HomeMy WebLinkAboutFirst Amendment - Crowder Gulf Joint Venture, Inc.X006 _a6a~9~(
FIRST AMENDMENT
TO THE AGREEMENT BETWEEN THE CITY OF MIAMI BEACH, FLORIDA, AND
CROWDER GULF JOINT VENTURE, INC FOR DISASTER DEBRIS RECOVERY
SERVICES.
This First Amendment to the Agreement, dated January 31, 2008, is entered
into this 6th day of July, 2008, by the CITY OF MIAMI BEACH, a Florida municipal
corporation, whose address is 1700 Convention Center Drive, Miami Beach, Florida,
33139 (City}, and Crowder Gulf Joint Venture, Inc, whose principal address is 5535
Business Parkway, Theodore, Alabama 36582.
WITNESSETH:
WHEREAS, as requested by the Florida Department of Transportation, the City
is required to physically incorporate FHWA Form 1273, titled "Standard Federal-aid
Provisions"' into all prime and subcontractor contracts; and
NOW THEREFORE, the City, and Crowder Gulf Joint Venture, Inc, for and in
consideration of the mutual covenants, agreements and undertakings herein
contained, do by these presents mutually covenant and agree to amend the
Agreement to incorporate the aforementioned and attached FHWA-1273 Form.
IN WITNESS WHEREOF, the City and Crowder Gulf Joint Venture, Inc, have
hereunto affixed their respective hands and seals at the place, and on the day and
date first hereinabove written. Signed, sealed and delivered in the presence of:
Attest:
~-~
Robert Parcher, City Clerk
CITY OF MIAMI BEACH, FLORIDA:
rge M onzalez, i M Hager
Attest: CROWDER GULF JOINT VENTURE, INC
~~
Secretary ~ ~ ^ resident
.~ APPROVED AS TO
'>y~! , ;~, ti -- ,~ t"ul ~ fdi+l` i FORM & LANGUAGE
(Print Name) (Print Name) ~-~~xECUTION
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~~ ~.. e ! i ! ~. 1 ~ ' . ~ ttorn h to
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U5 Department
of Transportation
Federal Highway
Administration
September 12, 2006
Mr. Denver .f. StuCler, ;lr., ]'.L.
Secretal"y Of TI'a115pOrtatl0ll
Florida Department of Transportation
Tallahassee, Florida
Dear Mr. Stotler:
Attention: Mr. Ananth Prasad
Subject; Emergency Relief (ER) Program Requirements
545 John Knox Road, Suite 200
Tallahassee, Florida 32303
(850) 942-9650
il. Iz~hi,~ Itclcr T(,: }-IPO-FL
The purpose of this letter is to clarify the FHWA's requirements for emergency and permanent
ER projects, and the documentation required for a detailed damage inspection reports (DDIR's).
As requested by the FDOT Federal-aid Office we are providing this guidance to expand and
clarity the email guidance issued by District 6 on .1uly 1 1, 2006. We agree there is a statewide
need to clarify the application of the .ER criteria to emergency repair contracts, permanent
restoration projects, and work performed by state or local forces.
Dill•]ilg 2004 and 2005 Florida WilS II11paCted by ~ 11urr1Cane5 resllltlllg 111 S1lbstallhal
reimbursement from FHWA's emergency relief program, for both emergency and permanent
repairs totaling over $1.5 billion. Due to the unprecedented impact of these stones on the
FHWA, the FDOT and local agencies, we were very lenient concerning conh•acting requirements
and the documentation for emergency repairs for these events. As a result of this experience,
there is a need to improve both the damage documentation and compliance with basic federal-aid
contract requirements. Of particular importance is the need for .Local Agencies to better
understand our requirements.
)Jlllel'~~e11Cy Repalr5
Iallel't;ellcy l'epall'S al'e t1lOSe Cepall'S dll]•Ing (lllealllilg a{`te]" landfall) tllld 1111111ed1atelV IOllpwing a
disaster, which can begin immediately without Fl-IWA's prior approval. Permanent repairs
require FHV~IA review and approval prior to contract advertisement. To be eligible i'or
emergency repair the wort: performed must always meet one of the Iollowing three conditions:
I. To restore essential traffic
2. TO IIlIn11111IC the extent Of the dalllage
3. To protect the rernai,ning facility
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Mr. Denver J. Shltler, .1r., P.E
September- 12, 2006
Please note that based on current ER guidance, safety is not a consideration to justify emergency
repair' work.
DDIR Documentation:
For future eligible ER events, if the perfon]]ance of the emergency repair work has started,
FHWA will require a copy of the contract. and prices at the time a DDIR is written. The contract
and other back up material should be made available to our Transportation Engineer, and will be
attached to the DDIR at that time. Our expectation is that there should not be a request to write a
DDIR for ongoing work, without having the contract documents available to FHWA staff. For
permanent work the DDIR will be written without this documentation, because the worl: will not
be undez-vvay and will be perforn]ed following normal procedures.
Contract Requirements:
Listed below are the basic federal-aid requirements that must be followed for emergency repair
projects and pern]anent restoration projects. These requirements apply to all State and Local
Agency contracts for both emergency and pern]anent restoration types of projects. These
requirements catmot be waived just because there is a State or FEMA emergency declaration.
1. FH1~~A Form 1273, titled Standard Federal-aid Provisions, must be physically
incorporated (not referenced) into all prime aI]d subcontractor contracts.
2. Davis-Bacon Wages Act; refer to httt]:%/~~~Ww.fl]~~~a.dot.vov/constl-uctionlegit%dbacon htzn
3. Buy America
4. Disadvantaged Business Ez]teI-prises (DBE)
5. Americans with Disability Act (ADA)
6. Convict Labor Prohibition
Additionally, f01" elllergenC)' WOr1C It Is 1111pOI"ta11t t0 1'ell]elmbel' t0 take the fOIIOWll]g IIltO aCCOll1]t:
l . En]ergency repair projects under the ER Program must comply wifa] the requiremelts of
the National Environmental Policy Act (NEPA).
2. Negotiated or solicited contracts are allowed for emergenc}~ work, but their use should be
minimized. Some type of competitive bids are the prefen-ed n]ethod.
3. Regardless of the contract: metl]ocl, there should be documentation on how contracts are
negotiated, solicited, or openly bid.
Mr. Denver .I. Stotler, :Ir., 1'..E
September 12, 2006
Permanent work is handled just like a normal federal-aid project, but can be expedited so long as
the requirements are met. Permanent repairs require h[-1VdA review and approval in advance of
contract advertisement. A detailed engineer's estimate and competitive bids are required like on
normal federal-aid pro-jects, but the use of abbreviated plans, a shortened advertisement period,
etc; are appropriate depending on the scope of the work.
State and Local Force Account:
The Fl-1WA Form 1273 and Davis Bacon provisions do not apply to state and local employees
performing ER work by force account (actual cost of labor, equipment and materials). A public
interest finding is not required for emergency work, but is required if state or local emltlnyecs
pet 1-orm permanent ~vorlc.
