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HomeMy WebLinkAboutTRANSPORTATION ENHANCEMENT (TE) AGREEMENT, MOWING AND MAINTENANCE AGREEMENT AND AN INDEMNITY AGREEMENT WITH THE GEORGIA DEPARTMENT OF TRANSPORTATION IN CONJUNCTION WITH THE AUGUSTA ENTRYWAY AND CORRIDOR MASTER DESIGN PROJECT E3CsALG6L ( 3-C AGREEMENT for TRANSPORTATION ENHANCEMENT ACTIVITIES between DEPARTMENT OF TRANSPORTATION STATE OF GEORGIA and the CITY OF AUGUSTA THIS AGREEMENT, made and entered into this alS) day of$j Pre4, 201k, by and between the DEPARTMENT OF TRANSPORTATION, an agency of the State of Georgia, hereinafter referred to as the "DEPARTMENT", and the City of Augusta, hereinafter referred to as the "SPONSOR". WHEREAS, the SPONSOR has been approved by the DEPARTMENT to carry out a Transportation Enhancement Activity which consists of: P.I. No. 0010686, Richmond County,hereinafter referred to as the "PROJECT"; and WHEREAS, the DEPARTMENT is authorized to receive federal funding for Transportation Enhancement Activities for Georgia pursuant to provisions of Title 23, Chapter2, Subchapter 1, Section 133; and WHEREAS, the PROJECT is expected to positively impact the quality of transportation in the State of Georgia; and WHEREAS, the DEPARTMENT desires to financially 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 WHEREAS, under O.C.G.A. Section 32-2-2(a)(7), the DEPARTMENT is authorized to participate in such an undertaking. NOW,THEREFORE,the DEPARTMENT and the SPONSOR,both governmental entities of the State of Georgia, pursuant to Article IX, Section III, Paragraph I(a) of the Georgia Constitution of 1983, and in consideration of the mutual promises and covenant contained herein, do hereby agree as follows: 1 Augusta Entryway&Corridor Master Design(Riverwatch Entry Way) Approved 8/2/2016 item 8 ARTICLE I SCOPE AND PROCEDURE The SCOPE AND PROCEDURE for this PROJECT shall be: Construction of Augusta Entryway & Corridor Master Design, as set forth in Exhibit A, WORK PLAN, which is attached hereto and incorporated as if fully set out herein. The scope of work is further defined by the PROJECT design and construction plans ("PROJECT PLANS") on file with the DEPARTMENT and the SPONSOR and referenced as if attached hereto and incorporated as if fully set out 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 archeological issues. The WORK PLAN, Exhibit A, 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. During the development of the PROJECT the SPONSOR has taken into consideration, as applicable, the DEPARTMENT's "Standard Specifications", 2013 Edition; "Supplemental Specifications Book", current edition; and any Supplemental Specifications and Special Provisions; AASHTO standards for bicycle facilities; FHWA guidelines for pedestrian facilities; compliance with the Americans with Disabilities Act of 1990; 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 O.C.G.A. Section 32- 6-70 et seq. and other standards and guidelines as may be applicable to the PROJECT. The SPONSOR hereby certifies that no right-of-way acquisition occurred prior to the DEPARTMENT issuing the SPONSOR the Notice to Proceed with right-of-way acquisition. Right-of-way acquisition was in accordance with Public Law 91-646, the Uniform Relocation Assistance and Real Properties Policies Act of 1970, as amended; the rules and regulations of the FHWA including, but not limited to, Title 23, United States Code, 23 CFR Part 710, and 49 CFR Part 24; and the rules and regulations of the DEPARTMENT. Failure of the SPONSOR to follow these requirements may result in the loss of Federal funding for the PROJECT and it will be the responsibility of the SPONSOR to make up the loss of that funding. All required right of way shall be cleared of obstructions, including underground storage tanks, prior to advertising the PROJECT for bids. The SPONSOR shall further be responsible for making all changes to the approved right-of-way plans, as deemed necessary by the DEPARTMENT, for whatever reason, to match actual conditions encountered. The SPONSOR further acknowledges that no acquisition 2 of rights of way occurred prior to all applicable archaeological, environmental, and historical preservation clearances approval,and receipt of the DEPARTMENT issued notice to proceed with acquisition. The SPONSOR shall ensure that all contracts as well as any subcontracts for implementation of the PROJECT shall comply with the Federal and State legal requirements imposed on the DEPARTMENT and any amendments thereto. The SPONSOR is required and does agree to abide by those provisions governing the DEPARTMENT's authority to contract, specifically, but not limited to O.C.G.A. Sections 32-2-60 through 32-2-77; the DEPARTMENT's Rules and Regulations governing the Prequalification of Prospective Bidders, Chapter 672-5; and the DEPARTMENT's "Standard Specifications", 2013 Edition; "Supplemental Specifications Book", current edition;and any Supplemental Specifications and Special Provisions as applicable for the PROJECT. 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 well as any required attachments thereto. ARTICLE II 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 December 31, 2017. No work on any phase shall begin without a written Notice to Proceed from the DEPARTMENT.The DEPARTMENT's Notice to Proceed with Construction must be issued within 210 days from the execution date of this contract and the SPONSOR must submit an invoice for reimbursement within 270 days of the execution date of this contract or the contract is terminated without further notice and the funds will be de-obligated. 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 hereto. ARTICLE III 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. Should the work under the Agreement include Federal monies for purchase of real property, the Federal interest, and therefore the DEPARTMENT's contingent interest, shall be perpetual and recorded as described below. Based on the scope of work, as set forth in Exhibit A, WORK PLAN AND APPLICABLE PHASE, the 3 DEPARTMENT has determined the economic life of the PROJECT to be Five (5) years from the date of PROJECT Final Acceptance. Upon any sale or disposition of the PROJECT or the filing of an application for abandonment of the PROJECT under United States Code (U.S.C.) Title 49 Chapter 109 of all or any part of the PROJECT, the SPONSOR shall repay immediately in full to the DEPARTMENT an amount equal to the Federal Share of the funds involved in the improvement or rehabilitation of such part, segment or entirety of the PROJECT under this Agreement, said Federal Share to be determined in accordance with the DEPARTMENT's determination of the fair market value of the PROJECT at the time of disposition. The term "any sale or disposition" as used in this Article shall mean any sale, abandonment, or disposition (1) for use not consistent with the purposes for which the Federal Share was originally granted pursuant to the Agreement, or (2) for a use consistent with such purposes wherein the transferee in the sale or disposition does not enter into an assignment and assumption agreement with the owner with respect to the owner's obligation thereunder as if the transferee had been the original owner thereof Upon completion of the PROJECT, the SPONSOR shall record in the appropriate land records, if applicable, in a form mutually agreeable to the parties hereto, a notice reciting that the property was improved with Federal assistance under this Agreement and that its use and disposition are subject to the terms of this Agreement. Verification of compliance with this paragraph shall be provided to the DEPARTMENT. ARTICLE IV COVENANTS AGAINST CONTINGENT FEES The SPONSOR shall comply with all relevant requirements of all Federal, State and local laws. 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. 4 ARTICLE V EMPLOYMENT OF DEPARTMENT'S PERSONNEL The SPONSOR shall not employ any person or persons in the employ of the DEPARTMENT for any work required by the terms of this Agreement, without the written permission of the DEPARTMENT except as may otherwise be provided for herein. ARTICLE VI REVIEW OF WORK Authorized representatives of the DEPARTMENT and the Federal Highway Administration, ("FHWA"), may at all reasonable times review and inspect the activities and data collected under the terms of this Agreement and any amendments thereto,including but not limited to, all reports, drawing, 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 affected 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. The SPONSOR shall keep accurate records in a manner approved by the DEPARTMENT with regard to the use of the property and submit to the DEPARTMENT upon request, such information as is required in order to ensure compliance with this ARTICLE. ARTICLE VII RESPONSIBILITY FOR CLAIMS AND LIABILITY The SPONSOR shall be responsible for any and all damages to property or persons and shall indemnify and 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 work under this Agreement. The SPONSOR shall be responsible to perform all work required to obtain all applicable PROJECT permits,including,but not limited to,Cemetery,Tennessee Valley Authority (TVA) and US Army Corps of Engineers permits, Stream Buffer Variances and Federal Emergency Management Agency(FEMA)approvals. The SPONSOR shall provide all mitigation required for the project,including but not limited to permit related mitigation. All mitigation costs are considered PE costs. PROJECT permits and non-construction related mitigation must be obtained and completed 3 months prior to the scheduled let date. These efforts shall be coordinated with the DEPARTMENT. 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. 5 The SPONSOR shall require 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 VIII 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 that the PROJECT is being developed under the guidance of the Innovative Financing Procedures as agreed to by the SPONSOR and as set forth in the executed Memorandum of Understanding, herein after referred to as the MOU, executed by the Parties on 3/1/2012 and on file with the DEPARTMENT. The Innovative Financing Procedures allow the SPONSOR to initiate Preliminary Engineering and Right-of-Way acquisition and apply allowable expenditures for these Phases toward the required Twenty Percent (20%) Local Match. Per the MOU the SPONSOR is responsible for 100% of Preliminary Engineering and Right-of-Way acquisition. The estimated cost of the project is Two Hundred Fifty Thousand and No/100 Dollars ($250,000.00). The DEPARTMENT shall reimburse the Sponsor up to eighty percent (80%) of the total cost of all eligible project expenses not to exceed the federal contribution. The SPONSOR shall be responsible for all cost exceeding the DEPARTMENT's contribution but shall contribute a minimum of twenty percent(20%). Federal Local Total Construction $200,000 $50,000 $250,000 The total federal contribution for this PROJECT is Two Hundred Thousand and No/100 Dollars ($200,000.00) and is the maximum amount of the DEPARTMENT's obligation. The SPONSOR shall be solely responsible for any and all amounts in excess of the maximum amount of the DEPARTMENT's obligation. Federal funds may not be used to reimburse costs incurred by SPONSORS prior to the date construction funds are authorized. The DEPARTMENT will reimburse the SPONSOR for construction expenditures that occur after FHWA funds authorization. Eligible expenditures may include payment to construction contractors, testing, Construction Engineering and Inspection, construction administration and pre-approved Force Account payments to SPONSORs. The PROJECT's total reimbursement cannot exceed the total construction expenditures or the total federal contribution. 6 Prior to award of the project the SPONSOR shall submit to the DEPARTMENT its written recommendation for award including a bid tabulation, the low bidder's Disadvantaged Business Enterprise (herein after referred to as "DBE") goal sheet, and the SPONSOR's cost estimate. The DEPARTMENT will review the information and issue a written recommendation to award or reject the bids. If a recommendation to award is given by the DEPARTMENT, then a written Notice to Proceed with Construction, herein after referred to as NTP, will be issued. No work shall begin until this NTP has been issued. Once the NTP is issued by the DEPARTMENT, the SPONSOR will provide the DEPARTMENT with the following: PROJECT PLANS, prime construction contract, all sub-contracts, Notice to Award, and Sponsor's NTP for construction to the prime contractor. A pre-construction meeting will be held with all parties. The SPONSOR shall coordinate construction activities with the DEPARTMENT's Area Engineer. In the event the SPONSOR, or Area Engineer recommend changes representing a fundamental departure from the PROJECT's approved WORK PLAN, the changes shall be reviewed by the DEPARTMENT's Project Manager. If the changes are approved, the DEPARTMENT's Project Manager shall prepare a supplemental agreement to amend the AGREEMENT's Exhibit A. The SPONSOR shall submit to the DEPARTMENT monthly reports of the PROJECT's progress including: monthly status reports, invoices, DBE reports, etc.; further work to be done and any problems encountered or anticipated. Payment shall be made monthly on the basis of calendar months, in proportion to the percentage of work completed for each phase of work and after approval of a certified voucher from the SPONSOR. 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 day of that month. The vouchers shall be numbered consecutively and submitted each month until work on the PROJECT is completed. Payment shall 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 and shall be the basis for final payment. The final invoice shall include all eligible costs incurred by the SPONSOR for Administration, Preliminary Engineering, Right of Way, and Construction. Final payment will be made at eighty (80) percent of the final invoice, less previous partial payments, amount not to exceed the total federal contribution or the total construction expenditures. Expense for travel will be an allowable expense for the SPONSOR under this AGREEMENT; however, travel will be limited to charges that are directly attributable to the project. In addition, no travel expenses will be allowed for out of state travel. Should the DEPARTMENT, pursuant to the provisions of ARTICLE XIV, terminate the work under this agreement, the SPONSOR shall be paid for the percentage of work completed at the point of termination,notwithstanding any just claims by the SPONSOR and provided construction funds were authorized and eligible construction expenditures occurred. 