HomeMy WebLinkAboutFirst Amendment - Ceres Environmental Services, Inc.~ ode- a~a ~~
FIRST AMENDMENT
TO THE AGREEMENT BETWEEN THE CITY OF MIAMI BEACH, FLORIDA, AND
CERES ENVIRONMENTAL SERVICES, 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 Ceres Environmental Services, Inc, whose principal address is 1613
Foxworth Road, Bonifay, Florida 32425.
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 Ceres Environmental Services, 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 Ceres Environmental Services, 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:
J r e M G nzalez, City anager
Attest: CERES ENVIRONMENTAL SERVICES, INC
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( ) Print Name ,, ^--1 Q!'s~ECUTION
Print Name ( ) ,, ,~;~
~r
US. Department
of Transportation
Federal Highway
Administrotion
September l2, ?006
Mr. Denver .I. Stotler, :f r., J'.E.
SCCI"eta]"y Of Trallsp0l"tat1011
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
In Reply RclcrTo: 1-1 F'0-FL.
The purpose of this letter is to clarify the FHWA's requil"ements 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
clarify the email guidance issued by District 6 on July 11, 2006. Vhe agree there is a statewide
need to clarify the application of the ER criteria to emergency repair contracts, pel-Imanent
restoration projects, and work performed by state or local forces.
During 2004 and 2005 Florida was impacted by 8 hun"icanes resulting in substantial
reimburse-menl from FHWA's emergency relief program, for both emergency and permanent
repairs totaling over xl .5 billion, Due to the unprecedented impact of these storms on the
FHWA, the FDOT and local agencies, we were very lenient concerning contracting requiren7ents
and the documentation for emergency repairs for these events. As a result of this experience,
there is a need to il77prove both tl7e dan7age documentation and compliance with basic federal-aid
COl7tl"aCt I"egllll"e177entS. O'l pal'tlCUlal' i117p0I'tanCe lS the I7Ced f01' )__.OCaI Age17CIC5 t0 betteI'
1117C1e1'Stalld OLI1" 1'egtlll'el7lellt5.
Emel'~enc:y Repairs
Emergency repairs tll'C, thOSe I'epall"S dllI'117g (Imea[l]I1g a'ltCr landfall) alld llmll7eCli8l:ely fOllOWlilg 8
disaster, v,~hich can begin immediately without FI-IW~1's prior approval. Permanent repairs
require F1-IWA review and approval prior to contract: advertisement. To be eligible for
emergency repair the work perlOl'med 111USt a1WayS Imeet One Of the 1o110W117g thl'eG C011dIhOns:
1. To restore essential traffic
2. To minimize the extent of the damage
3. To protect tl7e remaininb facility
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Mr. Denver J. SttttIer, Jr., P.E
September 12, 2006
Please note that. based on current ER guidance, safety is not a consideratiot7 to-justify emergency
repair work.
DDIR Documentation:
For future eligible ER events, if the perforr77ance 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 n7aterial should be made available to our Transportation Engineer, and will be
attached to the DDIR at that tin7e. 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 work will not
be underway and will be perfom7ed 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 pen77anent restoration types of projects. These
requiremetlts catulot be waived just because there is a State or FEMA emergency declaration.
1-FHWA Form 1273, titled Standard Federal-aid Provisions, must be physically
incorporated (not referenced) into all prime and subcontractor contracts.
2. Davis-Bacon Wages Act; refer to http:%/~3~wu°.fl7ti~~a.dot.vovlconsl111Ct)OniccLt.`dbacon htm
3. Buy America
4. Disadvantaged Business Enterprises (DBE)
5. Americans with Disability Act (ADA)
6. Convict Labor Prohibition
Additior7ally, for en7etgency work it is important to remember to take the following into account:
1. Emerger7cy repair projects under the ER Program must comply with the requiretner7ts of
the National Environmental Policy Act (NEPA).
2. Negotiated or solicited contracts are allowed for emergency work, but their- use should be
minimized. Some type of competitive bids are the prefen-ed method.
3. Regardless of tl7c contract n7etl7ocl, there should be documentation on how contracts arc
j negotiated, solicited, or openly bid.
Mr. Denver ,I, Stutler,.Ir., P.L
September 12, ?006
Permanent work is handled just like a normal Federal-aid project, but can be expec(ited so long as
the rec{uircments are met. Permanent repairs require hC-1VdA review and approval in advance oi'
contract ac(vertiscment. A detailed engineer's estimate and competitive bids arc required like on
normal federal-aid projects, 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 Ff-iWA .Form 1273 and Davis Bacon provisions do not apply to state and local employees
pCl`EOl-Illlllg ER WOrIC by 101-Ce aCCOLiIII (aCtUal Cost of 1ab01', CgUlplllellt alld IllatBl'IaIS). A pllbhC
interest finding; is not required for emergency work, but is required if state or local employees
perform permanent work.
