HomeMy WebLinkAbout1947 Approving a Surface Transportation Block Grant Program and FY 2023 Congressionally Directed Project Agreement w/the MHTC BILL NO. 2023-056 ORDINANCE NO. /(:)4 74
AN ORDINANCE APPROVING A SURFACE TRANSPORTATION BLOCK GRANT
PROGRAM AND FISCAL YEAR 2023 CONGRESSIONALLY DIRECTED PROJECT
AGREEMENT WITH THE MISSOURI HIGHWAYS AND TRANSPORATION
COMMISSION
BE IT ORDAINED BY THE BOARD OF ALDERMEN OF THE CITY OF RIVERSIDE,
MISSOURI AS FOLLOWS:
SECTION 1 —APPROVAL OF AGREEMENT. That the Riverside Board of Aldermen hereby
approves the Surface Transportation Block Grant Program and Fiscal Year 2023 Congressionally
Directed Project Agreement, in substantially the form attached hereto, by and between the City of
Riverside and the Missouri Highways and Transportation Commission. The Mayor is authorized to
execute the Agreement on the City's behalf.
SECTION 2—GRANT OF FURTHER AUTHORITY. That the Mayor,the City Administrator,
and other appropriate City officials are hereby authorized to take any and all actions as may be
deemed necessary or convenient to carry out and comply with the intent of this Ordinance and to
execute and deliver for and on behalf of the City all certificates, instruments, agreements and other
documents,as may be necessary or convenient to perform all matters herein authorized.
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 of the Board of ldermen and APPROVED by the Mayor of the
City of Riverside this 5 p' day of 2023.
• ayor Kathleen L. Rose
ATTEST:
Robin-Kincaid, ity Clerk
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CCO Form: FS11
Approved: 07/96 (KMH)
Revised: 10/22 (MWH)
Modified: 08/23 (MWH)
CFDA Number CFDA #20.205
CFDA Title: Highway Planning and Construction
Award name/number: STBG 3400(446)
Award Year: 2023
Federal Agency: Federal Highway Administration, Department of Transportation
MISSOURI HIGHWAYS AND TRANSPORTATION COMMISSION
SURFACE TRANSPORTATION BLOCK GRANT (STBG) PROGRAM AND FY23
CONGRESSIONALLY DIRECTED PROJECT AGREEMENT
THIS 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, the Infrastructure Investment and Jobs Act (IIJA) 23 U.S.C. §133,
authorizes a Surface Transportation Block Grant (STBG) Program to fund transportation
related projects; and
WHEREAS, the FY 2023 Consolidated Appropriations Act (P.L. 117-328),
authorizes funding for Congessionally Directed Spending (hearinafter; "Earmark') to fund
transportation related projects, and
WHEREAS.. the City desires to construct certain improvements, more specifically
described below. using such STBG and Earmark funding; and
WHEREAS, those improvements are to be designed and constructed in
compliance with the provisions of this Agreement.
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 STBG
and Earmark funds to the City. The improvement contemplated by this Agreement and
designated as Project 3400(446) Riverway Boulevard Improvements involves:
Lane realignment and conversion of two intersections to a
roundabout, signal improvements, lighting improvements, multimodal access and
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improved sight distance.
The City shall be responsible for all aspects of the construction of the improvement.
(2) LOCATION: The contemplated improvement designated as Project STBG
3400(446) 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: MO 9
including intersections and portions of US 69 N and US 69 S onto Riverway boulevard to
the intersection of NW Gateway Avenue.
(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 [and the final deadline specified in Exhibit B attached hereto and
incorporated herein by reference. In the event, the LPA Manual and the final deadline
within Exhibit B conflict, the final deadline within Exhibit B controls]. 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 STBG and/or Earmark
systems 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) ACCEPTED WITHIN HIGHWAY SYSTEM: Effective upon execution of this
Agreement, the Commission accepts the above described portion of the City street
system as part of the State Highway System for the purposes of this STBG project.
However, during the construction period contemplated in this Agreement:
(A) The Commission will assume no police or traffic control functions not
obligatory upon Commission immediately prior to the execution of this Agreement, and
(B) The City shall perform or cause to be performed normal maintenance
on the project site.
(8) CITY TO MAINTAIN: Upon completion of construction of this improvement,
the City shall accept control and maintenance of the improved street and shall thereafter
keep, control, and maintain the same as, and for all purposes, a part of the City street
system at its own cost and expense and at no cost and expense whatsoever to the
Commission. 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 Commission under this Agreement shall cease upon completion of the
improvement.
(9) 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
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.
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(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.
(10) CONSTRUCTION SPECIFICATIONS: Parties agree that all construction
under the STBG and Earmark 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.
(11) 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 C. Wherever the term "the contractor or words
of similar import appear in these sections, the term "the City" is to be substituted. 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.
(12) ACQUISITION OF RIGHT OF WAY: With respect to the acquisition of right
of way necessary for the completion of the project, City shall acquire any additional
necessary right of way required for the project and in doing so 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.
(13) 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. All federally funded projects are required to have a project
end date. Any costs incurred after the project end date are not eligible for reimbursement.
The STBG federal share for this project will be eighty percent (80%) not to exceed two
million five hundred sixty thousand dollars ($2,560,000). The STBG funds may be eligible
for reimbursement for construction activities only. The Earmark federal share for this
project will be eighty percent (80%) not to exceed three million two hundred thousand
dollars ($3,200,000). The Earmark funds are designated as Demo MO256 and must be
obligated by September 30, 2026 and expended and invoiced prior to September 30,
2031. The Earmark funds may be eligible for reimbursement for activities that include
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any project development activities related to the described project. including,
environmental documentation, design, right of way activities, and physical construction
as generally outlined in Title 23. 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.
(14) 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.
(15) 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).
(16) WORK ON STATE RIGHT OF WAY: If any contemplated improvements
for Project STBG 3400(446) Riverside Boulevard Improvements will involve work on the
state's right of way, the City will provide reproducible final plans to the Commission
relating to such work.
(17) 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.
(18) 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.
(19) PROGRESS PAYMENTS: The City may request progress payments be
made for the herein improvements as work progresses but not more than once every two
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weeks. Progress payments must be submitted monthly. All progress payment requests
must be submitted for reimbursement within 90 days of the project completion date for
the final phase of work. The City shall repay any progress payments which involve
ineligible costs.
(20) PROMPT PAYMENTS: Progress invoices submitted to MoDOT for
reimbursement more than thirty (30) calendar days after the date of the vendor invoice
shall also include documentation that the vendor was paid in full for the work identified in
the progress invoice. Examples of proof of payment may include a letter or e-mail from
the vendor, lien waiver or copies of cancelled checks. Reimbursement will not be made
on these submittals until proof of payment is provided. Progress invoices submitted to
MoDOT for reimbursement within thirty (30) calendar days of the date on the vendor
invoice will be processed for reimbursement without proof of payment to the vendor. If
the City has not paid the vendor prior to receiving reimbursement, the City must pay the
vendor within two (2) business days of receipt of funds from MoDOT.
(21) OUTDOOR ADVERTISING: The City further agrees that the right of way
provided for any STBG 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.
(22) 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.
(23) AUDIT REQUIREMENTS: If the City expend(s) seven hundred fifty
thousand dollars ($750,000) or more in a year in federal financial assistance it is required
to have an independent annual audit conducted in accordance with 2 CFR Part 200. 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 2 CFR Part 200, if the City expend(s) less than seven
hundred fifty thousand dollars ($750,000) 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.
(24) 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.
(25) 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
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breach, shall be instituted only in the Circuit Court of Cole County. Missouri.
(26) 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.
(27) AMENDMENTS: Any change in this Agreement. whether by modification
or supplementation, must be accomplished by a formal contract amendment signed and
approved by the duly authorized representatives of the City and the Commission.
(28) COMMISSION REPRESENTATIVE: The Commission's Kansas City
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.
(29) 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:
(A) To the City:
City of Riverside
Capital Projects & Parks Manager
2950 NW Vivion Road
Riverside, MO 64150
(B) To the Commission:
Kansas City District Engineer
Missouri Department of Transportation
600 NE Colbern Rd
Lee's Summit, MO 64086
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.
(30) 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
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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, 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
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, 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.
(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
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paragraph (30) 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.
(31) 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.
(32) CONFLICT OF INTEREST: The City shall comply with conflict of interest
policies identified in 23 CFR 1.33. A conflict of interest occurs when an entity has a
financial or personal interest in a federally funded project.
(33) MANDATORY DISCLOSURES: The City shall comply with 2 CFR 200.113
and disclose, in a timely manner, in writing all violations of Federal criminal law involving
fraud, bribery, or gratuity violations potentially affecting the Federal award.
Remainder of Page Intentionally Left Blank
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IN WITNESS WHEREOF, the parties have entered into this Agreement on
the date last written below.
Executed by the City on 2023-09-07 I 1:01 PM CDT (DATE).
Executed by the Commission on 2023-09-20 l 11:16 AM cot (DATE).
MISSOURI HIGHWAYS AND CITY OF RIVERSIDE
TRAN5SPd9yRTATION COMMISSION DocuSigned b :
EfifiC t. S rOtit►r By Llilt[4112Z54-°-
0tOLUtt9fL4t4`J8__ 0/UUDLtlotw 14u I..
Title Assistant Chief Engineer Title Mayor
ATTEST: ATTEST:
p—DocuSigned by: DocuSigned by:
74.4J7/ 410By �eloiiA, 61n144,
' ecret"a'rybto�the Commission OA9SE829/b8A4b2
Title City clerk
Approved as to Form: Approved as to Form:
,—DocuSigned by: —DocuSigned by:
117dreet.J . a�i�t0-7Yarw � Paa bulb
`—OAi4ttytrytb4u/ By t-4DBF948754AC4C6...
Commission Counsel
Title city Attorney
Ordinance No: 1947
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Exhibit A - Location of Project
Riverway / West Platte Improvements 1 0 .5 1 2
i- i- -
4 ' 250 125 250500
t`g.,.
— ' Wit' f �i."•4 SCALE 1" = 250'
r„,o' {r I,nl I ✓- LEGEND
� ` —Road Improvements
.- 11'n ¢$ `,. Remove Existing Pavement
Shared Use Paths&Sidewalks
r
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Exhibit B — Project Schedule
Project Description: Project 3400(446) Riverway Boulevard Improvements including
Lane realignment and conversion of an intersection to a roundabout, signa improvements,
lighting improvements, multimodal access and improved sight distance.
