SV‐102 Summitville Dam Impoundment Head Gate and Controls

Division 00 Contract Documents Table of Contents

1. Advertisement for Bids

2. Information for Bidders

3. Bid Form

4. Bid Schedule

5. Bid Bond

6. Contractor's Agreement

7. Contractor's Agreement Exhibit H Federal Requirements

8. Davis‐Bacon Wage Rate Determination

8. Minority and Woman Owned Business Enterprise Reporting Form

10. Contractor's Agreement General Conditions

11. Unauthorized Immigrants UI‐1

12. Change Order

13. Emergency Field Change Order

14. Contract Management System Reporting Form

Note: Items shown in bold must be completed and returned with the Contractor's bid.

State Form SBP-6.13 Rev.7/2014

STATE OF COLORADO

OFFICE OF THE STATE ARCHITECT

STATE BUILDINGS PROGRAMS

BID

Institution/Agency: Colorado Department of Public Health and Environment

Project No./Name: SV-102 Summitville Dam Impoundment Head Gate and Controls

Bidder Acknowledges Receipt of Addenda Numbers:

Bidder Anticipates Services outside the United States or Colorado: No Yes If Yes see 3A below Bidder will comply with 80% Colorado Labor on project above $500,000: Yes No If No see 3B below Bidder is a Service-Disabled Veteran Owned Small Business: No Yes If Yes see 3C below

Base Bid $

(Refer to Bid Alternate Form SC-6.13.1 Attached, If Applicable)

Bidder’s Time of Completion

a. Time Period from Notice to Proceed to Substantial Completion:

b. Time Period from Substantial Completion to Final Acceptance:

c. Total Time of Completion of Entire Project (a + b):

1. BID: Pursuant to the advertisement by the State of Colorado dated the undersigned bidder hereby proposes to furnish all the labor and materials and to perform all the work required for the complete and prompt execution of everything described or shown in or reasonably implied from the Bidding Documents, including the Drawings and Specifications, for the work and for the base bid indicated above. Bidders should include all taxes that are applicable.

2. EXAMINATION OF DOCUMENTS AND SITE: The bidder has carefully examined the Bidding Documents, including the Drawings and Specifications, and has examined the site of the Work, so as to make certain of the conditions at the site and to gain a clear understanding of the work to be done.

3. PARTIES INTERESTED IN BID: The bidder hereby certifies that the only persons or parties interested in this Bid are those named herein, and that no other bidder or prospective bidder has given any information concerning this Bid.

A. If the bidder anticipates services under the contract or any subcontracts will be performed outside the United States or Colorado, the bidder shall provide in a written statement which must include, but need not be limited to the type of services that will be performed at a location outside the United States or Colorado and the reason why it is necessary or advantageous to go outside the United States or Colorado to perform such services. (Does not apply to any project that receives federal moneys)

B. For State Public Works projects per C.R.S. 8-17-101, Colorado labor shall be employed to perform at least 80% of the work. Colorado Labor means any person who is a resident of the state of Colorado at the time of the Public Works project. Bidders indicating that their bid proposal will not comply with the 80% Colorado Labor requirement are required to submit written justification along with the bid submission. (Does not apply to any project that receives federal moneys–

C. A Service-Disabled Veteran Owned Small Business (SDVOSB) per C.R.S. 24-103-211, means a business that is incorporated or organized in Colorado or maintains a place of business or has an office in Colorado and is officially registered and verified by the Center for Veteran Enterprise within the U.S. Department of Veteran Affairs. Attach proof of certification along with the bid submission.

4. BID GUARANTEE: This Bid is accompanied by the required Bid Guarantee. You are authorized to hold said Bid Guarantee for a period of not more than thirty (30) days after the opening of the Bids for the work above indicated, unless the undersigned bidder is awarded the Contract, within said period, in which event the Director, State Buildings Programs, may retain said Bid Guarantee, until the undersigned bidder has executed the required Agreement and furnished the required Performance Bond, Labor and Material Payment Bond, Insurance Policy and Certificates of Insurance and Affidavit Regarding Unauthorized Immigrants.

5. TIME OF COMPLETION: The bidder agrees to achieve Substantial Completion of the Project from the date of the Notice to Proceed within the number of calendar days entered above, and in addition, further agrees that the period between Substantial Completion and Final Acceptance of the Project will not exceed the number of

State Form SBP-6.13 Rev.7/2014 calendar days noted above. If awarded the Work, the bidder agrees to begin performance within ten (10) days from the date of the Notice to Proceed subject to Article 46, Time of Completion and Liquidated Damages of The General Conditions of the Contract, and agrees to prosecute the Work with due diligence to completion. The bidder represents that Article 7D of the Contractor’s Agreement (SC-6.21) has been reviewed to determine the type and amount of any liquidated damages that may be specified for this contract.

6. EXECUTION OF DOCUMENTS: The bidder understands that if this Bid is accepted, bidder must execute the required Agreement and furnish the required Performance Bond, Labor and Material Payment Bond, Insurance Policy and Certificates of Insurance and Affidavit Regarding Unauthorized Immigrants within ten (10) days from the date of the Notice of Award, and that the bidder will be required to sign to acknowledge and accept the Contract Documents, including the Drawings and Specifications.

7. ALTERNATES: Refer to the Information for Bidders (SC-6.12) for Method of Award for Alternates and use State Form SBP-6.13.1 Bid Alternates form to be submitted with this bid form if alternates are requested by the institution/agency in the solicitation documents.

8. Submit wage rates (direct labor costs) for prime contractor and subcontractor as requested by the institution/agency in the solicitation documents.