Use of.loint Participation Agreements (.EPA's) or Local Agency Probram (LAP) Atrreenlents
The FH WA has previously agreed to accept the use of JPA's for the performance of emergency
work. Local agencies must be LAP certified to perfbrnl permanent work.
if you have any questions, please contact Mr. Chris Richter at 942-9650
Sincerely,
/s/ .I. Chris Richter
For: David C. Gibbs
Division Administrator
Enclosure
ce: Mr. ,lames .lobe, FDOT (MS-21)
.IClt:aw~u bc: CR, 5G. RC S:TcchSystems\rR regs for crnilracts cC DDIR's.cloc Flle; ~U~
REQUIRED CONTRACT PROVISIDNS
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 ............
i ... 5
6
VIII. on . , .......
Safety: Accident Prevent ...
IX. False Statements Concerning Highway Projects ... ... 6
X. Implementation of Clean Air Acl and Federal
Water Pollution Control Aci ................... ... 6
XI. Certification Regarding Debarment, Suspension,
Ineligibility, and Voluntary Exclusion ............ ... 6
XII. Certification Regarding Use of Contract Funds for
Lobbying ................................. ... 8
related subcontracts of $10,000 or more.}
1. EqualEmploymentOpportunity: Equalemploymenlopportu-
nity (EEO) requirements not to discriminate and to lake affirmative
action to assure equal opportunity as set forth under laws, executive
orders, rules, regulations (28 CFR 35, 29 CFR 1630 and 41 CFR 60)
and orders of the Secretary of Labor as modified by the provisions
prescribed herein, and imposed pursuant to Z3 U.S.C. 140 shall
constitute the EEO and specific affirmative action standards for the
contractor's project activities underthis contract. The Equal Opportu-
nity Construction Conlracl 5pecificalions set forth under 41 CFR 60-
4.3 and the provisions of the American Disabilities Act of 1990 (42
U.S.C. 12101 et sew.) set forth under 28 CFR 35 and 29 CFR 1630
are incorporated by reference in this contract. In the execution of this
contract, the conlraclor agrees to comply with the following minimum
specific requirement activities of EEO:
ATTACHMENTS
A. Employment Preference for Appalachian Contracts
(included in Appalachian contracts only)
I- GENERAL
1. These contract 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 superinten-
denceand to all work performed on the contract by piecework, station
work, or by subcontract.
2. Except as otherwise provided for in each section, the conlraclor
shall insert in each subcontract all of the stipulations contained in
these Required Contract Provisions, and further require their
inclusion in any lower tier subcontract or purchase order that may in
tum be made. The Required Conlracl 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 o(any of the stipulations contained in these Required
Conlracl Provisions shall be sufficient grounds for ierminaiion of the
contract.
4. A breach of .the following clauses of the Required Conlracl
Provisions may also be grounds for debarment as provided in 29
CFR 5.12:
Section I, paragraph 2;
Suction IV, paragraphs 1, 2, 3, 4, and 7;
Section V, paragraphs 1 and 2a Through 2g.
5. Disputes arising out of the labor standards 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 (DOL1 asset forth in 29
CFR 5, 6, 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 pedormance of this contract,
the contractor shall not:
a. discriminate against Iaborirom any other State, possession,
or territory of the United Stales (except for employment prelerence for
Appalachian conlrecls, when applicable, as specified in Attachment
A}, or
b. employ convict labor for any purpose within the limits of the
project unless it is labor performed by convicts who are on parole,
supervised release, or probation.
II. NONpISCRIMINATION
(Applicable to all Federal-aid constnrclion conlracls and to all
a. The contractor will work with the Slate highway agency
(SHA) and the Federal Govemmenl 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 to their race, religion, sex, color, national origin,
age or disability. Such action shall include: employment,
upgrading, demotion, or transfer; recruitment or recruitment
advertising; layoff or termination; rates of pay or other corms 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 officers an EEO Officer who will have the
responsibililyforond 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 Poficy: All members of the contractor's staff
who are authorized to 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 contractors 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:
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 time 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 OHlcer, covering all major
aspects of the contractor's EEO obligations within thirty days
following their reporting for duty with the contractor.
c. All personnel who are engaged in direct recruitment far the
project will be instructed by the EEO Officer in the conlraclor'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 atlenlion of employees by
means of meetings, employee handbooks, or other appropriate
means.
4. Recruitment: When advertising for employees, the conlraclor
will include in all adverUSements for employees Rte notation: "An
Equal Opportunity Employer." All such advertisements will he placed
Form FFIWA-1273 (Rev. 3-94) ~'°4C ~
in publications having a large circulation among minoritygroups 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 sVSlematic 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 may be referred le the conlraclor for employment consider-
ation.
b. In the event the conlraclor has a valid bargaining agreement
providing for exclusive hiring hall referrals, he is expected to observe
the provisions o1 that agreement to the exlentlhal the system permits
the contractor's compliance with EEO contract provisions. (The DOL
has held Ihal where implemenlalion of such agreements have the
effect of discriminating against minorities or women, or obligates the
contractor to do the same, such implemenlalion violates Executive
Order 11246, as amended.)
