HomeMy Public PortalAboutORD14287 BILL NO. 2007- 113
SPONSORED BY COUNCILWOMAN Jane Smith
ORDINANCE NO. m f � � I
AN ORDINANCE OF THE CITY OF JEFFERSON, MISSOURI, AUTHORIZING THE
MAYOR AND CITY CLERK TO ENTER INTO A PROGRAM AGREEMENT ON BEHALF
OF THE CITY OF JEFFERSON PARKS AND RECREATION COMMISSION WITH THE
MISSOURI HIGHWAY AND TRANSPORTATION COMMISSION FOR PEDESTRIAN AND
BICYCLE FACILITIES AS A PART OF THE JEFFERSON CITY GREENWAY SYSTEM.
WHEREAS, On November 7, 2007, the Missouri Highway and Transportation
Department approved Project No.STP-3100(518)under the Transportation Enhancement
Funds Program; and
WHEREAS, This project is a part of the Jefferson City Greenway System Master
Plan.
NOW,THEREFORE BE IT ENACTED BY THE COUNCIL OF THE CITY OF JEFFERSON,
MISSOURI, AS FOLLOWS:
Section 1. The Mayor and City Clerk are hereby authorized to enter into a project
agreement on behalf of the City of Jefferson Parks and Recreation Commission with the
Missouri Highway and Transportation Commission for pedestrian bicycle trail facilities
extending the greenway in North Jefferson City from the Katy Trail to the North Jefferson
City/Holts Summit city limits area.
Section 2. The agreement shall be substantially the same in form and content as
the agreement attached hereto as Exhibit A.
Section 3. This Ordinance shall be in full force and effect from and after the date
of its passage and approval.
Passed: Qr . Approved./l 2CY'-7
Presiding Officer Mayor
A •TEST: APP ED TO FORM:
City Clerk City Counselor
i
Missouri M O EO—F Central District
1511 Missouri Boulevard
P.O. Box 718
Department Jefferson City, MO 65102
(573) 751-3322
fax (573) 522-1059
of Transportation Toll free 1-888 ASK MoDOT
Roger Schwartze, District Engineer www.modot.org
January 4, 2008
Mr. William Lockwood
Director of Parks,Recreation&Forestry
427 Monroe Street
Jefferson City, MO 65101
Dear Mr. Lockwood:
This letter is in reference to your Transportation Enhancement Funds Program Project No. STP-3100
(518),Katy Trail Connection.
Enclosed are two(2) copies of the executed agreement for your file. You may proceed to hire a
consultant for design. If the city utilizes federal funding for preliminary engineering then an Engineering
Service Contract must be approved by MoDOT before work may begin.
• If I can be of further assistance,please contact me at(573) 751-7399.
Sincerely,
E2, ipp
Transportation Planning Specialist
Attachments
Copy: Duane Kliethermes—D5
Doc Kritzer—Callaway County
Our mission is to provide a world-class transportation experience that delights our customers and promotes a prosperous Missouri.
c\\y Of
tip 'oy
O
City of Jefferson I John Landwehr, Mayor
. City Counselor's Office
320 East McCarty Street VOICE(573)-634-6313
Jefferson City, MO 65101 s FAX(573)-634-6504
January 29, 2008
Mr. Dion Knipp
Transportation Planning Specialist
Missouri Department of Transportation
P.O. Box 718
Jefferson City, MO 65102
Re: Transportation Enhancement Funds Program
Project No. STP-3100 (518)
Katy Trail Connection
Dear Mr. Knipp:
Thank you for your letter of January 4, 2008, which was forwarded to me by our Department of
Parks and Recreation. I am confused by the attachment however. Although the signature page is
the same as I have in my tile, the contract to which it is attached is not. I have enclosed a copy of
the contract which was approved by the Council. I believe that Mr.Lockwood amended the original
agreement which may account for the two different contracts.
Please have your department execute the correct contract and return it directly to my office.
Thank you for your attention to this matter.
SiViolaus
N
City Counselor
cc: Bill Lockwood
Steve Rasmussen
•
CCO Form: RM12
Approved: 04/95 (MGB)
Revised: 01/07 (BDG)
Modified:
CFDA Number: CFDA #20.205
CFDA Title: Highway Planning and Construction
Award name/number: STP-3100 (518)
Award Year: FY07
Federal Agency: Federal Highway Administration, Department of Transportation
MISSOURI HIGHWAYS AND TRANSPORTATION COMMISSION
TRANSPORTATION ENHANCEMENT FUNDS
PROGRAM AGREEMENT
THIS AGREEMENT is entered into by the Missouri Highways and Transportation
Commission (hereinafter, "Commission") and City of Jefferson (hereinafter, "City").
WITNESSETH:
• NOW, THEREFORE, in consideration of the mutual covenants, promises and
representations in this Agreement, the parties agree as follows:
(1) PURPOSE: The United States Congress has authorized, in 23 U.S.C.
§101, §104 and §133, funds to be used for transportation enhancement activities. The
purpose of this Agreement is to grant the use of such transportation enhancement funds
to the City.
(2) LOCATION: The transportation enhancement funds which are the subject
of this Agreement are for the project at the following location:
Pedestrian trail connection from the Katy Trail north to the City of Jefferson city
limits (outer road).
The general location of the project is shown on attachment marked "Exhibit A"
and incorporated herein by reference.
(3) REASONABLE PROGRESS POLICY: The project as described in this
agreement is subject to the reasonable progress policy set forth in the Local Public
Agency Manual. If the project is within a Transportation Management Area that has a
reasonable progress policy in place, the project is subject to that policy. If the project is
withdrawn for not meeting reasonable progress, the City agrees to repay the
Commission for any progress payments made to the City for the project and agrees that
•
M
• (4) INDEMNIFICATION: The City shall defend, indemnify and hold harmless
the Commission, including its members and department employees, from any claim or
liability whether based on a claim for damages to real or personal property or to a
person for any matter relating to or arising out of the City's performance of its
obligations under this Agreement.
(5) AMENDMENTS: Any change in this Agreement, whether by modification
or supplementation, must be accomplished by a formal contract amendment signed and
approved by the duly authorized representatives of the City and the Commission.
(6) COMMISSION REPRESENTATIVE: The Commission's Chief Engineer is
designated as the Commission's representative for the purpose of administering the
provisions of this Agreement. The Commission's representative may designate by
written notice other persons having the authority to act on behalf of the Commission in
furtherance of the performance of this Agreement.
(7) NONDISCRIMINATION ASSURANCE: With regard to work under this
Agreement, the City agrees as follows:
(A) Civil Rights Statutes: The City shall comply with all state and
federal statutes relating to nondiscrimination, including but not limited to Title VI and
• Title VII of the Civil Rights Act of 1964, as amended (42 U.S.C. §2000d and §2000e, et
seq.), as well as any applicable titles of the "Americans with Disabilities Act" (42 U.S.C.
§12101, et seq.). In addition, if the City is providing services or operating programs on
behalf of the Department or the Commission, it shall comply with all applicable
provisions of Title II of the "Americans with Disabilities Act".
(B) Administrative Rules: The City shall comply with the administrative
rules of the United States Department of Transportation relative to nondiscrimination in
federally-assisted programs of the United States Department of Transportation (49
C.F.R. Part 21) which are herein incorporated by reference and made part of this
Agreement.
(C) Nondiscrimination: The City shall not discriminate on grounds of
the race, color, religion, creed, sex, disability, national origin, age or ancestry of any
individual in the selection and retention of subcontractors, including procurement of
materials and leases of equipment. The City shall not participate either directly or
indirectly in the discrimination prohibited by 49 C.F.R. §21.5, including employment
practices.
(D) Solicitations for Subcontracts, Including Procurements of Material
and Equipment: These assurances concerning nondiscrimination also apply to
subcontractors and suppliers of the City. These apply to all solicitations either by
• competitive bidding or negotiation made by the City for work to be performed under a
2
subcontract including procurement of materials or equipment. Each potential
subcontractor or supplier shall be notified by the City of the requirements of this
• Agreement relative to nondiscrimination on grounds of the race, color, religion, creed,
sex, disability or national origin, age or ancestry of any individual.
(E) Information and Reports: The City shall provide all information and
reports required by this Agreement, or orders and instructions issued pursuant thereto,
and will permit access to its books, records, accounts, other sources of information, and
its facilities as may be determined by the Commission or the United States Department
of Transportation to be necessary to ascertain compliance with other contracts, orders
and instructions. Where any information required of the City is in the exclusive
possession of another who fails or refuses to furnish this information, the City shall so
certify to the Commission or the United States Department of Transportation as
appropriate and shall set forth what efforts it has made to obtain the information.
(F) Sanctions for Noncompliance: In the event the City fails to comply
with the nondiscrimination provisions of this Agreement, the Commission shall impose
such contract sanctions as it or the United States Department of Transportation may
determine to be appropriate, including but not limited to:
1. Withholding of payments under this Agreement until the City
complies; and/or
. 2. Cancellation, termination or suspension of this Agreement, in
whole or in part, or both.
