Item C05 C.5
t, BOARD OF COUNTY COMMISSIONERS
County of Monroe Mayor Sylvia Murphy,District 5
The Florida Keys � � �l'U � Mayor Pro Tern Danny Kolhage,District 1
�pw° Michelle Coldiron,District 2
Heather Carruthers,District 3
David Rice,District 4
County Commission Meeting
June 19, 2019
Agenda Item Number: C.5
Agenda Item Summary #5617
BULK ITEM: Yes DEPARTMENT: Engineering/Roads
TIME APPROXIMATE: STAFF CONTACT: Judith Clarke (305) 295-4329
N/A
AGENDA ITEM WORDING: Approval by Resolution of Florida Department of Transportation
(FDOT) Local Agency Program (LAP) agreement for Federal Highway Administration (FHWA)
Emergency Relief Program grant funds in the amount of$12,850.00 for repairs to street lights on the
Duck Key Drive shared use path.
ITEM BACKGROUND: On September 10, 2017 Hurricane Irma made landfall in the Florida
Keys. Duck Key Drive is designated as a Federal Aid Road, thus eligible repairs are reimbursed by
FHWA.
PREVIOUS RELEVANT BOCC ACTION: none
CONTRACT/AGREEMENT CHANGES:
N/A
STAFF RECOMMENDATION: Approval by Resolution of FDOT LAP Agreement
DOCUMENTATION:
Resolution LAP Duck Key Street Lights Irma 6-19-19 (2)
FM 445366-1 LAP Agreement(2)
FINANCIAL IMPACT:
Effective Date: When executed by FDOT
Expiration Date: May 1, 2020
Total Dollar Value of Contract: $12,850.00
Total Cost to County:
Current Year Portion:
Budgeted:
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C.5
Source of Funds:
CPI:
Indirect Costs:
Estimated Ongoing Costs Not Included in above dollar amounts:
Revenue Producing: If yes, amount:
Grant: $12,850.00
County Match:
Insurance Required:
Additional Details:
REVIEWED BY:
Judith Clarke Completed 05/29/2019 12:08 PM
Christine Limbert Completed 06/03/2019 11:49 AM
Budget and Finance Completed 06/03/2019 12:29 PM
Maria Slavik Completed 06/03/2019 12:42 PM
Kathy Peters Completed 06/03/2019 4:32 PM
Board of County Commissioners Pending 06/19/2019 9:00 AM
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C.5.a
RESOLUTION NO. -2019
A RESOLUTION OF THE BOARD OF COUNTY
COMMISSIONERS OF MONROE COUNTY, FLORIDA,
APPROVING A LOCAL AGENCY PROGRAM
AGREEMENT BETWEEN THE FLORIDA DEPARTMENT
OF TRANSPORTATION AND MONROE COUNTY FOR
FUNDING FOR CONSTRUCTION OF REPAIRS TO
SEVEN STREET LIGHTS ON SHARED USE PATH ON
t DUCK KEY DUE TO HURRICANE IRMA. a�
WHEREAS, the Board of County Commissioners of Monroe County ("COUNTY") has
jurisdiction over and maintains street lights on shared use path, located on Duck Key;and
WHEREAS, the Florida Department of Transportation ("DEPARTMENT") has awarded
Federal Highway Administration (FHWA) Emergency Relief Program funding under a Local
Agency Program (LAP) agreement to the COUNTY for repair of damages to the street lights due
to Hurricane Irma, hereinafter referred to as the"PROJECT",the individual elements of which are
outlined in the attached Exhibit"A", "Project Description and Responsibilities", which is herein
incorporated by reference; and
WHEREAS,the DEPARTMENT has programmed funding for the PROJECT under Financial E
Project Number 445366-I,and has agreed to reimburse the COUNTY for eligible project costs up U)
to a maximum limiting amount, as outlined in the attached Exhibit "B" "Schedule of Funding",
which is herein incorporated by reference; and LM
WHEREAS, the County has agreed to supervise and inspect all aspects of the PROJECT
construction and administration;and
WHEREAS, the parties hereto mutually recognize the need for entering into an Agreement
designating and setting forth the responsibilities of each party; and
WHEREAS, the parties are authorized to enter into this Agreement pursuant to Section
339.08(e)and 339.12, Florida Statutes(F.S.);
NOW, THEREFORE, BE IT RESOLVED by the Board of County Commissioners of
Monroe County, Florida, that:
Section The Local Agency Program (LAP) Agreement between the State of Florida, �
Department of Transportation and Monroe County is hereby approved.
Section 2. Upon execution, this Resolution shall be marked as Exhibit"D"and made a part of
this Local Agency Program (LAP)Agreement.
PASSED AND ADOPTED by the Board of County Commissioners of Monroe
County, Florida at a regular meeting of said board on the 19`h day of June 19,A.D.,2019.