9. The right is reserved to waive informalities and to reject any and all Bids.

SIGNATURES: If the Bid is being submitted by a Corporation, the Bid should be signed by an officer, i.e., President or Vice-President. If a sole proprietorship or a partnership is submitting the Bid, the Bid shall so indicate and be properly signed.

Dated this Day of , 20

THE BIDDER:

Company Name Address (including city, state and zip)

Phone number:

Name (Print) and Title Signature

Colorado Department of Public Health and Environment Summitville Mine Superfund Site

Summitville Dam Impoundment Head Gate and Controls Project SV‐102

BID SCHEDULE

Item Description Unit Quantity Unit Price Extension

1 Removal of Material LS 1

2a Galvanized Schedule 40 Pipe, 2‐1/2" Diameter LF 64

2b Galvanized Schedule 40 Pipe, 2‐1/2" Coupling EA 2

2c Oil Seal Packing Assembly EA 2

3 Hydrogate Head Gate 561 Series Assembly Size 15" x 15" LS 2

TOTAL BID: ___________________

TOTAL BID (in words): ________________________________________________________________________

Note: Total bid price shall include costs for all labor and materials and related work necessary for a complete and functioning project as described in the 'Summitville Dam Impoundment Head Gate and Controls' bid documents dated January 14, 2015.

ADDITIVE ALTERNATE BID ITEMS

Item Description Unit Quantity Unit Price Extension

4a Removal and Installation, 1/2" Dia. x 18" Long Anchor Bolt EA 8

4b Removal and Installation, 1/2" Dia. x 18" Long Anchor Bolt EA 12

5 Galvanized Schedule 40 Pipe, 2‐1/2" Pipe Clamps EA 8

6a Replacement of 1/2" Bronze Nuts EA 16

6b Replacement of 5/8" Bronze Nuts EA 24

6c Replacement of 1/2" Stainless Steel Washers EA 16

6d Replacement of 5/8" Stainless Steel Washers EA 24

7a Stainless Steel Valve Stem, 1‐1/2" Diameter LF 18

7b Cold Rolled Steel Valve Stem, 1‐1/2" Diameter LF 48

Rev. 4‐8‐2015

State Form SBP-6.14 Rev. 10/2006

STATE BUILDINGS PROGRAMS

BID BOND

Institution/Agency: Colorado Department of Public Health and Environment

Project No./Name: SV-102 Summitville Dam Impoundment Head Gate and Controls

KNOW ALL MEN BY THESE PRESENTS:

WHEREAS, hereinafter called the “PRINCIPAL”, is submitting a PROPOSAL for the above described project, to the STATE OF COLORADO, hereinafter called the “OBLIGEE”.

WHEREAS, the Advertisement for Bids has required as a condition of receiving the Proposals that the Principal submit with the PROPOSAL GUARANTY in an amount not less than five per cent (5%) of the Proposal, which sum it is specifically agreed is to be forfeited as Liquidated Damages in the event that the Principal defaults in his obligation as hereinafter specified, and, in pursuance of which Requirement, this Bid is made, executed and delivered.

NOW THEREFORE, the Principal and a corporation of the State of , duly authorized to transact business in Colorado, as Surety, are held and firmly bound unto the Obligee, in the sum of five per cent (5%) of the Principal’s total bid price, lawful money of the United States for the payment of which sum, well and truly to be made to the Obligee, we bind ourselves, our heirs, executors, administrators, successors and assigns, jointly and severally, firmly by these presents.

FURTHER THAT, a condition of the obligation that the Principal shall maintain his Proposal in full force and effect for thirty (30) days after the opening of the proposals for the project, or, if the Principal’s Proposal is accepted, the Principal shall, within the prescribed time, execute the required Agreement, furnish the required Performance Bond, Labor and Material Payment Bond, Insurance Policy, Certificates of Insurance and Certification and Affidavit Regarding Illegal Aliens, then this obligation shall be null and void, otherwise it shall remain in full force and effect, and subject to forfeiture upon demand as Liquidated Damages.

IN WITNESS WHEREOF said Principal and Surety have executed this Bond, this day of , A.D., 20 .

(Corporate Seal) THE PRINCIPAL

Company Name

ATTEST

Address (including city, state and zip) Secretary Phone number:

Name (Print) Signature

Name (Print) and Title

SIGNATURES If the “Principal” is doing business as a Corporation, the Bid Bond shall be signed by an officer, i.e., President or

Vice President. The signature of the officer shall be attested to by the Secretary and properly sealed.

If the “Principal” is an individual or a partnership, the Bid Bond shall so indicate and be properly signed.

(Corporate Seal) THE SURETY

By __________________________________________ Secretary Attorney-in-Fact

THIS BOND MUST BE ACCOMPANIED BY POWER OF ATTORNEY, EFFECTIVELY DATED.

FAILURE TO PROVIDE A PROPERLY EXECUTED BID BOND WITH A PROPERLY EXECUTED POWER OF

ATTORNEY WILL RESULT IN THE BIDDER’S PROPOSAL BEING DEEMED NON-RESPONSIVE.

