HomeMy WebLinkAboutCONSTRUCTION AGREEMENT BETWEEN DEPARTMENT OF TRANSPORTATION STATE OF GEORGIA FOR FUNDING THE WALTON WAY AND LANEY WALKER STREET RESURFACING PROJECT REQUESTED BY AED `4. Project 0009607 ARRA Project 0009608 ARRA
I Acct Code 707001 Acct Code 707001
, VI ' Class Code 315 Class Code 315
Dept ID 484060001 Dept ID 484060001
Project 0009606 ARRA Program Code 4180601 Program Code 4180601
Acct Code 707001 Amount $543,821.44 Amount $667,430.45
Class Code 315 CONSTRUCTION AGREEMENT Project 0009609 ARRA
Dept ID 484060001 BETWEEN Acct Code 707001
Program Code 4180601 DEPARTMENT OF TRANSPORTATION Class Code 315
Ammount unt $5587,083.40 Dept ID 484060001
STATE OF GEORGIA Program Code 4180601
AND Amount $831,562.87
AUGUSTA - RICHMOND COUNTY
This Agreement, made and entered into this Z S day of
2010, by and between the DEPARTMENT OF
1 TRANSPORTATION, an agency of the State of Georgia, hereinafter
called the "DEPARTMENT ", and Augusta - Richmond County, hereinafter
called the "SPONSOR."
WHEREAS, the SPONSOR has been approved by the DEPARTMENT to carry
out a Project which consists of patching, leveling, resurfacing,
striping and shoulder filling and grassing (where applicable) on:
Walton Way from Gordon Hwy to 15 St. PI 0009606
Walton Way from 15 St. to Johns Rd. PI 0009607
Walton Way from Johns Rd. to Jackson Rd. PI 0009608
Laney Walker Boulevard PI 0009609
hereinafter referred to as the "PROJECT "; and
WHEREAS, the DEPARTMENT is authorized to receive federal funding
for Projects for Georgia pursuant to provisions of 23 U.S.C. Section
133 (b) (8) ; and
WHEREAS, the PROJECT is expected to positively impact the quality
of transportation in the State of Georgia; and
WHEREAS, the DEPARTMENT desires to participate with the SPONSOR in
the implementation of the PROJECT; and
WHEREAS, the SPONSOR has represented to the DEPARTMENT that it has
the authority to receive and expend federal funds for the purpose of
this PROJECT and is qualified and experienced to provide such
services necessary for the construction of the PROJECT and the
DEPARTMENT has relied upon such representations; and
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WHEREAS, under Section 32- 2- 2(a)(7) of the Official Code of Georgia
Annotated, the DEPARTMENT is authorized to participate in such an
undertaking:
NOW, THEREFORE, in consideration of the mutual promises and
covenant contained herein, it is agreed by and between the
DEPARTMENT and the SPONSOR THAT:
ARTICLE I
SCOPE AND PROCEDURE
The SCOPE AND PROCEDURE for this PROJECT shall be the patching,
leveling, resurfacing, striping, shoulder filling and grassing, as
set forth in Exhibit A, WORK PLAN, which is further defined by the
PROJECT estimate sheets ("PROJECT PLANS") on file with the
DEPARTMENT and the SPONSOR and referenced as if attached hereto and
incorporated as if fully set forth herein.
The SPONSOR shall be responsible for assuring that the PROJECT will
be economically feasible and based upon sound engineering
principles, meet American Association of State Highway and
Transportation Officials ("AASHTO") Guidelines and will be sensitive
to ecological, environmental and archaeological issues.
The WORK PLAN sets out the scope of work for the PROJECT. It is
understood and agreed that the DEPARTMENT shall participate only in
the PROJECT as specified in Exhibit A, WORK PLAN.
The SPONSOR shall work with the Georgia Department of
Transportation District 2 to advise the SPONSOR on the WORK PLAN and
provide guidance during implementation of the PROJECT.
During the development of the PROJECT the SPONSOR has taken into
consideration, as applicable, the DEPARTMENT'S Standard
Specifications for the Construction of Roads and Bridges, AASHTO
standards for sidewalks; FHWA guidelines for pedestrian facilities;
compliance with the U.S. Secretary of the Interior "Standards and
Guidelines, Archaeology and Historic Preservation"; compliance with
Section 106 of the National Historic Preservation Act of 1966 and
with Section 4(f) of the US DOT Act of 1966; compliance with the
Archaeology and Historic Preservation Act of 1974; compliance with
the Archaeological Resources Protection Act of 1979 and with the
Native American Graves Protection and Repatriation Act, the Georgia
Abandoned Cemeteries and Burial Grounds Act of 1991; compliance with
the DEPARTMENT'S Scenic Byways Designation and Management Program,
and with the American Society of Landscape Architect Guidelines;
compliance with the Outdoor Advertising Requirements as outlined in
the Official Code of Georgia Annotated, Section 32-6-70 et.seq. and
other standards and guidelines as may be applicable to the PROJECT.
The SPONSOR has acquired rights of way, if required, and related
services for the PROJECT in accordance with State and Federal Laws,
DEPARTMENT'S Right of Way Procedure Manual, Federal Regulations and
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particularly Title 23 and 49 of the Code of Federal Regulations
("CFR"), as amended. The SPONSOR further acknowledges that no
acquisition of rights of way occurred until all applicable
archaeological, environmental and historical preservation clearances
were approved.
The SPONSOR shall ensure that all contracts as well as any
subcontracts for the construction of the PROJECT shall comply with
the Federal and State legal requirements imposed on the DEPARTMENT
and any amendments thereto. Specifically, but not limited to the
provisions governing the DEPARTMENT's authority to contract,
Sections 32-2-60 through 32-2-77 of the Official Code of Georgia
Annotated; the DEPARTMENT's Rules and Regulations governing the
Prequalification of Prospective Bidders, Chapter 672 and the
DEPARTMENT's Standard Specifications and Special Provisions.
The SPONSOR further agrees to comply with and shall require the
compliance and physical incorporation of Federal Form FHWA-1273 into
all contracts or subcontracts for construction, as attached hereto
and incorporated herein as Exhibit 13, Terms and Conditions.
