and local laws goveming safety,
health, and sanitation (23 CFR 635). The contractor shall provide all
safeguards, safety devices and protective equipment and take any other
needed actions as it determines, or as the SHA contrading officer may
determine, to be reasonaWy necessary to prMed the life and health of
employees on the job and the safety of the public and to protect property
in connedion with the performance of the work covered by the contrad.
2. It is a condition of this Agreement, and shall be made a condition of
each subcontrect, which the corrtractor enters into pursuant to this
Agreement, that the coMrador and any subcoMractor 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 construdion safety and
health standards (29 CFR 1926) promulgated by the Secretary of Labor,
in accordance with Section 107 of the Co�trad Work Hours and Safety
Standards Ad (40 U.S.C. 333).
3. PursuaM to 29 CFR 1926.3, it is a condition of this Agreement that
the Secretary of Labor or authorized representative thereo(, shall have
right of entry to any site of contract performance to inspect or investigate
the marier of compliance with the wnstruction safety and health
standards and to carry out the duties of the Secretary under Sedion 107
of the CoMract Work Hours and Safety Standards Ad (40 U.S.C. 333).
IX. FALSE STATEMENTS CONCERNING HIGHWAY PROJECTS
In order to assure high qualky and durable construction in conformity
Hrith approved plans and specifications and a high degree of reliability on
statements and represeMations made by engineers, contrectors, suppli-
ers, and workers on Federal-aid highway projeds, it is essential that all
persons concemed with the project pe�form their functio�s as carefully,
thoroughly, and honestly as possible. WilKul falsification, distoAion, or
misrepresentation with resped to any facts related to the project is a
violation of Federal law. To prevent any misunderstanding regarding the
seriousness of these and similar ads, the fdlowing 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 concemed with
the project:
NOTICE TO ALL PERSONNEL ENGAGED ON FEDERAL-AID
HIGHWAY PROJECTS
18 U.S.C. 1020 reads as follows:
"Whcever, being an of(icer, agent, or employee of the United States,
or of any State or Tenitory, or whoever, whether a person, association,
flrtn, or corporetion, knowingly makes any false statement, false
�epresentation, or lalse report as fo the character, quality, quantiry, or
cost o/ the material used or fo 6e used, or the quanfity or quality of the
work periormed or to be performed, or the cast thereo/ in connection
with the subrrtission o/plans, maps, specificaUons, contracts, or costs o/
construction on any highway or related project submifted /or approval to
the Secretary o/ Transportation; or
Whcever knowingly makes any false statement false iepresenta6on,
false report or /alse daim with respecf to the character, quality, quantity,
or cost of any work pedortned or to be per/ormed, or materials /umished
or to 6e fumished, in connection with the conshuction of any highway or
related project approved by the Secretary o/ TranspoRation; or
Whoever knowingly makes any /alse statement or /alse
representation as to material fact in any statement, ce�tificate, or report
submitted pursuant to provisions o/ the Federal-aid Roads Act approved
July 1, 1916, (39 Stat. 355), as amended and supplemented;
Shall be fined not more that $10,000 orimprisoned not more fhan 5
years or both. "
X. IMPLEMENTATION OF CLEAN AIR ACT AND FEDERAL
WATER POLLUTION CONTROL ACT
(ApplicaWe to all Federal-aid construction contrads and to all related
subcontrects of 3100,000 or more.)
By submission of this bid or the execution oi this Agreement, or
subcontract, as appropriate, the bidder, Federal-aid construdion
contractor, or subcontrador, as appropriate, will be deemed to have
stipulated as follows:
1. That any facility that is or will be utilized in the perfortnance of this
Agreement, unless such contract is exempt under the Clean Air Ad, as
amended (42 U.S.C. 1857 et se�C ., as amended by Pub.L. 91-604), and
under the Federal Water Pollution Cor�trol Ad, as amended (33 U.S.C.
1251 et �., as amended by Pub.L. 92-500), Executive Order 11738,
and regulations in implemeMation theraof (40 CFR 15) is not listed, on
the date of contract award, on the U.S. Environmental Protection
Agency (EPA) List of Vidating Facilities pursuaM to 40 CFR 15.20.
2. That the firm agrees to comply and remain in compliance with all the
requirements oi Sedion 114 of the Clean Air Ad and Sedion 308 of the
Federal Water Pollution Control Ad and all regulations and guidelines
listed thereunder.