Duck Key Street Lights LAP Agreement
June 19,2019
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C.5.a
Mayor Sylvia Murphy
Mayor Pro Tern Danny Kolhage
Commissioner Michelle Coldiron
Commissioner Heather Carruthers
Commissioner David Rice
(SEAL) BOARD OF COUNTY COMMISSIONERS
Attest: Kevin Madok, Clerk OF MONROE COUNTY, FLORIDA
By........ --
B'y_. .. .� ...
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Deputy Clerk Mayor/Chairperson
MONROE COUNTY ATTORNEY
CHUSTME LIMBBRT-BARROWS
ASSISTANT Ng'y
DATS: s�
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Duck Key Street Lights LAP Agreement
June 19, 2019
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C.5.b
STATE OF FLORIDA DEPARTMENT OF TRANSPORTATION 525-010-40
PROGRAM MANAGEMENT
LOCAL AGENCY PROGRAM AGREEMENT OGC/OOC-12118
Page 1 of 15
FPN:445366-1 FPN; FPN:
Federal No (FAIN)° E172-408-E Federal No (FAIN): Federal No(FAIN):
Federal Award Date: Federal Award Date: Federal Award Date:
Fund: Fund: Fund:
Org Code: Org Code: Org Code;
FLAIR Approp: FLAIR Approp: FLAIR Approp:
FLAIR Obj: FLAIR Obj: FLAIR Obj:1.
County No:90 Monroe Contract No:
Recipient Vendor No: F 596000749-114 Recipient DUNS No: 073876757
Catalog of Federal Domestic Assistance (CFDA): 20.205 Highway Planning and Construction
THIS LOCAL AGENCY PROGRAM AGREEMENT ("Agreement"), is entered into on
by and between the State of Florida Department of Transportation, an agency as
(This date to be entered by DOT only) U)
of the State of Florida ("Department"), and County("Recipient").C v " " .( p )
NOW, THEREFORE, in consideration of the mutual benefits to be derived from joint participation on the Project, the
Parties agree to the following:
1. Authority: The Department is authorized to enter into this Agreement pursuant to Section 339.12, Florida
Statutes. The Recipient by Resolution or other form of official authorization, a copy of which is attached as
Exhibit "D" and made a part of this Agreement, has authorized its officers to execute this Agreement on its
behalf.
2. Purpose of Agreement: The purpose of this Agreement is to provide for the Department's participation in
Hurricane lima -Shared Used Path AlongDuck Ke Drive Fr Us-1 To MM 61, as further described in Exhibit
"A", Project Description and Responsibilities attached to and incorporated in this Agreement ("Project"), to cm
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provide Department financial assistance to the Recipient; state the terms and conditions upon which
Department funds will be provided; and to set forth the manner in which the Project will be undertaken and
completed.
3. Term of Agreement: The Recipient agrees to complete the Project on or before May 1,2020. If the
Recipient does not complete the Project within this time period, this Agreement will expire on the last day of LO
the scheduled completion as provided in this paragraph unless an extension of the time period is requested
by the Recipient and granted in writing by the Department prior to the expiration of this Agreement., Expiration
of this Agreement will be considered termination of the Project. The cost of any work performed after the term .
of this Agreement will not be reimbursed by the Department.
4. Project Cost:
a. The estimated cost of the Project is $ 12 850.00. This amount is based upon the Schedule of Financial
Assistance in Exhibit"B", attached to and incorporated in this Agreement. Exhibit"B" may be modified
by mutual execution of an amendment as provided for in paragraph 5.i.
b. The Department agrees to participate in the Project cost up to the maximum amount of$12 8,00 and
as more fully described in Exhibit "B". This amount includes Federal-aid funds which are limited to the
actual amount of Federal-aid participation. The Department's participation may be increased or reduced
upon determination of the actual bid amounts of the Project by the mutual execution of an amendment.
The Recipient agrees to bear all expenses in excess of the total cost of the Project and any deficits
incurred in connection with the completion of the Project.
c. Project costs eligible for Department participation will be allowed only from the date of this Agreement. It
is understood that Department participation in eligible Project costs is subject to:
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STATE OF FLORIDA DEPARTMENT OF TRANSPORTATION 525-010-40
PROGRAM MANAGEMENT
LOCAL AGENCY PROGRAM AGREEMENT OGCIOOC-12118
Page 2 of 15
i. Legislative approval of the Department's appropriation request in the work program year that the
Project is scheduled to be committed;
ii. Availability of funds as stated in paragraphs 5.1. and 5.m. of this Agreement;
iii. Approval of all plans, specifications, contracts or other obligating documents and all other terms
of this Agreement; and
iv. Department approval of the Project scope and budget at the time appropriation authority
becomes available.
5. Requisitions and Payments
. The Recipient shall provide quantifiable, measurable, and verifiable units of deliverables. Each _
deliverable must specify the required minimum level of service to be performed and the criteria for C
evaluating successful completion. The Project and the quantifiable, measurable, and verifiable units of
deliverables are described more fully in Exhibit"A". U)
b. Invoices shall be submitted by the Recipient in detail sufficient for a proper pre-audit and post-audit based
on the quantifiable, measurable and verifiable units of deliverables as established in Exhibit"A".
