HomeMy Public PortalAbout007-2013 - layne heavy civil inc-eastside interceptor replaceme (3)SRF FRONT END DOCUMENT CERi7FICATION ADDENDUM
Attachment A: Form WH-347
Attachment B: Required Contract- Provisions Related to Davis -Bacon Act and Related Acts
Attachment C: Rewired Contract Provisions Related to Wage -Fringe Benefit Certification
Attachment D: IFA Wane -Fringe Benefit Ce. A fication Form
Attachment E: Rewired Contract Provision Related to Suspension and Debarment
Attachment A
FcjTm '%H 347
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Attachment B
Required Contract Provisions Related to Davis -Bacon Act and Related Acts
Provisions substantially like the following shall be included in each procurement contract for
the actual construction, attention and/or repair, including painting and decorating. The SRF
Applicant shall remain responsible for. compliance with applicable law (including Davis Bacon
and related Acts). Such SRF Applicant has been encouraged to consult with its advisors and
counsel regarding such matters and, in any event, understands that the use of the following does
not relieve the SRF.' Applicant front its obligation to comply with applicable law, (including .Davis
Bacon and related Acts) and related provisions of any financial assistance agreement entered into
with the Indiana Finance. Authority, nor will the State Revolving Fund Loan Programs, the
Indiana Finance Authority or the State of Indiana be responsible for or limited by any SRF
Applicant's use of the following provision.
(1) Minimum wages.
(i) All laborers and mechanics employed or working upon the site of the work will be paid
unconditionally and not less often than once a week, and without subsequent deduction or rebate
on any account (except such payroll deductions as are permitted by regulations issued by the
Secretary of Labor under the Copeland Act (29 CFR part 3) ), the full amount of wages and bona
fide fringe benefits (or cash equivalents thereoO due at time of payment computed at rates not
less than ihose contained in the wage determination of the Secretary of Labor which is attached
hereto,and made a part hereof, regardless of any contractual relationship which may be alleged to .
exist between the contractor and such laborers and mechanics.
Contributions made or costs reasonably anticipated for bona fide fringe benefits under section
1(b)(2} of the Davis -Bacon -Act on behalf of laborers or mechanics are considered wages paid to
such laborers or mechanics; subject to the provisions of paragraph (1)(iv) of this section; also,
regular contributions made or costs incurred for more than a weekly period (but not less often
than quarterly) under plans, funds, or programs which cover the particular weekly period, are
deemed to be constrictively made or incurred during such weekly period. Such laborers and
mechanics shall be paid the appropriate wage rate and ftinge benefits on the wage deterzmiriation
for the classification of work actually performed, without regard to skill, except as provided in
Section (d). Laborers or mechanics performing work in more than one classification may be
compensated at the rate specified for each classification for the time actually worked therein:
Pro -sided, That the omployer.'s payroll records accurately set forth the wisme spent in each
classification in which work is performed. The wage determination (including any additional
classification and wage rates conformed under paragraph (1)(ii) of this section) and the Davis -
Bacon poster (WH-1321) shall be posted at all tunes by the contractor and its subcontractors at
the site of the work in a prominent and accessible place where it can be easily seen by the
workers.
(ii)(A) The ; SRF Applicant], on behalf of EPA, shall require that any class of laborers or
mechanics, including helpers, which is not listed in the wage deternnation and which is to be
employed under the contract shall be classified in conformance with the wage determination.
The EPA award official shall approve an additional classification and wage rate and fringe
benefits therefore only when the following criteria have been met:
(1) The work to be performed by the classification requested is not performed by a classification
in the wage determination; and
(2) The classification is utilized in the area by the construction industry; and
(3) The proposed wage rate, including any bona fide fringe benefits, bears a reasonable
relationship to the wage rates contained in the wage determination.
(B) Ifdfe contractor and the laborers and mechanics to be employed in the classification (if
known), or their representatives, and the [SRF Applicant] agree on the classification and wage
rate (including the arnount designated for fringe benefits where appropriate), a report of the
action taken shall be sent by the [SRF Applicant] to the State award official. The State award
official will transmit the report, to the Admirdstxator of the Wage and Hour Division,
Employment Standards Administration; U.S. Deparunent of• Labor, Washington, DC 20210. The
Administrator, or an authorized representative, will approve, modify, or disapprove every
additional classification action widen 30 days of receipt and so advise the State award official or
will notify the State award official within the 30-day period that additional time is necessary.