Task Date
Date funding is made available or allocated to recipient 10/01/2025
Preliminary and Right-of-Way Plans Submittal 04/01/2024
(if Applicable)
Plans, Specifications & Estimate (PS&E) Submittal 10/28/2024
Plans, Specifications & Estimate (PS&E) Approval 11/04/2024
Advertisement for Letting 01/01/2025
Bid Opening 02/01/2025
Construction Contract Award or Planning Study completed 06/01/2026
(REQUIRED)
*Note: the dates established in the schedule above will be used in the applicable ESC
between the sponsor agency and consultant firm.
**Schedule dates are approximate as the project schedule will be actively managed and
issues mitigated through the project delivery process. The Award Date or Planning Study
Date deliverable is not approximate and requires a request to adjust.
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Exhibit C - Required Contract Provisions
Federal-Aid Construction Contracts
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FHWA-1273--Revised July 5,2022
REQUIRED CONTRACT PROVISIONS
FEDERAL-AID CONSTRUCTION CONTRACTS
performed on the contract by the contractor's own organization
I. General and with the assistance of workers under the contractor's
II. Nondiscrimination immediate superintendence and to all work performed on the
III. Non-segregated Facilities contract by piecework,station work,or by subcontract. 23
IV. Davis-Bacon and Related Act Provisions CFR 633.102(d).
V. Contract Work Hours and Safety Standards Act
Provisions 3. A breach of any of the stipulations contained in these
VI. Subletting or Assigning the Contract Required Contract Provisions may be sufficient grounds for
VII. Safety:Accident Prevention withholding of progress payments,withholding of final
VIII. False Statements Concerning Highway Projects payment,termination of the contract,suspension/debarment
IX. Implementation of Clean Air Act and Federal Water or any other action determined to be appropriate by the
Pollution Control Act contracting agency and FHWA.
X. Certification Regarding Debarment,Suspension,
Ineligibility and Voluntary Exclusion 4. Selection of Labor:During the performance of this contract,
Xl. Certification Regarding Use of Contract Funds for the contractor shall not use convict labor for any purpose
Lobbying within the limits of a construction project on a Federal-aid
XII. Use of United States-Flag Vessels: highway unless it is labor performed by convicts who are on
parole,supervised release,or probation. 23 U.S.C. 114(b).
ATTACHMENTS The term Federal-aid highway does not include roadways
functionally classified as local roads or rural minor collectors.
A.Employment and Materials Preference for Appalachian 23 U.S.C. 101(a).
Development Highway System or Appalachian Local Access
Road Contracts(included in Appalachian contracts only)
II. NONDISCRIMINATION(23 CFR 230.107(a);23 CFR Part
230,Subpart A,Appendix A;EO 11246)
I. GENERAL
The provisions of this section related to 23 CFR Part 230,
1. Form FHWA-1273 must be physically incorporated in each Subpart A,Appendix A are applicable to all Federal-aid
construction contract funded under title 23,United States construction contracts and to all related construction
Code,as required in 23 CFR 633.102(b)(excluding subcontracts of$10,000 or more. The provisions of 23 CFR
emergency contracts solely intended for debris removal). The Part 230 are not applicable to material supply,engineering,or
contractor(or subcontractor)must insert this form in each architectural service contracts.
subcontract and further require its inclusion in all lower tier
subcontracts(excluding purchase orders,rental agreements In addition,the contractor and all subcontractors must comply
and other agreements for supplies or services). 23 CFR with the following policies:Executive Order 11246,41 CFR
633.102(e). Part 60,29 CFR Parts 1625-1627,23 U.S.C. 140,Section 504
of the Rehabilitation Act of 1973,as amended(29 U.S.C.794),
The applicable requirements of Form FHWA-1273 are Title VI of the Civil Rights Act of 1964,as amended(42 U.S.C.
incorporated by reference for work done under any purchase 2000d et seq.),and related regulations including 49 CFR Parts
order,rental agreement or agreement for other services. The 21,26,and 27;and 23 CFR Parts 200,230,and 633.
prime contractor shall be responsible for compliance by any
subcontractor,lower-tier subcontractor or service provider. 23 The contractor and all subcontractors must comply with: the
CFR 633.102(e). requirements of the Equal Opportunity Clause in 41 CFR 60-
1.4(b)and,for all construction contracts exceeding$10,000,
Form FHWA-1273 must be included in all Federal-aid design- the Standard Federal Equal Employment Opportunity
build contracts,in all subcontracts and in lower tier Construction Contract Specifications in 41 CFR 60-4.3.
subcontracts(excluding subcontracts for design services,
purchase orders,rental agreements and other agreements for Note:The U.S.Department of Labor has exclusive authority to
supplies or services)in accordance with 23 CFR 633.102. The determine compliance with Executive Order 11246 and the
design-builder shall be responsible for compliance by any policies of the Secretary of Labor including 41 CFR Part 60,
subcontractor,lower-tier subcontractor or service provider. and 29 CFR Parts 1625-1627. The contracting agency and
the FHWA have the authority and the responsibility to ensure
Contracting agencies may reference Form FHWA-1273 in compliance with 23 U.S.C. 140,Section 504 of the
solicitation-for-bids or request-for-proposals documents, Rehabilitation Act of 1973,as amended(29 U.S.C.794),and
however,the Form FHWA-1273 must be physically Title VI of the Civil Rights Act of 1964,as amended(42 U.S.C.
incorporated(not referenced)in all contracts,subcontracts and 2000d et seq.),and related regulations including 49 CFR Parts
lower-tier subcontracts(excluding purchase orders,rental 21,26,and 27;and 23 CFR Parts 200,230,and 633.
agreements and other agreements for supplies or services
related to a construction contract). 23 CFR 633.102(b). The following provision is adopted from 23 CFR Part 230,
Subpart A,Appendix A,with appropriate revisions to conform
2. Subject to the applicability criteria noted in the following to the U.S.Department of Labor(US DOL)and FHWA
sections,these contract provisions shall apply to all work requirements.
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1.Equal Employment Opportunity:Equal Employment d. Notices and posters setting forth the contractors EEO
Opportunity(EEO)requirements not to discriminate and to policy will be placed in areas readily accessible to employees,
take affirmative action to assure equal opportunity as set forth applicants for employment and potential employees.
under laws,executive orders,rules,regulations(see 28 CFR
Part 35,29 CFR Part 1630,29 CFR Parts 1625-1627,41 CFR e. The contractors EEO policy and the procedures to
Part 60 and 49 CFR Part 27)and orders of the Secretary of implement such policy will be brought to the attention of
Labor as modified by the provisions prescribed herein,and employees by means of meetings,employee handbooks,or
imposed pursuant to 23 U.S.C. 140,shall constitute the EEO other appropriate means.
and specific affirmative action standards for the contractor's
project activities under this contract.The provisions of the 4.Recruitment:When advertising for employees,the
Americans with Disabilities Act of 1990(42 U.S.C.12101 et contractor will include in all advertisements for employees the
seq.)set forth under 28 CFR Part 35 and 29 CFR Part 1630 notation:"An Equal Opportunity Employer." All such
are incorporated by reference in this contract.In the execution advertisements will be placed in publications having a large
of this contract,the contractor agrees to comply with the circulation among minorities and women in the area from
following minimum specific requirement activities of EEO: which the project work force would normally be derived.
a.The contractor will work with the contracting agency and a. The contractor will,unless precluded by a valid
the Federal Government to ensure that it has made every bargaining agreement,conduct systematic and direct
good faith effort to provide equal opportunity with respect to all recruitment through public and private employee referral
of its terms and conditions of employment and in their review sources likely to yield qualified minorities and women. To
of activities under the contract. 23 CFR 230.409(g)(4)&(5). meet this requirement,the contractor will identify sources of
potential minority group employees and establish with such
b.The contractor will accept as its operating policy the identified sources procedures whereby minority and women
following statement: applicants may be referred to the contractor for employment
consideration.
"It is the policy of this Company to assure that applicants
are employed,and that employees are treated during b. In the event the contractor has a valid bargaining
employment,without regard to their race,religion,sex, agreement providing for exclusive hiring hall referrals,the
sexual orientation,gender identity,color,national origin,age contractor is expected to observe the provisions of that
or disability. Such action shall include:employment, agreement to the extent that the system meets the contractors
upgrading,demotion,or transfer;recruitment or recruitment compliance with EEO contract provisions. Where
advertising;layoff or termination;rates of pay or other forms implementation of such an agreement has the effect of
of compensation;and selection for training,including discriminating against minorities or women,or obligates the
apprenticeship,pre-apprenticeship,and/or on-the-job contractor to do the same,such implementation violates
training." Federal nondiscrimination provisions.
2. EEO Officer:The contractor will designate and make c. The contractor will encourage its present employees to
known to the contracting officers an EEO Officer who will have refer minorities and women as applicants for employment.
the responsibility for and must be capable of effectively Information and procedures with regard to referring such
administering and promoting an active EEO program and who applicants will be discussed with employees.
must be assigned adequate authority and responsibility to do
so. 5. Personnel Actions:Wages,working conditions,and
employee benefits shall be established and administered,and
3. Dissemination of Policy:All members of the contractor's personnel actions of every type,including hiring,upgrading,
staff who are authorized to hire,supervise,promote,and promotion,transfer,demotion,layoff,and termination,shall be
discharge employees,or who recommend such action or are taken without regard to race,color,religion,sex,sexual
substantially involved in such action,will be made fully orientation,gender identity,national origin,age or disability.
cognizant of and will implement the contractor's EEO policy The following procedures shall be followed:
and contractual responsibilities to provide EEO in each grade
and classification of employment. To ensure that the above a. The contractor will conduct periodic inspections of project
agreement will be met,the following actions will be taken as a sites to ensure that working conditions and employee facilities
minimum: do not indicate discriminatory treatment of project site
personnel.
a. Periodic meetings of supervisory and personnel office
employees will be conducted before the start of work and then b. The contractor will periodically evaluate the spread of
not less often than once every six months,at which time the wages paid within each classification to determine any
contractor's EEO policy and its implementation will be evidence of discriminatory wage practices.
reviewed and explained. The meetings will be conducted by
the EEO Officer or other knowledgeable company official. c. The contractor will periodically review selected personnel
actions in depth to determine whether there is evidence of
b. All new supervisory or personnel office employees will be discrimination. Where evidence is found,the contractor will
given a thorough indoctrination by the EEO Officer,covering promptly take corrective action. If the review indicates that the
all major aspects of the contractor's EEO obligations within discrimination may extend beyond the actions reviewed,such
thirty days following their reporting for duty with the contractor. corrective action shall include all affected persons.
