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CITY OF JEFFERSON CITY
PROJECT STP-3117(501)
SEVENTH SUPPLEMENTAL
SURFACE TRANSPORTATION PROGRAM URBAN AGREEMENT
This Seventh Supplemental Surface Transportation Program (STP)
Urban Agreement, made and entered into by and between the Missouri
Highway and Transportation Commission, hereinafter called
"Commissiono,
and the City of Jefferson City, in the State of
Missouri, hereinafter called "City",
WITNESSETH:
The parties hereto have previously made and entered into a
Federal Air Urban Agreement concerning the allocation and
distribution of federal funds for the improvement of a minor arterial
route in Jefferson City, Missouri on a share-the-cost basis between
the United States Government and the city of '
Jefferson City.
Said
Federal Aid Urban Program Agreement is hereinafter referred to as the
"Original FAUP Agreement. " This program is now known as the STP
Urban Program.
City desires to construct certain improvements, more
specifically described below, under the Surface Transportation
Program Urban formerly known as the Federal Aid Urban Program for the
City of Jefferson City. Said improvements are to be designed and
yt constructed by City in compliance with the provision of the Original
it
FAUP Agreement.
In consideration of the mutual covenants and promises contained
herein to be faithfully kept and performed by the parties hereto and
each of them, it is agreed as follows:w.R716,Ru 1fe"l,oil,
t
y, CITY OF JEFFERSON CITY
_ . PROJECT STP-3117 (501)
f
it 1. The improvement contemplated herein, and designated by
Commission as Project STP-3117 (501) is on Fairgrounds Road within the
Y
city limits of Jefferson City, Missouri. A more specific description
is as follows: '
Pavement widening for center left turn lane, installation of
curb and gutter, sidewalk, storm sewer and traffic signal.
;i,
The general location of the improvement contemplated herein is shown ? ,
} on an attached sketch marked "Exhibit All and incorporated herein by
zgs, reference.
2. Effective upon execution of this agreement, Commission
3�
' accepts the above described portion of the City street system as part 1
`xsY
` of the State Highway Syttem for the purposes of the aforesaid STP. ,
Urban Program. However during the construction period contemplated
�a'$ hereunder,
`Y a. Commission will assume no police or traffic control
functions not obligatory upon Commission immediately prior to y
the execution of this agreement, and
b. City shall perform or cause to be performed normal
r V fr
y' maintenance on the project site,
3. Upon completion of construction of the herein contemplated
improvements, City shall accept control and maintenance of the street
improved hereunder and shall thereafter keep, control, and maintain
the same as, and for all purposes, a part of the City street system '
at its own cost and expense and at no cost and expense whatsoever to
f�
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+��s,y'� x1:,�11t i§cr :+• d$J�t}mss"`{ 7a. t t� r ��UR tz•' y,V ;kt�-�'u,�. e ti,Q”
. .t .R. ?Y �.,+ talt 1''bs. tt ,�. x}7S t3{L, r13a't .,� � 5.�';. 1t,r H?F�rf ,.' ✓. f4 R}'i+`,ldi '�'"•����.s•7�S $t .:X}Y .
X. Y CITY OF JEFFERSON CITY
PROJECT STP-31,17 (501)
' ter Commission. All obligations of Commission under this agreement shall
4'
thereupon cease and terminate. '
4. City shall indemnify and save harmless the Commission from a
damages or claims for damages arising as a proximate result of the
negligence of City, its agency, or employees in connection with the
herein contemplated improvements. It is the intent of the parties
hereto that Commission is to assume no liability for the completion
1{y?Yry of the herein contemplated improvements; and, if the Commission
9irr4)� t',u,1
A should expend any funds in connection herewith for which it is not k�
reimbursed by the United States Government, City will reimburse the
Commission for same.
5. City shall acquire any additional necessary right of way f
required for Project STP-3117 (501) and in so doing agrees to abide by
. all applicable federal laws, rules and regulations including but not
limited to 42 U.S.C.A. 4601 at sec]. , the Uniform Relocation
Assistance and Real Property Acquisition Policies Act of 1970.
try
°�rzs 6. The cost of the improvements contemplated herein will be
borne by the United States Government and by City as provided by the
terms of the Original FAUP Agreement except as follows:
a. The United States Government is presently participating in !
at least 80% of the eligible costs of STPU Projects, but this ratio
may be changed at some time in the future.
