HomeMy Public PortalAboutORD12696 4
BILL NO. 7••109
SPONSORED BY COUNCILMAN Vincent
ORDINANCE NO.
r • ) AN ORDINANCE OF THE CITY OF JEFFERSON, MISSOURI, AUTHORIZING THE
1 MAYOR AND CITY CLERK TO ENTER INTO A SUPPLEMENTAL AGREEMENT WITH
I THE MISSOURI HIGHWAY AND TRANSPORTATION DEPARTMENT FOR PEDESTRIAN
i
BICYCLE FACILITIES ALONG WEARS CREEK.
' BE IT ENACTED BY THE COUNCIL OF THE CITY OF JEFFERSON, MISSOURI, AS
FOLLOWS:
4
Section 1. The Mayor and City Clerk are hereby authorized to enter into a
supplemental grant agreement with the Missouri Highway and Transportation Department
for pedestrian bicycle facilities along Wears Creek from Stadium Boulevard to Southwest
Boulevard. E
Section 2. The agreement shall be substantially the same in form and content as
that agreement attached hereto as Exhibit A.
}
Section 3. This Ordinance shall be in full force and effect from and after the date x
of its passage and approval.
Passed: 7-�CC- I t /p P 7 Approved:`
r ' Presiding Officer� Mayor
j ATTEST: APPROVED AS TO FORM: �
hi"{ Clty Clerk ity Counselor
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CCO FORM: TP3 City of Jefferson City
Approved: 10/97 (BDG) Project No..STP-3111(504)
Modified: 10/97-(BDG)
TRANSPORTATION ENHANCEMENT FUNDS
FIRST SUPPLEMENTAL AGREEMENT
THIS FIRST SUPPLEMENTAL AGREEMENT is entered into by the Missouri
Highway and Transportation Commission (hereinafter, "Commission") and Jefferson
City (hereinafter, "City").
WITNESSETH:
WHEREAS, on October. 18, 1995, the Commission and the City previously
entered into a Transportation Enhancement Funds Agreement as to public
improvements designated as City of Jefferson City, Cole County, Project No.
STP-3111(504), for the construction of Pedestrian/Bike trail along Wears Creek from
Stadium Boulevard to Southwest Boulevard, (hereinafter, "Original Agreement"); and
WHEREAS, the Commission and the City desire to revise the Original
Agreement to extend the period of time for the-City to obtain final approval of the Plans,
Specifications and Estimate for this project as covered in Paragraph (14)(B) of the
Original Agreement.
NOW, THEREFORE, in consideration of the mutual covenants, promises and
representations contained herein, the parties agree as follows:
(1) REVISION OF PARAGRAPH REVISION OF PARAGRAPH (14�): Paragraph (14)(B) of the Original
Agreement is removed and replaced with the following:
(14) REIMBURSEMENT:
(B) In the event that the Sponsor does not receive final approval
for the Plans, Specifications and Estimate for this project by November 14, 1997,
the City agrees to reimburse the Commission for any monies
previously reimbursed to the City under this Agreement.
(2) ORIGINAL AGREEMENT: Except as otherwise modified, amended, or
• supplemented by this First Supplemental Agreement, the Original Agreement between
the parties shall remain in full force and effect.
IN WITNESS WHEREOF, the parties have entered into this Agreement on the
date last written below. 22 '/�
Executed by the City this d day of &4C,. , 19 g� .
Executed by the Commission this 'day of i�)e ce w, err , 19-9-7 .
MISSOURI HIGHWAY AND City of Jefferson
TRANSPORTATION COMMISSION
By
Title: Deputy Chief Engineer Title:
•
ATTEST:
By &fttza
Secretary to the Commission
Title:
Approved as to Form: Approved as to Form:
Aol&/
Ti#ae:
ommi sion Counsel CITY CAVIV5,gLD0.
Ordinance No. 1-�-
ACKNOWLEDGMENT BY CITY
r '
STATE OF It I
COUNTY OF at& ) ss
On this3"A day of 1( eY v.�, 19q7 before, me appeared
a Scu ' c tk personally known to me, who belpq by me duly sworn, did
say tha .he he is the of the City of �2etSU� and that the
foregoing Instrument was si ned and sealed on behalf of the City of
Se_ r- and thatAQshe acknowledged said instrument to be the free act
and deed of the City of' -e��c� and that it w
- as executed for the
consideration stated therein and no other.
IN TESTIMONY WHEREOF, I have hereunto set my hand and affixed my official
seal in the county and state aforesaid the day and year written above.
Notary Public =
My Commission"Expires: C &5U-1,
Tro D BookerNrAgiry"dunlic,S atecalOf ayi QUO
My Commission exp.90/01999
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REQUIRED CONTRACT PROVISIONS
FEDERAL-AID CONSTRUCTION CONTRACTS
Page a. discriminate against labor from any other State, posses-
I. General ....................................................................... 1 sion, or territory of the United States (except for employment
II. Nondiscrimination ...................................................... 1 preference for Appalachian contracts, when applicable, as speci-
III. Nonsegregated Facilities ............................................ 3 fied in Attachment A), or
IV. Payment of Predetermined Minimum Wage ............ 3 b. employ convict labor for any purpose within the limits
V. Statements and Payrolls ............................................ 6 of the project unless it is labor performed by convicts who
VI. Record of Materials, Supplies, and Labor ................ 7 are on parole, supervised release, or probation.
VII. Subletting or Assigning the Contract ......................... 7
VIII. Safety: Accident Prevention ...................................... 7 II. NONDISCRIMINATION
IX. False Statements Concerning Highway Projects ...... 7 (Applicable to all Federal-aid construction contracts and to
X. Implementation of Clean Air Act and Federal all related subcontracts of$10,000 or more.)
Water Pollution Control Act ..................................... 8
XI. Certification Regarding Debarment, Suspension, 1. Equal Employment Opportunity: Equal employment op-
Ineligibility, and Voluntary Exclusion ...................... 8 portunity (EEO) requirements not to discriminate and to take
XII. Certification Regarding Use of Contract Funds for affirmative action to assure equal opportunity as set forth under
Lobbying laws, executive orders, rules, regulations (28 CFR 35, 29 CFR
y g .................................................................... 10 1630 and 41 CFR 60) and orders of the Secretary of Labor
ATTACHMENTS as modified by the provisions prescribed herein, and imposed
pursuant to 23 U.S.C. 140 shall constitute the EEO and specific
A. Employment Preference for Appalachian Contracts affirmative action standards for the contractor's project activities
(included in Appalachian contracts only) under this contract. The Equal Opportunity Construction Con-
tract Specifications set forth under 41 CFR 60-4.3 and the
I. GENERAL provisions of the American Disabilities Act of 1990 (42 U.S.C.
• 12101 et seq.) set forth under 28 CFR 35 and 29 CFR 1630
1. These contract provisions shall apply to all work per- are incorporated by reference in this contract. In the execution
formed on the contract by the contractor's own organization of this contract,the contractor agrees to comply with the follow-
and with the assistance of workers under the contractor's imme- ing minimum specific requirement activities of EEO:
diate superintendence and to all work performed on the contract
by piecework, station work, or by subcontract. a. The contractor will work with the State highway agency
(SHA) and the Federal Government in carrying out EEO obliga-
2. Except as otherwise provided for in each section, the con- tions and in their review of his/her activities under the contract.