(G) Incorporation of Provisions: The City shall include the provisions of
paragraph (7) of this Agreement in every subcontract, including procurements of
materials and leases of equipment, unless exempted by the statutes, executive order,
administrative rules or instructions issued by the Commission or the United States
Department of Transportation. The City will take such action with respect to any
subcontract or procurement as the Commission or the United States Department of
Transportation may direct as a means of enforcing such provisions, including sanctions
for noncompliance; provided that in the event the City becomes involved or is
threatened with litigation with a subcontractor or supplier as a result of such direction,
the City may request the United States to enter into such litigation to protect the
interests of the United States.
(8) ASSIGNMENT: The City shall not assign, transfer or delegate any
interest in this Agreement without the prior written consent of the Commission.
(9) LAW OF MISSOURI TO GOVERN: This Agreement shall be construed
according to the laws of the State of Missouri. The City shall comply with all local, state
and federal laws and regulations relating to the performance of this Agreement.
• (10) CANCELLATION: The Commission may cancel this Agreement at any
3
time for a material breach of contractual obligations by providing the City with written
notice of cancellation. Should the Commission exercise its right to cancel this
• Agreement for such reasons, cancellation will become effective upon the date specified
in the notice of cancellation sent to the City.
(11) ACCESS TO RECORDS: The City and its contractors must maintain all
records relating to this Agreement, including but not limited to invoices, payrolls, etc.
These records must be available at no charge to the FHWA and the Commission and/or
their designees or representatives during the period of this Agreement and any
extension, and for a period of three (3) years after the date on which the City receives
reimbursement of their final invoice from the Commission.
(12) ACQUISITION OF RIGHT OF WAY:
With respect to the acquisition of right of way necessary for the completion of the
project, City shall acquire any additional necessary right of way required for this project
and in doing so agrees that it will comply with all applicable federal laws, rules and
regulations, including 42 U.S.C. 4601-4655, the Uniform Relocation Assistance and
Real Property Acquisition Act, as amended and any regulations promulgated in
connection with the Act. However, upon written request by the City and written
acceptance by the Commission, the Commission shall acquire right of way for the City.
Upon approval of all agreements, plans and specifications by the Commission and by
the Federal Highway Administration, the Commission will file copies of said plans in the
office of the County clerk: and proceed to acquire by negotiation and purchase o,r by
condemnation any necessary right of way required for the construction of the
• improvement contemplated herein. All right of way acquired by negotiation and
purchase will be acquired in the name of City, and the City will pay to grantors thereof
the agreed upon purchase prices. All right of way acquired through condemnation
proceedings will be acquired in the name of the State of Missouri and subsequently
released to the City. The City shall pay into court all awards and final judgments in
favor of any such condemnees. The City shall also reimburse the Commission for any
expense incurred by the Commission in acquiring said right of way, including but not
limited to the costs of surveying, appraisal, negotiation, condemnation, and relocation
assistance benefits. Unless otherwise agreed to in writing the Commission shall have
the final decision regarding the settlement amount in condemnation.
(13) MAINTENANCE OF DEVELOPMENT: The City shall maintain the herein
contemplated improvements without any cost or expense to the Commission. All
maintenance by the City shall be done for the safety of the general public and the
esthetics of the area. In addition, if any sidewalks or bike trails are constructed on the
Commission's right-of-way pursuant to this Agreement, the City shall inspect and
maintain the sidewalks or bike trails constructed by this project in a condition reasonably
safe to the public and, to the extent allowed by law, shall indemnify and hold the
Commission harmless from any claims arising from the construction and maintenance
of said sidewalks or bike trails. If the City fails to maintain the herein contemplated
improvements, the Commission or its representatives, at the Commission's sole
• discretion shall notify the City in writing of the City's failure to maintain the improvement.
4
If the City continues to fail in maintaining the improvement, the Commission may
• remove the herein contemplated improvement whether or not the improvement is
located on the Commission's right of way. Any removal by the Commission shall be at
the sole cost and expense of the City. Maintenance includes but is not limited to
mowing and trimming between shrubs and other plantings that are part of the
improvement.
(14) PLANS: The City shall prepare preliminary and final plans and
specifications for the herein improvements. The plans and specifications shall be
submitted to the Commission for the Commission's review and approval. The
Commission has the discretion to require changes to any plans and specification prior to
any approval by the Commission.
(15) REIMBURSEMENT: With regard to work under this Agreement, the City
agrees as follows:
(A) Any federal funds for transportation enhancement activities shall
only be available for reimbursement of eligible costs which have been incurred by City.
Any costs incurred by City prior to authorization from FHWA and notification to proceed
from the Commission are not reimbursable costs. The ratio for federal reimbursement
of eligible costs for the herein improvements is 80% up to a maximum of $60,000. Any
costs for the herein improvements which exceed any federal reimbursement or are not
eligible for , federal reimbursement shall be the sole responsibility of City. The
• Commission shall not be responsible for any costs associated with the herein
improvement unless specifically identified in this Agreement or subsequent written
amendments. The Commission shall not provide more than Sixty Thousand dollars
($60,000) for this Transportation Enhancement project.
(B) The authority to advertise for bids shall be granted by the
Commission when all right-of-way clearances, environmental clearances, and the
approval of the Plans, Specification, and Estimate have been completed. Any costs
incurred by the City prior to authorization from FHWA and notification to proceed from
the Commission are not reimbursable costs.
(C) In the event that the City does not submit the Plans, Specification,
and Estimate for this project by January 1, 2010, and does not have construction
authorization (authority to advertise for bids) by March 1, 2010, the City agrees to
reimburse the Commission for any monies previously reimbursed to the City under this
Agreement. All monies previously programmed for this project shall be surrendered by
City at this time. Any costs incurred by the City prior to authorization from FHWA
and notification to proceed from the Commission are not reimbursable costs.
(16) PROGRESS PAYMENTS: The City may request that progress payments be
made during the construction of the herein improvements. The City shall submit to the
Commission any invoice for progress payments no less than on a monthly basis. The
•
5
City shall repay any progress payments which involve ineligible costs.
• (17) PERMITS: The City shall secure any necessary approvals or permits from
any federal or state agency as required for the completion of the herein improvements.
If this improvement is on the right of way of the Commission, the City must secure a
permit from the Commission prior to the start of any work on the right of way. The
permits which may be required include, but are not limited to, environmental,
architectural, historical or cultural requirements of federal or state law or regulation.
(18) INSPECTION OF IMPROVEMENTS AND RECORDS: The City shall
assure that representatives of the Commission and FHWA shall have the privilege of
inspecting and reviewing the work being done by the City's contractor and subcontractor
on the herein project. The City shall also assure that its contractor, and all
subcontractors, if any, maintain all books, documents, papers and other evidence
pertaining to costs incurred in connection with the Transportation Enhancement
Program Agreement, and make such materials available at such contractor's office at all
reasonable times at no charge during this Agreement period, and for three (3) years
from the date of final payment under this Agreement, for inspection by the Commission,
FHWA or any authorized representatives of the Federal Government and the State of
Missouri, and copies shall be furnished, upon request, to authorized representatives of
the Commission, State, FHWA, or other Federal agencies.
(19) CREDIT FOR DONATIONS OF FUNDS, MATERIALS, OR SERVICES: A
• person may offer to donate funds, materials or services in connection with this project.
Any donated funds, or the fair market value of any donated materials or services that
are accepted and incorporated into this project shall be credited according to 23 U.S.C.
§323.
(20) DISADVANTAGED BUSINESS ENTERPRISES: The Commission will
advise the City of any required goals for participation by disadvantaged business
enterprises to be included in the City's proposal for the work to be performed. The City
shall submit for Commission approval a disadvantaged business enterprise goal or plan.
The City shall comply with the plan or goal that is approved by the Commission and all
requirements of 49 C.F.R. Part 26, as amended.
(21) VENUE: It is agreed by the parties that any action at law, suit in equity, or
other judicial proceeding to enforce or construe this Agreement, or regarding its alleged
breach, shall be instituted only in the Circuit Court of Cole County, Missouri.
(22) NOTICE TO BIDDERS: The City shall notify the prospective bidders that
disadvantaged business enterprises shall be afforded full and affirmative opportunity to
submit bids in response to the invitation and will not be discriminated against on
grounds of race, color, sex, or national origin in consideration for an award.
(23) FINAL AUDIT: The Commission may, in its sole discretion, perform a final
• audit of project costs. The United States Government shall reimburse the City, through
6
the Commission, any monies due. The City shall refund any overpayments as
determined by the final audit.
• expend(s) five hundred thousand 500 000 or
(24) OMB AUDIT. If the City ($ )
more in a year in federal finance assistance it is required to have an independent
annual audit conducted in accordance with OMB Circular A-133. A copy of the audit
report shall be submitted to the Missouri Department of Transportation (MoDOT) within
thirty (30) days of the issuance of the report. Subject to the requirements of OMB
Circular A-133, if the City expend(s) less than five hundred thousands dollars
($500,000) a year, the City may be exempt from auditing requirements for that year but
records must be available for review or audit by applicable state and federal authorities.
•
(Remainder of page intentionally left blank)
•
7
IN WITNESS WHEREOF, the parties have entered into this Agreement on the
date last written below.