ARTICLE II
COVENANTS AGAINST CONTINGENT FEES
The SPONSOR shall comply with all relevant requirements of Federal,
State and local laws including but not limited to those applicable
requirements as outlined in Exhibit B, TERMS AND CONDITIONS. The
SPONSOR warrants that it has not employed or retained any company or
person, other than a bona fide employee working solely for the
SPONSOR, to solicit or secure this Agreement, and that it has not
paid or agreed to pay any company or person, other than a bona fide
employee working solely for the SPONSOR, any fee, commission,
percentage, brokerage fee, gifts, or any other consideration,
contingent upon or resulting from the award or making of this
Agreement. For breach or violation of this warranty, the DEPARTMENT
shall have the right to annul this Agreement without liability, or,
in its discretion, to deduct from the Agreement price or
consideration, or otherwise recover, the full amount of such fee,
commission, percentage, brokerage fee, gift, or contingent fee.
ARTICLE III
REVIEW OF WORK
Authorized representatives of the DEPARTMENT and the Federal
Highway Administration, ("FHWA"), may at all reasonable times review
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and inspect the activities and data collected under the terms of
this Agreement and amendments thereto, including but not limited to,
all reports, drawings, studies, specifications, estimates, maps, and
computations, prepared by or for the SPONSOR. The DEPARTMENT
reserves the right for reviews and acceptance on the part of
effected public agencies, railroads and utilities insofar as the
interest of each is concerned.
Acceptance shall not relieve the SPONSOR of its professional
obligation to correct, at its expense, any of its errors in the
work. The DEPARTMENT's review recommendations shall be incorporated
into the work activities of the SPONSOR.
ARTICLE IV
TIME OF PERFORMANCE
TIME IS OF THE ESSENCE IN THIS AGREEMENT. The SPONSOR shall perform
its responsibilities for the PROJECT, commencing on receipt of
written "Notice to Proceed" from the DEPARTMENT, and shall complete
the Project no later than July 31, 2011. The work shall be carried
on in accordance with the schedule attached to this Agreement as
"Exhibit C ", WORK SCHEDULE, with that unforeseen events may make
necessary some minor variations in that schedule.
The work shall be carried on expeditiously, it being understood,
however, that this Agreement may be extended or continued in force
by mutual consent of the parties and evidenced by a written
amendment thereto.
ARTICLE V
RESPONSIBILITY FOR CLAIMS AND LIABILITY
The SPONSOR shall, to the extent permitted by law, be responsible
for any and all damages to property or persons and shall save
harmless the DEPARTMENT, its officers, agents and employees from all
suits, claims, actions or damages of any nature whatsoever resulting
from the negligence of the SPONSOR in the performance of the work
under this Agreement.
It is understood by the SPONSOR that claims, damages, losses, and
expenses may include monetary claims made by the construction
contractor for the PROJECT, and its related facilities, that are a
result of the SPONSOR'S negligence or improper representation in the
plans.
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The SPONSOR shall ensure that the provisions of this Article are
included in all contracts and subcontracts.
These indemnities shall not be limited by reason of any insurance
coverage held by the SPONSOR or the SPONSOR's contractors or
subcontractors.
ARTICLE VI
INSURANCE
Prior to beginning work, the SPONSOR shall obtain and where
applicable cause its subcontractors to obtain and furnish
certificates to the DEPARTMENT for the following minimum amounts of
insurance:
A. Workmen's Compensation Insurance in accordance with the laws
of the State of Georgia.
B. Public Liability Insurance in an amount of not less than one
hundred thousand dollars ($100,000) for injuries, including
those resulting in death to any one person, and in an amount
of not less than three hundred thousand dollars ($300,000)
on an account of any one occurrence.
C. Property Damage Insurance in an amount of not less than
fifty thousand dollars ($50,000) from damages on account of
any occurrence, with an aggregate limit of one hundred
thousand dollars ($100,000).
D. Valuable Papers Insurance in an amount sufficient to assure
the restoration of any plans, drawings, field notes, or
other similar data relating to the work covered by the
PROJECT.
Insurance shall be maintained in full force and effect
during the life of the Agreement and until final completion of the
PROJECT.
ARTICLE VII
COMPENSATION AND PAYMENT
It is agreed that the compensation hereinafter specified
includes both direct and indirect costs chargeable to the PROJECT
under generally accepted accounting principles and as allowed in the
Federal Acquisition Regulations Subpart 31.6 and not prohibited by
the Laws of the State of Georgia.
It is understood and agreed that the total estimated
construction cost of the PROJECT as outlined in this Article and as
shown in Exhibit "D ", BUDGET ESTIMATE, attached hereto and
incorporated as if fully set out herein, is Two Million Six Hundred
Twenty -Nine Thousand, Eight Hundred Ninety -Eight Dollars and Sixteen
Cents ($2,629,898.16). The total estimated cost of the PROJECT to be
financed by the Georgia Department on Transportation is Two Million
Six Hundred Twenty -Nine Thousand, Eight Hundred Ninety -Eight Dollars
and Sixteen Cents ($2,629,898.16) which is the total state
contribution to the PROJECT and is the maximum amount of the
DEPARTMENT's obligation. The approved PROJECT budget shall include
any claims by the SPONSOR for all costs incurred by the SPONSOR in
the conduct of the entire scope of work for the PROJECT.
The SPONSOR shall be solely responsible for any and all
amounts in excess of such amount being payable only with non - Federal
aid funds. The Department's obligated funds include Two Million Six
Hundred Twenty -Nine Thousand, Eight Hundred Ninety- Eight Dollars and
Sixteen Cents ($2,629,898.16) of C230 Stimulus Funds, shown
separately below:
PI 0009606 $587,083.40
PI 0009607 $543,821.44
PI 0009608 $667,430.45
PI 0009609 $831,562.87
In no event shall the State contribution of the project exceed Two
Million Six Hundred Twenty -Nine Thousand, Ei.ht Hundred Ninety -Eight
Dollars and Sixteen Cents ($2,629,898.16), which is the DEPARTMENT'S
maximum obligation.
It is understood and agreed that nothing in the foregoing
shall prevent an adjustment of the estimate of the PROJECT costs,
provided that the DEPARTMENT's maximum obligation under this
Agreement is not exceeded and that the original intent of the
PROJECT is not substantially altered from the approved PROJECT. In
order to adjust said budget estimate, it is also understood that the
SPONSOR shall request any and all budget changes in writing and that
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the DEPARTMENT shall approve or disapprove the requested budget
estimate change in writing.
The SPONSOR shall submit to the DEPARTMENT a revised budget
estimate in accordance with the successful contractor's bid within
ninety days from the date of the contractor's contract being awarded
for construction, and before any construction work on the PROJECT
may begin.