tractor shall insert in each subcontract all of the stipulations
contained in these Required Contract Provisions, and further b. The contractor will accept as his operating policy the
require their inclusion in any lower tier subcontract or purchase following statement:
order that may in turn be made. The Required Contract Provi- "It is the policy of this Company to assure that applicants
sions shall not be incorporated by reference in any case. The are employed, and that employees are treated during employ-
prime contractor shall be responsible for compliance by any ment, without regard to their race, religion, sex, color, national
subcontractor or lower tier subcontractor with these Required origin, age or disability. Such action shall include: employment,
Contract Provisions. upgrading, demotion, or transfer; recruitment or recruitment
3. A breach of any of the stipulations contained in these advertising; layoff or termination; rates of pay or other forms
Required Contract Provisions shall be sufficient grounds for of compensation; and selection for training, including appren-
termination of the contract. ticeship,preapprenticeship, and/or on-the-job training."
4. A breach of the following clauses of the Required Contract 2. EEO Officer: The contractor will designate and make
Provisions may also be grounds for debarment as provided known to the SHA contracting officers an EEO Officer who
in 29 CFR 5.12: will have the responsibility for and must be capable of effec-
Section I,paragraph 2; tively administering and promoting an active contractor program
Section IV,paragraphs 1, 2, 3,4, and 7; of EEO and who must be assigned adequate authority and
Section V,paragraphs 1 and 2a through 2g. responsibility to do so.
5. Disputes arising out of the labor standards provisions of 3. Dissemination of Policy: All members of the contractor's
Section IV (except paragraph 5) and Section V of these Re- staff who are authorized to hire, supervise, promote, and dis-
quired Contract Provisions shall not be subject to the general charge employees, or who recommend such action, or who
disputes clause of this contract. Such disputes shall be resolved are substantially involved in such action, will be made fully
in accordance with the procedures of the U.S. Department of cognizant of, and will implement, the contractor's EEO policy
• Labor (DOL) as set forth in 29 CFR 5, 6, and 7. Disputes and contractual responsibilities to provide EEO in each grade
within the meaning of this clause include disputes between and classification of employment. To ensure that the above
the contractor (or any of its subcontractors) and the contracting agreement will be met, the following actions will be taken
agency, the DOL, or the contractor's employees or their rep- as a minimum:
resentatives. a. Periodic meetings of supervisory and personnel office
6. Selection of Labor: During the performance of this con- employees will be conducted before the start of work and then
tract, the contractor shall not: not less often than once every six months, at which time the
Form FHWA 1273—(Rev.4-93) Previous editions are obsolete Page 1
(Mico—Contract)
•
contractor's EEO policy and its implementation will be re- of discrimination. Where evidence is found, the contractor will
viewed and explained. The meetings will be conducted by the promptly take corrective action. If the review indicates that
EEO Officer. the discrimination may extend beyond the actions reviewed,
b. All new supervisory or personnel office employees will such corrective action shall include all affected persons.
be given a thorough indoctrination by the EEO Officer,covering d. The contractor will promptly investigate all complaints
all major aspects of the contractor's EEO obligations within of alleged discrimination made to the contractor in connection
thirty days following their reporting for duty with the contractor. with his obligations under this contract, will attempt to resolve
c. All personnel who are engaged in direct recruitment such complaints, and will take appropriate corrective action
for the project will be instructed by the EEO Officer in the within a reasonable time. If the investigation indicates that
contractor's procedures for locating and hiring minority group the discrimination may affect persons other than the complain-
employees. ant, such corrective action shall include such other persons.
Upon completion of each investigation, the contractor will in-
d. Notices and posters setting forth the contractor's EEO form every complainant of all of the avenues of appeal.
policy will be placed in areas readily accessible to employees,
applicants for employment and potential employees. 6. Training and Promotion:
e. The contractor's EEO policy and the procedures to im- a. The contractor will assist in locating, qualifying, and
plement such policy will be brought to the attention of employ- increasing the skills of minority group and women employees,
ees by means of meetings, employee handbooks, or other appro- and applicants for employment.
priate means.
b. Consistent with the contractor's work force requirements
4. Recruitment: When advertising for employees, the con- and as permissible under Federal and State regulations, the
tractor will include in all advertisements for employees the contractor shall make full use of training programs, i.e., appren-
notation: "An Equal Opportunity Employer." All such adver- ticeship, and on-the-job training programs for the geographical
tisements will be placed in publications having a large circula- area of contract performance. Where feasible, 25 percent of
tion among minority groups in the area from which the project apprentices or trainees in each occupation shall be in their
work force would normally be derived. first year of apprenticeship or training. In the event a special
a. The contractor will, unless precluded by a valid bargain- provision for training is provided under this contract, this sub-
ing agreement, conduct systematic and direct recruitment paragraph will be superseded as indicated in the special provi-
through public and private employee referral sources likely to sion. •
yield qualified minority group applicants. To meet this require- c. The contractor will advise employees and applicants for
ment, the contractor will identify sources of potential minority employment of available training programs and entrance require-
group employees, and establish with such identified sources ments for each.
procedures,whereby minority group applicants may be referred
to the contractor for employment consideration. d. The contractor will periodically review the training and
promotion potential of minority group and women employees
b. In the event the contractor has a valid bargaining agree- and will encourage eligible employees to apply for such training
ment providing for exclusive hiring hall referrals, he is expected and promotion.
to observe the provisions of that agreement to the extent that
the system permits the contractor's compliance with EEO con- 7. Unions: If the contractor relies in whole or in part upon
tract provisions. (The DOL has held that where implementation unions as a source of employees, the contractor will use his/
of such agreements have the effect of discriminating against her best efforts to obtain the cooperation of such unions to
minorities or women, or obligates the contractor to do the increase opportunities for minority groups and women within
same, such implementation violates Executive Order 11246, as the unions, and to effect referrals by such unions of minority
amended.) and female employees. Actions by the contractor either directly .::
C. The contractor will encourage his present employees or through a contractor's association acting as agent will include
to refer minority group applicants for employment. Information the procedures set forth below:
and procedures with regard to referring minority group appli- a. The contractor will use best efforts to develop, in co-
cants will be discussed with employees. operation with the unions,joint training programs aimed toward
qualifying more minority group members and women for mem-
5. Personnel Actions: Wages, working conditions, and em- bership in the unions and increasing the skills of minority
ployee benefits shall be established and administered, and per- group employees and women so that they may qualify for
sonnel actions of every type, including hiring, upgrading, pro- higher paying employment.