Executed b the this )� day of , 2
Y `P-/
Executed by the Commission this 1_Lj day of 20
MISSOURI HIGHWAYS AND
TRANSPORTATION COMMISSION CITY OF JEFFERSON
B
Title Chief Engineer
ATTEST: ATTEST:
By
Secre ary to the Commission
Title
Approve o Form- App r as t rm:
Co i el
Title 11.3e�fc¢�
Ordinance No 1�"
•
8
-r'
ir
r .r cyea + 'I► °`.1'
/ Q�oQ. '
`,
j0 �♦'yam \
„EXHIBIT A"
C; STP ENHANCEMENT PROGRAM AGREEMENT
BETWEEN
``ATYo °` ° f MISSOURI HIGHWAY AND TRANSPORTATION COMMISSION
Nwysa M Project AND
"`'''SS Location °o CITY OF JEFFERSON
aAMP
`3,0 STP-3100 (518)
F URTH ST � - WEHMEYER RD HWY 94
2
IF
" FHWA-1273 Electronic version March 10, 1994 - Contract Admin - Construction- FHWA Page 1 of 21
Search Feedback
� t
• Q uality Management& Coordination Details Safety Materials ' Contract Administration
f
FHWA>Engineering>Construction>Contract Admin>FHWA-1273 Electronic version March 10,M1994
Construction FHWA-1273 Electronic version-- March 10, 1994 Events
Guide PDF Version (0.5 mb) • International
Construction
Fact Sheets Required Contract Provisions Federal-Aid Management
Links Construction Contracts Conference
Orlando, Florida
Memos I. General
September 8-11,
II. Nondiscrimination
Publications III. Nonsegregated Facilities • View all Upcoming
IV. Payment of Predetermined Minimum Wage. Construction
Research V. Statements and Payrolls Events
VI. Record of Materials, Supplies, and Labor
Reviews VII. Subletting or Assigning the Contract Contact
VIII. Safety_Accident Prevention
Technical IX. False Statements Concerning Pro ects Jerry Yakowenko
Advisories g Office of Program
X. Implementation of Clean Air Act and Federal Water Pollution Administration
Control Act 202-366-1562
Training& XI. Certification Regarding Debarment, Suspension Ineligibility, and E-mail Jerry
Workshops Volunt� Exclusion
• XII. Certification Regarding Use of Contract Funds for Lobbying
Attachments
A. Employment Preference for Appalachian Contracts (included in
Appalachian contracts only)
I. GENERAL
1. These contract provisions shall apply to all work performed i
on the contract by the contractor's own organization and with
the assistance of workers under the contractor's immediate
superintendence and to all work performed on the contract by
piecework, station work, or by subcontract.
2. Except as otherwise provided for in each section, the
contractor shall insert in each subcontract all of the
stipulations contained in these Required Contract Provisions,
and further require their inclusion in any lower tier subcontract
or purchase order that may in turn be made. The Required
Contract Provisions shall not be incorporated by reference in
any case. The prime contractor shall be responsible for
compliance by any subcontractor or lower tier subcontractor
with these Required Contract Provisions.
3. A breach of any of the stipulations contained in these
Required Contract Provisions shall be sufficient grounds for
termination of the contract.
4. A breach of the following clauses of the Required Contract
Provisions may also be grounds for debarment as provided in
• 29 CFR 5.12:
Section I, paragraph 2;
Section IV, paragraphs 1, 2, 3, 4, and 7;
Section V, paragraphs 1 and 2a through 2g.
http://www.thwa.dot.gov/programadmin/contracts/1273.cfm 11/6/2007
FHWA-1273 Electronic version March 10, 1994 - Contract Admin- Construction- FHWA Page 2 of 21
5. Disputes arising out of the labor standards provisions of i
Section IV(except paragraph 5) and Section V of these
Required Contract Provisions shall not be subject to the
general disputes clause of this contract. Such disputes shall
be resolved in accordance with the procedures of the U.S.
Department of Labor(DOL) as set forth in 29 CFR 5, 6, and
7. Disputes within the meaning of this clause include disputes
between the contractor(or any of its subcontractors) and the
contracting agency, the DOL, or the contractor's employees
or their representatives.
6. Selection of Labor: During the performance of this contract,
the contractor shall not:
a. discriminate against labor from any other State,
possession, or territory of the United States (except for !
employment preference for Appalachian contracts,when
applicable, as specified in Attachment A), or
b. employ convict labor for any purpose within the limits of
the project unless it is labor performed by convicts who i
are on parole, supervised release, or probation.
j
H. NONDISCRIMINATION j
(Applicable to all Federal-aid construction contracts and to all I
related subcontracts of$10,000 or more.)
1. Equal Employment Opportunity: Equal employment
j opportunity (EEO) requirements not to discriminate and to
take affirmative action to assure equal opportunity as set forth
under laws, executive orders, rules, regulations (28 CFR 35,
29 CFR 1630 and 41 CFR 60) and orders of the Secretary of
Labor as modified by the provisions prescribed herein, and
imposed pursuant to 23 U.S.C. 140 shall constitute the EEO
and specific affirmative action standards for the contractor's
• project activities under this contract. The Equal Opportunity
Construction Contract Specifications set forth under 41 CFR
60-4.3 and the provisions of the American Disabilities Act of i
1990 (42 U.S.C. 12101 et seq.)set forth under 28 CFR 35 ff
and 29 CFR 1630 are incorporated by reference in this
contract. In the execution of this contract, the contractor j
agrees to comply with the following minimum specific
requirement activities of EEO: i
a. The contractor will work with the State highway agency
(SHA) and the Federal Government in carrying out EEO
obligations and in their review of his/her activities under
the contract.
b. The contractor will accept as his operating policy the
following statement: '
"It is the policy of this Company to assure
that applicants are employed, and that j
employees are treated during employment, 11
without regard to their race, religion, sex,
color, national origin, age or disability. Such
action shall include: employment,
upgrading, demotion, or transfer;
recruitment or recruitment advertising;
layoff or termination; rates of pay or other
forms of compensation; and selection for
training, including apprenticeship,
preapprenticeship, and/or on-the-job
training."
i
2. EEO Officer: The contractor will designate and make known
to the SHA contracting officers an EEO Officer who will have
the responsibility for and must be capable of effectively
administering and promoting an active contractor program of
EEO and who must be assigned adequate authority and
http://www.fhwa.dot.gov/programadmin/contracts/1273.cfm 11/6/2007
FHWA-1273 Electronic version March 10, 1994 - Contract Admin- Construction- FHWA Page 3 of 21
responsibility to do so.
3. Dissemination of Policy:All members of the contractor's
staff who are authorized to hire, supervise, promote, and
discharge employees, or who recommend such action, or
who are substantially involved in such action, will be made
fully cognizant of, and will implement, the contractor's EEO
• policy and contractual responsibilities to provide EEO in each
grade and classification of employment. To ensure that the
above agreement will be met, the following actions will be
taken as a minimum:
a. Periodic meetings of supervisory and personnel office
employees will be conducted before the start of work and
then not less often than once every six months, at which
time the contractor's EEO policy and its implementation
will be reviewed and explained. The meetings will be
conducted by the EEO Officer.
b. All new supervisory or personnel office employees will be
given a thorough indoctrination by the EEO Officer,
covering all major aspects of the contractor's EEO
obligations within thirty days following their reporting for
duty with the contractor.
c. All personnel who are engaged in direct recruitment for
the project will be instructed by the EEO Officer in the
contractor's procedures for locating and hiring minority
group employees.
d. Notices and posters setting forth the contractor's EEO
policy will be placed in areas readily accessible to
employees, applicants for employment and potential
employees.
e. The contractor's EEO policy and the procedures to
implement such policy will be brought to the attention of }
• employees by means of meetings, employee handbooks, i
or other appropriate means.
4. Recruitment: When advertising for employees, the
contractor will include in all advertisements for employees the
notation: "An Equal Opportunity Employer."All such }
advertisements will be placed in publications having a large
i
circulation among minority groups in the area from which the
project work force would normally be derived.
a. The contractor will, unless precluded by a valid
bargaining agreement, conduct systematic and direct j
recruitment through public and private employee referral
sources likely to yield qualified minority group applicants.
To meet this requirement, the contractor will identify
sources of potential minority group employees, and
establish with such identified sources procedures
whereby minority group applicants may be referred to the
contractor for employment consideration.
b. In the event the contractor has a valid bargaining
agreement providing for exclusive hiring hall referrals, he i
is expected to observe the provisions of that agreement j
to the extent that the system permits the contractor's
compliance with EEO contract provisions. (The DOL has
held that where implementation of such agreements have
the effect of discriminating against minorities or women,
or obligates the contractor to do the same, such
implementation violates Executive Order 11246, as
amended.)
c. The contractor will encourage his present employees to
• refer minority group applicants for employment.
Information and procedures with regard to referring I
minority group applicants will be discussed with {
employees.