7 ARTICLE IX FINAL PAYMENT IT IS FURTHER AGREED that upon completion and acceptance of the work by the SPONSOR, the SPONSOR shall submit to the DEPARTMENT the "Sponsor's Certification of Final Acceptance" form, Final DBE Report with proofs of payment, Sponsor's Material Certification form with the approved Materials Quality Assurance Form, Sponsor's Statement of Final Project Expenditures with proof of payment, and any other project documentation required to satisfy the requirements of the Environmental Commitments Table with the final invoice. The DEPARTMENT shall process the final invoice report initiating the DEPARTMENT's project close-out procedures. Whereupon the DEPARTMENT shall pay to the SPONSOR a sum equal to one hundred percent (100%) of the total compensation as set forth in ARTICLE VIII, herein, and consistent with 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 shall allow the examination and verification of costs by the DEPARTMENT's representatives, 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 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 III 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 8 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, inclusive of a job cost or project cost report, 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 this 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 contracts it may make with any subcontractor, assignee or transferee. 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 any proposed subcontract documents together with subcontractor cost estimates for review and written concurrence of the DEPARTMENT 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 any reason, with or without cause upon thirty (30) days written notice to the SPONSOR, notwithstanding any just claims by the SPONSOR for payment for services rendered prior to the date of termination. 9 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 out for completion of an approved work authorization may be considered just cause for termination of the Agreement. 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 or for it under the terms of this Agreement shall be delivered to, become and remain the property of the DEPARTMENT 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 PUBLICATION AND PUBLICITY Articles, papers, bulletins, data, studies, statistics, interim or final reports, oral transmittals or any other materials reporting the plans, progress, analyses, results, or findings of work conducted under this Agreement shall not be presented publicly or published without prior written approval by the DEPARTMENT. IT IS FURTHER AGREED that all releases of information, findings, and recommendations shall include a disclaimer provision and that all published reports shall include that disclaimer on the cover and title page in the following form: "The contents in this publication reflect the views of the author(s), who is (are) responsible for the facts and accuracy of the data presented herein. The opinions, findings, and conclusions in this publication are those of the author(s) and do not necessarily reflect the official views or policies of those of the Department of Transportation, State of Georgia or the Federal Highway Administration. This publication does not constitute a standard, specification or regulation." IT IS FURTHER AGREED that if any information concerning the PROJECT, its conduct, results or data gathered or processed should be released by the SPONSOR without prior approval from the DEPARTMENT,the release of same shall constitute grounds for termination of this Agreement without indemnity to the SPONSOR; but should any such information be released by the DEPARTMENT, or by the SPONSOR with such prior written approval, the same shall be regarded as public information and no longer subject to the restrictions of this Agreement. 10 Provided, however, that should the release of such information be required under the Georgia Open Records Act, O.C.G.A. Section 50-18-70, et seq., the restrictions and penalties set forth herein shall not apply. Any request for information directed to the SPONSOR, pursuant to the Georgia Open Records Act, for documents that are either received or maintained by the SPONSOR in the performance of a service or function for or on behalf of the DEPARTMENT shall be released pursuant to provisions of the Act. Further,the SPONSOR agrees to consult with the DEPARTMENT prior to releasing the requested documents. ARTICLE XVII COPYRIGHTING The SPONSOR shall be prohibited from copyrighting the final reports or copyrighting any papers,interim reports,forms or other material which are a part of the work under this Agreement, without written approval from the DEPARTMENT. The DEPARTMENT reserves the right to a royalty-free, non-exclusive and irrevocable license to reproduce, publish, use and authorize others to use, the work prepared under this Agreement. ARTICLE XVIII 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 XIX INSURANCE Prior to beginning work,the SPONSOR shall obtain and where applicable cause its contractors and subcontractors to obtain and furnish certificates to the DEPARTMENT for the following minimum amounts of insurance: (1) Workman's Compensation Insurance in accordance with the laws of the State of Georgia. (2) Public Liability Insurance in an amount of not less than one hundred thousand dollars ($100,000.00) for injuries, including those resulting in death to any one person, and in an amount of not less than three hundred thousand dollars ($300,000.00) on account of any one occurrence. (3) Property Damage Insurance in an amount of not less than fifty thousand dollars ($50,000.00) from damages on account of any occurrence, with an aggregate limit of one hundred thousand dollars ($100,000.00). 11 (4) 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 XX COMPLIANCE WITH APPLICABLE LAW A. IT IS FURTHER CERTIFIED that the SPONSOR has read and understands the regulations for "CERTIFICATION OF COMPLIANCES WITH FEDERAL PROCUREMENT REQUIREMENTS, STATE AUDIT REQUIREMENT, AND FEDERAL AUDIT REQUIREMENTS" as stated in Attachment A of this Agreement and will comply in full with said provisions. B. IT IS FURTHER CERTIFIED that the SPONSOR has read and understands the provisions of O.C.G.A. Sections 50-24-1 through 50-24-6, relating to the "Drug-Free Workplace Act" as stated in Attachment B of this Agreement and will comply in full with said provisions. C. IT IS FURTHER CERTIFIED that the SPONSOR has read and understands the provisions of the "Sponsor Certification Regarding Debarment, Suspension and Other Responsibility Matters" as stated in Attachment C of this Agreement and will comply in full with said provisions. D. IT IS FURTHER CERTIFIED that the SPONSOR has read and understands the regulations for"COMPLIANCE WITH TITLE VI OF THE CIVIL RIGHTS ACT OF 1964," as amended,and 23 CFR 200,et seq. as stated in Attachment D of this Agreement and will comply in with said provisions. E. The undersigned certify that the provisions of O.C.G.A. Sections 45-10-20 through 45-10-28 relating to Conflict of Interest and State Employees and Officials Trading with the State have been complied with in full. F. The SPONSOR acknowledges and agrees that failure to complete appropriate 12 certifications or the submission of a false certification shall result in the termination of this Agreement pursuant to the provisions of Article XIV. G. IT IS FURTHER AGREED that the SPONSOR shall use its best efforts to subcontract a minimum of Twenty percent (20%) 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 26, et seq. 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. The Sponsor further agrees to the following assurances for participation by Disadvantaged Business Enterprises in Department of Transportation financial assistance programs: (1) The Sponsor shall not discriminate on the basis of race, color, national origin, or sex in the award and performance of any DOT-assisted contract or in the administration of its DBE program or the requirements of 49 CFR part 26. The Sponsor shall take all necessary and reasonable steps under 49 CFR part 26 to ensure nondiscrimination in the award and administration of DOT- assisted contracts. The Sponsor's DBE program, as required by 49 CFR part 26 and as approved by DOT, is incorporated by reference in this agreement. Implementation in this program is a legal obligation and failure to carry out its terms shall be treated as a violation of this Agreement. Upon notification to the Sponsor of its failure to carry out its approved program, the Department may impose sanctions as provided for under part 26 and may, in appropriate cases, refer the matter to enforcement under 18 U.S.C. 1001 and/or the Program Fraud Civil Remedies Act of 1986 (31 U.S.C. 3801 et seq.). (2) The Contractor, sub recipient or subcontractor shall not discriminate on the basis of race, color, national origin, or sex in the performance of this contract. The Contractor shall carry out applicable requirements of 49 CFR part 26 in the award and administration of DOT-assisted contracts. Failure by the Contractor to carry out these requirements is a material breach of this contract, which may result in the termination of this contract or such other remedy as the Sponsor deems appropriate. H. IT IS FURTHER AGREED that the SPONSOR shall comply and shall require its subcontractors to comply with all applicable requirements of the Americans 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. 13 I.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. J. IT IS FURTHER AGREED that the SPONSOR shall be responsible for repayment of any expended federal funds if the PROJECT does not proceed forward to completion due to a lack of available funding in future PROJECT phases, changes in local priorities or cancellation of the PROJECT by the SPONSOR without concurrence by the DEPARTMENT, or if the SPONSOR is not compliant with Federal laws and regulations. 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. 14 IN WITNESS WHEREOF, said parties have hereunto set their hand and affixed their seals the day and year above first written. DEPARTMENT OF TRANSPORTATION CITY OF AUGUSTA a6e (e- 1U* ii Commissioner (SEAL) MAYOR (SEAL) • I EST: ..••,. 14 ®7 ►� • .'4 '4• 0 t i , / , t 1•1. 1.**.gii..;;%' %. is . 0.,,Azy.. (c_s) &Mae.604,_ Tr-v•s -r , I. : \ %, •., ; ; Witness 44,04•-.........*,•• <4°s Signed, Sealed & Delivered c> 11,��®"�—`` This c2 Day of1- , 201 1, . U ���������,,�� in the presence of: 144 a PRy NOTARY PUBLIC S ' — �' NZ My ConMNMlon Ekes May 25,2019 ww......,......... ...........�.._,,,.,...... :y., 141.1. virotio • A .T.: T: 4••••••••0 4 "iliyA..4 0 .•:4V ii,/,/, 1 ;,e: No e. 040 4 1' : 4. 1',, 41) fr4 c Federal piczer ax)Ib. if !: 4444CE0 RCA P4'43/1" r 4413430.10,1000 15 THIS PAGE INTENTIONALLY LEFT BLANK AUTHORIZING RESOLUTION Resolution authorizing City of Augusta (hereinafter referred to as "SPONSOR") and the Georgia Department of Transportation (hereinafter referred to as "DEPARTMENT") to contract for funding under the Transportation Equity Act for the 21st Century (hereinafter referred to as"TEA-21"). WHEREAS, the Secretary of the United States Department of Transportation (hereinafter referred to as "US DOT) and the Commissioner of the DEPARTMENT are authorized to contract for Transportation Enhancement Projects; and WHEREAS,the contract for financial assistance imposes certain duties upon SPONSOR including but not limited to the provision of its local share of the project costs; and WHEREAS, SPONSOR guarantees that it will comply with Title VI of the Civil Rights Act of 1964, all other pertinent directives and all US DOT requirements; and WHEREAS, to complete the project, SPONSOR will use Disadvantaged Business Enterprises to the fullest extent possible and will implement and administer procedures to ensure that minority businesses are competitive for contracts and purchase orders when procuring services including but not limited to construction contracts, supplies, equipment contracts or consultant contracts. NOW, THEREFORE,BE IT RESOLVED BY SPONSOR THAT: 1. The Mayor of Augusta is authorized to execute the contract on behalf of the City of Augusta with the DEPARTMENT for aid in financing construction, and all other activities incidental thereto, of Transportation Enhancement Activity pursuant to Public Law 105-178 (1998); and all other provisions as set forth in the contract with the DEPARTMENT. 2. The Mayor of Augusta is authorized to execute and file an assurance or any other document required by the US DOT and the DEPARTMENT certifying compliance with Title VI of the Civil Rights Act of 1964. 3. The Mayor of Augusta is authorized to furnish any and all additional information that may be required by US DOT or the DEPARTMENT in connection with the application for the Transportation Enhancement Activity project and budget. 4. That the Mayor of Augusta is authorized to set forth and execute affirmative disadvantaged business policies in connection with the participation goal established by the Georgia Department of Transportation. 17 CERTIFICATION The undersigned duly qualified and acting as the Mayor of Augusta of the City of Augusta certifies the following: The City of Augusta has contributed to date the sum of $93,950 towards preliminary engineering for this project. The City of Augusta has identified sufficient resources to complete the Scope of Work for this project and make all payments not covered by the federal Transportation Enhancement Activity funding contribution. The foregoing is a true and correct copy of a resolution adopted at a legally convened meeting of the.A(ylaQ CoArnissianheld on 4S u - 2) 20k. <<IMPRESS OFFICIAL SEAL HERIV> J f / `-Op Offitritailo.Ire s .i1Et r cer 4 ^ vReck i'ng O'ictr„r I 0,0604, 154. Air otteffie Date 18 AUGUSTA LAW DEPARTMENT GEOR GI A Andrew G. MacKenzie, General Counsel Wayne Brown,Deputy General Counsel Georgia Department of Transportation Office of Program Delivery One Georgia Center 600 W. Peachtree Street NW Atlanta, GA 30308 Re: Contracts for Transportation Enhancement Activity funds Dear Mr. Albert Shelby: This communication serves as the official opinion of counsel regarding the above-referenced matter pursuant to the requirement of the Transportation Equity Act for the 21St Century (TEA- 21), P. L. 105-178- (1998). City of Augusta (hereinafter referred to as "SPONSOR") has been approved for funding under TEA-21 and that the Federal Highway Administration (FHWA) has concurred in said approval. As such, I certify that SPONSOR is authorized to plan, construct and implement Transportation Enhancement activity projects for the following reasons: 1. SPONSOR is authorized under the (cite and quote from legal authority)to plan, construct, implement and maintain Transportation Enhancement Activity projects These functions may be carried out directly by SPONSOR or by agreements with other parties. 2. SPONSOR is authorized under(cite source and provide a copy)to provide for its share of project funds for the Transportation Enhancement Activity project. See Attached Further, I certify that contracting for Transportation Enhancement Funds does not violate applicable Federal, State and/or local laws. Moreover, I certify that there is no pending litigation or other pending action that may adversely affect the proposed project in the program or SPONSOR'S ability to perform its duties under the contract. Sincerely, affirie Andrew G. MacKenzie Legal Counsel for City of Augusta Augusta Law Department 535 Telfair Street,Building 3000 Augusta,Georgia 30901-2386 (706)842-5550-Fax(706)842-5556 THIS PAGE INTENTIONALLY LEFT BLANK CERTIFICATION OF SPONSOR I hereby certify that I am the Mayor of Augusta and duly authorized representative of the C of Augusta whose address is 535 Telfair Street Augusta, GA 30901. I hereby certify to the best of my knowledge and belief that: 1. 