Loading...
HomeMy WebLinkAbout2014-02 IGA with CDOT I70 Underpass DesignRESOLUTION NO. 2 Series of 2014 A RESOLUTION APPROVING AN AMENDED INTERGOVERNMENTAL AGREEMENT BETWEEN THE TOWN OF VAIL, AND THE COLORADO DEPARTMENT OF TRANSPORTATION REGARDING THE DESIGN OF THE 1 -70 VAIL UNDERPASS; 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 and the Colorado Department of Transportation ( "CDOT ") entered into an Intergovernmental Agreement on February 5, 2013, routing #13 HA3 50661; and WHEREAS, the Town and CDOT now wish to amend the existing Intergovernmental Agreement with increased funding in order to begin the preliminary and final design of the 1 -70 Vail Underpass; and WHEREAS, the Town and CDOT now wish to enter into this amended Intergovernmental Agreement for the design of the 1 -70 Vail Underpass. 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 the amended 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 4t' day of March, 2014. Andrew P. Daly, Town Mayor �-� ✓ TOWN Tammy age .• ••. ,� ing Town Clerk n • G . v • n• • ran Resolution No. 2, Series 2014 CONTRACT AMENDMENT Amendment #1 Original Contract CMS # 13 HA3 50661 Amendment CMS # TBD Project # STA 0702 -327 (19094) 1 TBD 1) PARTIES This Amendment to the above - referenced Original Contract (hereinafter called the Contract) is entered into by and between Town of Vail (hereinafter called "Local Agency "), and the STATE OF COLORADO (hereinafter called the "State ") acting by and through the Department of Transportation, (hereinafter called "CDOT"). 2) EFFECTIVE DATE AND ENFORCEABILITY This Amendment shall not be effective or enforceable until it is approved and signed by the Colorado State Controller or designee (hereinafter called the "Effective Date "). The State shall not be liable to pay or reimburse Contractor 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) FACTUAL RECITALS The Parties entered into the Contract to design an underpass to connect north and south frontage roads located along 1 -70A (MP 175) where CDOT will review and provide input on the 1 -70 Underpass Improvements Project in the Town of Vail. The Parties now agree to increase design funds by $475,000.00 and to update the Scope of Work and Form 463 (Exhibit A); the Funding Provisions (Exhibit C); and the Local Agency Contract Administration Checklist (Exhibit E). The Parties also agree to update The Federal Funding Accountability and Transparency Act of 2006 (FFATA) (Exhibit K), as amended as of March 20, 2013. 4) CONSIDERATION - COLORADO SPECIAL PROVISIONS The Parties acknowledge that the mutual promises and covenants contained herein and other good and valuable consideration are sufficient and adequate to support this Amendment. The Parties agree to replacing the Colorado Special Provisions with the most recent version (if such have been updated since the Contract and any modification thereto were effective) as part consideration for this Amendment. If applicable, such Special Provisions are attached hereto and incorporated by reference herein as Section 26. 6) LIMITS OF EFFECT This Amendment is incorporated by reference into the Contract, and the Contract and all prior amendments thereto, if any, remain in full force and effect except as specifically modified herein. 6) MODIFICATIONS The Amendment and all prior amendments thereto, if any, are modified as follows: a. Exhibit A -1 Exhibit A to the Basic Contract shall be removed and replaced in its entirety by Exhibit A -1 attached hereto and incorporated herein by this reference. All references in the Basic Contract to Exhibit A shall be removed and replaced by Exhibit A -1. b. Exhibit C -1 Exhibit C to the Basic Contract shall be removed and replaced in its entirety by Exhibit C -1 attached hereto and incorporated herein by this reference. All references in the Basic Contract to Exhibit C shall be removed and replaced by Exhibit C -1. c. Exhibit E -1, Local Agency Contract Administration Checklist Page 1 of 3 Exhibit E to the Basic Contract shall be removed and replaced in its entirety by Exhibit E -1 attached hereto and incorporated herein by this reference. All references in the Basic Contract to Exhibit E shall be removed and replaced by Exhibit E -1. d. Exhibit K -1, The Federal Funding Accountability and Transparency Act of 2006 Exhibit K to the Basic Contract shall be removed and replaced in its entirety by Exhibit K -1 attached hereto and incorporated herein by this reference. All references in the Basic Contract to Exhibit K shall be removed and replaced by Exhibit K -1. 