(C) In the event the contractor, the laborers or mechanics to be employed in the classification or
their representatives, and the and the [SRF Applicant] do not agree on the proposed
classification and wage rate (including the amount designated for fringe benefits, where
nffiriai shall reff'r th? qufi ,zti.nr q, ;nrj-,jdi.no tlia irie. 7� q ofsl,i intP.jf--',4M
parties and the reeorrineadation of the State award official, to the Administrator for
determination. The Administrator, or an authorized representative, will issue a determination
within 30 days of receipt and so advise the contracting officer or will notify the contracting
officer within the 30-day period that additional time is necessary.
(D) The wage rate (including fringe benefits where appropriate) determined pursuant to
paragraphs (1)(ii)(B) or (C) of this section, shall be paid to all workers perforrrriag work in the
classification under this contract front the first day on which work is performed in the
classification.
(iii) Whenever the minimum wage rate prescribed in the contract for a class of laborers or
mechanics includes a fringe benefit which is not expressed as an hourly rate, the contractor shall
either pay the benefit as stated in the wage determination or shall pay another bona fide fringe
benefit cr an hourly cash equivalent thereof.
(iv) If the contractor does not make payments to a trustee or other third person, the contractor
may consider as part of the wages of any laborer or mechanic the amount of any costs reasonably
anticipated in providing bona fide fringe benefits under a plan or program, provided, that the
Secretary of Labor has found, upon the written request of the contractor, that the applicable
standards of the Davis -Bacon Act have been met. The Secretary of Labor may require the
contractor to set aside in a separate account assets for the meeting of obligations under the plan
or program.
(2) : Withholding. The [SRF Applicant], shall upon written request of the EPA Award Official
or an authorized representative of the Department of Labor, withhold or cause to be withheld
from the contractor under this contract or any other Federal contract with the same prime
contractor, or any other federally -assisted contract subject to Davis -Bacon prevailing wage
requirements, which is held by the same prime contractor, so much of the accrued payments or
advances as- may be considered necessary to pay laborers and inechaiucs, including apprentices,
trainees, and helpers, employed by the contractor or any subcontractor the full amount of wages
required by the contract. In the event of failure to pay any laborer or mechanic, including any
apprentice, trainee, or helper, employed or working on the site of the work, all or part of the
wages required by the contract, the (Agency) may, after written notice to the contractor, sponsor,
applicant, or. owner, take such action as may be necessary to cause the suspension of any further
payment, advance, or guarantee of funds until such violations have ceased.
(3) Payrolls and basic records.
(i) Payrolls and basic records relating thereto shall be maintained by the contractor during the
course of the work and preserved for a period of three years thereafter for all laborers and
mechanics working at the site of the work. Such records shall contain the name, address, and
social security number of each such worker, his or her correct classification, hourly rates of
wages paid (including rates of contributions or costs anticipated for bona fide fringe benefits or
cash equivalents thereof of the types described in section I(b)(2)(B) of the Davis -Bacon Act),
daily and weekly number of hours worked, deductions made and actual wages paid. Whenever
the Secretary of Labor has found under 29 CFR 5.5(a)(1)(iv) that the wages of any laborer or
:mecbn iir-inc.11 - the.art:momit.nf.PTit, (,r% �.re� onablv.?ntiry,�ated in prm�jrYiY?ry 1??nefitS
plan or program described in section I(b)(2)(B) of the Davis -Bacon Act, the contractor shall
maintain records which show that the commitment to provide such benefits is enforceable, that
the plan or program is financially responsible, and that the plan or program has been
communicated in writing to the laborers or mechanics affected, and records which show the costs
anticipated or the actual cost incurred in providing such benefits. Contractors einploying
apprentices or trainees under approved programs shall maintain written evidence of the
registration of apprenticeship programs and certification of trainee programs, the registration of
the apprentices and trainees, and the ratios and wage rates prescribed in the applicable programs.
(ii)(A) The contractor shall submit weekly, for each week in which any contract work is
peifonned, a copy of all payrolls to the [SRF Applicant], that is, the entity that receives the sub -
grant or loan from the State capitalization grant recipient. Such documentation shall be available
on request of the State recipient or EPA. As to each payroll copy received, the [SRF Applicant] .
shall provide "vvritice.1 confirination-hi-a" funn, satisfactory- to the State indicating whether of riot "
the project is in compliance with the requirements of 29 CFR 5.5(a)(1) based on the most recent
payroll copies for the specified week. The payrolls shall set out accurately and completely all of
the information required to be maintained under 29 CFR 5.5(a)(3)(i), except that full social
security numbers and home addresses shall not be included on the weekly payrolls. Instead the
payrolls shall only need to include an individually identifying number for each employee (e.g.,
the last four digits of the employee's social security number). The required weekly payroll,
information may be submitted in any form desired. Optional Form WII-347 is available for this
purpose froin the Wage and Hour Division Web site at
http://www.dol.gov/esa/`vvhd/feiinn-,/wh347instr.btm or its successor site. The prime contractor is
responsible for the submission of copies of payrolls by all isubcontractors. Contractors and
subcontractors shall maintain the full social security number and current address of each covered
worker, and shall provide them upon request to the (SRF Applicant] for transmission to the
State or EPA if requested by EPA, the State, the contractor, or the Wage and Hour Division of
the Department of Labor for purposes of an investigation or audit of compliance with prevailing
wage requirements. It is not a violation of this section for a prime contractor to require a -
subcontractor to provide, addresses and social security numbers to the prime contractor for its
own'records, without weekly submission to the [SRF Applicant].