3..
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'h v�i�'w•.e!;t�j;}� �.^S,.�rffye �f i,� 5,t,:t+,5},-1,,�!aN?,II'�1; {IVt ' '6 t }aj girl a Yt .(�k 4Y,��t'ry e�4YF'a'""n° p�t`'�'r^rr /fj ,
r :U'r.�.fi3vii:.:tf:a�t...''st�'i'a"itQ ?.'kYL.'kdt;.Jxi.:i L.ua. f''4 `�:'•.eii,ejwt�Y *iY;LMY.�J. �`, Vii` r.k��, .�'4 � •�e 1
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k CITY OF JEFFERSON CITY
«e�.,.
PROJECT STP-3117 (501)
�P'rwlir
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7. The plans shall provide for handling traffic with signs, a
signals and markings in accordance with the Manual of Uniform Traffic
Control Devices ';
> °� ..
B. Commission and City agree that if an contemplated
1�Iit S^Xti�d
impr
ovements for Project STP-3117 (501) will involve work on state
a:
right of way, the City will provide reproducible final plans to the
Commission relating to such work.
9. At time of processing the required project agreements with
the Federal Highway Administration Commission will advise City of any }'r+
goals wired re
q g is for participation by disadvantaged business enterprise N1
to be included in the City's proposal for the work to be performed. '
;ah 10. City shall notify the prospective bidders that
h .; disadvantaged businesses enterprises shall be afforded full and
affirmative o
pportunity to submit bids in response to the invitation
and will not be discriminated against on grounds of race, color, sex
t or national .origin in consideration for an award.
' 11. Progress payments to the City for preliminary engineering,
acquisition of right of way and construction costs are available upon
City's written request. In the event Project STP-3117(501) is not
1
built or is built to standards not satisfactory to the Federal l
Highway Administration, the City agrees to repay the Commission for
any progress payments made to the City and agrees that the Commission
;4y may deduct any progress payments made to the City from future
payments to the City.
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EXHIBIT "A"
SEVENTH SUPPLEMENTAL .= f
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` , URBAN AGREEMENT
between
MISSOURI HIGHWAY AND TRANSPORTATION COMMISSION
LL{ and
JEFFERSON MISSOURI
PROJECT • 1
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REQUIRED CONTRACT PROVISIONS
' FEDERAL-AID CONSTRUCTION CONTRACTS
a
�:.
Page a. discriminate against labor from any other State, posses-
i,;.:. I. General ........................................ 1 sion, or territory of the United States (except for employment
11. Nondiscrimination ...................................................... 1 preference for Appalachian contracts, when applicable, as speci-
III. Nonsegregated Facilities ............................. 3 lied in Attachment A), or
IV. Payment of Predetermined Minimum Wage 3
t, g ......°••° 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. Safer Accident Prevention II. NONDISCRIMINATION
IX. False Statements Concerning Highway Projects ...... 7
X. Implementation of Clean Air Act and Federal (Applicable to all Federal-aid construction contracts and to
' Water Pollution Control Act ..,...,.. 8 all related subcontracts of$10,000 or more.)
XI. Certification Regarding•;",� Debarment, Suspension, 1. Equal Employment Opportunit y' Equal employment op-
Ineligibility,and Voluntary Exclusion ...................... 8 P ortunit y (EEO) requirements not �
to discriminate and to take
'r XII. Certification Regarding Use of Contract Funds for affirmative action to assure equal opportunity as set forth under
+
Lobbying .................................................................... 10 laws, executive orders, rules, regulations (28 CFR 35, 29 CFR 1630 and 41 CFR 60) and orders of the Secretary of Labor