Deliverables must be received and accepted in writing by the Department's Project Manager prior to
payments. Requests for reimbursement by the Recipient shall include an invoice, progress report and
supporting documentation for the period of services being billed that are acceptable to the Department.
The Recipient shall use the format for the invoice and progress report that is approved by the
Department,
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c. The Recipient shall charge to the Project account all eligible costs of the Project except costs agreed to
be borne by the Recipient or its contractors and subcontractors. Costs in excess of the programmed
funding or attributable to actions which have not received the required approval of the Department shall
not be considered eligible costs. All costs charged to the Project, including any approved services
contributed by the Recipient or others, shall be supported by properly executed payrolls, time records,
invoices, contracts or vouchers evidencing in proper detail the nature and propriety of the charges.
d. Supporting documentation must establish that the deliverables were received and accepted in writing by
the Recipient and must also establish that the required minimum level of service to be performed based
on the criteria for evaluating successful completion as specified in Exhibit "A" was met. All costs LO
invoiced shall be supported by properly executed payrolls, time records, invoices, contracts or vouchers Iq
evidencing in proper detail the nature and propriety of charges as described in Exhibit "F", Contract
Payment Requirements.
e. Bills for travel expenses specifically authorized in this Agreement shall be submitted on the Department's E
Contractor Travel Form No. 300-000-06 and will be paid in accordance with Section 112.061, Florida
Statutes and the most current version of the Disbursement Handbook for Employees and Managers.
f. Payment shall be made only after receipt and approval of goods and services unless advance payments
are authorized by the Chief Financial Officer of the State of Florida under Chapters 215 and 216, Florida
Statutes or the Department's Comptroller under Section 334.044(29), Florida Statutes.
E, If this box is selected, advance payment is authorized for this Agreement and Exhibit "H",
Alternative Advance Payment Financial Provisions is attached and incorporated into this
Agreement.
If the Department determines that the performance of the Recipient is unsatisfactory, the Department
shall notify the Recipient of the deficiency to be corrected, which correction shall be made within a time-
frame to be specified by the Department. The Recipient shall, within thirty (30) days after notice from the
Department, provide the Department with a corrective action plan describing how the Recipient will
address all issues of contract non-performance, unacceptable performance, failure to meet the minimum
performance levels, deliverable deficiencies, or contract non-compliance. If the corrective action plan is
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C.5.b
STATE OF FLORIDA DEPARTMENT OF TRANSPORTATION 525-010-40
PROGRAM MANAGEMENT
LOCAL AGENCY PROGRAM AGREEMENT OGC/OOC-12/18
Page 3 of 16
unacceptable to the Department, the Recipient will not be reimbursed to the extent of the non-
performance. The Recipient will not be reimbursed until the Recipient resolves the deficiency. If the
deficiency is subsequently resolved, the Recipient may bill the Department for the unpaid reimbursement
request(s) during the next billing period. If the Recipient is unable to resolve the deficiency, the funds
shall be forfeited at the end of the Agreement's term.
g. Agencies providing goods and services to the Department should be aware of the following time frames.
Inspection and approval of goods or services shall take no longer than 20 days from the Department's
receipt of the invoice. The Department has 20 days to deliver a request for payment (voucher) to the
Department of Financial Services. The 20 days are measured from the latter of the date the invoice is
received or the goods or services are received, inspected, and approved.
If a payment is not available within 40 days, a separate interest penalty at a rate as established pursuant
to Section 55.03(1), F.S., will be due and payable, in addition to the invoice amount, to the Recipient. _
Interest penalties of less than one (1) dollar will not be enforced unless the Recipient requests payment. CL
Invoices that have to be returned to an Recipient because of Recipient preparation errors will result in a
delay in the payment. The invoice payment requirements do not start until a properly completed invoice U)
is provided to the Department.
A Vendor Ombudsman has been established within the Department of Financial Services. The duties of
this individual include acting as an advocate for Agencies who may be experiencing problems in obtaining
timely payment(s)from a state agency. The Vendor Ombudsman may be contacted at(850)413-5516. -19
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h. The Recipient shall maintain an accounting system or separate accounts to ensure funds and projects are
tracked separately. Records of costs incurred under the terms of this Agreement shall be maintained and
made available upon request to the Department at all times during the period of this Agreement and for
five years after final payment is made. Copies of these documents and records shall be furnished to the
Department upon request. Records of costs incurred include the Recipient's general accounting records
and the project records, together with supporting documents and records, of the contractor and all °8
subcontractors performing work on the project, and all other records of the Contractor and subcontractors
considered necessary by the Department for a proper audit of costs.