motion, transfer, demotion, layoff, and termination, shall be
taken without regard to race, color,religion, sex,national origin, b. The contractor will use best efforts to incorporate an
age or disability. The following procedures shall be followed: EEO clause into each union agreement to the end that such
union will be contractually bound to refer applicants without
a. The contractor will conduct periodic inspections of regard to their race, color, religion, sex, national origin, age
project sites to insure that working conditions and employee re
facilities do not indicate discriminatory treatment of project or disability.
site personnel. c. The contractor is to obtain information as to the referral •
b. The contractor will periodically evaluate the spread of practices and policies of the labor union except that to the
wages paid within each classification to determine any evidence extent such information is within the exclusive possession of
of discriminatory wage practices. the labor union 'and such labor union refuses to furnish such
information to the contractor, the contractor shall so certify
c. The contractor will periodically review selected person- to the SHA and shall set forth what efforts have been made
nel actions in depth to determine whether there is evidence to obtain such information.
Page 2
d. In the event the union is unable to provide the contrac- III. NONSEGREGATED FACILITIES
for with a reasonable flow of minority and women referrals (Applicable to all Federal-aid construction contracts and to
within the time limit set forth in the collective bargaining agree- all related subcontracts of$10,000 or more.)
ment, the contractor will, through independent recruitment ef-
forts, fill the employment vacancies without regard to race, a. By submission of this bid, the execution of this contract
color, religion, sex, national origin, age or disability; making or subcontract, or the consummation of this material supply
full efforts to obtain qualified and/or qualifiable minority group agreement or purchase order, as appropriate, the bidder,Federal-
persons and women. (The DOL has held that it shall be no aid construction contractor, subcontractor, material supplier, or
excuse that the union with which the contractor has a collective vendor, as appropriate, certifies that the firm does not maintain
bargaining agreement providing for exclusive referral failed to or provide for its establishments, and that the firm does not
refer minority employees.) In the event the union referral prac- permit its employees to perform their services at any location,
tice prevents the contractor from meeting the obligations pursu- under its control, where segregated facilities are maintained.
ant to Executive Order 11246, as amended, and these special The firm agrees that a breach of this certification is a violation
provisions, such contractor shall immediately notify the SHA. of the EEO provisions of this contract. The firm further certifies
8. Selection of Subcontractors, Procurement of Materials that no employee will be denied access to adequate facilities
and Leasing of Equipment: The contractor shall not discrimi- on the basis of sex or disability.
nate on the grounds of race, color, religion, sex, national origin, b. As used in this certification, the tern "segregated facili-
age or disability in the selection and retention of subcontractors, ties" means any waiting rooms, work areas, restrooms and
including procurement of materials and leases of equipment. washrooms, restaurants and other eating areas, timeclocks, lock-
er rooms, and other storage or dressing areas, parking lots,
a. The contractor shall notify all potential subcontractors drinking fountains, recreation or entertainment areas, transpor-
and suppliers of his/her EEO obligations under this contract. tation, and housing facilities provided for employees which are
b. Disadvantaged business enterprises (DBE), as defined segregated by explicit directive, or are, in fact, segregated on
in 49 CFR 23, shall have equal opportunity to compete for the basis of race, color, religion, national origin, age or disabil-
and perform subcontracts which the contractor enters into pursu- ity, because of habit, local custom, or otherwise. The only
ant to this contract. The contractor will use his best efforts exception will be for the disabled when the demands for acces-
to solicit bids from and to utilize DBE subcontractors or sub- sibility override (e.g. disabled parking).
contractors with meaningful minority group and female rep- c. The contractor agrees that it has obtained or will obtain
resentation among their employees. Contractors shall obtain lists identical certification from proposed subcontractors or material
of DBE construction funis from SHA personnel. suppliers prior to award of subcontracts or consummation of
c. The contractor will use his best efforts to ensure sub- material supply agreements of $10,000 or more and that it
contractor compliance with their EEO obligations. will retain such certifications in its files.
9. Records and Reports: The contractor shall keep such IV. PAYMENT OF PREDETERMINED
records as necessary to document compliance with the EEO MINIMUM WAGE
requirements. Such records shall be retained for a period of (Applicable to all Federal-aid construction contracts exceeding
three years following completion of the contract work and shall $2,000 and to all related subcontracts, except for projects lo-
be available at reasonable times and places for inspection by Gated on roadways classified as local roads or rural minor
authorized representatives of the SHA and the FHWA. collectors, which are exempt.)
a. The records kept by the contractor shall document the
following: 1. General:
(1) The number of minority and non-minority group a. All mechanics and laborers employed or working upon
members and women employed in each work classification on the site of the work will be paid unconditionally and not less
the project; often than once a week and without subsequent deduction or
rebate on any account (except such payroll deductions as are
(2) The progress and efforts being made in cooperation permitted by regulations (29 CFR 3) issued by the Secretary
with unions, when applicable, to increase employment opportu- of Labor under the Copeland Act (40 U.S.C. 276c) the full
nities for minorities and women; amounts of wages and bona fide fringe benefits (or cash equiva-
(3) The progress and efforts being made in locating, lents thereof) due at time of payment. The payment shall be
hiring, training, qualifying, and upgrading minority and female computed at wage rates not less than those contained in the
employees; and wage determination of the Secretary of Labor (hereinafter "the
(4) The progress and efforts being made in securing wage determination") which is attached hereto and made,a
the services of DBE subcontractors or subcontractors with Part hereof, regardless of any contractual relationship which
meaningful minority and female representation among their em- may be alleged to exist between the contractor or its subcontrac-
ployees. tors and such laborers and mechanics. The wage determination
(including any additional classifications and wage rates con-
b. The contractors will submit an annual report to the formed under paragraph 2 of this Section IV and the DOL
• SHA each July for the duration of the project, indicating the poster (WH-1321) or Form FHWA-1495) shall be posted at
number of minority, women, and non-minority group employees all times by the contractor and its subcontractors at the site
currently engaged in each work classification required by the of the work in a prominent and accessible place where it can
contract work. This information is to be reported on Form be easily seen by the workers. For the purpose of this Section,
PR-1391. If on-the-job training is being required by special contributions made or costs reasonably anticipated for bona
provision, the contractor will be required to collect and report fide fringe benefits under Section 1(b)(2) of the Davis-Bacon
training data. Act (40 U.S.C. 276a) on behalf of laborers or mechanics are
Page 3
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considered wages paid to such laborers or mechanics, subject Administrator for determination. Said Administrator, or an au-
to the provisions of Section IV, paragraph 3b, hereof. Also, thorized representative, will issue a determination within 30
for the purpose of this Section, regular contributions made or days of receipt and so advise the contracting officer or will
costs incurred for more than a weekly period (but not less notify the contracting officer within the 30-day period that addi-
often than quarterly) under plans, funds, or programs, which tional time is necessary.