c. The conlraclor will encourage his present employees to 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 termination, shall be taken without regard to
race, color, religion, sex, national origin, age or disability. The
following procedures shat! be followed:
a. The conlraclor 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 contractor 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 discdmina-
lion. Where evidence is found, the contractor will promptly lake
corrective action. If the review indicates (hat the discrimination may
extend beyond the actions reviewed, such corrective action shall
include all affected persons.
d. The contractor will promptly investigate aft complaints of
alleged discrimination made to the contractor in connection with his
obligations under this contract, will attempt to resolve such com-
ptainls,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. .
h. Consislentwilh the contractor's workforce requirements and
as permissible under Federal and stale regulations, the conlraclor
shall make full use of training programs, i.e., apprenticeship, and
on-the-job (raining programs for the geographical area of contract
pedormance. 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 provisionfor training is provided under
this contract, this subparagraph will be superseded as indicated in the
special provision.
c. The conlraclor will advise employees and applicants for
employment of available training programs and entrance require-
ments for each.
d. The conlraclor will periodically review the training and
promotion potential or minority group and women employees and will
encourage eligible employees to apply for such training and promo-
tion.
7. Unions: If the conlraclor relies in whole or in part upon unions
as a source of employees, the conlraclor will use his/her bell eilorts
to obtain the cooperation 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 1o develop, in coopera-
tion with the unions, join( 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 they 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 1o 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 extent
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
fodh what efforts have been made to obtain such information.
d. In Ifie event the union is unable to provide the contractor
with a reasonable flowoi minority and women referrals within the time
limit set forth in the collective bargaining agreement, the contractor
will, through independent recruitment efforts, fill the employment
vacancies without regard to race, color, religion, sex, national origin,
age or disability; making full efforts to obtain qualified and/or
qualifiable minority group persons and women. (The DOL has held
that it shall be no excuse that the union with which the conlraclor has
a collective bargaining agreement providing for exclusive referral
failed to refer minority employees.) In the event the union referral
practice prevents the contractor from meeting the obligations
pursuant to Executive Order 11246, as amended, and these special
provisions, such conlraclor shall immediately notify the SHA.
8. Selection of Subcontractors, Procurement of Materials and
Leasing of Equipment: The contractor shall no[ 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 leases of equipment.
a. The contractor shaft notify aft potential subcontractors and
suppliers of his/her EEO obligations under this contract.
b. Disadvantaged business enterpdses (DBE), as defined in 49
CFR 23, shall have equal opportunity to compete far and perform
subcontracts which the conlraclor enters into pursuant to this
contract. The contractor will use his best efforts to solicit bids from
and to utilize DBE subcontractors or subcontractors with meaningful
minority group and female representation among their employees.
Contractors shall obtain lists of DBE construction firms from SHA
personnel.
c. The conlraclor will use his bell efforts to ensure subcontrac-
tor compliance with Iheir EEO obligations.
9. Records and Reports: The contractor shall 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 aultlorized representatives of the
SHA and the FHWA.
a. The records kept 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 anti women;
(3) The progress and eflorls being made in locating, hiring,
training, qualifying, and upgrading minority and female employees;
and
(4) The progress and efforts being made in securing the
services at DBE subcontractors ai subconlraclors with meaninglul
minority and female representation among their employees.
b. The contractors will submit an annual report to the SHA
i,~ijiz Form FHWA-'1273 (Rev. 3-94)
each July for the duration of fhe project, indicating the number of
minority, women, and non-minority group employees currently
engaged in each work classification required by the contract work.
Thrs in(orrnation is to be reported on Form FFIWA-1391. If on-Ihe
job training is being required by special provision, the contractor will
be required to collect and report training data.
III. NONSEGREGATED FACILITIES
(Applicable to all Federal-aid construction contracts and to all
related subcontracts of $10,OOD or more.)
a. ey 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 conslruc-
lion contractor, subcontractor, material supplier, or vendor, as
appropriate, certifies that the firm does not maintain or provide for its
That the firm does not permit its employees to perform their services
at any location, under its control, where segregated facilities are
maintained. The firm agrees that a breach of this ceriificalion 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 facilities"
means any waiting rooms, work areas, reslrooms and washrooms,
restaurants and other eating areas, timeclocks, locker rooms, and
other storage or dressing areas, parking lots, drinking fountains,
custom, or otherwise. The only exception will be for the dtsablec
when the demands for accessibility override (e.g. disabled parking).
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 ofmaterial
supply agreements of $10,D00 or more and that it will retain such
certifications in its files.
