HomeMy WebLinkAbout20090697.tiffRESOLUTION
RE: APPROVE AMENDMENT #1 TO CONTRACT FOR REPLACEMENT OF BRIDGE
87/42.5A OVER SOUTH PLATTE RIVER AND AUTHORIZE CHAIR TO SIGN
WHEREAS, the Board of County Commissioners of Weld County, Colorado, pursuant to
Colorado statute and the Weld County Home Rule Charter, is vested with the authority of
administering the affairs of Weld County, Colorado, and
WHEREAS, the Board has been presented with Amendment #1 to the Contract for the
Replacement of Bridge 87/42.5A over the South Platte River between the County of Weld, State
of Colorado, by and through the Board of County Commissioners of Weld County, on behalf of the
Department of Public Works, and the Colorado Department of Transportation (CDOT),
commencing upon full execution, with terms and conditions being as stated in said amendment,
and
WHEREAS, after review, the Board deems it advisable to approve said amendment, a copy
of which is attached hereto and incorporated herein by reference.
NOW, THEREFORE, BE IT RESOLVED by the Board of County Commissioners of Weld
County, Colorado, that Amendment #1 to the Contract for the Replacement of Bridge 87/42.5A over
the South Platte River between the County of Weld, State of Colorado, by and through the Board
of County Commissioners of Weld County, on behalf of the Department of Public Works, and the
Colorado Department of Transportation (CDOT) be, and hereby is, approved.
BE IT FURTHER RESOLVED by the Board that the Chair be, and hereby is, authorized to
sign said amendment.
The above and foregoing Resolution was, on motion duly made and seconded, adopted by
the following vote on the 25th day of March, A.D., 2009.
Weld County Clerk to th
Attorney
Date of signature. I I Ic1
BOARD OF COUNTY COMMISSIONERS
WEL���LORADO
illiam F. Garcia, Chair
ra Kirkmeye
Py
David E. Long
2009-0697
EG0060
I� O
COLORADO
MEMORANDUM
TO: Clerk to the Board DATE: March 19, 2009
FROM: Wayne Howard, County Engineer/CIP, Public Works
SUBJECT: AGENDA ITEM
Contract Amendment # I with Colorado Department of Transportation for a Federal grant on Bridge
87/42.5A for the local match of $160,000.
Enclosed are three originals Contract Amendment #1. Please return all THREE originals to Public
Works.
M:\Francie\Agenda Wayne Howard.doc
2009-0697
BOARD OF COUNTY COMMISSIONERS
REVIEW/ WORK SESSION REQUEST
RE: Federal Bridge 87/42.5A over the South Platte River
DEPARTMENT: PUBLIC WORKS DATE: March 16, 2009
PERSON REQUESTING: Wayne Howard, P.E., County Engineer
Brief description of the problem/issue: Weld County received a Federal bridge grant in 2007 to replace the
bridge across the South Platte River on WCR 87. During the environmental clearance process, it was noted that
a Bald Eagles nest resides within '/4 mile of the site. The Corps of Engineers permit only allows construction
during non -nesting times of the season (July 15 — Nov 15), which created a design concern. This window of
time also coincides with peak flooding in the river. A special foundation design had to be prepared that allows
work during flooding conditions, which increased the construction costs. The construction period is six months
from start to finish, which could not meet the nesting season constraints. The constraints require construction to
be spread over two seasons, which will increase the costs.
The original grant did not anticipate these unknown constraints. Weld County Public Works requested an
additional $800,000 ($640,000 federal, $160,000 local match) from the Special Bridge fund and was granted the
increase. Attached is the CDOT contract accepting the grant funds.
What options exist for the Board? (Include consequences, impacts, costs, etc. of options)
The Board can either accept the grant or not accept the grant. Not accepting would require the County to pay
100% of cost overruns with no federal share.
Recommendation to the Board: I recommend that the BOCC accept the grant funding allowing PW to
complete the construction this coming season.
Approve
Recommendation
William F. Garcia
Douglas Rademacher, Pro-Tem
Sean P. Conway
Barbara Kirkmeyer
David E. Long
Attachments CDOT Contract Amendment #1
Schedule
Work Session
M:\ —Active Projects\Bridge 87-42SA\Design\Conespondence\Letters\09 Grant Acceptance Work Session Request.doc
Other
STATE OF COLORADO
DEPARTMENT OF TRANSPORTATION
Contracts and Market Analysis Branch
4201 East Arkansas Avenue, 4th Floor
Denver, Colorado 80222
Telephone: (303) 757-9736
Facsimile: (303) 757-9868
March 10, 2009
Wayne Howard
Weld County Public Works Department
P.O. Box 758
Greeley, CO 80632
RE: Project BRO C030-032 (14990), design, construction, utility and right-of-way for a bridge
replacement of structure WEL087.0-04.5A on Weld County road 87 at the South Platte River.
Enclosed please find three executory copies of the above referenced contract between Weld County and
the Colorado Department of Transportation.
All three (3) copies must be signed with two appropriate signatures, one the designated authority binding the
contractor to the contract, and the other attesting to the authority of the first. If you have a seal, please affix it
to the signature page of each copy. In addition, please attach a copy of the ordinance or resolution passed
by City's governing board approving the contract.
Please do not date the first page of the contract.
Please return all three (3) copies to my attention. When the agreements are approved by the proper authorities, a
verified copy will be returned to you. This Contract Amendment is not valid until the State Controller, or such
assistant as he may delegate, has signed it.
Should you have any questions or require further information, please do not hesitate to contact me. Your
assistance in expediting this agreement is appreciated.
Sincerely,
rian Han
Contract Specialist
Colorado Department of Transportation
4201 E. Arkansas Avenue
Denver, CO 80222
Phone: (303) 757-9351
e-mail: Brian.Hancock(ddot.state.co.us
MEMORANDUM
TO: Clerk to the Board DATE: May 15, 2009
FROM: Wayne Howard, Public Works
SUBJECT: Original Signed Contract Amendment #1
for CTB records
Attached is one original Contract Amendment #1 with CDOT, #2009-0697 for a grant with CDOT to
replace Bridge 87/42.5A.
M:\Franc ie\[temForRecording. doc
•
U'I
6
M:\Francie\ItemForRecording.doc
(FMLAWRK)
PROJECT BRO C030-032, (14990)
Region 4, (BH)
CONTRACT AMENDMENT #1
09 HA4 00101
SAPID 271000957
THIS AMENDMENT, is made this /Ot day
y of -C`(1 , 201 , , by and
between the State of Colorado for the use and benefit of the Colorado Depenfent of Transportation,
hereinafter referred to as the "State", and Weld County, P.O. Box 758, Greeley, Colorado 80632,
CDOT Vendor #: 5000210, hereinafter referred to as the "Contractor" or the "Local Agency".
FACTUAL RECITALS
1. Authority exists in the law and funds have been budgeted, appropriated and otherwise made
available and a sufficient unencumbered balance thereof remains available for this Project
as set forth below; and,
2. Required approval, clearance, and coordination has been accomplished from and with
appropriate agencies; and,
3. The Parties entered into the contract dated November 30, 2005, routing number 06 HA4
00032, known hereafter as "the Basic Contract"; and,
4. The Basic Contract is an intergovernmental agreement between the State and the Contractor
consisting of design, construction, utility and right-of-way for a bridge replacement of
structure WEL087.0-04.5A on Weld County road 87 at the South Platte River in Weld
County, Colorado; and,
5. The Basic Contract is still in effect and provides for changes to its terms and conditions by
written supplement or contract amendment; and,
6. The Parties also now desire to amend the Basic Contract to add construction funding and
revise Recital 1 and Exhibit C; and,
7. The Parties enter into this Amendment pursuant to the provisions of Colorado Revised
Statutes, Sections 24-30-1401 et seq., Section 43-1-106, and Section 43-1-110, as amended.
NOW THEREFORE, it is hereby agreed that:
Consideration for this Amendment consists of the payments that shall be made pursuant to this
Amendment and the promises and agreements herein set forth.
1
1. This Amendment is supplemental to the Basic Contract, which is, by this reference,
incorporated herein and made a part hereof, and all terms, conditions, and provisions thereof,
unless specifically modified herein, are to apply to this Amendment as though they were
expressly rewritten, incorporated, and included herein.
2. The Basic Contract is and shall be modified, altered, and changed in the following respects
only:
a. Recital Number 1 shall be amended to read as follows:
Authority exists in the law and funds have been budgeted, appropriated and otherwise made
available and a sufficient uncommitted balance thereof remains available for payment of project and
Local Agency costs in Fund Number 400, Function 3301, 3020 and 3114, GL Acct. 4231200011, WBS
Element 14990.10.40, 14990.10.35 and 14990.10.55, (Amendment Encumbrance Amount:
$3,048,667.70 for a new contract total of $3,497,455.53).
b. Exhibit C to the Basic Contract shall be removed and replaced in its entirety by
Exhibit C-1, which is attached hereto and incorporated herein by this reference. All
references in the Basic Contract to Exhibit C shall be removed and replaced by
Exhibit C-1, as appropriate.
c. Exhibit F (Funding Letter) shall be removed and replaced with the Sample IGA
Option Letter (attached) and the corresponding language in Section 25 shall be
removed and replaced in its entirety by the following:
Section 25. Option Letters
Option Letters may be used to extend Agreement term, change the level of service within the current
term due to unexpected overmatch, add a phase without increasing contract dollars, or increase or
decrease the amount of funding. These options are limited to the specific scenarios listed below.
The Option Letter shall not be deemed valid until signed by the State Controller or an authorized
delegate. Following are the applications for the individual options under the Option Letter form:
Option 1 - Option to extend or renew (this option applies to Highway and Signal maintenance
contracts only). In the event the State desires to continue the Services and a replacement contract
has not been fully approved by the termination date of this contract, the State, upon written notice
to Contractor, may unilaterally extend this contract for a period of up to one (1) year. The
contract shall be extended under the same terms and conditions as the original contract,
including, but not limited to prices, rates and service delivery requirements. This extension shall
terminate at the end of the one (1) year period or when the replacement contract is signed by the
Colorado State Controller or an authorized delegate.