as modified b the provisions prescribed herein, and imposed
ATTACHMENTS Y P p
pursuant to 23 U.S.C. 140 shall constitute the EEO and specific
j 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
1. GENERAL provisions of the American Disabilities Act of 1990 (42 U.S.C.
1. These contract provisions shall apply to all work per- 12101 et seq.) set forth under 28 CFR 35 and 29 CFR 1630
. formed on the contract by the contractor's own organization are incorporated by reference in this contract. In the execution
' of this contract, the contractor agrees to comply with the follow-
and with the assistance of workers under the contractor's imme-
diate superintendence and to all work performed on the contract mg minimum specific requirement activities of EEO:
by piecework,station work, or by subcontract. a. The contractor will work with the State highway agency
2. Except as otherwise provided for in each section, the con- (SHA) and the Federal Government in carrying out EEO obliga-
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-
sions shall not be incorporated by reference in any case. The "it is the policy of this Company to assure that applicants
prime contractor shall be responsible for compliance by any are employed, and that employees are treated during employ-
subcontractor or lower tier subcontractor with these Required ment, without regard to their race, religion, sex, color, national
Contract Provisions. origin, age or disability. Such action shall include: employment,
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,andlor on-the-job training."
4. A breach of the following clauses of the Required Contract
Provisions ma also be 2. EEO Officer: The contractor will designate and make
i
in v CFR 5.12: grounds for debarment as provided known to the SHA contracting of an EEO Officer who
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 I 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 nd personnel ry p 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
(Micrr--Coniruct) Page I
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::9.fi t }:...r �kAfla_.. .-i .!.��` _..�...,. i.� •„.r_e.1_.__.,�. �f'.�______.:�.1t... ..c 7 u
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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,
such corrective action shall include all affected persons,
b. All new supervisory or personnel office employees will
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 obligationa 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
°a within a reasonable time. If the investigation indicates that
for the project will be instructed by the EEO Officer in the
contractor's procedures for locating and hiring minority group the discrimination may affect persons other than the complain-
=.t artt, such corrective action shall include such other persons.
employees. 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.
i' 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,
"e ees by means of meetings, employee handbooks, or other appro- and applicants for employment.
priate means.
� 7 b. Consistent with the contractor's work force requirements
4 Y 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
,a work force would normally be derived, first year of apprenticeship or training. In the event a special
a.,t
a. The contractor will, unless precluded by a valid bargain- provision for training is provided under this contract, this sub-
q, 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 stun.
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 meats 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 4D,
x"
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
'u`ti r 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
` or through a contractor's association acting as agent will include
; c. The contractor will encourage his present employees a. the procedures set forth below:
to refer minority group applicants for employment. Information
and procedures with regard to referring minority group appli- a. The contractor will use best efforts to develop, in co-
r° cants will be discussed with employees. operation with the unions,joint training programs aimed toward
5. Personnel Actions: Wages, working conditions, and em- qualifying more minority group members and women for mem-
ployee benefits shall be established and administered, and per- bership in the unions and increasing the skills of minority
group employees and women so that they may qualify for
sonnel actions of every type, including hiring, upgrading, pro-
motion, transfer, demotion, layoff, and termination, shall be higher paying employment.
1 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
ti. 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 or disability.
t facilities do not indicate discriminatory treatment of project
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.
's
Page 2
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kr `! Y� �rt'k f( L'4 ,yt. �'+J r's '*• V �£! s t � .;�,.'!7 '�' .
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d. In the event the union is unable to provide the contrac- III. NONSEGREGATED FACILITIES