IV. PAYMENT OF PREpETERMINEQ MINIMUM WAGE
(Applicable to all Federal-aid construction contracts exceeding
$2,OD0 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 wilt be paid unconditionally and not less often than
once a week and without subsequent deduction or rebate on any
account ;except such pavroll deductions as are permitted by
fide cringe benefits (or cash equivalents thereof) due at lane of
payment. The payment shall be computed of wage roles not less
than those contained in the wage determination of the Secretary of
Labor (hereinafter"the wage determination") which is attached'hereto
and made a pari hereof, regardless of any contractual relationship
which may be alleged to exist between the contractor or its subcon-
lraclorsand such laborers and mechanics. The wage determination
(including any additional classifications and wage rates conformed
under paragraph 2 of this Section tV and the DOL poster (WH-1321)
or Form FHWA-1495) shall be posted at all times by fhe conlraclor
can be easily seen by the workers. For Ihe
contributions made or costs reasonably
ringe benefits under Section 1(b)(2) of the
~. 276a) on behalf of laborers or mechanics
d to such laborers or mechanics, subject to
~ IV, paragraph 3b, hereof. Afso, for the
b. Laborers or mechanics performing work in more than one
classification may be compensated at the rate specified for each
classification for the lime actually worked therein, provided, that the
employer's payroll records accurately set forth fhe time spent in each
classification in which work is pedormed.
c. All rulings and interpretations of fhe Davis-Bacon Act and
related acts contained in 29 CFR 1, 3, and 5 are herein incorporated
by reference in this contract.
2. Classification
a. The SI-tA contracting officer shall require that any class of
laborers or mechanics employed under the contract, which is not
listed in the wage determination, shall be classified in conformance
with the wage determination.
b. The contracting officershall approve an additional classifica-
tion, wage rate and fringe benefits only when the following criteria
have been met:
(1) the work to be performed by the additional classifica-
tion requested is not performed by a classification in the wage
delerminalion;
(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 (if known) to be employed in the additional
classification or their representatives, and the contracting officer
agree on the classification and wage rate (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,
Administrator of the Wage and Hour Division, Employment Standards
Administration, Washington, D.C. 20210. The Wage and 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 conlracl-
ing officer within the 3D-day period that additional time 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 -he wews of all
interested parties and the recommendation of the contracting officer,
to the Wage and Hour Administrator for determination. Said
Administrator, Oran authorized representative, will issue a delermina-
lion within 30 days of receipt and so advise the conlracling officer or
will notify the conlracling 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 first dayon which work is performed in the classification.
3. Payment of Fringe Benefits
a. Whenever the minimum wage rate prescribed in the contract
fora class of laborers or mechanics includes a fringe benefit which
is not expressed as an hourly rate, the conlraclor or subcontractors,
as appropriate, shall either pay the benefit as stated in the wage
delerminalion or shall pay another bona fide fringe benefit or an
hourly case equivalent thereof.
purpose of this Section, regular contributions made or costs incurred
for more than a weekly period (but not less often than quarterly) b. II Ihe conlraclor or subcontractor, as appropriate, does not
under plans, funds, or programs, which cover the particular weekly make payments to a Trustee or other third person, helshe may
period, are deemed to be constructively made or incurred during such consider as a parr of the wages of any laborer or mechanic the
weekly period. Such laborers and mechanics shall be paid Ihe amount of any costs reasonably anticipated in providing bona fide
appropriate wage rate and fringe benefits nn Ihe wage delerminalion fringe benefits under a plan yr program, provided, that the Secretary
for the classification of work actually performed, without regard to of Labor has found, upon the wnlten request of the contractor, that
skill, except as provided in paragraphs 4 and 5 of this Section IV. the applicable standards of the Davis-Bacon Act have been met. The
Secretary of Labor may require the conlraclor to set aside in a
separate account assets for the meeting of obligations under the plan
I or program.
I.
Form FHWA-1273 (Rev. 3-94)
Page 3
4. Apprentices and Trainees (Programs of the U.S. DOL) and
Helpers:
a. Apprentices:
(1) Apprentices will be permitted to work at less than the
predetermined rate for the work they performed when they are
employed pursuant to and individually registered in a bona fide
apprenticeship program registered with bhe DOL, Employment and
Training Administration, Bureau of Apprenticeship and Training, or
with a Stale apprenlireshipogency recognized by the Bureau, or if a
person is employed in his/her first 90 days of probationary employ-
ment as an apprentice in such an apPrenliceship program, who is not
the Bureau of Apprenticeship and Training or a
agency (where appropriate) to be eligible for
ment as an apprentice.
(2) The allowable ratio of apprentices to journeyman-level
employees on the job site in any craft classification shall no! be
greater than the ratio permitted to the contractor as to the entire work
force under the registered program. Any employee fisted on a payroll
at an apprentice wage rate, who is not registered or otherwise
employed as stated above, shall be paid not less than the applicable
wage rate fisted in the wage determination for the classification of
work actually performed. In addition, any apprentice 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
wage determination for the work actually pertormed. 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
must be paid at not less than the rate
~nram for the aoorentice's level of
Determines root a
apprentice classific
deterrninalion.
the
{4) In the event the Bureau of Apprenticeship and Training,
or a Stale apprenticeship agency recognized by the Bureau, with-
draws approval of an apprenticeship program, the contractor or
subcontractor will no longer be permitted to utilize apprentices at less
than the applicable predetermined rate for the comparable work
performed by regular employees until an acceptable program is
approved.
b. Trainees:
(1) Except as provided in 29 CFR 5.16, trainees will not be
permitted to work at less than the predetermined rate for the work
pertormed unless they are employed pursuant to and individually
registered in a program which has received prior approval, evidenced
by formal certification by the DOL, Employment and Training
Administration.