3. That the firm shall promptly notify the SHA of the receipt of any
communication from the Diredor, Office of Federal Activities, EPA,
indicating that a faality that is or will be utilized for the contrect is under
consideration to be listed on the EPA List of Violating Facilities.
4. That the firm agrees to inGude or cause to be inGuded the
requirements of paragraph 1 through 4 of this Sedion X in every
nonexempt subcontract, and further agrees to take such action as the
govemment may direct as a means of enforcing such requirements.
XI. CERTIFICATION REGARDING DEBARMENT, SUSPENSION,
INEUGIBILITY AND VOLUNTARY EXCLUStON
1. InsVuctions for Certiflcatlon - Primary Covered Transactions:
(Applicable to all Federal-aid contrads - 49 CFR 29)
a. By signing and submitting this proposal, the prospective
primary partidpant is providing the cerlification set oul below.
b. The inability of a person to provide the certification set out
below will not necessarily resuR in denial of paRidpation in this covered
transaction. The prospective participarrt shall submit an explanation of
why it cannot provide the cert�cation set out below. The cert�cation or
explanation will be considered in connection with the department or
agencys detertnination whether to enter into this transaction. However,
failure of the prospedive primary partiapant to fumish a certification or
an explanation shall disqualify such a person from partidpation in this
transaction.
c. The ceRification in this dause is a material representation of
fact upon which reliance was placed when the department or agency
determined to enter ir�to this transadion. If it is later determined that the
prospective primary participant knowingly rendered an erroneous
certification, in addiGon to other remedies available to the Federel
GovemmeM, the department or agency may terminate this transadion
for cause of defauR.
d. The prospective primary partidpant shall provide immediate
written notice to the department or agency to whom this proposal is
submiried if any time the prospedive primary participant learns that Ks
certification was erroneous when submitted or has become erroneous
by reason oi changed dreumstances.
e. The terms "covered transaction;' "debarred " "suspended;'
"ineligible," "lower tier covered transaction;' "partiapant" "person;'
"primary covered transadion;' "prinapal;' "proposal," and "vduntarily
excluded;' as used in this Gause, have the meanings set out in the
D�nitions 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 partiapant agrees by submitting this
proposal that, should the proposed covered transaction be entered into,
it shall not knowingly enter into any lower tier covered transaction with a
person who is debarred, suspended, dedared ineligible, or vduntarily
exduded from partiapation in this covered trensadion, unless
authorized by the department or agency entering into this transadion.
g. The prospective primary participant further agrees by
submitting this proposal that it will indude the dause titled "CeAifica6on
Regarding Debarment, Suspension, Ineligibility and Vduntary Exdusion-
Lower Tier Covered Transadion;' provided by the department or agency
Exhibit I- Page 6 of 8
REQUIRED BY 23 CFR 633.102 —
entering into this covered trensaclion, without modification, in all lower
tier covered transactions and in all solidtations for lower tier covered
transactions.
h. A partidpaM in a covered transadion may rely upon a
ceA�cation of a prospedive participant in a lower tier covered
transaction that is not debarred, suspended, ineligible, or voluntarily
exduded from the covered transaction, unless it knows that the
certification is erroneous. A partiapant may decide the method and
frequency by which it determines the eligibility oi ks prindpals. Each
participant may, but is not required to, check the non-procurement
portion of the "Lists of Parties Exduded From Federal Procurement or
Non-procurement Programs" (Non-procurement List) which is compiled
by the General Services Administration.
I. Nothing contained in the foregang shall be construed to require
establishment of a system of records in order to render in good faith the
certification required by this dause. The knowledge and iniormation of
paAidpant is not required to exceed that which is normally possessed by
a prudent person in the ordinary course of business dealings.
j. Except for trensactions authorized under paragraph f of these
instrudions, if a partidparK in a covered transadion knowingly erners
into a lower tier covered transaction with a person who is suspended,
debarred, ineligible, or voluntarily exduded from partidpffiion in this
transaction, in addition to other remedies available to the Federal
GovernmeM, the department or agency may tertninate this transadion
for cause or default.