i. Prior to the execution of this Agreement, a Project schedule of funding shall be prepared by the Recipient
and approved by the Department. The Recipient shall maintain said schedule of funding, carry out the
Project, and shall incur obligations against and make disbursements of Project funds only in conformity
with the latest approved schedule of funding for the Project. The schedule of funding may be revised by LO
execution of a Local Agency Program ("LAP") Supplemental Agreement between the Department and the Iq
Recipient. The Recipient acknowledges and agrees that funding for this project may be reduced upon
determination of the Recipient's contract award amount.
j. If, after Project completion, any claim is made by the Department resulting from an audit or for work or E
services performed pursuant to this Agreement, the Department may offset such amount from payments
due for work or services done under any agreement which it has with the Recipient owing such amount if,
upon demand, payment of the amount is not made within 60 days to the Department. Offsetting any
amount pursuant to this paragraph shall not be considered a breach of contract by the Department.
k. The Recipient must submit the final invoice on the Project to the Department within 120 days after the
completion of the Project. Invoices submitted after the 120-day time period may not be paid.
I. The Department's performance and obligation to pay under this Agreement is contingent upon an annual
appropriation by the Legislature. If the Department's funding for this Project is in multiple fiscal years,
funds approval from the Department's Comptroller must be received each fiscal year prior to costs being
incurred. See Exhibit "B" for funding levels by fiscal year. Project costs utilizing these fiscal year funds
are not eligible for reimbursement if incurred prior to funds approval being received. The Department will
notify the Recipient, in writing, when funds are available.
m. In the event this Agreement is in excess of$25,000 and has a term for a period of more than one year,
the provisions of Section 339.135(6)(a), Florida Statutes, are hereby incorporated:
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STATE OF FLORIDA DEPARTMENT OF TRANSPORTATION 525-010-40
PROGRAM MANAGEMENT
LOCAL AGENCY PROGRAM AGREEMENT OGC/OOG12n®
Page 4 of 15
"The Department, during any fiscal year, shall not expend money, incur any liability, or
enter into any contract which, by its terms, involves the expenditure of money in excess
of the amounts budgeted as available for expenditure during such fiscal year. Any
contract, verbal or written, made in violation of this subsection is null and void, and no
money may be paid on such contract. The Department shall require a statement from the
comptroller of the Department that funds are available prior to entering into any such
contract or other binding commitment of funds. Nothing herein contained shall prevent
the making of contracts for periods exceeding 1 year, but any contract so made shall be
executory only for the value of the services to be rendered or agreed to be paid for in
succeeding fiscal years, and this paragraph shall be incorporated verbatim in all contracts
of the Department which are for an amount in excess of$25,000 and which have a term
for a period of more than 1 year."
6. Department Payment Obligations: CL
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Subject to other provisions of this Agreement, the Department will honor requests for reimbursement to the Recipient W
pursuant to this Agreement. However, notwithstanding any other provision of this Agreement, the Department may elect
by notice in writing not to make a payment if:
a. The Recipient shall have made misrepresentation of a material nature in its application, or any supplement or 0
amendment to its application, or with respect to any document or data furnished with its application or pursuant to
this Agreement;
b. There is any pending litigation with respect to the performance by the Recipient of any of its duties or obligations .�
which may jeopardize or adversely affect the Project, the Agreement or payments to the Project;
c. The Recipient shall have taken any action pertaining to the Project which, under this Agreement, requires the
approval of the Department or has made a related expenditure or incurred related obligations without having been 0
advised by the Department that same are approved;
d. There has been any violation of the conflict of interest provisions contained in paragraph 141; or
e. The Recipient has been determined by the Department to be in default under any of the provisions of the 17
Agreement.
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The Department may suspend or terminate payment for that portion of the Project which the Federal Highway Iq
Administration ("FHWA"), or the Department acting in lieu of FHWA, may designate as ineligible for Federal-aid.
In determining the amount of the payment, the Department will exclude all Project costs incurred by the Recipient prior to
the Department's issuance of a Notice to Proceed ("NTP"), costs incurred after the expiration of the Agreement, costs
which are not provided for in the latest approved schedule of funding in Exhibit "B" for the Project, costs agreed to be
borne by the Recipient or its contractors and subcontractors for not meeting the Project commencement and final invoice
time lines, and costs attributable to goods or services received under a contract or other arrangements which have not
been approved in writing by the Department.