'Y r for with a reasonable flow of minority and women referrals (App
licable to sill Federal-aid construction contracts and to
.t rbi within the time limit set forth in the collective bargaining agree-
all related subcontracts of$10,000 or more.) #
z' 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
a 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
r 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
that no employee will be denied access to adequate facilities
8. Selection of Subcontractors, Procurement of Materials on the basis of sex or disability.
and Leasing of Equipment: The contractor shall not discrimi-
ieta b. As used in this certification, the term "segregated facili-
':;{x. nate on the grounds of race, color, religion, sex, national origin,
age or disability in the selection and retention of subcontractors, ties" means any waiting rooms, work areas, restrooms and
washrooms, restaurants and other eatin areas, timeclocks, lock-
't'':"•`ys including procurement of materials and leases of equipment. g
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. Cation, and housing facilities provided for employees which are
s'•„'L?', b. Disadvantaged business enterprises (DBE), as defined segregated by explicit directive, or are, in fact, segregated on w
•'ter:',..;fit the basis of race, color, religion, national origin, a e or disabil-
in 49 CFR 23, shall have equal opportunity to compete for g g
and perform subcontracts which the contractor enters into pursu- ity, because of habit, local custom, or otherwise. The only t
exception will be for the disabled when the demands for acces- 4�
�. ant to this contract. The contractor will use his best efforts P
to solicit bids from and to utilize DBE subcontractors or sub- sibiiity override (e.g. disabled parking).
L ;rt,
.1 contractors with meaningful minority group and female rep- c. The contractor agrees that it has obtained or will obtain
k g
resentation among their employees. Contractors shall obtain lists identical certification from proposed subcontractors or material
IN of DBE construction firms from SHA personnel. suppliers prior to award of subcontracts or consummation of
material supply agreements of $10,000 or more and that it
t Yi;;`:• c. The contractor will use his best efforts to ensure sub-
contractor compliance with their EEO obligations. will retain such certifications in its files.
h 9. Records and Reports: The contractor shall keep such IV. PAYMENT OF PREDETERMINED
a records as necessary to document compliance with the EEO MINIMUM 111i'AGE
f ') 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
+:
cited 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
, the site of the work will be paid unconditionally and not less
7 members and women employed in each work classification on often than once a week and without subsequent deduction or
the project; 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
pities 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
wage determination") which is attached hereto and made a
(4) The progress and efforts being made in securing part hereof, regardless of any contractual relationship which
the services of DBE subcontractors or subcontractors with may be alleged to exist between the contractor or its subcontrac-
"� meaningful minority and female representation among their em- tors and such laborers and mechanics. The wage determination
ployees. (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. it' 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 '
t training data. Act (40 U.S.C. 276a) on behalf of laborers or mechanics are
Page 3
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t t
' considered wages paid to such laborers or mechanics, subject Administrator for determination. Said Administrator, or an au-
aragraph 3b, hereof, Also, thorized representative, will issue a deter
to the provisions of Section IV, p mination within 30
't=. , 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, fluids, or programs, which tional time is accessory.
„M1
t cover the particular weekly period, arc deemed to he construe c. The wage rate (including fringe benefits where appropriate)
s tivcly made or incurred during such weekly period. Such labor- determined pursuant to paragraph 2c or 2d of this Section
r`.f�•w" 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 determmination 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,
r b. Laborers or mechanics performing work in more than 3. Payment of Fringe Benefits:
I '
a 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
f• '4 • ' the time spent in each classification in which work is performed. or subcontractors, as appropriate, shall either pay the benefit
}' • as stated in the wage determination or shall pay another bona
c. All rulings and interpretations of the Davis-Bacon Act fide fringe benefit or an hourly case equivalent thereof.
and related acts contained in 29 CFR 1, 3, and 5 arc herein g
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
r•,
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,
# provided, that the Secretary of Labor has found, upon the writ-
-?, is not listed in the wage determination, shall be classified in P ry P
`f conformance with the wage determination. ten request of the contractor, that the applicable standards of
'A,: ' the Davis-Bacon Act have been met. The Secretary of Labor
4, . b, The contracting officer shall approve an additional clan- may require the contractor to set aside in a separate account
'"'' 'f y•:. sification, wage rate and fringe benefits only when the followin g assets for the meetin g of obli g ations under the plan or program.
ram.
}a'w criteria have been met:
rt'!__ , 4. Apprentices and Trainees (Programs of the U.S. DOL)
r (1) the work to be performed by the additional classifiea- and Helpers:
Z;`? ' tion requested is not performed by a classification in the wage
:f
determination; a. Apprenlrces:
if (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
Fr`''M1• 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 time wage ment and Training Administration, Bureau of Apprenticeship
3 rates contained in the wage determination; and and Training, or with a State apprenticeship agency recognized
is employed in his first
k � (4) with respect to helpers as defined in Section IVAc, by the Bureau, or if a person /h er
when such a classification prevails in the area in which the 90 days of probationary employment as an apprentice in such
an apprenticeship program, who is not individually registered
, work is performed.
t.,.,;: 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
c'• laborers and mechanics (if known) to be employed in the addi- (where appropriate) to be eligible for probationary employment
F 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-
>r 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
r 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
;r.