5. Personnel Actions: Wages, working conditions, and
http://www.fhwa.dot.gov/programadmin/contracts/1273.cfm 11/6/2007
FHWA-1273 Electronic version March 10, 1994 - Contract Admin- Construction- FHWA Page 4 of 21
employee benefits shall be established and administered, and
personnel actions of every type, including hiring, upgrading,
promotion,transfer, demotion, layoff, and termination, shall
I be taken without regard to race, color, religion, sex, national
origin, age or disability. The following procedures shall be
followed:
• a. The contractor will conduct periodic inspections of project
sites to insure that working conditions and employee
facilities do not indicate discriminatory treatment of
project site personnel.
b. The contractor will periodically evaluate the spread of
wages paid within each classification to determine any
evidence of discriminatory wage practices.
c. The contractor will periodically review selected personnel
actions in depth to determine whether there is evidence
of discrimination. Where evidence is found, the contractor i
will promptly take corrective action. If the review indicates
that the discrimination may extend beyond the actions
reviewed, such corrective action shall include all affected
persons. i
d. The contractor will promptly investigate all complaints of
alleged discrimination made to the contractor in
connection with his obligations under this contract, will
attempt to resolve such complaints, and will take
appropriate corrective action within a reasonable time. If
the investigation indicates that the discrimination may
affect persons other than the complainant, such
corrective action shall include such other persons. Upon
completion of each investigation, the contractor will ,
inform every complainant of all of his avenues of appeal.
6. Training and Promotion:
a. The contractor will assist in locating, qualifying, and
• increasing the skills of minority group and women
employees, and applicants for employment. !
b. Consistent with the contractor's work force requirements 1
and as permissible under Federal and State regulations,
the contractor shall make full use of training programs,
i.e., apprenticeship, and on-the-job training programs for
the geographical area of contract performance. Where !
feasible, 25 percent of apprentices or trainees in each
occupation shall be in their first year of apprenticeship or €
training. In the event a special provision for training is
provided under this contract, this subparagraph will be
superseded as indicated in the special provision.
c. The contractor will advise employees and applicants for
employment of available training programs and entrance
requirements for each.
d. The contractor will periodically review the training and
promotion potential of minority group and women j
employees and will encourage eligible employees to
apply for such training and promotion.
7. Unions: If the contractor relies in whole or in part upon
unions as a source of employees, the contractor will use
his/her best efforts to obtain the cooperation of such unions to
increase opportunities for minority groups and women within
the unions, and to effect referrals by such unions of minority
and female employees.Actions by the contractor either
directly or through a contractor's association acting as agent
will include the procedures set forth below:
a. The contractor will use best efforts to develop, in
cooperation with the unions,joint training programs
aimed toward qualifying more minority group members
and women for membership in the unions and increasing
the skills of minority group employees and women so that !
http://www.fhwa.dot.gov/programadmin/contracts/1273.cfm 11/6/2007
FHWA-1273 Electronic version March 10, 1994 - Contract Admin- Construction - FHWA Page 5 of 21
they may qualify for higher paying employment. j
b. The contractor will use best efforts to incorporate an EEO ll
clause into each union agreement to the end that such i
union will be contractually bound to refer applicants
without regard to their race, color, religion, sex, national
• origin, age or disability.
c. The contractor is to obtain information as to the referral
practices and policies of the labor union except that to the
extent such information is within the exclusive possession
of the labor union and such labor union refuses to furnish
such information to the contractor, the contractor shall so
certify to the SHA and shall set forth what efforts have !
been made to obtain such information.
d. In the event the union is unable to provide the contractor
with a reasonable flow of minority and women referrals
within the time limit set forth in the collective bargaining
agreement, the contractor will, through independent
recruitment efforts, fill the employment vacancies without
regard to race, color, religion, sex, national origin, age or i
disability; making full efforts to obtain qualified and/or
qualifiable minority group persons and women. (The DOL
has held that it shall be no excuse that the union with
which the contractor has a collective bargaining
agreement providing for exclusive referral failed to refer
minority employees.) In the event the union referral
practice prevents the contractor from meeting the
obligations pursuant to Executive Order 11246, as
amended, and these special provisions, such contractor
shall immediately notify the SHA.
8. Selection of Subcontractors, Procurement of Materials
and Leasing of Equipment: The contractor shall not
discriminate on the grounds of race, color, religion, sex,
national origin, age or disability in the selection and retention
of subcontractors, including procurement of materials and
leases of equipment.
a. The contractor shall notify all potential subcontractors and
suppliers of his/her EEO obligations under this contract.
b. Disadvantaged business enterprises (DBE), as defined in
49 CFR 23, shall have equal opportunity to compete for
and perform subcontracts which the contractor enters into
pursuant to this contract. The contractor will use his best
efforts to solicit bids from and to utilize DBE
subcontractors or subcontractors with meaningful minority
group and female representation among their employees.
Contractors shall obtain lists of DBE construction firms i
from SHA personnel.
c. The contractor will use his best efforts to ensure
subcontractor compliance with their EEO obligations.
9. Records and Reports: The contractor shall keep such
records as necessary to document compliance with the EEO
requirements. Such records shall be retained for a period of
three years following completion of the contract work and
shall be available at reasonable times and places for
inspection by authorized representatives of the SHA and the
FHWA.
a. The records kept by the contractor shall document the
following:
1. The number of minority and non-minority group j
members and women employed in each work j
• classification on the project; }{
2. The progress and efforts being made in cooperation
with unions,when applicable, to increase
employment opportunities for minorities and women;
http://www.fhwa.dot.gov/programadmin/contracts/1273.cfm 11/6/2007
FHWA-1273 Electronic version March 10, 1994 - Contract Admin- Construction- FHWA Page 6 of 21
., 3. The progress and efforts being made in locating,
hiring, training, qualifying, and upgrading minority and
female employees; and
4. The progress and efforts being made in securing the
services of DBE subcontractors or subcontractors
• with meaningful minority and female representation
among their employees.
b. The contractors will submit an annual report to the SHA
each July for the duration of the project, indicating the
number of minority,women, and non-minority group
employees currently engaged in each work classification
required by the contract work.This information is to be
reported on Form FHWA-1391. If on-the-job training is
being required by special provision, the contractor will be j
required to collect and report training data.
III. NONSEGREGATED FACILITIES
(Applicable to all Federal-aid construction contracts and to all
related subcontracts of$10,000 or more.)
a. B Y submission of this bid, the execution of this contract or E
subcontract or the consummation of this material supply
PP Y
agreement or purchase order, as appropriate, the bidder,
Federal-aid construction contractor, subcontractor, material i
supplier, or vendor, as appropriate, certifies that the firm does
not maintain or provide for its employees any segregated
facilities at any of its establishments, and that the firm does
not permit its employees to perform their services at any
location, under its control,where segregated facilities are
maintained. The firm agrees that a breach of this certification
is a violation of the EEO provisions of this contract. The firm
further certifies that no employee will be denied access to
• adequate facilities on the basis of sex or disability.
b. As used in this certification, the term "segregated facilities"
means any waiting rooms, work areas, restrooms and
washrooms, restaurants and other eating areas, timeclocks,
locker rooms, and other storage or dressing areas, parking
lots, drinking fountains, recreation or entertainment areas,
transportation, and housing facilities provided for employees
which are segregated by explicit directive, or are, in fact,
segregated on the basis of race, color, religion, national
origin, age or disability, because of habit, local custom, or
otherwise. The only exception will be for the disabled when
the demands for accessibility override(e.g. disabled parking).
c. The contractor agrees that it has obtained or will obtain
identical certification from proposed subcontractors or
material suppliers prior to award of subcontracts or
consummation of material supply agreements of$10,000 or
more and that it will retain such certifications in its files. s
IV. PAYMENT OF PREDETERMINED MINIMUM WAGE
I
(Applicable to all Federal-aid construction contracts exceeding
$2,000 and to all related subcontracts, except for projects located
on roadways classified as local roads or rural minor collectors,
which are exempt.)
1. General:
a. All mechanics and laborers employed or working u
9 P on
the site of the work will be paid unconditionally and not
less often than once a week and without subsequent
• deduction or rebate on any account[except such payroll
deductions as are permitted by regulations (29 CFR 3)
issued by the Secretary of Labor under the Copeland Act
(40 U.S.C. 276c)]the full amounts of wages and bona
fide fringe benefits (or cash equivalents thereof) due at
http://www.fhwa.dot.gov/programadmin/contracts/1273.cfm 11/6/2007
FHWA-1273 Electronic version March 10, 1994 - Contract Admin- Construction - FHWA Page 7 of 21
time of payment. The payment shall be computed at
wage rates not less than those contained in the wage
determination of the Secretary of Labor(hereinafter"the
wage determination")which is attached hereto and made I
a part hereof, regardless of any contractual relationship
• which may be alleged to exist between the contractor or }
its subcontractors and such laborers and mechanics. The
wage determination (including any additional
I
classifications and wage rates conformed under
paragraph 2 of this Section IV and the DOL poster(WH-
1321) or Form FHWA-1495) shall be posted at all times
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. For the purpose of this j
Section, contributions made or costs reasonably
anticipated for bona fide fringe benefits under Section 1
(b)(2) of the Davis-Bacon Act(40 U.S.C. 276a) on behalf
of laborers or mechanics are considered wages paid to
such laborers or mechanics, subject to the provisions of
Section IV, paragraph 3b, hereof. Also, for the purpose of i
j this Section, 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 I
constructively made or incurred during such weekly
period. Such laborers and mechanics shall be paid the
appropriate wage rate and fringe benefits on the wage
determination for the classification of work actually
performed, without regard to skill, except as provided in !
f
paragraphs 4 and 5 of this Section IV.
b. Laborers or mechanics performing work in more than one (I
classification may be compensated at the rate specified
for each classification for the time actually worked
therein, provided, that the employer's payroll records
accurately set forth the time spent in each classification in
which work is performed.
c. All rulings and interpretations of the Davis-Bacon Act and
related acts contained in 29 CFR 1, 3, and 5 are herein
incorporated by reference in this contract.