cover the particular weekly period, are deemed to be construc- e. The wage rate (including fringe benefits where appropriate)
tively made or incurred during such weekly period. Such labor- determined pursuant to paragraph 2c or 2d of this Section
ers and mechanics shall be paid the appropriate wage rate IV shall be paid to all workers performing work in the addi-
and fringe benefits on the wage determination for the classifica- tional classification from the first day on which work is per-
tion of work actually performed, without regard to skill, except formed in the classification.
as provided in paragraphs 4 and 5 of this Section IV.
b. Laborers or mechanics performing work in more than 3. Payment of Fringe Benefits:
one classification may be compensated at the rate specified a. Whenever the minimum wage rate prescribed in the con-
for each classification for the time actually worked therein, tract for a class of laborers or mechanics includes a fringe
provided, that the employer's payroll records accurately set forth benefit which is not expressed as an hourly rate, the contractor
the time spent in each classification in which work is performed. or subcontractors, as appropriate, shall either pay the benefit
c. All rulings and interpretations of the Davis-Bacon Act as stated in the wage determination or shall pay another bona
and related acts contained in 29 CFR 1, 3, and 5 are herein fide fringe benefit or an hourly case equivalent thereof.
incorporated by reference in this contract. b. If the contractor or subcontractor, as appropriate, does
not make payments to a trustee or other third person, he/
2. Classification: she may consider as a part of the wages of any laborer or
a. The SHA contracting officer shall require that any class mechanic the amount of any costs reasonably anticipated in
of laborers or mechanics employed under the contract, which providing bona fide fringe benefits under a plan or program,
is not listed in the wage determination, shall be classified in provided, that the Secretary of Labor has found, upon the writ-
conformance with the wage determination. ten request of the contractor, that the applicable standards of
the Davis-Bacon Act have been met. The Secretary of Labor
b. The contracting officer shall approve an additional clas- may require the contractor to set aside in a separate account
sification,wage rate and fringe benefits only when the following assets for the meeting of obligations under the plan or program.
criteria have been met:
(1) the work to be performed by the additional classifica- 4. Apprentices and Trainees (Programs of the U.S. DOL)
and Helpers:
tion requested is not performed by a classification in the wage
determination; a. Apprentices:
(2) the additional classification is utilized in the area (1) Apprentices will be permitted to work at less than
by the construction industry; the predetermined rate for the work they performed when they
are employed pursuant to and individually registered in a bona
(3) the proposed wage rate, including any bona fide fide apprenticeship program registered with the DOL, Employ-
fringe benefits, bears a reasonable relationship to the wage ment and Training Administration, Bureau of Apprenticeship
rates contained in the wage determination; and and Training, or with a State apprenticeship agency recognized
(4) with respect to helpers as defined in Section IV.4c, by the Bureau, or if a person is employed in his/her fust
when such a classification prevails in the area in which the 90 days of probationary employment as an apprentice in such
work is performed. an apprenticeship program, who is not individually registered
in the program, but who has been certified by the Bureau
c. If the contractor or subcontractors, as appropriate, the of Apprenticeship and Training or a State apprenticeship agency
laborers and mechanics (if known) to be employed in the addi- (where appropriate) to be eligible for probationary employment
tional classification or their representatives, and the contracting as an apprentice.
officer agree on the classification and wage rate (including (2) The allowable ratio of apprentices to journeyman-
the amount designated for fringe benefits where appropriate), level employees on the job site in any craft classification shall
a report of the action taken shall be sent by the contracting not be greater than the ratio permitted to the contractor as
officer to the DOL, Administrator of the Wage and Hour Divi- to the entire work force under the registered program. Any
sion, Employment Standards Administration, Washington, D.C. employee listed on a payroll at an apprentice wage rate, who
20210. The Wage and Hour Administrator, or an authorized is not registered or otherwise employed as stated above, shall
representative, will approve, modify, or disapprove every addi- be paid not less than the applicable wage rate listed in the
tional classification action within 30 days of receipt and so wage determination for the classification of work actually per-
advise the contracting officer or will notify the contracting formed. In addition, any apprentice performing work on the
officer within the 30-day period that additional time is nec- job site in excess of the ratio permitted under the registered
essary. program shall be paid not less than the applicable wage rate
d. In the event the contractor or subcontractors, as appro- on the wage determination for the work actually performed.
priate, the laborers or mechanics to be employed in the addi- Where a contractor or subcontractor is performing construction •
tional classification or their representatives, and the contracting on a project in a locality other than that in which its program
officer do not agree on the proposed classification and wage is registered, the ratios and wage rates (expressed in percentages
rate (including the amount designated for fringe benefits, where of the journeyman-level hourly rate) specified in the contractor's
appropriate), the contracting officer shall refer the questions, or subcontractor's registered program shall be observed.
including the views of all interested parties and the rec- (3) Every apprentice must be paid at not less than the
ommendation of the contracting officer, to the Wage and Hour rate specified in the registered program for the apprentice's
Page 4
• level of progress, expressed as a percentage of the journeyman- in order; cleaning and preparing work areas; lifting, positioning,
level hourly rate specified in the applicable wage determination. anah ding materials or tools; and of r—re anted, semi-skilled
Apprentices shall be paid fringe benefits in accordance with tasks as d' CZ the guru man. A helper may use tools
the provisions of the apprenticeship program. If the apprentice- of the tradeun a ion and supervision of
ship program does not specify fringe benefits, apprentices must the jou yman. The particular duties perforin-ed--by—a-helper
be paid the full amount of fringe benefits listed on the wage vary according to area practice.
determination for the applicable classification. If the Adminis- (2) Helpers will be permitted to work on a project if
trator for the Wage and Hour Division determines that a dif- the helper classification is specified on an applicable wage
ferent practice prevails for the applicable apprentice classifica- determination or is approved pursuant to the conformance proce-
tion, fringes shall be paid in accordance with that determination. dure set forth in Section IV.2. Any worker listed on a payroll
(4) In the event the Bureau of Apprenticeship and Train- at a helper wage rate, who is not a helper as defined above,
ing, or a State apprenticeship agency recognized by the Bureau, shall be paid not less than the applicable wage rate on the
withdraws approval of an apprenticeship program, the contractor wage determination for the classification of work actually per-
or subcontractor will no longer be permitted to utilize appren- formed.
tices at less than the applicable predetermined rate for the
comparable work performed by regular employees until an ac- 5. Apprentices and Trainees (Programs of the U.S. DOT):
ceptable program is approved. Apprentices and trainees working under apprenticeship and
skill training programs which have been certified by the Sec-
Trainees: retary of Transportation as promoting EEO in connection with
(1) Except as provided in 29 CFR 5.16, trainees will Federal-aid highway construction programs are not subject to
not be permitted to work at less than the predetermined rate the requirements of paragraph 4 of this Section IV. The straight
for the work performed unless they are employed pursuant time hourly wage rates for apprentices and trainees under such
to and individually registered in a program which has received programs will be established by the particular programs. The
prior approval, evidenced by formal certification by the DOL, ratio of apprentices and trainees to journeymen shall not be
Employment and Training Administration. greater than permitted by the terms of the particular program.