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 any 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. 2. 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. 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 Section 1352, Title 31, U.S. Code. Any person who fails to file the required certification shall be subject to a civil penalty of not less than$10,000.00 and not more than $100,000.00 for each such failure. The SPONSOR also agrees that the language of this certification shall be included in all subcontracts and lower tier subcontracts which exceed$10,000.00 and that all such recipients and sub-recipients shall certify and disclose accordingly. I also certify that neither I nor the above entity I here represent has: (a) employed or retained for a commission, percentage, brokerage contingent fee, or other consideration, any firm or person (other than a bona fide employee working solely for me or the above entity)to solicit or secure this Agreement. (b) agreed, as an express or implied condition for obtaining this contract,to employ or retain the services of any firm or person in connection with carrying out the Agreement, or 21 1 (c) paid or agreed to pay, to any firm, organization or person (other than a bona fide employee working solely for me or the above entity) any fee, contribution, donation, or consideration of any kind for, or in connection with, procuring or carrying out the Agreement; except as here expressly stated(if any): I acknowledge that this certificate is to be furnished to the Department of Transportation and the Federal Highway Administration, U.S. Department of Transportation, in connection with this Agreement involving participation of Federal Highway Funds, and is subject to applicable State and Federal laws, both criminal and civil. liOwilt".; Date Signature ei3n6. t 1 0 ,,,,,„..,....lokii,._% 1 .14.004 mo,to, s A J+ 0 °© t 0 4 ® 1¢ i;. ,Baa0.3 0 0 f . w ,Z * 4, , s I 0 �'etQ ES e� ,.� 4 1 f 22 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 its 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 Highway Funds, and is subject to applicable State and Federal Laws, both criminal and civil. 44 1110 Date Commissioner 23 ATTACHMENT A CERTIFICATION OF COMPLIANCES I hereby certify that I am a principal and duly authorized representative of City of Augusta whose address is 535 Telfair Street Augusta, GA 30901 and it is also certified that: PROCUREMENT REQUIREMENTS The below listed provisions of Federal Procurement requirements shall be complied with throughout the contract period: (a) 49 CFR Part 18 Section 36 Uniform Administrative Requirements for Grants and Cooperative Agreements to State and Local Governments—Procurement (b)23 CFR 635 Subpart A—Contract Procedures II. STATE AUDIT REQUIREMENT The provisions of O.C.G.A. Section 36-81-7,relating to the"Requirement of Audits"shall be complied with throughout the contract period in full such that: (a) Each unit of local government having a population in excess of 1,500 persons or expenditures of$300,000.00 or more shall provide for and cause to be made an annual audit of the financial affairs and transactions of all funds and activities of the local government for each fiscal year of the local government. (b) The governing authority of each local unit of government not included above shall provide for and cause to be made the audit required not less often than once every two fiscal years. (c) The governing authority of each local unit of government having expenditures of less than $ 300,000.00 in that government's most recently ended fiscal year may elect to provide for and cause to be made, in lieu of the biennial audit,an annual report of agreed upon procedures for that fiscal year. (d) A copy of the report and any comments made by the state auditor shall be maintained as a public record for public inspection during the regular working hours at the principal office of the local government. Those units of local government not having a principal office shall provide a notification to the public as to the location of and times during which the public may inspect the report. 24 (e) The audits of each local government shall be conducted in accordance with generally accepted government auditing standards. III. FEDERAL AUDIT REQUIREMENT The provisions of OMB Circular A-133 issued pursuant to the Single Audit Act of 1984, P.L. 98-502, and the Single Audit Act Amendments of 1996, P.L. 104-156 shall be complied with throughout the contract period in full such that: (a) Non-Federal entities that expend $ 300,000 or more in a year in Federal awards shall have a single or program-specific audit conducted for that year in accordance with the provisions of OMB Circular A-133. (b) Non-Federal entities that expend less than $ 300,000 a year in Federal awards are exempt from Federal audit requirements for that year,but records must be available for review or audit by appropriate officials of the Federal agency, pass-through entity, and General Accounting Office (GAO). (c) Except for the provisions for biennial audits provided in paragraphs (1) and (2) below, audits required shall be performed annually. Any biennial audit shall cover both years within the biennial period. (1) A State or local government that is required by constitution or statute, in effect on January 1, 1987, to undergo its audits less frequently than annually, is permitted to undergo its audits biennially. This requirement must still be in effect for the biennial period under audit. (2) Any non-profit organization that had biennial audits for all biennial periods ending between July 1, 1992, and January 1, 1995, is permitted to undergo its audits biennially. (d) The audit shall be conducted in accordance with Generally Accepted Government Auditing Standards. Date Signature 4 6/11 25 ATTACHMENT B CERTIFICATION OF SPONSOR DRUG-FREE WORKPLACE (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 the SPONSOR, <the subcontractor> 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 SPONSOR will not engage in unlawful manufacture, sale, distribution, dispensation, possession, or use of a controlled substance or marijuana during the performance of the contract. 26 ATTACHMENT C SPONSOR CERTIFICATION REGARDING DEBARMENT, SUSPENSION, AND OTHER RESPONSIBILITY MATTERS The SPONSOR certifies that it has read and understands 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)Have not within a three year period preceding this Agreement been convicted of or had a civil judgement 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; (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 (b) of this certification; (d)Have not within a three year period preceding this Agreement had one or more public transactions (Federal, State or Local) terminated for cause or default; and (e)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. 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. I further acknowledge that this certificate is to be furnished to the Georgia Department of Transportation, in connection with this Agreement involving participation of Federal Highway Funds, and is subject to applicable State and Federal laws, both criminal and civil. 27 Instructions for Attachment C 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 Attachment C. 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, Attachment C, 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 it 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 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. 7. The SPONSOR further agrees by submitting this proposal/contract that it will include the clause titled "Certification Regarding Debarment, Suspension, Ineligibility 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 the 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. 28 ATTACHMENT D NOTICE TO SPONSOR COMPLIANCE WITH TITLE VI OF THE CIVIL RIGHTS ACT OF 1964 During the performance of this Agreement,the SPONSOR,for itself, its assignees and successors in interest (hereinafter referred to as the"SPONSOR"),agrees as follows: (1) Compliance with Regulations: The SPONSOR 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 SPONSOR,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 SPONSOR 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 SPONSOR will not participate either directly or indirectly in the discrimination prohibited by 23 CFR 200. (3)Solicitations for Subcontracts. Including Procurement of Materials and Equipment: In all solicitations,either by competitive bidding or negotiations made by the SPONSOR for work to be performed under a subcontract, including procurement of materials or equipment, each potential subcontractor or supplier shall be notified by the SPONSOR of the SPONSOR'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 SPONSOR 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 Highway Administration to be pertinent to ascertain compliance with such Regulations, orders and instructions. Where any information required of the SPONSOR is in the exclusive possession of another who fails or refuses to furnish this information, the SPONSOR 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 this information. (5)Sanctions for Noncompliance: In the event of the SPONSOR'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 SPONSOR under the contract until the SPONSOR complies,and/or (b)cancellation,termination or suspension of this contract,in whole or in part. (6)Incorporation of Provisions: The SPONSOR will include the provisions 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 SPONSOR 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 the SPONSOR becomes involved in,or is threatened with,litigation with a subcontractor or supplier as a result of such direction, the SPONSOR may request the State to enter into such litigation to protect the interests of the State, and, in addition, the SPONSOR may request the United States to enter into such litigation to protect the interests of the United States. 29 EXHIBIT A WORK PLAN CONSTRUCTION PHASE The Scope and Procedure of the Project is stated as follows: SECTION A - DESCRIPTION OF THE PROJECT The PROJECT consists of providing services connected with construction of Augusta Entryway & Corridor Master Design in Richmond County. The PROJECT PLANS on file with the DEPARTMENT and the SPONSOR and referenced as if attached hereto and incorporated as if fully set out herein identify the detailed construction work to be accomplished for the PROJECT. The SPONSOR shall be responsible for the following activities: 1. Comply with conditions listed in the Georgia Department of Natural Resources Historic Preservation Division finding of no adverse effect. 2. Advertise the project for public bid according to the requirements of the Official Code of Georgia, Title 32, Chapter 2, excluding that provision which provides for negotiations and the Required Contract Provisions (Form FHWA-1273) as given in 23 C.F.R. 633 subpart A and 49 C.F.R. Part 18. Upon opening bids, the SPONSOR shall award the PROJECT to the lowest reliable bidder. 3. All bidders submitting bids must be registered or pre-qualified. All bidders submitting bids in excess of $2,000,000 must be pre-qualified with the DEPARTMENT. If construction work involves welded structures, such as bridges, the manufacturer of the structure shall be on the GDOT QPL List 60. 4. The SPONSOR shall hold a pre-construction conference for the project with, at a minimum, the contractor, DBE subcontractors, DEPARTMENTS Project Manager and Area Engineer. 5. Provide copies of the SPONSOR's construction subcontract, construction schedule, and contact list to the DEPARTMENT's Area Engineer for use in monitoring PROJECT construction and reviewing payment invoices. 6. Provide copies of the completed construction plans to the DEPARTMENT's Project Manager and to the local Area Engineer. Revised February 5,2015 7. Submit to the DEPARTMENT's Area Engineer a copy of all proposed DBE subcontracts, including the name of the subcontractor. 8. Ensure that DBE firms are certified with the DEPARTMENT'S Equal Employment Opportunity Office and registered subcontractors. 9. Check the third party contractor's payrolls for, including but not limited to, compliance with appropriate wage rates and Disadvantage Business Enterprise (DBE) participant goal and submit monthly reports on DBE participation to the DEPARTMENT's Area Engineer. DBE monitoring and reporting requirements are outlined in the DEPARTMENT's publication entitled "Disadvantaged Business Enterprise Program Criteria for Acceptability", current edition. 10. Retain a Resident On-site Construction Inspector. 11. Provide for total on-site PROJECT management; working with the third party contractor to establish sequences for work. 12. Submit monthly progress reports and invoices to the DEPARTMENT's Area Engineer until final acceptance of the PROJECT by the SPONSOR and submittal of "Sponsor's Certification of Final Acceptance" form, final voucher, materials certification statement, and "Statement of Final Project Expenditures" form. 13. Maintain adequate project files including but not limited to project diary, material certificates, insurance documents, complete construction plans and specifications, and third party contractor payrolls. 14. The Sponsor is responsible for field quality testing (i.e. slump, air, cylinders) of concrete used in sidewalks and other minor concrete items. The technicians that perform this work shall be GDOT certified. Concrete cylinders may be brought to a GDOT laboratory for testing or can be tested at a non-GDOT laboratory, as long as the laboratory is accredited by AASHTO in AASHTO T-22 or ASTM C-39. The Sponsor must notify the Area Engineer when the contractor intends to place concrete or asphalt mixtures. For all materials not tested by the DEPARTMENT, the SPONSOR will certify that material suppliers and materials conform to the requirements of the Agreement, plans and specifications. These materials are expected to comply with generally accepted industry standards for the individual items. 15. Have a Resident Inspector obtain AS BUILT CONSTRUCTION PLANS. 16. Furnish the DEPARTMENT with a copy of the AS BUILT CONSTRUCTION PLANS. Revised February 5,2015 17. Comply with all applicable state and federal laws, rules and regulations and guidelines as well as the environmental commitments for the project. The DEPARTMENT shall be responsible for the following activities: 1. Provide a project engineer to conduct spot inspections, verify progress, and approve invoices for payment. 