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 nee- job site in excess of the ratio permitted under the registered
s` 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.
'f 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 time 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
e 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
k
Page 4
'. .: ti Y.. :}• T +Y`f,di<v"Y 4_�. Y Ytl�i.. him" i.
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J
M
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wlA \ ...•I . ,. .r '�� s .. •...., _ ... ..}:. ..._ C. .vr-:... ... ,.• 'M1..• ....:. f�'J—.M�w,tt'
t
F• �`' r,r�r !4v ��j w� ��<� '�pixt��a ti r ' ,t��its����` 4f r •
r level of progress, expressed as a percentage of the journeyman- i o w,—cfit*tt 1 ng'and'p'reparmg work areas;eas;I tt�'pbsitioning
level hourly rate specified in the applicable wage determination. holding materials or tools; and related, semi-skilled
Apprentices shall be
RP,4 Y
the paid fringe benefits in accordance with as b the man. A helper may use tools
.4 a t e provisions of the apprenticeship program. If the apprentice- f the trade t n c of a
ship program does not specify fringe benefits, apprentices must the journe �t, The particular duties performed by a he
be n ro
amount aid the full amot f fringe benefits listed on the wage ar z r
p • g g Y
S_` t 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. dare 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 pp 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
b• Trainees: skill training programs which have been certified by the
Sec-retary of Transportation as promoting EEO in connection with
z:F (1) Except as provided in 29 CFR 5.16, trainees will Federal-aid highway construction programs are not subject to
' not be the requirements of
permitted to work at less than the predetermined rate q paragraph 4 of this Section IV. The straight
for the work g
4•:; � 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 1
`x ratio of apprentices and trainees to journeymen shall not be
m K prior approval, evidenced by formal certification by the DOL, PP j y
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:r on the job site shall not be greater than permitted under the
plan approved by the Employment and Training Administration. The SHA shall upon its own action or upon written request
Any employee listed on the payroll at a trainee rate who is of an authorized representative of the DOL withhold, or cause
not registered and participating in a training plan approved to be withheld, from the contractor or subcontractor under this
by the Employment and Training Administration shall be paid contract or any other Federal contract with the same prime
not less than the applicable wage rate on the wage determination contractor, or any other Federally assisted contract subject to
for the classification of work actually performed• In addition Davis-Bacon prevailing wage requirements which is held by
i 'y;r1
ti any trainee performing work on the job site in excess of the the same prime contractor, as much of the accrued payments
ratio permitted under the registered program shall be and not or advances as may be considered necessary to a laborers
p g P paid pay x less than the applicable wage rate on the wage determination and mechanics, including apprentices, trainees, and helpers, em-
_'' for the work actually performed. ployed by the contractor or any subcontractor the full amount
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'`' t hour] rate specified in the applicable wage determination.
x y P contract-
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 d
g eter- 7. Overtime Requirements:
f r mines that there is an apprenticeship program associated with
the corresponding journeyman-level wage rate on the wage de- No contractor or subcontractor contracting for any part of
r
the contract work which may require or involve the employment
termination which provides for less than full fringe benefits
for apprentices, in which case such trainees shall receive the of laborers, mechanics, watchmen, or guards (including appren-
same fringe benefits as apprentices, tices, trainees, and helpers described in paragraphs 4 and :5
! 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
at less than the applicable predetermined rate for the work unless such laborer, mechanic, watchman, or guard receives
compensation at a rate not less than one-and-one-half times
'r performed until an acceptable program is approved. his/her basic rate of pay for all hours worked in excess of
c. Helpers: 40 hours in such workweek.