(2) The ratio of trainees to journeyman-level employees 6. Withholding:
on the job site shall not be greater than permitted under the The SHA shall upon its own action or upon written request
plan approved by the Employment and Training Administration. of an authorized representative of the DOL withhold, or cause
Any employee listed on the payroll at a trainee rate who is to be withheld, from the contractor or subcontractor under this
not registered and participating in a training plan approved contract or any other Federal contract with the same prime
by the Employment and Training Administration shall be paid contractor, or any other Federally assisted contract subject to
not less than the applicable wage rate on the wage determination Davis-Bacon prevailing wage requirements which is held by
for the classification of work actually performed. In addition, the same prime contractor, as much of the accrued payments
any trainee performing work on the job site in excess of the or advances as may be considered necessary to pay laborers
ratio permitted under the registered program shall be paid not and mechanics, including apprentices, trainees, and helpers, em-
less than the applicable wage rate on the wage determination ployed by the contractor or any subcontractor the full amount
for the work actually performed. of wages required by the contract. In the event of failure to
(3) Every trainee must be paid at not less than the pay any laborer or mechanic, including any apprentice, trainee,
rate specified in the approved program for his/her level of or helper, employed or working on the site of the work, all
progress, expressed as a percentage of the journeyman-level or part of the wages required by the contract, the SHA contract-
hourly rate specified in the applicable wage determination. ing officer may, after written notice to the contractor, take
Trainees shall be paid fringe benefits in accordance with the such action as may be necessary to cause the suspension of
provisions of the trainee program. If the trainee program does any further payment, advance, or guarantee of funds until such
not mention fringe benefits, trainees shall be paid the full violations have ceased.
amount of fringe benefits listed on the wage determination
unless the Administrator of the Wage and Hour Division deter- 7. Overtime Requirements:
mines that there is an apprenticeship program associated with No contractor or subcontractor contracting for any part of
the corresponding journeyman-level wage rate on the wage de- the contract work which may require or involve the employment
termination which provides for less than full fringe benefits of laborers, mechanics, watchmen, or guards (including appren-
for apprentices, in which case such trainees shall receive the tices, trainees, and helpers described in paragraphs 4 and 5
same fringe benefits as apprentices. above) shall require or permit any laborer, mechanic, watchman,
(4) In the event the Employment and Training Adminis- or guard in any workweek in which he/she is employed on
tration withdraws approval of a training program, the contractor such work, to work in excess of 40 hours in such workweek
or subcontractor will no longer be permitted to utilize trainees unless such laborer, mechanic, watchman, or guard receives
at less than the applicable predetermined rate for the work compensation at a rate not less than one-and-one-half times
performed until an acceptable program is approved. his/her basic rate of pay for all hours worked in excess of
40 hours in such workweek.
c.Helpers:
• (1) A helper is a semi-skilled worker (rather than a 8. Violation:
skilled journeyman mechanic) who works under t ifection Liability for Unpaid Wages; Liquidated Damages: In the
of an 'oume man. Under the ' man's direction event of any violation of the clause set forth in paragraph
and supervision, the hel a variety of duties to 7 above, the contractor and any subcontractor responsible there-
assist the ' m man such as preparing, carrying—and—furnishing of shall be liable to the affected employee for his/her unpaid
ma pals, tools, equipment, and supplies and maintaining them wages. In addition, such contractor shall be liable to the United
Page 5
States (in the case of work done under contract for the District approved programs shall maintain written evidence of the reg-
of Columbia or a territory, to such District or to such territory). istration of apprentices and trainees, and ratios and wage rates
Such liquidated damages shall be computed with respect to prescribed in the applicable programs.
each individual laborer, mechanic, watchman, or guard em-
ployed in violation of the clause set forth in paragraph 7, c. Each contractor and subcontractor shall furnish, each
in the sum of $10 for each calendar day on which such em- week in which any contract work is performed, to the SHA
ployee was required or permitted to work in excess of the resident engineer a payroll of wages paid each of its employees
standard work week of 40 hours without payment of the over- (including apprentices, trainees, and helpers, described in Sec-
time wages required by the clause set forth in paragraph 7. tion IV, paragraphs 4 and 5, and watchmen and guards engaged
on work during the preceding weekly payroll period). The pay-
9. Withholding for Unpaid Wages and Liquidated Dam- roll submitted shall set out accurately and completely all of
ages: the information required to be maintained under paragraph 2b
The SHA shall upon its own action or upon written request of this Section V. This information may be submitted in any
of any authorized representative of the DOL withhold, or cause form desired. Optional Form WH-347 is available for this pur-
to be withheld, from any monies payable on account of work Pose and may be purchased from the Superintendent of Docu-
performed by the contractor or subcontractor under any such ments (Federal stock number 029-005-0014-1), U.S. Govern-
contract or any other Federal contract with the same prime ment Printing Office, Washington, D.C. 20402. The prime con-
contractor, or any other Federally assisted contract subject to Factor is responsible for the submission of copies of payrolls
the Contract Work Hours and Safety Standards Act, which by all subcontractors.
is held by the same prime contractor, such sums as may be d. Each payroll submitted shall be accompanied by a
determined to be necessary to satisfy any liabilities of such "Statement of Compliance," signed by the contractor or sub-
contractor or subcontractor for unpaid wages and liquidated contractor or his/her agent who pays or supervises the payment
damages as provided in the clause set forth in paragraph 8 of the persons employed under the contract and shall certify
above. the following:
l
V. STATEMENTS AND PAYROLLS (1) that the payroll for the payroll period contains the
information required to be maintained under paragraph 2b of
(Applicable to all Federal-aid construction contracts exceeding this Section V and that such information is correct and com-
$2,000 and to all related subcontracts, except for projects lo- plete;
cated on roadways classified as local roads or rural collectors, (2) that such laborer or mechanic (including each helper, •
which are exempt.) apprentice, and trainee) employed on the contract during the
1. Compliance with Copeland Regulations (29 CFR 3): payroll period has been paid the full weekly wages earned,
The contractor shall comply with the Copeland Regulations Without rebate, either directly or indirectly, and that no deduc-
of the Secretary of Labor which are herein incorporated by tions have been made either directly or indirectly from the
full wages earned, other than permissible deductions as set
reference. forth in the Regulations, 29 CFR 3;
2. Payrolls and Payroll Records: (3) that each laborer or mechanic has been paid not
a. Payrolls and basic records relating thereto shall be main- less that the applicable wage rate and fringe benefits or cash
tained by the contractor and each subcontractor during the equivalent for the classification of worked performed, as speci-
course of the work and preserved for a period of 3 years fied in the applicable wage determination incorporated into the
from the date of completion of the contract for all laborers, contract.