�
Certification Regarding Debartnent, Suspension, Ineligibility and
Voluntary Ezclusion--Primary Covered Transactions
1. The prospedive primary participant certifies to ihe best of its
knowledge and belief, that it and its principals:
a. Are not presently debarced, suspended, proposed for
debarment, dedared ineligible, or voluntarily exGuded 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 dvil judgment 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)
tre�saction or contrad under a public transaction; violation of Federal or
Stffie antitrust statutes or commission of embezzlement, theft, forgery,
bribery, falsification or destruction of records, making false statements,
or receiving stden property;
c. Are not presenUy indicted for or othervuise criminally or civilly
charged by a governmental eMity (Federal, State or local) with
commission of any of the offenses enumereted in paragreph 1b of this
certification; and
d. Have not within a 3-year period preceding this
applicatioNproposal had one or more public transadions (Federal, State
or local) terminated for cause or defauft.
2. Where the prospective primary paAiapani is unable to certify to
any of the statements in this certification, such prospective participant
shall attach an explanation to this proposal.
2. Instructlons for CertiflcaUon - Lower Tier Covered Transac-
dons:
(Applicable to all subcontracts, purchase orders and other lower tier
transactions of $25,000 or more - 49 CFR 29)
a. By signing and submitting this proposal, the prospeclive lower
tier is providing the certification set out below.
b. The cert�cation in this Gause is a material representation of
fact upon which reliance was placed when this transaction was eMered
into. If k is later determined that the prospective lower tier partidparrt
knowingly rendered an erroneous certification, in addition to other
remedies available to the Federal Govemment, the department, or
agency wRh which this transaction o�ginated may pursue available
remedies, inGuding suspension and/or debarment.
c. The prospective lower Ger participaM shall provide immediate
written notice to the person to which this proposal is submitted H at any
time the prospective lower tier participant learns that its certification was
erroneous by reason of changad circumstances.
d. The terms "covered transaction," "debarred;' "suspended,"
"ineligible," "primary wvered transaction;' "partidpant," "person,"
"prinapal," "proposal;' and "voluMarily exduded;' as used in this dause,
have the meanings set out in the Definitions and Coverage sections of
rules implementing Executive Order 12549. You may contad the person
to which this proposal is submitted for assistance in obtaining a copy of
those regulations.
e. The prospective lower tier paAidpant agrees by submitting this
proposal that, should the proposed wvered transaGion be entered into,
it shall not knowingly enter into any lower tier covered transaction with a
person who is debarred, suspended, dedared ineligiWe, or voluntarily
exduded from partidpation 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 indude this Gause titled "Certification
Regarding Debarment, Suspension, Ineligibility and Vduntary Exdusion-
Lower Tier Covered Transadion;' without mod�cation, in all lower tier
covered transactions and in all soliatations for lower tier covered
trensadions.
g. A participant in a covered transaction may rely upon a
certification of a prospedive participant in a lower tier covered
transaction that is not debarred, suspended, ineligible, or vduntarily
exduded from the covered trensadion, unless it knows that the
certification is erroneous. A partidpant may decide the method and
frequency by which it determines the eligibility of its prindpals. Each
participaM may, but is not required to, check the Non-prxurement 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 dause. The knowledge and
information of partiapant is not required to exceed that which is normally
possessed by a pruderrt person in the ordinary course of business
dealings.
I. Except for transadions authorized under paragraph e of these
inslructions, if a paRiapaM in a covered transaction knowingly enters
into a lower tier covered transaction with a person who is suspended,
debarred, ineligible, or voluntarily exduded irom 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, inGuding suspension andlor
debarment.
CertiflcaUon Regarding Debarmen; Suspension, Ineligibility and
Voluntary Exclusion--Lower Tier Covered Tnnsactions:
1. The prospective lower tier partiapaM certfies, by submission of
this proposal, that neither it nor its principals is presently debarred,
suspended, proposed for debarment, dedared ineligiWe, or vduntarily
exduded from partiapation in this transadion by any Federal
department or agency.
2. Where the prospective lower tier partidpaM is unable to ceRify to
any of the statements in this certification, such prospective participant
shall attach an explanation to this proposal.