7) START DATE This Amendment shall take effect upon the date of the State Controller's Signature. 8) ORDER OF PRECEDENCE Except for the Special Provisions, in the event of any conflict, inconsistency, variance, or contradiction between the provisions of this Amendment and any of the provisions of the Contract, the provisions of this Amendment shall in all respects supersede, govern, and control. The most recent version of the Special Provisions incorporated into the Contract or any amendment shall always control other provisions in the Contract or any amendments. 9) AVAILABLE FUNDS Financial obligations of the state payable after the current fiscal year are contingent upon funds for that purpose being appropriated, budgeted, or otherwise made available. Page 2 of 3 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. 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 Robert Jaros, CPA, MBA, JD Colorado Department of Transportation Date: Page 3 of 3 THE LOCAL AGENCY STATE OF COLORADO Town of Vail John W. Hickenlooper, GOVERNOR Colorado Department of Transportation By' Donald E. Hunt, Executive Director Title: By: Scott McDaniel, PE, Acting Chief Engineer Date: *Signature Date: 2nd Local Agency Signature if needed LEGAL REVIEW John W. Suthers, Attorney General By: Title: By: Signature - Assistant Attorney General Date: *Signature Date: 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 Robert Jaros, CPA, MBA, JD Colorado Department of Transportation Date: Page 3 of 3 28. EXHIBIT A -1— SCOPE OF WORK I -70 Vail Simba Run Project to I -70 Underpass Scope of Work The I -70 Vail Simba Run project is a partnership between the Town of Vail and Colorado Department of Transportation. The purpose of the project is to connect the north and south Frontage Roads at approximate I -70 mile marker 175. The Town of Vail will manage the design phase of the project through this Intergovernmental Agreement (IGA). The original Scope of Work is modified by Amendment #1 to include: • evaluation of the crossing location; • traffic and safety analysis along the 1 -70 and Frontage Road corridor and at the adjacent interchanges such as West and Main Vail; • assistance with the NEPA clearances such as a Noise Study; • preliminary and final design of the underpass including gathering the topographic data, construction phasing to accommodate 1 -70 and Frontage Road traffic, structural selection report and preparation of FIR & FOR plans, specifications and cost estimates • development of Ownership maps including 'toes' 0 85% construction plans and specifications Exhibit A -1 - Page 1 of 4 COLORADO DEPARTMEW OF TRANSPORTATION DESIGN DATA Page 1 to 3 CogDaW- 05014aO12 Pmjea Code it fsm1 19004 sT*w. SSP4320 Rev.Date: Pr*d v STA 0702 -327 fte(Awn W. 0 lCountr PE PmJW Code: RegW 0- 03 Pro d;t Detcaptlon:1 -70 Val Underpass Stags: L Preliminary LJ Final ❑ Revised Svbmltlt By PM: BABCOCIQ Appoved by Pmgrarm eV 037 037 037 Dale: &"IclpaW, Val Cot*: N-WS Norrinlerstate Reused vy' Oversight By- FHWA Full State Admi Date I Planned L : 1.000 c-eogapec Locannre VAIL 1 -70 MP 174.5 - 175.5 Type or Turan: Mountainous Owr"or, of Pmposed Conwnc0wmprovemen4AUKh map a wWq Me locum) CONSTRUCTION OF UNDERPASS TO CONNECT NORTH AND SOUTH FRONTAGE ROADS Project CharaChfistiCS (Proposed) ': L�^tJ ES ttaracap Ramps Meow iT'IPei, ❑ Depemed E Parfet ❑ Rav�et ❑ Nate iJ Traft Contol S4mms L'1 stnping Cub and Guyer ❑ pub Only ❑ Left Tun Sloss ❑ Camnlols wlb,h- shalt width- LL Blteww won- ❑ RVI -Tun sac ❑ Con>anrou,s wlmi- ❑ Patting Lane wan - 2 Demur Signing Constucnon [+ Permanent ❑ Landkaplg regtsrerrentc ttecalpuonfi IS Otter tai- Roundabouts Right of