Use of Joint Participation Agreements (,iPA's~ or Local Agency Program (LAP} Agreements
The FHWA has previously agreed to accept the use of TPA's for the performance of emergency
work. Local agencies must be LAP certified to perform permanent work.
if you have any questions, please contact Mr. Chris Richter at 942-9650
Sincerely,
/s/ J. Chris Richter
For: David C. Gibbs
Division Administrator
>inclosure
cc: Mr. James ,lobe, FDOT (MS-21)
.1CR:aw,t bc: CIZ, SG, RG s:TechSystems\rR t•egs Ibr conh'acts & bD[['.'s.doc }' 11C: ~~~~
REQUIRED CONTRACT PROVISIONS
FEDERAL-AID CONSTRUCTION CONTRACTS
Page
I. General .................................... . 1
II. Nondiscrimination ....... . .................... . 1
III. Nonsegregated Facilities ....................... . 3
IV. Payment of Predetermined Minimum Wage ........ . 3
V. Statements and Payrolls ....................... . 5
VI. Record of Materials, Supplies, and Labor .......... . 5
VII. Subletting or Assigning the Contract ............ . 5
VIII. Safety: Accident Prevention .................... . fi
IX. False Statements Concerning Highway Projects ..... . 6
X. Implementation of Clean Air Act and Federal
Water Pollution Control Acl ..................... . 6
X1. Certification Regarding Debarment, Suspension,
Ineligibility, and Voluntary Exclusion .............. . 6
XII. Certification Regarding Use of conlracl Funds far
Lobbying ................................... . 8
ATTACHMENTS
A. Employment Preference for Appalachian Contracts
(included in Appalachian contracts only)
I. GE NERAL
1. These conlracl provisions shall apply to all work performed on
the contract by the contractor's own organization and with the
assistance of workers under the contractor's immediate superinlen-
denceand tool/ work performed on the conlracl by piecework, station
work, or by subcontract.
2. Except as otherwise provided for in each section, the contractor
shall insert in each subcontract all of the stipulations contained in
these Required Contract Provisions, and further require their
inclusion in any lower tier subcontractor purchase order that may in
turn be made. The Required Contract Provisions shall not be
incorporated by reference in any case. The prime contractor shall be
responsible for compliance by any subcontractor or lower tier
subcontractor with these Required conlracl Provisions.
3. A breach of any of the stipulations contained in these Required
Contract Provisions shall be sufficient grounds for termination of the
contract.
4. A breach of .the following clauses of the Required Contract
Provisions may also be grounds for debarment as provided in 29
CFR 5.12:
related subcontracts of $10,000 or more.)
Employment Opportunity: Equal employment opportu-
requiremen(s not to discriminate and to take affmmative
sure equal opportunity as set forth under laws, executive
s, regulations (28 CFR 35, 29 CFR 1630 and 41 CFR 60)
of the Secretary of Labor as modified by the provisions
herein, anc imposed pursuant l0 23 U.S.C. 140 shall
~e FFO and snecific affirmative action standards for the
4,3 and the provisions of the American Uisa
U.S.C. 12101 el seg.) set forth under 2B CFf
are incorporated by reference in this contract.
conlracl, the contractor agrees to comply with
specific requirement activities of EEO:
a. The coniraclor will work with the State highway agency
(5HA) and the Federal Government in carrying out EEO obligations
and in their review of his/her activities under the contract. '
b. The contractor will accept as his operating policy the
following statement:
"It is the policy of this Company to assure that applicants are
employed, and that employees are treated during employment,
without regard io their race, religion, sex, color, national origin,
age or disability. Such action shall include: employment,
upgrading, demotion, or transfer; recruitment or recrurtmeni
advertising; layoff or termination; rates of pay or other forms of
compensation; and selection for training, including apprentice-
ship, preapprenticeship, and/or on-the-job training."
2. EEO Officer: The contractor will designate and make known
to the SHA contracting o#ficers an EEO Officer who will have the
responsibilityiorond must be capable of effectively administering and
promoting an active contractor program of EEO and who must be
assigned adequate authority and responsibility to do so.
3. Dissemination of Po{icy: All members of the contractor's staff
who are authorized -o hire, supervise, promote, and discharge
employees, or who recommend such action, or who are substantially
involved in such action, will be made fully cognizant of, and will
implement, the contractor's EEO policy and contractual responsibili-
ties to provide EEO in each grade and classification of employment.
To ensure that the above agreement will be met, the following actions
will be taken as a minimum:
Section 1, paragraph 2;
St:ciion IV, paragraphs 1, 2, 3, 4, and 7;
Section V, paragraphs 1 and 2a Through 2y.
5. Disputes arising out of the laborstandards provisions of Section
IV {except paragraph 5) and Section V of these Required Contract
Provisions shall not be subject to the general disputes clause of this
contract. Such disputes shall be resolved in accordance with the
procedures of the U.S. Department of Labor (DOL) as set forth in 29
CFR 5, fi, and 7. Disputes within the meaning of this clause include
disputes between the contractor (or any of its subcontractors) and the
contracting agency, the DOL, or the contractor's employees or their
representatives.
6. Selection of Labor: During the performance of this conlracl,
the coniraclor shall not:
a. discriminate againstlaboriromanyolherSlate,possession,
orterrilory of the United Stales (except for employment preference for
Appalachian contracts, when applicable, as specified in Attachment
Aj, or
b employ convict labor for any purpose within the limits of the
prujecl unless it is labor performed by convicts who are on parole,
supervised release, or probation.
(Applicable io all Federabaid construction contracts and to all
a. Periodic meetings of supervisory and personnel office
employees will be conducted before the start of work and then not
less often than once every six months, at which lime the contractor's
EEO policy and its implementation will be reviewed and explained.
The meetings will be conducted by the EEO Officer.
b. All new supervisory or personnel office employees will be
given a Thorough indoctrination by the EEO Officer, covering all major
aspects of the contractor's EEO obligations within thirty days
following their reporting for duty with the coniraclor.
c. All personnel who are engaged in direct recruitment for the
prujecl will be instructed by the EEO Officer in the contractor's
procedures for locating and hiring minority group employees.
d. Notices and posters setting forth the contractor's EEO policy
will be placed in areas readily accessible to employees, applicants for
employment and potential employees.
e. The contractor's EEO policy and the procedures to imple-
ment such policy will be brought to the attention of employees by
moans of meetings, employee handbooks, or other appropriate
means.
4. Recruitment: When advertising for employees, the coniraclor
will include in all adverlisemenls for employees the notation: "An
Equal Opportunity Employer." All such adverlisemenls will he placed
Form FFIWA-1273 (Rev. 3-94J r'~se r
in publica(ioris having a large circulation among minority groups in the
area from which the project work force would normally be derived.
a. The contractor will, unless precluded by a valid bargaining
agreement, conduct systematic and direct recruitment through public
and private employee referral sources likely to yield qualified minority
group applicants. To meet this requirement, the contractor will
identify sources of potential minority group employees, and establish
with such identified sources procedures whereby minority group
applicants maybe referred to the conlraclor for employmentconsider-
alion.
b. In the event the conlraclor has a valid bargaining agreement
providing for exclusive hiring hall referrals, he is expected to observe
the provisions of that agreement to the exlenl that the system permits
the contractor's compliance with EEO conlracl provisions. (The DOL
has held that where implementation of such agreements have the
effect of discriminating against minorities or women, or obligates the
contractor to do the same, such implementation violates Executive
Order 11246, as amended.)
c. The coniractorwill encourage his present employeesto refer
minority group applicants for employment. Information and proce-
dures with regard to referring minority group applicants will be
discussed with employees.