Rev. 1/2014

SC-6.21

CONTRACTOR'S DESIGN/BID/BUILD (D/B/B) AGREEMENT

(STATE FORM SC-6.21)

CONTRACT ID NUMBER:

AGENCY IDENTIFICATION NUMBER:

PROJECT NUMBER: SV-102

PROJECT NAME: Summitville Dam Impoundment Head Gate and Controls

Rev. 1/2014 1 of 1

STATE OF COLORADO

CONTRACTOR'S DESIGN/BID/BUILD AGREEMENT

TABLE OF CONTENTS Page(s)

RECITALS 1

ARTICLE 1. Performance of the Work 1

ARTICLE 2. Provisions of the Contract Documents 1

ARTICLE 3. Time of Completion 1

ARTICLE 4. Essential Condition 1

ARTICLE 5. Contract Sum 1

ARTICLE 6. Contract Documents 1

ARTICLE 7. Optional Provisions and Elections 2

SIGNATURE APPROVALS 3

Exhibits:

A Contractor's Bid (Form SC-6.13) B Performance Bond (Form SC-6.22) C Labor and Material Payment Bond (Form SC-6.221) D Insurance Certificates E Certification and Affidavit Regarding Unauthorized Immigrants (required at contract signing prior to commencing work) F Contract Management Information Construction Contractor G Building Code Compliance Policy: Coordination of Approved Building Codes, Plan Reviews and Building Inspections H Federal Requirements

Rev. 1/2014 Page 1 of 3

STATE OF COLORADO

CONTRACTOR'S DESIGN/BID/BUILD (D/B/B) AGREEMENT

(STATE FORM SC-6.21)

Agency I.D. No.: Contract ID No.: Project No.

1. PARTIES. THIS AGREEMENT is entered into by and between the STATE OF COLORADO, acting by and through the Colorado Department of Public Health and Environment , hereinafter referred to as the Principal Representative, and (vendor name) having its offices at (vendor address) hereinafter referred to as the Contractor.

2. EFFECTIVE DATE AND NOTICE OF NONLIABILITY. This Agreement shall not be effective or enforceable until it is approved and signed by the State Controller or its designee (hereinafter called the “Effective Date”), but shall be effective and enforceable thereafter in accordance with its provisions. The State shall not be liable to pay or reimburse Contractor for any performance hereunder or be bound by any provision hereof prior to the Effective Date.

WHEREAS, the Principal Representative intends to replace deteriorating head gate assemblies of the Summitville Dam Impoundment, including removal of existing head gate assemblies and replacement with new assemblies . Hereinafter called the Project; and

WHEREAS, authority exists in Law and Funds have been budgeted, appropriated, and otherwise made available, and a sufficient unencumbered balance thereof remains available for payment in Fund Number , Account Number , Contract Encumbrance Number , and

WHEREAS, this is a phase one waived contract, waiver number 156 Contractors Agreement for Capital Construction Form SC6.21.

WITNESSETH, that the State of Colorado and the Contractor agree as follows:

ARTICLE 1. PERFORMANCE OF THE WORK

The Contractor shall perform all of the Work required for the complete and prompt execution of everything described or shown in, or reasonably implied from the Contract Documents for the above referenced Project.

ARTICLE 2. PROVISIONS OF THE CONTRACT DOCUMENTS

The Contractor agrees to perform the Work to the highest industry standards and to the satisfaction of the State of Colorado and its Architect/Engineer in strict accordance with the provisions of the Contract Documents.

ARTICLE 3. TIME OF COMPLETION

The Contractor agrees to Substantially Complete the Project within 30 calendar days from the date of the Notice to Proceed, in addition, the Contractor agrees to finally complete the Project from Substantial Completion to Final Acceptance within 10 calendar days for a total time of completion of the entire Project of 40 calendar days. The Contractor shall perform the Work with due diligence to completion.

ARTICLE 4. ESSENTIAL CONDITION

Timely completion of the Project is an essential condition of this Agreement. The Contractor shall be subject to any liquidated damages described in Article 7D for failure to satisfactorily complete the Work within the time periods in Article 3 above.

ARTICLE 5. CONTRACT SUM

The Contractor shall be paid for the performance of this Agreement, subject to any additions and deductions as provided for in Articles 32, 34 and 35 of The General Conditions of the Construction Contract SC-6.23, the sum of

DOLLARS AND NO/100* ($ *).

ARTICLE 6. CONTRACT DOCUMENTS

The Contract Documents, as enumerated in Article 1 of The General Conditions of the Contractor’s Design/Bid/Build (D/B/B) Agreement SC-6.23, are all essential parts of this Agreement and are fully incorporated herein.

Rev. 1/2014 Page 2 of 3

ARTICLE 7. OPTIONAL PROVISIONS AND ELECTIONS

The provisions of this Article 7 alter the Articles (The General Conditions of the Contractor’s Design/Bid/Build Agreement SC-6.23) or enlarge upon them as indicated:

The Principal Representative and or the State Buildings Programs shall mark boxes and initial where applicable.

A. MODIFICATION OF ARTICLE 45. GUARANTEE INSPECTIONS AFTER COMPLETION

If the box below is marked the six month guarantee inspection is not required.

______ Principal Representative initial

B. MODIFICATION OF ARTICLE 27. LABOR AND WAGES

If the box is marked the Federal Davis-Bacon Act shall be applicable to the Project. The minimum wage rates to be paid on the Project shall be furnished by the Principal Representative and included in the Contract Documents.

______ Principal Representative initial

C. MODIFICATION OF ARTICLE 39. NON-BINDING DISPUTE RESOLUTION –

FACILITATED NEGOTIATIONS

If the box is marked, and initialed by the State as noted, the requirement to participate in facilitated negotiations shall be deleted from this Contract. Article 39, Non-Binding Dispute Resolution – Facilitated Negotiations, shall be deleted in its entirety and all references to the right to the same where ever they appear in the contract shall be similarly deleted.

The box may be marked only for projects with an estimated value of less than $500,000.