Way Ye6ew Est r ROW &,or Penn. Eaoemvl Regtered Yes RHoc abon Required No Temporary Easement Requret: Yes Changes In Access: No Cruriges m Connecmg Roads: Yes Utilities (Kt names or tnvrn um" oompanles) Eagle River Water and Sanitation, Holy Cross Energy, Xcel Energy. Comcast, Century Link Railroad Crossings v Of Ctocungc: Reomfinendaftm Environmental Type: N-CE Nonprogram nabs Approved On: Pmf m Code v geared under: Prt"N Cleated Ureter Carrimerda: Coordination ❑ W M"wn Lands (Power SW, RMC40s, Etc.) Creared through BLM or forest Sm" Offloe tnt W= Dfth Name: New Trains On%nanoe Required LJ MoaYy Sdxdtae or ExIMg Ordnance ttun MW.. Vail 01her Construction Method I AWdttket By State I MW Reams: Entlty l Agency ONUM Name: Pnate l:: 1(970)328-8M Safety Considerations Prood Under current as dartic NO Cwnwas: ❑ Vanwoe In Minimum Design sor dards Regtlred ❑ Jusmamoon Anachec ❑ R4gL*u to be suwvw Bndge(see ken 12 See Remarts ❑ Sarety poldd net al standards add"?"" CwmmAmm lexplain m remarks 3R prgects Safety Evawatan a (oaten: 1OQ18=13 Exhibit A -1 - Page 2 of 4 Eh Al - Page ar4 �© © dd '�%� i ■ ■ & � & ■ . m CP \� . a ■ at £ It `& & �fJ � |cy ■ % | D ! CL t - | & n cz0o DO I§ �B I | k& ■ §$ § &. D a I 1 | k | o | D0 `& $ �$ DO a i �| ` | ID ¢ 0 | s &� $ ■- O= • ! &e 2 | Eh Al - Page ar4 Page 3 c 3 Pmoct Code P(S": Projects: RCA%e Dats: igm STA 0702 -327 Ma* Structures S- to may, R- b be rw10Vltl, P- proposed rlew %in Mn Refelnde Stanmrtl S1naCpte SCUefIlral HO tmM VertlWl Year Sttuch" IDs • Wgdt Palm Feature IfMtfilQed tMIM Adadway Capaply I Ckiatice Cleararlc! 8111 Proposed Tmwwt Of endgei to Remain In PNCbaddlese badge tat, capacity, and allowable arrfadng Wockri eny Remarks NO vac urlderpasc Pro)" `.}Dope a WOM Amendnerlt 01 STA 0702.327 SUbaCCDUItt 19094 The 1.70 Vail SMnba Run pro" 16 a pat wshlp ttetlrw the Tom of Val and Cdbrado Department of TrampMadw. The purpose of the "eel IS ID Cdfhteof the MM and SOI%h Frontage Roads a apPMMLXe I -70 rrae marker 175. The TOW of Vat rtes manage Ste de61gr. OWN of the WqW though VA IMKgoverne &U Ageenlenf (IG4 Thl6 amerMmert wW modry the adilkrg IGA to IrOude: „eYaWabm Cr the croWng ID .Mm; ,,traffic and safety ana" a" ne 1.70 and flaatage Road ccffkW and at the aajaoels keerchangei sulk a6 We61 and Main Vale „a6ikfWce with Un HEPA Clomnom RM as a 1413" Study, „prelmnary and Mal de%Igt or the underpass maudhlg gig tr* topograpW dara, DOnMUauon pnaskrg t0 a*vmwo* 1-70 and Frontage Road Vartic, gnichfal 6WCtiDn report and preparatOn or FIR a FOR plank, 6pldflCatlom and Dolt eidlMate% .,d nlopment or OwlersWp maps WcWdng *MV ..65% consWiMon plan and specticatims Exhibit A -1 - Page 4 of 4 30. EXHIBIT C -1— FUNDING PROVISIONS A. Cost of Work Estimate The Local Agency has estimated the total cost the Work to be $600,000.00 which is to be funded as follows: 1 BUDGETED FUNDS a. Federal Funds $600,000 (100% of Participating Costs) b. Local Agency Matching Funds ITOTAL BUDGETED FUNDS $600.000.001 2 ESTIMATED CDOT- INCURRED COSTS a. Federal Share $0. (_ of Participating Costs) b. Local Agency Local Agency Share of Participating Costs $0.00 Non - Participating Costs (Including Non - Participating Indirects) $0.00 Estimated to be Billed to Local Agency $0. TOTAL ESTIMATED CDOT- INCURRED COSTS $0.001 3 ESTIMATED PAYMENT TO LOCAL AGENCY a. Federal Funds Budgeted (1 a) $600,000. b. Less ROW Acquisition 3111 and /or ROW Relocation 3109 (80% of $4,900) ($0.( 1 TOTAL ESTIMATED PAYMENT TO LOCAL AGENCY $600,000.001 FOR CDOT ENCUMBRANCE PURPOSES Total Budgeted Funds $600,000 Less ROW Acquisition 3111 and /or ROW Relocation 3109 $00 TOTAL ENCUMBRANCE $600,000 Net encumbrance is as follows: WBS Element 19094.10.30 Design 3020 $600,000 WBS Element Const 133011 $0 Exhibit C -1 - Page 1 of 2 B. Matching Funds The matching ratio for the federal participating funds for this Work is 100% federal -aid funds (CFDA #20.205) to 0% Local Agency funds, it being understood that such ratio applies only to the $600,000.00 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 $600,000.00, 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 