2. Classification:
a. The SHA contracting officer shall require that any class of !
laborers or mechanics employed under the contract, !
which is not listed in the wage determination, shall be
classified in conformance with the wage determination.
b. The contracting officer shall approve an additional
classification, wage rate and fringe benefits only when the
following criteria have been met: i
1. the work to be performed by the additional
classification requested is not performed by a
classification in the wage determination; 3
2. the additional.classification is utilized in the area by
the construction industry;
3. the proposed wage rate, including any bona fide
fringe benefits, bears a reasonable relationship to the
wage rates contained in the wage determination; and
4. with respect to helpers, when such a classification
prevails in the area in which the work is performed.
c. If the contractor or subcontractors, as appropriate, the
laborers and mechanics (if known)to be employed in the
additional classification or their representatives, and the i
contracting officer agree on the classification and wage
1 rate (including the amount designated for fringe benefits
i where appropriate), a report of the action taken shall be
sent by the contracting officer to the DOL, Administrator
http://www.fhwa.dot.gov/programadmin/contracts/1273.cfm 11/6/2007
FHWA-1273 Electronic version March 10, 1994 - Contract Admin- Construction- FHWA Page 8 of 21
of the Wage and Hour Division, Employment Standards
Administration, Washington, D.C. 20210.The Wage and
Hour Administrator, or an authorized representative, will i
approve, modify, or disapprove every additional
classification action 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. In the event the contractor or subcontractors, as
appropriate, the laborers or mechanics to be employed in i
the additional classification or their representatives, and
the contracting officer do not agree on the proposed
classification and wage rate (including the amount
designated for fringe benefits,where appropriate), the
contracting officer shall refer the questions, including the `
views of all interested parties and the recommendation of
the contracting officer, to the Wage and Hour
Administrator for determination. Said 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 i
e. The wage rate (including fringe benefits where
appropriate) determined pursuant to paragraph 2c or 2d
of this Section IV shall be paid to all workers performing
work in the additional classification from the first day on
which work is performed in the classification.
3. Payment of Fringe Benefits:
a. 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 or subcontractors, as appropriate, shall
either pay the benefit as stated in the wage determination
or shall pay another bona fide fringe benefit or an hourly
case equivalent thereof.
b. If the contractor or subcontractor, as appropriate, does
not make payments to a trustee or other third person,
he/she may consider as a part of the wages of any
laborer or mechanic the amount of any costs reasonably !
anticipated in providing bona fide fringe benefits under a i
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.
4. Apprentices and Trainees (Programs of the U.S. DOL)
and Helpers:
a. Apprentices:
1. Apprentices will be permitted to work at less than the
predetermined rate for the work they performed when
they are employed pursuant to and individually
registered in a bona fide apprenticeship program
registered with the DOL, Employment and Training i
Administration, Bureau of Apprenticeship and
Training, or with a State apprenticeship agency
recognized by the Bureau, or if a person is employed
in his/her first 90 days of probationary employment as
an apprentice in such an apprenticeship program,
. who is not individually registered in the program, but j
who has been certified by the Bureau of �{
Apprenticeship and Training or a State
apprenticeship agency (where appropriate)to be
eligible for probationary employment as an
http://www.fhwa.dot.gov/programadmin/contracts/1273.cfm 11/6/2007
FHWA-1273 Electronic version March 10, 1994 - Contract Admin- Construction - FHWA Page 9 of 21
apprentice.
2. The allowable ratio of apprentices to journeyman-
level employees on the job site in any craft
classification shall not be greater than the ratio
permitted to the contractor as to the entire work force
• ! under the registered program. Any employee 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
listed in the wage determination for the classification
of work actually performed. In addition, any
apprentice performing work on the job site in excess !
of the ratio permitted under the registered program '
shall be paid not less than the applicable wage rate
on the wage determination for the work actually I
performed. Where a contractor or subcontractor 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-level hourly rate) specified in the
contractor's or subcontractor's registered program
i
shall be observed.
3. Every apprentice must be paid at not less than the
rate specified in the registered program for the
j apprentice's level of progress, expressed as a
percentage of the journeyman-level hourly rate i
specified in the applicable wage determination.
Apprentices shall be paid fringe benefits in
accordance with the provisions of the apprenticeship
program. If the apprenticeship program does not
specify fringe benefits, apprentices must be paid the 1
full amount of fringe benefits listed on the wage (j
determination for the applicable classification. If the
• Administrator for the Wage and Hour Division
determines that a different practice prevails for the
applicable apprentice classification, fringes shall be
paid in accordance with that determination.
4. In the event the Bureau of Apprenticeship and
Training, or a State apprenticeship agency
recognized by the Bureau, withdraws approval of an
apprenticeship program, the contractor or
subcontractor will no longer be permitted to utilize
apprentices at less than the applicable predetermined
rate for the comparable work performed by regular
employees until an acceptable program is approved.
b. Trainees: i
3
1. Except as provided in 29 CFR 5.16, trainees will not
be permitted to work at less than the predetermined
rate for the work performed unless they are employed
pursuant to and individually registered in a program
which has received prior approval, evidenced by
formal certification by the DOL, Employment and
Training Administration.
2. The ratio of trainees to journeyman-level employees
on the job site shall not be greater than permitted
under the plan approved by the Employment and
Training Administration. Any employee listed on the
payroll at a trainee rate who is not registered and
participating in a training plan approved by the
Employment and Training Administration shall be
paid not less than the applicable wage rate on the
wage determination for the classification of work
actually performed. In addition, any trainee
performing work on the job site in excess of the ratio
permitted under the registered program shall be paid
http://www.fhwa.dot.gov/programadmin/contracts/1273.cfm 11/6/2007
" FHWA-1273 Electronic version March 10, 1994 - Contract Admin- Construction- FH... Page 10 of 21
not less than the applicable wage rate on the wage
determination for the work actually performed.
3. Every trainee must be paid at not less than the rate
specified in the approved program for his/her level of 1
progress, expressed as a percentage of the
journeyman-level hourly rate specified in the
applicable wage determination. Trainees shall be
paid fringe benefits in accordance with the provisions
of the trainee program. 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 program associated with the
corresponding journeyman-level wage rate on the
wage determination which provides for less than full
fringe benefits for apprentices, in which case such
trainees shall receive the same fringe benefits as i
r n ices.
Pp e
a t
4. In the event the Employment and
Training
Administration withdraws approval of a training
program, the contractor or subcontractor will no l
longer be permitted to utilize trainees at less than the
applicable predetermined rate for the work performed
until an acceptable program is approved.
c. Helpers:
i
Helpers will be permitted to work on a project if the
helper classification is specified and defined on It
the applicable wage determination or is approved
pursuant to the conformance procedure set forth in !
Section IV.2. Any worker listed on a payroll at a
helper wage rate,who is not a helper under a
• approved definition, shall be paid not less than the
applicable wage rate on the wage determination
for the classification of work actually performed. i
i
5. Apprentices and Trainees (Programs of the U.S. DOT): i
i
Apprentices and trainees working under apprenticeship and
skill training programs which have been certified by the
Secretary of Transportation as promoting EEO in connection
with Federal-aid highway construction programs are not
subject to the requirements of paragraph 4 of this Section IV.
The straight time hourly wage rates for apprentices and
trainees under such programs will be established by the
particular programs. The ratio of apprentices and trainees to
journeymen shall not be greater than permitted by the terms i
of the particular program.
I
6. Withholding:
The SHA shall upon its own action or upon written request of
an authorized representative of the DOL withhold, or cause to
be withheld, from the contractor or subcontractor under this
contract or any other Federal contract with the same prime
contractor, or any other Federally-assisted contract subject to
Davis-Bacon prevailing wage requirements which is held by
the same prime contractor, as much of the accrued payments
or advances as may be considered necessary to pay laborers
and mechanics, including apprentices, trainees, and helpers, 6
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 SHA contracting officer may, after written notice
http://www.fbwa.dot.gov/programadmin/contracts/1273.cfm 11/6/2007
FHWA-1273 Electronic version March 10, 1994 - Contract Admin- Construction - FH... Page 11 of 21
to the contractor, 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.
7. Overtime Requirements:
• No contractor or subcontractor contracting for any part of the
contract work which may require or involve the employment
of laborers, mechanics, watchmen, or guards (including
apprentices, trainees, and helpers described in paragraphs 4
and 5 above) shall require or permit any laborer, mechanic,
watchman, or guard in any workweek in which he/she is
employed on such work, to work in excess of 40 hours in
such workweek unless such laborer, mechanic, watchman, or
guard receives compensation at a rate not less than one-and-
one-half times his/her basic rate of pay for all hours worked in
excess of 40 hours in such workweek.