c. All personnel who are engaged in direct recruitment for d. The contractor will promptly investigate all complaints of
the project will be instructed by the EEO Officer in the alleged discrimination made to the contractor in connection
contractor's procedures for locating and hiring minorities and with its obligations under this contract,will attempt to resolve
women. such complaints,and will take appropriate corrective action
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within a reasonable time. If the investigation indicates that the sufficient referrals(even though it is obligated to provide
discrimination may affect persons other than the complainant, exclusive referrals under the terms of a collective bargaining
such corrective action shall include such other persons. Upon agreement)does not relieve the contractor from the
completion of each investigation,the contractor will inform requirements of this paragraph. In the event the union referral
every complainant of all of their avenues of appeal. practice prevents the contractor from meeting the obligations
pursuant to Executive Order 11246,as amended,and these
6.Training and Promotion: special provisions,such contractor shall immediately notify the
contracting agency.
a. The contractor will assist in locating,qualifying,and
increasing the skills of minorities and women who are 8. Reasonable Accommodation for Applicants/
applicants for employment or current employees. Such efforts Employees with Disabilities: The contractor must be familiar
should be aimed at developing full journey level status with the requirements for and comply with the Americans with
employees in the type of trade or job classification involved. Disabilities Act and all rules and regulations established
thereunder. Employers must provide reasonable
b. Consistent with the contractor's work force requirements accommodation in all employment activities unless to do so
and as permissible under Federal and State regulations,the would cause an undue hardship.
contractor shall make full use of training programs(i.e.,
apprenticeship and on-the-job training programs for the 9.Selection of Subcontractors,Procurement of Materials
geographical area of contract performance). In the event a and Leasing of Equipment:The contractor shall not
special provision for training is provided under this contract, discriminate on the grounds of race,color,religion,sex,sexual
this subparagraph will be superseded as indicated in the orientation,gender identity,national origin,age,or disability in
special provision. The contracting agency may reserve the selection and retention of subcontractors,including
training positions for persons who receive welfare assistance procurement of materials and leases of equipment. The
in accordance with 23 U.S.C.140(a). contractor shall take all necessary and reasonable steps to
ensure nondiscrimination in the administration of this contract.
c. The contractor will advise employees and applicants for
employment of available training programs and entrance a. The contractor shall notify all potential subcontractors,
requirements for each. suppliers,and lessors of their EEO obligations under this
contract.
d. The contractor will periodically review the training and
promotion potential of employees who are minorities and b. The contractor will use good faith efforts to ensure
women and will encourage eligible employees to apply for subcontractor compliance with their EEO obligations.
such training and promotion.
7.Unions: If the contractor relies in whole or in part upon 10. Assurances Required:
unions as a source of employees,the contractor will use good
faith efforts to obtain the cooperation of such unions to a. The requirements of 49 CFR Part 26 and the State
increase opportunities for minorities and women. 23 CFR DOT's FHWA-approved Disadvantaged Business Enterprise
230.409. Actions by the contractor,either directly or through a (DBE)program are incorporated by reference.
contractor's association acting as agent,will include the
procedures set forth below: b. The contractor,subrecipient or subcontractor shall not
discriminate on the basis of race,color,national origin,or sex
a. The contractor will use good faith efforts to develop,in in the performance of this contract.The contractor shall carry
cooperation with the unions,joint training programs aimed out applicable requirements of 49 CFR part 26 in the award
toward qualifying more minorities and women for membership and administration of DOT-assisted contracts.Failure by the
in the unions and increasing the skills of minorities and women contractor to carry out these requirements is a material breach
so that they may qualify for higher paying employment. of this contract,which may result in the termination of this
contract or such other remedy as the recipient deems
b. The contractor will use good faith efforts to incorporate an appropriate,which may include,but is not limited to:
EEO clause into each union agreement to the end that such (1)Withholding monthly progress payments;
union will be contractually bound to refer applicants without (2)Assessing sanctions;
regard to their race,color,religion,sex,sexual orientation, (3)Liquidated damages;and/or
gender identity,national origin,age,or disability. (4)Disqualifying the contractor from future bidding as non-
responsible.
c. The contractor is to obtain information as to the referral c. The Title VI and nondiscrimination provisions of U.S.
practices and policies of the labor union except that to the DOT Order 1050.2A at Appendixes A and E are incorporated
extent such information is within the exclusive possession of by reference. 49 CFR Part 21.
the labor union and such labor union refuses to furnish such
information to the contractor,the contractor shall so certify to 11.Records and Reports:The contractor shall keep such
the contracting agency and shall set forth what efforts have records as necessary to document compliance with the EEO
been made to obtain such information. requirements. Such records shall be retained for a period of
three years following the date of the final payment to the
d. In the event the union is unable to provide the contractor contractor for all contract work and shall be available at
with a reasonable flow of referrals within the time limit set forth reasonable times and places for inspection by authorized
in the collective bargaining agreement,the contractor will, representatives of the contracting agency and the FHWA.
through independent recruitment efforts,fill the employment
vacancies without regard to race,color,religion,sex,sexual a. The records kept by the contractor shall document the
orientation,gender identity,national origin,age,or disability; following:
making full efforts to obtain qualified and/or qualifiable
minorities and women. The failure of a union to provide
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(1)The number and work hours of minority and non- Projects funded under 23 U.S.C. 117,and National Highway
minority group members and women employed in each work Freight Program projects funded under 23 U.S.C.167.
classification on the project;
(2)The progress and efforts being made in cooperation The following provisions are from the U.S.Department of
with unions,when applicable,to increase employment Labor regulations in 29 CFR 5.5"Contract provisions and
opportunities for minorities and women;and related matters"with minor revisions to conform to the FHWA-
1273 format and FHWA program requirements.
(3)The progress and efforts being made in locating,hiring,
training,qualifying,and upgrading minorities and women. 1. Minimum wages(29 CFR 5.5)
b. The contractors and subcontractors will submit an annual a. All laborers and mechanics employed or working upon
report to the contracting agency each July for the duration of
the project indicating the number of minority,women,and non- the site of the work,will be paid unconditionally and not less
minority group employees currently engaged in each work often than once a week,and without subsequent deduction or
classification required by the contract work. This information is rebate on any account(except such payroll deductions as are
to be reported on Form FHWA-1391. The staffing data should permitted by regulations issued by the Secretary of Labor
represent the project work force on board in all or any part of under the Copeland Act(29 CFR part 3)),the full amount of
the last payroll period preceding the end of July. If on-the-job wages and bona fide fringe benefits(or cash equivalents
training is being required by special provision,the contractor thereof)due at time of payment computed at rates not less
will be required to collect and report training data. The than those contained in the wage determination of the
employment data should reflect the work force on board during Secretary of Labor which is attached hereto and made a part
all or any part of the last payroll period preceding the end of hereof,regardless of any contractual relationship which may
July. be alleged to exist between the contractor and such laborers
and mechanics.
III.NONSEGREGATED FACILITIES Contributions made or costs reasonably anticipated for bona
fide fringe benefits under section 1(b)(2)of the Davis-Bacon
This provision is applicable to all Federal-aid construction Act on behalf of laborers or mechanics are considered wages
contracts and to all related construction subcontracts of more paid to such laborers or mechanics,subject to the provisions
than$10,000. 41 CFR 60-1.5. of paragraph 1.d.of this section;also,regular contributions
made or costs incurred for more than a weekly period(but not
As prescribed by 41 CFR 60-1.8,the contractor must ensure less often than quarterly)under plans,funds,or programs
that facilities provided for employees are provided in such a which cover the particular weekly period,are deemed to be
manner that segregation on the basis of race,color,religion, constructively made or incurred during such weekly period.
sex,sexual orientation,gender identity,or national origin Such laborers and mechanics shall be paid the appropriate
cannot result. The contractor may neither require such wage rate and fringe benefits on the wage determination for
segregated use by written or oral policies nor tolerate such use the classification of work actually performed,without regard to
by employee custom. The contractor's obligation extends skill,except as provided in 29 CFR 5.5(a)(4).Laborers or
further to ensure that its employees are not assigned to mechanics performing work in more than one classification
perform their services at any location under the contractor's may be compensated at the rate specified for each
control where the facilities are segregated. The term"facilities" classification for the time actually worked therein:Provided,
includes waiting rooms,work areas,restaurants and other That the employer's payroll records accurately set forth the
eating areas,time clocks,restrooms,washrooms,locker time spent in each classification in which work is performed.
rooms and other storage or dressing areas,parking lots, The wage determination(including any additional classification
drinking fountains,recreation or entertainment areas, and wage rates conformed under paragraph 1.b.of this
transportation,and housing provided for employees. The section)and the Davis-Bacon poster(WH-1321)shall be
contractor shall provide separate or single-user restrooms and posted at all times by the contractor and its subcontractors at
necessary dressing or sleeping areas to assure privacy the site of the work in a prominent and accessible place where
between sexes. it can be easily seen by the workers.
IV. DAVIS-BACON AND RELATED ACT PROVISIONS b.(1)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
This section is applicable to all Federal-aid construction contract shall be classified in conformance with the wage
projects exceeding$2,000 and to all related subcontracts and determination.The contracting officer shall approve an
lower-tier subcontracts(regardless of subcontract size),in additional classification and wage rate and fringe benefits
accordance with 29 CFR 5.5. The requirements apply to all therefore only when the following criteria have been met:
projects located within the right-of-way of a roadway that is
functionally classified as Federal-aid highway. 23 U.S.C. 113.
This excludes roadways functionally classified as local roads (i)The work to be performed by the classification
or rural minor collectors,which are exempt. 23 U.S.C.101. requested is not performed by a classification in the wage
Where applicable law requires that projects be treated as a determination;and
project on a Federal-aid highway,the provisions of this subpart
will apply regardless of the location of the project. Examples (ii)The classification is utilized in the area by the
include:Surface Transportation Block Grant Program projects construction industry;and
funded under 23 U.S.C. 133[excluding recreational trails
projects],the Nationally Significant Freight and Highway
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(iii)The proposed wage rate,including any bona fide including apprentices,trainees,and helpers,employed by the
fringe benefits,bears a reasonable relationship to the contractor or any subcontractor the full amount of wages
wage rates contained in the wage determination. required by the contract. In the event of failure to pay any
laborer or mechanic,including any apprentice,trainee,or
(2)If the contractor and the laborers and mechanics to be helper,employed or working on the site of the work,all or part
employed in the classification(if known),or their of the wages required by the contract,the contracting agency
representatives,and the contracting officer agree on the may,after written notice to the contractor,take such action as
classification and wage rate(including the amount may be necessary to cause the suspension of any further
designated for fringe benefits where appropriate),a report of payment,advance,or guarantee of funds until such violations
the action taken shall be sent by the contracting officer to the have ceased.