2. Conduct materials testing of all materials typically used in highway construction that become a permanent part of the travelway and its safety appurtenances. An exception to this are minor concrete items such as sidewalks. The SPONSOR and DEPARTMENT shall follow the following reimbursement procedures: For payment purposes, the SPONSOR shall forward monthly invoices, with copies of the contractor's invoices, descriptions of work performed during the payment period, and any other documentation requested or required by the DEPARTMENT, to the DEPARTMENT's Area Engineer. The DEPARTMENT shall process the SPONSOR's reimbursement request according to standard procedures established by the DEPARTMENT. It is understood that the DEPARTMENT shall process or make findings on all reimbursement requests in a timely and efficient manner. The SPONSOR agrees to abide by the terms and conditions governing the Uniform Administrative Requirements for Grants and Cooperative Agreements to State and Local Governments, 49 CFR Part 18. The SPONSOR shall comply with the following provisions applicable to construction of the PROJECT: a. Content of Construction Contracts. The SPONSOR hereby agrees to contract for the construction of the PROJECT in accordance with the legal requirements imposed on the DEPARTMENT, specifically but not limited to the provisions governing the DEPARTMENT's authority to enter into contracts, Sections 32-2-60 through 32-2-77 of the Official Code of Georgia Annotated, as amended and the Department of Transportation's Rules and Regulations governing the Prequalification of Prospective Bidders, Chapter 672-5 and 23 CFR Part 633, Required Contract Provisions (Form FHWA— 1273) The SPONSOR certifies and shall require any contractor or subcontractor to certify that it has examined the plans for the PROJECT and the Department's "Standard Specifications", 2013 Edition; "Supplemental Revised February 5,2015 Specifications Book'; current edition; and any Supplemental Specifications and Special Provisions applicable for the PROJECT and shall construct or cause the construction of the PROJECT in accordance with the requirements of the DEPARTMENT. The SPONSOR further certifies and shall require any contractor or subcontractor to certify compliance with the responsibilities detailed under Subsection e. Work Stoppage, below. b. Right to Inspect. The DEPARTMENT, its authorized representatives, agents or employees and the Federal Highway Administration shall have the right to inspect any and all construction and work within the right of way of the PROJECT in order to verify that the SPONSOR, its authorized representatives, agents, employees, contractor, or subcontractor are complying with all undertakings, duties and obligations under this Agreement. Such inspections shall not unreasonably or unnecessarily interfere with any construction. The SPONSOR shall keep the DEPARTMENT notified of all construction and construction schedules. The right to inspect shall include but not be limited to the right to spot inspect and verify the progress of the work, confirm quantities and quality of the work and provide for the testing of concrete and asphalt if needed. At approximately fifty percent (50%) completion of the PROJECT, the SPONSOR shall contact the Historic Preservation Division of the Georgia Department of Natural Resources and arrange a site visit. Upon completion of the PROJECT, the SPONSOR shall contact the Historic Preservation Division in order to arrange for a final site visit. The purpose of the inspections by the Historic Preservation Division is to ensure that the materials used will meet the U.S. Secretary of Interior's Standards for Rehabilitation. c. No Assumption of Liability. The DEPARTMENT by reserving the right to review and inspect the SPONSOR's construction plans, contract documents and schedules and to inspect and review the construction and work shall have no obligation to inspect and review. Further, the DEPARTMENT, does not assume, but expressly disclaims, any liability or responsibility for the SPONSOR's or any other entities work on the PROJECT. d. Standards of Construction. All construction activities on the PROJECT shall be performed: 1. in a gond wnrkmanlika and nnn_nanlinant manner; Revised February 5,2015 33 2. in a manner that avoids endangering the safety of any person, employee, tenant, servant, guest, invitee, contractor, subcontractor or agent; 3. in accordance with all applicable laws, the provision of applicable contract documents and the applicable provisions of this Agreement; and 4. free of all mechanics' and material liens upon or against the entire PROJECT property. e. Work Stoppage. In the event of the discovery of significant archaeological remains, construction shall be stopped and the SPONSOR shall notify the Georgia Department of Natural Resources of the discovery. In this context, to be "significant", such remains would have to be able to provide important and non-redundant information that could not be obtained from other sources. The SPONSOR shall notify the Georgia Department of Natural Resources of the discovery of intact cultural features such as, but not limited to, foundations and wells. The construction shall remain stopped until the Georgia Department of Natural Resources has completed their evaluation of the remains. f. Project Maintenance and Operation. Upon completion of the PROJECT, the SPONSOR shall assume full responsibility for the continued operation and maintenance, including the grass strip between the curb and gutter and the sidewalk within the Project limits, at no additional cost to the DEPARTMENT. The DEPARTMENT and Federal Highway Administration reserve the right to conduct periodic site inspections for the purpose of confirming proper operation and maintenance of the PROJECT. Revised February 5,2015 34 Georgia Department of Transportation GEORGIA SECURITY AND IMMIGRATION COMPLIANCE ACT AFFIDAVIT Contractor's Name: City of Augusta solicitation/Contract No./Call No. PI 0010686, Richmond County, Augusta Entryway & Corridor or Project Description: Master Design CONTRACTOR AFFIDAVIT By executing this affidavit, the undersigned contractor verifies its compliance with O.C.G.A. § 13-10-91, stating affirmatively that the individual,entity or corporation which is engaged in the physical performance of services on behalf of the Georgia Department of Transportation has registered with, is authorized to use and uses the federal work authorization program commonly known as E-Verify, or any subsequent replacement program, in accordance with the applicable provisions and deadlines established in O.C.G.A. § 13-10-91. Furthermore,the undersigned contractor will continue to use the federal work authorization program throughout the contract period and the undersigned contractor will contract for the physical performance of services in satisfaction of such contract only with subcontractors who present an affidavit to the contractor with the information required by O.C.G.A. § 13-10-91(b). Contractor hereby attests that its federal work authorization user identification number and date of authorization are as follows: L1, R9 3 7/91°7 Federal Work Authorization User Identification Number Date of uthorization (EEV/ -Verify User den4Ls — Name fication®®Nuumber) /I ®f of Contractor ' I hereby declare under penalty of perjury that the foregoing is true and correct lard ie DtVIs ir M or Printed Name(of Authorized Officer or Agent of Contractor) Title(of Authoriz cer or Agent of Contractor) /7414...c.4., ' — �J Signature(of Authorized Officer or Agent) Date Sided ir p�./'y ,', �� J/ / 'SUBSCRIBED AND SWORN BEFORE ME ON THIS THE S DAY OF Al l�3 , ,20 1 1,0 :644e#41......1114% . . _ 1i°1.411 if 'f. / [NOTARY $" " . a $ Not., Public / a aamaaa Z • AUBt o'C My Commission Expires: My Commission May25,2019 '•-,,r,/� ,���`' Rev. 11/01/15 FHWA-1273-- Revised May 1,2012 REQUIRED CONTRACT PROVISIONS FEDERAL-AID CONSTRUCTION CONTRACTS I. General 3. A breach of any of the stipulations contained in these II. Nondiscrimination Required Contract Provisions may be sufficient grounds for III. Nonsegregated Facilities withholding of progress payments,withholding of final IV. Davis-Bacon and Related Act Provisions payment,termination of the contract,suspension/debarment V. Contract Work Hours and Safety Standards Act or any other action determined to be appropriate by the Provisions contracting agency and FHWA. VI. Subletting or Assigning the Contract VII. Safety:Accident Prevention 4. Selection of Labor: During the performance of this contract, VIII. False Statements Concerning Highway Projects the contractor shall not use convict labor for any purpose IX. Implementation of Clean Air Act and Federal Water within the limits of a construction project on a Federal-aid Pollution Control Act highway unless it is labor performed by convicts who are on X. Compliance with Governmentwide Suspension and parole,supervised release,or probation. The term Federal-aid Debarment Requirements highway does not include roadways functionally classified as XI. Certification Regarding Use of Contract Funds for local roads or rural minor collectors. Lobbying ATTACHMENTS II. NONDISCRIMINATION A.Employment and Materials Preference for Appalachian The provisions of this section related to 23 CFR Part 230 are Development Highway System or Appalachian Local Access applicable to all Federal-aid construction contracts and to all Road Contracts(included in Appalachian contracts only) related construction subcontracts of$10,000 or more. The provisions of 23 CFR Part 230 are not applicable to material supply,engineering,or architectural service contracts. I. GENERAL In addition,the contractor and all subcontractors must comply 1. Form FHWA-1273 must be physically incorporated in each with the following policies:Executive Order 11246,41 CFR 60, construction contract funded under Title 23(excluding 29 CFR 1625-1627,Title 23 USC Section 140,the emergency contracts solely intended for debris removal). The Rehabilitation Act of 1973,as amended(29 USC 794),Title VI contractor(or subcontractor)must insert this form in each of the Civil Rights Act of 1964,as amended,and related subcontract and further require its inclusion in all lower tier regulations including 49 CFR Parts 21,26 and 27;and 23 CFR subcontracts(excluding purchase orders, rental agreements Parts 200,230,and 633. and other agreements for supplies or services). The contractor and all subcontractors must comply with: the The applicable requirements of Form FHWA-1273 are requirements of the Equal Opportunity Clause in 41 CFR 60- incorporated by reference for work done under any purchase 1.4(b)and,for all construction contracts exceeding$10,000, order, rental agreement or agreement for other services. The the Standard Federal Equal Employment Opportunity prime contractor shall be responsible for compliance by any Construction Contract Specifications in 41 CFR 60-4.3. subcontractor, lower-tier subcontractor or service provider. Note:The U.S.Department of Labor has exclusive authority to Form FHWA-1273 must be included in all Federal-aid design- determine compliance with Executive Order 11246 and the build contracts, in all subcontracts and in lower tier policies of the Secretary of Labor including 41 CFR 60,and 29 subcontracts(excluding subcontracts for design services, CFR 1625-1627. The contracting agency and the FHWA have purchase orders, rental agreements and other agreements for the authority and the responsibility to ensure compliance with supplies or services). The design-builder shall be responsible Title 23 USC Section 140,the Rehabilitation Act of 1973, as for compliance by any subcontractor, lower-tier subcontractor amended(29 USC 794),and Title VI of the Civil Rights Act of or service provider. 1964,as amended,and related regulations including 49 CFR Parts 21,26 and 27;and 23 CFR Parts 200,230,and 633. Contracting agencies may reference Form FHWA-1273 in bid proposal or request for proposal documents, however,the The following provision is adopted from 23 CFR 230,Appendix Form FHWA-1273 must be physically incorporated(not A,with appropriate revisions to conform to the U.S. referenced)in all contracts,subcontracts and lower-tier Department of Labor(US DOL)and FHWA requirements. subcontracts(excluding purchase orders, rental agreements and other agreements for supplies or services related to a 1.Equal Employment Opportunity: Equal employment construction contract). opportunity(EEO)requirements not to discriminate and to take affirmative action to assure equal opportunity as set forth 2. Subject to the applicability criteria noted in the following under laws,executive orders,rules,regulations(28 CFR 35, sections,these contract provisions shall apply to all work 29 CFR 1630,29 CFR 1625-1627,41 CFR 60 and 49 CFR 27) performed on the contract by the contractor's own organization and orders of the Secretary of Labor as modified by the and with the assistance of workers under the contractor's provisions prescribed herein, and imposed pursuant to 23 immediate superintendence and to all work performed on the U.S.C. 140 shall constitute the EEO and specific affirmative contract by piecework,station work,or by subcontract. action standards for the contractor's project activities under 36 this contract.The provisions of the Americans with Disabilities 4.Recruitment:When advertising for employees,the Act of 1990(42 U.S.C. 12101 et seq.)set forth under 28 CFR contractor will include in all advertisements for employees the 35 and 29 CFR 1630 are incorporated by reference in this notation:"An Equal Opportunity Employer." All such contract. In the execution of this contract,the contractor advertisements will be placed in publications having a large agrees to comply with the following minimum specific circulation among minorities and women in the area from requirement activities of EEO: which the project work force would normally be derived. a.The contractor will work with the contracting agency and a. The contractor will, unless precluded by a valid the Federal Government to ensure that it has made every bargaining agreement,conduct systematic and direct good faith effort to provide equal opportunity with respect to all recruitment through public and private employee referral of its terms and conditions of employment and in their review sources likely to yield qualified minorities and women. To of activities under the contract. meet this requirement,the contractor will identify sources of potential minority group employees,and establish with such b.The contractor will accept as its operating policy the identified sources procedures whereby minority and women following statement: applicants may be referred to the contractor for employment consideration. "It is the policy of this Company to assure that applicants are employed,and that employees are treated during b. In the event the contractor has a valid bargaining employment,without regard to their race,religion,sex,color, agreement providing for exclusive hiring hall referrals,the national origin,age or disability. Such action shall include: contractor is expected to observe the provisions of that employment,upgrading,demotion,or transfer; recruitment or agreement to the extent that the system meets the contractor's recruitment advertising;layoff or termination;rates of pay or compliance with EEO contract provisions. Where other forms of compensation;and selection for training, implementation of such an agreement has the effect of including apprenticeship,pre-apprenticeship,and/or on-the- discriminating against minorities or women,or obligates the job training." contractor to do the same,such implementation violates Federal nondiscrimination provisions. 