HomeMy WebLinkAbout1055 MoDOT STP BILL NO. 2071-003 ORDINANCE NO. OS
AN ORDINANCE APPROVING A STP-URBAN PROGRAM AGREEMENT BETWEEN THE
CITY AND THE MISSOURI HIGHWAYS AND TRANSPORTATION COMMISSION IN
CONNECTION WITH THE LINE CREEK VIVION ROAD BRIDGE REPLACEMENT AND
RELATED ROADWAY IMPROVEMENTS; AUTHORIZING, RATIFIYING AND CONFIRMING
THE EXECUTION AND DELIVERY OF SAME, AND AUTHORIZING CERTAIN ADDITIONAL
ACTIONS IN CONNECTION THEREWITH.
WHEREAS, the Board of Aldermen find it is necessary and desirable to enter into an
agreement to provide for the utilization of Surface Transportation Program (STP) funding for the
replacement of the Vivion Road Bridge over Line Creek in substantially the same form as set
forth in Exhibit A attached hereto;
NOW THEREFORE, BE IT ORDAINED BY THE BOARD OF ALDERMEN OF THE
CITY OF RIVERSIDE, MISSOURI, AS FOLLOWS:
SECTION 1— AGREEMENT APPROVED. That a STP Urban Program Agreement by
and between the City and the Missouri Highways and Transportation Commission (the
"AgreemenY') in substantially the same form attached hereto as Exhibit A is hereby approved
and authorized. Further, the execution of such Agreement and the delivery of same by the City
Administrator, or designee, to the Missouri Highways and Transportation Commission is hereby
authorized, ratified and confirmed.
SECTION 2— AUTHORITY GRANTED. That all actions heretofore taken by the
officers, representatives and agents of the City in connection with the transaction contemplated
by this Ordinance are hereby ratified and confirmed, and the City shall, and the officers,
representatives and agents of the City are hereby authorized and directed to, take such further
action, and execute and deliver such other documents and instruments as may be necessary or
desirable to carry out and comply with the intent of this Ordinance, and to carry out, comply with
and perform the duties of the City with respect to such P�qreement.
SECTION 3- EFFECTIVE DATE. That this Ordinance shall be in full force and effect
from and after its passage and approval.
BE IT REMEMBERED that the above was read two times by heading only, PASSED
AND APPROVED by a majority o the Board of Aldermen and APPROVED by the Mayor of the
City of Riverside, Missouri, this day of ` , 2011.
�(C�lt./�p���vC�� [/ l-,��w
Mayor Kathleen L. Rose
ATT Approv� form:
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Robin Littrell, City Clerk n� omps , City Attorney
CCO Form: RM11
Approved: 07/96 (KMH)
Revised: 12/10 (MWH)
Modified: 01/11 (JMC)
CFDA Number: CFDA #20.205
CFDA Title: Highway Planning and Construction .
Award name/number: STP-3400 (424)
Award Year: 2010
Federal Agency: Federal Highway Administration, Department of Transportation
MISSOURI HIGHWAYS AND TRANSPORTATION COMMISSION
STP-URBAN PROGRAM AGREEMENT
THIS STP-URBAN AGREEMENT is entered into by the Missouri Highways and
Transportation Commission (hereinafter, "Commission") and the City of Riverside,
Platte County, Missouri (hereinafter, "City").
WITNESSETH:
WHEREAS, 23 U.S.C. §133 authorizes a Surface Transportation Program (STP)
to fund transportation related projects; and
WHEREAS, the City desires to construct certain improvements, more specifically
described below, using such STP funding; and
WHEREAS, those improvements are to be designed and constructed in
compliance with the provisions of this Agreement. and
WHEREAS, the Commission and the City shall enter into a MT17 sidewalk
Improvements Agreement which will address all sidewalk maintenance responsibilities
contemplated for the sidewalks constructed within Project STP-3400 (424).
NOW, THEREFORE, in consideration of the mutual covenants, promises and
representations in this Agreement, the parties agree as follows:
(1) PURPOSE: The purpose of this Agreement is to grant the use of STP
funds to the City. The improvement contemplated by this Agreement and designated as
Project STP-3400 (424) involves:
Removal of Bridge K0480 on Vivion Rd over Line Creek and replace with bridge
#A7804; as well as roadway improvements to allow for a 3-lane structure.
The City shall be responsible for all aspects of the construction of the improvement
unless specifically identified in this Agreement or subsequent written amendments.
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(2) LOCATION: The contemplated improvement designated as Project STP-
3400 (424) by the Commission is within the city limits of Riverside, Missouri. The
general location of the improvement is shown on an attachment hereto marked "Exhibit
A" and incorporated herein by reference. More specific descriptions are as follows:
Bridge # K0480 on Vivion Rd. over Line Creek in the City of
Riverside, Platte County Missouri.
(3) REASONABLE PROGRESS POLICY: The project as described in this
agreement is subject to the reasonable progress policy set forth in the Local Public
Agency (LPA) Manual. If the project is within a Transportation Management Area that
has a reasonable progress policy in place, the project is subject to that policy. If the
project is withdrawn for not meeting reasonable progress, the City agrees to repay the
Commission.for any progress payments made to the City for the project and agrees that
the Commission may deduct progress payments made to the City from future payments
to the City.
(4) LIMITS OF SYSTEM: The limits of the surface transportation system for
the City shall correspond to its geographical area as encompassed by the urban
boundaries of the City as fixed cooperatively by the parties subject to approval by the
Federal Highway Administration (FHWA).
(5) ROUTES TO BE INCLUDED: The City shall select the high traffic volume
arterial and collector routes to be included in the surface transportation system, to be
concurred with by the Commission, subject to approval by the FHWA. It is understood
by the parties that surface transportation system projects will be limited to the said
surface transportation system, but that streets and arterial routes may be added to the
surface transportation system, including transfers from other federal aid systems.
(6) INVENTORY AND INSPECTION: The City shall:
(A) Furnish annually, upon request from the Commission or FHWA,
information concerning conditions on streets included in the STP system under local
jurisdiction indicating miles of system by pavement width, surface type, number of lanes
and traffic volume category.
(B) Inspect and provide inventories of all bridges on that portion of the
federal-aid highway systems under the jurisdiction of the City in accordance with the
Federal Special Bridge Program, as set forth in 23 U.S.C. §144, and applicable
amendments or regulations promulgated thereunder.
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(7) COMMISSION TO MAINTAIN: Upon completion of construction of this
improvement, the Commission shall retain control and maintenance of the improved
State Highway System and shall thereafter keep, control, and maintain the same as,
and for all purposes, a part of the Commission's State Highway System at its own cost
and expense and at no cost and expense whatsoever to the City. However, the City
shall maintain sidewalks constructed within project STP-3400 (424) per requirements of
the MT17 sidewalk Improvements Agreement. Any traffic signals installed on highways
maintained by the Commission will be turned over to the Commission upon completion
of the project for maintenance. All obligations of the City under this Agreement shall
cease upon written notification of acceptance & completion of improvements
contemplated as project STP-3400 (424) from the Commission, unless specifically
identified in this Agreement or subsequent written amendments.
a. Commitments of paragraph (20) FINAL AUDIT shall not cease
unless all aspects of this provision are satisfied.
b. Commitments of paragraph (21) OMB AUDIT shall not cease
unless all aspects of this provision are satisfied.
c. Commitments of paragraph (29) ACCESS TO RECORDS shall
not cease unless all aspects of this provision are satisfied.
d. Commitments regarding Maintenance of Sidewalks as identified
in the MT17 Sidewalk Improvements Agreement contemplated
as STP-3400 (424) shall not cease.
(8) INDEMNIFICATION:
(A) To the extent allowed or imposed by law, the City shall defend,
indemnify and hold harmless the Commission, including its members and the Missouri
Department of Transportation (MoDOT or Department) employees, from any claim or
liability whether based on a claim for damages to real or personal property or to a
person for any matter relating to or arising out of the City's wrongful or negligent
performance of its obligations under this Agreement.
(B) The City will require any contractor procured by the City to work
under this Agreement:
(1) To obtain a no cost permit from the Commission's district
engineer prior to working on the Commission's right-of-way, which shall be signed by an
authorized contractor representative (a permit from the Commission's district engineer
will not be required for work outside of the Commission's right-of-way); and
(2) To carry commercial general liability insurance and
commercial automobile liability insurance from a company authorized to issue insurance
in Missouri, and to name the Commission, and MoDOT and its employees, as additional
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named insureds in amounts sufficient to cover the sovereign immunity limits for Missouri
public entities as calculated by the Missouri Department of Insurance, Financial
Institutions and Professional Registration, and published annually in the Missouri
Register pursuant to Section 537.610, RSMo. The City shall cause insurer to increase
the insurance amounts in accordance with those published annually in the Missouri
Register pursuant to Section 537.610, RSMo.
(C) In no event shall the language of this Agreement constitute or be
construed as a waiver or limitation for either party's rights or defenses with regard to
each party's applicable sovereign, governmental, or official immunities and protections
as provided by federal and state constitution or law.