8. Violation:
Liability for Unpaid Wages; Liquidated Damages: In the event
of any violation of the clause set forth in paragraph 7 above,
the contractor and any subcontractor responsible thereof
shall be liable to the affected employee for his/her 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 paragraph 7, in the sum
of$10 for each calendar day on which such employee was
required or permitted to work in excess of the standard work
• week of 40 hours without payment of the overtime wages
required by the clause set forth in paragraph 7.
9. Withholding for Unpaid Wages and Liquidated Damages: i
The SHA shall upon its own action or upon written request of ,
any authorized representative of the DOL withhold, or cause
to be withheld, from any monies payable on account of work
performed by the contractor or subcontractor under any such
contract or 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
damages as provided in the clause set forth in paragraph 8
above.
V. STATEMENTS AND PAYROLLS
(Applicable to all Federal-aid construction contracts exceeding
$2,000 and to all related subcontracts, except for projects located
on roadways classified as local roads or rural collectors, which
are exempt.) i
1. Compliance with Copeland Regulations (29 CFR 3): j
The contractor shall comply with the Copeland
Regulations of the Secretary of Labor which are herein
• incorporated by reference.
2. Payrolls and Payroll Records:
a. Payrolls and basic records relating thereto shall be
maintained by the contractor and each subcontractor
during the course of the work and preserved for a period
http://www.fhwa.dot.gov/programadmin/contracts/1273,cfm 11/6/2007
FHWA-1273 Electronic version March 10, 1994 - Contract Admin- Construction - FH... Page 12 of 21
of 3 years from the date of completion of the contract for
all laborers, mechanics, apprentices,trainees,watchmen,
helpers, and guards working at the site of the work.
j b. The payroll records shall contain the name, social
i security number, and address of each such employee; his
• or her correct classification; hourly rates of wages paid
(including rates of contributions or costs anticipated for j
bona fide fringe benefits or cash equivalent thereof the
types described in Section 1(b)(2)(B) of the Davis Bacon
Act); daily and weekly number of hours worked;
deductions made; and actual wages paid. In addition, for
Appalachian contracts, the payroll records shall contain a
notation indicating whether the employee does, or does
not, normally reside in the labor area as defined in
Attachment A, paragraph 1. Whenever the Secretary of
Labor, pursuant to Section IV, paragraph 3b, has found
that the wages of any laborer or mechanic include the
amount of any costs reasonably anticipated in providing i
benefits under a plan or program described in Section 1
(b)(2)(B) of the Davis Bacon Act, the contractor and each
subcontractor shall maintain records which show that the
commitment to provide such benefits is enforceable, that
the plan or program is financially responsible, that the
plan or program has been communicated in writing to the
laborers or mechanics affected, and show the cost
3
anticipated or the actual cost incurred in providing
benefits. Contractors or subcontractors employing
apprentices or trainees under approved programs shall
maintain written evidence of the registration of
apprentices and trainees, and ratios and wage rates
prescribed in the applicable programs. i
c. Each contractor and subcontractor shall furnish, each
week in which any contract work is performed, to the SHA
• . resident engineer a payroll of wages paid each of its
employees (including apprentices, trainees, and helpers,
described in Section IV, paragraphs 4 and 5, and
watchmen and guards engaged on work during the
preceding weekly payroll period). The payroll submitted
shall set out accurately and completely all of the
information required to be maintained under paragraph
2b of this Section V. This information may be submitted in
any form desired. Optional Form WH-347 is available for
this purpose and may be purchased from the
j Superintendent of Documents (Federal stock number
029-005-0014-1), U.S. Government Printing Office,
Washington, D.C. 20402. The prime contractor is
responsible for the submission of copies of payrolls by all
subcontractors. i
d. Each payroll submitted shall be accompanied by a
"Statement of Compliance," signed by the contractor or
subcontractor or his/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 i
information required to be maintained under
paragraph 2b of this Section V and that such j
j information is correct and complete;
2. that such 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 the
Regulations, 29 CFR 3;
http://www.fhwa.dot.gov/programadmin/contracts/1273.cfm 11/6/2007
FHWA-1273 Electronic version March 10, 1994 - Contract Admin- Construction - FH... Page 13 of 21
a
3. that each laborer or mechanic has been paid not less
that the applicable wage rate and fringe benefits or
cash equivalent for the classification of worked
performed, as specified in the applicable wage
determination incorporated into the contract.
e. The weekly submission of a properly executed
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 2d
of this Section V.
f. The falsification of any of the above certifications may
subject the contractor to civil or criminal prosecution
under 18 U.S.C. 1001 and 31 U.S.C. 231.
g. The contractor or subcontractor shall make the records
required under paragraph 2b of this Section V available !!!
for inspection, copying, or transcription by authorized
representatives of the SHA, the FHWA, or the DOL, and
shall permit such representatives to interview employees
during working hours on the job. If the contractor or
subcontractor fails to submit the required records or to
make them available, the SHA, the FHWA, the DOL, or ;
all may, after written notice to the contractor, sponsor,
applicant, or owner, take such actions as may be
necessary to cause the suspension of any further
payment, advance, or guarantee of funds. Furthermore,
failure to submit the required records upon request or to
make such records available may be grounds for
debarment action pursuant to 29 CFR 5.12.
VI. RECORD OF MATERIALS, SUPPLIES, AND LABOR
1. On all Federal-aid contracts on the National Highway System,
except those which provide solely for the installation of
• protective devices at railroad grade crossings, those which
are constructed on a force account or direct labor basis,
highway beautification contracts, and contracts for which the
total final construction cost for roadway and bridge is less
than $1,000,000 (23 CFR 635)the contractor shall:
a. Become familiar with the list of specific materials and
supplies contained in Form FHWA-47, "Statement of
Materials and Labor Used by Contractor of Highway I
Construction Involving Federal Funds," prior to the
commencement of work under this contract.
b. Maintain a record of the total cost of all materials and
supplies purchased for and incorporated in the work, and
also of the quantities of those specific materials and
supplies listed on Form FHWA-47, and in the units shown
on Form FHWA-47.
c. Furnish, upon the completion of the contract, to the SHA
resident engineer on Form FHWA-47 together with the
data required in paragraph 1 b relative to materials and
supplies, a final labor summary of all contract work
indicating the total hours worked and the total amount
earned.
2. At the prime contractor's option, either a single report
covering all contract work or separate reports for the
contractor and for each subcontract shall be submitted.
VII. SUBLETTING OR ASSIGNING THE CONTRACT
1. The contractor shall perform with its own organization
contract work amounting to not less than 30 percent(or a
greater percentage if specified elsewhere in the contract) of
the total original contract price, excluding any specialty items
designated by the State. Specialty items may be performed
by subcontract and the amount of any such specialty items
performed may be deducted from the total original contract
i
http://www.fliwa.dot.gov/programadmin/contracts/I 11/6/2007
FHWA-1273 Electronic version March 10, 1994 - Contract Admin- Construction - FH... Page 14 of 21
price before computing the amount of work required to be
performed by the contractor's own organization (23 CFR
635).
a. "Its own organization"shall be construed to include only
i workers employed and paid directly by the prime
contractor and equipment owned or rented by the prime
contractor, with or without operators. Such term does not
include employees or equipment of a subcontractor,
assignee, or agent of the prime contractor. !I
b. "Specialty Items" shall be construed to be limited to work
that requires highly specialized knowledge, abilities, or
equipment not ordinarily available in the type of
contracting organizations qualified and expected to bid on i
the contract as a whole and in general are to be limited to i
minor components of the overall contract.
2. The contract amount upon which the requirements set forth in
paragraph 1 of Section VII is computed includes the cost of
material and manufactured products which are to be
purchased or produced by the contractor under the contract ;
provisions.
3. The contractor shall furnish (a) a competent superintendent
or supervisor who is employed by the firm, has full authority
to direct performance of the work in accordance with the
contract requirements, and is in charge of all construction
operations (regardless of who performs the work) and (b)
such other of its own organizational resources (supervision,
management, and engineering services) as the SHA
contracting officer determines is necessary to assure the
performance of the contract.
4. No portion of the contract shall be sublet, assigned or
otherwise disposed of except with the written consent of the
SHA contracting officer, or authorized representative, and
such consent when given shall not be construed to relieve the
j contractor of any responsibility for the fulfillment of the
contract. Written consent will be given only after the SHA has
assured that each subcontract is evidenced in writing and that
it contains all pertinent provisions and requirements of the
prime contract.
VIII. SAFETY:ACCIDENT PREVENTION j
1. In the performance of this contract the contractor shall comply
i with all applicable Federal, State, and local laws governing
safety, health, and sanitation (23 CFR 635). The contractor
shall provide all safeguards, safety devices and protective
equipment and take any other needed actions as it
determines, or as the SHA contracting officer may determine,
to be reasonably necessary to protect the life and health of
employees on the job and the safety of the public and to
protect property in connection with the performance of the
i
work covered by the contract.