(B) Each payroll submitted shall be accompanied by a "Statement of Compliance," signed by the
contractor or subcontractor or his or her agent who pays or supervises the payment of the persons
employed under the contract and shall certify the following:
(1) That the payroll for the payroll period contains the information required to be provided under
§ 5.5(a)(3)(ii) of Regulations, 29 CFR part 5, the appropriate information is being maintained
under § 5.5 (a)(3)(i) of Regulations; .29 CFR part 5, and that such information is correct and
complete;
(2) That each laborer or mechanic (including each helper, apprentice, and trainee) employed on
the contract during the payroll period has been paid the full weekly wages earned, without
rebate, either directly or indirectly, and that no deductions have been made either directly or
indirectly from the full wages earned, other than permissible deductions as set forth in
Regulations, 29 CFR part 3; and
(3) -.Th;� t.aach lal)orer or hac h-tt7r,..paid not lHzQ than the applir2.ble wag? ritt-s and
fringe benefits or cash equivalents for Lire classification of work performed, as specified in the
applicable wage detern-iination incorporated into the contract.
(C) The weekly submission of a properly executed certification set forth on the reverse side of
Optional Form WH-347 shall satisfy the requirement for submission of the "Statement of
Compliance" required by paragraph (3)(ii)(B) of this section.
(D) The falsification of any of the above certifications may subject the contractor or
subcontractor to civil or criminal prosecution under section 1001 of title 18 and section 231 of
title 31 of the United States Code.
,(iii) The contractor or subcontractor shall make the records required under paragraph (3)(i) of
this section available for inspection, copying, or transcription by authorized representatives of
the State, -EPA or the Department of Labor, and shall pennit sucli representatives to interview
employees during working hours on the job. If the contractor or subcontractor fails to submit the
required records or to make them available, the Federal agency or State may, after written notice
to the contractor, sponsor, applicant, or owner, take such action as may be necessary to cause the
suspension of any fiu-ther payment, advance, or guarantee of fiends. Furthermore, failure to
submit the required records upon request or to make such records available may be grounds for
debarment action pursuant to [SRF Applicant].
(4) Apprentices and trainees.
(i) Apprentices. Apprentices will be permitted to work at less than the predetermined rate for
the wort: they performed when they are employed pursuant to and individually registered in a
bona fide apprenticeship programregistered with the U.S. Department of Labor, Employment
and Training Administration, Office of Apprenticeship Training, Employer and Labor Services,
or with a State Apprenticeship Agencyrecognized by the Office, or if a person is employed irl
his or her first 90 days of probationary employment as an apprentice in such an apprenticeship
program, who is not individually registered in the program, but who has been certified by the
Office of Apprenticeship Training, Employer and Labor Services or a State Apprenticeship
Agency (where appropriate) to be eligible for probationary employment as an apprentice. The
allowable ratio of apprentices to journeymen on the job site in any craft classification shall not be
.greater- than the ratio pe.- mitted to the contractor as to the entire work force under the registered
program. Any worker listed on a payroll at an apprentice wage rate, who is not registered or
otherwise employed as stated above, shall be paid not less than the applicable wage rate on. the
wage determination for the classification of work actually performed. In addition, any
apprentice performing work on the job site in -excess of the ratio permitted under the registered
program shall be paid not less than the applicable wage rate on the wage determination for the
work actually performed. Where a contractor is performing construction on a project in a
locality other than that in which its program is registered, the ratios and wage rates (expressed in
percentages of the journeyman's hourly rate) specified in the contractor is or subcontractor's
registered program shall be observed. Every apprentice must be paid at not less than the rate
specified in the registered program for the apprentice's level of progress, expressed as a
percentage of the journeymen hourly rate specified in the applicable wage determination.