h wor er 8. Violation:
illed journeyman mechanic) who works un a direction Liability Unpaid for Un and Wa es;
g Liquidated Damages: In the
t' ° t ' meyman's direction event of any violation of the clause set forth in paragraph
and supervision, the orms a va 7 above, the contractor and any subcontractor responsible there-
ass ume aring, c urnislti of shall be liable to the affected employes for his/her unpaid
in eria s, too s, equipment, and supplies and maintainin wages. In addition, such contractor shall be liable to the United
Page 5
Y 4N
t ?c ' � 1+1.;+'F.t .� �'�'�� �. + '�� ^ }�,��?.�.•a �I, � 'mot�. �iy`�:,,�x t f ,�.r^ •' �Nt lt,! 1G'y7 .xe,�, � Q
», Rr .7; .. �/ ..rr�'^-. t �_,..•y u'_ z �.. _____. ._. ]___ �.'"'�)L_1'a_i�s,.tdi_c..`� k�,-ia�
,'tk• '�j ^
i} i ,�,•�' / .. 3 r. a � } r441is k tt
i �1 4 •�t 3} Y �ff� yy,{ iC,yy 1},{{C♦.l'S 1( �.?+ J F i {YJ M
is
' States kin 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 cm- c. Each contractor and subcontractor shall furnish, each
t, ployed in violation of the clause set forth in paragraph 7, week in which any contract work is performed, to the SHA
in the sum of $10 for each calendar day on which such cm-
resident engineer a payroll of wages paid each of its employees
t 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
4 . 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
;. of this Section V. This infonnation may be submitted in any
The SHA shall upon its own action or upon written request form desired. Optional Form WH-347 is available for this pur-
t, of any authorized representative of the DOL withhold, or cause
to be withheld, from any monies payable on account of work pose and may he purchased from the Superintendent of Docu-
ments (Federal stock number 029-005-0014-1), U.S. Govern- •�
t performed by the contractor subcontractor under any such ment Printing Office, Washington, D.C. 20402. The prime con-
contract or any other Federal contract with the same prime tractor is responsible for the submission of copies of payrolls
contractor, or any other Federally assisted contract subject to b all subcontractors.
the Contract Work Hours and Safety Standards Act, which y
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:
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-
lions have been made either directly or indirectly from the
of the Secretary of Labor which are herein incorporated by 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
n 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-
`t►• rity number, and address of each such employee; his or her ment of Compliance" required by paragraph 2d of this Section s
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 M
1(b)(2)(B) of the Davis Bacon Act); daily and weekly number subject the contractor to civil or criminal prosecution under
5 : 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
•i 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- i
ant to Section IV, paragraph 3b, has found that the wages tives of the SHA, the FHWA, or the DOL, and shall permit (I
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 1(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,
.` paced 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.
I
Page 6
I
• .f,P h�`T. � .��1f'y'F p� �+ It ' i .3� ,
}} tj
• ? Fk). t � Tre o r' -r a ..yt�t, t. :SM� H �' tr,t,.f r' �i> st •{ .i +i t.:.•. y t
# Y *q'. ! .} ,i1 r" t tR F,S,. P. f .lL. (yy,(,�.Sy[ 4r,k: yi`• .
_r Ib..., � 3.. i / _.�'i i .... ... J_ 1...�._ _ -..... .. �.,. .n•-}:... :.ri.. \a,J:.. . ... ...ASiL.14 M._ tom, _ 11:..�S.dd�tltltlilfiO
iii. �� t� �( ';�!'tr�'��, t �d 3�'���•�'"� {�t'�'�N�%t%tt� v�;�i� '��,n.`rs�.ekRt s-fi�A�a s�, tR r����+[�t; �S� .�,p'E�" Y4.. ni
"J S.
WSM Mr
:f
1
{
g r
;. V1. 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-
r' s.