7. General Requirements:
The Recipient shall complete the Project with all practical dispatch, in a sound, economical, and efficient manner, and in
accordance with the provisions in this Agreement, and all applicable laws. The Project will be performed in accordance
with all applicable Department procedures, guidelines, manuals, standards, and directives as described in the
Department's Lgcal Agency Program Manual (FDOT Topic No. 525-010-300), which by this reference is made a part of
this Agreement. Time is of the essence as to each and every obligation under this Agreement.
a. A full time employee of the Recipient, qualified to ensure that the work being pursued is complete,
accurate, and consistent with the terms, conditions, and specifications of this Agreement shall be in
responsible charge of the Project, which employee should be able to perform the following duties and
functions:
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C.5.b
STATE OF FLORIDA DEPARTMENT OF TRANSPORTATION 525-010-40
PROGRAM MANAGEMENT
LOCAL AGENCY PROGRAM AGREEMENT OGC/OOC-12/18
Page 5 of 15
i. Administers inherently governmental project activities, including those dealing with cost, time,
adherence to contract requirements, construction quality and scope of Federal-aid projects;
ii. Maintains familiarity of day to day Project operations, including Project safety issues;
Ill. Makes or participates in decisions about changed conditions or scope changes that require
change orders or supplemental agreements;
iv. Visits and reviews the Project on a frequency that is commensurate with the magnitude and
complexity of the Project;
v. Reviews financial processes, transactions and documentation to ensure that safeguards are in
place to minimize fraud, waste, and abuse;
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vi. Directs Project staff, agency or consultant, to carry out Project administration and contract
oversight, including proper documentation;
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vii. Is aware of the qualifications, assignments and on-the-job performance of the Recipient and
consultant staff at all stages of the Project.
b. Once the Department issues the NTP for the Project, the Recipient shall be obligated to submit an invoice
or other request for reimbursement to the Department no less than once every 90 days (quarterly),
beginning from the day the NTP is issued. If the Recipient fails to submit quarterly invoices to the
Department, and in the event the failure to timely submit invoices to the Department results in the FHWA .�
removing any unbilled funding or the loss of state appropriation authority (which may include the loss of
state and federal funds, if there are state funds programmed to the Project), then the Recipient will be
solely responsible to provide all funds necessary to complete the Project and the Department will not be
obligated to provide any additional funding for the Project. The Recipient waives the right to contest such
removal of funds by the Department, if the removal is related to FHWA's withdrawal of funds or if the
removal is related to the loss of state appropriation authority. In addition to the loss of funding for the
Project, the Department will also consider the de-certification of the Recipient for future LAP Projects. No
cost may be incurred under this Agreement until after the Recipient has received a written NTP from the
Department. The Recipient agrees to advertise or put the Project out to bid thirty (30) days from the date 17
the Department issues the NTP to advertise the Project. If the Recipient is not able to meet the
scheduled advertisement, the Department District LAP Administrator should be notified as soon as LO
possible. Iq
c. If all funds are removed from the Project, including amounts previously billed to the Department and
reimbursed to the Recipient, and the Project is off the State Highway System, then the Department will
have to request repayment for the previously billed amounts from the Recipient. No state funds can be E
used on off-system projects, unless authorized pursuant to Exhibit "I", State Funds Addendum, which
will be attached to and incorporated in this Agreement in the event state funds are used on the Project.
d. In the event that any election, referendum, approval, permit, notice or other proceeding or authorization is
required under applicable law to enable the Recipient to enter into this Agreement or to undertake the
Project or to observe, assume or carry out any of the provisions of the Agreement, the Recipient will
initiate and consummate, as provided by law, all actions necessary with respect to any such matters.
e. The Recipient shall initiate and prosecute to completion all proceedings necessary, including Federal-aid
requirements, to enable the Recipient to provide the necessary funds for completion of the Project.
f. The Recipient shall submit to the Department such data, reports, records, contracts, and other documents
relating to the Project as the Department and FHWA may require. The Recipient shall make such
submissions using Department-designated information systems.
g. Federal-aid funds shall not participate in any cost which is not incurred in conformity with applicable
federal and state laws, the regulations in 23 Code of Federal Regulations (C.F.R.) and 49 C.F.R., and
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C.5.b
STATE OF FLORIDA DEPARTMENT OF TRANSPORTATION 525-010-40
PROGRAM MANAGEMENT
LOCAL AGENCY PROGRAM AGREEMENT OGC/OOG12/10
Page 6 of 15
policies and procedures prescribed by the Division Administrator of FHWA. Federal funds shall not be
paid on account of any cost incurred prior to authorization by FHWA to the Department to proceed with
the Project or part thereof involving such cost(23 C.F.R. 1.9 (a)). If FHWA or the Department determines
that any amount claimed is not eligible, federal participation may be approved in the amount determined
to be adequately supported and the Department shall notify the Recipient in writing citing the reasons why
items and amounts are not eligible for federal participation, Where correctable non-compliance with
provisions of law or FHWA requirements exists federal funds may be withheld until compliance is
obtained. Where non-compliance is not correctable, FHWA or the Department may deny participation in
parcel or Project costs in part or in total. For any amounts determined to be ineligible for federal
reimbursement for which the Department has advanced payment, the Recipient shall promptly reimburse
the Department for all such amounts within 90 days of written notice.
h. For any project requiring additional right-of-way, the Recipient must submit to the Department an annual
report of its real property acquisition and relocation assistance activities on the project. Activities shall be
reported on a federal fiscal year basis, from October 1 through September 30. The report must be
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prepared using the format prescribed in 49 C.F.R. Part 24, Appendix B, and be submitted to the 0
Department no later than October 15 of each year. W
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8. Audit Reports:
The administration of resources awarded through the Department to the Recipient by this Agreement may be subject to
audits and/or monitoring by the Department. The following requirements do not limit the authority of the Department to
conduct or arrange for the conduct of additional audits or evaluations of federal awards or limit the authority of any state
agency inspector general, the State of Florida Auditor General, or any other state official. The Recipient shall comply with
all audit and audit reporting requirements as specified below.