2. EEO Officer:The contractor will designate and make known to the contracting officers an EEO Officer who will have c. The contractor will encourage its present employees to the responsibility for and must be capable of effectively refer minorities and women as applicants for employment. administering and promoting an active EEO program and who Information and procedures with regard to referring such must be assigned adequate authority and responsibility to do applicants will be discussed with employees. so. 5.Personnel Actions:Wages,working conditions,and 3. Dissemination of Policy:All members of the contractor's employee benefits shall be established and administered,and staff who are authorized to hire,supervise, promote,and personnel actions of every type, including hiring, upgrading, discharge employees,or who recommend such action,or who promotion,transfer,demotion, layoff,and termination,shall be are substantially involved in such action,will be made fully taken without regard to race,color, religion,sex, national cognizant of,and will implement,the contractor's EEO policy origin,age or disability. The following procedures shall be and contractual responsibilities to provide EEO in each grade followed: and classification of employment. To ensure that the above agreement will be met,the following actions will be taken as a a. The contractor will conduct periodic inspections of project minimum: sites to insure that working conditions and employee facilities do not indicate discriminatory treatment of project site a. Periodic meetings of supervisory and personnel office personnel. employees will be conducted before the start of work and then not less often than once every six months,at which time the b. The contractor will periodically evaluate the spread of contractor's EEO policy and its implementation will be wages paid within each classification to determine any reviewed and explained. The meetings will be conducted by evidence of discriminatory wage practices. the EEO Officer. c. The contractor will periodically review selected personnel b. All new supervisory or personnel office employees will be actions in depth to determine whether there is evidence of given a thorough indoctrination by the EEO Officer,covering discrimination. Where evidence is found,the contractor will all major aspects of the contractor's EEO obligations within promptly take corrective action. If the review indicates that the thirty days following their reporting for duty with the contractor. discrimination may extend beyond the actions reviewed,such corrective action shall include all affected persons. c. All personnel who are engaged in direct recruitment for the project will be instructed by the EEO Officer in the d. The contractor will promptly investigate all complaints of contractor's procedures for locating and hiring minorities and alleged discrimination made to the contractor in connection women. with its obligations under this contract,will attempt to resolve such complaints,and will take appropriate corrective action d. Notices and posters setting forth the contractor's EEO within a reasonable time. If the investigation indicates that the policy will be placed in areas readily accessible to employees, discrimination may affect persons other than the complainant, applicants for employment and potential employees. such corrective action shall include such other persons. Upon completion of each investigation,the contractor will inform e. The contractor's EEO policy and the procedures to every complainant of all of their avenues of appeal. implement such policy will be brought to the attention of employees by means of meetings,employee handbooks,or 6.Training and Promotion: other appropriate means. a. The contractor will assist in locating,qualifying,and increasing the skills of minorities and women who are 37 applicants for employment or current employees. Such efforts with the requirements for and comply with the Americans with should be aimed at developing full journey level status Disabilities Act and all rules and regulations established there employees in the type of trade or job classification involved. under. Employers must provide reasonable accommodation in all employment activities unless to do so would cause an b. Consistent with the contractor's work force requirements undue hardship. and as permissible under Federal and State regulations,the contractor shall make full use of training programs,i.e., 9.Selection of Subcontractors,Procurement of Materials apprenticeship,and on-the-job training programs for the and Leasing of Equipment:The contractor shall not geographical area of contract performance. In the event a discriminate on the grounds of race,color, religion,sex, special provision for training is provided under this contract, national origin,age or disability in the selection and retention this subparagraph will be superseded as indicated in the of subcontractors, including procurement of materials and special provision. The contracting agency may reserve leases of equipment. The contractor shall take all necessary training positions for persons who receive welfare assistance and reasonable steps to ensure nondiscrimination in the in accordance with 23 U.S.C. 140(a). administration of this contract. c. The contractor will advise employees and applicants for a. The contractor shall notify all potential subcontractors and employment of available training programs and entrance suppliers and lessors of their EEO obligations under this requirements for each. contract. d. The contractor will periodically review the training and b. The contractor will use good faith efforts to ensure promotion potential of employees who are minorities and subcontractor compliance with their EEO obligations. women and will encourage eligible employees to apply for such training and promotion. 10. Assurance Required by 49 CFR 26.13(b): 7. Unions: If the contractor relies in whole or in part upon unions as a source of employees,the contractor will use good a. The requirements of 49 CFR Part 26 and the State faith efforts to obtain the cooperation of such unions to DOT's U.S. DOT-approved DBE program are incorporated by increase opportunities for minorities and women. Actions by reference. the contractor,either directly or through a contractor's association acting as agent,will include the procedures set b. The contractor or subcontractor shall not discriminate on forth below: the basis of race,color, national origin, or sex in the performance of this contract. The contractor shall carry out a. The contractor will use good faith efforts to develop,in applicable requirements of 49 CFR Part 26 in the award and cooperation with the unions,joint training programs aimed administration of DOT-assisted contracts. Failure by the toward qualifying more minorities and women for membership contractor to carry out these requirements is a material breach in the unions and increasing the skills of minorities and women of this contract,which may result in the termination of this so that they may qualify for higher paying employment. contract or such other remedy as the contracting agency deems appropriate. b. The contractor will use good faith efforts to incorporate an EEO clause into each union agreement to the end that such 11.Records and Reports:The contractor shall keep such union will be contractually bound to refer applicants without records as necessary to document compliance with the EEO regard to their race,color, religion,sex, national origin, age or requirements. Such records shall be retained for a period of disability. three years following the date of the final payment to the contractor for all contract work and shall be available at c. The contractor is to obtain information as to the referral reasonable times and places for inspection by authorized practices and policies of the labor union except that to the representatives of the contracting agency and the FHWA. extent such information is within the exclusive possession of the labor union and such labor union refuses to furnish such a. The records kept by the contractor shall document the information to the contractor,the contractor shall so certify to following: the contracting agency and shall set forth what efforts have been made to obtain such information. (1)The number and work hours of minority and non- minority group members and women employed in each work d. In the event the union is unable to provide the contractor classification on the project; with a reasonable flow of referrals within the time limit set forth in the collective bargaining agreement,the contractor will, (2)The progress and efforts being made in cooperation through independent recruitment efforts,fill the employment with unions,when applicable,to increase employment vacancies without regard to race,color, religion,sex, national opportunities for minorities and women;and origin,age or disability;making full efforts to obtain qualified and/or qualifiable minorities and women. The failure of a union (3)The progress and efforts being made in locating, hiring, to provide sufficient referrals(even though it is obligated to training,qualifying,and upgrading minorities and women; provide exclusive referrals under the terms of a collective bargaining agreement)does not relieve the contractor from the b. The contractors and subcontractors will submit an annual requirements of this paragraph. In the event the union referral report to the contracting agency each July for the duration of practice prevents the contractor from meeting the obligations the project,indicating the number of minority,women,and pursuant to Executive Order 11246,as amended,and these non-minority group employees currently engaged in each work special provisions,such contractor shall immediately notify the classification required by the contract work. This information is contracting agency. to be reported on Form FHWA-1391. The staffing data should represent the project work force on board in all or any part of 8. Reasonable Accommodation for Applicants/ the last payroll period preceding the end of July. If on-the-job Employees with'Disabilities: The contractor must be familiar training is being required by special provision,the contractor 38 will be required to collect and report training data. The of paragraph 1.d.of this section;also, regular contributions employment data should reflect the work force on board during made or costs incurred for more than a weekly period(but not all or any part of the last payroll period preceding the end of less often than quarterly)under plans,funds,or programs July. 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 III.NONSEGREGATED FACILITIES wage rate and fringe benefits on the wage determination for the classification of work actually performed,without regard to This provision is applicable to all Federal-aid construction skill,except as provided in 29 CFR 5.5(a)(4). Laborers or contracts and to all related construction subcontracts of mechanics performing work in more than one classification $10,000 or more. may be compensated at the rate specified for each classification for the time actually worked therein: Provided, The contractor must ensure that facilities provided for That the employer's payroll records accurately set forth the employees are provided in such a manner that segregation on time spent in each classification in which work is performed. the basis of race,color, religion,sex, or national origin cannot The wage determination(including any additional classification result. The contractor may neither require such segregated and wage rates conformed under paragraph 1.b.of this use by written or oral policies nor tolerate such use by section)and the Davis-Bacon poster(WH-1321)shall be employee custom. The contractor's obligation extends further posted at all times by the contractor and its subcontractors at to ensure that its employees are not assigned to perform their the site of the work in a prominent and accessible place where services at any location, under the contractor's control,where it can be easily seen by the workers. the facilities are segregated. The term"facilities"includes waiting rooms,work areas, restaurants and other eating areas, b.(1)The contracting officer shall require that any class of time clocks, restrooms,washrooms, locker rooms,and other laborers or mechanics, including helpers,which is not listed in storage or dressing areas,parking lots,drinking fountains, the wage determination and which is to be employed under the recreation or entertainment areas,transportation,and housing contract shall be classified in conformance with the wage provided for employees. The contractor shall provide separate determination.The contracting officer shall approve an or single-user restrooms and necessary dressing or sleeping additional classification and wage rate and fringe benefits areas to assure privacy between sexes. therefore only when the following criteria have been met: IV. DAVIS-BACON AND RELATED ACT PROVISIONS (i)The work to be performed by the classification requested is not performed by a classification in the wage This section is applicable to all Federal-aid construction determination; and projects exceeding$2,000 and to all related subcontracts and lower-tier subcontracts(regardless of subcontract size). The (ii)The classification is utilized in the area by the requirements apply to all projects located within the right-of- construction industry;and way of a roadway that is functionally classified as Federal-aid highway. This excludes roadways functionally classified as (iii)The proposed wage rate, including any bona fide local roads or rural minor collectors,which are exempt. fringe benefits, bears a reasonable relationship to the Contracting agencies may elect to apply these requirements to wage rates contained in the wage determination. other projects. The following provisions are from the U.S. Department of (2)If the contractor and the laborers and mechanics to be Labor regulations in 29 CFR 5.5"Contract provisions and employed in the classification(if known),or their related matters"with minor revisions to conform to the FHWA- representatives,and the contracting officer agree on the 1273 format and FHWA program requirements. 