5. Personnel Actions: Wages, working conditions, and employee
benefits shall be established and administered, and personnel actions
of every type, including hiring, upgrading, promotion, transfer,
demotion, layoff, and ierminalion, shall be taken without regard to
race, color, religion, sex, national origin, age or disability. The
following procedures shall be followed:
a. The contractor will conduct periodic inspections of project
sites to insure that working conditions and employee facilities do not
indicate discriminatory treatment of project site personnel.
b. The conlraclor will periodically evaluate the spread of wages
paid within each classification to determine any evidence of discrimi-
natory wage practices.
c. The contractor will periodically review selected personnel
actions in depth to determine whether there is evidence of discrimina-
tion. Where evidence is found, the contractor will promptly lake
corrective action. If the review indicates that the discrimination may
extend beyond the actions reviewed, such corrective action shall
include all affected persons.
d. The contractor will promptly investigate all complaints of
alleged discrimination made to the conlraclor in connection with his
obligations under this contract, will attempt to resolve such com-
plaints, and will lake appropriate corrective action within a reasonable
Time. If the investigation indicates that the discrimination may affect
persons other than the complainant, such corrective action shall
include such other persons. Upon completion of each investigation,
the contractor will inform every complainant of all of his avenues of
appeal.
6. Training and Promotion'
a. The conlraclor will assist in locating, qualifying, and
increasing the skills of minority group and women employees, and
applicants for employment. ,
b. Consistent with the contractor's work force requirements and
as permissible under Federal and Stale regulations, the conlraclor
' shall make full use of training programs, i.e., apprenticeship, and
i on-the-job training programs for the geographical area of conlracl
performance. Where feasible, 25 percent of apprentices or trainees
in each occupation shall be in their first year of apprenticeship or
training- in the event a special provision for (raining is provided under
this conlracl, this subparagraph will be superseded as indicated in the
special provision.
i
c. The contnclor will advise employees and applicants for
employment of available (raining programs and entrance require-
ments for each.
d. The conlraclor will periodically review the training and
promotion potential of minority group and women employees and will
encourage eligible employees to apply for such training and promo-
tion.
7. Unions: II the conlraclor relies in whole or in part upon unions
i as a source of employees, the conlraclor will use hislher best efiorls
to obtain the cooperabon of such unions to increase opportunities for
minority groups and women within the unions, and to effect referrals
by such unions of minority and female employees. Actions by the
contractor either directly or through a contractor's association acting
as agent will include the procedures set forth below:
a. The contractor will use best efforts to develop, in coopera-
tion with the unions, joint training programs aimed toward qualifying
more minority group members and women for membership in the
unions and increasing the skills of minority group employees and
women so that (hey may qualify for higher paying employment.
b. The contractor will use best efforts to incorporate an EEO
clause into each union agreement to the end that such union will be
contractually bound to refer applicants without regard to their race,
color, religion, sex, national origin, age or disability.
c. The conlraclor is to obtain information as to the referral
practices and policies of the labor union except that to the exlenl
such information is within the exclusive possession of the labor union
and such labor union refuses to furnish such information to the
contractor, the contractor shall so certify to the SHA and shall set
forth what efforts have been made to obtain such information.
In the event the union is unable to provide the conlraclor
sonable flow of minority and women referrals within the time
orth in the collective bargaining agreement, the contractor
fah independent recruitment efforts. till the emolovmenl
failed to refer minority employees.) In
practice prevents the contractor fro
pursuant to Executive Order 11246, as
provisions, such conlraclor shall imme~
8. Selection of Subcontractors, Procurement of Materials and
Leasing of Equipment: The contractor shall not discriminate on the
grounds of race, color, religion, sex, national origin, age or disability
in the selection and retention of subcontractors, including procure-
ment of materials and (eases of equipment.
a. The contractor shall notify all potential subcontractors and
suppliers of hislher EEO obligations under this contract.
b. Disadvantaged business enterprises (DBE), as defined in 49
CFR 23, shall have equal opportunity to compete for and perform
subcontracts which the contractor enters into pursuant to this
contract. The conlraclor will use his best efforts to solicit bids from
and to utilize OBE subcontractors or subcontractors wish meaningful
minority group and female representation among their employees.
Contractors shall obtain lists of DBE construction firms from SHA
personnel.
c. The contractor will use his best efforts to ensure subcontrac-
tor compliance with (heir EEO obligations.
g. Records and Reports: The contractor shaft keep such records
as necessary to document compliance with the EEO requirements.
Such records shall be retained for a period of three years following
completion of the contract work and shall be available al reasonable
times and places for inspection by authorized representatives of the
SHA and the FHWA.
a. The records kepi by the contractor shall document the
following:
(1) The number of minority and non-minority group
members and women employed in each work classification on the
project;
(2) The progress and efforts being made in cooperation
with unions, when applicable, to increase employment opportunities
for minorities and women;
(3) The progress and efforts being made in locating, hiring,
training, qualifying, and upgrading minority and female employees;
and
(4) The progress and efiorls being made in securing the
services of DBE subcontractors or subcontractors with meaningful
minority and female representation among their employees.
b. The contractors will submit an annual report to the SHA
v,~es Form FHWA-'1273 (Rev. 3-94)
each July for the duration of the project, indicating the number of
minority, women, and non-minority group employees currently
engaged in each work classiflcalion required by the contract work.
This information is to be reported on Form FHWA-1391. If on-the
job training is being required by special provision, the contractor will
be required to collect and report (raining data.
III. NONSEGREGATED FACILITIES
(Applicable to all Federal-aid construction contracts and to all
related subcontracts of $iD,000 or more.)
a. By submission of this bid, the execution of this contract or
subcontract, or the consummation of this material supply agreement
or purchase order, as appropriate, the bidder, Federal-aid construc-
tion contractor, subcontractor, material supplier, or vendor, as
appropriate, cedifies that the firm does not maintain or provide for its
employees any segregated tacililies at any of its establishments, and
(hat the firm does not permit its employees to perform their services
al any location, under its control, where segregated facilities are
maintained. The firm agrees that a breach of this certification is a
violation of the EEO provisions of this contract. The firm further
certifies that no employee will be denied access to adequate facilities
on the basis of sex or disability.
b. As used in this certification, the term "segregated
means any wailing rooms, work areas, reslrooms and wa
restaurants and other eating areas, timeclocks, locker ro
other storage or dressing areas, parking lots, drinking f
recreation or entertainment areas, transportation, and
tacililies provided for employees which are segregated t
directive, or are, in fact, segregated on the basis of tae
religion, national origin, age or disability, because of hs
custom, or otherwise. The only exception will be for the
when the demands for accessibility override (e.g. disabled
c. The contractor agrees that it has obtained or will obtain
identical certification from proposed subcontractors or material
suppliers prior to award of subcontracts or consummation of material
supply agreements of $10,000 ar more and that it will retain such
certifications in its files.
IV. PAYMENT OF PREDETERMINED MINIMUM WAGE
(Applicable to all Federal-aid construction contracts exceeding
$2,000 and to all related subcontracts, except for projects located on
roadways classified as local roads or rural minor collectors, which are
exempt.)