Apprentices shall be paid fringe benefits in accordance with the provisions of the apprenticeship
program, if.tb� 3„rr-enti .(, rirn�ram OQ.��]Ot Sne�i.f;�.fri�tgP,hPnPfits ?nA7rel�ti�. � mncY-]IF
,
paid the full amount of fringe benefits listed on the -wage determination for the applicable
classification. If the Administrator determines that a different practice prevails for the applicable
apprentice classification, fringes shall be paid in accordance with that deterniiiation. In the
event the Office of Apprenticeship Training, Employer and Labor Services, or a State
Apprenticeship Agency recognized by the Office, withdraws approval of an apprenticeship
program, the contractor will no longer be permitted to utilize apprentices at less than the
applicable predetermined rate for the work performed until an acceptable program is approved.
(ii) Trainees. Except as provided in 29 CFR 5.16, trainees will not be permitted to work at less
than the predetermined rate for the work performed unless they are employed pursuant to and
individually registered in a program which has received prior approval, evidenced by formal.
certification by the U.S. Department of Labor, Employment and Training Administration. The
ratio of trainees to journeymen on the job site shall not be greater than permitted under the plan
approved by the Employment and Training Administration. Every tramee-must be paid at iEot
less than the rate specified in the approved program for the trainee's level of progress, expressed
as a percentage of the journeyman hourly rate specified in the applicable wage determination.
Trainees shall be paid fringe benefits in accordance with the provisions of the trainee piogmTi.
If the trainee program does not mention fringe benefits, trainees shall be paid the full amount of
fringe benefits listed on the wage determination unless the Administrator of the Wage and Hour
Division determines that there is an apprenticeship prograin associated with the corresponding
journeyman wage rate on the wage determination which provides for less than full fringe benefits
for apprentices. Any employee listed on the payroll at a trainee rate who is not registered and
participating in a training plan approved by- the Einployinent and Training Administration ;hall
be paid not less than the applicable wage rate on the wage determination for the classification of
work actually performed. In addition, any trainee perfonning work on the job site in excess of
the ratio permitted under the registered program shall be paid not Iess than the applicable wage
rate on the wage determination for the work actually performed. In the event the Employment
and Training Administration withdraws approval of a training program, the contractor will no
longer be permitted to utilize trainees at less than the applicable predetermined rate for the work
performed until an acceptable program is approved.
(iii) Equal employment opportunity. The utilization of apprentices, trainees and joumeymen
under this part shall be in conformity with the equal employment opportunity requirements of
Executive Order 11246, as amended, and 29 CFR part 30.
(5) Compliance with Copeland Act requirements. The contractor shall comply with the
requirements of 29 CFR part 3, which are incorporated by reference in this contract.
(6) Subcontracts. The contractor Gr subcontractor shall insert in any subcontracts the clauses
contained in 29 CFR 5.5(a)(1) through (10) and such other clauses as the governing federal
agency may by appropriate instructions require, and also a clause requiring the subcontractors to
include these clauses in any lower tier subcontracts. The prune contractor shall be responsible
for the compliance by any subcontractor or lower tier subcontractor with all the contract clauses
in 29 CFR 5.5.
(7) Contract termination: debannent. A breach of the contract clauses in 29 CFR 5.5 may be
grounds for termnation of the contract, and for debannent as a contractor and a subcontractor as
r+ro,70 r. it 74 CPP 5 11
(8) Compliance with Davis -Bacon arid Related Act requirements. All rulings and interpretations
of the Davis -Bacon and Related Acts contained in 29 CFR parts 1, 3, and 5 are herein
incorporated by reference in this contract.
(9) Disputes concerning labor standards. Disputes arising out of the labor standards provisions
of this contract shall not be subject to the general disputes clause of this contract. Such disputes
shall be resolved in accordance with the procedures of the Department of Labor set forth in 29
CFR parts 5, 6, and 7. Disputes within the meaning of this clause include disputes between the
contractor (or any of its subcontractors) and Subrecipient(s), State, EPA, the U.S. Department of
Labor, or the employees or their representatives.
(10) Certification of eligibility.
(i) By entering into this contract, the contractor certifies that neither it (nor he or she) nor any
person or firm who has an interest in the contractor's firm is a person or firm ineligible to be
awarded Government contracts by virtue of section 3(a) of the Davis -Bacon Act or 29 CFR
5.12(a)(1).
(d) No.part of this contract shall be subcontracted to any person or film ineligible for award of a
Government contract by virtue of section 3(a) of the Davis -Bacon Act or 29 CFR 5.12(a)(1).
.(iii) The penalty for making false statements is prescribed in. the U.S. Crirxi..inal Code, 1S U.S.C.
1001.
(11) Overtime requirements. No contractor or subcontractor contracting for any part of the
contract work which may require or involve the employmentof laborers, mechanics, watchmen
and guards shall require or permit any such laborer, mechanic, watchman or guard in any
workweek in which he or she is employed on such work to work in excess of forty hours in such
workweek unless such laborer; mechanic, watclnnan or guard receives compensation at a rate not
less than one and one-half times the basic rate of pay for all hours worked in excess of forty
hours in. such workweek.