(9) PLANS SPECIFICATIONS & CONSTRUCTION: Parties agree that all
construction under the STP for the City will be constructed in accordance with
current MoDOT design criteria/specifications for urban construction unless
separate standards for the surface transportation system have been
established by the City and the Commission subject to the approval of the
FHWA.
(A) The City will be responsible for the preparation of detailed right-of-
way and construction plans and project specifications. This includes design and letting
of project. The plans shall be prepared in accordance with and conform to Commission
requirements.
(B) The City will acquire right-of-way as needed for the project in
accordance with Commission requirements.
(C) The City will be responsible for letting the work for the herein
improvement, which includes advertising the project for . bids and awarding the
construction contract. The City will solicit bids for the herein improvement in
accordance with plans developed by the City, or as the plans may from time to time be
modified in order to carry out the work as contemplated.
(D) The Commission will be responsible for construction of the herein
improvements, which includes administration and operational control of the construction
contract and inspection of the project work. The project shall be constructed in
accordance with and conform to Commission requirements.
(10) FEDERAL-AID PROVISIONS: Because responsibility for the performance
of all functions or work contemplated as part of this project is assumed by the City, and
the City may elect to construct part of the improvement contemplated by this Agreement
with its own forces, a copy of Section II and Section III, as contained in the United
States Department of Transportation Form Federal Highway Administration (FHWA)
1273 "Required Contract Provisions, Federal-Aid Construction Contracts," is attached
and made a part of this Agreement as Exhibit B. Wherever the term "the contractor" or
words of similar import appear in these sections, the term "the City" is to be substituted.
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The City agrees to abide by and carry out the condition and obligations of "the
contractor" as stated in Section II, Equal Opportunity, and Section III, Nonsegregated
Facilities, as set out in Form FHWA 1273.
(11) ACQUISITION OF RIGHT OF WAY: Pursuant to Sections 70.220 and
70.240, RSMo, the parties hereby agree that the City, at its expense, will be responsible
to acquire — by purchase or eminent domain — right of way (to include fee, easement
and right of way interests) which is necessary for the planning, development,
construction, acquisition or operation of the improvement designated herein as Project
STP 3400 (424). In doing so, the City agrees that it will comply with all applicable
federal laws, rules and regulations, including 42 U.S.C. 4601-4655, the Uniform
Relocation Assistance and Real Property Acquisition Act, as amended and any
regulations promulgated in connection with the Act. Any right of way acquired by the
City pursuant to this Agreement shall be subsequently conveyed to the Missouri
Highway and Transportation Commission.
(12) REIMBURSEMENT: The cost of the contemplated improvements will be
borne by the United States Government and by the City as follows:
(A) Any federal funds for project activities shall only be
available for reimbursement of eligible costs which have been incurred by City. Any
costs incurred by City prior to authorization from FHWA and notification to proceed from
the Commission are not reimbursable costs. The federal share for this project will be
Eighty percent not to exceed $1,125,000.00. The calculated federal share for seeking
federal reimbursement of participating costs for the herein improvements will be
determined by dividing the total federal funds applied to the project by the total
participating costs. Any costs for the herein improvements which exceed any federal
reimbursement or are not eligible for federal reimbursement shall be the sole
responsibility of City. The Commission shall not be responsible for any costs
associated with the herein improvement unless specifically identified in this Agreement
or subsequent written amendments.
(B) The total reimbursement otherwise payable to the City under this
Agreement is subject to reduction, offset, levy, judgment, collection or withholding, if
there is a reduction in the available federal funding, or to satisfy other obligations of the
City to the Commission, the State of Missouri, the United States, or another entity acting
pursuant to a lawful court order, which City obligations or liability are created by law,
judicial action, or by pledge, contract or other enforceable instrument. Any costs
incurred by the City prior to authorization from FHWA and notification to proceed from
the Commission are not reimbursable costs.
(C) The Commission shall reimburse the City for a portion of the
improvements contemplated under this agreement for the work performed by thCity
on the Commission right-of-way. The Commission has established STP-3400 424, as
Commission project # J4S2206 and will reimburse the City for City's local share of
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eligible construction costs in an amount not to exceed Seven-Hundred Eighteen
Thousand Dollars ($718,000.00) as the Commission's funding becomes available in
state fiscal year 2015. The City shall submit invoices documenting eligible
constructions costs prior to Commissions reimbursement.
(13) PERMITS: The City shall secure any necessary approvals or permits from
the Federal Government and the State of Missouri as required to permit the construction
and maintenance of the contemplated improvements.
(14) TRAFFIC CONTROL: The plans shall provide for handling traffic with
signs, signal and marking in accordance with the Manual of Uniform Traffic Control
Devices (MUTCD).
(15) WORK ON STATE RIGHT OF WAY: If any contemplated improvements
for Project STP-3400 (424) will involve work on the state's right of way, the City will
provide reproducible final plans to the Commission relating to such work. 1
(16) DISADVANTAGED BUSINESS ENTERPRISES (DBEs): At time of
processing the required project agreements with the FHWA, the Commission will advise
the City of any required goals for participation by DBEs to be included in the City's
proposal for the work to be performed. The City shall submit for Commission approval a
DBE goal or plan. The City shall comply with the plan or goal that is approved by the
Commission and all requirements of 49 C.F.R. Part 26, as amended.
(17) NOTICE TO BIDDERS: The City shall notify the prospective bidders that
disadvantaged business enterprises shall be afforded full and affirmative opportunity to
submit bids in response to the invitation and will not be discriminated against on
grounds of race, color, sex, or national origin in consideration for an award.
(18) PROGRESS PAYMENTS: The City may request progress
payments be made for the herein improvements as work progresses but not more than
once every two weeks. Progress payments must be submitted monthly for amounts
equal to or greater than $10,000.00. The City shall repay any progress payments which
involve ineligible costs.
(19) OUTDOOR ADVERTISING: The City further agrees that the right of way
provided for any STP improvement will be held and maintained inviolate for public
highway or street purposes, and will enact and enforce any ordinances or regulations
necessary to prohibit the presence of billboards or other advertising signs or devices
and the vending or sale of merchandise on such right of way, and will remove or cause
to be removed from such right of way any sign, private installation of any nature, or any
privately owned object or thing which may interfere with the free flow of traffic or impair
the full use and safety of the highway or street.
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(20) FINAL AUDIT: The Commission will perform a final audit of project costs.
The United States Government shall reimburse the City, through the Commission, any
monies due. The City shall refund any overpayments as determined by the final audit.
(21) OMB AUDIT: If the City expend(s) five hundred thousand dollars
($500,000) or more in a year in federal financial assistance it is required to have an
independent annual audit conducted in accordance with OMB Circular A-133. A copy of
the audit report shall be submitted to MoDOT within the earlier of thirty (30) days after
receipt of the auditor's report(s), or nine (9) months after the end of the audit period.
Subject to the requirements of OMB Circular A-133, if the City expend(s) less than five
hundred thousand dollars ($500,000) a year, the City may be exempt from auditing
requirements for that year but records must be available for review or audit by
applicable state and federal authorities.
(22) FEDERAL FUNDING ACCOUNTABILITY AND TRANSPARENCY ACT
OF 2006: The City shall comply with all reporting requirements of the Federal Funding
Accountability and Transparency Act (FFATA) of 2006, as amended. This Agreement is
subject to the award terms within 2 C.F.R. Part 170.
(23) VENUE: It is agreed by the parties that any action at law, suit in equity, or
other judicial proceeding to enforce or construe this Agreement, or regarding its alleged
breach, shall be instituted only in the Circuit Court of Cole County, Missouri.
(24) LAW OF MISSOURI TO GOVERN: This Agreement shall be construed
according to the laws of the State of Missouri. The City shall comply with all local, state
and federal laws and regulations relating to the performance of this Agreement.
(25) AMENDMENTS: Any change in this Agreement, whether by modification
or supplementation, must be accomplished by a formai contract amendment signed and
approved by the duly authorized representatives of the City and the Commission.
(26) . COMMISSION REPRESENTATIVE: The Commission's District Engineer
is designated as the Commission's representative for the purpose of administering the
provisions of this Agreement. The Commission's representative may designate by
written notice other persons having the authority to act on behalf of the Commission in
furtherance of the performance of this Agreement.
(27) NOTICES: Any notice or other communication required or permitted to be
given hereunder shall be in writing and shall be deemed given three (3) days after
delivery by United States mail, regular mail postage prepaid, or upon receipt by
personal or facsimile delivery, addressed as follows:
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(A) To the City:
Riverside City Hall
2950 NW Vivion Rd.
Riverside, Missouri 64150
Facsimile No.: (816) 746-8349
(B) To the Commission:
Missouri Department of Transportation Commission
105 West Capital
Jefferson City, Missouri 65102
Facsimile No.: (573) 751-6555
or to such other place as the parties may designate in accordance with this Agreement.
To be valid, facsimile delivery shall be followed by delivery of the original document, or
a clear and legible copy thereof, within three (3) business days of the date of facsimile
transmission of that document.