1. General:
a. All mechanics and laborers employed or working upon the
site of the work will be paid unconditionally and not less often than
once a week and without subsequent deduction or rebate on any
account (except such payroll deductions as are permitted by
regulations (29 CFR 3) issued by the Secretary of Labor under the
Copeland Act (40 U.S.C. 276c)j the full amounts of wages and bona
fide fringe benefits (or cash equivalents (hereof) due at lime of
payment. The payment shall be computed al wage rates not less
than those contained in the wage determination of the Secretary of
and made a pari hereof, regardless o(any contractual relationship
which may be alleged to exist between the contractor or its subcon-
tractorsand such laborers and mechanics. The wage determination
(including any additional classifications and wage rates conformed
under paragraph 2 of this Section IV and the DOL poster (WH-1321)
ar Form FHWA-1495) shall be posted at all times by the contractor
and its subcontractors al the site of the work in a prominent and
accessible place where it can be easily seen by the workers. For the
purpose of this Section, contributions made or costs reasonably
anticipated for bona tide fringe benefits under Section 1(b)(2) of the
Davis-Bacon Act (40 U.S.C. 276a) on behalf of laborers or mechanics
are considered wages paid to such laborers or mechanics, subject to
the provisions of Section IV, paragraph 3b, hereof. Also, for the
as
b. Laborers or mechanics performing work in more than one
classification may be compensated at the tale specified for each
classification for the time actually worked therein, provided, that the
employer's payroll records accurately set forth the time spent in each
classification in which work is pedormed.
c. All rulings and interpretations of the Davis-Bacon Act and
related acts contained in 29 CFR 1, 3, and 5 are herein incorporated
by reference in this conlracl.
c^. Classification:
a. The SFIA contracting officer shall require that and class of
laborers or mechanics employed under the contract, wluch is not
listed in the wage determination, shall be classified in conformance
with the wage determination.
b. The contracliny officershall approve an additional classifica-
tion, wage rate and fringe benefits only when the following criteria
Piave been met:
(1) the work to be performed by the additional classifica-
tion requested is oat pedormed by a classification in the wage
determination;
(2) the additional classification is utilized in the area by the
construction industry;
(3) the proposed wage rate, including any bona fide fringe
benefits, bears a reasonable relationship to the wage rates contained
in the wage determination; and
(4) with respect to helpers, when such a classification
prevails in the area in which the work is performed.
c. If the contractor or subcontractors, as appropriate, the
laborers and mechanics (i( known) to be employed in the additional
classification or their representatives, and the contracting officer
agree on the classification and wage tale (including the amount
designated for fringe benefits where appropriate), a report of the
action taken shall be sent by the contracting officer to the DOL,
Administration, Washington, D.C. 2D210. 1 he Wage antl Hour
Administrator, or an authorized representative, will approve, modify,
or disapprove every additional classification action within 30 days of
receipt and so advise the contracting officer or will notify the contract-
ing officer within the 30-day period that additional lime is necessary.
d. In the event the contractor or subcontractors, as appropri-
ate, the laborers or mechanics to be employed in the additional
classification or their representatives, and the contracting officer do
not agree on the proposed classification and wage rate (including the
amount designated for fringe benefits, where appropriate), the
contracting officer shall refer the questions, including the views of all
interested parties and the recommendation of the contracting officer,
to the Wage and Hour Adminislralor for determination. Said
Adminislralor, Oran authorized representative, will issue a determina-
tion within 30 days of receipt and so advise the contracting officer or
will notify the contracting officer within the 30-day period that
additional time is necessary
e. The wage rate (including fringe benefits where appropriate)
determined pursuant to paragraph 2c or 2d of this Section IV shall be
paid to all workers performing work in the additional classification
from the firs) dayon which work is performed in the classification.
3. Payment of Fringe Benefits:
a. Whenever the minimum wage rate prescribed in the conlracl
fora class of laborers or mechanics includes a fringe benefit which
is not expressed as an hourly rate, the contractor or subcontractors,
as appropriate, shall either pay the benefit as staled in the wage
determination or shall pay another bona tide fringe benefit or an
hourly case equivalent thereof.
b. It the contractor or subcontractor, as appropriate, does not
make payments In a trustee or other third person, helshe may
consider as a part of the wages of any laborer or mechanic the
amount of any costs reasonably anticipated in providing bona aide
fringe benefits under a plan or program, provided, that the Secretary
of Labor has found, upon the written request of the conlraclor, that
the applicable standards of the Davis-Bacon Acl have been met. The
Secretary of Lahor may require the contraolor to set aside in a
separate account assets for the meeting of obligations under the plan
or program.
Form FHWA-1773 (Rev. 3-94) r:,aes
4. Apprentices and Trainees (Programs of the U.S. DOL) and
Helpers:
a. Apprentices:
wiA be permilled to work al Tess than the
e work they performed when they are
1 individually registered in a bona fide
gistered with the OOL, C-mployment and
with a State apprenticeship agency re
person is employed in his/her firs( 90
individually registered in the program, but who has been certified by
the Bureau of Apprenticeship and Training or a Stale apprenticeship
agency (where appropriate) to be eligible for probationary employ-
ment as an aoorenlice.
not
al
on the job site in excess of the ratio permitted under the registered
program shall be paid not less than the applicable wage rate on the
wage determination for the work actually performed. Where a
contractor or subcontractor is performing construction on a project in
a locality other than that in which its program is registeretl, the ratios
and wage rates (expressed in percentages of the journeyman-level
hourly rate) specified in the contractor s or subcontractor's registered
program shall be observed.
(3) Every apprentice must be paid al not less than the rate
specified in the registered program for the apprentice's Level of
progress, expressed as a percentage of the journeyman-level hourly
rate specified in the applicable wage determination. Apprentices
shall be paid fringe benefits in accordance with the provisions of the
aoorenticeshio oroaram. If the aoorenticeshio oroaram does not
(4} IniheevenltheBureauofApprenticeshipandTraining,
or a Stale apprenticeship agency recognized by the Bureau, with-
draws approval of an apprenticeship program, the coniraclor or
subcontractor will no longer be permitted to utilize apprentices at less
than the applicable predelerrnined rate for the comparable work
pertormed by regular employees until an acceptable program is
approved.
b. Trainees:
(1) Except as provided in 29 CFR 5.16, trainees will not be
permilled to work at less Than the predetermined rate for the work
periorrned unless they are employed pursuant to and individually
registered in a program which has received prior approval, evidenced
by formal certification by the DOL, Ernploymenl and Training
Administration.
(2) The ratio of trainees tojourneyman-level employees on
the job site shall not be greater than permilled under the plan
approved by the Employment and Training Administration. Any
employee listed on the payroll at a trainee rate who is not registered
and parlicipaling in a training plan approved by the Employment and
Training Admmislralion shall be paid not less than the applicable
wage rate on the wage delerminalion for ttte classification of work
actually performed. In addition, any trainee pedorming work on the
job site in excess of the ratio permitted under the registered program
shall be paid not less than the applicable wage rate on the wage
delerminalion for the work actually performed.
(3) Every trainee must be paid al not less Than Rte rate
specified in the approved program for his/her level of progress,
expressed as a percentage of the journeyman-level hourly rate
specified in the applicable wage delerminalion. Trainees shall be
paid fringe benelils in accordance with the provisions of the trainee
program. II Ute Trainee program does not mention fringe benelils,
trainees shall be paid the full amount of fringe benelils listed on the
wage delerminalion unless the Administrator of the Wage and Hour
Division determines that lltere is an apprenticeship program associ-
ated with the correspondingjourneyman-level wage rate on the wage
determination which provides for less than full fringe benefits for
apprentices, in which case such trainees shall receive the same
fringe benefits as apprentices.