(2) The ratio of trainees tojourneyman-level employees on
the job site shall not be greater Than permitted under the plan
approved by the Employrnenl and 7raininy Administration. Any
employee listed on the payroll a! a trainee rate who is not registered
and participating in a training plan approved by the Employment and
Training Administration shall be paid not less Than the applicable
wage rate on the wage delerminalion for the classification of work
actually performed. In addition, any Trainee pedorming work on the
joh 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 pertormed.
(3) Every trainee must be paid al not less than the rate
specified in the approved program for hislher level of progress,
expressed as a percentage of the journeyman-level hourly rate
specified in the applicable wage delerminalion. Trainees shall be
paid fringe benefits in accordance with the provisions of the trainee
program. If Itre trainee program does not mention fringe benefits,
Irainees shall be paid the full amount of fringe benefits lisleci on the
wage delerminalion unless the Administrator of the Wage and Hour
Division determines that there is an apprenticeship program associ-
ated with the correspondingjourneyman-level wage raleon the wage
deierminalion 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 Adminisira-
lion withdraws approval of a training program, the contractor or
subcontractor will no longer be permitted to utilize Irainees at less
than llre 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
deierminalion 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-
tionfor the classification of work actually pertormed.
5. Apprentices and Trainees (Programs of the U.S. DOT):
Apprentices and Irainees working under apprenticeship and skill
training programs which have been certified by the Secretary of
Transportation as promoting EEO in connection with Federal-aid
highway construction programs are not subject to the requirements
of paragraph A of this Section IV. The straight time hourly wage rates
for apprentices and trainees under such 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 SHA shall upon its own action or upon wdhen request 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 contractor, 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 subconlrac-
torthe full amount of wages required by the contract. In the event of
failure to pay any laborer or mechanic, including any apprentice,
Trainee, or helper, employed or working on the 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 anyfurtherpaymenl,advance,
or guarantee of funds until such violations have ceased.
7. Overtime Requirements:
No conlracfor or subcontractor conlracling for any pars of the
conlracl 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 m any
workweek in which lielshe is employed on such work, to work in
excess of 4U hours in such workweek unless such laborer, mechanic,
watchman, or guard receives compensation at a rate not less than
one-and-one-half limes his/her basic rate of pay for all hours worked
in excess of 4D hours in such workweek.
8. Violation:
Liability for Unpaid Wages; Liquidated Damages: In the event
of any violation of the clause set forth in paragraphs 7 above, the
conlracfor and any subcontractor responsible thereof shall be liable
Io the aifecled employee for his/her unpaid wages. In addition, such
conlracfor and subcontractor shall be liable to the United States (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 employyed in
violation of the clause set forth in paragraph 7, in the sum of T1U for
each calendar day on which such employee was required or permit-
ted 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
9. Withholding for Unpaid Wages and Liquidated Damages:
r'.gen Form FHWA-1273 (Rev. 3-9A)
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 ar subcontractor under any such contract or any other
Federal conlracl with the same prime contractor, or any other
Federally-assisted contract subject to the Contract Work Hours and
Safety Standards Act, which is held by the same prime contractor,
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
(Applicahle to all Federal-aid construction contracts exceeding
$2,000 and io all related subcontracts, excepllor 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 far a period o! 3 years from the
date of completion of the contract for all laborers, mechanics,
apprentices, trainees, watchmen, helpers, and guards working at the
site of the work.
b. The payroll records shall contain the name, social security
number, and address of each such employee; his or her correct
classifiicalion; hourly rates o(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 Ac!); 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 to 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 descdbed in Section 1(b)(2)(B) of the Davis Bacon Acl, the
conlraclor 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 writing to the laborers or mechanics
affected, and show the cost anticipated or the actual cost incurred in
providing benefits. Contractors or subcontractors employing
apprentices or trainees under approved programs shat! maintain
written evidence of the registration of apprentices and trainees, and
ratios and wage rates prescribed in the applicable programs.
c. Each contractor and subcontractor shall furnish, e
in which any contract workrs performed, to the SHA
engineer a payroll of wages paid each of its employees I
apprentices, Trainees, and helpers, described in Section
graphs 4 and 5, and watchmen and guards engaged on we
the preceding weekly payroll period). The payroll submillec
out accurately and completely a!I of the information requi
maintained under paragraph 2b of this Section V. This in
may be submitted in any form desired. Optional Form N
availahle fnr this numnse and may be ourchased from the
'.C. 20402. The prime
01 copies of payrolls by
d. Each payroll suhmilled shall be accompanied by a "Stale-
menl of Compliance," signed by the contractor or subcontractor or
hislher agent who pays or supervises the payment of the persons
employed under the conlracl and shalt cerlily the following:
(1) that the payroll for the payroll period contains the
information required to be maintained under paragraph 2.b of this
Section V and that such information is correct and complete;
(2) that such laborer ar 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 lire full wages earned, other than
permissible deductions as set forth in fife 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 pednrmed, as specified in the
applicable wage determination incorporated into the conlracl.
e. The weekly submission of a properly executed cerlificalion
set forth on [he 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.
f. The falsification of any of the above certifications may
subject the contractor to civil or criminal prosecution under 18 U.S.C.