Local Agency shall pay all such excess costs. If the total participating cost of performance of the Work is less than $600,000.00, then the amounts of Local Agency and federal -aid funds will be decreased in accordance with the funding ratio described herein. The performance of the Work shall be at no cost to the State. C. Maximum Amount Payable The maximum amount payable to the Local Agency under this Agreement shall be $600,000.00 (For CDOT accounting purposes, the federal funds of $600,000.00 and the Local Agency Matching funds of $0.00 will be encumbered for a total encumbrance of $600,000.00), unless such amount is increased by an appropriate written modification to this Agreement executed before any increased cost is incurred. It is understood and agreed by the parties hereto that the total cost of the Work stated hereinbefore is the best estimate available, based on the design data as approved at the time of execution of this 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 organizations 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 the Local Agency receiving federal funds are as follows: i. Expenditure less than $500,000 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 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 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 -1 - Page 2 of 2 32. EXHIBIT E -1— 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 all parties remain in agreement as to who is responsible for performing individual tasks. Exhibit E -1 — Page 1 of 5 COLORADO DEPARTMENT OF TRANSPORTATION LOCAL AGENCY CONTRACT ADMINISTRATION CHECKLIST Project No. STIP No. Project Code Region D702 -327 1 -70 Vail Underpass (Simba) Authorize funding by phases (CDOT Form 418 - Federal -aid Program Data. Requires FHWA conmir enoelinvolvement X PROJECT DEVELOPMENT 5.1 16064 3 Project Location Date 1 -70 approximate mile marker 174.2 12108!2013 Project Description Construction of underpass (1 -70) to connect north 3 south Frontage Roads Local Agency Local Agency Project Manager Town of Vail Greg Hall CDOT Resident Engineer COOT Project Manager Martha Miller Jennifer Babcock INSTRUCTIONS: This checklist shall be utilized to establish the contract administration responsibilities of the individual parties to this agreement. The checklist becomes an attachment to the Local Agency agreement. Section numbers correspond to the applicable chapters of the COOT Local Agency Manual. The checklist shall be prepared by placing an 'X' under the responsible party, opposite each of the tasks. The 'X* denotes the party responsible for initiating and executing the task. Only one responsible party should be selected. When neither COOT nor the Local Agency is responsible for a task, not applicable (NA) shall be noted. In addition, a 'W will denote that COOT must concur or approve_ Tasks that will be performed by Headquarters staff will be indicated. The Regions, in accordance with established policies and procedures, will determine who will perform all other tasks that are the responsibility of COOT. The checklist shall be prepared by the COOT Resident Engineer or the COOT Project Manager, in cooperation with the Local Agency Project Manager, and submitted to the Region Program Engineer. If contract administration responsibilities change, the CDOT Resident Engineer, in cooperation with the Local Agency Project Man , will prepare and distribute a revised checklist. NO. DESCRIPTION OF TASK RESPONSIBLE PARTY LA CDOT TIP I STIP AND LONG -RANGE PLANS 2.1 Review Project to ensure it is consist with STIP and amendments thereto X FEDERAL FUNDING N AND AUTHORIZATION 4.1 Authorize funding by phases (CDOT Form 418 - Federal -aid Program Data. Requires FHWA conmir enoelinvolvement X PROJECT DEVELOPMENT 5.1 Prepare Design Data - COOT Form 483 X 5.2 Prepare Local A /CDOT Inter - Governmental Agreement see also Chapter 3 X 5.3 Conduct Consultant Selection/Execute Consultant Agreement X # 5.4 Conduct Design Scoping Review Meeting X # 5.5 Conduct Public Involvement X 5.8 Conduct Field Inspection Review FIR X # 5.7 Conduct Environmental Processes (my