System, except those which provide solely for the installation went, 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 it force account or direct labor basis, highway tract,
: beautification contracts, and contracts for which the total final
construction cost for roadway and bridge is less than $I,UI it 4, No portion of the contract shall be sublet, assigned or
` (23 CFR 635) the contractor shall: otherwise disposed of except with the written consent of the
SHA contracting officer, or authorized representative, and such
4 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 Involy- 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.
i
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 VIII. SAFETY: ACCIDENT PREVENTION
! listed on Fonn FHWA-47, and in the units shown on Form
P FHWA-47. 1. In the performance of this contract the contractor shall
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-
I'' 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
j hours worked and the total amount earned.
necessary to protect tlae life and health of employees on the
2. At the prime contractor's option, either a single report job and the safety of the public and to protect property in
covering all contract work or separate reports for the contractor connection with the performance of the work covered by the
and for each subcontract shall be submitted. contract.
2. It is a condition of this contract, and shall be made
VII. SUBLETTING OR ASSIGNING THE
a condition of each subcontract, which the contractor enters
? 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
greater percentage if specified elsewhere in the contract) of safety, as determined under construction safety and health stand-
the total original contract price, excluding any specialty items ards (29 CFR 1926) promulgated by the Secretary of Labor,
designated by the State. Specialty items may be performed in accordance with Section 107 of the Contract Work Hours
by subcontract and the amount of any such specialty items and Safety Standards Act(40 U.S.C. 333).
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.
b. "Specialty Items" shall be construed to be limited to IX. FALSE STATEMENTS CONCERNING
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 enerul are limited bid on
minor the contract on conformity with approved plans and specifications and a high
g p 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 I 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
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.N •k Att. � rt�,E.{;��'y�w�,� ��t�;�i.���� °ityy�itt,��! ��d°�..�.+ � °,�'f� k.
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n
Notice to All Personnel Engaged on SCI. CERTIFICATION REGARDING
Federal-Aid Highway Projects DEBARMENT, SUSPENSION,
18 U.S.C, 1020 reads as follows: NELIGIBILITY AND
AND VOLUNTARY EXCLUSION Q
"Whoever being an officer, agent, or employee of the United 1, Instructions for Certification - Primary Covered Trans-
States, of atry State or Territory, or whoever, whether a person, actions: (Applicable to all Federal-aid contracts - 49 CFR 29) °
association, firm, or corporation, knowingly makes any false d
statement,false representation, or false report as to the char- a. By signing and submitting this proposal, the prospective
acter•, 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
rotary of Transportation; or set out below. The certification or explanation will be consid-
e} Whoever
knowingly makes any f alse 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 'r1
s 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. <
v' ro ect approved b the Secretor o Trans poi or
^tip: p j pp' Y Y f p 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
o i-epot•t submitted pursuant to provisions of the Federal-aid it is later determined that the prospective primary participant J
Roads Act approved July 1, 1916, (39 Stat. 355), as amended knowingly rendered an erroneous certification, in addition to z>%
supplemented; other remedies available to the Federal Government, the depart-
and
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 oi-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 panic-
�' ipant learns that its certification was erroneous when submitted
AND FEDERAL WATER POLLUTION '
or has become erroneous by reason of changed circumstances.
CONTROL ACT
e. The terms "covered transaction," "debarred," "sus-
(Applicable to all Federal-aid construction contracts and to "ineligible," " "
pended,' ineligible,' lower tier covered transaction, par-
all related subcontracts of$100,000 or more.) "person,"ticipant, ` 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 construe- 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
I. That any facility that is or will be utilized in the perform-
this proposal is submitted for assistance in obtaining a copy
ance 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
s by Pub.L. 92-604), and under the Federal Water Pollution Con- this proposal that, should the proposed covered transaction be
trot 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
r p 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-
k; 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 I through 4 of this Section X Bred 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
1
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.,.. . .._ .. ........,t _ ._..- .. + 3'.. •. ,- t'' its= � .. �i.:�4,...i .� ,�,..;�.. . .s
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ga�Y i'4��St�.