The SPONSOR shall submit to the DEPARTMENT monthly reports
of the PROJECT's progress to include a report on what was
accomplished during the month, anticipated work to be done during
the next month and any problems encountered or anticipated. Payment
on account of the above fee will be made monthly on the basis of
calendar months, in proportion to the percentage of the work
completed for each phase of work. Payments shall be made after
approval of a certified voucher from the SPONSOR. Upon the basis of
its review of such vouchers, the DEPARTMENT shall, at the request of
the SPONSOR, make payment to the SPONSOR as the work progresses, but
not more often than once a month. Should the work for the PROJECT
begin within any one month, the first voucher shall cover the
partial period from the beginning date of the work through the last
date of the month in which it began. The vouchers shall be numbered
consecutively and subsequent vouchers submitted each month until the
work is completed. Payment will be made in the amount of sums
earned less previous partial payments. The final invoice shall
reflect the actual cost of work accomplished by the SPONSOR under
the terms of this Agreement, and shall be the basis for final
payment.
No expense for travel shall be an allowable expense for the
SPONSOR under this Agreement unless such travel is listed in the
approved PROJECT budget submitted by the SPONSOR to the DEPARTMENT.
In addition, budgeted costs for travel shall be limited to the
amount included in the approved PROJECT budget, unless prior
DEPARTMENT approval is obtained for increasing such amount.
Should the work under this Agreement be terminated by the
DEPARTMENT, pursuant to the provisions of ARTICLE XIV, the SPONSOR
shall be paid based upon the percentage of work completed at the
point of termination, notwithstanding any just claims by the
SPONSOR.
ARTICLE VIII
FINAL PAYMENT
IT IS FURTHER AGREED that upon completion of the work by the
SPONSOR and acceptance by the DEPARTMENT of the work, including the
receipt of any final written submission by the SPONSOR and a final
statement of costs, the DEPARTMENT shall pay to the SPONSOR a sum
equal to one hundred percent (100) of the total compensation as set
forth in all approved invoices, less the total of all previous
partial payments, paid or in the process of payment.
The SPONSOR agrees that acceptance of this final payment
shall be in full and final settlement of all claims arising against
the DEPARTMENT for work done, materials furnished, costs incurred,
or otherwise arising out of this Agreement and shall release the
DEPARTMENT from any and all further claims of whatever nature,
whether known or unknown, for and on account of said Agreement, and
for any and all work done, and labor and materials furnished, in
connection with the same.
The SPONSOR will allow examination and verification of costs
by the DEPARTMENT's representatives before final payment is made, in
accordance with the provisions of Article XII, herein. If the
DEPARTMENT'S examination of the contract cost records, as provided
for in Article XII, results in unallowable expenses, the SPONSOR
shall immediately be responsible for reimbursing the DEPARTMENT the
full amount of such disallowed expenses.
ARTICLE IX
CONTINGENT INTEREST
The DEPARTMENT shall retain a contingent interest in the
PROJECT for as long as there continues a Federal interest in the
PROJECT as determined by the DEPARTMENT's calculation of the
economic life of the PROJECT. Based on the scope of work, as set
forth in Exhibit A, WORK PLAN, the DEPARTMENT has determined the
economic life of the PROJECT to be five years from the date of the
PROJECT Final Acceptance.
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ARTICLE X
RIGHT OF FIRST REFUSAL
A determination by the SPONSOR to sell or dispose of the
PROJECT shall entitle the DEPARTMENT to the right of first refusal
to purchase or lease the PROJECT at net liquidation value. Such
right of first refusal shall be retained for as long as the
DEPARTMENT holds a contingent interest in the PROJECT pursuant to
Article IX of this Agreement.
Should the DEPARTMENT elect to purchase or lease the PROJECT
at any time after completion of the PROJECT no compensation shall be
provided for the value added as a result of the PROJECT.
ARTICLE XI
SUBSTANTIAL CHANGES
No material changes in the scope, character, complexity, or
duration of the PROJECT from those required under the Agreement
shall be allowed without the execution of a Supplemental Agreement
between the DEPARTMENT and SPONSOR.
Minor changes in the work which do not involve increased
compensation, extensions of time, or changes in the goals and
objectives of the PROJECT, may be made by written notification of
such change by either party with written approval by the other
party.
ARTICLE XII
MAINTENANCE OF CONTRACT COST RECORDS
The SPONSOR shall maintain all books, documents, papers,
accounting records, and other evidence pertaining to costs incurred
on the PROJECT and used in support of its proposal and shall make
such material available at all reasonable times during the period of
the Agreement, and for three years from the date of final payment
under the Agreement, for inspection by the DEPARTMENT and any
reviewing agencies, and copies thereof shall be furnished upon
request. The SPONSOR agrees that the provisions of this Article
shall be included in any Agreement it may make with any
subcontractor, assignee, or transferee.
An Audit of the Agreement shall be provided by the SPONSOR.
The audit shall be conducted by an independent accountant or
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accounting firm in accordance with audit requirements, 49 CFR 18.26
and OMB Circular 128 or any revision or supplement thereto. PROJECT
costs shall be documented within the OMB Circular 128 audit. An
audit shall be submitted to the DEPARTMENT in a timely manner in
each of the SPONSOR's fiscal years for the period of the Agreement.
ARTICLE XIII
SUBLETTING, ASSIGNMENT, OR TRANSFER
It is understood by the parties to this Agreement that the
work of the SPONSOR is considered personal by the DEPARTMENT. The
SPONSOR agrees not to assign, sublet, or transfer any or all of its
interest in this Agreement without prior written approval of the
DEPARTMENT.
The DEPARTMENT reserves the right to review all subcontracts
prepared in connection with the Agreement, and the SPONSOR agrees
that it shall submit to the DEPARTMENT proposed subcontract
documents together with sub-contractor cost estimates for the
DEPARTMENT's review and written concurrence in advance of their
execution.
All subcontracts in the amount of $10,000.00 or more shall
include the provisions set forth in this Agreement.
ARTICLE XIV
TERMINATION
The DEPARTMENT reserves the right to terminate this
Agreement at any time for just cause, or for any cause upon 30 days
written notice to the SPONSOR, notwithstanding any just claims by
the SPONSOR for payment of services rendered prior to the date of
termination.
It is understood by the parties hereto that should the
DEPARTMENT terminate this Agreement prior to the completion of an
element of work the SPONSOR shall be reimbursed for such work
element based upon the percentage of work completed.
Failure to meet the time set for completion of an approved
work authorization may be considered just cause for termination of
the Agreement.