______ Principal Representative initial

D. MODIFICATION OF ARTICLE 46. TIME OF COMPLETION AND LIQUIDATED DAMAGES

If an amount is indicated immediately below, liquidated damages shall be applicable to this Project as, and to, the extent shown below. Where an amount is indicated below, liquidated damages shall be assessed in accordance with and pursuant to the terms of The General Conditions of the Design/Bid/Build Agreement Article 46, Time of Completion And Liquidated Damages, in the amounts and as here indicated. The election of liquidated damages shall limit and control the parties right to damages only to the extent noted.

1. For the inability to use the Project, for each day after the number of calendar days specified in the Contractor’s bid for the Project and the Agreement for achievement of Substantial Completion, until the day that the Project has achieved Substantial Completion and the Notice of Substantial Completion is issued, the Contractor agrees that an amount equal to ____________zero_________________ ($ 0.00 ) shall be assessed against Contractor from amounts due and payable to the Contractor under the Contract, or the Contractor and the Contractor’s Surety shall pay to the Principal Representative such sum for any deficiency, if amounts on account thereof are deducted from remaining amounts due, but amounts remaining are insufficient to cover the entire assessment.

2. For damages related to or arising from additional administrative, technical, supervisory and professional expenses related to and arising from the extended closeout period, for each day in excess of the number of calendar days specified in the Contractor’s bid for the Project and the Agreement to finally complete the Project as defined by the issuance of the Notice of Final Acceptance) after the issuance of the final Notice of Substantial Completion, the Contractor agrees that an amount equal to ______________two thousand______________________ ($ 1000.00 ) shall be assessed against Contractor from amounts due and payable to the Contractor under the Contract, or the Contractor and the Contractor’s Surety shall pay to the Principal Representative such sum for any deficiency, if amounts on account thereof are deducted from remaining amounts due but amounts remaining are insufficient to cover the entire assessment.

E. NOTICE IDENTIFICATION

All Notices pertaining to General Conditions or otherwise required to be given shall be transmitted in writing, to the individuals at the addresses listed below, and shall be deemed duly given when received by the parties at their addresses below or any subsequent persons or addresses provided to the other party in writing.

Rev. 1/2014 Page 3 of 3

Notice to Principal Representative:

With copies to (State Buildings Programs (or Delegate) State of Colorado):

Notice to Contractor:

With copies to:

SIGNATURE APPROVALS:

THE PARTIES HERETO HAVE EXECUTED THIS CONTRACT

*Persons signing for Contractor hereby swear and affirm that they are authorized to act on Contractor’s behalf and acknowledge that the State is relying on their representations to that effect. Principal is not a recognized title and will not be accepted

Project Name/Number:

Contract ID No.:

THE CONTRACTOR STATE OF COLORADO, acting by and through:

(Insert Name & Title of Agency or IHE)

By:

Legal Name of Contracting Entity

(Insert Name & Title of Person Signing for Agency or IHE)

Date:

*Signature APPROVED

DEPARTMENT OF PERSONNEL & ADMINISTRATION

By STATE BUILDINGS PROGRAMS

Name (print) Title State Architect (or authorized Delegate)

Date: By:

(Insert Name of Authorized Individual)

ALL CONTRACTS MUST BE APPROVED BY THE STATE CONTROLLER:

CRS §24-30-202 requires the State Controller to approve all State Contracts. This Contract 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 Contractor begins performing prior thereto, the State of Colorado is not obligated to pay Contactor for such performance or for any goods and/or services provided hereunder.

APPROVED:

STATE CONTROLLER'S OFFICE

State Controller (or authorized Delegate)

By:

(Insert Name & Title of Authorized Individual)

EXHIBIT A

CONTRACTOR’S BID (Form SBP-6.13)

EXHIBIT B

PERFORMANCE BOND (Form SC-6.22)

EXHIBIT C

LABOR AND MATERIAL PAYMENT BOND (Form SC-6.221)

EXHIBIT D

INSURANCE CERTIFICATE(S) (attached)

EXHIBIT E

Certification and Affidavit Regarding Unauthorized Immigrants (required at contract signing prior to commencing work) (UI-1, attached)

EXHIBIT F

Contract Management Information Construction Contractor – Performance Evaluation Report (Form SB-228 C. v1) (if applicable, attached)

EXHIBIT G

Building Code Compliance Policy: Coordination of Approved Building Codes, Plan Reviews and Building Inspections

EXHIBIT H

Federal Requirements

Federal Grant Requirements

The following requirements are based on this contract being funded, at least in part, by the federal government through the U.S. EPA. The requirements are based on the Cooperative Agreement between the Colorado Department of Public Health and Environment (CDPHE) and the

Environmental Protection Agency (EPA) and regulatory requirements contained in 40 CFR 35

Subpart O.

CDPHE requires, and the CONTRACTOR agrees to comply with the following:

1. Insurance: The CONTRACTOR agrees that in all instances where this agreement requires the CONTRACTOR to include the State as either a named or additional insured party, the

CONTRACTOR will also include the EPA as either a named or additional insured party.

2. CONTRACTOR Conflict of Interest: Prior to executing an agreement, CONTRACTOR shall provide: (1) information on its status and the status of parent companies, subsidiaries, affiliates, subcontractors and current clients as PRPs at the site; (2) certification that to the best of its knowledge and belief it has disclosed such information or no such information exists;

and (3) a statement that it immediately shall disclose any such information discovered after submission of its bid or proposal or after award. CDPHE shall evaluate such information and shall exclude any bidder or offeror if CDPHE determines the offeror’s conflict of interest is significant and cannot be avoided or otherwise resolved.

3. The CONTRACTOR agrees to ensure that all space for conferences, meetings, conventions, or training funded in whole or in part under this agreement complies with the Hotel and Motel

Fire Safety Act of 1990.