(4) In the event the Employment and Training Adntinistra-
lion withdraws approval of a training program, the contractor or
subcontractor will no longer be permilled to utilize trainees al less
than the applicable predetermined rate for the work performed until
an acceptable program is approved.
c. Helpers:
Helpers will be permitted to work on a project if the helper
classification is specified and defined on the applicable wage
delerminalion or is approved pursuant to the conformance procedure
set forth in Section IV.2. Any worker listed on a payroll at a helper
wage rate, who is not a helper under a approved definition, shall be
paid not less Than the applicable wage rate on the wage determina-
tion for the classification of work actually pertormed.
5. Apprentices and Trainees (Programs of the U.S. DDT):
Apprentices and trainees working under apprenticeship and skill
training programs which have been certified by the Secretary of
1'ransportalion as promoting EEO in connection with Federal-aid
highway construction programs are not subject to the requirements
of paragraph 4 of this Section IV. The straight time hourly wage rates
forapprentices and trainees undersuch programs will be established
by the particular programs. The ratio of apprentices and trainees to
journeymen shall not be greater than permitted by the terms of the
particular program.
6. Withholding:
The 5HA shall upon its own action or upon written reques! of
an authorized representative of the DOL withhold, or cause to be
withheld, from the contractor or subcontractor under this contract or
any other Federal contract with the same prime coniraclor, or any
other Federally-assisted contract subject to Davis-Bacon prevailing
wage requirements which is held by the same prime contractor, as
much of the accrued payments or advances as may be considered
necessary to pay laborers and mechanics, including apprentices,
trainees, and helpers, employed by the contractor or any subcontrac-
tor the full amount of wages required by the conlracl. In the event of
failure to pay any laborer or mechanic, including any apprentice,
trainee, or helper, employed or working on Lhe site of the work, all or
part of the wages required by the contract, the SHA contracting officer
may, after written notice to the contractor, take such action as may be
necessaryto cause the suspension of any furtherpayment, advance,
or guarantee of funds until such violations have ceased.
7. Overtime Requirements:
No contractor or subcontractor contracting for any pars of the
contract work which may require or involve the employment of
laborers, mechanics, watchmen, or guards (including apprentices,
trainees, and helpers described in paragraphs 4 and 5 above) shall
require or permit any laborer, mechanic, watchman, or guard in any
workweek in which Ile/she is employed on such work, to work in
excess of 40 hours in such workweek unless such laborer, mechanic,
watchman, or guard receives compensation at a rate not less than
one-and-one-hat( limes hislher basic rate of pay for all hours worked
in excess of 40 hours in such workweek.
8. Violation:
Liability for Unpaid Wages; Liquidated Damages: In the event
of any violation of the clause set forth in paragraph 7 above, the
contractor and any subcontractor responsible thereof shall be liable
Io the affected employee for his/her unpaid wages. In addition, such
contractor and subcontractor shalt be liable to the United Stales (in
the case of work done under conlracl for the District of Columbia or
a territory, to such District or to such territory) for liquidated damages.
Such liquidated damages shall be computed with respect to each
individual laborer, mechanic, watchman, or guard employed in
violation of the clause set (Drib in paragraph 7, in Rte sum of $10 for
each calendar day on which such employee was required or permil-
led to work in excess of the standard work week of 40 hours without
payment of the overtime wages required by the clause set forth in
paragraph 7.
9. Withholding for Unpaid Wages and Liquidated Damages:
rogc4 Form Ft-TWA-1273 (Rev. 3-94)
The SHA shall upon its own action or upon written request of any
authorized representative of the DOL withhold, or cause to be
withheld, from any monies payable on account of work performed by
the contractor or subcontractor under any such conlracl or any other
Federal conlracl with the same prime contractor, or any other
Federally-assisted conlracl subject to the Contract Work Flours and
Safety Standards Acl, which is held by the same prime conlraclor,
such sums as may be determined to be necessary to satisfy any
liabilities of such contractor or subcontractor for unpaid wages and
liquidated damages as provided in the clause set forth in paragraph
8 above.
V. STATEMENTS AND PAYROLLS
(Applicable to all Federal-aid construction contracts exceeding
$2,000 and io all related subcontracts, except for projects located on
roadways classified as local roads or rural collectors, which are
exempt.)
1. Compliance with Copeland Regulations (29 CFR 3):
The contractor shall comply with the Copeland Regulations of the
Secretary of Labor which are herein incorporated by reference.
2. Payrolls and Payroll Records:
a. Payrolls and basic records relating thereto shall be
maintained by the contractor and each subcontractor during the
course of the work and preserved for a period of 3 years from the
dale of completion of the contract for all laborers, mechanics,
apprentices, trainees, watchmen, helpers, and guards working at the
site of the work.
h. The payroll records shall contain the name, social security
number, and address of each such employee; his or her correct
classification; hourly rates of wages paid (including rates of contribu-
tions or costs anticipated for bona fide fringe benefits or cash
equivalent thereof the types described in Section 1(b)(2)(B) of the
Davis Bacon Act); daily and weekly number of hours worked;
deductions made; and actual wages paid. In addition, for Appala-
chian contracts, the payroll records shall contain a notation indicating
whether the employee does, or does not, normally reside in the labor
area as defined in Attachment A, paragraph 1. Whenever the
Secretary of Labor, pursuant io Section IV, paragraph 3b, has found
that the wages of any laborer or mechanic include the amount of any
costs reasonably anticipated in providing benefits under a .plan or
program described in Section 1(b)(2)(B) of the Davis Bacon Act, the
contractor and each subcontractor shall maintain records which show
that the commitment to provide such benefits is enforceable, that the
plan or program is financially responsible, that the plan or program
has been communicated in wriirng to the laborers or mechanics
affected, and show the cast anticipated or the actual cost incurred in
providing benefits. Contractors or subcontractors employing
apprentices or trainees under approved programs shall maintain
wdtlen evidence of the registration of apprentices and trainees, and
ratios and wage rates prescribed in the applicable programs.
c. Each conlraclor and subconlraclor shall furnish, each week
in which any contract work is performed, to the SHA resident
engineer a payroll of wages paid each of its employees (including
apprentices, trainees, and helpers, described in Section IV, para-
graphs Aand 5, and watchmen and guards engaged on work during
the preceding weekly payroll period). Ttre payroll submitted shall set
out accurately and completely all of the information required to be
maintained under paragraph 2b of this Section V. This information
may be submitted in any form desired. Optional Form WH-347 is
available for this purpose and may be purchased from the Superin-
tendent of Documents (Federal stock number 029-OD5-0014-1 ), U.S.