XII. CERTIFICATION REGARDING USE OF CONTRACT FUNDS OR
LOBBYtNG
(ApplicaWe to all Federal-aid construction contrads and to all related
subcontracts which exceed 5100,000 - 49 CFR 20)
1. The prospective partidpant certifies, by signing and submitting this
bid or proposal, to the best of his or her knowledge and belief, that:
a. No Federal appropriated funds have been paid or will be paid,
by or on behaH 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 oificer or employee of Congress, or an
employee of a Member of Congress in wnnedion with the awarding of
Exhibit I- Page 7 of 8 REQUIRED BY 23 CFR 633.102 --
any Federal contract, the making of any Federal grant, the making of
any Federal loan, the entering iMO of any cooperative agreeme�t, and
the extension, continuation, renew�, amendment, or modfication of any
Federal coMract, 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 attempling 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 oi Congress in connection with this Federal contred, grant,
loan, or cooperative agreemeM, the undersigned shall wmplete and
submft Standard Form-LLL, "Disclosure Form to Report Lobbying," in
accordance with Rs insiructions.
2 This certification is a material representation of fad upon which
reliance was placed when this transaction was made or entered into.
2. 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 5100,000 for each such failure.
3. The prospective paAicipant also agrees by submiriing his or her bid or
proposal that he or she shall require that the language of this
certification be induded in all lower tier subcontrads, which exceed
5100,000 and that all such recipients shall certify and disdose
accordingly
Exhibit I- Page 8 of 8 REQUIRED BY 23 CFR 633.102 —
37. EXHIBIT J— FEDERAL REQUIREMENTS
Federal laws and regulations that may be applicable to the Work include:
A. Uniform Administrative Requirements for Agreements and Cooperative Agreements to
State and Local Governments (Common Rule)
The "Uniform Administrative Requirements for Agreements 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:
i. the Local Agency/Contractor shall follow applicable procurement procedures, as required by
section 18.36(d);
ii. 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;
iii. the Local Agency/Contractor shall comply with section 18.37 concerning any sub-
Agreements;
iv. 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 sub-Agreement procedures, as
applicable;
v. 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
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 the Local Agencys and their contractors or sub-the Local Agencys).
C. Copeland "Anti-Kickback" Act
The Copeland "Anti-Kickback" Act (18 U.S.C. 874) as supplemented in Department of Labor
regulations (29 CFR Part 3) (All contracts and sub-Agreements for construction or repair).
D. Davis-Bacon Act
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 the Local
Agencys and sub-the Local Agencys when required by Federal Agreement 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. Contract Work Hours and Safety Standards Act
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 the Local Agencys and sub-the Local Agencys in excess of $2,000, and in
excess of $2,500 for other contracts which involve the employment of inechanics or laborers).
F. Clear Air Act
Standards, orders, or requirements issued under section 306 of the Clear Air Act (42 U.S.C.
1857(h), section 508 of the Clean Water Act (33 U.S.C. 1368). Executive Order 11738, and
Environmental Protection Agency regulations (40 CFR Part 15) (contracts, subcontracts, and
sub-Agreements of amounts in excess of $100,000).
G. Energy Policy and Conservation Act
Exhibit J- Page 1 of 3
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. OMB Circulars
Office of Management and Budget Circulars A-87, A-21 or A-122, and A-102 or A-110,
whichever is applicable.
I. Hatch Act
The Hatcn 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. Nondiscrimination
42 USC 6101 et sea. 42 USC 2000d, 29 USC 794, and implementing regulation, 45 C.F.R. Part
80 et. seq• These acts require that no person shall, on the grounds of race, color, national
origin, age, or handicap, be excluded from participation in or be subjected to discrimination in
any program or activity funded, in whole or part, by federal funds.
K. ADA
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. Uniform Relocation Assistance and Real Property Acquisition Policies Act
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 the
Ag reement).
M. Drug-Free Workplace Act
The Drug-Free Workplace Act (Public Law 100-690 Title V, subtitle D, 41 USC 701 et se ..
N. Age Discrimination Act of 1975
The Age Discrimination Act of 1975, 42 U.S.C. Sections 6101 et. sea• 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
23 C.F.R. Part 172, concerning "Administration of Engineering and Design Related Contracts".
P. 23 C.F.R Part 633
23 C.F.R Part 633, concerning "Required Contract Provisions for Federal-Aid Construction
Contracts".
Q. 23 C.F.R. Part 635
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
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.