4. The CONTRACTOR agrees to use recycled paper for submittals and reports, which are prepared under this agreement and submitted to CDPHE.

5. Pursuant to CERCLA (Comprehensive Environmental Response, Compensation, and

Liability Act, 42 U.S.C. sections 9601-9675), the CONTRACTOR shall meet the substantive requirements of all environmental laws and regulations except the procedural and administrative requirements of permit applications. The CONTRACTOR shall submit to the

CDPHE that information as necessary to demonstrate that the work will comply with the substantive portions of such environmental laws and regulations for review and approval by the CDPHE in lieu of performing the administrative or procedural aspects of applying for permits prior to initiating work that would otherwise be subject to an environmental permit.

6. The CONTRACTOR agrees to comply with requirements contained in 40 CFR 35, Subpart O, that are applicable to a party contracting with a grant recipient (CDPHE is the grant recipient).

A summary of those requirements follows. Failure of this summary to specifically identify any such federal requirements does not relieve the CONTRACTOR of his responsibility to comply with applicable parts of the federal regulation:

A. Royalties and Patents.

The CONTRACTOR must report to CDPHE, promptly and in reasonable written detail, each known notice or claim of patent or copyright infringement under this Contract. In the event of any claim or suit against the State or CDPHE on account of any alleged patent or copyright infringement arising out of the performance of this Contract or out of the use of any supplies furnished or Work or services performed hereunder, the CONTRACTOR must furnish to CDPHE upon request, all evidence and information in the

CONTRACTOR’s possession or control pertaining to such suit or claim. Such evidence and information shall be furnished at the expense of the CONTRACTOR. If this Contract involves research, developmental, experimental or demonstration work and any discovery or invention arises or is developed in the course of or under this Contract, such invention or discovery shall be subject to the reporting and rights provisions of Subpart K of 40 CFR

Part 30, including Appendix B of said Part 30. In such case, the CONTRACTOR shall report the discovery or invention to EPA directly or through the CDPHE and shall otherwise comply with the CDPHE’s responsibilities in accordance with Subpart D of 40

CFR Part 30. The CONTRACTOR hereby agrees that disposition of rights to inventions made under this contact shall be in accordance with the terms and conditions of the aforementioned Appendix B. The CONTRACTOR shall include provisions appropriate to effectuate the purposes of this condition in all subcontracts involving research, development, experimental or demonstration work.

The CONTRACTOR agrees that any plans, drawings, specification, computer programs, technical reports, operating manuals or other “Subject Data” (as defined in Appendix C to

40 CFR Part 30) are subject to the rights in the United States, as set forth in said Appendix

C, including the right to use, duplicate and disclose such manuals, etc., in whole or in part, in any manner for any purpose whatsoever, and to have others do so. For purposes of this paragraph, “grantee” as used in said Appendix C shall refer to the CONTRACTOR. If the material is copyrightable, the CONTRACTOR may copyright such, as permitted by said

Appendix C, but the CDPHE and the federal government reserve a royalty-free, non-exclusive and irrevocable license to reproduce, publish and use such materials in whole or in part, and to authorize others to do so. The CONTRACTOR shall include provisions appropriate to effectuate the purpose of this condition in all subcontracts expected to produce copyrightable “Subject Data.”

B. Access.

The CDPHE and the EPA, or representatives of these parties, shall at all reasonable times have or be provided access to the work and facility.

C. Funding.

The agreement is funded, in part or in whole, by federal funds pursuant to a funding agreement between the CDPHE and a federal agency. As such the agreement is contingent upon continuing availability of federal funds for payment pursuant to the terms of the funding agreement with the federal agency.

D. Privity

Neither the United States nor any of its departments, agencies or employees is, or will be, a party to the Agreement or any lower tier Subcontract.

E. Standards for Financial Management Systems.

(1) Accounting systems standards. The CONTRACTOR’s accounting system must provide control, accountability, and an assurance that funds, property, and other assets are used only for their authorized purposes. The CONTRACTOR must allow

CDPHE to review the adequacy of the financial management system as described in

40 CFR section 31.20(c).

(2) Allowable costs. The CONTRACTOR’s systems must comply with the appropriate allowable cost principles described in 40 CFR section 31.22.

F. Audit and Access to Records.

(1) The CONTRACTOR shall maintain books, records, documents and other evidence directly pertinent to performance of Work under this Contract, including changes or amendments, in accordance with generally accepted accounting principles and practices consistently applied, and 40 CFR Part 30 in effect on the date of execution of this Contract. The CONTRACTOR shall also maintain the financial information and data used in preparation or support of any cost submissions required under 40

CFR section 35.6585. The EPA, the Comptroller General of the United States, the

United States Department of Labor, CDPHE and the State or any of their authorized representatives shall have access to all such books, records, documents and other evidence for the purpose of inspection, audit and copying during normal business ours. The CONTRACTOR will provide proper facilities for such access and inspection.

(2) Retention period. Consistent with 40 CFR Part 35.6705 the CONTRACTOR must maintain all records for 10 years following the State’s submission of the Financial

Status Report which covers completion of CONTRACTOR’s work, unless otherwise directed in writing by CDPHE, with the concurrence of EPA. If any litigation, claim, negotiation, audit, cost recovery, or other action involving the records has been started before expiration of the 10-year period, the records must be retained until completion of the action and resolution of all issues which arise from it, or until the end of the regular ten-year-period, whichever is later.

(3) Substitution of Microform. Microform copies may be substituted for the original records. The CONTRACTOR must have written CDPHE approval before destroying original records. The microform copying must be performed in accordance with the technical regulations concerning micrographics of Federal

Government records (36 CFR part 1230) and EPA records management procedures

(EPA Order 2160).