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 1. Minimum wages Administrator of the Wage and Hour Division, Employment Standards Administration, U.S.Department of Labor, a. All laborers and mechanics employed or working upon Washington,DC 20210.The Administrator,or an authorized the site of the work,will be paid unconditionally and not less representative,will approve,modify,or disapprove every often than once a week,and without subsequent deduction or additional classification action within 30 days of receipt and rebate on any account(except such payroll deductions as are so advise the contracting officer or will notify the contracting permitted by regulations issued by the Secretary of Labor officer within the 30-day period that additional time is under the Copeland Act(29 CFR part 3)),the full amount of necessary. wages and bona fide fringe benefits(or cash equivalents thereof)due at time of payment computed at rates not less (3)In the event the contractor,the laborers or mechanics than those contained in the wage determination of the to be employed in the classification or their representatives, Secretary of Labor which is attached hereto and made a part and the contracting officer do not agree on the proposed hereof, regardless of any contractual relationship which may classification and wage rate(including the amount be alleged to exist between the contractor and such laborers designated for fringe benefits,where appropriate),the and mechanics. contracting officer shall refer the questions,including the views of all interested parties and the recommendation of the Contributions made or costs reasonably anticipated for bona contracting officer,to the Wage and Hour Administrator for fide fringe benefits under section 1(b)(2)of the Davis-Bacon determination.The Wage and Hour Administrator,or an Act on behalf of laborers or mechanics are considered wages authorized representative,will issue a determination within paid to such laborers or mechanics,subject to the provisions 30 days of receipt and so advise the contracting officer or 39 will notify the contracting officer within the 30-day period that Bacon Act,the contractor shall maintain records which show additional time is necessary. that the commitment to provide such benefits is enforceable, that the plan or program is financially responsible,and that the (4)The wage rate(including fringe benefits where plan or program has been communicated in writing to the appropriate)determined pursuant to paragraphs 1.b.(2)or laborers or mechanics affected,and records which show the costs anticipated or the actual cost incurred in providing such 1.b.(3)of this section,shall be paid to all workers performing work in the classification under this contract from the first benefits.Contractors employing apprentices or trainees under day on which work is performed in the classification. approved programs shall maintain written evidence of the registration of apprenticeship programs and certification of trainee programs,the registration of the apprentices and c.Whenever the minimum wage rate prescribed in the trainees,and the ratios and wage rates prescribed in the contract for a class of laborers or mechanics includes a fringe applicable programs. benefit which is not expressed as an hourly rate,the contractor shall either pay the benefit as stated in the wage determination b.(1)The contractor shall submit weekly for each week in or shall pay another bona fide fringe benefit or an hourly cash which any contract work is performed a copy of all payrolls to equivalent thereof. the contracting agency. The payrolls submitted shall set out accurately and completely all of the information required to be d. If the contractor does not make payments to a trustee or maintained under 29 CFR 5.5(a)(3)(i),except that full social other third person,the contractor may consider as part of the security numbers and home addresses shall not be included wages of any laborer or mechanic the amount of any costs on weekly transmittals. Instead the payrolls shall only need to reasonably anticipated in providing bona fide fringe benefits include an individually identifying number for each employee under a plan or program, Provided,That the Secretary of e.g. ,the last four digits of the employee's social security Labor has found, upon the written request of the contractor, number).The required weekly payroll information may be that the applicable standards of the Davis-Bacon Act have submitted in any form desired.Optional Form WH-347 is been met.The Secretary of Labor may require the contractor available for this purpose from the Wage and Hour Division to set aside in a separate account assets for the meeting of Web site at http://www.dol.gov/esa/whd/forms/wh347instr.htm obligations under the plan or program. or its successor site.The prime contractor is responsible for the submission of copies of payrolls by all subcontractors. 2. Withholding Contractors and subcontractors shall maintain the full social security number and current address of each covered worker, and shall provide them upon request to the contracting agency The contracting agency shall upon its own action or upon for transmission to the State DOT,the FHWA or the Wage and written request of an authorized representative of the Hour Division of the Department of Labor for purposes of an Department of Labor,withhold or cause to be withheld from investigation or audit of compliance with prevailing wage the contractor under this contract,or any other Federal requirements. It is not a violation of this section for a prime contract with the same prime contractor,or any other federally- contractor to require a subcontractor to provide addresses and assisted contract subject to Davis-Bacon prevailing wage social security numbers to the prime contractor for its own requirements,which is held by the same prime contractor,so records,without weekly submission to the contracting agency.. much of the accrued payments or advances as may be considered necessary to pay laborers and mechanics, (2)Each payroll submitted shall be accompanied by a including apprentices,trainees,and helpers,employed by the "Statement of Compliance,"signed by the contractor or contractor or any subcontractor the full amount of wages subcontractor or his or her agent who pays or supervises the required by the contract. In the event of failure to pay any payment of the persons employed under the contract and shall laborer or mechanic, including any apprentice,trainee,or certify the following: helper,employed or working on the site of the work,all or part of the wages required by the contract,the contracting agency may,after written notice to the contractor,take such action as (i)That the payroll for the payroll period contains the may be necessary to cause the suspension of any further information required to be provided under§5.5(a)(3)(ii)of payment,advance,or guarantee of funds until such violations Regulations,29 CFR part 5,the appropriate information is have ceased. being maintained under§5.5(a)(3)(i)of Regulations,29 CFR part 5,and that such information is correct and 3. Payrolls and basic records complete; a. Payrolls and basic records relating thereto shall be (ii)That each laborer or mechanic(including each helper,apprentice,and trainee)employed on the contract maintained by the contractor during the course of the work and during the payroll period has been paid the full weekly preserved for a period of three years thereafter for all laborers and mechanics working at the site of the work.Such records wages earned,without rebate,either directly or indirectly, shall contain the name,address,and social security number of and that nor deductions haves been made either directly or each such worker, his or her correct classification, hourly rates indirectly from the fulls wages earned, Regulations,otegr than of wages paid(including rates of contributions or costs permissible deductions as set forth in 29 CFR anticipated for bona fide fringe benefits or cash equivalents part 3; thereof of the types described in section 1(b)(2)(B)of the Davis-Bacon Act),daily and weekly number of hours worked, (iii)That each laborer or mechanic has been paid not deductions made and actual wages paid.Whenever the less than the applicable wage rates and fringe benefits or Secretary of Labor has found under 29 CFR 5.5(a)(1)(iv)that cash equivalents for the classification of work performed, the wages of any laborer or mechanic include the amount of as specified in the applicable wage determination any costs reasonably anticipated in providing benefits under a incorporated into the contract. plan or program described in section 1(b)(2)(B)of the Davis- 40 (3)The weekly submission of a properly executed rate specified in the applicable wage determination. certification set forth on the reverse side of Optional Form Apprentices shall be paid fringe benefits in accordance with WH-347 shall satisfy the requirement for submission of the the provisions of the apprenticeship program. If the "Statement of Compliance"required by paragraph 3.b.(2)of apprenticeship program does not specify fringe benefits, this section. apprentices must be paid the full amount of fringe benefits listed on the wage determination for the applicable (4)The falsification of any of the above certifications may classification. If the Administrator determines that a different subject the contractor or subcontractor to civil or criminal practice prevails for the applicable apprentice classification, prosecution under section 1001 of title 18 and section 231 of fringes shall be paid in accordance with that determination. title 31 of the United States Code. In the event the Office of Apprenticeship Training, Employer c.The contractor or subcontractor shall make the records and Labor Services,or a State Apprenticeship Agency required under paragraph 3.a.of this section available for recognized by the Office,withdraws approval of an inspection,copying,or transcription by authorized apprenticeship program,the contractor will no longer be representatives of the contracting agency,the State DOT,the permitted to utilize apprentices at less than the applicable FHWA, or the Department of Labor,and shall permit such predetermined rate for the work performed until an acceptable representatives to interview employees during working hours program is approved. on the job. If the contractor or subcontractor fails to submit the required records or to make them available,the FHWA may, b.Trainees(programs of the USDOL). after written notice to the contractor,the contracting agency or the State DOT,take such action as may be necessary to Except as provided in 29 CFR 5.16,trainees will not be cause the suspension of any further payment,advance,or permitted to work at less than the predetermined rate for the guarantee of funds. Furthermore,failure to submit the required work performed unless they are employed pursuant to and records upon request or to make such records available may individually registered in a program which has received prior be grounds for debarment action pursuant to 29 CFR 5.12. approval,evidenced by formal certification by the U.S. Department of Labor,Employment and Training 4. Apprentices and trainees Administration. a.Apprentices(programs of the USDOL). The ratio of trainees to journeymen on the job site shall not be greater than permitted under the plan approved by the Apprentices will be permitted to work at less than the Employment and Training Administration. predetermined rate for the work they performed when they are employed pursuant to and individually registered in a bona fide Every trainee must be paid at not less than the rate specified apprenticeship program registered with the U.S. Department of in the approved program for the trainee's level of progress, Labor,Employment and Training Administration,Office of expressed as a percentage of the journeyman hourly rate Apprenticeship Training,Employer and Labor Services,or with specified in the applicable wage determination.Trainees shall a State Apprenticeship Agency recognized by the Office,or if a be paid fringe benefits in accordance with the provisions of the person is employed in his or her first 90 days of probationary trainee program. If the trainee program does not mention employment as an apprentice in such an apprenticeship fringe benefits,trainees shall be paid the full amount of fringe program,who is not individually registered in the program,but benefits listed on the wage determination unless the who has been certified by the Office of Apprenticeship Administrator of the Wage and Hour Division determines that Training, Employer and Labor Services or a State there is an apprenticeship program associated with the Apprenticeship Agency(where appropriate)to be eligible for corresponding journeyman wage rate on the wage probationary employment as an apprentice. determination which provides for less than full fringe benefits for apprentices.Any employee listed on the payroll at a trainee The allowable ratio of apprentices to journeymen on the job rate who is not registered and participating in a training plan site in any craft classification shall not be greater than the ratio approved by the Employment and Training Administration shall permitted to the contractor as to the entire work force under be paid not less than the applicable wage rate on the wage the registered program.Any worker listed on a payroll at an determination for the classification of work actually performed. apprentice wage rate,who is not registered or otherwise In addition,any trainee performing work on the job site in employed as stated above,shall be paid not less than the excess of the ratio permitted under the registered program applicable wage rate on the wage determination for the shall be paid not less than the applicable wage rate on the classification of work actually performed. In addition,any wage determination for the work actually performed. apprentice performing work on the job site in excess of the ratio permitted under the registered program shall be paid not In the event the Employment and Training Administration less than the applicable wage rate on the wage determination withdraws approval of a training program,the contractor will no for the work actually performed.Where a contractor is longer be permitted to utilize trainees at less than the performing construction on a project in a locality other than applicable predetermined rate for the work performed until an that in which its program is registered,the ratios and wage acceptable program is approved. rates(expressed in percentages of the journeyman's hourly rate)specified in the contractor's or subcontractor's registered c.Equal employment opportunity.The utilization of program shall be observed. apprentices,trainees and journeymen under this part shall be in conformity with the equal employment opportunity Every apprentice must be paid at not less than the rate requirements of Executive Order 11246,as amended,and 29 specified in the registered program for the apprentice's level of CFR part 30. progress,expressed as a percentage of the journeymen hourly 41 d. Apprentices and Trainees(programs of the U.S. DOT). Apprentices and trainees working under apprenticeship and V. CONTRACT WORK HOURS AND SAFETY STANDARDS ACT 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 The following clauses apply to any Federal-aid construction subject to the requirements of paragraph 4 of this Section IV. contract in an amount in excess of$100,000 and subject to the The straight time hourly wage rates for apprentices and overtime provisions of the Contract Work Hours and Safety trainees under such programs will be established by the Standards Act.These clauses shall be inserted in addition to particular programs.The ratio of apprentices and trainees to the clauses required by 29 CFR 5.5(a)or 29 CFR 4.6. As journeymen shall not be greater than permitted by the terms of used in this paragraph,the terms laborers and mechanics the particular program. include watchmen and guards. 