2. It is a condition of this contract, and shall be made a condition
of each subcontract, which the contractor enters into pursuant
to this contract, that the contractor and any subcontractor
shall not permit any employee, in performance of the +
contract, to work in surroundings or under conditions which
are unsanitary, hazardous or dangerous to his/her health or
safety, as determined under construction safety and health
standards(29 CFR 1926) promulgated by the Secretary of
Labor, in accordance with Section 107 of the Contract Work
Hours and Safety Standards Act(40 U.S.C. 333).
3. Pursuant to 29 CFR 1926.3, it is a condition of this contract
that the Secretary of Labor or authorized representative
thereof, shall have right of entry to any site of contract
performance to inspect or investigate the matter of i
compliance with the construction safety and health standards
i
http://www.fhwa.dot.gov/programadmin/contracts/1273.cfm 11/6/2007
FHWA-1273 Electronic version March 10, 1994 - Contract Admin - Construction - FH... Page 15 of 21
and to carry out the duties of the Secretary under Section 107
of the Contract Work Hours and Safety Standards Act(40
i
U.S.C. 333).
IX. FALSE STATEMENTS CONCERNING HIGHWAY PROJECTS
In order to assure high quality and durable construction in
conformity with approved plans and specifications and a high
degree of reliability on statements and representations made by
engineers, contractors, suppliers, and workers on Federal-aid
highway projects, it is essential that all persons concerned with
the project perform their functions as carefully, thoroughly, and
honestly as possible. Willful falsification, distortion, or
misrepresentation with respect to any facts related to the project is i
a violation of Federal law. To prevent any misunderstanding #
regarding the seriousness of these and similar acts, the following 1
notice shall be posted on each Federal-aid highway project(23 l
CFR 635) in one or more places where it is readily available to all
persons concerned with the project:
NOTICE TO ALL PERSONNEL ENGAGED ON FEDERAL-AID
HIGHWAY PROJECTS
1
18 U.S.C. 1020 reads as follows:
"Whoever, being an officer, agent, or employee of the United
States, or of any State or Territory, or whoever, whether a person,
association, firm, or corporation, knowingly makes any false
statement, false representation, or false report as to the character, t
quality, quantity, or cost of the material used or to be used, or the
quantity or quality of the work performed or to be performed, or
the cost thereof in connection with the submission of plans, maps,
specifications, contracts, or costs of construction on any highway
or related project submitted for approval to the Secretary of
• Transportation;or
Whoever knowingly makes any false statement, false
representation, false report or false claim with respect to the
character, quality, quantity, or cost of any work performed or to be
performed, or materials furnished or to be furnished, in connection
with the construction of any highway or related project approved
by the Secretary of Transportation; or
i
Whoever knowingly makes any false statement or false
representation as to material fact in any statement, certificate, or
report submitted pursuant to provisions of the Federal-aid Roads
Act approved July 1, 1916, (39 Stat. 355), as amended and
supplemented;
Shall be fined not more that$10,000 or imprisoned not more than
5 years or both."
X. IMPLEMENTATION OF CLEAN AIR ACT AND FEDERAL
WATER POLLUTION CONTROL ACT
(Applicable to all Federal-aid construction contracts and to all
related subcontracts of$100,000 or more.)
By submission of this bid or the execution of this contract, or !
subcontract, as appropriate, the bidder, Federal-aid construction
contractor, or subcontractor, as appropriate, will be deemed to
have stipulated as follows:
1. That any facility that is or will be utilized in the performance of
• this contract, unless such contract is exempt under the Clean
Air Act, as amended (42 U.S.C. 1857 et seq., as amended by
Pub.L. 91-604), and under the Federal Water Pollution Control
Act, as amended (33 U.S.C. 1251 et seq., as amended by
Pub.L. 92-500), Executive Order 11738, and regulations in
http://www.fbwa.dot.gov/programadmin/contracts/1273.cfm 11/6/2007
FHWA-1273 Electronic version March 10, 1994 - Contract Admin- Construction - FH... Page 16 of 21
implementation thereof(40 CFR 15) is not listed, on the date
of contract award, on the U.S. Environmental Protection
Agency(EPA) List of Violating Facilities pursuant to 40 CFR
15.20.
2. That the firm agrees to comply and remain in compliance with
. all the requirements of Section 114 of the Clean Air Act and
Section 308 of the Federal Water Pollution Control Act and all
regulations and guidelines listed thereunder, j
3. That the firm shall promptly notify the SHA of the receipt of
any communication from the Director, Office of Federal
Activities, EPA, indicating that a facility that is or will be
utilized for the contract is under consideration to be listed on
the EPA List of Violating Facilities.
4. That the firm agrees to include or cause to be included the
requirements of paragraph 1 through 4 of this Section X in ;
every nonexempt subcontract, and further agrees to take
such action as the government may direct as a means of
enforcing such requirements.
Xl. CERTIFICATION REGARDING DEBARMENT, SUSPENSION,
j INELIGIBILITY AND VOLUNTARY EXCLUSION
1. Instructions for Certification -Primary Covered
Transactions:
(Applicable to all Federal-aid contracts -49 CFR 29) I
i
a. By signing and submitting this proposal, the prospective
primary participant is providing the certification set out
below.
b. The inability of a person to provide the certification set out
below will not necessarily result in denial of participation
in this covered transaction. The prospective participant
shall submit an explanation of why it cannot provide the i
• certification set out below. The certification or explanation
will be considered in connection with the department or
agency's determination whether to enter into this
transaction. However,failure of the prospective primary
participant to furnish a certification or an explanation shall
i disqualify such a person from participation in this
transaction.
c. The certification in this clause is a material representation
of fact upon which reliance was placed when the
department or agency determined to enter into this
transaction. If it is later determined that the prospective
primary participant knowingly rendered an erroneous 3
certification, in addition to other remedies available to the
Federal Government, the department or agency may F
terminate this transaction for cause of default.
d. The prospective primary participant shall provide
immediate written notice to the department or agency to
whom this proposal is submitted if any time the
prospective primary participant learns that its certification
was erroneous when submitted or has become erroneous
by reason of changed circumstances. '
e. The terms"covered transaction,""debarred,"
"suspended,""ineligible," "lower tier covered transaction,"
"participant,""person,""primary covered transaction,"
3
"principal,""proposal,"and"voluntarily excluded," as used
in this clause, have the meanings set out in the I
Definitions and Coverage sections of rules implementing
Executive Order 12549. You may contact the department
• or agency to which this proposal is submitted for
assistance in obtaining a copy of those regulations.
f. The prospective primary participant agrees by submitting
this proposal that, should the proposed covered
i
http://www.fhwa.dot.gov/programadmin/contracts/1273.cfm 11/6/2007
FHWA-1273 Electronic version March 10, 1994 - Contract Admin- Construction - FH... Page 17 of 21
transaction be entered into, it shall not knowingly enter
into any lower tier covered transaction with a person who
is debarred, suspended, declared ineligible, or voluntarily
excluded from participation in this covered transaction,
unless authorized by the department or agency entering
into this transaction.
g. The prospective primary participant further agrees by
submitting this proposal that it will include the clause titled
"Certification Regarding Debarment, Suspension,
Ineligibility and Voluntary Exclusion-Lower Tier Covered I
Transaction," provided by the department or agency i
entering into this covered transaction, without
modification, in all lower tier covered transactions and in
all solicitations for lower tier covered transactions. i
h. A participant in a covered transaction may rely upon a
certification of a prospective participant in a lower tier
covered transaction that is not debarred, suspended,
ineligible, or voluntarily excluded from the covered
transaction, unless it knows that the certification is
erroneous. A participant may decide the method and
frequency by which it determines the eligibility of its
principals. Each participant may, but is not required to,
check the nonprocurement portion of the"Lists of Parties
Excluded From Federal Procurement or Nonprocurement
Programs" (Nonprocurement List)which is compiled by
the General Services Administration.
i. Nothing contained in the foregoing shall be construed to
require establishment of a system of records in order to
render in good faith the certification required by this
clause.The knowledge and information of participant is !
not required to exceed that which is normally possessed
by a prudent person in the ordinary course of business i
• dealings. i
j. Except for transactions authorized under paragraph f of
these instructions, if a participant in a covered transaction
knowingly enters into a lower tier covered transaction with
a person who is suspended, debarred, ineligible, or
voluntarily excluded from participation in this transaction,
I in addition to other remedies available to the Federal j
Government, the department or agency may terminate y
this transaction for cause or default.