(4) Access to records is not limited to the required retention periods. The authorized representative designated in paragraph (1) of this requirement shall have access to records at any reasonable time for as long as the records are maintained.

(5) This right of access applies to all records pertaining to the Contract, including, but not limited to, contract amendments and change orders.

G. CONTRACTOR Certifications and Duties

(1) The CONTRACTOR represents and warrants the following to CDPHE (in addition to the other representations and warranties contained in the Contract Documents), as an inducement to CDPHE to execute this Contract which representations and warranties shall survive the execution and delivery of this Contract and the final completion of work: That pursuant to 31 U.S.C. Section 1352, the CONTRACTOR certifies to the best of it’s knowledge and belief that:

a. No federally appropriated funds or funds disbursed or received pursuant to this

Contract have been paid or will be paid, by or on behalf of the CONTRACTOR, to any person for influencing or attempting to influence an officer or employee of any 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 this

Contract, any federal Contract, the making of any federal grant, the making of any federal loan, the entering into of any cooperative agreement, and the extension, continuation, renewal, amendment, or modification of this Contract, federal Contract, grant, loan, or cooperative agreement.

b. If any funds other than federal appropriated funds have been paid or will be paid to any person for influencing or attempting to influence an officer or employee of any agency, a member of Congress, in connection with this Contract, the

CONTRACTOR shall complete and submit to CDPHE Standard Form LLL, “Disclosure Form to report Lobbying,” in accordance with its instructions.

(2) CONTRACTOR Duties:

a. Covenant Against Contingent Fees. The CONTRACTOR warrants that he has not employed or retained any company or person, other than a bona fide employee working solely for him, to solicit or secure this Contract and that he has not paid or agreed to pay any person, company, corporation, individual, or firm, other than a bona fide employee working solely for him any fee commission, percentage, or gift, or other consideration contingent upon or resulting from the award or the making of this Contract. For breach or violation of this warranty, the CDPHE shall have the right to annul this Agreement without liability or, in its discretion, to deduct from the Agreement price or consideration, or otherwise recover the full amount of such commission, percentage, brokerage or contingent fee.

b. Duty not to use violating facility. The CONTRACTOR shall be in compliance with all applicable standards, orders or requirements issued under Section 306 of the Clean Air Act (33 U.S.C. 1368), Executive Order 11738, and EPA regulations (40 CFR Part 15) which prohibit the use of facilities included on the

EPA’s List of Violating Facilities, 40 CFR Section 35.6595(b)(2). The

CONTRACTOR shall report any violations to the EPA.

c. Conflict of Interest. Potentially Responsible Party (“PRP”)/Organizational

Conflict. The CONTRACTOR certifies that it provided with its bid in bidding for this Contract complete information on its financial relationship with:

i. All PRPs at the Site.

ii. The CONTRACTOR’s parent companies, subsidiaries, affiliates, Subcontractors, or current clients at the Site, if such information exists.

Subsequent disclosure. The CONTRACTOR shall immediately disclose to

CDPHE any conflict of interest information discovered after submission of the CONTRACTOR’s Technical Offer in bidding for this Contract, the bid or award.

CDPHE SHALL evaluate the information and in its sole discretion, determine whether to declare the CONTRACTOR non-responsible and award the Contract to someone else.

CONTRACTOR’s Employees/Agents. The CONTRACTOR shall notify

CDPHE of any actual, apparent, or potential conflict of interest regarding any individual working on a Contract assignment or having access to information regarding the Contract. This notification shall include organizational and personal conflicts of interest. If such conflicts of interest exist, the employee or agency who is affected shall be disqualified from taking part in any way in the performance of the assigned Work that created the conflict of interest situation.

Employment. The CONTRACTOR shall not accept employment from any party other than the recipient or federal agencies for work directloy related to the site(s) covered under the contract for five years after the contract has terminated. The State may exempt the CONTRACTOR from this requirement through a written release. The release must include the EPA’s concurrence.

d. Certification of independent price determination. The CONTRACTOR certifies that it included in its bid or proposal a certification of independent price determination stating that no collusion as defined by Federal and State antitrust laws, occurred during bid preparation.

e. The CONTRACTOR shall not provide data generated or otherwise obtained in the performance of the CONTRACTOR’s responsibilities under a Contract to any party other than CDPHE, the State, EPA or their authorized agents for the life of the Contract, and for a period of five years after completion of the

Contract.

Failure to disclose any of the aforementioned information will constitute a breach of this Contract. In such a case, CDPHE may terminate this Contract in addition to any other remedies it has under this Contract or at law for Breach. If such failure to so disclose is determined by CDPHE to be deliberate or willful or with an intent to defraud or misrepresent, CDPHE will have, in addition to its remedies for breach of the Contract, remedies regarding debarment of the

CONTRACTOR from participation in Contracting activities with the CDPHE or other remedies under law.

H. Suspension and Debarment.

The CONTRACTOR affirmatively avers that the CONTRACTOR and all principals are not presently debarred, suspended, proposed for debarment, declared ineligible, or voluntarily excluded from covered transactions by any federal department or agency. The

CONTRACTOR and all principals shall comply with all applicable regulations pursuant to

Executive Order 12549, including Debarment and Suspension and Participants’

Responsibilities, 29 C.F.R. 98.510 (1990).

I. Other Federal Provisions.

(1) The CONTRACTOR shall comply with the mandatory standards and policies on energy efficiency contained within the State of Colorado’s energy conservation plan issued in compliance with the Energy Policy and Conservation Act, 40 CFR Section

35.6595(b)(1).

(2) The CONTRACTOR agrees to use recycled paper to the extent required by the U.S.