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a. In addition to reviews of audits conducted in accordance with 2 CFR Part 200, Subpart F —Audit Requirements,
monitoring procedures may include, but not be limited to, on-site visits by Department staff and/or other E
procedures including, reviewing any required performance and financial reports, following up, ensuring corrective 0
action, and issuing management decisions on weaknesses found through audits when those findings pertain to
federal awards provided through the Department by this Agreement. By entering into this Agreement, the
Recipient agrees to comply and cooperate fully with any monitoring procedures/processes deemed appropriate by
the Department. The Recipient further agrees to comply and cooperate with any inspections, reviews,
investigations, or audits deemed necessary by the Department, State of Florida Chief Financial Officer("CFO"), or
State of Florida Auditor General.
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b. The Recipient, a non-federal entity as defined by 2 CFR Part 200, as a subrecipient of a federal award awardedIq
by the Department through this Agreement is subject to the following requirements:
i. In the event the Recipient expends a total amount of federal awards equal to or in excess of the threshold
established by 2 CFR Part 200, Subpart F —Audit Requirements, the Recipient must have a federal single or
program-specific audit for such fiscal year conducted in accordance with the provisions of 2 CFR Part 200,
Subpart F — Audit Requirements. Exhibit "E" to this Agreement provides the required federal award
identification information needed by the Recipient to further comply with the requirements of 2 CFR Part 200,
Subpart F—Audit Requirements. In determining federal awards expended in a fiscal year, the Recipient must
consider all sources of federal awards based on when the activity related to the federal award occurs,
including the federal award provided through the Department by this Agreement. The determination of
amounts of federal awards expended should be in accordance with the guidelines established by 2 CFR Part
200, Subpart F — Audit Requirements. An audit conducted by the State of Florida Auditor General in
accordance with the provisions of 2 CFR Part 200, Subpart F — Audit Requirements, will meet the
requirements of this part.
ii. In connection with the audit requirements, the Recipient shall fulfill the requirements relative to the auditee
responsibilities as provided in 2 CFR Part 200, Subpart F—Audit Requirements.
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STATE OF FLORIDA DEPARTMENT OF TRANSPORTATION 525-010-40
PROGRAM MANAGEMENT
LOCAL AGENCY PROGRAM AGREEMENT OGC/OOC-12/18
Page 7 of 15
III. In the event the Recipient expends less than the threshold established by 2 CFR Part 200, Subpart F —Audit
Requirements, in federal awards, the Recipient is exempt from federal audit requirements for that fiscal year.
However, the Recipient must provide a single audit exemption statement to the Department at
F &OTSin leAu it�d t,sfate.fl.Lis no later than nine months after the end of the Recipient's audit period for
each applicable audit year. In the event the Recipient expends less than the threshold established by 2 CFR
Part 200, Subpart F — Audit Requirements, in federal awards in a fiscal year and elects to have an audit
conducted in accordance with the provisions of 2 CFR Part 200, Subpart F —Audit Requirements, the cost of
the audit must be paid from non-federal resources (i.e., the cost of such an audit must be paid from the
Recipient's resources obtained from other than federal entities).
iv. The Recipient must electronically submit to the Federal Audit Clearinghouse ("FAC") at
ltt s°iiharvester,census. ov/facwebl the audit reporting package as required by 2 CFR Part 200, Subpart F —
Audit Requirements, within the earlier of 30 calendar days after receipt of the auditor's report(s) or nine
months after the end of the audit period. The FAC is the repository of record for audits required by 2 CFR Part
200, Subpart F —Audit Requirements, and this Agreement. However, the Department requires a copy of the
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audit reporting package also be submitted to F7TSin IeAudit dct state.fl.us within the earlier of 30 0
calendar days after receipt of the auditor's report(s) or nine months after the end of the audit period as f)
required by 2 CFR Part 200, Subpart F—Audit Requirements.