require FHWA conounencefmwivernent X 5.8 Ac wire Right-of-Way (may require FHWA concurrencetnvolventertt X 5.0 Obtain Utility and Railroad Agireements X 5.10 Conduct Final Office Review FOR X # 5.11 Justify Force Account Work by the Local Agency X 5.12 Justify Proprietary. Sole Source, or Local Agency Fumished Items X 5.13 Document Design Exceptions - COOT Form 484 X 5.14 Prepare Plans, Specifications and Construction Cost Estimates X # 5.15 Ensure Authorization of Funds for Construction X Exhibit E -1 — Page 2 of 5 NO. DESCRIPTION OF TASK RESPONSIBLE PARTY LA CDOT PROJECT DEVELOPMENT CIVIL RIGHTS AND LABOR COMPLIANCE 6.1 Set Underutilized Disadvantaged Business Enterprise (UBDE) Goals for Consultant and Construction Contracts CDOT Region EEOrCMI Righits Specialist) X 6.2 Determine Applicability of Davis-Bacon Act This project ❑ is ❑ is not exempt from Davis -Bacon requirements as determined by the functional classification of the project location (Projects located on local roads and rural minor odlectors may be exempt.) CDOT Resident Engineer nature on File Date X 6.3 Set On-the-Job Training Goals. Goal is zero if total construction is less than 51 million (CDOT Region EEOICivil Rights Specialist) X 6.4 Title V1 Assurances X Ensure the correct Federal Wage Decision. all required Disadvantaged Business EnterpriselOn- the -Job Training special provisions and FHWA Form 1273 are included in the Contract (COOT Resident Engineer) X ADVERTISE BID AND AWARD 7.1 Obtain Approval for Advertisement Period of Less Than Three Weeks X 7.2 Advertise for Bids X 7.3 Distribute 'Advertisement Set' of Plans and Specifications X 7.4 Review Workshe and Plan Details with Prospective Bidders While Project 1s Under Advertisement X 7.5 Open Bids X 7.6 Process Bids for Compliance Check CDOT Form 715 - Certificate of Proposed Underutilized DBE Participation when the low bidder meets UDBE goals X Evaluate CDOT Forth 718 - Underutdined DBE Good Faith Effort Documentation and determine if the Contractor has made a good faith effort when the low bidder does not meet DBE goals X Submit required documentation for CDOT award concurrence X 7.7 Concurrence from COOT to Award X 7.8 Approve Rejection of Low Bidder X 7.9 Award Contract X 7.10 Provide 'Award' and 'Reoord' Sets of Plans and Specifications X CONSTRUCTION MANAGEMENT 8.1 Issue Notice to Proceed to the Contractor X 8.2 Project Safety X 8.3 Conduct Conferences: Pre- Construction Conference is B X Pre - survey • Construction staking • Monumentation X X Partnering (O I X Structural Concrete Pre -Pour (Agenda is in CDOT Construction Marmag X Concrete Pavement Pre-Paving is it CDOT CowMxbon Adaymo X HMA Pr*-Paving Aenda is in CDOT Construction ManuaQ X 8.4 Develop and distribute Public Notice of Planned Construction to media and local residents M X 8.5 Supervise Construction A Professional Engineer (PE) registered in Colorado, who will be 'in responsible charge of construction supervision.' Local Agency Professional Engineer or Phone number CDOT Resident Engineer X Exhibit E -1 — Page 3 of 5 Exhibit E -1 — Page 4 of 5 RESPONSIBLE NO. DESCRIPTION OF TASK PARTY LA CDOT Provide competent, experienced staff who will ensure the Contract work is constructed in accordance with the pilans and specifications X Construction ins lion and documentation X 8.e Approve Shop Drawings x 8.7 Perform Traffic Control Inspections X 8.8 Perform Construction Sumeying X 8.9 Monument Right-of-Way X 8.10 Prepare and Approve Interim and Final Contractor Pay Estimates X Provide the name and phone number of the person authorized for this task. Local Agency Representative Phone number 8.11 Prepare and Approve Interim and Final Utility and Railroad Billings X 8.12 Prepare Local Agency Reimbursement Requests X 8.13 Prepare and Authorize Change Orders X 8.14 Approve An Change Orders X 8.15 Monitor ProOd Financial Status X 8.18 Prepare and Submit Monthly Progress Reports X 8.17 Resolve Contractor Claims and Disputes X 8.18 Conduct Routine and Random Project Reviews Provide the name and phone number of the person responsible for this task_ X CDOT Resident