(12) Violation; liability for unpaid wages; liquidated damages. In the event of any violation of
the clause set forth in the above paragraph (11) of this section the contractor and any
subcontractor responsible therefor shall be liable for the unpaid wages. In addition, such
contractor and subcontractor shall be liable to the United States (in the case of work done under
contract for the District of Columbia or a territory, to such District or to such territory), for
liquidated damages. Such liquidated damages shall be computed with respect to each individual
laborer, mechanic, watchman or guard employed in violation of the clause set forth in the above
paragraph (11) of this section, in the sung of a 10 for each calendar day on which such individual
was required or permitted to work in excess of the standard workweek of forty hours without
payment of the overtime wages required by the clause set forth in the above paragraph (11) of
this section.
(13) Withholding for unpaid wages and liquidated daniages. The [SRF Applicant], upon
written request of the EPA Award Official or an authorized representative of the Deparhment of
l,a,hnr, chap �xrith nlrj nr r�i) P tn,l� ,�a».ti7llPir1, i-o1Y3 ?per ?71(?r�rx�.c na�rabl� nn arrnl.l3lt of work
performed by the contractor or subcontractor under any such contractor any other Federal
contract with the same prime contractor, or any other federally -assisted contract subject to the
Contract Work Hours and Safety Standards Act, which is held by the same prime contractor,
such. sums as may be determined to be necessary to satisfy any liabilities of such contractor or
subcontractor for unpaid wages and liquidated dain.ages as provided in the clause set forth in the
above paragraph (12) of this section.
(14) Subcontracts. The contractor or subcontractor shall insert in any subcontracts the clauses
set forth in paragraphs (11) through (14) of this section and also a clause requiring the
subcontractors to include these clauses in any lower tier subcontracts. The prune contractor shall
be responsible for compliance by any subcontractor or lower tier subcontractor with the clauses
set forth in paragraphs (11) through (14) of this section.
-(b) 1h addition -to the clauses coinair.i_,d t. i paragraph (13), above, in aily contract sulcjocL only to
the Contract Work Hours and Safety Standards Act and not to any of the other statutes cited in
29 CFR 5.1, the [SRF Applicant] shall insert a clause requiring that the contractor or
subcontractor shall maintain payrolls and basic payroll records during the course of the work and
shall preserve their for a period of three years from the completion of the contract for all
laborers, mechanics, watchmen and guards working on the contract. Such records shall contain
the name and address of each such employee, social security number, correct classifications,
hourly rates of wages paid, daily and weekly number of hours worked, deductions made, and
actual wages paid. Further, the [SRF Applicant] shall insert in any such contract a clause
providing hat the records to be maintained under this paragraph shall -be made available by the
contractor or subcontractor for inspection, copying, or transcription by authorized representatives
of the (write the name of agency) and the Departrnent of Labor, and the contractor or .
subcontractor will permit such representatives to interview employees during working hours on
the job.
[29 CFR 5.51
Attachment C
Required Wage/Fringe Benefit Certification
A provision substantially life the following shall be included in each contract between SRF
Applicant and a contractorfor work related to the Project. A copy of the Wage/Fringe Benefit
Certification referenced in the below provision is attached hereto. Additional copies may be
obtained from the Indiana Finance Authority.
Davis -Bacon Wage/Fringe Benefit Certification
(a) Every contractor and subcontractor furnishing work on the Project shall coinplete a
Wage/Fringe Benefit Certification on the form approvedby the Indiana Finance Authority and.
submit this certification to the Labor Standards Administrator prior to corlunencing work on the
Project.
(b) The Contractor shall require the substance of this provision to be included in all contracts
with subcontractors.
Attachment D
IFA Wage -Fringe Certification Form
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Attachment E
Required Contract Provision Related to Suspension and Debarment
A provision substantially lure the below shall be included in each procurement contract related
to the Project The SRF Applicant shall Terrain responsible for compliance with applicable
law (including Suspension, Debarment, and Other Responsibility Matters). Such SRF
Applicant has been encouraged to consult with its advisors and counsel regarding such
matters and, in any event, understands that the use of the following does not relieve the SRF
Applicant from its obligation to comply with applicable law (including Suspension,
Debarment, and Other Responsibility Matters) and related provisions of any financial
assistance agreement entered into with the Indiana Finance Authority, nor will the State
Revolving Fund Loan Programs, the Indiana Finance Authority or the State of Indiana be
responsible for or limited by any SRF Applicant's use of the following provision.