(28) NONDISCRIMINATION ASSURANCE: With regard to work under this
Agreement, the City agrees as follows:
(A) Civil Rights Statutes: The City shall comply with all state and
federal statutes relating to nondiscrimination, including but not limited to Title VI and
Title VII of the Civil Rights Act of 1964, as amended (42 U.S.C. §2000d and §2000e, et
seq.), as well as any applicable titles of the "Americans with Disabilities Act" (42 U.S.C.
§12101, et seq.). In addition, if the City is providing services or operating programs on
behalf of the Department or the Commission, it shall comply with all applicable
provisions of Title II of the "Americans with Disabilities Act".
(B) Administrative Rules: The City shall comply with
the administrative rules of the United States Department of Transportation relative to
nondiscrimination in federally-assisted programs of the United States Department of
Transportation (49 C.F.R. Part 21) which are herein incorporated by reference and
made part of this Agreement.
.(C) Nondiscrimination: The City shall not discriminate on grounds of
the race, color, religion, creed, sex, disability, national origin, age or ancestry of any
individual in the selection and retention of subcontractors, including procurement of
materials and leases of equipment. The City shall not participate either directly or
indirectly in the discrimination prohibited by 49 C.F.R. §21.5, including employment
practices.
(D) Solicitations for Subcontracts, Including Procurements of Material
and Equipment: These assurances concerning nondiscrimination also apply to
subcontractors and suppliers of the City. These apply to all solicitations either by
competitive bidding or negotiation made by the City for work to be performed under a
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subcontract including procurement of materials or equipment. Each potential
subcontractor or supplier shall be notified by the City of the requirements of this
Agreement relative to nondiscrimination on grounds of the race, color, religion, creed,
sex, disability or national origin, age or ancestry of any individual.
(E) Information and Reports: The City shall provide all information and
reports required by this Agreement, or orders and instructions issued pursuant thereto,
and will permit access to its books, records, accounts, other sources of information, and
its facilities as may be determined by the Commission or the United States Department
of Transportation to be necessary to ascertain compliance with other contracts, orders
and instructions. Where any information required of the City is in the exclusive
possession of another who fails or refuses to furnish this information, the City shall so
certify to the Commission or the United States Department of Transportation as
appropriate and shall set forth what efforts it has made to obtain the information.
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(F) Sanctions for Noncompliance: In the event the City fails to comply
with the nondiscrimination provisions of this Agreement, the Commission shall impose
such contract sanctions as it or the United States Department of Transportation may
determine to be appropriate, including but not limited to:
1. Withholding of payments under this Agreement until the City
complies; and/or
2. Cancellation, termination or suspension of this Agreement, in
whole or in part, or both.
(G) Incorporation of Provisions: The City.shall include the provisions of
paragraph (28) of this Agreement in every subcontract, including procurements of
materials and leases of equipment, unless exempted by the statutes, executive order,
administrative rules or instructions issued by the Commission or the United States
Department of Transportation. The City will take such action with respect to any
. subcontract .or procurement as the Commission or the United States Department of
Transportation may direct as a means of enforcing such provisions, including sanctions
for noncompliance; provided that in the event the City becomes involved or is
threatened with litigation with a subcontractor or supplier as a result of such direction,
the City may request the United States to enter into such litigation to protect the
interests of the United States.
(29) ACCESS TO RECORDS: The City and its contractors must maintain all
records relating to this Agreement, including but not limited to invoices, payrolls, etc.
These records must be available at no charge to the FHWA and the Commission and/or
their designees or representatives during the period of this Agreement and any
extension, and for a period of three (3) years after the date on which the City receives
reimbursement of their final invoice from the Commission.
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IN WITNESS WHEREOF, the parties have entered into this Agreement on
the date last written below.
Executed by the City thisday of ra-R_,/,t42-cr , 2011
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Executed by the Commission this i u day of f' Q,b►u(t 1AI , 20 .
MISSOURI HIGHWAYS AND CITY OF RIVERSIDE
TRANSPO TION COM I ION
r , By \ �
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Title Chief Financial Officer —Title C►tki A ci�,
�-- ATTEST: ATTEST
Bye-, w
&(11.1Leti
Sec etary to the Commission
Title i �2
Ap roved as to Form: Approved as to Form:
C mission Counsel
Title i A ��
[If needed to authorize a city official
to execute the agreement.]
Ordinance No:/C'-s S
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Exhibit A- Location of Project •
PROJECT LIMITS
IVION ROAD 0. 145 MILES /
GRADING. DRAINAGE• PAVING.
BRIDGE AND APPROACH
REPLACEMENT
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Exhibit B - Required Contract Provisions
Federal-Aid Construction Contracts
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REQUIRED CONTRACT PROVISIONS
FEDERAL-AID CONSTRUCTION CONTRACTS
Page related subcontracts of$10,000 or more.)
I. General 1
II. Nondiscrimination 1 1. Equal Employment Opportunity: Equal employmentopportu-
Iil. Nonsegregated Facilities 3 nity(EEO)requirements not to discriminate and to take affirmative
IV. Payment of Predetermined Minimum Wage 3 action to assure equal opportunity as set forth under laws,executive
V. Statements and Payrolls 5 orders,rules,regulations(28 CFR 35,29 CFR 1630 and 41 CFR 60)
VI. Record of Materials,Supplies,and Labor 5 and orders of the Secretary of Labor as modified by the provisions
VII. Subletting or Assigning the Contract 5 prescribed herein, and imposed pursuant to 23 U.S.C. 140 shall
VIII. Safety: Accident Prevention 6 constitute the EEO and specific affirmative action standards for the
IX. False Statements Concerning Highway Projects 6 contractor's project activities under this contract.The Equal Opportu-
X. Implementation of Clean Air Act and Federal nity Construction Contract Specifications set forth under 41 CFR 60-
Water Pollution Control Act 6 4.3 and the provisions of the American Disabilities Act of 1990(42
Xl. Certification Regarding Debarment,Suspension, U.S.C.12101 et seq.)set forth under 28 CFR 35 and 29 CFR 1630
Ineligibility,and Voluntary Exclusion 6 are incorporated by reference in this contract. In the execution of this
XII. Certification Regarding Use of Contract Funds for contract,the contractor agrees to complywith the following minimum
Lobbying 8 specific requirement activities of EEO:
ATTACHMENTS a. The contractor will work with the State highway agency
(SHA)and the Federal Government in carrying out EEO obligations
A. Employment Preference for Appalachian Contracts and in their review of his/her activities under the contract.
(included in Appalachian contracts only)
b. The contractor will accept as his operating policy the
I. GENERAL following statement
1. These contract provisions shall apply to all work performed on "It is the policy of this Company to assure that applicants are
the contract by the contractor's own organization and with the employed,and that employees are treated during employment,
assistance of workers under the contractor's immediate superinten- without regard to their race,religion,sex,color,national origin,
dence and to all work performed on the contract by piecework,station age or disability. Such action shall include: employment,
work,or by subcontract. upgrading, demotion, or transfer; recruitment or recruitment
advertising;layoff or termination;rates of pay or other forms of
2. Except as otherwise provided for in each section,the contractor compensation;and selection for training,including apprentice-
shall insert In each subcontract all of the stipulations contained in ship,preapprenticeship,and/or on-the-job training."
these Required Contract Provisions, and further require their
inclusion in any tower tier subcontractor purchase order that may in 2. EEO Officer: The contractor will designate and make known
turn be made. The Required Contract Provisions shall not be to the SHA contracting officers an EEO Officer who will have the
incorporated by reference in any case. The prime contractor shall be responsibility for and must be capable of effectively administering and
responsible for compliance by any subcontractor or lower tier promoting an active contractor program of EEO and who must be
subcontractor with these Required Contract Provisions. assigned adequate authority and responsibility to do so.
3. A breach of any of the stipulations contained in these Required 3. Dissemination of Policy: All members of the contractor's staff
Contract Provisions shall be sufficient grounds for termination of the who are authorized to hire, supervise, promote, and discharge
contract. employees,or who recommend such action,or who are substantially
involved in such action, will be made fully cognizant of, and will
4. A breach of the following clauses of the Required Contract implement,the contractor's EEO policy and contractual responsibili-
Provisions may also be grounds for debarment as provided in 29 ties to provide EEO in each grade and classification of employment.
CFR 5.12: To ensure that the above agreement will be met,the following actions
will be taken as a minimum:
Section I,paragraph 2;
Section IV,paragraphs 1,2,3,4,and 7; a. Periodic meetings of supervisory and personnel office
Section V,paragraphs 1 and 2a through 2g. employees will be conducted before the start of work and then not
less often than once every six months,at which time the contractor's
5. Disputes arising out of the labor standards provisions of Section EEO policy and its implementation will be reviewed and explained.
IV(except paragraph 5)and Section V of these Required Contract The meetings will be conducted by the EEO Officer.