Engineer Phone number MATERIALS 9.1 Conduct Materials Pre - Construction Meeting X 9.2 Complete CDOT Form 254 - Materials Documentation Record • Generate form, which includes determining the minimum number of rerpuired tests and X applicable material submittals for all materials placed on the project • Update the form as wok progresses X • Complete and distribute form after work is completed X 9.3 Perform Project Acceptance Sampbes and Tests X 9.4 Perform Laboratory Verification Tests X 9.5 Accept Manufactured Products X Inspection of structural components: • Fabrication of structural steel and pre- stressed concrete structural components X • Bridge modular expansion devices (0' to 0' or greater) X • Fabrication of bearing devices X 9.8 Approve, Sources of Materials X 9.7 Independent Assurance Testing (IAT), Local Agency Procedures CDOT Procedures LJ • Generate [AT schedule X • Schedule and provide notification X • Conduct [AT X 9.8 Approve mix designs • Concrete X • Hot mix asphalt X 9.9 Check Final Materials Documentation X 9.10 Complete and Distribute Final Materials Documentation X Exhibit E -1 — Page 4 of 5 CONSTRUCTION CIVIL RIGHTS AND LABOR COMPLIANCE 1 DA Fulfill Project Bulletin Board and Pre - Construction Packet Requirements X 10.2 Process COOT Form 2D5 - Sublet Permit Application Review and sign completed COOT Form 205 for each subcontractor, and submit to EEOICivil Ri hts Specialist X 10.3 Conduct Equal Employment Opportunity and Labor Compliance Verification Employee Interviews. Complete COOT Form 280 X 1 DA Monitor Disadvantaged Business Enterprise Participation to Ensure Compliance with the 'Commercially Useful Function' Requirements X 1D.5 Conduct Interviews When Project Utilizes On- the -Job Trainees. Complete COOT Form 200 - OJT Traintna Questionnaire X 10.6 Check Certified Payrolls Contact the Region EEOXM R#ft Specialists for Iraining fewirements-) X 10.7 Submit FHWA Form 1391 - Hichway Construction Contractor's Annual EEO Revert X FINALS 11.1 Conduct Final Project Inspection. Complete and submit COOT Form 1212 - Final Acceptance Report (Resident Engineer with mandatory Local Agency parbcipa6on_) X 11.2 Write Fural Project Acceptance Letter X 11.3 Advertise for Final Settlement X 11.4 Pr are and Distribute Final As- Constructed Plans X 11.5 Pr are EEO Certification X 11.8 Check Final Quantities. Plans, and Pay Estimate: Check Project Documentation: and submit Final Certifications X 11.7 Check Material Documentation and Accept Final Material Certification See Chapter 9 X 11.8 Obtain COOT Form 17 from the Contractor and Submit to the Resident Engineer X 11.0 Obtain FHWA Form 47 - Statement of Materials and Labor Used ... from the Contractor X 11.10 Corn to and Submit COOT Form 1212 — Final Acceptance Report COOT X 11.11 Process Final Payment X 11.12 Corn to and Submit COOT Form 950 - Project Closure X 11.13 1 Retain Project Records for Six Years from Date of Project Closure X 11.14 Retain Final Version of Local Agency Contract Administration Checklist X cc: COOT Resident EngineeriProject Manager COOT Region Program Engineer COOT Region EEOICivd Rights Specialist COOT Region Materials Engineer COOT Contracts and Market Analysis Branch Local Agency Project Manager Exhibit E -1 — Page 5 of 5 38. EXHIBIT K -1— 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 Revised as of 3 -20 -13 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 pumoses of these Supplemental Provisions the following terms shall have the meanings ascribed to them below. 1.1. "Award" m_ eans an award of Federal financial assistance that a non - Federal Entitv 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, if the award is called a rg ant; 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. "Contract" means the contract to which these Supplemental Provisions are attached and includes all Award types in 41.1.1 through 1.1.11 above. 1.3. "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. 1.4. "Data Universal Numbering System (DUNS) Number" means the nine -digit number established and assigned by and Bradstreet Inc to uniquely identify a business entity. Dun and Bradstreet's website may be found at: http: / /fedgov.dnb.com/webform. 