S. 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:
i. Compliance with Regulations
The Contractor will comply with the Regulations of the Department of Transportation relative
to nondiscrimination in Federally assisted programs of the Department of Transportation
(Title 49, Code of Federal Regulations, Part 21, hereinafter referred to as the "Regulations"),
which are herein incorporated by reference and made a part of this Agreement.
ii. Nondiscrimination
Exhibit J- Page 2 of 3
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.
iii. Solicitations for Subcontracts, Including Procurement of Materials and Equipment
In atl 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 Agreement and the Regulations relative to
nondiscrimination on the ground of race, color, sex, mental or physical handicap or national
origin.
iv. 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.
v. Sanctions for Noncompliance
In the event of the Contractor's noncompliance with the nondiscrimination provisions of this
Agreement, the State shall impose such contract sanctions as it or the FHWA may determine
to be appropriate, including, but not limited to: a. Withholding of payments to the Contractor
under the contract until the Contractor complies, and/or b. Cancellation, termination or
suspension of the contract, in whole or in part.
T. Incorporation of Provisions§22
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.
Exhibit J- Page 3 of 3
38. EXHIBIT K— SUPPLEMENTAL FEDERAL PROVISIONS
State of Colorado Supplemental Provisions for Federally Funded Contracts, Grants, and
Purchase Orders Subject to The Federal Funding Accountability and Transparency Act of 2006
(FFATA), As Amended
As of October 15, 2010
The contract, grant, or purchase order to which these Supplemental Provisions are attached has been
funded, in whole or in part, with an Award of Federal funds. In the event of a conflict between the
provisions of these Supplemental Provisions, the Special Provisions, the contract or any attachments
or exhibits incorporated into and made a part of the contract, the provisions of these Supplemental
Provisions shall control.
1. Definitions. For the purposes of these Supplemental Provisions, the following terms shall have
the meanings ascribed to them below.
1.1. "Award" means an award of Federal financial assistance that a non-Federal Entity receives
or administers in the form of:
1.1.1. Grants;
1.1.2. Contracts;
1.1.3. Cooperative agreements, which do not include cooperative research and
development agreements (CRDA) pursuant to the Federal Technology Transfer
Act of 1986, as amended (15 U.S.C. 3710);
1.1.4. Loans;
1.1.5. Loan Guarantees;
1.1.6. Subsidies;
1.1.7. Insurance;
1.1.8. Food commodities;
1.1.9. Direct appropriations;
1.1.10. Assessed and voluntary contributions; and
1.1.11. Other financial assistance transactions that authorize the expenditure of Federal
funds by non-Federal Entities.
Award does not include:
1.1.12. Technical assistance, which provides services in lieu of money;
1.1.13. A transfer of title to Federally-owned property provided in lieu of money; even if
the award is called a grant;
1.1.14. Any award classified for security purposes; or
1.1.15. Any award funded in whole or in part with Recovery funds, as defined in section
1512 of the American Recovery and Reinvestment Act (ARRA) of 2009 (Public
Law 111-5).
1.2. "Central Contractor Registration (CCR)" means the Federal repository into which an
Entity must enter the information required under the Transparency Act, which may be found
at http://www.bpn.QOV/ccr.
1.3. "Contract" means the contract to which these Supplemental Provisions are attached and
includes all Award types in §1.1.1 through 1.1.11 above.
1.4. "Contractor" means the party or parties to a Contract funded, in whole or in part, with
Federal financial assistance, other than the Prime Recipient, and includes grantees,
subgrantees, Subrecipients, and borrowers. For purposes of Transparency Act reporting,
Contractor does not include Vendors.
1.5. "Data Universal Numbering System (DUNS) Number" means the nine-digit number
established and assigned by Dun and Bradstreet, Inc. to uniquely identify a business entity.
Dun and Bradstreet's website may be found at: http://fedgov.dnb.com/webform.
Exhibit K— Page 1 of 4
1.6. "Entity" means all of the following as defined at 2 CFR part 25, subpart C;
1.6.1. A governmental organization, which is a State, local government, or Indian
Tribe;
1.6.2. A foreign public entity;
1.6.3. A domestic or foreign non-profit organization;
1.6.4. A domestic or foreign for-profit organization; and
1.6.5. A Federal agency, but only a Subrecipient under an Award or Subaward to a
non-Federal entity.
1.7. "Executive" means an officer, managing partner or any other employee in a management
position.
1.8. "Federal Award Identification Number (FAIN)" means an Award number assigned by a
Federal agency to a Prime Recipient.