Contractor shall fully comply with Subpart C of 2 CFR Part 180 and 2 CFR Part 1532, entitled
"Responsibilities of Participants Regarding Transactions (Doing Business with Other Persons)."
Contractor is responsible for ensuring that any lower tier covered transaction as described in
Subpart B of 2 CFR Part 180 and 2 CFR Part 1532, entitled "Covered Transactions," includes a
terra or condition requiring compliance with Subpart C. Contractor is responsible for ftu-ther
requiring the inclusion of a similar term or condition in any subsequent lower tier covered
transactions. Contractor may access the Excluded Parties List System at vvww.epls.gov. This
tern and condition supersedes EPA Forth 5700-49, "Certification Regarding Debarment,
Suspension, and Other Responsibility matters."
INDLkNA STATE REVOLVING FUND LOAN PROGRAM
DBE PACKET
This packet lists required contract conditions that apply to all Clean Water and Drinking
Water State Revolving Fund projects and contains forms that must be used in the , .
procurement process This packet must be physically included in all bidding and contract
documents. .
This project is being financed in whole or in part by the Indiana State Revolving Fund Loan
Programs. The loan recipient is required to comply with the following federal and state laws,
rules and regulations and must ensure that their contractor(s) also comply with these
regulations, laws and rules.
Title VI of the Civil Rights Act of 1964 (P.L 88-352), the Rehabilitation Act of 1973
(P.L. 93-1123, 87 Stat. 355, 29 U.S.C. Sec. 794), the Older Americans Amendments of
1975 (P.L. 94-135 Sec. 303, 89 Stat.713, 728, 42 U.S.C. Sec. 6102), and subsequent
regulations, ensures access to facilities or programs regardless of race, color, national
origin, sex, age or handicap.
2. Executive Orders 11246, as amended by Executive Orders 11375 and 12086 and
subsequent regulations. Prohibits employment discrimination on the basis of race, color,
religion, sex or national origin. Inclusion of the seven clauses in Section 202 of E. O.
11246 as amended by E. O. 11375 and 12086 are required in all project related contracts
and subcontracts over $10,000.
Executive Orders 11625, 12138 and 12432; 40 CFR part 33; Section 129 of P. L. 100-590
Small Businesses Reauthorization & Amendment Act of 1988; Public Law 102-389 (42
U.S.C. 437d); a 1993 appropriations act ("EPA's 8% statute"); Public Law 101-549, Title
X of the Clean Air Acts Amendments of 1990 (42 U.S.C. 7601 note) ("EPA's 10%
statute"). Encourages recipients to award construction, supply and professional service
contracts to minority and women's business enterprises (MBE/WBE) and small
businesses and requires recipients to utilize affirmative steps in procurement.
4. 40 CFR Part 33 . Participation by Disadvantaged Business Enterprises in Procurement
under Environmental Protection Agency (EPA) Financial Assistance Agreements
Executive Order 12549, 3 CFR, 189 and 40 CFR Part 32, Subparts B and C. Prohibits
entering Into contracts or sub -contracts wiffi individuals or businesses who are debarred
or suspended. Borrowers are required to check the status of all contractors (construction
and professional services) and must require contractors to check the status of
subcontractors for contracts expected to be equal to or over $25,000 via this Internet
address: htt ale ]s.arnet. ov/.
6. Indiana Code 36-1-12-12, Requires the board to withhold final payment to contractor until
the contractor has paid the subcontractors, material suppliers, laborers, or those furnishing
services.
7. Indiana Code 36-1 - 12-13.1, requires performance and payments bonds equal to 100% of
the contract price if the cost of the public work is estimated to be more than $200,000.
8. Indiana Code 5-16-7-1, requires that contractors of a public work, and any subcontractor of
the construction, shall pay for each class of work described in subsection (c)(1) on the project -a
scale of wages that may not be less than the common construction wage.
Equal Employment
Inclusion of these seven clauses (excerpt from Executive Order No. 11246, Section 202 as
amended by Executive Order 11375 and 12086) is required in all CWSRF and DWSRF
project related contracts and subcontracts over $10,000:
During the performance of this contract, the contractor agrees as follows:
(1) The contractor will not discriminate against any employee or applicant for employment
because of race, color, religion, sex or national origin. The contractor will take affirmative
action to ensure that applicants are employed,. and that employees are treated during
employment, without regard to their race, color, religion, sex, or national origin. Such action
shall include, but not be limited to the following: employment, upgrading, demotion, or
transfer; recruitment or recruitment advertising; layoff or termination; rates of pay or other
forms of compensation; and selection for training, including apprenticeship. The contractor
agrees to post in conspicuous places, available to employees and applicants for employment,
notices to be provided by the contracting officer setting forth the provisions of this
nondiscrimination clause.