Provisions shall not be subject to the general disputes clause of this
contract. Such disputes shall be resolved in accordance with the b. All new supervisory or personnel office employees will be
procedures of the U.S.Department of Labor(DOL)as set forth in 29 given a thorough indoctrination by the EEO Officer,covering all major
CFR 5,6,and 7. Disputes within the meaning of this clause include
disputes between the contractor(or any of its subcontractors)and the aspects of the contractor's EEO obligations within thirty days
contracting agency,the DOL,or the contractor's employees or their following their reporting for duty with the contractor.
representatives.
c. All personnel who are engaged in direct recruitment for the
6. Selection of Labor: During the performance of this contract, project will be instructed by the EEO Officer in the contractor's
the contractor shall not: procedures for locating and hiring minority group employees.
a.discriminate against labor from any other State,possession, d.Notices and posters setting forth the.contractor's EEO policy
or territory of the United States(except for employment preference for will be placed in areas readily accessible to employees,applicants for
Appalachian contracts,when applicable,as specified in Attachment employment and potential employees.
A),or
e. The contractor's EEO policy and the procedures to imple-
b. employ convict labor for any purpose within the limits of the ment such policy will be brought to the attention of employees by
project unless it is labor performed by convicts who are on parole, means of meetings, employee handbooks, or other appropriate
supervised release,or probation. means.
II. NONDISCRIMINATION 4. Recruitment: When advertising for employees,the contractor
will include in all advertisements for employees the notation: "An
(Applicable to all Federal-aid construction contracts and to all Equal Opportunity Employer."All such advertisements will be placed
Form FHWA-1273(Rev.3-94) Page 1
in publications having a large circulation among minority groups in the minority groups and women within the unions,and to effect referrals
area from which the project work force would normally be derived, by such unions of minority and female employees. Actions by the
contractor either directly or through a contractors association acting
a. The contractor will,unless precluded by a valid bargaining as agent will include the procedures set forth below:
agreement,conduct systematic and direct recruitment through public
and private employee referral sources likely to yield qualified minority a. The contractor will use best efforts to develop,in coopera-
group applicants. To meet this requirement, the contractor will tion with the unions,joint training programs aimed toward qualifying
identify sources of potential minority group employees,and establish more minority group members and women for membership in the
with such identified sources procedures whereby minority group unions and increasing the skills of minority group employees and
applicants may be referred to the contractor for employment consider- women so that they'may qualify for higher paying employment. ,
atlon.
b.-The contractor will use best efforts to incorporate an EEO
b.In the event the contractor has a valid bargaining agreement clause into each union agreement to the end that such union will be
providing for exclusive hiring hall referrals,he is expected to observe contractually bound to refer applicants without regard to their race,
the provisions of that agreement to the extent that the system permits color,religion,sex,national origin,age or disability.
the contractor's compliance with EEO contract provisions. (The DOL
has held that where implementation of such agreements have the c. The contractor is to obtain information as to the referral
effect of discriminating against minorities or women,or obligates the practices and policies of the labor union except that to the extent
contractor to do the same,such implementation violates Executive such information is within the exclusive possession of the labor union
Order 11246,as amended.) and such labor union refuses to furnish such information to the
contractor,the contractor shall so certify to the SHA and shall set
c.The contractor will encourage his present employees to refer forth what efforts have been made to obtain such information.
minority group applicants for employment. Information and proce-
dures with regard to referring minority group applicants will be d. In the event the union is unable to provide the contractor
discussed with employees. with a reasonable flow of minority and women referrals within the time
limit set forth in the collective bargaining agreement,the contractor
5.Personnel Actions:Wages,working conditions,and employee will, through independent recruitment efforts, fill the employment
benefits shall be established and administered,and personnel actions vacancies without regard to race,color,religion,sex,national origin,
of every type, including hiring, upgrading, promotion, transfer, age or disability; making full efforts to obtain qualified and/or
demotion,layoff,and termination,shall be taken without regard to qualifiable minority group persons and women. (The DOL has held
race, color, religion, sex, national origin, age or disability. The that it shall be no excuse that the union with which the contractor has
following procedures shall be followed: a collective bargaining agreement providing for exclusive referral
a. The contractor will conduct periodic inspections of project failed to refer minority employees.) In the event the union referral
sites to insure that working conditions and employee facilities do not practice prevents the contractor from meeting the obligations
indicate discriminatory treatment of project site personnel. pursuant to Executive Order 11246,as amended,and these special
provisions,such contractor shall immediately notify the SHA.
b.The contractor will periodically evaluate the spread of wages
paid within each classification to determine any evidence of discnmi- 8.Selection of Subcontractors,Procurement of Materials and
natory wage practices. Leasing of Equipment:The contractor shall not discriminate on the
grounds of race,color,religion,sex,national origin,age or disability
c, The contractor will periodically review selected personnel In the selection and retention of subcontractors,Including procure-
actions in depth to determine whether there is evidence of discrimina- ment of materials and leases of equipment.
tion. Where evidence is found,the contractor will promptly take
corrective action. If the review Indicates that the discrimination may a. The contractor shall notify all potential subcontractors and
extend beyond the actions reviewed,such corrective action shall suppliers of his/her EEO obligations under this contract.
include all affected persons.
b.Disadvantaged business enterprises(DBE),as defined in 49
d. The contractor will promptly investigate all complaints of CFR 23,shall have equal opportunity to compete for and perform
alleged discrimination made to the contractor in connection with his subcontracts which the contractor enters Into pursuant to this
obligations under this contract, will attempt to resolve such corn- contract. The contractor will use his best efforts to solicit bids from
plaints,and will take appropriate corrective action within a reasonable and to utilize DBE subcontractors or subcontractors with meaningful
time. If the investigation indicates that the discrimination may affect minority group and female representation among their employees.
persons other than the complainant, such corrective action shall Contractors shall obtain lists of DBE construction firms from SHA
include such other persons. Upon completion of each Investigation, personnel.
the contractor will inform every complainant of all of his avenues of
appeal. c.The contractor will use his best efforts to ensure subcontrac-
tor compliance with their EEO obligations.
6. Training and Promotion:
9. Records and Reports:The contractor shall keep such records
a. The contractor will assist in locating, qualifying, and , as necessary to document compliance with the EEO requirements.
increasing the skills of minority group and women employees,and Such records shall be retained for a period of three years following
applicants for employment. completion of the contract work and shall be available at reasonable
times and places for inspection by authorized representatives of the
b.Consistent with the contractor's work force requirements and SHA and the FHWA.
as permissible under Federal and State regulations,the contractor
shall make full use of training programs,i.e.,apprenticeship, and a. The records kept by the contractor shall document the
on-the-job training programs for the geographical area of contract following:
performance. Where feasible,25 percent of apprentices or trainees
in each occupation shall be in their first year of apprenticeship or (1) The number of minority and non-minority group
training. In the event a special provision for training is provided under members and women employed in each work classification on the
this contract,this subparagraph will be superseded as indicated in the project; I-
special provision.
(2) The progress and efforts being made in cooperation
c. The contractor will advise employees and applicants for with unions,when applicable,to increase employment opportunities
employment of available training programs and entrance require- for minorities and women;
ments for each.
(3)The progress and efforts being made in locating,hiring,
d. The contractor will periodically review the training and training,qualifying,and upgrading minority and female employees;
promotion potential of minority group and women employees and will and
encourage eligible employees to apply for such training and promo-
tion. (4) The progress and efforts being made in securing the
services of DBE subcontractors or subcontractors with meaningful
7. Unions: if the contractor relies in whole or in part upon unions minority and female representation among their employees.
as a source of employees,the contractor will use his/her best efforts
to obtain the cooperation of such unions to increase opportunities for b. The contractors will submit an annual report to the SHA
Page 2 Form FHWA-1273(Rev.3-94)
•
each July for the duration of the project, indicating the number of b. Laborers or mechanics performing work in more than one
minority, women, and non-minority group employees currently classification may be compensated at the rate specified for each
engaged in each work classification required by the contract work. classification for the time actually worked therein,provided,that the
This information is to be reported on Form FHWA-1391. If on-the employer's payroll records accurately set forth the time spent in each
job training is being required by special provision,the contractor will classification in which work is performed.
be required to collect and report training data.
c. All rulings and interpretations of the Davis-Bacon Act and
III. NONSEGREGATED FACILITIES related acts contained in 29 CFR 1,3,and 5 are herein incorporated
by reference in this contract.