The State may exercise this option by providing a fully executed option to the contractor, within thirty
(30) days prior to the end of the current contract term, in a form substantially equivalent to Exhibit F.
If the State exercises this option, the extended contract will be considered to include this option
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provision. The total duration of this contract, including the exercise of any options under this clause,
shall not exceed five (5) years.
Option 2 — Level of service change within current term due to unexpected overmatch in an
overbid situation only. In the event the State has contracted all project funding and the Local
Agency's construction bid is higher than expected, this option allows for additional Local
Overmatch dollars to be provided by the Local Agency to be added to the contract. This option is
only applicable for Local Overmatch on an overbid situation and shall not be intended for any
other Local Overmatch funding.
The State may unilaterally increase the total dollars of this contract as stipulated by the executed
Option Letter (Exhibit F), which will bring the maximum amount payable under this contract
to the amount indicated in Exhibit C-1 attached to the executed Option Letter (future changes to
Exhibit C shall be labeled as C-2, C-3, etc, as applicable). Performance of the services shall
continue under the same terms as established in the contract. The State will use the Financial
Statement submitted by the Local Agency for "Concurrence to Advertise" as evidence of the
Local Agency's intent to award and it will also provide the additional amount required to
exercise this option. If the State exercises this option, the contract will be considered to include
this option provision.
Option 3 — Option to add overlapping phase without increasing contract dollars. The State may
require the contractor to begin a phase that may include Design, Construction, Environmental,
Utilities, ROW Incidentals or Miscellaneous (this does not apply to Acquisition/Relocation or
Railroads) as detailed in Exhibit A and at the same terms and conditions stated in the original
contract with the contract dollars remaining the same. The State may exercise this option by providing
a fully executed option to the contractor within thirty (30) days before the initial targeted start date of
the phase, in a form substantially equivalent to Exhibit F. If the State exercises this option, the
contract will be considered to include this option provision.
Option 4 - To update funding (increases and/or decreases) with a new Exhibit C. This option
can be used to increase and/or decrease the overall contract dollars (state, federal, local match,
local agency overmatch) to date, by replacing the original funding exhibit (Exhibit C) in the
Original Contract with an updated Exhibit C-1 (subsequent exhibits to Exhibit C-1 shall be
labeled C-2, C-3, etc).
The State may have a need to update changes to state, federal, local match and local agency
overmatch funds as outlined in Exhibit C- 1, which will be attached to the option form. The State
may exercise this option by providing a fully executed option to the contractor within thirty (30) days
after the State has received notice of funding changes, in a form substantially equivalent to Exhibit F.
If the State exercises this option, the contract will be considered to include this option provision.
d. Exhibit I to the Basic Contract shall be removed and replaced in its entirety by
Exhibit I-1, which is attached hereto and incorporated herein by this reference. All
3
references in the Basic Contract to Exhibit I shall be removed and replaced by
Exhibit I-1, as appropriate.
e. The Special Provisions to the Basic Contract shall be removed and replaced in its
entirety by the following:
SPECIAL PROVISIONS
These Special Provisions apply to all contracts except where noted in italics.
1. CONTROLLER'S APPROVAL. CRS §24-30-202(1). This contract shall not be valid until it has been approved by
the Colorado State Controller or designee.
2. FUND AVAILABILITY. CRS §24-30-202(5.5). Financial obligations of the State payable after the current fiscal year
are contingent upon funds for that purpose being appropriated, budgeted, and otherwise made available.
3. GOVERNMENTAL IMMUNITY. No term or condition of this contract shall be construed or interpreted as a waiver,
express or implied, of any of the immunities, rights, benefits, protections, or other provisions, of the Colorado Governmental
Immunity Act, CRS §24-10-101 et seq., or the Federal Tort Claims Act, 28 U.S.C. §§1346(b) and 2671 et seq., as applicable
now or hereafter amended.
4. INDEPENDENT CONTRACTOR. Contractor shall perform its duties hereunder as an independent contractor and not
as an employee. Neither Contractor nor any agent or employee of Contractor shall be deemed to be an agent or employee of
the State. Contractor and its employees and agents are not entitled to unemployment insurance or workers compensation
benefits through the State and the State shall not pay for or otherwise provide such coverage for Contractor or any of its
agents or employees. Unemployment insurance benefits will be available to Contractor and its employees and agents only if
such coverage is made available by Contractor or a third party. Contractor shall pay when due all applicable employment
taxes and income taxes and local head taxes incurred pursuant to this contract. Contractor shall not have authorization,
express or implied, to bind the State to any agreement, liability or understanding, except as expressly set forth herein.
Contractor shall (a) provide and keep in force workers' compensation and unemployment compensation insurance in the
amounts required by law, (b) provide proof thereof when requested by the State, and (c) be solely responsible for its acts and
those of its employees and agents.
5. COMPLIANCE WITH LAW. Contractor shall strictly comply with all applicable federal and State laws, rules, and
regulations in effect or hereafter established, including, without limitation, laws applicable to discrimination and unfair
employment practices.
6. CHOICE OF LAW. Colorado law, and rules and regulations issued pursuant thereto, shall be applied in the
interpretation, execution, and enforcement of this contract. My provision included or incorporated herein by reference which
conflicts with said laws, rules, and regulations shall be null and void. Any provision incorporated herein by reference which
purports to negate this or any other Special Provision in whole or in part shall not be valid or enforceable or available in any
action at law, whether by way of complaint, defense, or otherwise. Any provision rendered null and void by the operation of
this provision shall not invalidate the remainder of this contract, to the extent capable of execution.
7. BINDING ARBITRATION PROHIBITED. The State of Colorado does not agree to binding arbitration by any extra-
judicial body or person. Any provision to the contrary in this contact or incorporated herein by reference shall be null and
void.
8. SOFTWARE PIRACY PROHIBITION. Governor's Executive Order D 002 00. State or other public funds payable
under this contract shall not be used for the acquisition, operation, or maintenance of computer software in violation of
federal copyright laws or applicable licensing restrictions. Contractor hereby certifies and warrants that, during the term of
this contract and any extensions, Contractor has and shall maintain in place appropriate systems and controls to prevent such
improper use of public funds. If the State determines that Contractor is in violation of this provision, the State may exercise
any remedy available at law or in equity or under this contract, including, without limitation, immediate termination of this
contract and any remedy consistent with federal copyright laws or applicable licensing restrictions.
9. EMPLOYEE FINANCIAL INTEREST/CONFLICT OF INTEREST. CRS §§24-18-201 and 24-50-507. The
4
signatories aver that to their knowledge, no employee of the State has any personal or beneficial interest whatsoever in the
service or property described in this contract. Contractor has no interest and shall not acquire any interest, direct or indirect,
that would conflict in any manner or degree with the performance of Contractor's services and Contractor shall not employ
any person having such known interests.
10. VENDOR OFFSET. CRS §§24-30-202 (1) and 24-30-202.4. [Not Applicable to intergovernmental agreements]
Subject to CRS §24-30-202.4 (3.5), the State Controller may withhold payment under the State's vendor offset intercept
system for debts owed to State agencies for: (a) unpaid child support debts or child support arrearages; (b) unpaid balances
of tax, accrued interest, or other charges specified in CRS §39-21-101, et seq.; (c) unpaid loans due to the Student Loan
Division of the Department of Higher Education; (d) amounts required to be paid to the Unemployment Compensation Fund;
and (e) other unpaid debts owing to the State as a result of final agency determination or judicial action.
11. PUBLIC CONTRACTS FOR SERVICES. CRS §8-17.5-101. [Not Applicable to agreements relating to the
offer, issuance, or sale of securities, investment advisory services or fund management services, sponsored
projects, intergovernmental agreements, or information technology services or products and services] Contractor
certifies, warrants, and agrees that it does not knowingly employ or contract with an illegal alien who will perform
work under this contract and will confirm the employment eligibility of all employees who are newly hired for
employment in the United States to perform work under this contract through participation in the E -Verify Program
or the Department program established pursuant to CRS §8-17.5-I02(5)(c), Contractor shall not knowingly employ
or contract with an illegal alien to perform work under this contract or enter into a contract with a subcontractor that
fails to certify to Contractor that the subcontractor shall not knowingly employ or contract with an illegal alien to
perform work under this contract. Contractor (a) shall not use E -Verify Program or Department program procedures
to undertake pre -employment screening of job applicants while this contract is being performed, (b) shall notify the
subcontractor and the contracting State agency within three days if Contractor has actual knowledge that a
subcontractor is employing or contracting with an illegal alien for work under this contract, (c) shall terminate the
subcontract if a subcontractor does not stop employing or contracting with the illegal alien within three days of
receiving the notice, and (d) shall comply with reasonable requests made in the course of an investigation,
undertaken pursuant to CRS §8-17.5-102(5), by the Colorado Department of Labor and Employment. If Contractor
participates in the Department program, Contractor shall deliver to the contracting State agency, Institution of Higher
Education or political subdivision a written, notarized affirmation, affirming that Contractor has examined the legal
work status of such employee, and shall comply with all of the other requirements of the Department program. If
Contractor fails to comply with any requirement of this provision or CRS §8-17.5-101 et seq., the contracting State
agency, institution of higher education or political subdivision may terminate this contract for breach and, if so
terminated, Contractor shall be liable for damages.
12. PUBLIC CONTRACTS WITH NATURAL PERSONS. CRS §24-76.5-101. Contractor, if a natural person
eighteen (18) years of age or older, hereby swears and affirms under penalty of perjury that he or she (a) is a citizen
or otherwise lawfully present in the United States pursuant to federal law, (b) shall comply with the provisions of
CRS §24-76.5-101 et seq., and (c) has produced one form of identification required by CRS §24-76.5-103 prior to
the effective date of this contract.