Administrator of the Wage and Hour Division,U.S.
Department of Labor,Washington,DC 20210.The 3. Payrolls and basic records(29 CFR 5.5)
Administrator,or an authorized representative,will approve, •
modify,or disapprove every additional classification action a. Payrolls and basic records relating thereto shall be
within 30 days of receipt and so advise the contracting maintained by the contractor during the course of the work and
officer or will notify the contracting officer within the 30-day preserved for a period of three years thereafter for all laborers
period that additional time is necessary. and mechanics working at the site of the work.Such records
shall contain the name,address,and social security number of
(3)In the event the contractor,the laborers or mechanics each such worker,his or her correct classification,hourly rates
to be employed in the classification or their representatives, of wages paid(including rates of contributions or costs
and the contracting officer do not agree on the proposed anticipated for bona fide fringe benefits or cash equivalents
classification and wage rate(including the amount thereof of the types described in section 1(b)(2)(B)of the
designated for fringe benefits,where appropriate),the Davis-Bacon Act),daily and weekly number of hours worked,
contracting officer shall refer the questions,including the deductions made and actual wages paid.Whenever the
views of all interested parties and the recommendation of the Secretary of Labor has found under 29 CFR 5.5(a)(1)(iv)that
contracting officer,to the Administrator for determination. the wages of any laborer or mechanic include the amount of
The Administrator,or an authorized representative,will issue any costs reasonably anticipated in providing benefits under a
a determination within 30 days of receipt and so advise the plan or program described in section 1(b)(2)(B)of the Davis-
contracting officer or will notify the contracting officer within Bacon Act,the contractor shall maintain records which show
the 30-day period that additional time is necessary. that the commitment to provide such benefits is enforceable,
that the plan or program is financially responsible,and that the
(4)The wage rate fringe benefits plan or program has been communicated in writing to the
appropriate)w determined(including pursuant tobenefitsparagra wheres e.(2)or laborers or mechanics affected,and records which show the
1.b.(3)of this section,shall be paid to all workers performing costs anticipated or the actual cost incurred in providing such
work in the classification under this contract from the first benefits.Contractors employing apprentices or trainees under
day on which work is performed in the classification. approved programs shall maintain written evidence of the
registration of apprenticeship programs and certification of
trainee programs,the registration of the apprentices and
c.Whenever the minimum wage rate prescribed in the trainees,and the ratios and wage rates prescribed in the
contract for a class of laborers or mechanics includes a fringe applicable programs.
benefit which is not expressed as an hourly rate,the contractor
shall either pay the benefit as stated in the wage determination b.(1)The contractor shall submit weekly for each week in
or shall pay another bona fide fringe benefit or an hourly cash which any contract work is performed a copy of all payrolls to
equivalent thereof. the contracting agency. The payrolls submitted shall set out
accurately and completely all of the information required to be
d. If the contractor does not make payments to a trustee or maintained under 29 CFR 5.5(a)(3)(i),except that full social
other third person,the contractor may consider as part of the security numbers and home addresses shall not be included
wages of any laborer or mechanic the amount of any costs on weekly transmittals.Instead the payrolls shall only need to
reasonably anticipated in providing bona fide fringe benefits include an individually identifying number for each employee
under a plan or program,Provided,That the Secretary of (e.g.,the last four digits of the employee's social security
Labor has found,upon the written request of the contractor, number).The required weekly payroll information may be
that the applicable standards of the Davis-Bacon Act have submitted in any form desired.Optional Form WH-347 is
been met.The Secretary of Labor may require the contractor available for this purpose from the Wage and Hour Division
to set aside in a separate account assets for the meeting of Web site.The prime contractor is responsible for the
obligations under the plan or program. submission of copies of payrolls by all subcontractors.
Contractors and subcontractors shall maintain the full social
2. Withholding(29 CFR 5.5) security number and current address of each covered worker,
and shall provide them upon request to the contracting agency
for transmission to the State DOT,the FHWA or the Wage and
The contracting agency shall upon its own action or upon Hour Division of the Department of Labor for purposes of an
written request of an authorized representative of the investigation or audit of compliance with prevailing wage
Department of Labor,withhold or cause to be withheld from requirements.It is not a violation of this section for a prime
the contractor under this contract,or any other Federal contractor to require a subcontractor to provide addresses and
contract with the same prime contractor,or any other federally- social security numbers to the prime contractor for its own
assisted contract subject to Davis-Bacon prevailing wage records,without weekly submission to the contracting agency.
requirements,which is held by the same prime contractor,so
much of the accrued payments or advances as may be (2)Each payroll submitted shall be accompanied by a
considered necessary to pay laborers and mechanics, "Statement of Compliance,"signed by the contractor or
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subcontractor or his or her agent who pays or supervises the Apprenticeship Agency(where appropriate)to be eligible for
payment of the persons employed under the contract and shall probationary employment as an apprentice.
certify the following:
The allowable ratio of apprentices to journeymen on the job
(i)That the payroll for the payroll period contains the site in any craft classification shall not be greater than the ratio
information required to be provided under 29 CFR permitted to the contractor as to the entire work force under
5.5(a)(3)(ii),the appropriate information is being the registered program.Any worker listed on a payroll at an
maintained under 29 CFR 5.5(a)(3)(i),and that such apprentice wage rate,who is not registered or otherwise
information is correct and complete; employed as stated above,shall be paid not less than the
applicable wage rate on the wage determination for the
(ii)That each laborer or mechanic(including each classification of work actually performed.In addition,any
helper,apprentice,and trainee)employed on the contract apprentice performing work on the job site in excess of the
during the payroll period has been paid the full weekly ratio permitted under the registered program shall be paid not
wages earned,without rebate,either directly or indirectly, less than the applicable wage rate on the wage determination
and that no deductions have been made either directly or for the work actually performed.Where a contractor is
indirectly from the full wages earned,other than performing construction on a project in a locality other than
permissible deductions as set forth in 29 CFR part 3; that in which its program is registered,the ratios and wage
rates(expressed in percentages of the journeyman's hourly
rate)specified in the contractor's or subcontractor's registered
(iii)That each laborer or mechanic has been paid not program shall be observed.
less than the applicable wage rates and fringe benefits or
cash equivalents for the classification of work performed, Every apprentice must be paid at not less than the rate
as specified in the applicable wage determination specified in the registered program for the apprentice's level of
incorporated into the contract. progress,expressed as a percentage of the journeymen hourly
rate specified in the applicable wage determination.
(3)The weekly submission of a properly executed Apprentices shall be paid fringe benefits in accordance with
certification set forth on the reverse side of Optional Form the provisions of the apprenticeship program. If the
WH-347 shall satisfy the requirement for submission of the apprenticeship program does not specify fringe benefits,
"Statement of Compliance"required by paragraph 3.b.(2)of apprentices must be paid the full amount of fringe benefits
this section. listed on the wage determination for the applicable
classification.If the Administrator determines that a different
(4)The falsification of any of the above certifications may practice prevails for the applicable apprentice classification,
subjectfringes shall be paid in accordance with that determination.
the contractor or subcontractor to civil or criminal
prosecution under 18 U.S.C. 1001 and 31 U.S.C.231.
In the event the Office of Apprenticeship Training,Employer
c.The contractor or subcontractor shall make the records and Labor Services,or a State Apprenticeship Agency
required under paragraph 3.a.of this section available for recognized by the Office,withdraws approval of an
apprenticeship program,the contractor will no longer be
inspection,copying,or transcription by authorized
permitted to utilize apprentices at less than the applicable
representatives of the contracting agency,the State DOT,the
predetermined rate for the work performed until an acceptable
FHWA,or the Department of Labor,and shall permit such
Program is approved.
representatives to interview employees during working hours
on the job.If the contractor or subcontractor fails to submit the
required records or to make them available,the FHWA may, b.Trainees(programs of the USDOL).
after written notice to the contractor,the contracting agency or
the State DOT,take such action as may be necessary to
cause the suspension of any further payment,advance,or Except as provided in 29 CFR 5.16,trainees will not be
Permitted to work at less than the predetermined rate for the
guarantee of funds.Furthermore,failure to submit the required
records upon request or to make such records available may work performed unless they are employed pursuant to and
be grounds for debarment action pursuant to 29 CFR 5.12. individually registered in a program which has received prior
approval,evidenced by formal certification by the U.S.
Department of Labor,Employment and Training
4. Apprentices and trainees(29 CFR 5.5) Administration.
a.Apprentices(programs of the USDOL). The ratio of trainees to journeymen on the job site shall not be
greater than permitted under the plan approved by the
Apprentices will be permitted to work at less than the Employment and Training Administration.
predetermined rate for the work they performed when they are
employed pursuant to and individually registered in a bona fide Every trainee must be paid at not less than the rate specified
apprenticeship program registered with the U.S.Department of in the approved program for the trainee's level of progress,
Labor,Employment and Training Administration,Office of expressed as a percentage of the journeyman hourly rate
Apprenticeship Training,Employer and Labor Services,or with specified in the applicable wage determination.Trainees shall
a State Apprenticeship Agency recognized by the Office,or if a be paid fringe benefits in accordance with the provisions of the
person is employed in his or her first 90 days of probationary trainee program.If the trainee program does not mention
employment as an apprentice in such an apprenticeship fringe benefits,trainees shall be paid the full amount of fringe
program,who is not individually registered in the program,but benefits listed on the wage determination unless the
who has been certified by the Office of Apprenticeship Administrator of the Wage and Hour Division determines that
Training,Employer and Labor Services or a State there is an apprenticeship program associated with the
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corresponding journeyman wage rate on the wage set forth in 29 CFR parts 5,6,and 7.Disputes within the
determination which provides for less than full fringe benefits meaning of this clause include disputes between the contractor
for apprentices.Any employee listed on the payroll at a trainee (or any of its subcontractors)and the contracting agency,the
rate who is not registered and participating in a training plan U.S.Department of Labor,or the employees or their
approved by the Employment and Training Administration shall representatives.
be paid not less than the applicable wage rate on the wage
determination for the classification of work actually performed. 10.Certification of eligibility(29 CFR 5.5)
In addition,any trainee performing work on the job site in
excess of the ratio permitted under the registered program
shall be paid not less than the applicable wage rate on the a.By entering into this contract,the contractor certifies that
wage determination for the work actually performed. neither it(nor he or she)nor any person or firm who has an
interest in the contractor's firm is a person or firm ineligible to
In the event the Employment and Training Administration be awarded Government contracts by virtue of section 3(a)of
withdraws approval of a training program,the contractor will no the Davis Bacon Act or 29 CFR 5.12(a)(1).
longer be permitted to utilize trainees at less than the
applicable predetermined rate for the work performed until an b.No part of this contract shall be subcontracted to any person
acceptable program is approved. or firm ineligible for award of a Government contract by virtue
of section 3(a)of the Davis-Bacon Act or 29 CFR 5.12(a)(1).
c.Equal employment opportunity.The utilization of
apprentices,trainees and journeymen under this part shall be c.The penalty for making false statements is prescribed in the
in conformity with the equal employment opportunity U.S.Criminal Code,18 U.S.C. 1001.
requirements of Executive Order 11246,as amended,and 29
CFR part 30. V. CONTRACT WORK HOURS AND SAFETY STANDARDS
ACT
d. Apprentices and Trainees(programs of the U.S.DOT).