(Applicable to all Federal-aid construction contracts and to all
related subcontracts of$10,000 or more.) 2. Classification:
a. By submission of this bid, the execution of this contract or a. The SHA contracting officer shall require that any class of
subcontract,or the consummation of this material supply agreement laborers or mechanics employed under the contract, which is not
or purchase order,as appropriate,the bidder,Federal-aid construe- listed in the wage determination,shall be classified in conformance
tion contractor, subcontractor, material supplier, or vendor, as with the wage determination.
appropriate,certifies that the firm does not maintain or provide for its
employees any segregated facilities at any of its establishments,and b.The contracting officershall approve an additional classifica-
that the firm does not permit its employees to perform their services tion,wage rate and fringe benefits only when the following criteria
at any location, under its control,where segregated facilities are have been met:
maintained. The firm agrees that a breach of this certification is a
violation of the EEO provisions of this contract. The firm further (1) the work to be performed by the additional classifica-
certifies that no employee will be denied access to adequate facilities tion requested is not performed by a classification in the wage
on the basis of sex or disability. determination;
b. As used in this certification,the term"segregated facilities" (2)the additional classification is utilized in the area by the
means any waiting rooms,work areas,restrooms and washrooms, construction industry;
restaurants and other eating areas,timeclocks, locker rooms,and
other storage or dressing areas, parking lots, drinking fountains, (3)the proposed wage rate,including any bona fide fringe
recreation or entertainment areas, transportation, and housing benefits,bears a reasonable relationship to the wage rates contained
facilities provided for employees which are segregated by explicit in the wage determination;and
directive, or are, in fact, segregated on the basis of race, color,
religion, national origin, age or disability, because of habit, local (4) with respect to helpers, when such a classification
custom, or otherwise, The only exception will be for the disabled prevails in the area in which the work is performed
when the demands for accessibility override(e.g.disabled parking).
c. If the contractor or subcontractors, as appropriate, the
c. The contractor agrees that it has obtained or will obtain laborers and mechanics(if known)to be employed in the additional
identical certification from proposed subcontractors or material classification or their representatives, and the contracting officer
suppliers prior to award of subcontracts or consummation of material agree on the classification and wage rate (including the amount
supply agreements of$10,000 or more and that it will retain such designated for fringe benefits where appropriate), a report of the
certifications in its files. action taken shall be sent by the contracting officer to the DOL,
Administrator of the Wage and Hour Division,Employment Standards
IV. PAYMENT OF PREDETERMINED MINIMUM WAGE Administration, Washington, D.C. 20210. The Wage and Hour
Administrator,or an authorized representative,will approve,modify,
(Applicable to all Federal-aid construction contracts exceeding or disapprove every additional classification action within 30 days of
$2,000 and to all related subcontracts,except for projects located on receipt and so advise the contracting officer or will notify the contract-
roadways classified as local roads or rural minor collectors,which are ing officer within the 30-day period that additional time is necessary.
exempt.)
d. In the event the contractor or subcontractors,as appropri-
1. General: ate, the laborers or mechanics to be employed in the additional
classification or their representatives,and the contracting officer do
a. All mechanics and laborers employed or working upon the not agree on the proposed classification and wage rate(including the
site of the work will be paid unconditionally and not less often than amount designated for fringe benefits, where appropriate), the
once a week and without subsequent deduction or rebate on any contracting officer shall refer the questions,including the views of all
account [except such payroll deductions as are permitted by interested parties and the recommendation of the contracting officer,
regulations(29 CFR 3)issued by the Secretary of Labor under the to the Wage and Hour Administrator for determination. Said
Copeland Act(40 U.S.C.276c)]the full amounts of wages and bona Administrator,or an authorized representative,will issue a determine-
fide fringe benefits (or cash equivalents thereof) due at time of tion within 30 days of receipt and so advise the contracting officer or
payment. The payment shall be computed at wage rates not less will notify the contracting officer within the 30-day period that
than those contained in the wage determination of the Secretary of additional time is necessary
Labor(hereinafter"the wage determination")which is attached hereto
and made a part hereof, regardless of any contractual relationship e. The wage rate(including fringe benefits where appropriate)
which may be alleged to exist between the contractor or its subcon- determined pursuant to paragraph 2c or 2d of this Section IV shall be
tractors and such laborers and mechanics. The wage determination paid to all workers performing work in the additional classification
(including any additional classifications and wage rates conformed from the first day on which work is performed in the classification.
under paragraph 2 of this Section IV and the DOL poster(WH-1321)
or Form FHWA•1495)shall be posted at all times by the contractor 3. Payment of Fringe Benefits:
and its subcontractors at the site of the work in a prominent and
accessible place where it can be easily seen by the workers. For the a,Whenever the minimum wage rate prescribed in the contract
purpose of this Section, contributions made or costs reasonably for a class of laborers or mechanics includes a fringe benefit which
anticipated for bona fide fringe benefits under Section 1(b)(2)of the is not expressed as an hourly rate,the contractor or subcontractors,
Davis-Bacon Act(40 U.S.C.276a)on behalf of laborers or mechanics as appropriate, shall either pay the benefit as stated in the wage
are considered wages paid to such laborers or mechanics,subject to determination or shall pay another bona fide fringe benefit or an
the provisions of Section IV, paragraph 3b, hereof. Also, for the hourly case equivalent thereof.
purpose of this Section,regular contributions made or costs incurred
for more than a weekly period (but not less often than quarterly) b. If the contractor or subcontractor,as appropriate,does not
under plans,funds,or programs,which cover the particular weekly make payments to a trustee or other third person, he/she may
period,are deemed to be constructively made or incurred during such consider as a part of the wages of any laborer or mechanic the
weekly period. Such laborers and mechanics shall be paid the amount of any costs reasonably anticipated in providing bona fide
appropriate wage rate and fringe benefits on the wage determination fringe benefits under a plan or program,provided,that the Secretary
for the classification of work actually performed,without regard to of Labor has found,upon the written request of the contractor,that
skill,except as provided in paragraphs 4 and 5 of this Section IV. the applicable standards of the Davis-Bacon Act have been met.The
Secretary of Labor may require the contractor to set aside in a
separate account assets for the meeting of obligations under the plan
or program.
Form FHWA-1273(Rev.3-94) Page
4. Apprentices and Trainees(Programs of the U.S.DOL)and Division determines that there Is an apprenticeship program associ-
Helpers: ated with the corresponding journeyman-level wage rate on the wage
determination which provides for less than full fringe benefits for
a. Apprentices: apprentices, in which case such trainees shall receive the same
fringe benefits as apprentices.
(1) Apprentices will be permitted to work at less than the
predetermined rate for the work they performed when they are (4) In the event the Employment and Training Administra-
employed pursuant to and individually registered in a bona fide tion withdraws approval of a training program, the contractor or
apprenticeship program registered with the DOL,Employment and subcontractor will no longer be permitted to utilize trainees at less
Training Administration,Bureau of Apprenticeship and Training,or than the applicable predetermined rate for the work performed until
with a State apprenticeship agency recognized by the Bureau,or if a an acceptable program is approved.
person is employed in his/her first 90 days of probationary employ-
ment as an apprentice in such an apprenticeship program,who is not c. Helpers:
individually registered in the program,but who has been certified by
' the Bureau of Apprenticeship and Training or a State apprenticeship Helpers will be permitted to work on a project if the helper
agency(where appropriate)to be eligible for probationary employ- classification Is specified and defined on the applicable wage
ment as an apprentice. determination or is approved pursuant to the conformance procedure
set forth In Section IV.2. Any worker listed on a payroll at a helper
(2)The allowable ratio of apprentices to journeyman-level wage rate,who is not a helper under a approved definition,shall be
employees on the job site in any craft classification shall not be paid not less than the applicable wage rate on the wage determine-
greater than the ratio permitted to the contractor as to the entire work tion for the classification of work actually performed.
force under the registered program.Any employee listed on a payroll
at an apprentice wage rate, who is not registered or otherwise 5. Apprentices and Trainees(Programs of the U.S.DOT):
•
employed as stated above,shall be paid not less than the applicable
wage rate listed in the wage determination for the classification of Apprentices and trainees working under apprenticeship and skill
work actually performed. In addition,any apprentice performing work training programs which have been certified by the Secretary of
on the job site in excess of the ratio permitted under the registered Transportation as promoting EEO in connection with Federal-aid
program shall be paid not less than the applicable wage rate on the highway construction programs are not subject to the requirements
wage determination for the work actually performed. Where a of paragraph 4 of this Section IV.The straight time hourly wage rates
contractor or subcontractor is performing construction on a project in for apprentices and trainees under such programs will be established
a locality other than that in which its program is registered,the ratios by the particular programs. The ratio of apprentices and trainees to
and wage rates(expressed in percentages of the Journeyman-level Journeymen shall not be greater than permitted by the terms of the
hourly rate)specified in the contractor's or subcontractor's registered particular program.
program shall be observed.
6. Withholding:
(3) Every apprentice must be paid at not less than the rate
specified in the registered program for the apprentice's level of The SHA shall upon Its own action or upon written request of
progress,expressed as a percentage of the journeyman-level hourly an authorized representative of the DOL withhold,or cause to be
rate specified in the applicable wage determination. Apprentices withheld,from the contractor or subcontractor under this contract or
shall be paid fringe benefits in accordance with the provisions of the any other Federal contract with the same prime contractor,or any
apprenticeship program. If the apprenticeship program does not other Federally-assisted contract subject to Davis-Bacon prevailing
specify fringe benefits,apprentices must be paid the full amount of wage requirements which is held by the same prime contractor,as
fringe benefits listed on the wage determination for the applicable much of the accrued payments or advances as may be considered
classification. If the Administrator for the Wage and Hour Division necessary to pay laborers and mechanics, including apprentices,
determines that a different practice prevails for the applicable trainees,and helpers,employed by the contractor or any subcontrac-
apprentice classification,fringes shall be paid in accordance with that tor the full amount of wages required by the contract. in the event of
determination. failure to pay any laborer or mechanic, Including any apprentice,
trainee,or helper,employed or working on the site of the work,all or
(4)In the event the Bureau of Apprenticeship and Training, part of the wages required by the contract,the SHA contracting officer
or a State apprenticeship agency recognized by the Bureau,with- may,after written notice to the contractor,take such action as may be
draws approval of an apprenticeship program, the contractor or necessary to cause the suspension of any further payment,advance,
subcontractor will no longer be permitted toutilize apprentices at less or guarantee of funds until such violations have ceased.
than the applicable predetermined rate for the comparable work
performed by regular employees until an acceptable program Is 7. Overtime Requirements:
approved.