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ARTICLE XV
OWNERSHIP OF DOCUMENTS
The SPONSOR agrees that all reports, drawings, studies,
specifications, survey notes, estimates, maps, computations,
computer diskettes and printouts and other data prepared by of for
it under the terms of this Agreement shall remain the property of
the SPONSOR upon termination or completion of the work. The
DEPARTMENT shall have the right to use the same without restriction
or limitation and without additional compensation to the SPONSOR
other than that provided for in this Agreement.
ARTICLE XVI
CONTRACT DISPUTES
This Agreement shall be deemed to have been executed in
Fulton County, Georgia, and all questions of interpretation and
construction shall be governed by the Laws of the State of Georgia.
ARTICLE XVII
COMPLIANCE WITH APPLICABLE LAWS
A. The undersigned certify that the provisions of Section 45-10-20
through 45-10-28 of the Official Code of Georgia Annotated
relating to Conflict of Interest and State employees and
officials trading with the State have been complied with in
full.
B. IT IS FURTHER AGREED that the SPONSOR shall comply and shall
require its subcontractors to comply with the regulations for
COMPLIANCE WITH TITLE VI OF THE CIVIL RIGHTS ACT OF 1964, as
amended, and 23 CFR 200, as stated in Exhibit E of this
Agreement.
C. IT IS FURTHER CERTIFIED that the provisions of Section 50- 24-1
through 50-24-6 of the Official Code of Georgia Annotated
relating to the "Drug-Free Workplace Act" have been complied
with in full, as stated in Exhibit F of this Agreement.
D. The SPONSOR acknowledges and agrees that failure to complete
appropriate certifications or the submission of a false
certification shall result in the termination of this Agreement
pursuant to the provisions of Article XIV.
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E. IT IS FURTHER AGREED that the SPONSOR shall subcontract a
minimum of:
Six Percent (6 %) PI 0009606
Six Percent (6$) PI 0009607
Six Percent (6W) PI 0009608
Seven Percent (7 %) PI 0009609
of the total amount of PROJECT funds to Disadvantaged Business
Enterprise (DBE) as defined and provided for under the Federal
Rules and Regulations 49 CFR parts 23 and 26. The SPONSOR
shall ensure that DBE firms are certified with the DEPARTMENT'S
Equal Employment Opportunity Office. The SPONSOR shall submit
to the DEPARTMENT for its review and concurrence, a copy of the
proposed subcontract including the name of the DBE
subcontractor.
F. IT IS FURTHER AGREED that the SPONSOR shall comply and shall
require its subcontractors to comply with all applicable
requirements of the American with Disabilities Act of 1990
(ADA), 42 U.S.C. 12101 et.seq. and 49 U.S.C. 322; Section 504
of the Rehabilitation Act of 1973, as amended, 29 U.S.C. 791;
and regulations and amendments thereto.
G. IT IS FURTHER AGREED that the SPONSOR shall, and shall require
its contractors and subcontractors to, comply with all
applicable requirements of the Davis -Bacon Act of 1931, 40
U.S.C. 276(a); as prescribed by 23 U.S.C. 113, for Federal -aid
highway projects, except roadways classified as local roads or
rural minor collectors.
H. IT IS FURTHER AGREED that the SPONSOR shall, and shall require
its contractors and subcontractors to, comply with GA
Code Title 25, Section 9, Georgia Utility Facility Protection
Act, CALL BEFORE YOU DIG 811.
I. It is further required that the Sponsor shall, and shall
require its contractors and subcontractors to comply with the
applicable provisions of the American Recovery and Reinvestment
Act of 2009, including but not limited to those items set out
in Appendix D of this agreement.
The covenants herein contained shall, except as otherwise provided,
accrue to the benefit of and be binding upon the successors and
assigns of the parties hereto.
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Disadvantage Business Enterprise (DBE). Augusta, Georgia does
not operate a DBE, MBE or WBE Program for Augusta funded
projects, as a Federal Court has entered an Order enjoining the
Race-Based portion of Augusta's DBE Program. Instead Augusta
operates a Local Small Business Opportunity Program. However,
for various projects utilizing the expenditure of State or
Federal funds, Augusta enforces DBE requirements and/or DBE
goals set by the Federal and/or State Agencies in accordance
with State and Federal laws, including 49 CFR Parts 23 and 26.
12-A
, .
. .
IN WITNESS WHEREOF, said parties have hereunto set their hand and
affixed their seals the day and year above first written.
DEPARTMENT OF TRANSPORTATION AUGUSTA COUNTY
Commiss (SEA i Mayor
A14 Augusta-Richmond County
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EXHIBITS
Exhibit A Work Plan
Exhibit B Required Contract Provisions
Federal-Aid Construction Contracts
Exhibit C Work Schedule
Exhibit D Budget Estimate
Exhibit E Civil Rights Compliance Certification
Exhibit F Certification of Drug-Free Workplace
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EXHIBIT A
WORK PLAN
Augusta- Richmond County
P.I. No. 0009606, 0009607, 0009608, 0009609
GENERAL DESCRIPTION OF WORK TO BE PERFORMED
1. Traffic control
2. Patching
3. Leveling
4. Resurfacing
5. Striping
6. Shoulder Rework (Where Applicable)
7. Grassing (Where Applicable)
15
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s
FHWA -1273 Electronic version — revised May 28. 2009
Required Contract Provisions Federal -Aid Construction Contracts
I. General
H. Nondiscrimination
Ili. Nonsegregated Facilities
IV. Payment of Predetermined Minimum Wage
V. Statements and Payrolls
VI. Record of Materials, Supplies, and Labor
VII. Subletting or Assigning the Contract
VIII. Safety: Accident Prevention
IX. False Statements Concerning Highway Projects
X. Implementation of Clean Air Act and Federal Water Pollution Control Act
XI. Certification Regarding Debarment, Suspension Ineligibility, and Voluntary
Exclusion
XII. Certification Regarding Use of Contract Funds for Lobbyinng
Attachments
A. Employment Preference for Appalachian Contracts (included in Appalachian
contracts only)
I. GENERAL
1. These contract provisions shall apply to all work performed on the contract by the
contractor's own organization and with the assistance of workers under the contractor's
immediate 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 1, paragraph 2;
Section IV, paragraphs 1, 2, 3, 4, and 7;
Section V, paragraphs 1 and 2a through 2g.
5. Disputes arising out of the labor standards provisions of Section IV (except paragraph 5) and
Section V of these Required Contract Provisions shall not be subject to the general disputes
clause of this contract. Such disputes shall be resolved in accordance with the procedures of
the U.S. Department of Labor (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.