Pursuant to 29 CFR 5.5(b),the following clauses apply to any
Apprentices and trainees working under apprenticeship and Federal-aid construction contract in an amount in excess of
skill training programs which have been certified by the Contra00 and subject to the overtime provisions of the
Secretary of Transportation as promoting EEO in connection Contract Work Hours and Safety Standards Act.These
with Federal-aid highway construction programs are not clauses shall be inserted in addition to the clauses required by
subject to the requirements of paragraph 4 of this Section IV. 29 CFR 5.5(a)
rs or 29 CFR 4.6. As used in this paragraph,the
23 CFR 230.111(e)(2).The straight time hourly wage rates for terms laborers and mechanics include watchmen and guards.
apprentices and trainees under such programs will be
established by the particular programs.The ratio of 1.Overtime requirements. No contractor or subcontractor
apprentices and trainees to journeymen shall not be greater contracting for any part of the contract work which may require
than permitted by the terms of the particular program. or involve the employment of laborers or mechanics shall
require or permit any such laborer or mechanic in any
5.Compliance with Copeland Act requirements. The workweek in which he or she is employed on such work to
contractor shall comply with the requirements of 29 CFR part work in excess of forty hours in such workweek unless such
3,which are incorporated by reference in this contract as laborer or mechanic receives compensation at a rate not less
provided in 29 CFR 5.5. than one and one-half times the basic rate of pay for all hours
worked in excess of forty hours in such workweek. 29 CFR
5.5.
6.Subcontracts. The contractor or subcontractor shall insert
Form FHWA-1273 in any subcontracts and also require the 2.Violation;liability for unpaid wages;liquidated
subcontractors to include Form FHWA-1273 in any lower tier damages. In the event of any violation of the clause set forth
subcontracts.The prime contractor shall be responsible for the in paragraph 1 of this section,the contractor and any
compliance by any subcontractor or lower tier subcontractor subcontractor responsible therefor shall be liable for the
with all the contract clauses in 29 CFR 5.5. unpaid wages. In addition,such contractor and subcontractor
shall be liable to the United States(in the case of work done
7.Contract termination:debarment. A breach of the under contract for the District of Columbia or a territory,to such
contract clauses in 29 CFR 5.5 may be grounds for termination District or to such territory),for liquidated damages.Such
of the contract,and for debarment as a contractor and a liquidated damages shall be computed with respect to each
subcontractor as provided in 29 CFR 5.12. individual laborer or mechanic,including watchmen and
guards,employed in violation of the clause set forth in
8.Compliance with Davis-Bacon and Related Act paragraph 1 of this section,in the sum currently provided in 29
requirements. All rulings and interpretations of the Davis CFR 5.5(b)(2)'for each calendar day on which such individual
was required or permitted to work in excess of the standard
Bacon and Related Acts contained in 29 CFR parts 1,3,and 5
are herein incorporated by reference in this contract as workweek of forty hours without payment of the overtime
provided in 29 CFR 5.5. wages required by the clause set forth in paragraph 1 of this
section. 29 CFR 5.5.
9.Disputes concerning labor standards.As provided in 29 •$27 as of January 23,2019(See 84 FR 213-01,218)as may
CFR 5.5,disputes arising out of the labor standards provisions be adjusted annually by the Department of Labor;pursuant to
of this contract shall not be subject to the general disputes the Federal Civil Penalties Inflation Adjustment Act of 1990).
clause of this contract.Such disputes shall be resolved in
accordance with the procedures of the Department of Labor
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3.Withholding for unpaid wages and liquidated damages. equipment not ordinarily available in the type of contracting
The FHWA or the contacting agency shall upon its own action organizations qualified and expected to bid or propose on the
or upon written request of an authorized representative of the contract as a whole and in general are to be limited to minor
Department of Labor withhold or cause to be withheld,from components of the overall contract. 23 CFR 635.102.
any moneys payable on account of work performed by the
contractor or subcontractor under any such contract or any 2.Pursuant to 23 CFR 635.116(a),the contract amount upon
other Federal contract with the same prime contractor,or any which the requirements set forth in paragraph(1)of Section VI
other federally-assisted contract subject to the Contract Work is computed includes the cost of material and manufactured
Hours and Safety Standards Act,which is held by the same products which are to be purchased or produced by the
prime contractor,such sums as may be determined to be contractor under the contract provisions.
necessary to satisfy any liabilities of such contractor or
subcontractor for unpaid wages and liquidated damages as 3.Pursuant to 23 CFR 635.116(c),the contractor shall furnish
provided in the clause set forth in paragraph 2 of this section. (a)a competent superintendent or supervisor who is employed
29 CFR 5.5. by the firm,has full authority to direct performance of the work
in accordance with the contract requirements,and is in charge
4.Subcontracts. The contractor or subcontractor shall insert of all construction operations(regardless of who performs the
in any subcontracts the clauses set forth in paragraphs 1 work)and(b)such other of its own organizational resources
through (supervision,management,and engineering services)as the
4 of this section and also a clause requiring the
subcontractors to include these clauses in any lower tier contracting officer determines is necessary to assure the
subcontracts.The prime contractor shall be responsible for performance of the contract.
compliance by any subcontractor or lower tier subcontractor 4.No portion of the contract shall be sublet,assigned or
with the clauses set forth in paragraphs 1 through 4 of this otherwise disposed of except with the written consent of the
section. 29 CFR 5.5. contracting officer,or authorized representative,and such
consent when given shall not be construed to relieve the
contractor of any responsibility for the fulfillment of the
VI.SUBLETTING OR ASSIGNING THE CONTRACT contract. Written consent will be given only after the
contracting agency has assured that each subcontract is
This provision is applicable to all Federal-aid construction evidenced in writing and that it contains all pertinent provisions
contracts on the National Highway System pursuant to 23 CFR and requirements of the prime contract.(based on long-
635.116. standing interpretation of 23 CFR 635.116).
1.The contractor shall perform with its own organization 5.The 30-percent self-performance requirement of paragraph
contract work amounting to not less than 30 percent(or a (1)is not applicable to design-build contracts;however,
greater percentage if specified elsewhere in the contract)of contracting agencies may establish their own self-performance
the total original contract price,excluding any specialty items requirements. 23 CFR 635.116(d).
designated by the contracting agency. Specialty items may be
performed by subcontract and the amount of any such
specialty items performed may be deducted from the total VII.SAFETY:ACCIDENT PREVENTION
original contract price before computing the amount of work
required to be performed by the contractor's own organization This provision is applicable to all Federal-aid construction
(23 CFR 635.116). contracts and to all related subcontracts.
a. The term"perform work with its own organization"in 1. In the performance of this contract the contractor shall
paragraph 1 of Section VI refers to workers employed or comply with all applicable Federal,State,and local laws
leased by the prime contractor,and equipment owned or governing safety,health,and sanitation(23 CFR Part 635).
rented by the prime contractor,with or without operators. The contractor shall provide all safeguards,safety devices and
Such term does not include employees or equipment of a protective equipment and take any other needed actions as it
subcontractor or lower tier subcontractor,agents of the prime determines,or as the contracting officer may determine,to be
contractor,or any other assignees. The term may include reasonably necessary to protect the life and health of
payments for the costs of hiring leased employees from an employees on the job and the safety of the public and to
employee leasing firm meeting all relevant Federal and State protect property in connection with the performance of the
regulatory requirements. Leased employees may only be work covered by the contract. 23 CFR 635.108.
included in this term if the prime contractor meets all of the
following conditions:(based on longstanding interpretation) 2. It is a condition of this contract,and shall be made a
condition of each subcontract,which the contractor enters into
(1)the prime contractor maintains control over the pursuant to this contract,that the contractor and any
supervision of the day-to-day activities of the leased subcontractor shall not permit any employee,in performance
employees; of the contract,to work in surroundings or under conditions
(2)the prime contractor remains responsible for the quality which are unsanitary,hazardous or dangerous to his/her
of the work of the leased employees; health or safety,as determined under construction safety and
(3)the prime contractor retains all power to accept or health standards(29 CFR Part 1926)promulgated by the
exclude individual employees from work on the project;and Secretary of Labor,in accordance with Section 107 of the
(4)the prime contractor remains ultimately responsible for Contract Work Hours and Safety Standards Act(40 U.S.C.
the payment of predetermined minimum wages,the 3704). 29 CFR 1926.10.
submission of payrolls,statements of compliance and all
other Federal regulatory requirements. 3. Pursuant to 29 CFR 1926.3,it is a condition of this contract
that the Secretary of Labor or authorized representative
b."Specialty Items"shall be construed to be limited to work thereof,shall have right of entry to any site of contract
that requires highly specialized knowledge,abilities,or performance to inspect or investigate the matter of compliance
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with the construction safety and health standards and to carry or regulations issued pursuant to the Clean Air Act(42 U.S.C.
out the duties of the Secretary under Section 107 of the 7401-7671q)and the Federal Water Pollution Control Act,as
Contract Work Hours and Safety Standards Act(40 U.S.C. amended(33 U.S.C. 1251-1387).Violations must be reported
3704). to the Federal Highway Administration and the Regional Office
of the Environmental Protection Agency. 2 CFR Part 200,
Appendix II.
VIII.FALSE STATEMENTS CONCERNING HIGHWAY
PROJECTS The contractor agrees to include or cause to be included the
requirements of this Section in every subcontract,and further
This provision is applicable to all Federal-aid construction agrees to take such action as the contracting agency may
contracts and to all related subcontracts. direct as a means of enforcing such requirements. 2 CFR
200.326.