Government Prinliny Office, Washington, D,C. 20402. The prime
conlraclor is responsible for the submission of copies of payrolls by
all subcontractors.
d. Each payroll submitted shall be accompanied by a "State-
ment of Compliance," signed by the contractor or subconlraclor or
hislher agent who pays or supervises the payment of the persons
employed under the conlracl and shall certify the following:
(1) Ihal the payroll for the payroll period contains lha
inlormalion required to be maintained under paragraph 2b of this
Section V and that such inlormalion is correct and complete;
(2} that such laborer or mechanic (including each helper,
apprentice, and trainee) employed on the conlracl during the payroll
period has been paid the full weekly wages earned, without rebate,
either directly or indirectly, and that no deductions have been made
either directly or indirectly from the full wages earned, other than
permissible deductions as set forth in the Regulations, 29 CFR 3;
(3} that each laborer or mechanic has been paid not less
that the applicable wage rate and fringe benefits or cash equivalent
for the classification of worked performed, as specified in the
applicable wage determination incorporated into the contract.
e. The weekly submission of a properly executed cerlificalion
set forth on the reverse side of Optional Form WH-347 shall satisfy
the requirement for submission of the "Statement of Compliance"
required by paragraph 2d of this Section V.
[. The falsification of any of the above cedilicalions may
subject the contractor to civil or criminal prosecution under 18 U.S.C.
1001 and 31 U.S.C. 231.
g. The conlraclor or subcontractor shall make the records
required under paragraph 2b of this Secfion V available for inspec-
tion, copying, or transcription by authorized representatives of the
SHA, the FHWA, or the DOL, and shall permit such representatives
to interview employees during working hours on the jab. If the
conlraclor or subcontractor fails to submit the required records or to
make them available, the SHA, the FHWA, the DOL, or all may, after
written notice to the conlraclor, sponsor, applicant, or owner, take
such actions as may be necessary to cause the suspension of any
further payment, advance, or guarantee of funds. Furthermore,
failure to submit the required records upon request or to make such
records available may be grounds for debarment action pursuant to
29 CFR 5.12.
Vl. RECORD OF MATERIALS, SUPPLIES, AND LA60R
1. On all Federal-aid contracts on the National Highway System,
except those which provide solely for the installation of protective
devices al railroad grade crossings, those which are constructed on
a forceaccountordirect labor basis, highway beautification contracts,
and contracts for which the total final construction cost far roadway
and bridge is less than $1,000,ODO (23 CFR 635) the contractor shah:
a. Become familiar wish the list of specific materials and
supplies contained in Form FHWA-47, "Statement of Materials and
Labor Used by conlraclor of Highway Construction Involving Federal
Funds," prior to the commencement of work under this contract.
b. Maintain a record of the total cost of all materials and
supplies purchased for and incorporated in the work, and also of the
quantities of those specific malenals and supplies listed on Form
FHWA-47. and in the units shown on Form FH1NA-47.
c. Furnish, upon the completion of the contract, to the SHA
resident engineer on Form FHWA-47 together with the data required
in paragraph 1b relative is materials and supplies, a final labor
summary of all contract work indicating the total hours worked and
the total amount earned.
2. At the prime contractor's option, either a single report covering
all conlracl work or separate reports for the contractor and for each
subcontract shall be submitted.
VII. SUBLETTING OR ASSIGNING THE CONTRACT
1. The conlraclor shall perform with its own organization conlracl
work amounting to not less than 30 percent (or a greater percentage
if specified elsewhere in the contract) of the total original conlracl
price, excluding any specially items designated by the Slate.
Specially items may be performed by subcontract and the amount of
any such specially items performed may be deducted from the total
original conlracl price before computing the amount of work required
to be performed by the contractor's own organization (23 CFR 635).
a. "Its own organization" shall be construed to include only
workers employed and paid direchy by the prime conlraclor and
equipment owned or rented by the prime contractor, with or without
operators. Such term does not mclude employees or equipment of
Form FHWA-1273 (Rev. 3-94) Pace r'
a subcontractor, assignee, or agent of the prime contractor.
b. "Specialty Items" shall be construed to be limited to work
That requires highly specialized knowledge, abilities, or equipment not
ordinarily available in the type of contracting organizations qualified
and expected to bid on the contract as a whole and in general are to
be limited le minor components of the overall contract.
2. The contract amount upon which the requirements set forth in
paragraph 1 of Section VII is computed includes the cost of material
and manufactured products which are to be purchased or produced
by the contractor under the conlracl provisions,
3. The contractor shall furnish (a) a competent superintendent or
supervisor who is employed by the firm, has full authority to direct
performance of the work in accordance with the contract require-
ments, and is in charge of all construction operations (regardless of
who perforrrrs the work) and (b) such other of its own organizational
resources (supervision, manayemenl, and engineering services) as
the SHA coniracling officer determines is necessary to assure the
performance of the conlracl.
4. No portion ai the conlracl shall be sublet, assigned or otherwise
disposed of except with the written consent of the SHA coniracling
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 contract. Written consent will be given only
after the SHA has assured that each subcontract is evidenced in
writing and that it contains all pertinent provisions and requirements
of the prime contract.
VIII. SAFETY: ACCIDENT PREVENTION
1. In the performance of this contract the contractor shall comply
with all applicable Federal, State, and local laws governing safely,
health, and sanitation (23 CFR 635). The contractor shall provide all
safeguards, safety devices and protective equipment and take any
other needed actions as it determines, or as the SHA contracting
officer may determine, to be reasonably necessary to protect the life
and health of employees on the job and the safety of the public and
to protect property in connection with the performance of the work
covered bythe contract.
2. li is a condition of this contract, and shall be made a condition
of each subcontract, which the contractor enters into pufsuanl to this
contract, that the contractor and any subcontractor shall not permit
any employee, in performance of the contract, to work in surround-
ings or under conditions which are unsanitary, hazardous or danger-
ous to his/her health or safely, as determined under construction
safety and health standards (29 CFR 1926) promulgated by the
Secretary of Labor, in accordance with Section 107 of the Contract
Work Hours and Safety Standards Acl (40 U.S.C. 333).
3. Pursuant to 29 CFR 1926.3, it is a condition of this contract that
the Secretary of Labor or authorized representative thereof, shall
have right of entry to any site of conlracl pedormance to inspect or
investigate the matter of compliance with the construction safety and
health standards and to carry out the duties of the Secretary under
Section 107 of the Contract Work Hours and Safety Standards Acl
(4D U.S.C. 333).
IX. FALSE STATEMENTS CONCERNING HIGHWAY PROJECTS
In order to assure high quality and durable construction in confor-
mity with approved plans and specifications and a high degree of
reliability on statements and representations made by engineers,
functions as carefully, thoroughly, and honestly as possible. Willful
talsificalion, distortion, or misrepresentation with respect to any facts
related to the project is a violation of Federal law. To prevent any
misunderstanding regarding the seriousness of These and similar
acts, the following police shall be posted on each Federal-aid
highway project (23 CFR 635) in one or more places where it is
readily available to a8 persons concerned with the project:
NOTICE TO ALL PERSONNEL ENGAGED ON FEDERAL-AID
HIGHWAY PROJECTS
18 U.S.C. 1020 reads as follows:
"Whoever, hein~ an officer, agent, or employee o/ the tlnited
States, or of any Stale or Territor}~, or whoever, whether a person,
association, firm, or corporation, knowingly males any false state-
ment, false representation, or false repor! as In the cl raracler, quality,
quantity, or cost othhe material used or to be used, or the quantity or
quality o/ the work perlormed or to be performed, or the cost thereof
in connection with the submission of plans, maps, specifications,
contracts, or casts of construction on any highway or related project
submitted for approval to lire Secretary of Transportation; or
Whoever knowingly makes any false statement, false representa-
Oon, false report or false claim with respect !o the character, quality,
quantity, or cost of any work performed or to be perlormed, or
materials furnished or to be furnished, in connection with the
construction o/ any highway or related project approved by the
Secretary of Transportation; or
WI>oeverknowinglymakesany lalsestatement orfalse representa-
tion as to material fact in any statement, certificate, or report
submitted pursuant !o provisions of the Federal-aid Roads Act
approved July i, 7976, (39 Stal. 355), as amended and supple-
mented;
Shall be fined not more that $1 D, 000 or imprisoned not more than
5 years arbolh."