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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. b. employ convict labor for any purpose within the limits of the project unless it is labor
performed by convicts who are on parole, supervised release, or probation.
II. NONDISCRIMINATION
(Applicable to all Federal -aid construction contracts and to all related subcontracts of $10,000 or
more.)
1. Equal Employment Opportunity: Equal employment 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 1990 (42 U.S.C, 12101 et se q.) set forth under 28 CFR 35 and
29 CFR 1630 are incorporated by reference in this contract. In the execution of this contract,
the contractor agrees to comply with the following minimum specific requirement activities
of EEO:
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 employees
are treated during employment, without regard to their race, religion, sex, color, national origin,
age or disability. Such action shall include: employment, upgrading, demotion, or transfer;
recruitment or recruitment advertising; layoff or termination; rates of pay or other forms of
compensation; and selection for training, including apprenticeship, pre - apprenticeship, and /or
on- the -job training."
2. EEO Officer: The contractor will designate and make known to the SHA contracting officers
an EEO Officer who will have the 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 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.
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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, 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 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 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 is expected to observe the provisions of that agreement 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 minority group
applicants will be discussed with employees.
5. Personnel Actions: Wages, working conditions, and employee benefits shall be established
and administered, and personnel actions of every type, including hiring, upgrading,
promotion, transfer, demotion, layoff, and termination, shall be taken without regard to race,
color, religion, sex, national origin, age or disability. The following procedures 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
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.
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
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•
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 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 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 they may qualify for higher paying employment.
b. The contractor will use best efforts to incorporate an EEO clause into each union
agreement to the end that such union will be contractually bound 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 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
23
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 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 members and women employed
in each work classification on the project;
2. The progress and efforts being made in cooperation with unions, when applicable,
to increase employment opportunities for minorities and women;
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 Forrn FHWA -1391. If on-the-job training is being
required by special provision, the contractor will be required to collect and report
training data.
III. NONSEGREGATED FACILITIES
(Applicable to all Federal -aid construction contracts and to all related subcontracts of $10,000 or
more.)
a. By submission of this bid, the execution of this contract or subcontract, or the
consummation of this material supply agreement or purchase order, as appropriate, the
bidder, Federal -aid construction contractor, subcontractor, material 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
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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, time clocks,
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.
PAYMENT OF PREDETERMINED MINIMUM WAGE
(Applicable to all Federal -aid construction contracts exceeding $2,000 and to all related
subcontracts.)
1. General:
a. All mechanics and laborers 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 (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 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 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 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 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 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 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
paragraphs 4 and 5 of this Section IV.
b. 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
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t herein , 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:
1. the work to be performed by the additional classification requested is not performed
by a classification in the wage determination;
2. the additional classification is utilized in the area by the construction industry;
3. the proposed wage rate, including any bona fide fringe benefits, bears a reasonable
relationship to the wage rates contained in the wage determination; and
4. with respect to helpers, when such a classification prevails in the area in which the
work is performed.
c. If the contractor or subcontractors, as appropriate, the laborers and mechanics (if
known) to be employed in the additional classification or their representatives, and the
contracting officer agree on the classification and wage rate (including the amount
designated for fringe benefits where appropriate), a report of the action taken shall be
sent by the contracting officer to the DOL. Administrator of the W age and Hour
Division, Employment Standards Administration, Washington, D.C. 20210. The Wage
and Hour Administrator, or an authorized representative, will approve, modify, or
disapprove every additional classification action within 30 days of receipt and so advise
the contracting officer or will notify the 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 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
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
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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 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:
A. 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 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 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
apprentice.
B. 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 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
shall be observed.
C. 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
journeyman-level hourly rate 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 full amount of fringe benefits listed on the
wage 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.
D. 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
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less than the applicable predetermined rate for the comparable work performed by
regular employees until an acceptable program is approved.
b. Trainees:
A. 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.
B. 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 not less than the applicable wage rate on the wage
determination for the work actually performed.
C. Every trainee must be paid at not less than the rate specified in the approved program
for his/her level of 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 apprentices.
D. In the event the Employment and Training Administration withdraws approval of a
training program, the contractor or subcontractor 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.
c. Helpers:
Helpers will be permitted to work on a project if the helper classification is specified and defined
on 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.
5. Apprentices and Trainees (Programs of the U.S. DOT):
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 of the particular
program.
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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,
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 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:
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.
IV. STATEMENTS AND PAYROLLS
(Applicable to all Federal -aid construction contracts exceeding $2,000 and to all related
subcontracts.)
-29-
+ Compliance with Copeland Regulations (29 CFR 3):
The contractor shall comply with the Copeland Regulations of the Secretary of Labor which are herein
incorporated by reference.
1. 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 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.
b. The payroll records shall contain the name and the last four digits of the social security
number, for each such employee; his or her correct classification; hourly rates of wages
paid (including rates of contributions or costs anticipated for bona fide fringe benefits
or cash equivalent thereof the types described in Section 1(b)(2)(B) of the Davis Bacon
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 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 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.
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 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.
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:
I . that the payroll for the payroll period contains the information required to be
maintained under paragraph 2b of this Section V and that such 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
-30-
. 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;
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.
V. 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
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.
VI. SUBLETTING OR ASSIGNING THE CONTRACT
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
-31-
iimumwommiseemw
may be performed by subcontract and the amount of any such specialty items performed may
be deducted from the total original contract price before computing the amount of work
required to be performed by the contractor's own organization (23 CFR 635).
a. "Its own organization" shall be construed to include only workers employed and paid
directly by the prime 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.
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 the contract as a whole and in general are
to be limited to minor components of the overall contract.
c. 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.
d. 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.
e. 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 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
1. In the performance of this contract the contractor shall comply 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 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 compliance with the construction safety and health
standards and to carry out the duties of the Secretary under Section 107 of the Contract Work
Hours and Safety Standards Act (40 U.S.C. 333).
-32-
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 a violation of Federal law. To prevent any misunderstanding regarding the
seriousness of these and similar acts, the following notice shall be posted on each Federal -aid
highway project (23 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
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, 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
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
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 there under.
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.
-33-
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.
XI. CERTIFICATION REGARDING DEBARMENT, SUSPENSION, INELIGIBILITY AND VOLUNTARY
EXCLUSION
1. Instructions for Certification - Primary Covered Transactions:
(Applicable to all Federal -aid contracts - 49 CFR 29)
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 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 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
certification, in addition to other remedies available to the Federal Government, the
department or agency may 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," "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 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 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 Transaction," provided by the department or
agency entering into this covered transaction, without modification, in all lower tier covered
transactions and in all solicitations for lower tier covered transactions.