1.9. "FFATA" means the Federal Funding Accountability and Transparency Act of 2006 (Public
Law 109-282), as amended by §6202 of Public Law 110-252. FFATA, as amended, also is
referred to as the "Transparency Act."
1.10. "Prime Recipient" means a Colorado State agency or institution of higher education that
receives an Award.
1.11. "Subaward" means a legal instrument pursuant to which a Prime Recipient of Award funds
awards all or a portion of such funds to a Subrecipient, in exchange for the SubrecipienYs
support in the perFormance of all or any portion of the substantive project or program for
which the Award was granted.
1.12. "Subrecipient" means a non-Federal Entity (or a Federal agency under an Award or
Subaward to a non-Federal Entity) receiving Federal funds through a Prime Recipient to
support the performance of the Federal project or program for which the Federal funds were
awarded. A Subrecipient is subject to the terms and conditions of the Federal Award to the
Prime Recipient, including program compliance requirements. The term "SubrecipienY'
includes and may be referred to as Subgrantee.
1.13. "Subrecipient Parent DUNS Number" means the subrecipient parent organization's 9-digit
Data Universal Numbering System (DUNS) number that appears in the subrecipient's
Central Contractor Registration (CCR) profile, if applicable.
1.14. "Supplemental Provisions" means these Supplemental Provisions for Federally Funded
Contracts, Grants, and Purchase Orders subject to the Federal Funding Accountability and
Transparency Act of 2006, As Amended, as may be revised pursuant to ongoing guidance
from the relevant Federal or State of Colorado agency or institution of higher education.
1.15. "Total Compensation" means the cash and noncash dollar value earned by an Executive
during the Prime RecipienYs or SubrecipienYs preceding fiscal year and includes the
following:
1.15.1.Salary and bonus;
1.15.2.Awards of stock, stock options, and stock appreciation rights, using the dollar
amount recognized for financial statement reporting purposes with respect to the
fiscal year in accordance with the Statement of Financial Accounting Standards
No. 123 (Revised 2005) (FAS 123R), Shared Based Payments;
1.15.3.Earnings for services under non-equity incentive plans, not including group life,
health, hospitalization or medical reimbursement plans that do not discriminate in
favor of Executives and are available generally to all salaried employees;
1.15.4.Change in present value of defined benefit and actuarial pension plans;
1.15.5.Above-market earnings on deferred compensation which is not tax-qualified;
1.15.6.Other compensation, if the aggregate value of all such other compensation (e.g.
severance, termination payments, value of life insurance paid on behalf of the
Exhibit K- Page 2 of 4
employee, perquisites or properry) for the Executive exceeds $10,000.
1.16. "Transparency AcY' means the Federal Funding Accountability and Transparency Act of
2006 (Public Law 109-282), as amended by §6202 of Public Law 110-252. The
Transparency Act also is referred to as FFATA.
1.17 "Vendor" means a dealer, distributor, merchant or other seller providing property or
services required for a project or program funded by an Award. A Vendor is not a Prime
Recipient or a Subrecipient and is not subject to the terms and conditions of the Federal
award. Program compliance requirements do not pass through to a Vendor.
2. Compliance. Contractor shall comply with all applicable provisions of the Transparency Act and
the regulations issued pursuant thereto, including but not limited to these Supplemental
Provisions. Any revisions to such provisions or regulations shall automatically become a part of
these Supplemental Provisions, without the necessity of either party executing any further
instrument. The State of Colorado may provide written notification to Contractor of such revisions,
but such notice shall not be a condition precedent to the effectiveness of such revisions.
3. Central Contractor Registration (CCR) and Data Universal Numbering System (DUNS)
Requirements.
3.1. CCR. Contractor shall maintain the currency of its information in the CCR until the Contractor
submits the final financial report required under the Award or receives final payment,
whichever is later. Contractor shall review and update the CCR information at least annually
after the initial registration, and more frequently if required by changes in its information.
3.2. DUNS. Contractor shall provide its DUNS number to its Prime Recipient, and shall update
Contractor's information in Dun & Bradstreet, Inc. at least annually after the initial
registration, and more frequently if required by changes in Contractor's information.