V. Within six months of acceptance of the audit report by the FAC, the Department will review the Recipient's
audit reporting package, including corrective action plans and management letters, to the extent necessary to
determine whether timely and appropriate action on all deficiencies has been taken pertaining to the federal
award provided through the Department by this Agreement. If the Recipient fails to have an audit conducted
in accordance with 2 CFR Part 200, Subpart F —Audit Requirements, the Department may impose additional
conditions to remedy noncompliance. If the Department determines that noncompliance cannot be remedied .�
by imposing additional conditions, the Department may take appropriate actions to enforce compliance, which
actions may include but not be limited to the following:
1. Temporarily withhold cash payments pending correction of the deficiency by the Recipient
or more severe enforcement action by the Department;
2. Disallow (deny both use of funds and any applicable matching credit for) all or part of the
cost of the activity or action not in compliance;
3. Wholly or partly suspend or terminate the federal award;
4. Initiate suspension or debarment proceedings as authorized under 2 C.F.R. Part 180 and
federal awarding agency regulations (or in the case of the Department, recommend such a
proceeding be initiated by the federal awarding agency); LO
5. Withhold further federal awards for the Project or program;
6. Take other remedies that may be legally available.
vi. As a condition of receiving this federal award, the Recipient shall permit the Department or its designee, the
CFO, or State of Florida Auditor General access to the Recipient's records including financial statements, the E
independent auditor's working papers, and project records as necessary. Records related to unresolved audit
findings, appeals, or litigation shall be retained until the action is complete or the dispute is resolved.
vii. The Department's contact information for requirements under this part is as follows:
Office of Comptroller, MS 24
605 Suwannee Street
Tallahassee, Florida 32399-0450
DO Sin f&AA doLsiate,fN !
c. The Recipient shall retain sufficient records demonstrating its compliance with the terms of this Agreement for a
period of five years from the date the audit report is issued and shall allow the Department or its designee, the CFO,
or State of Florida Auditor General access to such records upon request. The Recipient shall ensure that the audit
working papers are made available to the Department or its designee, the CFO, or State of Florida Auditor General
upon request for a period of five years from the date the audit report is issued, unless extended in writing by the
Department.
Packet Pg. 213
C.5.b
STATE OF FLORIDA DEPARTMENT OF TRANSPORTATION 525-010-40
PROGRAM MANAGEMENT
LOCAL AGENCY PROGRAM AGREEMENT OGC/OOC-12/18
Page 8 of 15
S. Termination or Suspension of Project:
The Department may, by written notice to the Recipient, suspend any or all of the Department's obligations under this
Agreement for the Recipient's failure to comply with applicable law or the terms of this Agreement until such time as the
event or condition resulting in such suspension has ceased or been corrected.
a. If the Department intends to terminate the Agreement, the Department shall notify the Recipient of such
termination in writing at least thirty(30) days prior to the termination of the Agreement, with instructions to
the effective date of termination or specify the stage of work at which the Agreement is to be terminated.
b. The Parties to this Agreement may terminate this Agreement when its continuation would not produce
beneficial results commensurate with the further expenditure of funds. In this event, the Parties shall
agree upon the termination conditions.
c. If the Agreement is terminated before performance is completed, the Recipient shall be paid only for that C
work satisfactorily performed for which costs can be substantiated. Such payment, however, may not
exceed the equivalent percentage of the Department's maximum financial assistance. If any portion of the U)
Project is located on the Department's right-of-way, then all work in progress on the Department right-of-
way will become the property of the Department and will be turned over promptly by the Recipient.
d. In the event the Recipient fails to perform or honor the requirements and provisions of this Agreement,
the Recipient shall promptly refund in full to the Department within thirty (30) days of the termination of
the Agreement any funds that were determined by the Department to have been expended in violation of
the Agreement.
e. The Department reserves the right to unilaterally cancel this Agreement for failure by the Recipient to
comply with the Public Records provisions of Chapter 119, Florida Statutes.
10. Contracts of the Recipient:
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a. Except as otherwise authorized in writing by the Department, the Recipient shall not execute any contract
or obligate itself in any manner requiring the disbursement of Department funds, including consultant or
construction contracts or amendments thereto, with any third party with respect to the Project without the
written approval of the Department. Failure to obtain such approval shall be sufficient cause for
nonpayment by the Department. The Department specifically reserves the right to review the
qualifications of any consultant or contractor and to approve or disapprove the employment of such LO
consultant or contractor.
b. It is understood and agreed by the parties to this Agreement that participation by the Department in a
project with the Recipient, where said project involves a consultant contract for engineering, architecture
or surveying services, is contingent on the Recipient's complying in full with provisions of Section
287.055, Florida Statutes, Consultants' Competitive Negotiation Act, the federal Brooks Act, 23 C.F.R.
172, and 23 U.S.C. 112. At the discretion of the Department, the Recipient will involve the Department in
the consultant selection process for all projects funded under this Agreement. In all cases, the Recipient
shall certify to the Department that selection has been accomplished in compliance with the Consultants'
Competitive Negotiation Act and the federal Brooks Act.
c. The Recipient shall comply with, and require its consultants and contractors to comply with applicable
federal law pertaining to the use of Federal-aid funds. The Recipient shall comply with the provisions in
the FHWA-1273 form as set forth in Exhibit "G", FHWA 1273 attached to and incorporated in this
Agreement. The Recipient shall include FHWA-1273 in all contracts with contractors performing work on
the Project.