In order to assure high quality and durable construction in
conformity with approved plans and specifications and a high
degree of reliability on statements and representations made
by engineers,contractors,suppliers,and workers on Federal- X.CERTIFICATION REGARDING DEBARMENT,
aid highway projects,it is essential that all persons concerned SUSPENSION,INELIGIBILITY AND VOLUNTARY
with the project perform their functions as carefully,thoroughly, EXCLUSION
and honestly as possible. Willful falsification,distortion,or
misrepresentation with respect to any facts related to the This provision is applicable to all Federal-aid construction
project is a violation of Federal law. To prevent any contracts,design-build contracts,subcontracts,lower-tier
misunderstanding regarding the seriousness of these and subcontracts,purchase orders,lease agreements,consultant
similar acts,Form FHWA-1022 shall be posted on each contracts or any other covered transaction requiring FHWA
Federal-aid highway project(23 CFR Part 635)in one or more approval or that is estimated to cost$25,000 or more— as
places where it is readily available to all persons concerned defined in 2 CFR Parts 180 and 1200. 2 CFR 180.220 and
with the project: 1200.220.
18 U.S.C. 1020 reads as follows: 1.Instructions for Certification—First Tier Participants:
"Whoever,being an officer,agent,or employee of the United a.By signing and submitting this proposal,the prospective
States,or of any State or Territory,or whoever,whether a first tier participant is providing the certification set out below.
person,association,firm,or corporation,knowingly makes any
false statement,false representation,or false report as to the b.The inability of a person to provide the certification set out
character,quality,quantity,or cost of the material used or to below will not necessarily result in denial of participation in this
be used,or the quantity or quality of the work performed or to covered transaction.The prospective first tier participant shall
be performed,or the cost thereof in connection with the submit an explanation of why it cannot provide the certification
submission of plans,maps,specifications,contracts,or costs set out below.The certification or explanation will be
of construction on any highway or related project submitted for considered in connection with the department or agency's
approval to the Secretary of Transportation;or determination whether to enter into this transaction.However,
failure of the prospective first tier participant to furnish a
Whoever knowingly makes any false statement,false certification or an explanation shall disqualify such a person
representation,false report or false claim with respect to the from participation in this transaction. 2 CFR 180.320.
character,quality,quantity,or cost of any work performed or to
be performed,or materials furnished or to be furnished,in c.The certification in this clause is a material representation
connection with the construction of any highway or related of fact upon which reliance was placed when the contracting
project approved by the Secretary of Transportation;or agency determined to enter into this transaction.If it is later
determined that the prospective participant knowingly rendered
Whoever knowingly makes any false statement or false an erroneous certification,in addition to other remedies
representation as to material fact in any statement,certificate, available to the Federal Government,the contracting agency
or report submitted pursuant to provisions of the Federal-aid may terminate this transaction for cause of default. 2 CFR
Roads Act approved July 11, 1916,(39 Stat.355),as 180.325.
amended and supplemented;
d.The prospective first tier participant shall provide
Shall be fined under this title or imprisoned not more than 5 immediate written notice to the contracting agency to whom
years or both." this proposal is submitted if any time the prospective first tier
participant learns that its certification was erroneous when
submitted or has become erroneous by reason of changed
IX.IMPLEMENTATION OF CLEAN AIR ACT AND FEDERAL circumstances. 2 CFR 180.345 and 180.350.
WATER POLLUTION CONTROL ACT(42 U.S.C. 7606;2
CFR 200.88;EO 11738) e.The terms"covered transaction,""debarred,"
"suspended,""ineligible,""participant,""person,""principal,"
This provision is applicable to all Federal-aid construction and"voluntarily excluded,"as used in this clause,are defined
contracts in excess of$150,000 and to all related in 2 CFR Parts 180,Subpart I, 180.900-180.1020,and 1200.
subcontracts. 48 CFR 2.101;2 CFR 200.326. "First Tier Covered Transactions"refers to any covered
transaction between a recipient or subrecipient of Federal
By submission of this bid/proposal or the execution of this funds and a participant(such as the prime or general contract).
contract or subcontract,as appropriate,the bidder,proposer, "Lower Tier Covered Transactions"refers to any covered
Federal-aid construction contractor,subcontractor,supplier,or transaction under a First Tier Covered Transaction(such as
vendor agrees to comply with all applicable standards,orders subcontracts). "First Tier Participant"refers to the participant
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who has entered into a covered transaction with a recipient or (2) Have not within a three-year period preceding this
subrecipient of Federal funds(such as the prime or general proposal been convicted of or had a civil judgment rendered
contractor). "Lower Tier Participant"refers any participant who against them for commission of fraud or a criminal offense in
has entered into a covered transaction with a First Tier connection with obtaining,attempting to obtain,or performing
Participant or other Lower Tier Participants(such as a public(Federal,State,or local)transaction or contract under
subcontractors and suppliers). a public transaction;violation of Federal or State antitrust
statutes or commission of embezzlement,theft,forgery,
f.The prospective first tier participant agrees by submitting bribery,falsification or destruction of records,making false
this proposal that,should the proposed covered transaction be statements,or receiving stolen property,2 CFR 180.800;
entered into,it shall not knowingly enter into any lower tier
covered transaction with a person who is debarred, (3) Are not presently indicted for or otherwise criminally or
suspended,declared ineligible,or voluntarily excluded from civilly charged by a governmental entity(Federal,State or
participation in this covered transaction,unless authorized by local)with commission of any of the offenses enumerated in
the department or agency entering into this transaction. 2 paragraph(a)(2)of this certification,2 CFR 180.700 and
CFR 180.330. 180.800;and
g.The prospective first tier participant further agrees by (4) Have not within a three-year period preceding this
submitting this proposal that it will include the clause titled application/proposal had one or more public transactions
"Certification Regarding Debarment,Suspension, Ineligibility (Federal,State or local)terminated for cause or default. 2
and Voluntary Exclusion-Lower Tier Covered Transactions," CFR 180.335(d).
provided by the department or contracting agency,entering
into this covered transaction,without modification,in all lower (5)Are not a corporation that has been convicted of a felony
tier covered transactions and in all solicitations for lower tier violation under any Federal law within the two-year period
covered transactions exceeding the$25,000 threshold. 2 CFR preceding this proposal(USDOT Order 4200.6 implementing
180.220 and 180.300. appropriations act requirements);and
h.A participant in a covered transaction may rely upon a (6)Are not a corporation with any unpaid Federal tax liability
certification of a prospective participant in a lower tier covered that has been assessed,for which all judicial and
transaction that is not debarred,suspended,ineligible,or administrative remedies have been exhausted,or have lapsed,
voluntarily excluded from the covered transaction,unless it and that is not being paid in a timely manner pursuant to an
knows that the certification is erroneous. 2 CFR 180.300; agreement with the authority responsible for collecting the tax
180.320,and 180.325. A participant is responsible for liability(USDOT Order 4200.6 implementing appropriations act
ensuring that its principals are not suspended,debarred,or requirements).
otherwise ineligible to participate in covered transactions. 2
CFR 180.335. To verify the eligibility of its principals,as well b. Where the prospective participant is unable to certify to
as the eligibility of any lower tier prospective participants,each any of the statements in this certification,such prospective
participant may,but is not required to,check the System for participant should attach an explanation to this proposal. 2
Award Management website(https://www.sam.qov/). 2 CFR CFR 180.335 and 180.340.
180.300, 180.320,and 180.325.
i. Nothing contained in the foregoing shall be construed to 3. Instructions for Certification-Lower Tier Participants:
require the establishment of a system of records in order to
render in good faith the certification required by this clause. (Applicable to all subcontracts,purchase orders,and other
The knowledge and information of the prospective participant lower tier transactions requiring prior FHWA approval or
is not required to exceed that which is normally possessed by estimated to cost$25,000 or more-2 CFR Parts 180 and
a prudent person in the ordinary course of business dealings. 1200). 2 CFR 180.220 and 1200.220.
j.Except for transactions authorized under paragraph(f)of a.By signing and submitting this proposal,the prospective
these instructions,if a participant in a covered transaction lower tier participant is providing the certification set out below.
knowingly enters into a lower tier covered transaction with a
person who is suspended,debarred,ineligible,or voluntarily b.The certification in this clause is a material representation
excluded from participation in this transaction,in addition to of fact upon which reliance was placed when this transaction
other remedies available to the Federal Government,the was entered into. If it is later determined that the prospective
department or agency may terminate this transaction for cause lower tier participant knowingly rendered an erroneous
or default. 2 CFR 180.325. certification,in addition to other remedies available to the
Federal Government,the department,or agency with which
this transaction originated may pursue available remedies,
including suspension and/or debarment.
2. Certification Regarding Debarment,Suspension,
Ineligibility and Voluntary Exclusion—First Tier c.The prospective lower tier participant shall provide
Participants: immediate written notice to the person to which this proposal is
submitted if at any time the prospective lower tier participant
a. The prospective first tier participant certifies to the best of learns that its certification was erroneous by reason of
its knowledge and belief,that it and its principals: changed circumstances. 2 CFR 180.365.
(1) Are not presently debarred,suspended,proposed for d.The terms"covered transaction,""debarred,"
debarment,declared ineligible,or voluntarily excluded from "suspended,""ineligible,""participant,""person,""principal,"
participating in covered transactions by any Federal and"voluntarily excluded,"as used in this clause,are defined
department or agency,2 CFR 180.335;. in 2 CFR Parts 180,Subpart I, 180.900—180.1020,and 1200.