No contractor or subcontractor contracting for any part of the
b. Trainees: contract work which may require or involve the employment of
laborers,mechanics,watchmen,or guards(including apprentices,
(1)Except as provided in 29 CFR 5.16,trainees will not be trainees,and helpers described in paragraphs 4 and 5 above)shall
permitted to work at less than the predetermined rate for the work require or permit any laborer,mechanic,watchman,or guard in any
performed unless they are employed pursuant to and individually workweek in which he/she is employed on such work,to work in
registered in a program which has received prior approval,evidenced excess of 40 hours in such workweek unless such laborer,mechanic,
by formal certification by the DOL, Employment and Training watchman,or guard receives compensation at a rate not less than
Administration. one-and-one-half times his/her basic rate of pay for all hours worked
in excess of 40 hours in such workweek.
(2)The ratio of trainees to journeyman-level employees on
the Job site shall not be greater than permitted under the plan 8. Violation:
approved by the Employment and Training Administration. Any
employee listed on the payroll at a trainee rate who is not registered Liability for Unpaid Wages;Liquidated Damages: In the event
and participating in a training plan approved by the Employment and of any violation of the clause set forth in paragraph 7 above,the i--
Training Administration shall be paid not less than the applicable contractor and any subcontractor responsible thereof shall be liable
wage rate on the wage determination for the classification of work to the affected employee for his/her unpaid wages. In addition,such
actually performed. In addition,any trainee performing work on the contractor and subcontractor shall be liable to the United States(in
Job site in excess of the ratio permitted under the registered program the case of work done under contract for the District of Columbia or
shall be paid not less than the applicable wage rate on the wage a territory,to such District or to such territory)for liquidated damages.
determination for the work actually performed. Such liquidated damages shall be computed with respect to each
individual laborer, mechanic, watchman, or guard employed in
(3) Every trainee must be paid at not less than the rate violation of the clause set forth in paragraph 7,in the sum of$10 for
specified in the approved program for his/her level of progress, each calendar day on which such employee was required or permit-
expressed as a percentage of the journeyman-level hourly rate ted to work in excess of the standard work week of 40 hours without
specified in the applicable wage determination. Trainees shall be payment of the overtime wages required by the clause set forth in
paid fringe benefits in accordance with the provisions of the trainee paragraph 7.
program. If the trainee program does not mention fringe benefits,
trainees shall be paid the full amount of fringe benefits listed on the 9. Withholding for Unpaid Wages and Liquidated Damages:
wage determination unless the Administrator of the Wage and Hour
Page 4 Form FHWA-1273(Rev.3-94)
•
The SHA shall upon its own action or upon written request of any either directly or indirectly from the full wages earned, other than
authorized representative of the DOL withhold, or cause to be permissible deductions as set forth In the Regulations,29 CFR 3;
withheld,from any monies payable on account of work performed by
the contractor or subcontractor under any such contract or any other (3)that each laborer or mechanic has been paid not less
Federal contract with the same prime contractor, or any other that the applicable wage rate and fringe benefits or cash equivalent
Federally-assisted contract subject to the Contract Work Hours and for the classification of worked performed, as specified in the
Safety Standards Act,which is held by the same prime contractor, applicable wage determination incorporated into the contract.
such sums as may be determined to be necessary to satisfy any
liabilities of such contractor or subcontractor for unpaid wages and e. The weekly submission of a properly executed certification
liquidated damages as provided in the clause set forth in paragraph set forth on the reverse side of Optional Form WH-347 shall satisfy
8 above. the requirement for submission of the"Statement of Compliance"
required by paragraph 2d of this Section V,
V. STATEMENTS AND PAYROLLS
f. The falsification of any of the above certifications may
(Applicable to all Federal-aid construction contracts exceeding subject the contractor to civil or criminal prosecution under 18 U.S.C.
$2,000 and to all related subcontracts,except for projects located on 1001 and 31 U.S.C.231.
roadways classified as local roads or rural collectors, which are
exempt.) g. The contractor or subcontractor shall make the records
required under paragraph 2b of this Section V available for irspec-
1. Compliance with Copeland Regulations(29 CFR 3): tion, copying,or transcription by authorized representatives of the
SHA,the FHWA,or the DOL,and shall permit such representatives
The contractor shall comply with the Copeland Regulations of the to interview employees during working hours on the job. If the
Secretary of Labor which are herein incorporated by reference. contractor or subcontractor fails to submit the required records or to
make them available,the SHA,the FHWA,the DOL,or all may,after
2. Payrolls and Payroll Records: written notice to the contractor, sponsor,applicant, or owner,take
such actions as may be necessary to cause the suspension of any
a. Payrolls and basic records relating thereto shall be further payment, advance, or guarantee of funds. Furthermore,
maintained by the contractor and each subcontractor during the failure to submit the required records upon request or to make such
course of the work and preserved for a period of 3 years from the records available may be grounds for debarment action pursuant to
date of completion of the contract for all laborers, mechanics, 29 CFR 5.12.
apprentices,trainees,watchmen,helpers,and guards working at the
site of the work. VI. RECORD OF MATERIALS,SUPPLIES,AND LABOR
b. The payroll records shall contain the name,social security 1. On all Federal-aid contracts on the National Highway System,
number, and address of each such employee; his or her correct except those which provide solely for the Installation of protective
classification;hourly rates of wages paid(including rates of contribu- devices at railroad grade crossings,those which are constructed on
tions or costs anticipated for bona fide fringe benefits or cash a force account or direct labor basis,highway beautification contracts,
equivalent thereof the types described in Section 1(b)(2)(B)of the and contracts for which the total final construction cost for roadway
Davis Bacon Act); daily and weekly number of hours worked; and bridge is less than$1,000,000(23 CFR 635)the contractor shall: •
deductions made;and actual wages paid. in addition,for Appala-
chian contracts,the payroll records shall contain a notation indicating a. Become-familiar with the list of specific materials and
whether the employee does,or does not,normally reside in the labor supplies contained in Form FHWA-47,"Statement of Materials and
area as defined in Attachment A, paragraph 1. Whenever the Labor Used by Contractor of Highway Construction Involving Federal
Secretary of Labor,pursuant to Section IV,paragraph 3b,has found Funds,"prior to the commencement of work under this contract.
that the wages of any laborer or mechanic include the amount of any
costs reasonably anticipated in providing benefits under a plan or b. Maintain a record of the total cost of all materials and
program described in Section 1(b)(2)(B)of the Davis Bacon Act,the supplies purchased for and incorporated in the work,and also of the
contractor and each subcontractorshall maintain records which show quantities of those specific materials and supplies listed on Form
that the commitment to provide such benefits Is enforceable,that the FHWA-47,and in the units shown on Form FHWA-47.
plan or program is financially responsible,that the plan or program
has been communicated in writing to the laborers or mechanics c. Furnish,upon the completion of the contract,to the SHA
affected,and show the cost anticipated or the actual cost incurred in resident engineer on Form FHWA-47 together with the data required
providing benefits. Contractors or subcontractors employing in paragraph lb relative to materials and supplies, a final labor
apprentices or trainees under approved programs shall maintain summary of all contract work indicating the total hours worked and
written evidence of the registration of apprentices and trainees,and the total amount earned.
ratios and wage rates prescribed in the applicable programs.
2. At the prime contractor's option,either a single report covering
c. Each contractor and subcontractor shall furnish,each week all contract work or separate reports for the contractor and for each
in which any contract work is performed, to the SHA resident subcontract shall be submitted.
engineer a payroll of wages paid each of its employees(including
apprentices, trainees, and helpers, described in Section IV, pare- VII. SUBLETTING OR ASSIGNING THE CONTRACT
graphs 4 and 5,and watchmen and guards engaged on work during
the preceding weekly payroll period).The payroll submitted shall set 1. The contractor shall perform with its own organization contract
out accurately and completely all of the information required to be work amounting to not less than 30 percent(or a greater percentage
maintained under paragraph 2b of this Section V. This information if specified elsewhere in the contract)of the total original contract
may be submitted in any form desired. Optional Form WH-347 is price, excluding any specialty items designated by the State.
available for this purpose and may be purchased from the Superin- Specialty items may be performed by subcontract and the amount of
tendent of Documents(Federal stock number 029-005-0014-1),U.S. any such specialty items performed may be deducted from the total
Government Printing Office,Washington, D.C.20402. The prime original contract price before computing the amount of work required
contractor is responsible for the submission of copies of payrolls by to be performed by the contractor's own organization(23 CFR 635).
all subcontractors.