1001 and 31 U.S.C. 231.
g. The contractor or subcontractor shall make the records
required under paragraph 26 of this Section V available for inspec-
tion, copying, or transcription by authorized representatives of the
SHA, the FHWA, or the OOL, and shall permit such representatives
to interview employees during working hours on the job. 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 contractor, 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.
Vt. RECORD DF MATERIALS, SUPPLIES, AND LA80R
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 farce account or direct labor basis, highway beautification contracts,
and contracts for which the total final construction cost for roadway
and bridge is less than $1,000,000 (23 CFR 635) the contractor shall:
a. Become familiar with the list of specific materials and
supplies contained in Form FHWA-47, "Statement of Materials and
Labor Used by Contractor 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 materials 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 ib relative to 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 contract 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 Stale.
Specially items maybe 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 directly by the prime conlraclor and
equipment owned or rented by the prime contractor, with or without
operators. Such term does not include employees or equipment of
Form FHWA-1273 (Rev. 3-94) naae s
a subcontractor, assignee, or agent of the prime conlraclor.
b. "Specially Items" shall be conslrueci to be limited to work
Ihal 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 tc minor components of the overall contract.
2. The contract amount upon which the requirements set forth in
paragraph 1 oT Section VII is computed includes the cost of material
and manufactured products which are to be purchased or produced
by the conlraclor under the contract 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 performs the work) and (b) such other of its own organizational
resources (supervision, management, and engineering services) as
the SHA contracting officer determines is necessary to assure the
pedormance of the contract.
4. No portion of the conlracl shall be sublet, assigned or otherwise
disposed of except with the written consent of the SHA contracting
officer, or authorized representative, and such consent when given
shall not be construed to relieve the conlraclor 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, Slate, and local laws governing safely,
health, and sanitation (23 CFR 635). The conlraclor shat) provide all
safeguards, safely 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 by~ihe conlracl.
2. It is a condition o1 this contract, and shall be made a condition
of each subcontract, which the contractor enters into pursuant to this
contract, that the contractor and any subcontractor shall not permit
any employee, in performance of the conlracl, ie work in surround-
ings or under conditions which are unsanitary, hazardous or danger-
ous to hislher 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 conlracl that
the Secretary of Labor or authodzed representative thereof, shall
have right of entry to any site of contract performance to inspect or
investigate the matter ei 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 contnr-
mitt' with approved plans and specifications and a high degree of
reliability on statements and representations made by engineers,
~ contractors, suppliers, and workers on Federal-aid highway projects,
I ii is essential that all persons concerned with ttte project pedorm their
functions as carefully, thoroughly, and honestly as possible. Willful
related to the project is a violation of Federal law. I o prevent ar
misunderstanding regarding the seriousness of Ihese and simil
acts, the following notice shall be posted on each Federal-a
highway project (23 CFR 635) in one or more places where it
readily available to all persons concerned wily the project:
NOTICE TO ALL PERSONNEL ENGAGED ON FEDERAL-AID
HIGHWAY PROJECTS
18 U.S.C. 102D reads as follows:
"Whoever, being an officer, agent, or employee of the United
States, or o/ an}~ State or Territory, or whoever, whether a person,
association, Iirm, or corporation, Inowingly rnaJses any false state-
nrent, false represenlalion, orlalse report as to the character, quality,
quantity, or cost of the material used or to be used, or the quantity or
qualify of the work performed or to be performed, or the cost thereof
in connection with the submission of plans, maps, speci(ications,
contracts, or costs of construction on any highway or related project
submitted (or approval to the Secretary of Transportation; or
Whoever knowingly makes any false statement, false representa-
tion, false report or false claim with respect to the character, quality,
quantity, or cost of any work performed or to be performed, or
materials furnished or to be furnished, in connection with the
construction of any highway or related project approved by the
Secretary of Transportation; or
Whoeverknowinglymakesony false statement orfalse representa-
tion as to material tact in any statement, certificate, or report
submitted pursuant to provisions of the Federal-aid Roads Acl
approved July 1, f916, (39 Stat. 355J, as amended and supple-
mented;
Shall be Jined not more that $10,000 orimprisoned not more than
5 years or both."
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 $100,000 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. Thal any facility that fs or will be utilized in the performance of this
contract, unless suoh conlracl is exempt under the Clean Air Act, as
amended (42 U.S.C. 1857 et seg., as amended by Pub.L. 91-604),
and under the Federal Water Pollution Control Acl, as amended {33
U.S.C. 1251 el sue., as amended by Pub.L. 92-500), Executive Order
11738, and regulations in implementation thereof (40 CFR 15) is not
listed, on the dale of contract award, on the U.S. Environmental
Protection Agency (EPA) List of Violating Facilities pursuant to 40
CFR 15.20.