X. IMPLEMENTATION OF CLEAN AIR ACT AND FEDERAL
WATER POLLUTION CONTROL ACT
(Applicable to all Federal-aid construction contracts and to all related
subcontracts of 210D,000 or more.)
By submission of this bid or the execution of this contract, or
subcontract, as appropriate, the bidder, Federal aid construction
contractor, or subcontractor, as appropriate, will be deemed to have
stipulated as follows:
1. That any facility that is or will be utilized in the performance of this
contract, unless such contract is exempt under the Clean Air Acl, as
amended (42 U.S.C. 1857 et s~ce ., as amended by Pub.L. 91-604),
and underihe Federal Water Pollution Control Act, as amended (33
U.S.C. 1251 else ., as amended by Pub.L. 92-500), Executive Order
11738, and regulations in implementation thereof (40 CFR 15) is nvl
listed, on the dale of contract award, on the U.S. Environmental
Protection Agency (EPA) List of Violating Facilities pursuant fo 40
CFR 15.20.
2. Thal the firm agrees to comply and remain in compliance with all
the requirements of Section 114 of the Clean Air Act and Section 308
of the Federal Water Pollution Control Acl and all regulations and
guidelines listed thereunder.
3. Thal the firm shall promptly notify the SHA of the receipt of any
communication from the Director, Office of Federal Activities, EPA,
indicating that a facility that is or will be utilized far the contract is
under consideration to be listed on the EPA Lisl of Violating Facilities.
4. Thal the firm agrees to include or cause to be included the
requirements of paragraph 1 through 4 of this Section X in every
nonexempt subcontract, and further agrees to take such action as the
govemmenl may direct as a means o1 enforcing such requirements.
XI. CERTIFICATION REGARDING DEBARMENT, SUSPENSION,
INELIGIBILITY AND VOLUNTARY EXCLUSION
1. Instructions for Certification -Primary Covered Transac-
tions:
(Applicable to all Federal-aid contracts - 49 CFR 29)
a. By signing and submitting this proposal, the prospective
pdrnary participant is providing the certification set out below.
b. The inability of a person !o provide the certification set out
below will not necessarily result in denial of pariicipalion in this
covered Iransaclion. The prospective parlicipanl shall submit an
explanation of why it cannel provide the cerlificalion set eul below.
The cerlificafien or explanation will be considered in connection with
the deparlmenl or agency's determination whether to enter info ibis
transaction. However, failure of the prospective primary parlicipanl
to furnish a cerlificalion or an explanation shall disqualify such a
person from pariicipalion in this Iransaclion.
c. The cerlificalion in This clause is a material representaUOn
of fact upon which reliance was placed when the department or
agency determined to enter into this transaction. If it is later deter-
mined ihalthe prospective primary participant knowingly rendered an
erroneous cerlificalion, in addition to other remedies available to the
Federal Government, the deparlmenl or agency may terminate this
Page6 Form FI-tWA-1273 (Rev. 3-94)
transaction for cause of default.
d. The prospective primary participant sha(I provide immediate
written police to the department or agency to whom this proposal is
submitted if any Ume the prospective primary participant learns that
its certification was erroneous when subntitled or has become
erroneous by reason of changed circumstances.
e. The terms "covered transaction," "debarred," "suspended,"
"ineligible," "lower tier covered transaction," "participant," "person,"
"primary covered transaction," "principal," "proposal," and'Yoluntarily
excluded," as used in this clause, have the meanings set out in the
Definitions and Coverage sections of rules impleinenling Executive
Order 12549. You may contact the deparlmenl or agency to which
this proposal is submitted for assistance in obtaining a copy of (hose
regulations.
f. The prospective primary participant agrees by submitting Ihis
proposal that, should the proposed covered transaction be entered
into, it shall not knowingly enter into any lower tier covered transac-
tion with a person who is debarred, suspended, declared ineligible,
or voluntarily excluded from participation in this covered lransaclion,
unless authorized by the department or agency entering into this
transaction.
g. The prospective primary parlicipanl further agrees by
submilling this proposal That it will include the clause tilled "Cedifica-
tion Regarding Debarment, Suspension, Ineligibility and Voluntary
Exclusion-Lower Tier Covered Transaction," provided by the
deparlmenl or agency entering into this covered transaction, without
modification, in all lower tier covered transactions and in all solicita-
lionsfor lower tier covered transactions.
h. A participant in a covered transaction may rely upon a
certification of a prospective participant in a lower tier covered
lransaclion that is not debarred, suspended, ineligible, or voluntarily
excluded from the covered transaction, unless it knows that the
cedi(icalion is erroneous. A participant may decide the method and
frequency by which it determines the eligibility of its principals. Each
participant may, but is not required to, check the nonprocuremenl
portion of the "Lists of Parties Excluded From Federal Procurement
or Nonprocurernent Programs" (Nonprocurement Lisl) which is
compiled by the General Services Administration.
i. Nothing contained in the foregoing shall be construed to
require establishment of a system df records in order fo render in
good faith the certification required by this clause. The knowledge
and information of participant is not required to exceed that which is
normally possessed by a prudent person in the ordinary course of
business dealings.
j. Except for transactions authorized under paragraph f of
these instructions, ii a participant in a covered transaction knowingly
enters into a Inwer tier covered transaction with a person who is
suspended, debarred, ineligible, or voluntarily excluded from
participation in this lransaclion, in addition to other remedies available
to the Federal Government, the deparlmenl or agency may terminate
this transaction for cause or default.
Certification Regarding Debarment, Suspension, Ineligibility
and Voluntary Exclusion--Primary Covered Transactions
1. The prospective primary parlicipanl certifies to the best of its
knowledge and belief, that it and Its principals:
a. Are not presently debarred, suspended, proposed Tor
debarment, declared ineligible, or voluntarily excluded from covered
transactions by any Federal deparlmenl or agency;
b. Have not wilitin a 3-year period preceding this proposal
been convicted of or had a civil judgement rendered against them far
commission of fraud or a criminal offense in connection with obtain-
ing, attempting to obtain, or performing a public (Federal, State or
local) transaction or contract under a public lransaclion; violation of
Federal or Slate antitrust statutes or commission of embezzlement,
theft, forgery, bribery, falsification or destruction of records, making
false statements, or receiving stolen property;
c. Rre not presently indicted for or otherwise criminally or civilly
charged by a governmental entity (Federal, Slate or local) with
commission of any of the offenses enumerated in paragraph 1b of
this certification; and
d. Have not within a 3-year period preceding this applica-
tionlproposal had one or more public transactions (Federal, Stale or
local) terminated for cause ar default.