You may contact the person to which this proposal is
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submitted for assistance in obtaining a copy of those
regulations. "First Tier Covered Transactions"refers to any (a)is presently debarred,suspended,proposed for debarment,
covered transaction between a recipient or subrecipient of declared ineligible,or voluntarily excluded from participating in
Federal funds and a participant(such as the prime or general covered transactions by any Federal department or agency,2
contract). "Lower Tier Covered Transactions"refers to any CFR 180.355;
covered transaction under a First Tier Covered Transaction
(such as subcontracts). "First Tier Participant"refers to the (b)is a corporation that has been convicted of a felony
participant who has entered into a covered transaction with a violation under any Federal law within the two-year period
recipient or subrecipient of Federal funds(such as the prime or preceding this proposal(USDOT Order 4200.6 implementing
general contractor). "Lower Tier Participant"refers any appropriations act requirements);and
participant who has entered into a covered transaction with a
First Tier Participant or other Lower Tier Participants(such as (c)is a corporation with any unpaid Federal tax liability that
subcontractors and suppliers). has been assessed,for which all judicial and administrative
remedies have been exhausted,or have lapsed,and that is
e.The prospective lower tier participant agrees by not being paid in a timely manner pursuant to an agreement
submitting this proposal that,should the proposed covered with the authority responsible for collecting the tax liability.
transaction be entered into,it shall not knowingly enter into (USDOT Order 4200.6 implementing appropriations act
any lower tier covered transaction with a person who is requirements)
debarred,suspended,declared ineligible,or voluntarily
excluded from participation in this covered transaction,unless 2.Where the prospective lower tier participant is unable to
authorized by the department or agency with which this certify to any of the statements in this certification,such
transaction originated. 2 CFR 1200.220 and 1200.332. prospective participant should attach an explanation to this
proposal.
f.The prospective lower tier participant further agrees by
submitting this proposal that it will include this clause titled
"Certification Regarding Debarment,Suspension, Ineligibility
and Voluntary Exclusion-Lower Tier Covered Transaction," XI.CERTIFICATION REGARDING USE OF CONTRACT
without modification,in all lower tier covered transactions and FUNDS FOR LOBBYING
in all solicitations for lower tier covered transactions exceeding
the$25,000 threshold. 2 CFR 180.220 and 1200.220. This provision is applicable to all Federal-aid construction
contracts and to all related subcontracts which exceed
g.A participant in a covered transaction may rely upon a $100,000. 49 CFR Part 20,App.A.
certification of a prospective participant in a lower tier covered
transaction that is not debarred,suspended,ineligible,or 1.The prospective participant certifies,by signing and
voluntarily excluded from the covered transaction,unless it submitting this bid or proposal,to the best of his or her
knows that the certification is erroneous.A participant is knowledge and belief,that:
responsible for ensuring that its principals are not suspended,
debarred,or otherwise ineligible to participate in covered a.No Federal appropriated funds have been paid or will be
transactions. To verify the eligibility of its principals,as well as paid,by or on behalf of the undersigned,to any person for
the eligibility of any lower tier prospective participants,each influencing or attempting to influence an officer or employee of
participant may,but is not required to,check the System for any Federal agency,a Member of Congress,an officer or
Award Management website(https://www.sam.qov/),which is employee of Congress,or an employee of a Member of
compiled by the General Services Administration. 2 CFR Congress in connection with the awarding of any Federal
180.300, 180.320, 180.330,and 180.335. contract,the making of any Federal grant,the making of any
Federal loan,the entering into of any cooperative agreement,
h.Nothing contained in the foregoing shall be construed to and the extension,continuation,renewal,amendment,or
require establishment of a system of records in order to render modification of any Federal contract,grant,loan,or
in good faith the certification required by this clause.The cooperative agreement.
knowledge and information of participant is not required to
exceed that which is normally possessed by a prudent person b. If any funds other than Federal appropriated funds have
in the ordinary course of business dealings. been paid or will be paid to any person for influencing or
attempting to influence an officer or employee of any Federal
i.Except for transactions authorized under paragraph e of agency,a Member of Congress,an officer or employee of
these instructions, if a participant in a covered transaction Congress,or an employee of a Member of Congress in
knowingly enters into a lower tier covered transaction with a connection with this Federal contract,grant,loan,or
person who is suspended,debarred,ineligible,or voluntarily cooperative agreement,the undersigned shall complete and
excluded from participation in this transaction,in addition to submit Standard Form-LLL,"Disclosure Form to Report
other remedies available to the Federal Government,the Lobbying,"in accordance with its instructions.
department or agency with which this transaction originated
may pursue available remedies,including suspension and/or 2.This certification is a material representation of fact upon
debarment. 2 CFR 180.325. which reliance was placed when this transaction was made or
entered into. Submission of this certification is a prerequisite
for making or entering into this transaction imposed by 31
U.S.C. 1352. Any person who fails to file the required
Certification Regarding Debarment,Suspension, certification shall be subject to a civil penalty of not less than
Ineligibility and Voluntary Exclusion--Lower Tier $10,000 and not more than$100,000 for each such failure.
Participants:
3.The prospective participant also agrees by submitting its
1.The prospective lower tier participant certifies,by bid or proposal that the participant shall require that the
submission of this proposal,that neither it nor its principals: language of this certification be included in all lower tier
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subcontracts,which exceed$100,000 and that all such
recipients shall certify and disclose accordingly.
XII. USE OF UNITED STATES-FLAG VESSELS:
This provision is applicable to all Federal-aid construction
contracts,design-build contracts,subcontracts,lower-tier
subcontracts,purchase orders,lease agreements,or any other
covered transaction. 46 CFR Part 381.
This requirement applies to material or equipment that is
acquired for a specific Federal-aid highway project. 46 CFR
381.7. It is not applicable to goods or materials that come into
inventories independent of an FHWA funded-contract.
When oceanic shipments(or shipments across the Great
Lakes)are necessary for materials or equipment acquired for a
specific Federal-aid construction project,the bidder,proposer,
contractor,subcontractor,or vendor agrees:
1.To utilize privately owned United States-flag commercial
vessels to ship at least 50 percent of the gross tonnage
(computed separately for dry bulk carriers,dry cargo liners,
and tankers)involved,whenever shipping any equipment,
material,or commodities pursuant to this contract,to the
extent such vessels are available at fair and reasonable rates
for United States-flag commercial vessels. 46 CFR 381.7.
2.To furnish within 20 days following the date of loading for
shipments originating within the United States or within 30
working days following the date of loading for shipments
originating outside the United States,a legible copy of a rated,
'on-board'commercial ocean bill-of-lading in English for each
shipment of cargo described in paragraph(b)(1)of this section
to both the Contracting Officer(through the prime contractor in
the case of subcontractor bills-of-lading)and to the Office of
Cargo and Commercial Sealift(MAR-620), Maritime
Administration,Washington,DC 20590.(MARAD requires
copies of the ocean carrier's(master)bills of lading,certified
onboard,dated,with rates and charges.These bills of lading
may contain business sensitive information and therefore may
be submitted directly to MARAD by the Ocean Transportation
Intermediary on behalf of the contractor). 46 CFR 381.7.
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ATTACHMENT A-EMPLOYMENT AND MATERIALS
PREFERENCE FOR APPALACHIAN DEVELOPMENT
HIGHWAY SYSTEM OR APPALACHIAN LOCAL ACCESS
ROAD CONTRACTS(23 CFR 633,Subpart B,Appendix B)
This provision is applicable to all Federal-aid projects funded
under the Appalachian Regional Development Act of 1965.
1.During the performance of this contract,the contractor
undertaking to do work which is,or reasonably may be,done
as on-site work,shall give preference to qualified persons who
regularly reside 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 wherein the contract work is
situated,except:
a.To the extent that qualified persons regularly residing in
the area are not available.
b.For the reasonable needs of the contractor to employ
supervisory or specially experienced personnel necessary to
assure an efficient execution of the contract work.
c. For the obligation of the contractor to offer employment to
present or former employees as the result of a lawful collective
bargaining contract,provided that the number of nonresident
persons employed under this subparagraph(1 c)shall not
exceed 20 percent of the total number of employees employed
by the contractor on the contract work,except as provided in
subparagraph(4)below.
2.The contractor shall place a job order with the State
Employment Service indicating(a)the classifications of the
laborers,mechanics and other employees required to perform
the contract work,(b)the number of employees required in
each classification,(c)the date on which the participant
estimates such employees will be required,and(d)any other
pertinent information required by the State Employment
Service to complete the job order form. The job order may be
placed with the State Employment Service in writing or by
telephone. If during the course of the contract work,the
information submitted by the contractor in the original job order
is substantially modified,the participant shall promptly notify
the State Employment Service.
3.The contractor shall give full consideration to all qualified
job applicants referred to him by the State Employment
Service. The contractor is not required to grant employment to
any job applicants who,in his opinion,are not qualified to
perform the classification of work required.
4.If,within one week following the placing of a job order by
the contractor with the State Employment Service,the State
Employment Service is unable to refer any qualified job
applicants to the contractor,or less than the number
requested,the State Employment Service will forward a
certificate to the contractor indicating the unavailability of
applicants. Such certificate shall be made a part of the
contractor's permanent project records. Upon receipt of this
certificate,the contractor may employ persons who do not
normally reside in the labor area to fill positions covered by the
certificate,notwithstanding the provisions of subparagraph(1c)
above.
5. The provisions of 23 CFR 633.207(e)allow the
contracting agency to provide a contractual preference for the
use of mineral resource materials native to the Appalachian
region.
6.The contractor shall include the provisions of Sections 1
through 4 of this Attachment A in every subcontract for work
which is,or reasonably may be,done as on-site work.
13
Docgn
Certificate Of Completion
Envelope Id: E5A5CCC905F34617854036CDFB955814 Status:Completed
Subject:Complete with DocuSign:2023-03-76664.pdf
Source Envelope:
Document Pages:27 Signatures:6 Envelope Originator:
Certificate Pages:6 Initials:0 Katie Jardieu
AutoNav:Enabled 1860 Michael Faraday Drive
Envelopeld Stamping:Enabled Suite 100
Time Zone:(UTC-06:00)Central Time(US&Canada) Reston,VA 20190
katie.jardieu@modot.mo.gov
IP Address: 168.166.80.221
Record Tracking
Status:Original Holder:Katie Jardieu Location:DocuSign
9/6/2023 4:03:44 PM katie.jardieu@modot.mo.gov
Signer Events Signature Timestamp
Kathy Rose ,—Docusq wby: Sent:9/6/2023 4:19:54 PM
krose@riversidemo.gov 0 Viewed:9/7/2023 11:49:52 AM
•-870D52B6ECD14C1...
Mayor Signed:9/7/2023 11:51:21 AM
Security Level:Email,Account Authentication
(Optional),Access Code Signature Adoption:Drawn on Device
Using IP Address: 174.210.163.139
Signed using mobile
Electronic Record and Signature Disclosure:
Accepted:9/7/2023 11:49:52 AM
ID: 104d2882-d1d7-4ad6-b910-a5f3f6b73317
Robin Kincaid ,---DocuSignedby: I Sent:9/7/2023 11:51:22 AM
rkincaid@riversidemo.gov rbGiw 6 .44 Viewed:9/7/2023 1:00:26 PM
'.-0A95E82976BA452...