a. "Its own organization"shall be construed to include only
d. Each payroll submitted shall be accompanied by a"State- workers employed and paid directly by the prime contractor and
ment of Compliance,"signed by the contractor or subcontractor or equipment owned or rented by the prime contractor,with or without
his/her agent who pays or supervises the payment of the persons operators. Such term does not include employees or equipment of
employed under the contract and shall certify the following:
(1) that the payroll for the payroll period contains the ,
information required to be maintained under paragraph 2b of this
Section V and that such information is correct and complete;
(2)that such laborer or mechanic(including each helper,
apprentice,and trainee)employed on the contract during the payroll
period has been paid the full weekly wages earned,without rebate,
either directly or indirectly,and that no deductions have been made
Form FHWA-1273(Rev.3-94) Page 5
a subcontractor,assignee,or agent of the prime contractor. quantity,or cost of the material used or to be used,or the quantity or
quality of the work performed or to be performed,or the cost thereof
b. "Specialty Items"shall be construed to be limited to work in connection with the submission of plans, maps, specifications,
that requires highly specialized knowledge,abilities,or equipment not contracts,or costs of construction on any highway or related project
ordinarily available in the type of contracting organizations qualified submitted for approval to the Secretary of Transportation;or
and expected to bid on the contract as a whole and in general are to
be limited to minor components of the overall contract. Whoever knowingly makes any false statement,false representa-
tion,false report or false claim with respect to the character,quality,
2. The contract amount upon which the requirements set forth in quantity, or cost of any work performed or to be performed, or
paragraph 1 of Section ViI is computed includes the cost of material materials furnished or to be furnished, in connection with the
and manufactured products which are to be purchased or produced construction of any highway or related project approved by the
by the contractor under the contract provisions. Secretary of Transportation;or
3. The contractor shall furnish(a)a competent superintendent or Whoever knowingly makes any false statementorfalserepresenta-
supervisor who is employed by the firm,has full authority to direct tion as to material fact in any statement, certificate, or report
performance of the work in accordance with the contract require- submitted pursuant to provisions of the Federal-aid Roads Act
ments,and is in charge of all construction operations(regardless of approved July 1, 1916, (39 Stat. 355), as amended and supple-
who performs the work)and(b)such other of its own organizational mented;
resources(supervision,management,and engineering services)as
the SHA contracting officer determines is necessary to assure the Shall be fined not more that$10,000 or imprisoned not more than
performance of the contract. 5 years or both."
4. No portion of the contract shall be sublet,assigned or otherwise X. IMPLEMENTATION OF CLEAN AIR ACT AND FEDERAL
disposed of except with the written consent of the SHA contracting WATER POLLUTION CONTROL ACT
officer,or authorized representative,and such consent when given
shall not be construed to relieve the contractor of any responsibility (Applicable to all Federal-aid construction contracts and to all related
for the fulfillment of the contract. Written consent will be given only subcontracts of$100,000 or more.)
after the SHA has assured that each subcontract is evidenced in
writing and that it contains all pertinent provisions and requirements By submission of this bid or the execution of this contract, or
of the prime contract. subcontract, as appropriate, the bidder, Federal-aid construction
contractor,or subcontractor,as appropriate,will be deemed to have
VIII. SAFETY:ACCIDENT PREVENTION stipulated as follows:
1. In the performance of this contract the contractor shall comply 1. That any facility that is or will be utilized in the performance of this
with all applicable Federal,State,and local laws governing safety, contract,unless such contract is exempt under the Clean Air Act,as
health,and sanitation(23 CFR 635). The contractor shall provide all amended(42 U.S.C.1857 et se .,as amended by Pub.L.91-604),
safeguards,safety devices and protective equipment and take any and under the Federal Water Pollution Control Act,as amended(33
other needed actions as it determines,or as the SHA contracting U.S.C.1251 et mg..,as amended by Pub.L.92-500),Executive Order
officer may determine,to be reasonably necessary to protect the life 11738,and regulations in implementation thereof(40 CFR 15)is not
and health of employees on the job and the safety of the public and listed, on the date of contract award, on the U.S. Environmental
to protect property in connection with the performance of the work Protection Agency(EPA)List of Violating Facilities pursuant to 40
covered by the contract. CFR 15.20.
2. It is a condition of this contract,and shall be made a condition 2. That the firm agrees to comply and remain in compliance with all
of each subcontract,which the contractor enters Into pursuant to this the requirements of Section 114 of the Clean Air Act and Section 308
contract,that the contractor and any subcontractor shall not permit of the Federal Water Pollution Control Act and all regulations and
any employee,In performance of the contract,to work in surround- guidelines listed thereunder.
ings or under conditions which are unsanitary,hazardous or danger-
ous to his/her health or safety, as determined under construction 3. That the firm shall promptly notify the SHA of the receipt of any
safety and health standards (29 CFR 1926) promulgated by the communication from the Director,Office of Federal Activities,EPA,
Secretary of Labor,in accordance with Section 107 of the Contract indicating that a facility that is or will be utilized for the contract is
Work Hours and Safety Standards Act(40 U.S.C.333). under consideration to be listed on the EPA List of Violating Facilities.
3. Pursuant to 29 CFR 1926.3,it is a condition of this contract that 4. That the firm agrees to include or cause to be included the
the Secretary of Labor or authorized representative thereof, shall requirements of paragraph 1 through 4 of this Section X in every
have right of entry to any site of contract performance to inspect or nonexempt subcontract,and further agrees to take such action as the
investigate the matter of compliance with the construction safety and government may direct as a means of enforcing such requirements.
health standards and to carry out the duties of the Secretary under
Section 107 of the Contract Work Hours and Safety Standards Act XI. CERTIFICATION REGARDING DEBARMENT,SUSPENSION,
(40 U.S.C.333). INELIGIBILITY AND VOLUNTARY EXCLUSION
IX. FALSE STATEMENTS CONCERNING HIGHWAY PROJECTS 1. Instructions for Certification-Primary Covered Transac-
tions:
In order to assure high quality and durable construction in confor-
mity with approved plans and specifications and a high degree of (Applicable to all Federal-aid contracts-49 CFR 29)
reliability on statements and representations made by engineers,
contractors,suppliers,and workers on Federal-aid highway projects, a. By signing and submitting this proposal,the prospective
it is essential that all persons concerned with the project perform their primary participant is providing the certification set out below.
functions as carefully,thoroughly,and honestly as possible. Willful
falsification,distortion,or misrepresentation with respect to any facts b. The inability of a person to provide the certification set out
related to the project is a violation of Federal taw. To prevent any below will not necessarily result In denial of participation in this
misunderstanding regarding the seriousness of these and similar covered transaction. The prospective participant shall submit an
acts, the following notice shall be posted on each Federal-aid explanation of why it cannot provide the certification set out below.
highway project (23 CFR 635) in one or more places where it is The certification or explanation will be considered in connection with
readily available to all persons concerned with the project the department or agency's determination whether to enter into this
transaction. However,failure of the prospective primary participant
NOTICE TO ALL PERSONNEL ENGAGED ON FEDERAL-AID to furnish a certification or an explanation shall disqualify such a
HIGHWAY PROJECTS person from participation in this transaction.
18 U.S.C.1020 reads as follows: c. The certification in this clause is a material representation
of fact upon which reliance was placed when the department or
'Whoever, being an officer, agent, or employee of the United agency determined to enter into this transaction. If it is later deter-
States,or of any State or Territory,or whoever,whether a person, mined that the prospective primary participant knowingly rendered an
association,firm, or corporation,knowingly makes any false state- erroneous certification,in addition to other remedies available to the
ment,false representation,or false report as to the character,quality, Federal Government,the department or agency may terminate this
Page 6 Form FHWA 1273(Rev.3-94)
transaction for cause of default. Certification Regarding Debarment,Suspension,Ineligibility
and Voluntary Exclusion--Primary Covered Transactions
d.The prospective primaryparticipant shall provide immediate
written notice to the department or agency to whom this proposal is 1. The prospective primary participant certifies to the best of its
submitted if any time the prospective primary participant learns that knowledge and belief,that it and its principals:
its certification was erroneous when submitted or has become
erroneous by reason of changed circumstances. a. Are not presently debarred, suspended, proposed for
debarment,declared ineligible,or voluntarily excluded from covered
e. The terms"covered transaction,""debarred,""suspended," transactions by any Federal department or agency;
"ineligible,""lower tier covered transaction,""participant,""person,"
"primary covered transaction,""principal,""proposal,"and"voluntarily b. Have not within a 3-year period preceding this proposal
excluded,"as used in this clause,have the meanings set out in the been convicted of or had a civil judgement rendered against them for
Definitions and Coverage sections of rules implementing Executive commission of fraud or a criminal offense in connection with obtain-
Order 12549. You may contact the department or agency to which ing, attempting to obtain, or performing a public(Federal,State or
this proposal is submitted for assistance in obtaining a copy of those local)transaction or contract under a public transaction;violation of
regulations. Federal or State antitrust statutes or commission of embezzlement,
theft,forgery,bribery,falsification or destruction of records,making
f.The prospective primary participant agrees by submitting this false statements,or receiving stolen property;
proposal that,should the proposed covered transaction be entered
into,it shall not knowingly enter into any lower tier covered transac- c.Are not presently indicted for or otherwise criminally or civilly
tion with a person who is debarred,suspended,declared ineligible, charged by a governmental entity (Federal, State or local) with
or voluntarily excluded from participation in this covered transaction, commission of any of the offenses enumerated in paragraph 1 b of
unless authorized by the department or agency entering into this this certification;and
transaction.