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
-34.-
I
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 dealings.
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, in addition to other remedies available to the Federal Government, the
department or agency may terminate this transaction for cause or default.
* * * **
Certification Regarding Debarment, Suspension, Ineligibility and Voluntary Exclusion—
Primary Covered Transactions
1. The prospective primary participant certifies to the best of its knowledge and belief, that
it and its principals:
a. Are not presently debarred, suspended, proposed for debarment, declared ineligible,
or voluntarily excluded from covered transactions by any Federal department or
agency;
b. Have not within a 3 -year period preceding this proposal been convicted of or had a
civil judgment rendered against them for commission of fraud or a criminal offense in
connection with obtaining, attempting to obtain, or performing a public (Federal,
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 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.
* * * **
1. Instructions for Certification - Lower Tier Covered Transactions:
(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
-35--
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 this proposal that
it will include this clause 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 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 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 e 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 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,
36-
declared ineligible, or voluntarily excluded from participation in this transaction by any
Federal department or agency.
2. Where the prospective lower tier participant is unable to certify to any of the statements
in this certification, such prospective participant shall attach an explanation to this
proposal.
* * * **
XII. CERTIFICATION REGARDING USE OF CONTRACT FUNDS FOR LOBBYING
(Applicable to all Federal -aid construction contracts and to all related subcontracts which exceed
$100,000 - 49 CFR 20)
1. The prospective 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, 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, 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 $10,000 and not
more than $100,000 for each such failure.
3. The prospective participant also agrees by submitting his or her bid or proposal that he or she
shall require that the language of this certification be included in all lower tier subcontracts,
which exceed $100,000 and that all such recipients shall certify and disclose accordingly.
-37
ATTACHMENT A - EMPLOYMENT PREFERENCE FOR
APPALACHIAN CONTRACTS
(Applicable to Appalachian contracts only.)
1. During the performance of this contract, the contractor 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 lc shall not exceed 20 percent of
the total 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. 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 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 contractors
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 subparagraph lc above,
5. The contractor shall include the provisions of Sections 1 through 4 of this Attachment A in every subcontract for work which is, or
reasonably may be, done as on -site work.
m38
1
EXHIBIT C
WORK SCHEDULE
PI 0009606, 0009607, 0009608, 0009609
Project work to begin within six months of receiving the approved
signed contract and letter to proceed.
Construction will be completed by date stated in the contract,
Article IV, Time of Performance.
Award contract 7/15/2010
Construction NTP 7/31/2010
Substantial completion 12/31/2010
Final inspection 1/31/2011
Punch list complete 2/28/2011
Final acceptance 3/31/2011
-39-
. -
EXHIBIT "D" - BUDGET ESTIMATE
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- 4 3 -
•
EXHIBIT E
NOTICE TO CONTRACTORS
COMPLIANCE WITH TITLE VI OF THE CIVIL RIGHTS ACT OF 1964
During the performance of this Agreement, the Contractor, for
itself, its assignees and successors in interest (hereinafter
referred to as the "Contractor"), agrees as follows:
1. Compliance with Regulations: The Contractor will comply
with the Regulations of the Department of Transportation
relative to nondiscrimination in Federally-assisted programs
of the Department of Transportation (Title 49, Code of
Federal Regulations, Part 21, hereinafter referred to as the
Regulations [also 49 CFR Part 27]), which are herein
incorporated by reference and made a part of this contract.
2. Nondiscrimination: The Contractor, with regard to the work
performed by it after award and prior to completion of the
contract work, will not discriminate on the grounds of race,
color, national origin, or sex in the selection and
retention of subcontractors including procurement of
materials and leases of equipment. The Contractor will not
participate either directly or indirectly in the
discrimination prohibited by Section 21.5 of the
Regulations, including employment practices when the
contract covers a program, set forth in Appendix B of the
Regulations. In addition, the Contractor will not
participate either directly or indirectly in the
discrimination prohibited by 23 CFR 710.405(b).
3. Solicitations for Subcontracts, Including Procurement of
Materials and Equipment: In all solicitations, either by
competitive bidding or negotiations made by the Contractor
for work to be performed under a subcontract, including
procurement of materials or equipment, each potential
subcontractor or supplier shall be notified by the
Contractor of the Contractor's obligations under this
contract and the Regulations relative to nondiscrimination
on the grounds of race, color, national origin or sex.
4. Information and Reports: The Contractor will provide all
information and reports required by the Regulations, 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 State Department of Transportation or the Federal
44
Highway Administration to be pertinent to ascertain
compliance with such Regulations, orders and instructions.
Where any information required of a Contractor is in the
exclusive possession of another who fails or refuses to
furnish this information, the Contractor shall so certify to
the State Department of Transportation, or the Federal
Highway Administration as appropriate, and shall set forth
what efforts it has made to obtain the information.
5. Sanctions for Noncompliance: In the event of the
Contractor's noncompliance with the nondiscrimination
provisions of this contract, the State Department of
Transportation shall impose such contract sanctions as it or
the Federal Highway Administration may determine to be
appropriate, including, but not limited to:
a. withholding of payments to the Contractor under the
contract until the Contractor complies, and/or
b. cancellation, termination or suspension of this
contract, in whole or in part.
6. Incorporation of Provisions: The Contractor will include
the provision of paragraphs (1) through (6) in every
subcontract, including procurement of materials and leases
of equipment, unless exempt by the Regulations, order, or
instructions issued pursuant thereto. The Contractor will
take such action with respect to any subcontract or
procurement as the State Department of Transportation or the
Federal Highway Administration may direct as a means of
enforcing such provisions including sanctions for
noncompliance. Provided, however, that in the event a
Contractor becomes involved in, or is threatened with,
litigation with a subcontractor or supplier as a result of
such direction, the Contractor may request the State to
enter into such litigation to protect the interests of the
State, and, in addition, the Contractor may request the
United States to enter into such litigation to protect the
interests of the United States.