5.Compliance with Copeland Act requirements. The 1.Overtime requirements. No contractor or subcontractor contractor shall comply with the requirements of 29 CFR part contracting for any part of the contract work which may require 3,which are incorporated by reference in this contract. or involve the employment of laborers or mechanics shall require or permit any such laborer or mechanic in any 6.Subcontracts. The contractor or subcontractor shall insert workweek in which he or she is employed on such work to Form FHWA-1273 in any subcontracts and also require the work in excess of forty hours in such workweek unless such subcontractors to include Form FHWA-1273 in any lower tier laborer or mechanic receives compensation at a rate not less subcontracts.The prime contractor shall be responsible for the than one and one-half times the basic rate of pay for all hours worked in excess of forty hours in such workweek. compliance by any subcontractor or lower tier subcontractor with all the contract clauses in 29 CFR 5.5. 2.Violation;liability for unpaid wages;liquidated 7.Contract termination:debarment. A breach of the damages. In the event of any violation of the clause set forth contract clauses in 29 CFR 5.5 may be grounds for termination in paragraph(1.)of this section,the contractor and any of the contract,and for debarment as a contractor and a subcontractor responsible therefor shall be liable for the subcontractor as provided in 29 CFR 5.12. 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 8.Compliance with Davis-Bacon and Related Act District or to such territory),for liquidated damages.Such requirements. All rulings and interpretations of the Davis- liquidated damages shall be computed with respect to each Bacon and Related Acts contained in 29 CFR parts 1,3,and 5 individual laborer or mechanic, including watchmen and are herein incorporated by reference in this contract. guards,employed in violation of the clause set forth in paragraph(1.)of this section,in the sum of$10 for each 9.Disputes concerning labor standards.Disputes arising calendar day on which such individual was required or out. of the labor nce ning 1pabor ions tan af d.his Disputes contract shall not permitted to work in excess of the standard workweek of forty be subject to the general disputes clause of this contract.Such hours setfot payment iparagraph the overtime wages required by the disputes shall be resolved in accordance with the procedures clause forth in (1.)of this section. of the Department of Labor set forth in 29 CFR parts 5,6,and 7. Disputes within the meaning of this clause include disputes 3.Withholding for unpaid wages and liquidated damages. between the contractor(or any of its subcontractors)and the The FHWA or the contacting agency shall upon its own action contracting agency,the U.S. Department of Labor,or the or upon written request of an authorized representative of the employees or their representatives. Department of Labor withhold or cause to be withheld,from any moneys payable on account of work performed by the 10.Certification of eligibility. 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 a. By entering into this contract,the contractor certifies that Hours and Safety Standards Act,which is held by the same neither it(nor he or she)nor any person or firm who has an prime contractor,such sums as may be determined to be interest in the contractor's firm is a person or firm ineligible to necessary to satisfy any liabilities of such contractor or be awarded Government contracts by virtue of section 3(a)of subcontractor for unpaid wages and liquidated damages as the Davis-Bacon Act or 29 CFR 5.12(a)(1). provided in the clause set forth in paragraph(2.)of this section. b. No part of this contract shall be subcontracted to any person or firm ineligible for award of a Government contract by virtue 4.Subcontracts. The contractor or subcontractor shall insert of section 3(a)of the Davis-Bacon Act or 29 CFR 5.12(a)(1). in any subcontracts the clauses set forth in paragraph(1.) through(4.)of this section and also a clause requiring the c.The penalty for making false statements is prescribed in the subcontractors to include these clauses in any lower tier U.S.Criminal for U.S.C. 1 statements subcontracts.The prime contractor shall be responsible for compliance by any subcontractor or lower tier subcontractor with the clauses set forth in paragraphs(1.)through(4.)of this section. 42 evidenced in writing and that it contains all pertinent provisions VI.SUBLETTING OR ASSIGNING THE CONTRACT and requirements of the prime contract. This provision is applicable to all Federal-aid construction 5.The 30%self-performance requirement of paragraph(1)is contracts on the National Highway System. not applicable to design-build contracts; however,contracting agencies may establish their own self-performance 1.The contractor shall perform with its own organization requirements. 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 VII.SAFETY:ACCIDENT PREVENTION designated by the contracting agency. Specialty items may be performed by subcontract and the amount of any such This provision is applicable to all Federal-aid construction specialty items performed may be deducted from the total contracts and to all related subcontracts. original contract price before computing the amount of work required to be performed by the contractor's own organization 1. In the performance of this contract the contractor shall (23 CFR 635.116). comply with all applicable Federal,State,and local laws governing safety, health, and sanitation(23 CFR 635).The a. The term"perform work with its own organization"refers contractor shall provide all safeguards,safety devices and to workers employed or leased by the prime contractor,and protective equipment and take any other needed actions as it equipment owned or rented by the prime contractor,with or determines,or as the contracting officer may determine,to be without operators. Such term does not include employees or reasonably necessary to protect the life and health of equipment of a subcontractor or lower tier subcontractor, employees on the job and the safety of the public and to agents of the prime contractor,or any other assignees. The protect property in connection with the performance of the term may include payments for the costs of hiring leased work covered by the contract. employees from an employee leasing firm meeting all relevant Federal and State regulatory requirements. Leased 2. It is a condition of this contract,and shall be made a employees may only be included in this term if the prime condition of each subcontract,which the contractor enters into contractor meets all of the following conditions: pursuant to this contract,that the contractor and any subcontractor shall not permit any employee,in performance (1)the prime contractor maintains control over the of the contract,to work in surroundings or under conditions supervision of the day-to-day activities of the leased which are unsanitary, hazardous or dangerous to his/her employees; health or safety,as determined under construction safety and (2)the prime contractor remains responsible for the quality health standards(29 CFR 1926)promulgated by the Secretary of the work of the leased employees; of Labor, in accordance with Section 107 of the Contract Work (3)the prime contractor retains all power to accept or Hours and Safety Standards Act(40 U.S.C.3704). exclude individual employees from work on the project;and (4)the prime contractor remains ultimately responsible for 3.Pursuant to 29 CFR 1926.3, it is a condition of this contract the payment of predetermined minimum wages,the that the Secretary of Labor or authorized representative submission of payrolls,statements of compliance and all thereof,shall have right of entry to any site of contract other Federal regulatory requirements. performance to inspect or investigate the matter of compliance with the construction safety and health standards and to carry b."Specialty Items"shall be construed to be limited to work out the duties of the Secretary under Section 107 of the that requires highly specialized knowledge,abilities,or Contract Work Hours and Safety Standards Act(40 equipment not ordinarily available in the type of contracting U.S.C.3704). organizations qualified and expected to bid or propose on the contract as a whole and in general are to be limited to minor components of the overall contract. VIII.FALSE STATEMENTS CONCERNING HIGHWAY PROJECTS 2.The contract amount upon which the requirements set forth in paragraph(1)of Section VI is computed includes the cost of This provision is applicable to all Federal-aid construction material and manufactured products which are to be contracts and to all related subcontracts. purchased or produced by the contractor under the contract provisions. In order to assure high quality and durable construction in conformity with approved plans and specifications and a high 3.The contractor shall furnish(a)a competent superintendent degree of reliability on statements and representations made or supervisor who is employed by the firm, has full authority to by engineers,contractors,suppliers,and workers on Federal- direct performance of the work in accordance with the contract aid highway projects,it is essential that all persons concerned requirements,and is in charge of all construction operations with the project perform their functions as carefully,thoroughly, (regardless of who performs the work)and(b)such other of its and honestly as possible. Willful falsification,distortion,or own organizational resources(supervision,management,and misrepresentation with respect to any facts related to the engineering services)as the contracting officer determines is project is a violation of Federal law. To prevent any necessary to assure the performance of the contract. misunderstanding regarding the seriousness of these and similar acts,Form FHWA-1022 shall be posted on each 4. No portion of the contract shall be sublet,assigned or Federal-aid highway project(23 CFR 635)in one or more otherwise disposed of except with the written consent of the places where it is readily available to all persons concerned contracting officer,or authorized representative,and such with the project: 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 18 U.S.C. 1020 reads as follows: contracting agency has assured that each subcontract is 43 'Whoever, being an officer,agent,or employee of the United covered transaction.The prospective first tier participant shall States,or of any State or Territory,or whoever,whether a submit an explanation of why it cannot provide the certification person,association,firm,or corporation,knowingly makes any set out below.The certification or explanation will be false statement,false representation,or false report as to the considered in connection with the department or agency's character,quality,quantity,or cost of the material used or to determination whether to enter into this transaction.However, be used,or the quantity or quality of the work performed or to failure of the prospective first tier participant to furnish a be performed,or the cost thereof in connection with the certification or an explanation shall disqualify such a person submission of plans,maps,specifications,contracts, or costs from participation in this transaction. of construction on any highway or related project submitted for approval to the Secretary of Transportation;or c.The certification in this clause is a material representation of fact upon which reliance was placed when the contracting Whoever knowingly makes any false statement,false agency determined to enter into this transaction. If it is later representation,false report or false claim with respect to the determined that the prospective participant knowingly rendered character,quality,quantity,or cost of any work performed or to an erroneous certification,in addition to other remedies be performed,or materials furnished or to be furnished,in available to the Federal Government,the contracting agency connection with the construction of any highway or related may terminate this transaction for cause of default. project approved by the Secretary of Transportation;or d.The prospective first tier participant shall provide Whoever knowingly makes any false statement or false immediate written notice to the contracting agency to whom representation as to material fact in any statement,certificate, this proposal is submitted if any time the prospective first tier or report submitted pursuant to provisions of the Federal-aid participant learns that its certification was erroneous when Roads Act approved July 1, 1916,(39 Stat.355),as amended submitted or has become erroneous by reason of changed and supplemented; circumstances. Shall be fined under this title or imprisoned not more than 5 e.The terms"covered transaction,""debarred," years or both." "suspended,""ineligible,""participant,""person," "principal," and"voluntarily excluded,"as used in this clause,are defined in 2 CFR Parts 180 and 1200. "First Tier Covered IX.IMPLEMENTATION OF CLEAN AIR ACT AND FEDERAL Transactions"refers to any covered transaction between a WATER POLLUTION CONTROL ACT grantee or subgrantee of Federal funds and a participant(such as the prime or general contract). "Lower Tier Covered This provision is applicable to all Federal-aid construction Transactions"refers to any covered transaction under a First contracts and to all related subcontracts. Tier Covered Transaction(such as subcontracts). "First Tier Participant"refers to the participant who has entered into a By submission of this bid/proposal or the execution of this covered transaction with a grantee or subgrantee of Federal contract,or subcontract,as appropriate,the bidder,proposer, funds(such as the prime or general contractor). "Lower Tier Federal-aid construction contractor,or subcontractor,as Participant"refers any participant who has entered into a appropriate,will be deemed to have stipulated as follows: covered transaction with a First Tier Participant or other Lower Tier Participants(such as subcontractors and suppliers). 