(2) The contractor will, in all solicitations or advertisements for employees placed by or on
behalf of the contractor, state that all qualified applicants will receive consideration for
employment without regard to race, color, religion, sex, or national origin.
(3) The contractor will send to each labor union or representative of workers with which he
has a collective bargaining agreement or other contract or understanding, a notice, to be
provided by the agency contracting officer, advising the labor union or worker's
representative of the contractor's commitments under Section 202 of Executive Order No.
11246 of September 24, 1965, and shall post copies of the notice in conspicuous places
available to employees and applicants for employment.
(4) The. contractor will comply with all provisions of Executive Order No. 11246 of Sept. 24,
1965, and all of the rates, regulations, and relevant orders of the Secretary of Labor.
(5) The contractor will furnish all information and reports required by Executive Order No.
11246 of Sept. 24, 1965, and by the rules, regulations and orders of the Secretary of Labor, or
pursuant thereto, and will permit access to his books, records, and accounts . by the
contracting agency and the Secretary of Labor for purposes of investigation to ascertain
compliance with such rules, regulations, and orders.
(6) In the event of the contractor's noncompliance with the nondiscrimination clauses of this
contract or with any of such rules, regulations, or orders, this contract may be cancelled,
terminated or suspended in whole or in part and the contractor may be declared ineligible for
N
further Government contracts in accordance with procedures authorized in Executive Order
No. 11246 of Sept. 24, 1965, and such other sanctions may be imposed and remedies invoked
as provided in Executive Order No. 11246 of Sept. 24, 1965, or by rule, regulation, or order
of the Secretary of Labor, or as otherwise provided by law.
(7) The contractor will include the provisions of paragraphs (1) through (7) in every
subcontract or purchase order unless exempted by rules, regulations, or orders of the
Secretary of Labor issued pursuant to Section 204 of Executive Order No. 11246 of Sept. 24,
1965, so that such provisions will be binding upon each subcontractor or vendor. The
contractor will. take such action with respect to any subcontract or purchase order as may be
directed by the Secretary of Labor as a means of enforcing such provisions including
sanctions for noncompliance: Provided, however, that in the event the contractor becomes
involved in, or is threatened with, litigation with a subcontractor or vendor as a result of such
direction, the contractor may request the United States to enter into such litigation to protect
the interests of the United States.
Disadvantaged Business Enterprises (DBE)
Good Faith Efforts .
Borrowers and their prime contractors must follow, document, and maintain documentation
of their good faith efforts .to meet the MBE/WBE goals as listed below to ensure that
Disadvantage Business Enterprises (DBEs) have the opportunity to participate in the project
by increasing DBE awareness of procurement efforts and outreach. More information on how
to become a certified DBE, including the full list of currently certified DBEs, can be found
by visiting the following website: http.://www.in.go-v/indot/2392.htm.
The fair share goal of contracts and subcontracts to be awarded to MBEs and WBEs and
their participation in the Contractors aggregate workforce in each trade on all
construction work for the subject project are as follows:
MBEs 7 %
WBEs 5 %
1. Ensure DBEs are made aware of contracting opportunities to the fullest extent practicable
through outreach and recruitment activities; including placing DBEs on solicitation lists
and soliciting .them whenever they are potential sources. The Good Faith Efforts
Worksheet must be used to record the efforts made for DBE contracting.
2. Make information on forthcoming opportunities available to DBEs and arrange time
frames for contracts and establish delivery schedules, where the requirements permit, in a
way that encourages and facilitates participation by DBEs in the competitive process.
This includes,. whenever possible, posting solicitation for bids or proposals for a
minimum of 3.0 calendar days before the bid or proposal closing date.
3. Consider in the contracting process whether firms competing for large contracts could be
subcontracted with DBEs. This will include dividing total requirements when
economically feasible into smaller tasks or quantities to permit maximum participation by
DBEs in the competitive process.
4. Encourage contracting with a consortium of DBEs when a contract is too large for one of
these firms to handle individually.
5. Use the services and assistance of the Small Business Administration and the Minority
Business Development Agency of the U. S. Department of Commerce.
6. If the prime contractor awards subcontracts, require the prime contractor to take the steps
in numbers 1 through 5 above.
Required Contract Conditions
These conditions must be included in all procurement contracts entered into by the loan
recipient for all DWSRF and CWSRF projects:
1. The prime contractor must pay its subcontractor for satisfactory performance no more
than 30 days from the prime contractor's receipt of payment from the loan recipient.
2. The prime contractor must notify the loan recipient in writing prior to the termination of
any DBE subcontractor for convenience by the prime contractor.