mechanics, apprentices, trainees, watchmen, helpers, and guards
working at the site of the work. e. The weekly submission of a properly executed certifi-
cation set forth on the reserve side of Optional Form WH-
b. The payroll records shall contain the name, social secu- 347 shall satisfy the requirement for submission of the "State-
rity number, and address of each such employee; his or her ment of Compliance" required by paragraph 2d of this Section
correct classification; hourly rates of wages paid (including rates V
of contributions or costs anticipated for bona fide fringe benefits
or cash equivalent thereof the types described in Section f. The falsification of any of the above certifications may
l(b)(2)(B) of the Davis Bacon Act); daily and weekly number subject the contractor to civil or criminal prosecution under
of hours worked; deductions made; and actual wages paid. 18 U.S.C. 1001 and 31 U.S.C.231.
In addition, for Appalachian contracts, the payroll records shall
contain a notation indicating whether the employee does, or g. The contractor or subcontractor shall make the records
does not, normally reside in the labor area as defined in Attach- required under paragraph 2b of this Section V available for
ment A, paragraph 1. Whenever the Secretary of Labor, pursu- inspection, copying, or transcription by authorized representa-
ant to Section IV, paragraph 3b, has found that the wages tives of the SHA, the FHWA, or the DOL, and shall permit
of any laborer or mechanic include the amount of any costs such representatives to interview employees during working
reasonably anticipated in providing benefits under a plan or hours on the job. If the contractor or subcontractor fails to
program described in Section l(b)(2)(B) of the Davis Bacon submit the required records or to make them available, the
Act, the contractor and each subcontractor shall maintain records SHA, the FHWA, the DOL, or all may, after written notice
which show that the commitment to provide such benefits is to the contractor, sponsor, applicant, or owner, take such actions
enforceable, that the plan or program is financially possible, as may be necessary to cause the suspension of any further
that the plan or program has been communicated in writing payment, advance, or guarantee of funds. Furthermore, failure
to the laborers or mechanics affected, and show the cost antici- to submit the required records upon request or to make such
pated or the actual cost incurred in providing benefits. Contrac- records'available may be grounds for debarment action pursuant
tors or subcontractors employing apprentices or trainees under to 29 CFR 5.12.
Page 6
VI. RECORD OF MATERIALS, SUPPLIES, tract requirements, and is in charge of all construction oper-
AND LABOR ations (regardless of who performs the work) and (b) such
1. On all Federal-aid contracts on the National Highway other of its own organizational resources (supervision, manage-
System, except those which provide solely for the installation ment, and engineering services) as the SHA contracting officer
of protective devices at railroad grade crossings, those which determines is necessary to assure the performance of the con-
are constructed on a force account or direct labor basis,highway tract.
beautification contracts, and contracts for which the total final 4. No portion of the contract shall be sublet, assigned or
construction cost for roadway and bridge is less than $1,000,000 otherwise disposed of except with the written consent of the
(23 CFR 635)the contractor shall: SHA contracting officer, or authorized representative, and such
a. Become familiar with the list of specific materials and consent when given shall not be construed-to relieve the con-
supplies contained in Form FHWA-47, "Statement of Materials tractor of any responsibility for the fulfillment of the contract.
and Labor Used by Contractor of Highway Construction Involv- Written consent will be given only after the SHA has assured
ing Federal Funds," prior to the commencement of work under that each subcontract is evidenced in writing and that it contains
this contract. all pertinent provisions and requirements of the prime contract.
b. Maintain a record of the total cost of all materials
and supplies purchased for and incorporated in the work, and VIII. SAFETY: ACCIDENT PREVENTION
also of the quantities of those specific materials and supplies
listed on Form FHWA-47, and in the units shown on Form 1. In the performance of this contract the contractor shall
FHWA-47. comply with all applicable Federal,State,and local laws govern-
c. Furnish, upon the completion of the contract, to the ing safety, health, and sanitation (23 CFR 635). The contractor
SHA resident engineer on Form FHWA-47 together with the shall provide all safeguards, safety devices and protective equip-
data required in paragraph lb relative to materials and supplies, ment and take any other needed actions as it determines, or
a final labor summary of all contract work indicating the total as the SHA contracting officer may determine, to be reasonably
hours worked and the total amount earned. necessary to protect the life and health of employees on the
job and the safety of the public and to protect property in
2. At the prime contractor's option, either a single report connection with the performance of the work covered by the
covering all contract work or separate reports for the contractor contract.
and for each subcontract shall be submitted.
2. It is a condition of this contract, and shall be made
a condition of each subcontract, which the contractor enters
VII. SUBLETTING OR ASSIGNING THE into pursuant to this contract, that the contractor and any sub-
CONTRACT contractor shall not permit any employee, in performance of
the contract, to work in surroundings or under conditions which
1. The contractor shall perform with its own organization are unsanitary, hazardous or dangerous to his/her health or
contract work amounting to not less than 30 percent (or a safety, as determined under construction safety and health stand-
greater percentage if specified elsewhere in the contract) of ards (29 CFR 1926) promulgated by the Secretary of Labor,
the total original contract price, excluding any specialty items in accordance with Section 107 of the Contract Work Hours
designated by the State. Specialty items may be performed and Safety Standards Act(40 U.S.C. 333).
by subcontract and the amount of any such specialty items
performed may be deducted from the total original contract 3. Pursuant to 29 CFR 1926.3, it is a condition of this
price before computing the amount of work required to be contract that the Secretary of Labor or authorized representative
performed by the contractor's own organization_ (23 CFR 635). thereof, shall have right of entry to any site of contract Perform-
a. "Its own organization" shall be construed to include ance to inspect or investigate the matter of compliance with
only workers employed and paid directly by the prime contrac- the construction safety and health standards and to carry out
for and equipment owned or rented by the prime contractor, the duties of the Secretary under Section 107 of the Contract
with or without operators. Such term does not include employ- Work Hours and Safety Standards Act(40 U.S.C. 333).
ees or equipment of a subcontractor, assignee, or agent of
the prime contractor.