°a,.; 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-
,titt of Parties Excluded From Federal Procurement or action was entered into. If it is later determined that the pro-
Non rocurement Programs"P g (Nonprocurement List) which is spectivc lower tier participant knowingly rendered an erroneous
` compiled by the General Services Administration. certification, in addition to other remedies available to the Fed-
' 1. Nothing contnined in the foregoing shall be construed oral 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
' to exceed that which is normal) c. The prospective lower tier participant shall provide im-
in the ordinary course of business dealings.d by a prudent person mediate written notice to the person to which this proposal
is submitted if at any time the prospective lower tier participant
j. Except for transactions authorized tinder 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
} a person who is suspended, debarred, ineligible, or voluntarily d. Thor terms "covered transaction," "debarred," "sus-
t excluded from participation in this transaction, in addition to pended," "ineligible," "primary covered transaction," "partici-
other remedies available to the Federal Government, the depart- Pant," "person," "principal," "proposal," and "voluntarily
ment or agency may terminate this transaction for cause or excluded," as used in this clause, have the meanings set out
default. in the Definitions and Coverage sections of rules implementing
* * * * * Executive Order 12549. You may contact the person to which
Certification Regarding Debarment this proposal is submitted for assistance in obtaining a copy
Suspension, Ineligibility and Voluntary of those regulations.
Exclusion—Primary Covered Transactions The prospective lower tier participant agrees submit-
Exclusion—Primary transaction
r ling this proposal that, should the proposed covered transaction
1. The prospective primary participant certifies to the
best of its knowledge and belief, that it and its principals: be entered into, it shall not knowingly enter into any lower
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 f. The prospective lower tier participant further agrees by
y period preceding this
proposal been convicted of or had a civil judgement ren- submitting this proposal that it will include this clause titled
dered against them for commission of fraud or a criminal "Certification Regarding Debarment, Suspension, Ineligibility
offense in connection with obtaining, attempting to obtain, and Voluntary Exclusion-Lower Tier Covered Transaction,"
or performing a public (Federal, State or local) transaction Without modification, in all lower tier covered transactions and
or contract under a public transaction; violation of Federal in all solicitations for lower tier covered transactions.
'r or State antitrust statutes or commission of embezzlement,
j theft, forgery, bribery, falsification or destruction of g A participation in a covered transaction may rely upon
i records, making false statements, or receiving stolen a certification of a prospective participant in a lower tier cov-
erty; g prop-P Bred transaction that is not debarred, suspended, ineligible, or
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
nally or civilly charged by a governmental entity (Federal, decide the method and frequency by which it determines nthe
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
application/proposal had one or more public transactions h. Nothing contained in the foregoing shall be construed
(Federal, State or local) terminated for cause or default. to require establishment of a system of records in order to
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.
k 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
t 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
f 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
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.>;. .rs.. ..r4.
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} P�y
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-"�.� ,,,yi�1 Xr .,. *.. .t t ..nX'n°� 1•tit {� '�frf ,t 1,�1 f'. �".,t .i'�t .!t r �
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.,f�. __ , • i���...-.e _.. _ _ a—� ar_.'�__ ..-e ors 1—r'
.' r6
« * * * * 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-
2. 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 more-49 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 4
of any Federal agency, a Member of Congress, an officer or shall certify and disclose accordingly.
i
L
i;.l
1
Page 10. 'U.S.Govewawd Prhting Otttoe: IM—343-12W85932
P
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a" ' t v :i' �rT f 51 �•'
James R.Toft
MISSOURI HIGHWAY AND District Engineer
TRANSPORTATION DEPARTMENT
CENTRAL DISTRICT: 1511 Missouri Blvd., P.O. Box 718, Jefferson City, MO 65102 (314) 751-3322 Fax (314) 751-8267
D
APR 2 11,994
April 19, 1994
Mr. Marty Brose
Director of Public Works
320 East McCarty
Jefferson City, Missouri 65101
Dear Mr. Brose:
' Enclosed are seven (7) copies of our standard agreement
covering the improvements on project No. STP-3117 (501) , in
Jefferson City.
Please execute and affix the city seal to six (6) copies of
the enclosed agreements and return them to this office for
further handling, the remaining copy of the agreement is for
your file. We will return a fully executed copy to you.
If you have any questions, please call me at (314) 751-7399.
ry Sincerely,
Leroy Lenger
District Liaison Engineer, Design
cd
Enclosure
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