2. That the firm agrees fo comply and remain in compliance with all
the requirements of Section 114 of the Clean Air Acl and Section 308
of the Federal Water Pollution Control Act 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 Ihat a facility that is or will be utilized for 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 suoh action as the
govemmenl may direct as a means of 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
primary participant is providing the cerlificalion set out below.
b. The inability of a person le provide the certification set out
below will not necessarily result in denial of pariicipalion in this
covered lransaclion. The prospective parlicipanl shall submit an
explanation of why it cannot provide the certification set out below.
The certification or explanation will be considered in connection with
the department or agency's determination whether to enter into this
transaction, Flowever, failure o1 the. prospective primary parlicipanl
to lurnish a cerlilicalion or an explanation shall disqualify such a
person from parlicipalion in This transaction.
c. The certification in this clause is a material represenlalion
of fact upon which reliance was placed when the department or
agency determined to enter into this lransaclion. If it is later deler-
mined that the prospective primary parlicipanl knowingly rendered an
erroneous certification, in addition to other remedies available to the
Federal Government, the department or agency may terminate this
Hager, Form Ff-IWA-1273 {Rev. 3-94)
lransaclion for cause of default.
d. The prospective primary participant shall provide immediate
written police to the department or agency to whom this proposal is
submitted if any lime the prospective primary participant learns that
its cedificalion was erroneous when submitted or has become
erroneous by reason of changed circumstances.
e. The terms "covered lransaclion," "debarred," "suspended,"
"ineligible," "lower tier covered lransaclion,"'participant," "person,"
"primary covered transaction," "principal,""proposal," and "voluntarily
excluded," as used in this clause, have the meanings set out in the
Definitions and Coverage seclrons of rules implementing Executive
Order 12549. You may contact the deparlmenl or agency to which
this proposal is submitted for assistance in obtaining a copy of Ihose
regulations.
f. The prospective primary participant agrees 6y submitting this
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 tram participation in this covered transaction,
unless authorized by the department or agency entering into this
transaction.
g. The prospective primary participant further agrees by
submitting this proposal that it will include the clause titled "Certifica-
tion Regarding Debarment, Suspension, Ineligibility and Voluntary
Exclusion-Lower Tier Covered Transaction," provided by the
department or agency entering into Phis covered lransaclion, without
modification, in all lower Fier covered transactions and in all solicita-
tions {or lower tier covered transactions.
h. A participant in a covered transaction may rely upon a
certification of a prospective padicipanl in a lower tier covered
transaction that is not debarred, suspended, ineligible, or voluntarily
excluded irorn the covered transaction, unless it knows that the
certification 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 nonprocurement
portion of the "Lists of Padies Excluded From Federal Procurement
or Nonprocurement Programs" (Nonprocurement Lisf) which is
compiled by the General Services Administration.
i. Nothing contained in the foregoing shall be construed fo
require establishment of a system of records in order to render in
good faith the certification required by this clause. The knowledge
and iniormalion of participant is not required to exceed that which rs
normally possessed by a prudent person in the ordinary course of
business dealings.
j. Except for transactions authorized under paragraph f of
these instructions, if a participant in a covered transaclron 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 Government, the department 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 participant certifies to the best of its
knowledge and belief, that it and its principals:
a. Are not presently debarred, suspended, proposed for
debarment, declared ineligible, or voluntarily excluded from covered
transactions by any Federal deparlmenl or agency;
b. Have not within a 3-year period preceding This proposal
been convicted of or had a civil judgement rendered against them for
commission of fraud or a criminal offense in connection with obtain-
ing, attempting to obtain, or performing a public (Federal, Slate or
local) lransaclion or contract under a public lransaclion; violation of
Federal or Stale antitrust statutes or commission of embezzlement,
theft, forgery, bribery, falsification or destruction of records, making
false statements, or receiving sloven properly;
c. Are not presently indicted for orolherwise criminally orcivilly
charged by a governmental entity (Federal, State or focal) with
commission of any of the offenses enumerated in paragraph 16 of
this certification; and
d. Have not within a 3-year period preceding this applica-
lionlproposal had one or more public transactions (Federal, State or
local) terminated For cause or default.
2. Where the prospective primary padicipanl is unable to certify to
any of the statements in this certification, such prospective padicipanl
shall attach an explanation to this proposal.