IX. FALSE-STATEMENTS CONCERNING
b. "Specialty Items" shall be construed to be limited to
work that requires highly specialized knowledge, abilities, or HIGHWAY PROJECTS
equipment not ordinarily available in the type of contracting In order to assure high quality and durable construction in
organizations qualified and expected to bid on the contract conformity with approved plans and specifications and a high
as a whole and in general are to limited to minor components degree of reliability on statements and representations made
of the overall contract. by engineers, contractors, suppliers, and workers on Federal-
2. The contract amount upon which the requirements set aid highway projects, it is essential that all persons concerned
forth in paragraph 1 of Section VII is computed includes the with the project perform their functions as carefully, thoroughly,
• cost of material and manufactured products which are to be and honestly as possible. Willful falsification, distortion, or mis-
purchased or produced by the contractor under the contract representation with respect to any facts related to the project
provisions. is a violation of Federal law. To prevent any misunderstanding
regarding the seriousness of these and similar acts, the following
3. The contractor shall furnish (a) a competent superintendent notice shall be posted on each Federal-aid highway project
or supervisor who is employed by the firm, has full authority (23 CFR 635)in one or more places where it is readily available
to direct performance of the work in accordance with the con- to all persons concerned with the project:
Page 7
Notice to All Personnel Engaged on XI. CERTIFICATION REGARDING
Federal-Aid Highway Projects DEBARMENT, SUSPENSION,
18 U.S.C. 1020 reads as follows: NELIGIBILITY AND
AND VOLUNTARY EXCLUSION
"Whoever being an officer, agent, or employee of the United 1. Instructions for Certification - Primary Covered Trans-
States, of any State or Territory, or whoever, whether a person, actions: (Applicable to all Federal-aid contracts - er CFR 29)
association, firm, or corporation, knowingly makes any false
statement,false representation, or false report as to the char- a. By signing and submitting this proposal, the prospective
atter, quality, quantity, or cost of the material used to be primary participant is providing the certification set out below.
used, or the quantity of the work performed or to be performed, b. The inability of a person to provide the certification
or the cost thereof in connection with the submission of plans, set out below will not necessarily result in denial of participa-
maps, specifications, contracts, or costs of construction on any tion in this covered transaction. The prospective participant shall
highway or related project submitted for approval to the Sec- submit an explanation of why it cannot provide the certification
retary of Transportation; or set out below. The certification or explanation will be consid-
Whoever knowingly makes any false statement, false rep- ered in connection with the department or agency's determina-
resentation, false report or false claim with respect to the tion whether to enter into this transaction. However, failure
character, quality, quantity, or cost of any work performed of the prospective primary participant to furnish a certification
or to be performed, or materials furnished or to be furnished, or an explanation shall disqualify such a person from participa-
in connection with the construction of any highway or related tion in this transaction.
project approved by the Secretary of Transportation; or c. The certification in this clause is a material representa-
Whoever knowingly makes any false statement or false tion of fact upon which reliance was placed when the depart-
representation as to material fact in any statement, certificate, ment or agency determined to enter into this transaction. If
or report submitted pursuant to provisions of the Federal-aid it is later determined that the prospective primary participant
Roads Act approved July 1, 1916, (39 Stat. 355), as amended knowingly rendered an erroneous certification, in addition to
and supplemented; other remedies available to the Federal Government, the depart-
Shall be fined not more that $10,000 or imprisoned not ment or agency may terminate this transaction for cause of
more than 5 years or both." default.
d. The prospective primary participant shall provide imme-
diate written notice to the department or agency to whom this
X. IMPLEMENTATION OF CLEAN AIR ACT proposal is submitted if any time the prospective primary partic-
AND FEDERAL WATER POLLUTION ipant learns that its certification was erroneous when submitted
CONTROL ACT or has become erroneous by reason of changed circumstances.
e. The terms "covered transaction," "debarred," "sus-
(Applicable all Federal-aid construction contracts and to pended," "ineligible," "lower tier covered transaction," "par-
ticipant,"subcontracts "person," "primary covered transaction," "prin-
By submission of this bid or the execution of this contract, cipal," "proposal," and "voluntarily excluded," as used in
or subcontract, as appropriate, the bidder, Federal-aid construc- this clause, have the meanings set out in the Definitions and
tion contractor, or subcontractor, as appropriate, will be deemed Coverage sections of rules implementing Executive Order
to have stipulated as follows: 12549. You may contact the department or agency to which
1. That any facility that is or will be utilized in the perform- this proposal is submitted for assistance in obtaining a copy
ante of this contract, unless such contract is exempt under of those regulations.
the Clean Air Act, as amended (42 U.S.C. 1857 et., as amended f. The prospective primary participant agrees by submitting
by Pub.L. 92-604), and under the Federal Water Pollution Con- this proposal that, should the proposed covered transaction be
trol Act, as amended (33 U.S.C. 1251 et. seq., as amended entered into, it shall not knowingly enter into any lower tier
by Pub.L. 92-500), Executive Order 11738, and regulations in covered transaction with a person who is debarred, suspended,
implementation thereof (40 CFR 15) is not listed, on the date declared ineligible, or voluntarily excluded from participation
of contract award, on the U.S. Environmental Protection Agency in this covered transaction, unless authorized by the department
(EPA) List of Violating Facilities pursuant to 40 CFR 15.20. or agency entering into this transaction.
2. That the firm agrees to comply and remain in compliance g. The prospective primary participant further agrees by
with all the requirements of Section 114 of the Clean Air submitting this proposal that it will include this clause titled
Act and Section 308 of the Federal Water Pollution Control "Certification Regarding Debarment, Suspension, Ineligibility
Act and all regulations and guidelines listed thereunder. and Voluntary Exclusion-Lower Tier Covered Transaction,"
3. That the firm shall,promptly notify the SHA of the receipt provided by the department or agency entering into this covered
of any communication from the Director, Office of Federal transaction, without modification, in all lower tier covered trans-
Activities, EPA, indicating that a facility that is or will be actions and in all solicitations for lower tier covered trans-
utilized for the contract is under consideration to be listed actions.
on the EPA List of Violating Facilities. h. A participation in a covered transaction may rely upon •
4. That the firm agrees to include or cause to be included a certification of a prospective participant in a lower tier cov-
the requirements of paragraph 1 through 4 of this Section X ered transaction that is.not debarred, suspended, ineligible, or
in every nonexempt subcontract, and further agrees to take voluntarily excluded from the covered transaction, unless it
such action as the government may direct as a means of enforc- knows that the certification is erroneous. A participant may
ing such requirements. decide the method and frequency by which it determines the
Page 8
eligibility of its principals. Each participant may, but is not b. The certification in this clause is a material representa-
required to, check the nonprocurement portion of the "Lists tion of fact upon which reliance was placed when this trans-
of Parties Excluded From Federal Procurement or action was entered into. If it is later determined that the pro-
Nonprocurement Programs" (Nonprocurement List) which is spective lower tier participant knowingly rendered an erroneous
compiled by the General Services Administration. certification, in addition to other remedies available to the Fed-
i. Nothing contained in the foregoing shall be construed eral Government, the department of agency with which this
to require establishment of a system of records in order to transaction originated may pursue available remedies, including
render in good faith the certification required by this clause. suspension and/or debarment.