1.That any person who is or will be utilized in the performance of this contract is not prohibited from receiving an f.The prospective first tier participant agrees by submitting award due to a violation of Section 508 of the Clean Water Act this proposal that,should the proposed covered transaction be or Section 306 of the Clean Air Act. entered into, it shall not knowingly enter into any lower tier 2.That the contractor agrees to include or cause to be covered transaction with a person who is debarred, included the requirements of paragraph(1)of this Section X in suspended,declared ineligible,or voluntarily excluded from every subcontract,and further agrees to take such action as participation in this covered transaction, unless authorized by the contracting agency may direct as a means of enforcing the department or agency entering into this transaction. such requirements. g.The prospective first tier participant further agrees by submitting this proposal that it will include the clause titled X.CERTIFICATION REGARDING DEBARMENT, "Certification Regarding Debarment,Suspension, Ineligibility SUSPENSION,INELIGIBILITY AND VOLUNTARY and Voluntary Exclusion-Lower Tier Covered Transactions," EXCLUSION provided by the department or contracting agency,entering into this covered transaction,without modification, in all lower This provision is applicable to all Federal-aid construction tier covered transactions and in all solicitations for lower tier contracts,design-build contracts,subcontracts, lower-tier covered transactions exceeding the$25,000 threshold. subcontracts,purchase orders, lease agreements,consultant contracts or any other covered transaction requiring FHWA h.A participant in a covered transaction may rely upon a approval or that is estimated to cost$25,000 or more— as certification of a prospective participant in a lower tier covered defined in 2 CFR Parts 180 and 1200. transaction that is not debarred,suspended, ineligible,or voluntarily excluded from the covered transaction, unless it knows that the certification is erroneous. A participant is responsible for ensuring that its principals are not suspended, 1.Instructions for Certification—First Tier Participants: debarred,or otherwise ineligible to participate in covered transactions. To verify the eligibility of its principals,as well as a. By signing and submitting this proposal,the prospective the eligibility of any lower tier prospective participants,each first tier participant is providing the certification set out below. participant may,but is not required to,check the Excluded Parties List System website(https://www.epls.gov/),which is b.The inability of a person to provide the certification set out compiled by the General Services Administration. below will not necessarily result in denial of participation in this 44 i. Nothing contained in the foregoing shall be construed to this transaction originated may pursue available remedies, require the establishment of a system of records in order to including suspension and/or debarment. render in good faith the certification required by this clause. The knowledge and information of the prospective participant c.The prospective lower tier participant shall provide is not required to exceed that which is normally possessed by immediate written notice to the person to which this proposal is a prudent person in the ordinary course of business dealings. submitted if at any time the prospective lower tier participant learns that its certification was erroneous by reason of j.Except for transactions authorized under paragraph(f)of changed circumstances. these instructions, if a participant in a covered transaction knowingly enters into a lower tier covered transaction with a d.The terms"covered transaction,""debarred," person who is suspended,debarred, ineligible,or voluntarily "suspended,""ineligible,""participant,""person,""principal," excluded from participation in this transaction, in addition to and"voluntarily excluded,"as used in this clause,are defined other remedies available to the Federal Government,the in 2 CFR Parts 180 and 1200. You may contact the person to department or agency may terminate this transaction for cause which this proposal is submitted for assistance in obtaining a or default. copy of those regulations. "First Tier Covered Transactions" refers to any covered transaction between a grantee or """' subgrantee of Federal funds and a participant(such as the prime or general contract). "Lower Tier Covered Transactions" 2. Certification Regarding Debarment,Suspension, refers to any covered transaction under a First Tier Covered Ineligibility and Voluntary Exclusion—First Tier Transaction(such as subcontracts). "First Tier Participant" Participants: refers to the participant who has entered into a covered transaction with a grantee or subgrantee of Federal funds a. The prospective first tier participant certifies to the best of (such as the prime or general contractor). "Lower Tier its knowledge and belief,that it and its principals: Participant"refers any participant who has entered into a covered transaction with a First Tier Participant or other Lower (1) Are not presently debarred,suspended, proposed for Tier Participants(such as subcontractors and suppliers). debarment,declared ineligible,or voluntarily excluded from participating in covered transactions by any Federal e.The prospective lower tier participant agrees by department or agency; submitting this proposal that,should the proposed covered transaction be entered into, it shall not knowingly enter into (2) Have not within a three-year period preceding this any lower tier covered transaction with a person who is proposal been convicted of or had a civil judgment rendered debarred,suspended,declared ineligible, or voluntarily against them for commission of fraud or a criminal offense in excluded from participation in this covered transaction, unless connection with obtaining,attempting to obtain,or performing authorized by the department or agency with which this a public(Federal,State or local)transaction or contract under transaction originated. a public transaction;violation of Federal or State antitrust statutes or commission of embezzlement,theft,forgery, f.The prospective lower tier participant further agrees by bribery,falsification or destruction of records,making false submitting this proposal that it will include this clause titled statements,or receiving stolen property; "Certification Regarding Debarment,Suspension, Ineligibility and Voluntary Exclusion-Lower Tier Covered Transaction," (3) Are not presently indicted for or otherwise criminally or without modification,in all lower tier covered transactions and civilly charged by a governmental entity(Federal,State or in all solicitations for lower tier covered transactions exceeding local)with commission of any of the offenses enumerated in the$25,000 threshold. paragraph(a)(2)of this certification;and g.A participant in a covered transaction may rely upon a (4) Have not within a three-year period preceding this certification of a prospective participant in a lower tier covered application/proposal had one or more public transactions transaction that is not debarred,suspended, ineligible,or (Federal,State or local)terminated for cause or default. voluntarily excluded from the covered transaction,unless it knows that the certification is erroneous.A participant is b. Where the prospective participant is unable to certify to responsible for ensuring that its principals are not suspended, any of the statements in this certification,such prospective debarred,or otherwise ineligible to participate in covered participant shall attach an explanation to this proposal. transactions. To verify the eligibility of its principals,as well as the eligibility of any lower tier prospective participants,each 2. Instructions for Certification-Lower Tier Participants: participant may,but is not required to,check the Excluded Parties List System website(https://www.eols.00v/),which is (Applicable to all subcontracts,purchase orders and other compiled by the General Services Administration. lower tier transactions requiring prior FHWA approval or estimated to cost$25,000 or more-2 CFR Parts 180 and h.Nothing contained in the foregoing shall be construed to 1200) require establishment of a system of records in order to render in good faith the certification required by this clause.The a. By signing and submitting this proposal,the prospective knowledge and information of participant is not required to lower tier is providing the certification set out below. exceed that which is normally possessed by a prudent person in the ordinary course of business dealings. b.The certification in this clause is a material representation of fact upon which reliance was placed when this transaction i. Except for transactions authorized under paragraph e of was entered into. If it is later determined that the prospective these instructions, if a participant in a covered transaction lower tier participant knowingly rendered an erroneous knowingly enters into a lower tier covered transaction with a certification,in addition to other remedies available to the person who is suspended,debarred, ineligible,or voluntarily Federal Government,the department,or agency with which excluded from participation in this transaction,in addition to other remedies available to the Federal Government,the 45 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 Participants: 1.The prospective lower tier participant certifies,by submission of this proposal,that neither it nor its principals is presently debarred,suspended,proposed for debarment, declared ineligible,or voluntarily excluded from participating in covered transactions 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. XI.CERTIFICATION REGARDING USE OF CONTRACT FUNDS FOR LOBBYING This provision is 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 its bid or proposal that the participant 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. 46 ATTACHMENT A-EMPLOYMENT AND MATERIALS 6.The contractor shall include the provisions of Sections 1 PREFERENCE FOR APPALACHIAN DEVELOPMENT through 4 of this Attachment A in every subcontract for work HIGHWAY SYSTEM OR APPALACHIAN LOCAL ACCESS which is,or reasonably may be,done as on-site work. ROAD CONTRACTS This provision is applicable to all Federal-aid projects funded under the Appalachian Regional Development Act of 1965. 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(1 c)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 the participant 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,the participant 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 one 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(1 c) above. 5. The provisions of 23 CFR 633.207(e)allow the contracting agency to provide a contractual preference for the use of mineral resource materials native to the Appalachian region. 47 First Use Date: October 18,2013 SPECIAL PROVISION Required Contract Provisions Federal-Aid Construction Contracts 1. Subsection 1.4 Selection of Labor; Delete the last sentence in the paragraph. 2. Subsections IV Davis Bacon and Related Act Provisions; Delete the first paragraph in its entirety and substitute the following: "This section is applicable to all Federal-aid construction projects exceeding $2,000 and to all related subcontracts. The requirements apply to all projects located within the right- of- way of a roadway." 48 GEORGIA DEPARTMENT OF TRANSPORTATION REQUIRED CONTRACT PROVISIONS, FEDERAL-AID HIGHWAY PROGRAM EFFECTIVE FEBRUARY 15,2016 The Cargo Preference Act(CPA) establishes certain requirements for the use of privately owned United States-flag commercial vessels in transporting equipment, materials, and commodities by ocean vessel. Contractors are required to comply with the CPA requirements and 46 CFR 381 and are required to insert the substance of these provisions into any subcontracts issued pursuant to this contract. Cargo Preference Act Requirements All Federal-aid projects shall comply with 46 CFR 381.7 (a)–(b) as follows: (a)Agreement Clauses. Use of United States-flag vessels: (1) Pursuant to Pub. L. 664 (43 U.S.C. 1241(b)) at least 50 percent of any equipment, materials or commodities procured, contracted for or otherwise obtained with funds granted, guaranteed, loaned, or advanced by the U.S. Government under this agreement, and which may be transported by ocean vessel, shall be transported on privately owned United States- flag commercial vessels, if available. (2) Within 20 days following the date of loading for shipments originating within the United States or within 30 working days following the date of loading for shipments originating outside the United States, a legible copy of a rated, `on-board' commercial ocean bill-of- lading in English for each shipment of cargo described in paragraph(a)(1) of this section shall be furnished to both the Contracting Officer(through the prime contractor in the case of subcontractor bills-of-lading) and to the Division of National Cargo, Office of Market Development, Maritime Administration, Washington, DC 20590. (b) Contractor and Subcontractor Clauses. Use of United States-flag vessels: The contractor agrees— (1) To utilize privately owned United States-flag commercial vessels to ship at least 50 percent of the Gross tonnage (computed separately for dry bulk carriers, dry cargo liners, and tankers) involved, whenever shipping any equipment, material, or commodities pursuant to this contract, to the extent such vessels are available at fair and reasonable rates for United States-flag commercial vessels. (2) To furnish within 20 days following the date of loading for shipments originating within the United States or within 30 working days following the date of loading for shipments originating outside the United States, a legible copy of a rated, `on-board' commercial ocean bill-of-lading in English for each shipment of cargo described in paragraph(b) (1) of this 49 section to both the Contracting Officer(through the prime contractor in the case of subcontractor bills-of-lading) and to the Division of National Cargo, Office of Market Development, Maritime Administration, Washington, DC 20590. (3) To insert the substance of the provisions of this clause in all subcontracts issued pursuant to this contract. The CPA requirements would be appropriate for oceanic shipments of materials or equipment that is intended for use on a specific Federal-aid project, such as a precast concrete structural members, fabricated structural steel,tunnel boring machines, or large-capacity cranes. The CPA requirements are not applicable for goods or materials that come into inventories independent of an FHWA funded-contract. For example, the requirements would not apply to shipments of Portland cement, asphalt cement, or aggregates, as industry suppliers and contractors use these materials to replenish existing inventories. In general, most of the materials used for highway construction originate from existing inventories and are not acquired solely for a specific Federal-aid project. A test for whether CPA requirements apply or do not apply to shipped goods or materials would be if the goods or materials are what one would consider to be common inventory supplies for highway construction contractor, then CPA would not apply. If the materials or goods are considered to be supplies one would consider to be not common supplies of a highway construction contractor then CPA would apply. 50