Revised 1-1-09
5
THE PARTIES HERETO HAVE EXECUTED THIS CONTRACT
CONTRACTOR:
Weld County
Legal Name of Contracting Entity
5000210
CDOT Vendor Niunber
r
Signature of Authorized Officer
STATE OF COLORADO:
BILL HIT ER, 1' ., E ' OR
By
For Executive Director
Department of Transportation
LEGAL REVIEW:
JOHN W. SUTHERS, ATTORNEY GENERAL
MAR 2 5 2009
William F. Garcia, Chair
Print Name & Title of Authorized Officer
Board of County Commissioners
CORPORATIONS:
(A corateired.)
Attest (Seal) By
By
(Corporate Secr=.,•'ry or Equivalent, or Town/City/County Clerk) (Place
ALL CONTRACTS MUST BE APPROVED BY THE STATE CONTROLLER
CRS 24-30-202 requires that the State Controller approve all state contracts. This contract is not valid until the State
Controller, or such assistant as he may delegate, has signed it. The contractor is not authorized to begin performance until the
contract is signed and dated below. If performance begins prior to the date below, the State of Colorado may not be obligated
to pay for the goods and/or services provided.
By
Date
STATE CONTROLLER:
DAVID J. MCDERMOTT, CPA
a a
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&cot- 062
A. EXHIBIT C-1
BRO C030-032, 14990, WCR 87 Bridge @ S. Platte River.
The Local Agency has estimated the total cost of the Project to be $3,520,110.00
which is to be funded as follows:
BUDGETED FUNDS
a. Federal Funds
$2,540,583.00
(80% of Participating Costs $3,175,729)
b. Local Agency Matching Funds
$635,146.00
(20% of Participating Costs $3,175,729)
c. Local Agency Overmatch
$344,381.00
'TOTAL BUDGETED FUNDS •
$3,520,110.00
2
ESTIMATED CDOT-INCURRED COSTS
a. Federal Share
b. Local Share
$1,109.70
Local Agency Share of Participating Costs $277.42
Non -Participating Costs (Including Non -Participating
Indirects) $13.88
Estimated to be Billed to Local Agency
$291.30
TOTAL ESTIMATED CDOT-INCURRED COSTS
$1,401.00
3
ESTIMATED PAYMENT TO LOCAL AGENCY
a. Federal Funds Budgeted (1a)
$2,540,583.00
b.
Less Estimated Federal Share of CDOT-Incurred Costs (2a)
$1,109.70
TOTAL ESTIMATED PAYMENT TO LOCAL AGENCY
$2,539,473.30
4
FOR CDOT ENCUMBRANCE PURPOSES
Federal Funds Budgeted
$2,540,583.00
Local Agency Match
$635,146.00
Local Overmatch Contribution
$344,381.00
Less Estimated CDOT Costs
$1401.00
Less Estimated ROW Costs
$21,253.47
Net to be encumbered as follows:
$3,497,455.53
Design
WBS Element 14990.10.40
3020
$384,000.00
WBS Element 14990.10.35
Const
3301
$3,084,502.00
WBS Element 14990.10.55
ROW
3114
$28,953.53
Exhibit C-1 — Page 1 of 2
B. The matching ratio for the federal participating funds for this project is 80%
federal -aid funds (CFDA #20 2050) to 20% Local Agency funds, it being understood
that such ratio applies only to the $3,175,729.00 that is eligible for federal
participation, it being further understood that all non -participating costs are borne by
the Local Agency at 100%. If the total participating cost of performance of the Work
exceeds $3,175,729.00, and additional federal funds are made available for the
project, the Local Agency shall pay 20% of all such costs eligible for federal
participation and 100% of all non -participating costs; if additional federal funds are
not made available, the local agency shall pay all such excess costs. If the total
participating cost of performance of the Work is less than $3,175,729.00, then the
amounts of Local Agency and federal -aid funds will be decreased in accordance
with the funding ratio described herein. The performance of the Work shall be at no
cost to the State.
C. The maximum amount payable to the Local Agency under this contract shall be
$2,539,473.30. For CDOT accounting purposes, the federal funds of $2,539,473.30
and local matching funds of $634,868.58 and Local Overmatch of $344,367.12, and
less estimated ROW costs of $21,253.47 will be encumbered for a total
encumbrance of $3,497,455.53 unless such amount is increased by an appropriate
written modification to this contract executed before any increased cost is incurred.
It is understood and agreed by the parties hereto that the total cost of the Work
stated hereinbefore is the best estimate available, based on the design data as
approved at the time of execution of this contract, and that such cost is subject to
revisions (in accord with the procedure in the previous sentence) agreeable to the
parties prior to bid and award.
D. The parties hereto agree that this contract is contingent upon all funds designated
for the project herein being made available from federal and/or state and/or Local
Agency sources, as applicable. Should these sources, either federal or Local
Agency, fail to provide necessary funds as agreed upon herein, the contract may be
terminated by either party, provided that any party terminating its interest and
obligations herein shall not be relieved of any obligations which existed prior to the
effective date of such termination or which may occur as a result of such
termination.
E. The Local Agency understands and accepts that future reimbursement of the
Federal funding for the Project is contingent upon the FHWA making such funds
available to the State in future fiscal years, and to the budgeting of such funds by
the Transportation Commission for reimbursement to the Local Agency. The Local
Agency understands that the FHWA has not currently obligated all Federal funds
for the project. The Local Agency does not by this Agreement irrevocably pledge
present case reserves for payments in future fiscal years, and this Agreement is not
intended to create a multiple -fiscal year debt of the Local Agency.
Exhibit C-1 — Page 2 of 2
Exhibit I-1
SAMPLE IGA OPTION LETTER
(This option has been created by the Office of the State Controller for CDOT use only)
NOTE: This option is limited to the specific contract scenarios listed below
AND cannot be used in place of exercising a formal amendment.
Exhibit
Date:
State Fiscal Year:
Option Letter No.
CLIN Routing #
Vendor name:
A. SUBJECT: (Choose applicable options listed below AND in section B and delete the rest)
1. Option to renew (for an additional term) applies to Highway and Signal maintenance contracts ONLY; this
renewal cannot be used to make any change to the original scope of work;
2. Level of service change within current term due to an unexpected Local overmatch on an overbid
situation ONLY;
3. Option to add phasing to include Design, Construction, Environmental, Utilities, ROW incidentals or
Miscellaneous ONLY (does not apply to Acquisition/Relocation or Railroads);
4. Option to update funding (a new Exhibit C must be attached with the option letter and shall be labeled C-1
(future changes for this option shall be labeled as follows: C-2, C-3, C-4, etc.)
B. REQUIRED PROVISIONS. All Option Letters shall contain the appropriate provisions set forth
below:
(Insert the following language for use with Options #1):
In accordance with Paragraph(s) of contract routing number (insert FY, Agency code, & CLIN
routing #), between the State of Colorado, Department of Transportation, and (insert contractor's name) the
state hereby exercises the option for an additional term of (insert performance period here) at a cost/price
specified in Paragraph/Section/Provision of the original contract, AND/OR an increase in
the amount of goods/services at the same rate(s) as specified in Paragraph of the
original contract.
'Insert the following language for use with Option #2):
In accordance with the terms of the original contract (insert FY. Agency code & CLIN routing #) between the
State of Colorado, Department of Transportation and (insert contractor's name here), the State hereby
exercises the option to record a level of service change due to unexpected overmatch dollars due to an
overbid situation. The contract is now increased by (indicate additional dollars here) specified in
Paragraph/Section/Provision of the original contract.
(Insert the following language for use with Option #3):
In accordance with the terms of the original contract (insert FY, Agency code & CLIN routing #) between the
State of Colorado, Department of Transportation and (insert contractor's name here), the State hereby
exercises the option to add an overlapping phase in (indicate Fiscal Year here) that will include (describe
which phase will be added and include all that apply — Design, Construction, Environmental, Utilities, ROW
incidentals or Miscellaneous). Total funds for this contract remain the same (indicate total dollars here) as
referenced in Paragraph/Section/Provision/Exhibit of the original contract.
'Insert the following language for use with Option #4):
In accordance with the terms of the original contract (insert FY, Agency code & CLIN routing #) between the
State of Colorado, Department of Transportation and (insert contractor's name here), the State hereby exercises
the option to update funding based on changes from state, federal, local match and/or local agency overmatch
funds. The contract is now (select one: increased and/or decreased) by (insert dollars here) specified in
Exhibit 1-1
Paragraph/-Section/-Provision/Exhibit of the original contract. A new Exhibit C-1 is made part
of the original contract and replaces Exhibit C. (The following is a NOTE only so please delete when using this
option: future changes for this option for Exhibit C shall be labeled as follows: C-2, C-3, C-4, etc.)
(The following language must be included on all options):
The amount of the current Fiscal Year contract value is (increased/decreased) by ($ amount of change) to a
new contract value of ($ ) to satisfy services/goods ordered under the contract for the current
fiscal year (indicate Fiscal Year). The first sentence in Paragraph/Section/Provision is hereby
modified accordingly.
The total contract value to include all previous amendments, option letters, etc. is ($ ).
The effective date of this Option Letter is upon approval of the State Controller or delegate, whichever is
later.
APPROVALS:
For the Contractor:
Legal Name of Contractor
By:
Print Name of Authorized Individual
Signature:
Date:
Title: Official Title of Authorized Individual
State of Colorado:
Bill Ritter, Jr., Governor
By: Date:
Executive Director, Colorado Department of Transportation
ALL CONTRACTS MUST BE APPROVED BY THE STATE CONTROLLER
CRS §24-30-202 requires the State Controller to approve all State Contracts. This Contract is not
valid until signed and dated below by the State Controller or delegate. Contractor is not authorized
to begin performance until such time. If Contractor begins performing prior thereto, the State of
Colorado is not obligated to pay Contractor for such performance or for any goods and/or
services provided hereunder.