EPA Order No. 100.25 dated January 24, 1990. CONTRACTOR agrees to use recycled paper for all reports which are prepared as a part of this Contract and delivered to CDPHE for submittal to EPA, as directed by CDPHE.

(3) Litigation Assistance/Duty to Provide Witnesses. For a period of six years after completion of this Contract, or until any cost recovery action related to the site is completed, whichever is longer, the CONTRACTOR shall provide witnesses and documentation of activities performed and cost incurred under this Contract upon request by the CDPHE, EPA or any of their authorized agents. The costs of providing such witnesses and documentation are not included in this Contract or the

Contract Sum.

(4) The CONTRACTOR shall acknowledge the financial support of the CDPHE and the EPA whenever work funded, in whole or in part, by this Contract is publicized or reported in any news media or publications. All reports and other documents completed as a part of the contract, other than documents prepared exclusively for internal use within the state, shall carry the following notation on the front cover of title page:

“PREPARED IN COOPERATION WITH THE STATE OF COLORADO DEPARTMENT OF

PUBLIC HEALTH AND ENVIRONMENT AND THE U.S. ENVIRONMENTAL

PROTECTION AGENCY

This report was financed by a grant from the U.S. Environmental Protection Agency to the

Colorado Department of Public Health and Environment”

(5) Gratuities. If the State finds after a notice and hearing that the CONTRACTOR or any of the CONTRACTOR’s agents or representatives offered or gave gratuities (in the form of entertainment, gifts or otherwise) to any official, employee or agent of the State of Colorado or the EPA in an attempt to secure a contract or favorable treatment in awarding, amending or making any determinations related to the performance of this Contract, the CDPHE may, by written notice to the

CONTRACTOR, terminate this contract. The CDPHE may also pursue other rights and remedies that the law or this Contract provides. However, the existence of the facts on which the CDPHE bases its findings may be reviewed under the

Remedies clause of the Contract.

In the event this contract is terminated as provided in the foregoing paragraph, the

CDPHE may pursue the same remedies against the CONTRACTOR as it could pursue in the event of a breach of Contract by the CONTRACTOR, and as a penalty, in addition to any other damages to which it may be entitled by law, be entitled to exemplary damages in an amount which shall not be less than three nor more than ten times the costs that the CONTRACTOR incurs in providing any such gratuities to any such officer or employee.

J. Minority and Women’s Business Enterprise

The “Minority/Women Business Enterprise Participation Report” contains State goals pertaining to Minority and Women Business Opportunity. The federal “Fair Share” participation goal for this project is 6.1 % Minority Business Enterprises and 6.6%

Women Business Enterprises. The CONTRACTOR agrees to ensure that to the fullest extent possible that the federal “Fair Share” goal be achieved.

If the fair share objective is not achieved, the CONTRACTOR will, if requested by the

CDPHE, demonstrate in writing that the affirmative steps stated in 40 CFR Part 33.240(a), 31.36(3) or 35.6580(a), as appropriate, were followed.

The CONTRACTOR agrees to submit a Minority / Women / Business Enterprise

Participation Report to CDPHE monthly. A NEGATIVE FORM IS REQUIRED.

K. Supersession. The parties agree that appropriate clauses found in 40 CFR, Section

33.1030 (1987) apply to the Work of this Contract. To the extent that the clauses found in

40 CFR, Section 33.1030 (1987) conflict with the provisions of this Contract the more restrictive provision shall apply.

L. Compliance with Federal Requirements in Award of Subcontracts

The CONTRACTOR must comply with the following provisions set forth or referenced in

40 CFR, Part 35.6610 in the award of Subcontracts (This requirement does not apply to a supplier’s procurement of materials to produce equipment, materials and catalog, off-the-shelf, or manufactured items).

(1) Debarment. The CONTRACTOR will not award any subcontracts or permit any award of a subcontract at any tier to any party which is debarred or suspended or is otherwise excluded from participation in federal assistance programs under

Executive Order 12549, “Debarment and Suspension.” While evaluating potential subcontractors, the CONTRACTOR must consult the most current “List of Parties

Excluded from Federal Procurement or Non procurement Programs” to ensure that the potential subcontractors and all principals are not prohibited from participation in assistance programs.

(2) Selection of Responsible Subcontractors. The CONTRACTOR will make awards only to responsible subcontractors possessing the ability to perform successfully under the terms and conditions of the Contract Documents. The CONTRACTOR shall consider such matters as subcontractor integrity, compliance with public policy, record of past performance, and financial and technical resources in making the award.

(3) MBE/WBE utilization. The CONTRACTOR will require Subcontractors to comply with the requirements applicable to this agreement regarding minority and women owned business enterprises consistent with 40 CFR, Section 35.6580, and the Fair Share goals of 6.1% minority owned business utilization and 6.6% women owned business utilization.

(4) Competition. The CONTRACTOR must conduct subcontracting transactions in a manner providing maximum, full and open competition. The CONTRACTOR is prohibited from specifying only a “brand name” product, instead of allowing “an equal” product to be offered and describing the performance or other relevant requirements. If the CONTRACTOR prepares written specifications they must include a clear and accurate description of the technical requirements and the qualitative nature of the material, product or service to be procured.

(5) Federal Cost Principles. CONTRACTOR must require the Subcontractor to comply with the applicable federal cost principles in 40 CFR, Section 31.22.

(6) Prohibited Contracts. The CONTRACTOR may not use a cost-plus-percentage of cost (e.g. multiplier which includes profit) or a percentage-of construction-cost type of subcontract.