Certification Regarding Debarment, Suspension,
Ineligibility and Voluntary Exclusion--Primary Covered
Transactions
1. The prospective primary participant certifies to the best of
its knowledge and belief, that it and its principals:
a. Are not presently debarred, suspended, proposed for i
debarment, declared ineligible, or voluntarily
excluded from covered transactions by any Federal
department or agency;
b. Have not within a 3-year period preceding this
proposal been convicted of or had a civil judgement
rendered against them for commission of fraud or a
criminal offense in connection with obtaining, d
attempting to obtain, or performing a public(Federal, 1
State or local)transaction or contract under a public
transaction; violation of Federal or State antitrust
statutes or commission of embezzlement, theft,
forgery, bribery, falsification or destruction of records,
making false statements, or receiving stolen property;
c. Are not presently indicted for or otherwise criminally
http://www.fhwa.dot.gov/programadmin/contracts/1273.cfm 11/6/2007
FHWA-1273 Electronic version March 10, 1994 - Contract Admin- Construction - FH... Page 18 of 21
.� or civilly charged by a governmental entity(Federal,
State or local)with commission of any of the offenses
enumerated in paragraph 1 b of this certification; and
d. Have not within a 3-year period preceding this
application/proposal had one or more public
transactions (Federal, State or local)terminated for
cause or default.
2. Where the prospective primary participant is unable to
certify to any of the statements in this certification, such
prospective participant shall attach an explanation to this
proposal.
i
2. Instructions for Certification -Lower Tier Covered
Transactions: i
(Applicable to all subcontracts, purchase orders and other
lower tier transactions of$25,000 or more-49 CFR 29)
a. By signing and submitting this proposal, the prospective
lower tier is providing the certification set out below.
b. The certification in this clause is a material representation
of fact upon which reliance was placed when this
transaction was entered into. If it is later determined that
the prospective lower tier participant knowingly rendered
an erroneous certification, in addition to other remedies
available to the Federal Government, the department, or
agency with which this transaction originated may pursue
available remedies, including suspension and/or
debarment. }}
C. The prospective lower tier participant shall provide
• immediate written notice to the person to which this
proposal is submitted if at any time the prospective lower
tier participant learns that its certification was erroneous
by reason of changed circumstances.
d. The terms"covered transaction,""debarred,"
"suspended,""ineligible," "primary covered transaction,"
"participant,""person," "principal,""proposal,"and
"voluntarily excluded," as used in this clause, have the
meanings set out in the Definitions and Coverage
sections of rules implementing Executive Order 12549.
You may contact the person to which this proposal is
submitted for assistance in obtaining a copy of those
regulations.
e. The prospective lower tier participant agrees by
submitting this proposal that, should the proposed
covered transaction be entered into, it shall not knowingly
enter into any lower tier covered transaction with a
person who is debarred, suspended, declared ineligible,
or voluntarily excluded from participation in this covered
transaction, unless authorized by the department or
agency with which this transaction originated.
f. The prospective lower tier participant further agrees by
submitting proposal this ro osal that it will include this clause
C
titled "Certification Regarding Debarment, Suspension,
Ineligibility and Voluntary Exclusion-Lower Tier Covered
Transaction,"without modification, in all lower tier
covered transactions and in all solicitations for lower tier
covered transactions.
• g. A participant in a covered transaction may rely upon a
certification of a prospective participant in a lower tier
covered transaction that is not debarred, suspended,
ineligible, or voluntarily excluded from the covered
transaction, unless it knows that the certification is
http://www.fliwa.dot.gov/programadmin/contracts/1273.cfm 11/6/2007
�^ FHWA-1273 Electronic version March 10, 1994 - Contract Admin-Construction - FH... Page 19 of 21
erroneous.A participant may decide the method and
frequency by which it determines the eligibility of its
principals. Each participant may, but is not required to,
check the Nonprocurement List.
h. Nothing contained in the foregoing shall be construed to
require establishment of a system of records in order to I
• render in good faith the certification required by this
clause.The knowledge and information of participant is
not required to exceed that which is normally possessed
by a prudent person in the ordinary course of business
dealings.
i. Except for transactions authorized under paragraph a of
these instructions, if a participant in a covered transaction
knowingly enters into a lower tier covered transaction with
a person who is suspended, debarred, ineligible, or
voluntarily excluded from participation in this transaction,
in addition to other remedies available to the Federal
i Government, the department or agency with which this
transaction originated may pursue available remedies,
including suspension and/or debarment.
Certification Regarding Debarment, Suspension,
Ineligibility and Voluntary Exclusion--Lower Tier Covered
Transactions:
1. The prospective lower tier participant certifies, by
submission of this proposal, that neither it nor its
principals is presently debarred, suspended, proposed for
debarment, declared ineligible, or voluntarily excluded j
from participation in this transaction by any Federal
department or agency.
2. Where the prospective lower tier participant is unable to
i certify to any of the statements in-this certification, such
prospective participant shall attach an explanation to this
proposal.
i
XII. CERTIFICATION REGARDING USE OF CONTRACT FUNDS
i
FOR LOBBYING
(Applicable to all Federal-aid construction contracts and to all
related subcontracts which exceed $100,000-49 CFR 20)
1. The prospective participant certifies, by signing and
submitting this bid or proposal, to the best of his or her {
knowledge and belief, that:
a. No Federal appropriated funds have been paid or will be
paid, by or on behalf of the undersigned, to any person
for influencing or attempting to influence an officer or
employee of any Federal agency, a Member of Congress,
an officer or employee of Congress, or an employee of a
Member of Congress in connection with the awarding of
any Federal contract, the making of any Federal grant,
the making of any Federal loan, the entering into of any
cooperative agreement, and the extension, continuation, i
renewal, amendment, or modification of any Federal
contract, grant, loan, or cooperative agreement.
b. If any funds other than Federal appropriated funds have
• been paid or will be paid to any person for influencing or
attempting to influence an officer or employee of any
Federal agency, a Member of Congress, an officer or
employee of Congress, or an employee of a Member of
Congress in connection with this Federal contract, grant,
http://www.fhwa.dot.gov/programadmin/contracts/1273.cfm 11/6/2007
14•FHWA-1273 Electronic version March 10, 1994 - Contract Admin- Construction - FH... Page 20 of 21
A loan, or cooperative agreement, the undersigned shall
complete and submit Standard Form-LLL, "Disclosure
Form to Report Lobbying," in accordance with its
instructions.
2. This certification is a material representation of fact upon
which reliance was placed when this transaction was made or
entered into. Submission of this certification is a prerequisite
for making or entering into this transaction imposed by 31
U.S.C. 1352.Any person who fails to file the required
certification shall be subject to a civil penalty of not less than i
$10,000 and not more than $100,000 for each such failure. i
3. The prospective participant also agrees by submitting his or
her bid or proposal that he or she shall require that the
language of this certification be included in all lower tier I
E
subcontracts, which exceed $100,000 and that all such
recipients shall certify and disclose accordingly.
ATTACHMENT A -EMPLOYMENT PREFERENCE FOR
APPALACHIAN CONTRACTS
(Applicable to Appalachian contracts only.)
1. During the performance of this contract, the contractor i
undertaking to do work which is, or reasonably may be, done
as on-site work, shall give preference to qualified persons
who regularly reside in the labor area as designated by the
DOL wherein the contract work is situated, or the subregion,
or the Appalachian counties of the State wherein the contract
work is situated, except:
a. To the extent that qualified persons regularly residing in
the area are not available.
b. For the reasonable needs of the contractor to employ
supervisory or specially experienced personnel
necessary to assure an efficient execution of the contract
work.
C. For the obligation of the contractor to offer employment to
present or former employees as the result of a lawful
collective bargaining contract, provided that the number
of nonresident persons employed under this
subparagraph 1c shall not exceed 20 percent of the total i
number of employees employed by the contractor on the
contract work, except as provided in subparagraph 4
below.
2. The contractor shall place a job order with the State
Employment Service indicating (a)the classifications of the
laborers, mechanics and other employees required to perform
the contract work, (b)the number of employees required in
each classification, (c)the date on which he estimates such
employees will be required, and (d) any other pertinent
information required by the State Employment Service to
complete the job order form. The job order may be placed
with the State Employment Service in writing or by telephone.
If during the course of the contract work, the information
submitted by the contractor in the original job order is
substantially modified, he shall promptly notify the State
Employment Service.
3. The contractor shall give full consideration to all qualified job
applicants referred to him by the State Employment Service. i
The contractor is not required to grant employment to any job
applicants who, in his opinion, are not qualified to perform the
classification of work required.
• 4. If, within 1 week following the placing of a job order by the
contractor with the State Employment Service, the State
Employment Service is unable to refer any qualified job
applicants to the contractor, or less than the number
http://www.fhwa.dot.gov/programadmin/contracts/1273.cfm 11/6/2007
!• FHWA-1273 Electronic version March 10, 1994 - Contract Admin- Construction - FH... Page 21 of 21
requested,the State Employment Service will forward a
certificate to the contractor indicating the unavailability of
applicants. Such certificate shall be made a part of the
jcontractor's permanent project records. Upon receipt of this
certificate, the contractor may employ persons who do not
normally reside in the labor area to fill positions covered by
the certificate, notwithstanding the provisions of
j subparagraph 1c above.
5. The contractor shall include the provisions of Sections 1 I
j through 4 of this Attachment A in every subcontract for work
which is, or reasonably may be, done as on-site work.
PDF files can be viewed with the Acrobat®Reader®
This page last modified on 07/27/07
FHWA Home I Engineering I Construction
Q FHwa
United States Department of Transportation-Federal Highway Administration
•
http://www.fhwa.dot.gov/programadmin/contracts/1273.cfm 11/6/2007