The knowledge and information of participant is not required c. The prospective lower tier participant shall provide im-
to exceed that which is normally possessed by a prudent person mediate written notice to the person to which this proposal
in the ordinary course of business dealings. is submitted if at any time the prospective lower tier.participant
j. Except for transactions authorized under paragraph f learns that its certification was erroneous by reason of changed
of these instructions, if a participant in a covered transaction circumstances.
knowingly enters into a lower tier covered transaction with d. Ther terns "covered transaction," "debarred," "sus-
a person who is suspended, debarred, ineligible, or voluntarily pended," "ineligible," "primary covered transaction," "partici-
excluded from participation in this transaction, in addition to pant," "person," "principal," "proposal," and "voluntarily
other remedies available to the Federal Government, the depart- excluded," as used in this clause, have the meanings set out
ment or agency may terminate this transaction for cause or in the Definitions and Coverage sections of rules implementing
default. Executive Order 12549. You may contact the person to which
* * * * * this proposal is submitted for assistance in obtaining a copy
Certification Regarding Debarment, of those regulations.
Suspension, Ineligibility and Voluntary e. The prospective lower tier participant agrees by submit-
Exclusion—Primary Covered Transactions ting this proposal that, should the proposed covered transaction
1. The prospective primary participant certifies to the be entered into, it shall not knowingly enter into any lower
best of its knowledge and belief, that it and its principals: tier covered transaction with a person who is debarred, sus-
a. Are not presently debarred, suspended, proposed pended, declared ineligible, or voluntarily excluded from partici-
for debarment, declared ineligible, or voluntarily excluded pation in this covered transaction, unless authorized by the
from covered transactions by any Federal department or department or agency with which this transaction originated.
agency;
b. Have not within a 3-year period preceding this f. The prospective lower tier participant further agrees by
submitting this proposal that it will include this clause titled
proposal been convicted of or had a civil judgement ren- "Certification Regarding Debarment, Suspension, Ineligibility
dered against them for commission of fraud or a criminal and Voluntary Exclusion-Lower Tier Covered Transaction,"
offense in connection with obtaining, attempting to obtain, without modification, in all lower tier covered transactions and
or performing a public (Federal, State or local) transaction in all solicitations for lower tier covered transactions.
or contract under a public transaction; violation of Federal
or State antitrust statutes or commission of embezzlement, g. A participation in a covered transaction may rely upon
theft, forgery, bribery, falsification or destruction of a certification of a prospective participant in a lower tier cov-
records, making false statements, or receiving stolen prop- ered transaction that is not debarred, suspended, ineligible, or
erty; voluntarily excluded from the covered transaction, unless it
c. Are not presently indicted for or otherwise crimi- knows that the certification is erroneous. A participant may
nally or civilly charged by a governmental entity (Federal, decide the method and frequency by which it determines the
State or local) with commission of any of the offenses eligibility of its principals. Each participant may, but is not
enumerated in paragraph lb of this certification; and required to,check the Nonprocurement List.
d. Have not within a 3-year period preceding this h. Nothing contained in the foregoing shall be construed
application/proposal had one or more public transactions to require establishment of a system of records in order to
(Federal, State or local) terminated for cause or default. render in good faith the certification required by this clause.
2. Where the prospective primary participant is unable The knowledge and information of participant is not required
to certify to any of the statements in this certification, to exceed that which is normally possessed by a prudent person
such prospective participant shall attach an explanation to in the ordinary course of business dealings.
this proposal.
* * * * * i. Except for transactions authorized under paragraph e
of these instructions, if a participant in a covered transaction
2. Instructions for Certification—Lower Tier Covered knowingly enters into a lower tier covered transaction with
Transactions: (Applicable to all subcontracts, purchase orders a person who is suspended, debarred, ineligible, or voluntarily
and other lower tier transactions of $25,000 or more-49 CFR excluded from participation in this transaction, in addition to
29) other remedies available to the Federal Government, the depart-
ment or agency with which this transaction originated may
• a. By signing and submitting this proposal, the prospective pursue available remedies, including suspension and/or debar-
lower tier participant is providing the certification set out below. ment.
Page 9
* •
* * * * employee of Congress, or an employee of a Member of Con-
Certification Regarding Debarment, gress in connection with the awarding of any Federal contract,
Suspension, Ineligibility and Voluntary, the making of any Federal grant, the making of any Federal
Exclusion—Lower Tier Covered loan, the entering into of any cooperative agreement, and the
Transactions extension, continuation, renewal, amendment, or modification
1. The prospective lower tier participant certifies, by of any Federal contract, grant, loan, or cooperative agreement.
'submission of this proposal, that neither it nor its principals b. If any funds other than Federal appropriated funds have
is presently debarred, suspended, proposed for debarment, been paid or will be paid to any person for influencing or
declared ineligible, or voluntarily excluded from participa- attempting to influence an officer or employee of any Federal
tion in this transaction by any Federal department or agen- agency, a Member of Congress, an officer or employee of
cy. Congress, or an employee of a Member of Congress in connec-
t. Where the prospective lower tier participant is unable tion with this Federal contract, grant,loan, or cooperative agree-
to certify to any of the statements in this certification, ment, the undersigned shall complete and submit Standard
such prospective participant shall attach an explanation to Form-LLL, "Disclosure Form to Report Lobbying," in accord-
this proposal. ance with its instructions.
* * * * *
2. This certification is a material representation of fact upon
XII. CERTIFICATION REGARDING USE OF which reliance was placed when this transaction was made
CONTRACT FUNDS FOR LOBBYING or entered into. Submission of this certification is a prerequisite
(Applicable to all Federal-aid construction contracts and to for making or entering into this transaction imposed by 31
all related subcontracts of$100,000 or mor"9 CFR 20) U.S.C. 1352. Any person who fails to file the required certifi-
cation shall be subject to a civil penalty.of not less than$10,000
1. The prospective participant certifies, by signing and sub- and not more than$100,000 for each such failure.
mitting this bid or proposal, to the best of his or her knowledge
and belief, that: 3. The prospective participant also agrees by submitting his
a. No Federal appropriated funds have been paid or will or her bid or proposal that he or she shall require that the
be paid, by or on behalf of the undersigned, to any person language of this certification be included in all lower tier sub-
for influencing or attempting to influence an officer or employee contracts, which exceed $100,000 and that all such recipients
of any Federal agency, a Member of Congress, an officer or shall certify and disclose accordingly.
•
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