State Controller
David J. McDermott, CPA
By:
Date:
Issuance date: July 1, 2008
Updated: June 12, 2008
Exhibit I-1
FHWA-1273 Electronic version — March 10. 1994
FHWA Form 1273
REQUIRED CONTRACT PROVISIONS
FEDERAL -AID CONSTRUCTION CONTRACTS
I. General 1
II. Nondiscrimination 1
III. Non -segregated Facilities 3
IV. Payment of Predetermined Minimum Wage 3
V. Statements and Payrolls 6
VI. Record of Materials, Supplies, and Labor 6
VII. Subletting or Assigning the Contract 7
VIII. Safety: Accident Prevention 7
IX. False Statements Concerning Highway Projects 7
X. Implementation of Clean Air Act and Federal
Water Pollution Control Act 8
XI. Certification Regarding Debarment,
Suspension,
Ineligibility, and Voluntary Exclusion 8
XII. Certification Regarding Use of Contract Funds
for
Lobbying 9
A.
ATTACHMENTS
Employment Preference for Appalachian
Contracts
(included in Appalachian contracts only)
I. GENERAL
1. These contract provisions shall apply to all work
performed on the contract by the contractor's own organization
and with the assistance of workers under the contractor's
immediate superintendence and to all work performed on the
contract by piecework, station work, or by subcontract.
2. Except as otherwise provided for in each section, the
contractor shall insert in each subcontract all of the stipulations
contained in these Required Contract Provisions, and further
require their inclusion in any lower tier subcontract or purchase
order that may in turn be made. The Required Contract Provi-
sions shall not be incorporated by reference in any case. The
prime contractor shall be responsible for compliance by any
subcontractor or lower tier subcontractor with these Required
Contract Provisions.
3. A breach of any of the stipulations contained in these
Required Contract Provisions shall be sufficient grounds for
termination of the contract.
4. A breach of the following clauses of the Required
Contract Provisions may also be grounds for debarment as
provided in 29 CFR 5.12:
Section I, paragraph 2;
Section IV, paragraphs 1, 2, 3, 4, and 7;
Section V, paragraphs 1 and 2a through 2g.
5. Disputes arising out of the labor standards provisions of
Section IV (except paragraph 5) and Section V of these
Required Contract Provisions shall not be subject to the general
disputes clause of this contract. Such disputes shall be
resolved in accordance with the procedures of the U.S.
Department of Labor (DOL) as set forth in 29 CFR 5, 6, and 7.
Disputes within the meaning of this clause include disputes
between the contractor (or any of its subcontractors) and the
contracting agency, the DOL, or the contractor's employees or
their representatives.
tract, the contractor shall not:
a. discriminate against labor from any other State,
possession, or territory of the United States (except for
employment preference for Appalachian contracts, when
applicable, as specified in Attachment A), or
b employ convict labor for any purpose within the limits
of the project unless it is labor performed by convicts who are
on parole, supervised release, or probation.
II. NONDISCRIMINATION
(Applicable to all Federal -aid construction contracts and to all
related subcontracts of $10,000 or more.)
1. Equal Employment Opportunity: Equal employment
opportunity (EEO) requirements not to discriminate and to take
affirmative action to assure equal opportunity as set forth under
laws, executive orders, rules, regulations (28 CFR 35, 29 CFR
1630 and 41 CFR 60) and orders of the Secretary of Labor as
modified by the provisions prescribed herein, and imposed
pursuant to 23 U.S.C. 140 shall constitute the EEO and specific
affirmative action standards for the contractor's project activities
under this contract. The Equal Opportunity Construction
Contract Specifications set forth under 41 CFR 60-4.3 and the
provisions of the American Disabilities Act of 1990 (42 U.S.C.
12101 et seq.) set forth under 28 CFR 35 and 29 CFR 1630 are
incorporated by reference in this contract. In the execution of
this contract, the contractor agrees to comply with the following
minimum specific requirement activities of EEO:
a. The contractor will work with the State highway agency
(SHA) and the Federal Government in carrying out EEO obliga-
tions and in their review of his/her activities under the contract.
b. The contractor will accept as his operating policy the
following statement:
"It is the policy of this Company to assure that applicants
are employed, and that employees are treated during
employment, without regard to their race, religion, sex,
color, national origin, age or disability. Such action shall
include: employment, upgrading, demotion, or transfer;
recruitment or recruitment advertising; layoff or
termination; rates of pay or other forms of compensation;
and selection for training, including apprenticeship, pre -
apprenticeship, and/or on-the-job training?
2. EEO Officer: The contractor will designate and make
known to the SHA contracting officers an EEO Officer who will
have the responsibility for and must be capable of effectively
administering and promoting an active contractor program of
EEO and who must be assigned adequate authority and
responsibility to do so.
3. Dissemination of Policy: All members of the contractor's
staff who are authorized to hire, supervise, promote, and
discharge employees, or who recommend such action, or who
are substantially involved in such action, will be made fully
cognizant of, and will implement, the contractor's EEO policy
and contractual responsibilities to provide EEO in each grade
and classification of employment. To ensure that the above
agreement will be met, the following actions will be taken as a
minimum:
6. Selection of Labor: During the performance of this con-
a. Periodic meetings of supervisory and personnel office
employees will be conducted before the start of work and then
not less often than once every six months, at which time the
contractor's EEO policy and its implementation will be reviewed
and explained. The meetings will be conducted by the EEO
Officer.
b. All new supervisory or personnel office employees will
be given a thorough indoctrination by the EEO Officer, covering
all major aspects of the contractors EEO obligations within
thirty days following their reporting for duty with the contractor.
c. All personnel who are engaged in direct recruitment for
the project will be instructed by the EEO Officer in the contrac-
tor's procedures for locating and hiring minority group
employees.
d. Notices and posters setting forth the contractor's EEO
policy will be placed in areas readily accessible to employees,
applicants for employment and potential employees.
e. The contractor's EEO policy and the procedures to
implement such policy will be brought to the attention of
employees by means of meetings, employee handbooks, or
other appropriate means.
4. Recruitment: When advertising for employees, the
contractor will include in all advertisements for employees the
notation: "An Equal Opportunity Employer." All such
advertisements will be placed in publications having a large
circulation among minority groups in the area from which the
project work force would normally be derived.
a. The contractor will, unless precluded by a valid
bargaining agreement, conduct systematic and direct
recruitment through public and private employee referral
sources likely to yield qualified minority group applicants. To
meet this requirement, the contractor will identify sources of
potential minority group employees, and establish with such
identified sources procedures whereby minority group
applicants may be referred to the contractor for employment
consideration.
b. In the event the contractor has a valid bargaining
agreement providing for exclusive hiring hall referrals, he is
expected to observe the provisions of that agreement to the
extent that the system permits the contractor's compliance with
EEO contract provisions. (The DOL has held that where
implementations of such agreements have the effect of
discriminating against minorities or women, or obligates the
contractor to do the same, such implementation violates
Executive Order 11246, as amended.)
c. The contractor will encourage his present employees to
refer minority group applicants for employment. Information
and procedures with regard to referring minority group
applicants will be discussed with employees.
5. Personnel Actions: Wages, working conditions, and
employee benefits shall be established and administered, and
personnel actions of every type, including hiring, upgrading,
promotion, transfer, demotion, layoff, and termination, shall be
taken without regard to race, color, religion, sex, national origin,
age or disability. The following procedures shall be followed:
a. The contractor will conduct periodic inspections of
project sites to insure that working conditions and employee
facilities do not indicate discriminatory treatment of project site
personnel.
b. The contractor will periodically evaluate the spread of
wages paid within each classification to determine any
evidence of discriminatory wage practices.
c. The contractor will periodically review selected
Exhibit I-1
personnel actions in depth to determine whether there is
evidence of discrimination. Where evidence is found, the
contractor will promptly take corrective action. If the review
indicates that the discrimination may extend beyond the actions
reviewed, such corrective action shall include all affected
persons.
d. The contractor will promptly investigate all complaints of
alleged discrimination made to the contractor in connection with
his obligations under this contract, will attempt to resolve such
complaints, and will take appropriate corrective action within a.
reasonable time. If the investigation indicates that the
discrimination may affect persons other than the complainant,
such corrective action shall include such other persons. Upon
completion of each investigation, the contractor will inform
every complainant of all of his avenues of appeal.
6. Training and Promotion:
a. The contractor will assist in locating, qualifying, and
increasing the skills of minority group and women employees,
and applicants for employment.
b. Consistent with the contractor's work force
requirements and as permissible under Federal and State
regulations, the contractor shall make full use of training
programs, i.e., apprenticeship, and on-the-job training programs
for the geographical area of contract performance. Where
feasible, 25 percent of apprentices or trainees in each
occupation shall be in their first year of apprenticeship or
training. In the event a special provision for training is provided
under this contract, this subparagraph will be superseded as
indicated in the special provision.
c. The contractor will advise employees and applicants
for employment of available training programs and entrance
requirements for each.
d. The contractor will periodically review the training and
promotion potential of minority group and women employees
and will encourage eligible employees to apply for such training
and promotion.