d. Have not within a 3-year period preceding this applica-
g. The prospective primary participant further agrees by tion/proposal had one or more public transactions(Federal,State or
submitting this proposal that it will include the clause titled"Certifica- local)terminated for cause or default
tion Regarding Debarment, Suspension, Ineligibility and Voluntary
Exclusion-Lower Tier Covered Transaction," provided by the 2. Where the prospective primary participant is unable to certify to
department or agency entering into this covered transaction,without any of the statements in this certification,such prospective participant
modification,in all lower tier covered transactions and in all solicita- shall attach an explanation to this proposal.
tions for lower tier covered transactions.
h. A participant in a covered transaction may rely upon a
certification of a prospective participant in a lower tier covered
transaction that Is not debarred,suspended,ineligible,or voluntarily 2. Instructions for Certification-LowerTier Covered Transac-
excluded from the covered transaction, unless it knows that the tions:
certification is erroneous. A participant may decide the method and
frequency by which it determines the eligibility of its principals. Each (Applicable to all subcontracts,purchase orders and other lower
participant may,but is not required to,check the nonprocurement tier transactions of$25,000 or more-49 CFR 29)
portion of the"Lists of Parties Excluded From Federal Procurement
or Nonprocurement Programs" (Nonprocurement List) which Is a. By signing and submitting this proposal, the prospective
compiled by the General Services Administration. lower tier is providing the certification set out below.
I. Nothing contained in the foregoing shall be construed to b. The certification in this clause is a material representation
require establishment of a system of records in order to render in of fact upon which reliance was placed when this transaction was
good faith the certification required by this clause. The knowledge entered into. If it is later determined that the prospective lower tier
and information of participant is not required to exceed that which is participant knowingly rendered an erroneous certification,in addition
normally possessed by a prudent person in the ordinary course of to other remedies available to the Federal Government,the depart-
business dealings. ment,or agency with which this transaction originated may pursue
available remedies,including suspension and/or debarment.
j. Except for transactions authorized under paragraph f of
these instructions,if a participant in a covered transaction knowingly c. The prospective lower tier participant shall provide immedi-
enters into a lower tier covered transaction with a person who is ate written notice to the person to which this proposal is submitted if
suspended, debarred, ineligible, or voluntarily excluded ,from at any time the prospective lower tier participant learns that its
participation in this transaction,In addition to other remedies available certification was erroneous by reason of changed circumstances.
to the Federal Government,the department or agency may terminate
this transaction for cause or default. d. The terms"covered transaction,""debarred,""suspended,"
"ineligible," "primary covered transaction," "participant," "person;
"principal," "proposal,"and "voluntarily excluded," as used in this
*****
clause,have the meanings set out in the Definitions and Coverage
sections of rules implementing Executive Order 12549. You may
contact the person to which this proposal is submitted for assistance
in obtaining a copy of those regulations.
•
e. The prospective lower tier participant agrees by submitting
this proposal that, should the proposed covered transaction be
entered into,it shall not knowingly enter into any lower tier covered
transaction with a person who is debarred, suspended, declared
ineligible,or voluntarily excluded from participation in this covered
transaction, unless authorized by the department or agency with
which this transaction originated.
f. The prospective lower tier participant further agrees by
submitting this proposal that it will include this clause titled"Certifica-
tion Regarding Debarment,Suspension, Ineligibility and Voluntary
Exclusion-Lower Tier Covered Transaction,"without modification,in
all lower tier covered transactions and in all solicitations for lower tier
covered transactions.
g. A participant in a covered transaction may rely upon a
certification of a prospective participant in a lower tier covered
transaction that is not debarred,suspended,ineligible,or voluntarily
excluded from the covered transaction, unless it knows that the
certification is erroneous. A participant may decide the method and
Form FHWA-1273(Rev.3-94) Page 7
frequency by which it determines the eligibility of its principals. Each XiI. CERTIFICATION REGARDING USE OF CONTRACT FUNDS
participant may,but is not required to,check the Nonprocurement FOR LOBBYING
List.
(Applicable to all Federal-aid construction contracts and to all
h. Nothing contained in the foregoing shall be construed to related subcontracts which exceed$100,000-49 CFR 20)
require establishment of a system of records in order to render In
good faith the certification required by this clause. The knowledge 1. The prospective participant certifies,by signing and submitting
and information of participant is not required to exceed that which is this bid or proposal,to the best of his or her knowledge and belief,
normally possessed by a prudent person in the ordinary course of that:
business dealings.
a. No Federal appropriated funds have been paid or will be
I. Except for transactions authorized under paragraph a of paid,by or on behalf of the undersigned,to any person for influencing
these instructions,if a participant in a covered transaction knowingly or attempting to influence an officer or employee of any Federal
enters into a lower tier covered transaction with a person who is agency,a Member of Congress,an officer or employee of Congress,
suspended, debarred, ineligible, or voluntarily excluded from or an employee of a Member of Congress in connection with the
participation in this transaction,in addition to other remedies available awarding of any Federal contract,the making of any Federal grant,
to the Federal Government,the department or agency with which this the making of any Federal loan,the entering into of any cooperative
transaction originated may pursue available remedies, including agreement,and the extension,continuation,renewal,amendment,or
suspension and/or debarment. modification of any Federal contract, grant, loan, or cooperative
agreement.
*"""' b. If any funds other than Federal appropriated funds have
been paid or will be paid to any person for influencing or attempting
Certification Regarding Debarment,Suspension,Ineligibility to influence an officer or employee of any Federal agency,a Member
and Voluntary Exclusion--Lower Tier Covered Transactions: of Congress,an officer or employee of Congress,or an employee of
a Member of Congress in connection with this Federal contract,grant,
1.The prospective lower tier participant certifies,by submission of loan,or cooperative agreement,the undersigned shall complete and
this proposal,that neither it nor its principals is presently debarred, submit Standard Form-LLL,"Disclosure Form to Report Lobbying,"in
suspended,proposed for debarment,declared ineligible,or volun- accordance with its Instructions.
tarily excluded from participation in this transaction by any Federal
department or agency. 2. This certification is a material representation of fact upon which
reliance was placed when this transaction was made or entered into.
2. Where the prospective lower tier participant is unable to certify Submission of this certification is a prerequisite for making or entering
to any of the statements in this certification, such prospective into this transaction imposed by 31 U.S.C.1352. Any person who
participant shall attach an explanation to this proposal. fails to file the required certification shall be subject to a civil penalty
of not less than$10,000 and not more than$100,000 for each such
* "*' failure.
3.The prospective participant also agrees by submitting his or her
bid or proposal that he or she shall require that the language of this
certification be included in all lower tier subcontracts,which exceed
$100,000 and that all such recipients shall certify and disclose
accordingly.
•
Page 8 Form FHWA-1273(Rev.3-94)
ATTACHMENT A- EMPLOYMENT PREFERENCE FOR (c)the date on which he estimates such employees will be required,
APPALACHIAN CONTRACTS and(d)any other pertinent information required by the State Employ-
(Applicable to Appalachian contracts only.) ment Service to complete the job order form. The job order may be
placed with the State Employment Service in writing or by telephone.
1. During the performance of this contract,the contractor under- If during the course of the contract work,the information submitted by
taking to do work which is,or reasonably may be,done as on-site the contractor in the original job order is substantially modified, he
work,shall give preference to qualified persons who regularly reside shall promptly notify the State Employment Service.
in the labor area as designated by the DOL wherein the contract work
is situated,or the subregion,or the Appalachian counties of the State 3. The contractor shall give full consideration to all qualified job
wherein the contract work is situated,except: applicants referred to him by the State Employment Service. The
contractor is not required to grant employment to any job applicants
a. To the extent that qualified persons regularly residing in who,in his opinion,are not qualified to perform the classification of
the area are not available. work required.
b. For the reasonable needs of the contractor to employ 4. If, within 1 week following the placing of a job order by the
supervisory or specially experienced personnel necessary to assure contractor with the State Employment Service,the State Employment
an efficient execution of the contract work. Service is unable to refer any qualified job applicants to the contrac-
tor, or less than the number requested, the State Employment
c. For the obligation of the contractor to offer employment to Service will forward a certificate to the contractor indicating the
present or former employees as the result of a lawful collective unavailability of applicants. Such certificate shall be made a part of
bargaining contract,provided that the number of nonresident persons the contractor's permanent project records. Upon receipt of this
employed under this subparagraph 1c shall not exceed 20 percent of certificate,the contractor may employ persons who do not normally
the total number of employees employed by the contractor on the reside in the labor area to fill positions covered by the certificate,
contract work,except as provided in subparagraph 4 below. notwithstanding the provisions of subparagraph 1c above.
2. The contractor shall place a job order with the State Employ- 5. The contractor shall include the provisions of Sections 1
ment Service indicating (a) the classifications of the laborers, through 4 of this Attachment A in every subcontract for work which is,
mechanics and other employees required to perform the contract or reasonably may be,done as on-site work.
work,(b)the number of employees required in each classification,
Form FHWA-1273(Rev.3-94) Page9