-45-
EXHIBIT F
CERTIFICATION OF SPONSOR
DRUG-FREE WORKPLACE
I hereby certify that I am a principle and duly authorized
representative of Augusta-Richmond County whose address is
530 Greene St.,Augusta, GA 30901 and it is also that:
1. The provisions of Section 50-24-1 through 50-24-6 of the
Official Code of Georgia Annotated, relating to the
"Drug-Free Workplace Act" have been complied with in full;
and,
2. A drug-free workplace will be provided for the sponsor's
employees during the performance of the contract; and,
3. Each subcontractor hired by the SPONSOR shall be required to
ensure that the subcontractor's employees are provided a
drug-free workplace. The SPONSOR shall secure from that
subcontractor the following written certification: "As part
of the subcontracting agreement with Augusta-Richmond
County, Mabus Bros. Construction Co., Inc. (Name of Sub-
Contractor) certifies to the SPONSOR that a drug-free
workplace will be provided for the subcontractor's employees
during the performance of this contract pursuant to
paragraph (7) of subsection (b) of the Official Code of
Georgia Annotated Section 50-24-3; and,
4. It is certified that the undersigned will not engage in
unlawful manufacture, sale, distribution, dispensation,
possession, or use of a controlled substance or marijuana
during the performance of the contract.
(4?
Date Signature
AGwi
410
-46-
APPENDICES
Appendix A Sponsor Certification regarding
Debarment, Suspension, and other
Responsibility Matters
Appendix B Lower Tier Contractor Certification
regarding Debarment, Suspension, and
other Responsibility Matters
Appendix C Certification of Department of
Transportation - State of Georgia
Appendix D Special Provision - Required Federal Aid
American Recovery and Reinvestment Act
Construction Contracts
-47-
APPENDIX A
SPONSOR
CERTIFICATION REGARDING DEBARMENT, SUSPENSION,
AND
OTHER RESPONSIBILITY MATTERS
I hereby certify that I am the Mayor and duly authorized
representative of Augusta - Richmond County, whose address is 530
Greene St., Augusta, GA 30901, and I certify that I have read
and understand the attached instructions and that to the best of
my knowledge and belief the firm and its representatives:
1) Are not presently debarred, suspended, proposed for
debarment, declared ineligible or voluntarily excluded from
covered transactions by the Georgia Department of
Transportation and by any Federal department or agency;
2) Have not within a three year period preceding this Agreement
been convicted of or had a civil judgment rendered against
the firm or its representatives for commission of fraud or a
criminal offense in connection with obtaining, attempting to
obtain or performing a public (Federal, State, or Local)
transaction or contract under a public transaction in
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;
3) Are not presently indicted for or otherwise criminally or
civilly charged by a governmental entity (Federal, State or
Local) with commission of any of the offenses enumerated in
paragraph (b) of this certification; and,
4) Have not within a three year period preceding this Agreement
had one or more public transaction (Federal, State or Local)
terminated for cause or default.
5) That the firm will include the clause titled "Certification
Regarding Debarment, Suspension, Ineligibility and Voluntary
Exclusion - Lower Tier Covered Transaction" as attached
hereto and without motivation, in all lower tier covered
transactions and in all solicitations for lower tier covered
transactions.
-48-
1 acknowledge that this certification is provided pursuant to
Executive Order 12549 and 49 CFR Part 29 and that this firm
agrees to abide by the rules and conditions set forth therein for
any misrepresentation that would render this certification
erroneous, including termination of this Agreement and other
remedies available to the Georgia Department of Transportation
and Federal Government.
1 further acknowledge that this certificate is to be furnished to
the Georgia Department of Transportation, in connection with this
Agreement involving participation of Federal-Aid Highway Funds,
and is subject to applicable State and Federal laws, both
criminal and civil.
Date Yr
(Seal)
Agiis
-49-
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Instructions for Appendix A Certification
Certification Regarding Debarment, Suspension, and Other
Responsibility Matters -- Primary Covered Transactions (SPONSORS)
1. By signing and submitting this contract the SPONSOR is
providing the certification set out in Appendix A.
2. The inability of the SPONSOR to provide the certification
required may not necessarily result in denial of
participation in this covered transaction. The SPONSOR
shall then submit an explanation of why it cannot provide
the certification. The certification or explanation will be
considered in connection with the Department's determination
whether to enter into this transaction. However, failure of
the SPONSOR to furnish a certification or an explanation
shall disqualify such person or firm from participation in
this transaction.
3. The certification, Appendix A, is a material representation
of fact upon which reliance is placed by the Department
before entering into this transaction. If it is later
determined that the SPONSOR knowingly rendered an erroneous
certification, in addition to other remedies available to
the Federal Government, the Department may terminate this
transaction for cause of default.
4. The SPONSOR shall provide immediate written notice to the
Department if at any time the SPONSOR learns that its
certification was erroneous when submitted or has become
erroneous by reason of changed circumstances.
5. The terms "covered transaction," "debarred," "suspended,"
"ineligible," "lower tier covered transaction,"
"participant," "person," "primary covered transaction,"
"principal," "proposal," and "voluntarily excluded," as used
in these instructions and the certification, have the
meanings set out in the Definitions and Coverage sections of
the rules implementing Executive Order 12549. You may
contact the Department for assistance in obtaining a copy of
those regulations.
6. The SPONSOR agrees by submitting this proposal /contract that
should the proposed covered transaction be entered into, it
shall not knowingly enter into any lower tier covered
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transaction with a person /firm who is debarred, suspended,
declared ineligible, or voluntarily excluded from
participation in this covered transaction unless authorized
by the Department.
7. The SPONSOR further agrees by submitting this
proposal /contract that it will include the clause titled
"Certification Regarding Debarment, Suspension,
negligibility and Voluntary Exclusion -Lower Tier Covered
Transaction," as provided by the Department without
modification, in all lower tier covered transactions and in
all solicitations for lower tier covered transactions.
8. A SPONSOR, in a covered transaction may rely upon a
certification of a prospective participant in lower tier
covered transaction that it is not debarred, suspended,
ineligible, or voluntarily excluded from the covered
transaction, unless it knows that the certification is
erroneous. The SPONSOR may decide the method and frequency
by which it determines the eligibility of its principals.
9. 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 these
instructions. The knowledge and information of SPONSOR is
not required to exceed that which is normally possessed by a
prudent person in the ordinary course of business dealings.
10. Except for transactions authorized under paragraph 6 of
these instructions, if the SPONSOR 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
Government, the Georgia Department of Transportation may
terminate this transaction for cause or default.
o
APPENDIX B
LOWER TIER CONTRACTOR CERTIFICATION REGARDING DEBARMENT,
SUSPENSION AND OTHER RESPONSIBILITY MATTERS
I hereby certify that I am the Mayor and duly authorized
representative of the firm of Augusta- Richmond County, whose
address is 530 Greene St., Augusta, GA 30901, and I certify that
I have read and understand the attached instructions and that to
the best of my knowledge and belief the firm and its
representatives:
(a) Are not presently debarred, suspended, proposed for
debarment, declared ineligible or voluntarily excluded
from covered transactions by the Georgia Department of
Transportation and by any Federal department or agency;
(b) I acknowledge that this certification is provided
pursuant to Executive Order 12549 and 49 CFR Part 29 and
that this firm agrees to abide by the rules and
conditions set forth therein for any misrepresentation
that would render this certification erroneous, including
termination of this Agreement and other remedies
available to the Georgia Department of Transportation and
Federal Government.