7. Unions: If the contractor relies in whole or in part upon
unions as a source of employees, the contractor will use his/her
best efforts to obtain the cooperation of such unions to increase
opportunities for minority groups and women within the unions,
and to effect referrals by such unions of minority and female
employees. Actions by the contractor either directly or through
a contractor's association acting as agent will include the
procedures set forth below:
a. The contractor will use best efforts to develop, in
cooperation with the unions, joint training programs aimed
toward qualifying more minority group members and women for
membership in the unions and increasing the skills of minority
group employees and women so that they may qualify for
higher paying employment.
b. The contractor will use best efforts to incorporate an
EEO clause into each union agreement to the end that such
union will be contractually bound to refer applicants without
regard to their race, color, religion, sex, national origin, age or
disability.
c. The contractor is to obtain information as to the referral
practices and policies of the labor union except that to the
extent such information is within the exclusive possession of
the labor union and such labor union refuses to furnish such
information to the contractor, the contractor shall so certify to
the SHA and shall set forth what efforts have been made to
obtain such information.
d. In the event the union is unable to provide the
contractor with a reasonable flow of minority and women
Exhibit I-1
referrals within the time limit set forth in the collective
bargaining agreement, the contractor will, through independent
recruitment efforts, fill the employment vacancies without
regard to race, color, religion, sex, national origin, age or
disability; making full efforts to obtain qualified and/or
qualifiable minority group persons and women. (The DOL has
held that it shall be no excuse that the union with which the
contractor has a collective bargaining agreement providing for
exclusive referral failed to refer minority employees.) In the
event the union referral practice prevents the contractor from
meeting the obligations pursuant to Executive Order 11246, as
amended, and these special provisions, such contractor shall
immediately notify the SHA.
8. Selection of Subcontractors, Procurement of
Materials and Leasing of Equipment: The contractor shall
not discriminate on the grounds of race, color, religion, sex,
national origin, age or disability in the selection and retention of
subcontractors, including procurement of materials and leases
of equipment.
a. The contractor shall notify all potential subcontractors
and suppliers of his/her EEO obligations under this contract.
b. Disadvantaged business enterprises (DBE), as defined
in 49 CFR 23, shall have equal opportunity to compete for and
perform subcontracts which the contractor enters into pursuant
to this contract. The contractor will use his best efforts to solicit
bids from and to utilize DBE subcontractors or subcontractors
with meaningful minority group and female representation
among their employees. Contractors shall obtain lists of DBE
construction firms from SHA personnel.
c. The contractor will use his best efforts to ensure
subcontractor compliance with their EEO obligations.
9. Records and Reports: The contractor shall keep such
records as necessary to document compliance with the EEO
requirements. Such records shall be retained for a period of
three years following completion of the contract work and shall
be available at reasonable times and places for inspection by
authorized representatives of the SHA and the FHWA.
a. The records kept by the contractor shall document the
following:
(1) The number of minority and non -minority group
members and women employed in each work classification on
the project;
(2) The progress and efforts being made in
cooperation with unions, when applicable, to increase
employment opportunities for minorities and women;
(3) The progress and efforts being made in locating,
hiring, training, qualifying, and upgrading minority and female
employees; and
(4) The progress and efforts being made in securing
the services of DBE subcontractors or subcontractors with
meaningful minority and female representation among their
employees.
b. The contractors will submit an annual report to the
SHA each July for the duration of the project, indicating the
number of minority, women, and non -minority group employees
currently engaged in each work classification required by the
contract work. This information is to be reported on Form
FHWA-1391. If on -the job training is being required by special
provision, the contractor will be required to collect and report
training data.
III. NONSEGREGATED FACILITIES
(Applicable to all Federal -aid construction contracts and to all
related subcontracts of $10,000 or more.)
a. By submission of this bid, the execution of this
contract or subcontract, or the consummation of this material
supply agreement or purchase order, as appropriate, the
bidder, Federal -aid construction contractor, subcontractor,
material supplier, or vendor, as appropriate, certifies that the
firm does not maintain or provide for its employees any
segregated facilities at any of its establishments, and that the
firm does not permit its employees to perform their services at
any location, under its control, where segregated facilities are
maintained. The firm agrees thata breach of this certification is
a violation of the EEO provisions of this contract. The firm
further certifies that no employee will be denied access to
adequate facilities on the basis of sex or disability.
b. As used in this certification, the term "segregated
facilities" means any waiting rooms, work areas, restrooms and
washrooms, restaurants and other eating areas, timeclocks,
locker rooms, and other storage or dressing areas, parking lots,
drinking fountains, recreation or entertainment areas, transpor-
tation, and housing facilities provided for employees which are
segregated by explicit directive, or are, in fact, segregated on
the basis of race, color, religion, national origin, age or
disability, because of habit, local custom, or otherwise. The
only exception will be for the disabled when the demands for
accessibility override (e.g. disabled parking).
c. The contractor agrees that it has obtained or will obtain
identical certification from proposed subcontractors or material
suppliers prior to award of subcontracts or consummation of
material supply agreements of $10,000 or more and that it will
retain such certifications in its files.
IV. PAYMENT OF PREDETERMINED MINIMUM WAGE
(Applicable to all Federal -aid construction contracts
exceeding $2,000 and to all related subcontracts, except for
projects located on roadways classified as local roads or rural
minor collectors, which are exempt.)
1. General:
a. All mechanics and laborers employed or working upon
the site of the work will be paid unconditionally and not less
often than once a week and without subsequent deduction or
rebate on any account [except such payroll deductions as are
permitted by regulations (29 CFR 3) issued by the Secretary of
Labor under the Copeland Act (40 U.S.C. 276c)] the full
amounts of wages and bona fide fringe benefits (or cash
equivalents thereof) due at time of payment. The payment shall
be computed at wage rates not less than those contained in the
wage determination of the Secretary of Labor (hereinafter "the
wage determination")which is attached hereto and made a part
hereof, regardless of any contractual relationship which maybe
alleged to exist between the contractor or its subcontractors
and such laborers and mechanics. The wage determination
(including any additional classifications and wage rates
conformed under paragraph 2 of this Section IV and the DOL
poster (W H-1321) or Form FHWA-1495) shall be posted at all
times by the contractor and its subcontractors at the site of the
work in a prominent and accessible place where it can be easily
seen by the workers. For the purpose of this Section,
contributions made or costs reasonably anticipated for bona
fide fringe benefits under Section 1(b)(2) of the Davis -Bacon
Act (40 U.S.C. 276a) on behalf of laborers or mechanics are
considered wages paid to such laborers or mechanics, subject
to the provisions of Section IV, paragraph 3b, hereof. Also, for
the purpose of this Section, regular contributions made or costs
incurred for more than a weekly period (but not less often than
quarterly) under plans, funds, or programs, which cover the
particular weekly period, are deemed to be constructively made
or incurred during such weekly period. Such laborers and
mechanics shall be paid the appropriate wage rate and fringe
benefits on the wage determination for the classification of work
Exhibit I-1
actually performed, without regard to skill, except as provided in
paragraphs 4 and 5 of this Section IV.
b. Laborers or mechanics performing work in more than
one classification may be compensated at the rate specified for
each classification for the time actually worked therein,
provided, that the employer's payroll records accurately set
forth the time spent in each classification in which work is
performed.
c. All rulings and interpretations of the Davis -Bacon Act
and related acts contained in 29 CFR 1, 3, and 5 are herein
incorporated by reference in this contract.
2. Classification:
a. The SHA contracting officer shall require that any class
of laborers or mechanics employed under the contract, which is
not listed in the wage determination, shall be classified in
conformance with the wage determination.
b. The contracting officer shall approve an additional
classification, wage rate and fringe benefits only when the
following criteria have been met:
(1) the work to be performed by the additional
classification requested is not performed by a classification in
the wage determination;
(2) the additional classification is utilized in the area
by the construction industry;
(3) the proposed wage rate, including any bona fide
fringe benefits, bears a reasonable relationship to the wage
rates contained in the wage determination; and
(4) with respect to helpers, when such a
classification prevails in the area in which the work is
performed.
c. If the contractor or subcontractors, as appropriate, the
laborers and mechanics (if known) to be employed in the
additional classification or their representatives, and the
contracting officer agree on the classification and wage rate
(including the amount designated for fringe benefits where
appropriate), a report of the action taken shall be sent by the
contracting officer to the DOL, Administrator of the Wage and
Hour Division, Employment Standards Administration,
Washington, D.C. 20210. The Wage and Hour Administrator,
or an authorized representative, will approve, modify, or
disapprove every additional classification action within 30 days
of receipt and so advise the contracting officer or will notify the
contracting officer within the 30 -day period that additional time
is necessary.
d. In the event the contractor or subcontractors, as
appropriate, the laborers or mechanics to be employed in the
additional classification or their representatives, and the
contracting officer do not agree on the proposed classification
and wage rate (including the amount designated for fringe
benefits, where appropriate), the contracting officer shall refer
the questions, including the views of all interested parties and
the recommendation of the contracting officer, to the Wage and
Hour Administrator for determination. Said Administrator, or an
authorized representative, will issue a determination within 30
days of receipt and so advise the contracting officer or will notify
the contracting officer within the 30 -day period that additional
time is necessary
e. The wage rate (including fringe benefits where
appropriate) determined pursuant to paragraph 2c or 2d of this
Section IV shall be paid to all workers performing work in the
additional classification from the first day on which work is
performed in the classification.
3. Payment of Fringe Benefits:
a. Whenever the minimum wage rate prescribed in the
contract for a class of laborers or mechanics includes a fringe
benefit which is not expressed as an hourly rate, the contractor
or subcontractors, as appropriate, shall either pay the benefit as
stated in the wage determination or shall pay another bona fide
fringe benefit or an hourly case equivalent thereof.
b. If the contractor or subcontractor, as appropriate, does
not make payments to a trustee or other third person, he/she
may consider as a part of the wages of any laborer or mechanic
the amount of any costs reasonably anticipated in providing
bona fide fringe benefits under a plan or program, provided,
that the Secretary of Labor has found, upon the written request
of the contractor, that the applicable standards of the Davis -
Bacon Act have been met. The Secretary of Labor may require
the contractor to set aside in a separate account assets for the
meeting of obligations under the plan or program.