City Clerk Signed:9/7/2023 1:01:57 PM
Security Level:Email,Account Authentication
(Optional),Access Code Signature Adoption:Pre-selected Style
Using IP Address:209.152.132.82
Electronic Record and Signature Disclosure:
Accepted:9/7/2023 1:00:26 PM
ID:a9eba66f-2252-4cbc-8efe-a49ef9ab0e0b
Paul Campo (DocuSignedby: Sent:9/7/2023 1:01:59 PM
pcampo@publiclawfirm.com P Castirb Viewed:9/19/2023 7:42:08 AM
City Attorney 4DBF940754AC4C6 Signed:9/19/2023 7:42:23 AM
Security Level:Email,Account Authentication
(Optional) Signature Adoption:Pre-selected Style
Using IP Address: 136.32.75.95
Electronic Record and Signature Disclosure:
Accepted:9/19/2023 7:42:08 AM
ID:2250c985-61d1-46e0-a4bf-dbc4421bc34e
Megan L.Waters-Hamblin 'DocuSq"edby: Sent:9/19/2023 7:42:25 AM
wr
Megan.Waters-Hamblin@modot.mo.gov `S1ee' Viewed:9/19/2023 10:02:17 AM
'—BA34EE9EF9E5407
Senior Administrative Counsel Signed:9/19/2023 10:05:25 AM
Missouri Department of Transportation
Security Level:Email,Account Authentication Signature Adoption: Pre selected Style
(Optional) Using IP Address: 168.166.80.221
Electronic Record and Signature Disclosure:
Not Offered via DocuSign
Signer Events Signature Timestamp
Eric E.Schroeter OocuSigned by: Sent:9/19/2023 10:05:27 AM
Eric.Schroeter@modot.mo.gov fvtC f. Sth.►o(Jtx Viewed:9/20/2023 11:12:19 AM
Assistant Chief Engineer 5F8CCFeserse<se_ Signed:9/20/2023 11:12:29 AM
Missouri Department of Transportation
Security Level:Email,Account Authentication Signature Adoption:Pre-selected Style
(Optional) Using IP Address: 168.166.80.221
Electronic Record and Signature Disclosure:
Not Offered via DocuSign
Pamela Harlan ,--DocuSignedby: Sent:9/20/2023 11:12:31 AM
pamela.harlan@modot.mo.gov ` Viewed:9/20/2023 11:16:33 AM
Secretary to the Commission ^«scosscz.ee Signed:9/20/2023 11:16:42 AM
Missouri Department of Transportation
Security Level:Email,Account Authentication Signature Adoption:Uploaded Signature Image
(Optional) Using IP Address: 168.166.80.221
Electronic Record and Signature Disclosure:
Accepted: 12/22/2021 11:42:38 AM
ID:2c664348-0ef1-42bb-97b6-7b0938b1e411
In Person Signer Events Signature Timestamp
Editor Delivery Events Status Timestamp
Agent Delivery Events Status Timestamp
Intermediary Delivery Events Status Timestamp
Certified Delivery Events Status Timestamp
Carbon Copy Events Status Timestamp
Dana L.Kaiser COPIED Sent:9/19/2023 10:05:28 AM
Dana.Kaiser@modot.mo.gov
Senior Executive Assistant
Missouri Department of Transportation
Security Level:Email,Account Authentication
(Optional)
Electronic Record and Signature Disclosure:
Not Offered via DocuSign
Jennifer Jorgensen COPIED
Sent:9/20/2023 11:12:31 AM
jen n ifer.jorgen se n@modot.mo.gov
Asst Secretary to the Commission
MoDOT
Security Level:Email,Account Authentication
(Optional)
Electronic Record and Signature Disclosure:
Accepted:6/7/2023 9:45:35 AM
ID:43e1faf8-03d4-4d0e-95b0-9dcba940a033
Witness Events Signature Timestamp
Notary Events Signature Timestamp
Envelope Summary Events Status Timestamps
Envelope Sent Hashed/Encrypted 9/6/2023 4:19:55 PM
Certified Delivered Security Checked 9/20/2023 11:16:33 AM
Signing Complete Security Checked 9/20/2023 11:16:42 AM
Envelope Summary Events Status Timestamps
Completed Security Checked 9/20/2023 11:16:42 AM
Payment Events Status Timestamps
Electronic Record and Signature Disclosure
Electronic Record and Signature Disclosure created on 10/5/2016 3:40:17 PM
Parties agreed to: Kathy Rose. Robin Kincaid, Paul Campo. Pamela Harlan,Jennifer Jorgensen
Missouri Highways and Transportation Commission
DocuSign,Inc.Express Electronic Signature Agreement
The Missouri Highways and Transportation Commission (hereinafter, Commission), acting by
and through the Missouri Department of Transportation(MoDOT) is willing to provide to the
Authorized Representative of the ContractorNendor/Consultant(Entity) who is duly authorized
to act on behalf of said Entity(hereinafter you or I) and accept from you your electronically
affixed authorized signature and seal, as required to validate a binding agreement between the
Commission and the Entity,on all Commission/MoDOT documents,including but not limited to
disclosures, agreements, contracts, notices, purchase orders,change orders, modifications,
amendments, supplements,correspondence, and the like, (hereinafter, Commission Documents)
that are processed, generated, and exchanged by and between the Commission and you, acting on
behalf of the Entity,electronically through the utilization of the DocuSign, Inc. Express
(DocuSign)eSignature Application. In consideration of mutual covenants,you agree as follows:
1)You are the person duly authorized and designated by the Entity to receive, access and agree
to the terms of this agreement on behalf of the Entity by clicking the Agree button below.
2) You have the authority to specifically consent and agree that the Commission, in its
discretion, provide all disclosures, agreements, contracts, notices, purchase orders,change
orders, modifications, amendments, supplements,correspondence, and all other evidence of the
transaction between the Commission and the Entity electronically(hereinafter all such
documentation is referred to as electronic record(s)).
3)The email address,User ID and password authorized to access the electronic agreement via
DocuSign are your own and are not shared with any other person.
4)All of the required notices and disclosures will be sent to the email address authorized through
DocuSign.
5) You are duly authorized to receive electronically through DocuSign, access and act upon all
electronic records, to provide all required information and electronically affix your signature and
seal, as applicable, on behalf of the Entity named in such Commission Documents via
DocuSign,.
6)The system through which you are accessing DocuSign and its eSignature Application meets
the minimum requirements to access DocuSign, view,receive, retrieve, download, print, store,
send and transmit all electronic records and any and all other communications sent to you from
the Commission through the DocuSign web site.
7)All communications in electronic format from the Commission to you through DocuSign are
considered in-writing. You have the ability to download and print any documents processed
through DocuSign for 30 calendar days after such documents are first sent, as long as you are an
authorized user of the DocuSign system. After such time,you may request copies by contacting
the Commission through the Secretary to the Commission at mhtc@modot.mo.gov or by
telephone at 573-751-2824. You shall print or download for your records a copy of any
communication that is important to you to retain.
8) You have implemented appropriate security measures to ensure that only you have access
through DocuSign to receive, access and electronically affix signatures to electronic records, as
applicable, Commission/MoDOT sends to you through DocuSign. It is your sole responsibility to
ensure your adequate protection,confidentiality and secrecy of the DocuSign Authentication
Code, and any other user ID and/or Password combinations that may be required for you to
access the DocuSign eSignature services and any disclosure thereof to any other person or
communication thereof through unsecure medium, such as traditional electronic mail, shall be
entirely at your risk. You shall be liable for any unauthorized usage of your ID/Password
combination and the DocuSign Authentication Code.
9)You agree and authorize the Commission to respond to and act upon any and all transactions
initiated and transmitted by you electronically through DocuSign. Any transaction initiated and
transmitted by you to the Commission through DocuSign and its eSignature application shall be
deemed to have been authorized by you, and the Commission is entitled to assume that the said
transactions are so authorized by you and the Commission shall be protected upon acting
thereon.
10) You shall be fully liable to the Commission for every transaction entered into using a valid
DocuSign Authentication Code sent to you through certified mail, telephone call or Short
Message Service (SMS) text, with or without your knowledge. In no event will the Commission
be liable to you for any special, direct, indirect,consequential or incidental loss or damages even
if you have advised the Commission/MoDOT of such possibility. The Commission shall not be
liable for any misuse, if any, of any data placed on the internet by third parties hacking or
accessing the application and hosting server without authorization.
11)The Entity shall take responsibility for all the transactions with the Commission conducted
electronically through DocuSign and will abide by the record of the transactions generated by
DocuSign or by the Commission/MoDOT through DocuSign. Further such record of transactions
shall be conclusive proof and binding for all purposes and may be used as conclusive evidence in
any proceedings. All records of the Commission and DocuSign, whether in electronic form,
magnetic medium, documents or any other form, with respect to electronic transactions sent or
received through use of DocuSign shall be conclusive evidence of such transactions and shall be
binding on the Entity.
12)The Commission/MoDOT shall not be liable for any loss or damage whatsoever caused,
arising directly or indirectly, in connection with the services and/or this Agreement, including
without limitation any: (A)Loss of data; and(B) Interruption or stoppages to your access to
DocuSign and its eSignature application and/or processing of electronic transactions due to any
operational or technical difficulties/reason beyond our control for any other reason. The
Commission, along with its members,employees, agents,executors, successors and assigns shall
not be liable for any damages or claims or injuries arising out of or in connection with the use of
DocuSign and its eSignature application or its non-use including non-availability or failure of
performance, loss or corruption of data,loss of or damage to property(including profit and
goodwill), work stoppage,computer failure or malfunctioning or interruption of business,error,
omission,deletion, defect,delay in operation or transmission,communication line failure or for
any failure to act upon electronic transaction for any cause.
13) You shall keep confidential all information, in whatever form, produced,prepared,observed
or received by you to the extent that such information is confidential by law or otherwise
required by the Commission.
14)This Agreement and the rights and obligations of the parties hereto shall be governed by, and
construed according to, the laws of the State of Missouri. 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.
15)The terms of this agreement and any amendments thereafter shall remain in full force and
effect for as long as DocuSign is active, or by thirty(30)days written notification by either party
of their intent to cancel this agreement.
By checking the I Agree button, I confirm that:
1. I am the person named in the documents to which I will electronically affix my signature; that
I am authorized to sign such documents on behalf of the Entity named in the documents; that I
will read and know the contents of such electronically signed documents including all exhibits
attached thereto, and that the statements made therein are true, and that I will not omit any
information needed to make such documents true; and that I will take appropriate security
measures to insure that I have sole access to the documents sent to me by the Commission and
MoDOT through the email address provided on DocuSign.
2. I and the Entity shall indemnify and save harmless the Commission, its members, employees,
officers, successors, assigns,agents and representatives against any and all claims, losses,
damages,costs, liabilities and expense actually incurred, suffered or paid by the Commission, its
members,employees, officers, successors, assigns, agents and representatives, directly or
indirectly, and also against all demands, actions, suits, proceedings made, filed, instituted against
the Commission, its members, employees, officers, successors, agents and representatives in
connection with,or arising out of, or relating to the Commission accepting and acting or not
accepting and not acting for any reason whatsoever pursuant to, in accordance with or relying
upon,data received, through DocuSign and its eSignature application you or any unauthorized
use of your ID/Password combination, the DocuSign Authentication Code, or the DocuSign
eSignature application.
3. I agree to the DocuSign, Inc. Express (DocuSign) Electronic Signature Agreement terms and
conditions outlined above.