2. Where the prospective primary participant is unable to certify to
any of the statements in this certification, such prospective participant
shall attach an explartalion to this proposal.
2. Instructions for Certification -LowerTier Covered Transac-
tions:
(Applicable to all subcontracts, purchase orders and other lower
tier transactions of $25,OD0 or more - 49 CFR 29)
a. By signing and submitting this proposal, the prospective
lower tier is providing the ceriificaiion set out below.
b. The certification in this clause is a material representation
of fact upon which reliance was placed when this transaction was
entered into. If it is later determined that the prospective lower tier
participant knowingly rendered an erroneous cerlihcalion, in addition
to other remedies available fo the Federal Government, the deparl-
menl, or agency with which this transaction originated may pursue
available remedies, including suspension and/or debarment.
c. The prospective lower tier parlicipanl shall provide immedi-
ate written notice to the person to which this proposal is submitted if
al any time the prospective lower tier participant teams that its
certification was erroneous by reason of changed circumstances.
d. The terms "covered transaction," "debaned," "suspended,"
"ineligible," "primary covered transaction," "participant," "person,"
"principal," "proposal," and "voluntarily excluded," as used in this
clause, have the meanings set out in the Definitions and Coverage
sections of rules implementing Executive Order 12549. You may
contact the person to which Ihis proposal is submitted for assistance
in obtaining a copy of those regulations.
e. The prospective lower tier participant agrees by submitting
this proposal that, should the proposed covered lransaclion be
entered into, it shall not knowingly enter into any lower tier covered
lransaclion with a person who is debarred, suspended, declared
ineligible, or voluntarily excluded from participation in ibis covered
lransaclion, unless authorized by the deparlmenl or agency with
which this Iransaction originated.
1. The prospective lower tier participant further agrees by
submilling this proposal Thal it will include This clause lillerl "Cerlifica-
lion Regarding Debarment, Suspension, Ineligibility and Voluntary
Exclusion-Lower Tier Covered Transaction," wdhoul modification, in
all Tower tier covered transactions and in all solicitations for lower tier
covered Irarrsactions.
g. A parlicipanl in a covered Iransaction may rely upon
certification of a prospective parlicipanl in a Inwer tier covered
lransaclion that is not debarred, suspended, ineligible, or voluntarily
excluded Irom the covered lransaclion, unless it knows Thal the
certi(icalion is erroneous. A parlicipanl may decide the method and
Form FFIWA-1273 (Rev. 3-94) F~a~ ~
frequency by which it delerniines the eligibility of its principals. Each
parlicipanl may, but is not required to, check the Nonprocuremeni
List.
h. Nothing contained in the foregoing shall be construed to
require establishment of a system of records in order to render in
good faith the ceriificalion required by this clause. The knowledge
and information of parlicipanl is not required to exceed that which is
normally possessed by a prudent person in the ordinary course of
business dealings.
I. Except for transactions authorized under paragraph a of
these instructions, if a parlicipanl in a covered Transaction knowingly
enters into a lower tier covered transaction with a person who is
suspended, debarred, ineligible, or voluntarily excluded from
participation in this transaction, in addition to other remedies available
to the Federal Govemmenl, the department or agency with which this
transaction originated may pursue available remedies, including
suspension and/or debarment.
Certification Regarding Debarment, Suspension, Ineligibility
and Voluntary Exclusion-Lower Tier Covered Transactions:
1. The prospective lower tier parlicipanl certifies, by submission of
this proposal, that neither it nor its principals is presently debarred,
suspended, proposed for debarment, declared ineligible, or volun-
tarily excluded lrom participation in this transaction by any Federal
department or agency.
2. Where the prospective lower tier participant is unable to certify
io any of the statements in this certification, such prospective
participant shall attach an explanation to this proposal.
XII. CERTIFICATION REGARDING USE OF CONTRACT FUNDS
FOR LOBBYING
(Applicable to all Federal-aid construction contracts and to all
related subcontracts which exceed $100,000 - 4g CFR 20)
1. The prospective participant certifies, by signing and submitting
this bid or proposal, to the best of his or her knowledge and belief,
lhaC
a. No Federal appropriated funds have been paid or will be
paid, by or on behalf of the undersigned, to any person for influencing
or attempting to influence an officer or employee of any Federal
agency, a Member of Congress, an officer or employee of Congress,
or an employee of a Member of Congress in connection with the
awarding of any Federal contract, the making of any Federal grant,
the making of any Federal loan, the entering into of any cooperative
agreement, and the extension, continuation, renewal, amendment, or
modification of any Federal contract, grant, loan, or cooperative
agreement.
b. If any funds other than Federal appropriated funds have
been paid or will be paid to any person for influencing or attempting
to influence an officer or employee of any Federal agency, a Member
of Congress, an officer or employee of Congress, or an employee of
a Member of Congress in connection with this Federal contract, grant,
loan, or cooperative agreement, the undersigned shall complete and
submil5landard Form-LLL, "Disclosure Form to Report Lobbying," in
accordance with its instructions.
2. This certification is a material representation of fact upon which
reliance was placed when this transaction was made or entered into.
Submission of this certification is a prerequisitefor making or entering
into this transaction imposed by 31 U.S.C. 1352. Any person who
fails to file the required certification shall be subject to a civil penalty
of not less than $10,000 and not more than $1D0,000 for each such
failure.
3. The prospective participant also agrees by submitting his or her
bid or proposal that he or she shall require that the language of this
certification be included in all lower tier subcontracts, which exceed
$100,000 and that all such recipients shall certify and disclose
accordingly.
nsgea Form FI-iWA-1273 (Rev. 3-94)
ATTACHMENT A - EMPLOYMENT PREFERENCE FOR
APPALACHIAN CONTRACTS
(Applicable to Appalachian contracts only.)
1. During the performance of this contract, the contractor under-
taking to do work which is, or reasonably may be, done as on-site
work, shall give preference io qualified persons who regularly reside
in the labor area as designated by the DOI_ wherein the conlracl work
is situated, or the subregion, or the Appalachian counties of the Stale
wherein the conlracl 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 io employ
supervisory or specially experienced personnel necessary to assure
an efficient execution of the conlracl 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 1c shall not exceed 20 percent of
the total number of employees employed by the contractor on the
conlracl work, except as provided in subparagraph 4 below.
Z. The contractor shall place a job order with the State Employ-
ment Service indicating (a) the classifications of the laborers,
mechanics and other employees required to pedorm the contract
work, (b) the number of employees required in each classification,
(c) the date on which he estimates such employees will he required,
and (d) any other pertinent information required by the Stale Employ-
ment Service to complete the jab order form. The job order maybe
placed with the Stale Employment Service in writing or by telephone.
If during the course of the contract work, the information submdted by
the contractor in the original job order is substantially modified, he
shall promptly notify the Stale Employment Service.
3. The contractor shall give full consideration fo all qualified job
applicants referred to him by the Stale Employment Service. The
conlraclor is not required Io grant employment to any job applicants
whe, in his opinion, are not qualified to perform the classification of
work required.
4. If, within 1 week following the placing of a job order by the
conlraclorwith the State Employment Service, the Stale Employment
Service is unable to refer any qualified job applicants to the contrac-
tor, or less than the number requested, the Stale 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 1 c above.
5. 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.
Form FHWA-1273 (Rev. 3-9~1) Page~J