(c) I further acknowledge that this certificate is to be
furnished to the Georgia Department of Transportation, in
connection with the Prime Contractor Agreement involving
participation of Federal -Aid Highway Funds, and is
subject to applicable State and Federal laws, both
criminal and civil.
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INSTRUCTIONS
Instructions for Appendix B Certification
Certification Regarding Debarment, Suspension, Ineligibility and
Voluntary Exclusion --- Lower Tier Covered Transactions
This certification applies to subcontractors, material
suppliers, vendors and other lower tier participants.
1. By signing and submitting this proposal, the prospective
lower tier participant is providing the certification set out in
Appendix H.
2. The certification, Appendix H, 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.
3. The prospective lower tier participant shall provide
immediate written notice to the person to which the proposal is
submitted if at any time the prospective lower tier participant
learns that its certification was erroneous when submitted or has
become erroneous by reason of changed circumstances.
4. The terms covered transaction, debarred, suspended,
ineligible, lower tier covered transaction, participant, person,
primary covered transaction, principal, proposal, and voluntarily
excluded, as used in these instructions and the certification,
have the meanings set out in the Definitions and Coverage
sections of the 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.
5. The prospective lower tier participant agrees by submitting
this proposal/contract that should the proposed covered
transaction be entered into, it shall not knowingly enter into a
lower tier covered transaction with a person/firm 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.
6. The prospective lower tier participant further agrees by
submitting this proposal/contract that it will include the clause
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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.
7. A participant in a covered transaction may rely upon a
certification of a prospective participant in lower tier covered
transaction that it 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 Non-procurement List.
8. 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 a participant is not required to
exceed that which is normally possessed by a prudent person in
the ordinary course of business dealings.
9. Except for transactions authorized under paragraph 5 of
these instructions, if the 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 Government, the
Department or Agency may pursue available remedies, including
suspension and/or debarment.
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APPENDIX C
CERTIFICATION OF DEPARTMENT OF TRANSPORTATION
STATE OF GEORGIA
I hereby certify that I am the Commissioner of the Department of
Transportation of the State of Georgia, and that the above
consulting firm or his representative has not been required,
directly or indirectly as an express or implied condition in
connection with obtaining or carrying out this Agreement to:
a. employ or retain, or agree to employ or retain, any firm
or person, or
b. pay, or agree to pay, to any firm, person, or
organization, any fee, contribution, donation, or
consideration of any kind; except as here expressly
stated, (if any) :
I acknowledge that this certificate is to be furnished to the
Federal Highway Administration, U.S. Department of
Transportation, in connection with this Agreement involving
participation of Federal -aid Highway Funds, and is subject to
applicable State and Federal Laws, both criminal and civil.
( „I /
Date Commissioner
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APPENDIX D
First Use Date: May 21, 2009
Department of Transportation
State of Georgia
Special Provision
Required Federal Aid American Recovery and Reinvestment Act Construction Contracts
(Applicable to all Federal Aid American Recovery and Reinvestment Act (ARRA) funded construction contracts
and subcontracts)
Monthly Employment Reports shall be completed and submitted to the Engineer within ten calendar days after
the end of each month. Failure to provide the required documentation will be grounds for withholding all
payments on this contract.
Access to the monthly reporting information is available on the GADOT Construction Bidding Administration
Web Site at wwwb. dot. state. ga. us / dot / construction /contractsadm /index.shtml.
ARRA Section 902
Provides the U. S. Comptroller General or authorized representative will be allowed:
" (1) To examine any records of the contractor or any of its subcontractors, or any State or local agency
administering such contract, that directly pertain to, and involve transactions relating to, the contract or
subcontract; and
(2 ) To interview any officer or employee of the contractor or any of its subcontractors, or of any State or local
government agency administering the contract, regarding such transactions."
ARRA Section 1515
Provides Authority for the Inspector General or authorized representative during the term of this contract plus an
additional three (3) years thereafter:
"(1) To examine any records or interview any employee or officers working on this contract. The contractor is
advised representatives of the inspector general have the authority to examine any record and interview any
employee or officer of the contractor, its subcontractors or other firms working on this contract. Section 1515(b)
further provides nothing in this section shall be interpreted to limit or restrict in any way any existing authority of
an inspector general.
Office of Construction Bidding Administration
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Office Of The Administrator
a a 4. e 4. G "s ' A Frederick l Russell, Administrator Room 801 - Municipal Budding
Aip . -- - ° 530 Greene Street- AUGUSTA, GA. 30901
Tameka Allen, Interim Deputy Administrator (706) 821 -2400 - FAX (706) 821-2819
Robert Leverett Interim Deputy Administrator www.augustaga.gov
August 3, 2010
Mr. Abie Ladson
Engineering Director
505 Telfair Street
Augusta, GA 30901
Dear Abie:
The Augusta- Richmond County Commission, at their regular meeting held on Tuesday, August 3, 2010, took action
on the following items.
20. Approved award of subject Construction Contract to Mabus Brothers Construction Co., Inc. in the amount
of $354,680.82 for the Old. Savannah Road/Twiggs Street Improvements Phase I, subject to receipt
of signed contracts and proper bonds as requested by AED.
22. Approved Capital Project Budget Change Number Seven (CPB 323 - 041110 - 299823999) for the Augusta
County Regional Flood Control Feasibility Study in the amount of $157,000 to be funded from SPLOST
Phase III Recapture as requested by the Engineering Department.
24. Approved award of Construction Contract to Mabus Brothers Construction Co., Inc. in the amount of
9 1 $2,629,898.16 for the Walton Way and Laney Walker Street Resurfacing Project; subject to receipt of
signed contracts and proper bonds as requested by AED.
25. Approved and authorized execution of Construction Agreement between Georgia Department of
Transportation and Augusta - Richmond County for funding the Walton Way and Laney Walker Street
- R esurfacing Project as requested by AED.
O lt If you have any questions, please contact me.
Yours truly,
(
Frederick L Russell
Administrator
08 -03 -10; #20, #22, #24, #25
cc: Ms. Donna Williams
Ms. Geri Sams