4. Apprentices and Trainees (Programs of the U.S. DOL)
and Helpers:
a. Apprentices:
(1) Apprentices will be permitted to work at less than
the predetermined rate for the work they performed when they
are employed pursuant to and individually registered in a bona
fide apprenticeship program registered with the DOL, Employ-
ment and Training Administration, Bureau of Apprenticeship
and Training, or with a State apprenticeship agency recognized
by the Bureau, or if a person is employed in his/her first 90
days of probationary employment as an apprentice in such an
apprenticeship program, who is not individually registered in the
program, but who has been certified by the Bureau of
Apprenticeship and Training or a State apprenticeship agency
(where appropriate) to be eligible for probationary employment
as an apprentice.
(2) The allowable ratio of apprentices to journeyman -
level employees on the job site in any craft classification shall
not be greater than the ratio permitted to the contractor as to
the entire work force under the registered program. Any
employee listed on a payroll at an apprentice wage rate, who is
not registered or otherwise employed as stated above, shall be
paid not less than the applicable wage rate listed in the wage
determination for the classification of work actually performed.
In addition, any apprentice performing work on the job site in
excess of the ratio permitted under the registered program shall
be paid not less than the applicable wage rate on the wage
determination for the work actually performed. Where a
contractor or subcontractor is performing construction on a
project in a locality other than that in which its program is
registered, the ratios and wage rates (expressed in
percentages of the journeyman -level hourly rate) specified in
the contractor's or subcontractor's registered program shall be
observed.
(3) Every apprentice must be paid at not less than
the rate specified in the registered program for the apprentice's
level of progress, expressed as a percentage of the
journeyman -level hourly rate specified in the applicable wage
determination. Apprentices shall be paid fringe benefits in
accordance with the provisions of the apprenticeship program.
If the apprenticeship program does not specify fringe benefits,
apprentices must be paid the full amount of fringe benefits
listed on the wage determination for the applicable
classification. If the Administrator for the Wage and Hour
Division determines that a different practice prevails for the
applicable apprentice classification, fringes shall be paid in
accordance with that determination.
(4) In the event the Bureau of Apprenticeship and
Training, or a State apprenticeship agency recognized by the
Bureau, withdraws approval of an apprenticeship program, the
contractor or subcontractor will no longer be permitted to utilize
apprentices at less than the applicable predetermined rate for
the comparable work performed by regular employees until an
acceptable program is approved.
b. Trainees:
(1) Except as provided in 29 CFR 5.16, trainees will
not be permitted to work at less than the predetermined rate for
the work performed unless they are employed pursuant to and
individually registered in a program which has received prior
approval, evidenced by formal certification by the DOL,
Employment and Training Administration.
(2) The ratio of trainees to journeyman -level
employees on the job site shall not be greater than permitted
under the plan approved by the Employment and Training
Administration. My employee listed on the payroll at a trainee
rate who is not registered and participating in a training plan
approved by the Employment and Training Administration shall
be paid not less than the applicable wage rate on the wage
determination for the classification of work actually performed.
In addition, any trainee performing work on the job site in
excess of the ratio permitted under the registered program shall
be paid not less than the applicable wage rate on the wage
determination for the work actually performed.
(3) Every trainee must be paid at not less than the
rate specified in the approved program for his/her level of
progress, expressed as a percentage of the journeyman -level
hourly rate specified in the applicable wage determination.
Trainees shall be paid fringe benefits in accordance with the
provisions of the trainee program. If the trainee program does
not mention fringe benefits, trainees shall be paid the full
amount of fringe benefits listed on the wage determination
unless the Administrator of the Wage and Hour Division
determines that there is an apprenticeship program associated
with the corresponding journeyman -level wage rate on the
wage determination which provides for less than full fringe
benefits for apprentices, in which case such trainees shall
receive the same fringe benefits as apprentices.
(4) In the event the Employment and Training
Administration withdraws approval of a training program, the
contractor or subcontractor will no longer be permitted to utilize
trainees at less than the applicable predetermined rate for the
work performed until an acceptable program is approved.
c. Helpers:
Helpers will be permitted to work on a project if the
helper classification is specified and defined on the applicable
wage determination or is approved pursuant to the
conformance procedure set forth in Section IV.2. Any worker
listed on a payroll at a helper wage rate, who is not a helper
under a approved definition, shall be paid not less than the
applicable wage rate on the wage determination for the
classification of work actually performed.
5. Apprentices and Trainees (Programs of the U.S. DOT):
Apprentices and trainees working under apprenticeship
and skill training programs which have been certified by the
Secretary of Transportation as promoting EEO in connection
with Federal -aid highway construction programs are not subject
to the requirements of paragraph 4 of this Section IV. The
straight time hourly wage rates for apprentices and trainees
under such programs will be established by the particular
programs. The ratio of apprentices and trainees tojoumeymen
shall not be greater than permitted by the terms of the particular
program.
6. Withholding:
The SHA shall upon its own action or upon written
Exhibit I-1
request of an authorized representative of the DOL withhold, or
cause to be withheld, from the contractor or subcontractor
under this contract or any other Federal contract with the same
prime contractor, or any other Federally -assisted contract
subject to Davis -Bacon prevailing wage requirements which is
held by the same prime contractor, as much of the accrued
payments or advances as may be considered necessary to pay
laborers and mechanics, including apprentices, trainees, and
helpers, employed by the contractor or any subcontractor the
full amount of wages required by the contract. In the event of
failure to pay any laborer or mechanic, including any
apprentice, trainee, or helper, employed or working on the site
of the work, all or part of the wages required by the contract, the
SHA contracting officer may, after written notice to the
contractor, take such action as may be necessary to cause the
suspension of any further payment, advance, or guarantee of
funds until such violations have ceased.
7. Overtime Requirements:
No contractor or subcontractor contracting for any part
of the contract work which may require or involve the employ-
ment of laborers, mechanics, watchmen, or guards (including
apprentices, trainees, and helpers described in paragraphs 4
and 5 above) shall require or permit any laborer, mechanic,
watchman, or guard in any workweek in which he/she is
employed on such work, to work in excess of 40 hours in such
workweek unless such laborer, mechanic, watchman, or guard
receives compensation at a rate not less than one -and -one-half
times his/her basic rate of pay for all hours worked in excess of
40 hours in such workweek.
8. Violation:
Liability for Unpaid Wages; Liquidated Damages: In the
event of any violation of the clause set forth in paragraph 7
above, the contractor and any subcontractor responsible
thereof shall be liable to the affected employee for his/her
unpaid wages. In addition, such contractor and subcontractor
shall be liable to the United States (in the case of work done
under contract for the District of Columbia ora territory, to such
District or to such territory) for liquidated damages. Such
liquidated damages shall be computed with respect to each
individual laborer, mechanic, watchman, or guard employed in
violation of the clause set forth in paragraph 7, in the sum of
$10 for each calendar day on which such employee was
required or permitted to work in excess of the standard work
week of 40 hours without payment of the overtime wages
required by the clause set forth in paragraph 7.
9. Withholding for Unpaid Wages and Liquidated
Damages:
The SHA shall upon its own action or upon written request of
any authorized representative of the DOL withhold, or cause to
be withheld, from any monies payable on account of work
performed by the contractor or subcontractor under any such
contract or any other Federal contract with the same prime
contractor, or any other Federally -assisted contract subject to
the Contract Work Hours and Safety Standards Act, which is
held by the same prime contractor, such sums as may be
determined to be necessary to satisfy any liabilities of such
contractor or subcontractor for unpaid wages and liquidated
damages as provided in the clause set forth in paragraph 8
above.
V. STATEMENTS AND PAYROLLS
(Applicable to all Federal -aid construction contracts
exceeding $2,000 and to all related subcontracts, except for
projects located on roadways classified as local roads or rural
collectors, which are exempt.)
1. Compliance with Copeland Regulations (29 CFR 3):
The contractor shall complywith the Copeland Regulations of
the Secretary of Labor which are herein incorporated by refer-
ence.
2. Payrolls and Payroll Records:
a. Payrolls and basic records relating thereto shall be
maintained by the contractor and each subcontractor during the
course of the work and preserved for a period of 3 years from
the date of completion of the contract for all laborers,
mechanics, apprentices, trainees, watchmen, helpers, and
guards working at the site of the work.
b. The payroll records shall contain the name, social
security number, and address of each such employee; his or
her correct classification; hourly rates of wages paid (including
rates of contributions or costs anticipated for bona fide fringe
benefits or cash equivalent thereof the types described in
Section 1(b)(2)(B) of the Davis Bacon Act); daily and weekly
number of hours worked; deductions made; and actual wages
paid. In addition, for Appalachian contracts, the payroll records
shall contain a notation indicating whether the employee does,
or does not, normally reside in the labor area as defined in
Attachment A, paragraph 1. Whenever the Secretary of Labor,
pursuant to Section IV, paragraph 3b, has found that the wages
of any laborer or mechanic include the amount of any costs
reasonably anticipated in providing benefits under a plan or
program described in Section 1(bX2)(B) of the Davis Bacon
Act, the contractor and each subcontractor shall maintain
records which show that the commitment to provide such
benefits is enforceable, that the plan or program is financially
responsible, that the plan or program has been communicated
in writing to the laborers or mechanics affected, and show the
cost anticipated or the actual cost incurred in providing benefits.
Contractors or subcontractors employing apprentices or
trainees under approved programs shall maintain written
evidence of the registration of apprentices and trainees, and
ratios and wage rates prescribed in the applicable programs.
c. Each contractor and subcontractor shall furnish, each
week in which any contract work is performed, to the SHA
resident engineer a payroll of wages paid each of its
employees (including apprentices, trainees, and helpers,
described in Section IV, paragraphs 4 and 5, and watchmen
and guards engaged on work during the preceding weekly
payroll period). The payroll submitted shall set out accurately
and completely all of the information required to be maintained
under paragraph 2b of this Section V. This information may be
submitted in any form desired. Optional Form WH-347 is
available for this purpose and may be purchased from the
Superintendent of Documents (Federal stock number 029-005-
0014-1), U.S. Government Printing Office, Washington, D.C.