4. Total Compensation. Contractor shall include Total Compensation in CCR for each of its five
most highly compensated Executives for the preceding fiscal year if:
4.1. The total Federal funding authorized to date under the Award is $25,000 or more; and
4.2. In the preceding fiscal year, Contractor received:
4.2.1. 80% or more of its annual gross revenues from Federal procurement contracts
and subcontracts and/or Federal financial assistance Awards or Subawards
subject to the Transparency Act; and
4.2.2. $25,000,000 or more in annual gross revenues from Federal procurement
contracts and subcontracts and/or Federal financial assistance Awards or
Subawards subject to the Transparency Act; and
4.3. The public does not have access to information about the compensation of such
Executives through periodic reports filed under section 13(a) or 15(d) of the Securities
Exchange Act of 1934 (15 U.S.C. 78m(a), 78o(d) or § 6104 of the Internal Revenue
Code of 1986.
5. Reporting. Contractor shall report data elements to CCR and to the Prime Recipient as required
in §7 below if Contractor is a Subrecipient for the Award pursuant to the Transparency Act. No
direct payment shall be made to Contractor for providing any reports required under these
Supplemental Provisions and the cost of producing such reports shall be included in the Contract
price. The reporting requirements in §7 below are based on guidance from the US Office of
Management and Budget (OMB), and as such are subject to change at any time by OMB. Any
such changes shall be automatically incorporated into this Contract and shall become part of
Contractor's obligations under this Contract, as provided in §2 above.
The Colorado Office of the State Controller will provide summaries of revised OMB reporting
Exhibit K- Page 3 of 4
requirements at http://www.colorado.aov/dqa/dfp/sco/FFATA.htm.
Effective Date and Dollar Threshold for Reporting. The effective date of these supplemental
provisions apply to new Awards as of October 1, 2010. Reporting requirements in §7 below apply
to new Awards as of October 1, 2010, if the initial award is $25,000 or more. If the initial Award is
below $25,000 but subsequent Award modifications result in a total Award of $25,000 or more, the
Award is subject to the reporting requirements as of the date the Award exceeds $25,000. If the
initial Award is $25,000 or more, but funding is subsequently de-obligated such that the total
award amount falls below $25,000, the Award shall continue to be subject to the reporting
requirements.
7. Subrecipient Reporting Requirements. If Contractor is a Subrecipient, Contractor shall report as
set forth below.
7.1 To CCR. A Subrecipient shall register in CCR and report the following data elements in
CCR for each Federal Award Identification Number no later than the end of the month
following the month in which the Subaward was made:
7.1.1 Subrecipient DUNS Number;
7.1.2 Subrecipient DUNS Number + 4 if more than one electronic funds
transfer (EFT) account;
7.1.3 Subrecipient Parent DUNS Number;
7.1.4 Subrecipient's address, including: Street Address, City, State, Country,
Zip + 4, and Congressional District;
7.1.5 SubrecipienYs top 5 most highly compensated Executives if the criteria
in §4 above are met; and
7.1.6 SubrecipienYs Total Compensation of top 5 most highly compensated
Executives if criteria in §4 above met.
7.2 To Prime Recipient. A Subrecipient shall report to its Prime Recipient, upon the effective
date of the Contract, the following data elements:
7.2.1 SubrecipienYs DUNS Number as registered in CCR.
7.2.2 Primary Place of Performance Information, including: Street Address,
City, State, Country, Zip code + 4, and Congressional District.
8. Exemptions.
8.1. These Supplemental Provisions do not apply to an individual who receives an Award as a
natural person, unrelated to any business or non-profit organization he or she may own or
operate in his or her name.
8.2 A Contractor with gross income from all sources of less than $300,000 in the previous tax
year is exempt from the requirements to report Subawards and the Total Compensation of
its most highly compensated Executives.
8.3 Effective October 1, 2010, "Award" currently means a grant, cooperative agreement, or other
arrangement as defined in Section 1.1 of these Special Provisions. On future dates "Award"
may include other items to be specified by OMB in policy memoranda available at the OMB
Web site; Award also will include other types of Awards subject to the Transparency Act.
8.4 There are no Transparency Act reporting requirements for Vendors.
9. Event of Default. Failure to comply with these Supplemental Provisions shall constitute an event
of default under the Contract and the State of Colorado may terminate the Contract upon 30 days
prior written notice if the default remains uncured five calendar days following the termination of
the 30 day notice period. This remedy will be in addition to any other remedy available to the State
of Colorado under the Contract, at law or in equity.
Exhibit K- Page 4 of 4