1.5. "Entity" means all of the following as defined at 2 CFR part 25 subpart Q 1.5.1. A governmental organization, which is a State local government or Indian Tribe• 1.5.2. A foreign public entity: 1.5.3. A domestic or foreign non - profit organization• 1.5.4. A domestic or foreign for- profit organization, 1.5.5. A Federal agency, but only a Subrecipient under an Award or Subaward to a non - Federal entity. 1.6. "Executive" means an officer, managing partner or any other employee in a management position Exhibit K -1 —Page 1 of 4 1.7. "Federal Award Identification Number (FAIN)' means an Award number assigned by a Federal agency to a Prime Recipient. 1.8. "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." 1.9. "Prime Recipient" means a Colorado State agency or institution of higher education that receives an Award. 1.10. "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 Subrecipient's support in the performance of all or any portion of the substantive project or program for which the Award was granted. 1.11. "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 "Subrecipient" includes and may be referred to as Sub grantee. ntee. 1.12. "Subrecipient Parent DUNS Number" means the subrecipient parent organization's 9 -digit Data Universal Numbering System (DUNS) number that appears in the subrecipient's System for Award Management (SAM) profile, if applicable. 1.13. "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. 1.14. "System for Award Management (SAM)' means the Federal repository into which an Entity must enter the information required under the Transparency Act which may be found at hqp://www.sam.gov. 1.15. "Total Compensation" means the cash and noncash dollar value earned by an Executive during the Prime Recipient's or Subrecipient'sPrecedin fiscal scal 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 eg nerally 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 employee, perquisites or property) for the Executive exceeds $10,000. 1.16. " Transparencv Act" means the Federal Funding Accountability and Transparency Act of 2006 (Public Law 109 -282), as amended by 0202 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 Exhibit K -1 — Page 2 of 4 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. System for Award Manaeement (SAM) and Data Universal Numberin¢ Svstem (DUNS) Requirements. 3.1. SAM. Contractor shall maintain the currency of its information in SAM until the Contractor submits the final financial report required under the Award or receives final payment, whichever is later. Contractor shall review and update SAM 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 SAM for each of its five most highly compensated Executives for the preceding fiscal scal 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 Bross 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. Reporting. Contractor shall report data elements to SAM and to the Prime Recipient as required in 47 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 47 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 42 above. The Colorado Office of the State Controller will provide summaries of revised OMB reporting requirements at httr):// www. colorado .gov/dpa/dfp /sco/FFATA.htm. 6. 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 47 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 asset forth below. 7.1 ToSAM. A Subrecipient shall register in SAM and report the following data elements in SAM 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; Exhibit K -1 — Page 3 of 4 7.1.4 Subrecipient's address, including: Street Address, City, State, Country, Zip + 4, and Congressional District; 7.1.5 Subrecipient's top 5 most highly compensated Executives if the criteria in §4 above are met; and 7.1.6 Subrecipient's 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 Subrecipient's DUNS Number as registered in SAM. 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. 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 -1 — Page 4 of 4