20402. The prime contractor is responsible for the submission
of copies of payrolls by all subcontractors.
d. Each payroll submitted shall be accompanied by a
"Statement of Compliance," signed by the contactor or subcon-
tractor or his/her agent who pays or supervises the payment of
the persons employed under the contract and shall certify the
following:
(1) that the payroll for the payroll period contains the
information required to be maintained under paragraph 2b of
this Section V and that such information is correct and
complete;
(2) that such laborer or mechanic (including each
helper, apprentice, and trainee) employed on the contract
during the payroll period has been paid the full weekly wages
earned, without rebate, either directly or indirectly, and that no
deductions have been made either directly or indirectlyfrom the
full wages earned, other than permissible deductions as set
forth in the Regulations, 29 CFR 3;
(3) that each laborer or mechanic has been paid not
Exhibit I-1
less that the applicable wage rate and fringe benefits or cash
equivalent for the classification of worked performed, as
specified in the applicable wage determination incorporated into
the contract.
e. The weekly submission of a properly executed
certification set forth on the reverse side of Optional Form WH-
347 shall satisfy the requirement for submission of the
"Statement of Compliance" required by paragraph 2d of this
Section V.
f. The falsification of any of the above certifications may
subject the contractor to civil or criminal prosecution under 18
U.S.C. 1001 and 31 U.S.C. 231.
g. The contractor or subcontractor shall make the
records required under paragraph 2b of this Section Vavailable
for inspection, copying, or transcription by authorized
representatives of the SHA, the FHWA, or the DOL, and shall
permit such representatives to interview employees during
working hours on the job. If the contractor or subcontractor fails
to submit the required records or to make them available, the
SHA, the FHWA, the DOL, or all may, after written notice to the
contractor, sponsor, applicant, or owner, take such actions as
may be necessary to cause the suspension of any further
payment, advance, or guarantee of funds. Furthermore, failure
to submit the required records upon request or to make such
records available may be grounds for debarment action
pursuant to 29 CFR 5.12.
VI. RECORD OF MATERIALS, SUPPLIES, AND LABOR
1. On all Federal -aid contracts on the National Highway
System, except those which provide solely for the installation of
protective devices at railroad grade crossings, those which are
constructed on a force account or direct labor basis, highway
beautification contracts, and contracts for which the total final
construction cost for roadway and bridge is less than $1,000,-
000 (23 CFR 635) the contractor shall:
a. Become familiar with the list of specific materials and
supplies contained in Form FHWA-47, "Statement of Materials
and Labor Used by Contractor of Highway Construction
Involving Federal Funds " prior to the commencement of work
under this contract.
b. Maintain a record of the total cost of all materials and
supplies purchased for and incorporated in the work, and also
of the quantities of those specific materials and supplies listed
on Form FHWA-47, and in the units shown on Form FHWA-47.
c. Furnish, upon the completion of the contract, to the
SHA resident engineer on Form FHWA-47 together with the
data required in paragraph lb relative to materials and
supplies, a final labor summary of all contract work indicating
the total hours worked and the total amount earned.
2. At the prime contractors option, either a single report
covering all contract work or separate reports for the contractor
and for each subcontract shall be submitted.
VII. SUBLETTING OR ASSIGNING THE CONTRACT
1. The contractor shall perform with its own organization
contract work amounting to not less than 30 percent (or a
greater percentage if specified elsewhere in the contract) of the
total original contract price, excluding any specialty items
designated by the State. Specialty items may be performed by
subcontract and the amount of any such specialty items per-
formed may be deducted from the total original contract price
before computing the amount of work required to be performed
by the contractors own organization (23 CFR 635).
a. "Its own organization" shall be construed to include
only workers employed and paid directly by the prime contractor
and equipment owned or rented by the prime contractor, with or
without operators. Such term does not include employees or
equipment of a subcontractor, assignee, or agent of the prime
contractor.
b. "Specialty Items" shall be construed to be limited to
work that requires highly specialized knowledge, abilities, or
equipment not ordinarily available in the type of contracting
organizations qualified and expected to bid on the contract as a
whole and in general are to be limited to minor components of
the overall contract.
2. The contract amount upon which the requirements set
forth in paragraph 1 of Section VII is computed includes the
cost of material and manufactured products which are to be
purchased or produced by the contractor under the contract
provisions.
3. The contractor shall furnish (a) a competent
superintendent or supervisor who is employed by the firm, has
full authority to direct performance of the work in accordance
with the contract requirements, and is in charge of all
construction operations (regardless of who performs the work)
and (b) such other of its own organizational resources
(supervision, management, and engineering services) as the
SHA contracting officer determines is necessary to assure the
performance of the contract.
4. No portion of the contract shall be sublet, assigned or
otherwise disposed of except with the written consent of the
SHA contracting officer, or authorized representative, and such
consent when given shall not be construed to relieve the
contractor of any responsibility for the fulfillment of the contract.
Written consent will be given only after the SHA has assured
that each subcontract is evidenced in writing and that it
contains all pertinent provisions and requirements of the prime
contract.
VIII. SAFETY: ACCIDENT PREVENTION
1. In the performance of this contract the contractor shall
comply with all applicable Federal, State, and local laws
governing safety, health, and sanitation (23 CFR 635). The
contractor shall provide all safeguards, safety devices and
protective equipment and take any other needed actions as it
determines, or as the SHA contracting officer may determine, to
be reasonably necessary to protect the life and health of
employees on the job and the safety of the public and to protect
property in connection with the performance of the work
covered by the contract.
2. It is a condition of this contract, and shall be made a
condition of each subcontract, which the contractor enters into
pursuant to this contract, that the contractor and any
subcontractor shall not permit any employee, in performance of
the contract, to work in surroundings or under conditions which
are unsanitary, hazardous or dangerous to his/her health or
safety, as determined under construction safety and health
standards (29 CFR 1926) promulgated by the Secretary of
Labor, in accordance with Section 107 of the Contract Work
Hours and Safety Standards Act (40 U.S.C. 333).
3. Pursuant to 29 CFR 1926.3, it is a condition of this
contract that the Secretary of Labor or authorized
representative thereof, shall have right of entry to any site of
contract performance to inspect or investigate the matter of
compliance with the construction safety and health standards
and to carry out the duties of the Secretary under Section 107
of the Contract Work Hours and Safety Standards Act (40
U.S.C. 333).
IX. FALSE STATEMENTS CONCERNING HIGHWAY
PROJECTS
Exhibit I-1
In order to assure high quality and durable construction in
conformity with approved plans and specifications and a high
degree of reliability on statements and representations made by
engineers, contractors, suppliers, and workers on Federal -aid
highway projects, it is essential that all persons concerned with
the project perform their functions as carefully, thoroughly, and
honestly as possible. Willful falsification, distortion, or
misrepresentation with respect to any facts related to the
project is a violation of Federal law. To prevent any
misunderstanding regarding the seriousness of these and
similar acts, the following notice shall be posted on each
Federal -aid highway project (23 CFR 635) in one or more
places where it is readily available to all persons concerned
with the project:
NOTICE TO ALL PERSONNEL ENGAGED ON FEDERAL -
AID HIGHWAY PROJECTS
18 U.S.C. 1020 reads as follows:
Whoever, being an officer, agent, or employee of the United
States, or of any State or Territory, or whoever, whether a
person, association, firm, or corporation, knowingly makes any
false statement, false representation, or false report as to the
character, quality, quantity, or cost of the material used or to be
used, or the quantity or quality of the work performed or to be
performed, or the cost thereof in connection with the submis-
sion of plans, maps, specifications, contracts, or costs of
construction on any highway or related project submitted for
approval to the Secretary of Transportation; or
Whoever knowingly makes any false statement, false
representation, false report or false claim with respect to the
character, quality, quantity, or cost of any work performed or to
be performed, or materials furnished or to be furnished, in
connection with the construction of any highway or related
project approved by the Secretary of Transportation; or
Whoever knowingly makes any false statement or false
representation as to material fact in any statement, certificate,
or report submitted pursuant to provisions of the Federal -aid
Roads Act approved July 1, 19/6, (39 Stat. 355), as amended
and supplemented;
Shall be fined not more that $10,000 or imprisoned not more
than 5 years or both."
X. IMPLEMENTATION OF CLEAN AIR ACT AND FEDERAL
WATER POLLUTION CONTROL ACT
(Applicable to all Federal -aid construction contracts and to all
related subcontracts of $100,000 or more.)
By submission of this bid or the execution of this contract, or
subcontract, as appropriate, the bidder, Federal -aid
construction contractor, or subcontractor, as appropriate, will be
deemed to have stipulated as follows:
1. That any facility that is or will be utilized in the performance
of this contract, unless such contract is exempt under the Clean
Air Act, as amended (42 U.S.C. 1857 et sec ., as amended by
Pub.L. 91-604), and under the Federal Water Pollution Control
Act, as amended (33 U.S.C. 1251 et seq., as amended by
Pub.L. 92-500), Executive Order 11738, and regulations in
implementation thereof (40 CFR 15) is not listed, on the date of
contract award, on the U.S. Environmental Protection Agency
(EPA) List of Violating Facilities pursuant to 40 CFR 15.20.
2. That the firm agrees to comply and remain in compliance
with all the requirements of Section 114 of the Clean Air Act
and Section 308 of the Federal Water Pollution Control Act and
all regulations and guidelines listed thereunder.
3. That the firm shall promptly notify the SHA of the receipt of
any communication from the Director, Office of Federal
Activities, EPA, indicating that a facility that is or will be utilized
for the contract is under consideration to be listed on the EPA
List of Violating Facilities.