2. Instructions for Certification -LowerTier Covered Transac-
lions:
(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 certification set out below.
b. The cedificalion 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 certification, in addition
io other remedies available to the Federal Government, the depart-
ment, or agency with which this transaction originated may pursue
available remedres, including suspension and/or debarment.
c. The prospective lower tier padicipanl shall provide immedi-
ate written notice io the person to whtch thrs proposal is submitted it
at any time the prospective lower tier participant learns that its
certification was erroneous by reason of changed circumstances.
d. The terms "covered lransaclion," "debarred," "suspended,"
"ineligible," "primary covered transaction," "padicipanl," "person,"
"principal,' proposal," and "voluntarily excluded," as used in this
clause, have the meanings set out in the Definitions and Coverage
sections of rules implementing Executive Order 12549. You may
contact the person to which this proposal is submitted for assistance
in obtaining a copy o1 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 parlicipalion in Ihis covered
lransaclion, unless authorized by the deparlmenl or agency with
which this lransaclion originated.
i. The prospective lower tier padicipanl further agrees by
submitting this proposal Ihal it will include Ihis clause filled "Certifica-
tion Regarding Debarment, Suspension, Ineligibility and Voluntary
Exclusion-Lower Tier Covered Transaction," without modification, in
all lower tier covered lransaclions and in all solicitations for lower tier
covered lransaclions.
g. A participant in a covered U'ansaclion may rely upon a
cedificalion of a prospective padicipanl in a lower tier covered
transaction that is not debarred, suspended, ineligible, or voluntarily
excluded from the covered lransaclion, unless it knows that the
certification is erroneous. A participant may decide the method and
Form FFIWA-1273 (Rev. 3-94) F~ae~
frequency by which it determines the eligibility of its principals. Each
parlicipanl may, but is not required to, check the Nonprocurement
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 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.
I. Except for transactions authorized under paragraph a of
these instructions, if a participant in a covered iransaclion knowingly
enters into a lower tier covered transaction with a person who is
suspended, debarred, ineligible, or voluntarily excluded from
participation in ibis iransaclion, 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.
Certification Regarding Debarment, Suspension, Ineligibility
and Voluntary Exclusion-Lower Tier Covered Transactions:
1. The prospective lower tier participant 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 from participation in this transaction by any Federal
department or agency.
2. Where the prospective lower tier participant is unable to certify
to any of the statements in this certification, such prospective
padicipant 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 - 49 CFR 20}
1. The prospective parlicipanl certifies, by signing and submilUng
this bid or proposal, to the best of his or her knowledge and belief,
that:
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
awardiny 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 influencng or attempting
to influence an officer or employee o(any Federal agency, a Member
of Congress, an officer or employee of Congress, or an employee of
a Member o(Congress in connection with this Federal contract, grant,
loan, or cooperative agreement, the undersigned shall complete and
submit Standard Forrn-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 Ibis transaction was made or entered into.
Submission of this cerlificalion is a prerequisite for making or entering
into this iransaclion 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 $100,000 for each such
failure.
3. The prospective participant also agrees by submitting his or her
bid or proposal that he or she shall require that the language of this
certification be included in all lower tier subcontracts, which exceed
$1D0,000 and that all such recipients shall certify and disclose
accordingly.
~,~eo Form FhiWA-1273 (Rev. 3-94)
ATTACHMENT A - EMPLOYMENT PREFERENCE FOR
APPALACHIAN CONTRACTS
(Applicable to Appalachian contracts only.)
~~ 1. During the performance of this conlracl, the contractor under-
i taking 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 conlracl work
is situated, or the subregion, or ilte Appalachian counties of the Stale
wherein the conlracl work is situated, except:
a. To the extent that qualified persons regularly residing in
llie area are not available.
b. For the reasonable needs of the conlracfor to employ
supervisory or specially expedenced personnel necessary to assure
an efficient execution of the contract work.
c. For the obligation of the contractor to offer employment to
present or Tormer employees as the result o(a lawful collective
bargaining conlracl, provided that the number of nonresident persons
employed under this subparagraph 1 c shall not excoed 20 percent o1
the total number of employees employed by the contractor on the
contract work, except as provided in subparagrapfi 4 below.
2. Ttre conlracfor shall place a job order with the Stale Employ-
ment Service indicating (a) the classifications of the laborers,
mechanics and other employees required to pedorm the conlracl
work, (b) the number of employees required in each classification,
(c) the dale on which he estimates such employees will be required,
and (d) any other pertinent information required by the Stale Employ-
ment Service to complete the job order farm. The job order may be
placed with the Stale Employment Service in writing or by telephone.
If during the course o1 the contract work, the information submitted 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 to all qualified job
applicants referred to him by the Slate Employmertl Sarvice. The
contractor is not required to gran) employrnenl to any job applicants
wtto, in his opinion, are not qualified le perform the classification of
work required.
4. If, within 1 week following the placing of a job order by the
conlractorwith the Slate Employment Service, the State Employment
Service is unable to refer any qualified job applicants to the contract
tor, or less than the number requested, ifte Stale Employment
Service will forward a certificate io Ilte contractor indicating the
unavailability of applicants. Such certificate shall be made a part of
the contractor's perrnanenl 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 fhe cedificale,
notwithstanding the provisions of subparagraph is above.
5. The contractor shall include the provisions of Sections 1
Through 4 of lttis Atlachmeni A in every subcontract for work which is,
or reasonably may be, done as on-site work.
Form FHWA-1273 (Rev. 3-94) ~ageg