(7) Required Subcontract Provisions:

a. General: Each subcontract must be a sound and complete agreement, and include the following provisions: (i) Nature, scope, and extent of Work to be performed; (ii) Timeframe for performance; (iii) Total cost of the Subcontract;

(iv) Payment provisions.

b. Other:

(i) Energy efficiency: A subcontractor must comply with mandatory standards and policies on energy efficiency contained within the State’s energy conservation plan issued in compliance with the Energy Policy and

Conservation Act (Pub. L. 94-163).

(ii) Violating facilities: Subcontracts in excess of $100,000 must contain a provision which requires Subcontractor compliance with all applicable standards, orders or requirements under Section 306 of the Clean Air Act (42

U.S.C. Section 11368). Executive Order 11738, and EPA regulations (40

CFR part 15) which prohibit the use of facilities included on the EPA List of

Violating Facilities under nonexempt federal contracts, grants or loans.

(iii) Patents, inventions, and copyrights: All subcontracts must include notice of EPA requirements and regulations pertaining to reporting and patent rights under any discovery or invention which arises or is developed while conducting Work under a subcontract. This notice shall also include EPA requirements and regulations pertaining to copyrights and rights to data contained in 40 CFR Section 31.34.

(iv) Labor Standards: The CONTRACTOR must include a copy of EPA Form

5720-4 (“Labor Standards Provisions for Federally Assisted Construction

Contracts”) in each subcontract for construction (as defined by the Secretary of Labor in 29 CFR Part 5). The form contains the Davis Bacon Act requirements (40 U.S.C. Sections 276a-276a-7), the Copeland Regulations

(29 CFR part 3), the Contract Work Hours and Safety Standards Act

Overtime Compensation (40 U.S.C. Sections 327-333), and the nondiscrimination provisions in Executive Order 11246 as amended.

(v) Conflict of Interest: The CONTRACTOR must include provisions in the subcontract pertaining to conflict of interest as described in requirement 6.G of this Exhibit, consistent with 40 CFR Part 33.1030 (1987) in preparing the subcontract.

(vi) The CONTRACTOR must comply with the requirements regarding model

Contract clauses described in 40 CFR Part 33.1030 (1987) in preparing the subcontract.

(vii) Records Access: Pursuant to 40 CFR Part 35.6710 (c) the CONTRACTOR must require its Subcontractors to comply with the requirements regarding records access described in 40 CFR 31.36(I)(10) which provides that the

CONTRACTOR, the State, and the Comptroller General of the United

States, or any of their duly authorized representatives shall have access to any books, documents, papers, and records of the Subcontractor which are directly pertinent to the Subcontract for the purpose of making audit, examination, excerpts, and transcriptions.

Page 1 - 1 - EPA Form 5720-4 (Rev. 10-92) Previous edition is obsolete

Davis-Bacon and Related Acts

United States Environmental Protection Agency Washington, DC 20460

Labor Standards Provisions for

Federally Assisted Contracts

Section 5.5 Contract provisions and related matters.

(a) The Administrator of the U.S. Environmental Protection Agency (EPA) requires the contracting officer to insert in full in any contract in excess of $2,000 which is entered into for the actual construction, alteration and/or repair, including painting and decorating, of a public building or public work, or building or work financed in whole or in part from Federal funds or in accordance with guarantees of the EPA or financed from funds obtained by pledge of any contract of a Federal agency to make a loan, grant, or annual contribution and which is subject to the labor standards provisions of any of the acts listed in section 5.1, the following clauses:

(1) Minimum wages. (I) All laborers and mechanics employed or working upon the site of the work will be paid unconditionally and not less often than once a week, and without subsequent deduction or rebate on any account (except such payroll deductions as are permitted by regulations issued by the Secretary of Labor under the Copeland Act (29 CFR Part 3)), the full amount of wages and bona fide fringe benefits (or cash equivalents thereof) due at the time of payment computed at rates not less than those contained in the wage determination of the Secretary of Labor which attached hereto and made a part hereof, regardless of any contractual relationship which may be alleged to exist between the contractor and such laborers and mechanics. Contributions made or costs reasonably anticipated for bona fide fringe benefits under section 1

(b) (2) of the Davis-Bacon Act on behalf of laborers or mechanics are considered wages paid to such laborers or mechanics, subject to the provisions of paragraph (a) (1) (iv) of this section; also, regular contributions made or costs incurred for more than a weekly period (but not less often than quarterly) under plans, funds, or programs which cover the particular weekly period, are deemed to be constructively made or incurred during such weekly period. Such laborers and mechanics shall be paid the appropriate wage rate and fringe benefits on the wage determination for the classification of work actually performed, without regard to skill, except as provided in section 5.5 (a). (4). Laborers or mechanics performing work in more than one classification may be compensated at the rate specified for each classification for the time actually worked therein: Provided, that the employer’s payroll records accurately set forth the time spent in each classification in which work is performed. The wage determination (including any additional classification and wage rates conformed under paragraph (a) (1) (ii) of this section) and the Davis-Bacon poster (WH-1321) shall be posted at all times by the contractor and its subcontractors at the site of the work in a prominent and accessible place where it can be easily seen by the workers.

(ii) (A) The contracting officer shall require that any class of laborers or mechanics including helpers, which is not listed in the wage determination and which is to be employed under the contract shall be classified in conformance with the wage determination. The contracting officer shall approve an additional classification and wage rate and fringe benefits therefore only when the following criteria have been met:

(1) The classification is utilized in the area by the construction industry; and

(2) Except with respect to helpers as defined in 29 CFR 5.2 (n) (4), the work be performed by the classification requested is not performed by a classification in the wage determination; and

(3) The proposed wage rate, including any bona fide fringe…