4. That the firm agrees to include or cause to be included the
requirements of paragraph 1 through 4 of this Section X in
every nonexempt subcontract, and further agrees to take such
action as the government may direct as a means of enforcing
such requirements.
XI. CERTIFICATION REGARDING DEBARMENT,
SUSPENSION,
INELIGIBILITY AND VOLUNTARY EXCLUSION
1. Instructions for Certification - Primary Covered
Transactions:
(Applicable to all Federal -aid contracts - 49 CFR 29)
a. By signing and submitting this proposal, the
prospective primary participant is providing the certification set
out below.
b. The inability of a person to provide the certification set
out below will not necessarily result in denial of participation in
this covered transaction. The prospective participant shall
submit an explanation of why it cannot provide the certification
set out below. The certification or explanation will be
considered in connection with the department or agency's
determination whether to enter into this transaction. However,
failure of the prospective primary participant to furnish a
certification or an explanation shall disqualify such a person
from participation in this transaction.
c. The certification in this clause is a material
representation of fact upon which reliance was placed when the
department or agency determined to enter into this transaction.
If it is later determined that the prospective primary participant
knowingly rendered an erroneous certification, in addition to
other remedies available to the Federal Government, the
department or agency may terminate this transaction for cause
of default.
d. The prospective primary participant shall provide
immediate written notice to the department or agency to whom
this proposal is submitted if any time the prospective primary
participant teams that its certification was erroneous when
submitted or has become erroneous by reason of changed
circumstances.
e. The terms "covered transaction," "debarred,"
"suspended," "ineligible," "lower tier covered transaction,"
"participant," "person," "primary covered transaction,"
"principal" "proposal," and "voluntarily excluded," as used in
this clause, have the meanings set out in the Definitions and
Coverage sections of rules implementing Executive Order
12549. You may contact the department or agency to which
this proposal is submitted for assistance in obtaining a copy of
those regulations.
f. The prospective primary participant agrees by
submitting this proposal that, should the proposed covered
transaction be entered into, it shall not knowingly enter into any
lower tier covered transaction with a person who is debarred,
suspended, declared ineligible, or voluntarily excluded from
participation in this covered transaction, unless authorized by
the department or agency entering into this transaction.
g. The prospective primary participant further agrees by
submitting this proposal that it will include the clause titled
"Certification Regarding Debarment, Suspension, Ineligibility
and Voluntary Exclusion -Lower Tier Covered Transaction,"
provided by the department or agency entering into this covered
transaction, without modification, in all lower tier covered
Exhibit I-1
transactions and in all solicitations for lower tier covered
transactions.
h. A participant in a covered transaction may rely upon a
certification of a prospective participant in a lower tier covered
transaction that is not debarred, suspended, ineligible, orvolun-
tarily excluded from the covered transaction, unless it knows
that the certification is erroneous. A participant may decide the
method and frequency by which it determines the eligibility of its
principals. Each participant may, but is not required to, check
the non -procurement portion of the "Lists of Parties Excluded
From Federal Procurement or Non -procurement Programs"
(Non -procurement List) which is compiled by the General
Services Administration.
I. Nothing contained in the foregoing shall be construed
to require establishment of a system of records in order to
render in good faith the certification required by this clause.
The knowledge and information of participant is not required to
exceed that which is normally possessed by a prudent person
in the ordinary course of business dealings.
j. Except for transactions authorized under paragraph f of
these instructions, if a participant in a covered transaction
knowingly enters into a lower tier covered transaction with a
person who is suspended, debarred, ineligible, or voluntarily
excluded from participation in this transaction, in addition to
other remedies available to the Federal Government, the
department or agency may terminate this transaction for cause
or default.
Certification Regarding Debarment, Suspension,
Ineligibility and Voluntary Exclusion --Primary Covered
Transactions
1. The prospective primary participant certifies to the best of
its knowledge and belief, that it and its principals:
a. Are not presentlydebarred, suspended, proposed for
debarment, declared ineligible, or voluntarily excluded from
covered transactions by any Federal department or agency;
b. Have not within a 3 -year period preceding this
proposal been convicted of or had a civil judgment rendered
against them for commission of fraud or a criminal offense in
connection with obtaining, attempting to obtain, or performing a
public (Federal, State or local) transaction or contract under a
public transaction; violation of Federal or State antitrust statutes
or commission of embezzlement, theft, forgery, bribery,
falsification or destruction of records, making false statements,
or receiving stolen property;
c. Are not presently indicted for or otherwise criminallyor
civilly charged by a govemmental entity (Federal, State or local)
with commission of any of the offenses enumerated in
paragraph 1 b of this certification; and
d. Have not within a 3 -year period preceding this
application/proposal had one or more public transactions
(Federal, State or local) terminated for cause or default.
2. Where the prospective primary participant is unable to
certify to any of the statements in this certification, such
prospective participant shall attach an explanation to this
proposal.
2. Instructions for Certification - Lower Tier Covered
Transactions:
(Applicable to all subcontracts, purchase orders and other
lower tier transactions of $25,000 or more - 49 CFR 29)
a. By signing and submitting this proposal, the
prospective lower tier is providing the certification set out below.
b. The certification in this clause is a material
representation of fact upon which reliance was placed when
this transaction was entered into. If it is later determined that
the prospective lower tier participant knowingly rendered an
erroneous certification, in addition to other remedies available
to the Federal Government, the department, or agency with
which this transaction originated may pursue available
remedies, including suspension and/or debarment.
c. The prospective lower tier participant shall provide
immediate written notice to the person to which this proposal is
submitted if at any time the prospective lower tier participant
learns that its certification was erroneous by reason of changed
circumstances.
d. The terms "covered transaction," "debarred,"
"suspended" "ineligible," "primary covered transaction,"
"participant," "person," "principal," "proposal" and "voluntarily
excluded," as used in this clause, have the meanings set out in
the Definitions and Coverage sections of rules implementing
Executive Order 12549. You may contact the person to which
this proposal is submitted for assistance in obtaining a copy of
those regulations.
e. The prospective lower tier participant agrees by
submitting this proposal that, should the proposed covered
transaction be entered into, it shall not knowingly enter into any
lower tier covered transaction with a person who is debarred,
suspended, declared ineligible, or voluntarily excluded from
participation in this covered transaction, unless authorized by
the department or agency with which this transaction originated.
f. The prospective lower tier participant further agrees by
submitting this proposal that it will include this clause titled
"Certification Regarding Debarment, Suspension, Ineligibility
and Voluntary Exclusion -Lower Tier Covered Transaction,"
without modification, in all lower tier covered transactions and in
all solicitations for lower tier covered transactions.
g. A participant in a covered transaction may rely upon a
certification of a prospective participant in a lower tier covered
transaction that is not debarred, suspended, ineligible, orvolun-
tartly excluded from the covered transaction, unless it knows
that the certification is erroneous. A participant may decide the
method and frequency by which it determines the eligibility of its
principals. Each participant may, but is not required to, check
the Non -procurement List.
h. Nothing contained in the foregoing shall be construed
to require establishment of a system of records in order to
render in good faith the certification required by this clause.
The knowledge and information of participant is not required to
exceed that which is normally possessed by a prudent person
in the ordinary course of business dealings.
I. Except for transactions authorized under paragraph e
of these instructions, if a participant in a covered transaction
knowingly enters into a lower tier covered transaction with a
person who is suspended, debarred, ineligible, or voluntarily
excluded from participation in this transaction, in addition to
other remedies available to the Federal Government, the
department or agency with which this transaction originated
may pursue available remedies, including suspension and/or
debarment.
Certification Regarding Debarment, Suspension,
Exhibit I-1
Ineligibility and Voluntary Exclusion --Lower Tier Covered
Transactions:
1. The prospective lower tier participant certifies, by
submission of this proposal, that neither it nor its principals is
presently debarred, suspended, proposed for debarment,
declared ineligible, or voluntarily excluded from participation in
this transaction by any Federal department or agency.
2. Where the prospective lower tier participant is unable to
certify to any of the statements in this certification, such
prospective participant shall attach an explanation to this
proposal.
XII. CERTIFICATION REGARDING USE OF CONTRACT
FUNDS OR LOBBYING
(Applicable to all Federal -aid construction contracts and to all
related subcontracts which exceed $100,000 - 49 CFR 20)
1. The prospective participant certifies, by signing and
submitting this bid or proposal, to the best of his or her
knowledge and belief, that:
a. No Federal appropriated funds have been paid or will
be paid, by or on behalf of the undersigned, to any person for
influencing or attempting to influence an officer or employee of
any Federal agency, a Member of Congress, an officer or
employee of Congress, or an employee of a Member of
Congress in connection with the awarding of any Federal
contract, the making of any Federal grant, the making of any
Federal loan, the entering into of any cooperative agreement,
and the extension, continuation, renewal, amendment, or
modification of any Federal contract, grant, loan, or cooperative
agreement.
b. If any funds other than Federal appropriated funds
have been paid or will be paid to any person for influencing or
attempting to influence an officer or employee of any Federal
agency, a Member of Congress, an officer or employee of
Congress, or an employee of a Member of Congress in
connection with this Federal contract, grant, loan, or
cooperative agreement, the undersigned shall complete and
submit Standard Form-LLL, "Disclosure Form to Report
Lobbying," in accordance with its instructions.
2. This certification is a material representation of fact upon
which reliance was placed when this transaction was made or
entered into. Submission of this certification is a prerequisite
for making or entering into this transaction imposed by 31
U.S.C. 1352. Any person who fails to file the required
certification shall be subject to a civil penalty of not less than
$10,000 and not more than $100,000 for each such failure.
3. The prospective participant also agrees by submitting his
or her bid or proposal that he or she shall require that the
language of this certification be included in all lower tier
subcontracts, which exceed $100,000 and that all such
recipients shall certify and disclose accordingly.
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