3. If a DBE subcontractor fails to complete work under the subcontract for any reason; the
prime contractor must employ the six good faith efforts if. soliciting a replacement
subcontractor.
4. The prime contractor must employ the six good faith efforts even if the prime contractor
has achieved its fait share objectives.
5. Each procurement contract signed must include the following term and condition:
"The contractor shall not discriminate on the basis of race, color, national origin
or sex in the performance of this contract. The contractor shall carry out
applicable requirements of 40 CFR Part 33 in the award and administration of
contracts awarded under EPA financial assistance agreements. Failure by the
contractor to carry out these requirements is a material breach of this contract
which may result in the termination of this contract or other legally available
remedies."
4
CERTIFICATE OF OWNER'S ATTORNEY
I, the undersigned, Walter S. Chidester. Attorney, the duly authorized and acting legal
representative of the City of Richmond, Indiana, do hereby certify as fellows:
have examined the attached contract(s) and performance and payment bond(s) and
contractor's Certificate of Insurance and the manner of execution thereof, and I am of the
opinion that each of the aforesaid agreements are adequate, and have been duly executed by
the. proper parties thereto acting through their duly authorized representatives; that said
representatives have full power and authority to execute said agreements on behalf of the
respective parties named thereon; and that the foregoing agreements constitute valid and
legally binding obligations upon the parties executing the same in accordance with terms,
conditions, and provisions thereof.
1S1 Waiter S. Chhidesster, Attorney
Date:
ESCROW AGREEMENT
THIS ESCROW AGREEMENT made and entered into this2$ day of Fle - IZd0Iti ,
2013 by and between UMB Bank, N.A., as Escrow Agent hereinafter called the Escrow Agent,
the City of Richmond. IN hereinafter called the Owner, and, Layne Heavy Civil. Inc. hereinafter
called the Contractor.
WHEREAS, the Owner and the Contractor entered into a contract dated February 6.
2013, providing for the construction by the Contractor of the East Side Interceptor Replacement
Proiect Phase III, for the City of Richmond, IN subject to the provisions of IC 36-1-12-14, and
WHEREAS, said construction contract provides that portions of payments by the Owner
to the Contractor shall be retained by the Owner (herein called Retainage), and
WHEREAS, all retainage shall be deposited in an Escrow Account.
NOW, THEREFORE, it is agreed as follows:
The Owner will hereafter deliver or cause to be delivered to the Escrow Agent that
portion of the Retainage to be placed in escrow, to be held in escrow in accordance with
the terms of this Agreement.
2. All income earned on such funds shall be added to and become a part of the escrowed
principal.
3. The Escrow Agent shall pay over the net sum held by it hereunder as follows:
a. In the manner directed by the joint written authorization of the Owner and
Contractor.
b. In the absence of such a joint written authorization, upon receipt from the Owner
of a written notice pursuant to Article 15 of the General Conditions showing that
the Owner has terminated the employment of the Contractor, which notice has
not been contested by the Contractor within three (3) business days, then the
Escrow Agent shall pay over to the Owner the net sum held by it hereunder.
C. In the absence of such a joint written authorization and in the absence of the
termination of the employment of the Contractor as provided in b., above, in the
manner directed by a certified copy of a judgment of a court of record
establishing the rights of the parties to said funds.
4. This Escrow Agreement shall constitute the direction from the Owner and Contractor to
the Escrow Agent of the manner in which the Retainage is to be paid by the Escrow
Agent, pursuant to IC 36-1-12-14.
5. The Escrow Agent shall deduct, before any payment from the amounts received
hereunder, its fee as Escrow Agent, which fee shall be payable from the income earned
by the retainage and which escrow fee shall in no event exceed fifty percent (50%) of
said income earned.
C-21
6. This Agreement and anything done or performed hereunder by either the Contractor or
Owner shall not be constructed to prejudice or limit the claims which either party may
have against the other arising out of the aforementioned construction agreement.
7. This instrument constitutes the entire Agreement between the parties regarding duties of
the Escrow Agent with respect to the investment and payment of escrow funds; the
Escrow Agent is not liable to the Owner and Contractor for any loss or damages other
than by its own negligence or willful misconduct.
CITY OF RICHMOND, IN
OWNER
01
By:
r:.
Sue Miller, President
Board of Sanitary Commissioners
APPROVED:ZZ
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Sarah L. Hutton, Mayor
Layne Heavy Civil, Inc.
(Contractor)
By: ZAI!!!� 0 -
Ashley Q inn, District Manager
UMB Bank. N.A.. as Escrow Anent
(Escrow Agent)
By:�
wD q , vt--e -es c ert�
C-22