11. Disadvantaged Business Enterprise(DBE) Policy and Obligation:
It is the policy of the Department that DBE's, as defined in 49 C.F.R. Part 26, as amended, shall have the opportunity to
participate in the performance of contracts financed in whole or in part with Department funds under this Agreement. The
DBE requirements of applicable federal and state laws and regulations apply to this Agreement.
Packet Pg. 214
C.5.b
STATE OF FLORIDA DEPARTMENT OF TRANSPORTATION 525-010-40
PROGRAM MANAGEMENT
LOCAL AGENCY PROGRAM AGREEMENT OGC/OOC-12/18
Page 9 of 15
The Recipient and its contractors agree to ensure that DBE's have the opportunity to participate in the performance of this
Agreement. In this regard, all recipients and contractors shall take all necessary and reasonable steps in accordance with
applicable federal and state laws and regulations to ensure that the DBE's have the opportunity to compete for and
perform contracts. The Recipient and its contractors and subcontractors shall not discriminate on the basis of race, color,
national origin or sex in the award and performance of contracts, entered pursuant to this Agreement.
12. Compliance with Conditions and Laws:
The Recipient shall comply and require its contractors and subcontractors to comply with all terms and conditions of this
Agreement and all federal, state, and local laws and regulations applicable to this Project. Execution of this Agreement
constitutes a certification that the Recipient is in compliance with, and will require its contractors and subcontractors to
comply with, all requirements imposed by applicable federal, state, and local laws and regulations, including the
"Certification Regarding Debarment, Suspension, Ineligibility and Voluntary Exclusion — Lower Tier Covered
Transactions," in 49 C.F.R. Part 29, and 2 C.F.R. Part 200 when applicable.
13. Performance Evaluations: U)
Recipients are evaluated on a project-by-project basis. The evaluations provide information about oversight needs and
provide input for the recertification process. Evaluations are submitted to the Recipient's person in responsible charge or
designee as part of the Project closeout process. The Department provides the evaluation to the Recipient no more than
30 days after final acceptance.
a. Each evaluation will result in one of three ratings. A rating of Unsatisfactory Performance means the
Recipient failed to develop the Project in accordance with applicable federal and state regulations,
standards and procedures, required excessive District involvement/oversight, or the Project was brought
in-house by the Department. A rating of Satisfactory Performance means the Recipient developed the
Project in accordance with applicable federal and state regulations, standards and procedures, with
minimal District involvement/oversight. A rating of Above Satisfactory Performance means the Recipient 0
developed the Project in accordance with applicable federal and state regulations, standards and
procedures, and the Department did not have to exceed the minimum oversight and monitoring
requirements identified for the project.
b. The District will determine which functions can be further delegated to Recipients that continuously earn
Satisfactory and Above Satisfactory evaluations.
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14. Restrictions, Prohibitions, Controls, and Labor Provisions: Iq
During the performance of this Agreement, the Recipient agrees as follows, and agrees to require its contractors and
subcontractors to include in each subcontract the following provisions:
a. The Recipient will comply with all the requirements imposed by Title VI of the Civil Rights Act of 1964, the
regulations of the U.S. Department of Transportation issued thereunder, and the assurance by the
Recipient pursuant thereto. The Recipient shall include the attached Exhibit "C", Title VI Assurances in
all contracts with consultants and contractors performing work on the Project that ensure compliance with
Title VI of the Civil Rights Act of 1964, 49 C.F.R. Part 21, and related statutes and regulations.
b. The Recipient will comply with all the requirements as imposed by the ADA, the regulations of the Federal
Government issued thereunder, and assurance by the Recipient pursuant thereto.
c. A person or affiliate who has been placed on the convicted vendor list following a conviction for a public
entity crime may not submit a bid on a contract to provide any goods or services to a public entity; may
not submit a bid on a contract with a public entity for the construction or repair of a public building or
public work; may not submit bids on leases of real property to a public entity; may not be awarded or
perform work as a contractor, supplier, subcontractor or consultant under a contract with any public entity;
and may not transact business with any public entity in excess of the threshold amount provided in
Section 287.017, Florida Statutes, for CATEGORY TWO for a period of 36 months from the date of being
placed on the convicted vendor list.
Packet Pg. 215
C.5.b
STATE OF FLORIDA DEPARTMENT OF TRANSPORTATION 525-010-40
PROGRAM MANAGEMENT
LOCAL AGENCY PROGRAM AGREEMENT OGOfoOG12/18
Page 10 of 15
d. In accordance with Section 287.134, Florida Statutes, an entity or affiliate who has been placed on the
Discriminatory Vendor List, kept by the Florida Department of Management Services, may not submit a
bid on a contract to provide goods or services to a public entity; may not submit a bid on a contract with a
public entity for the construction or repair of a public building or public work; mar not submit bids on
leases of real property to a public entity; may not be awarded or perform work as a contractor, supplier,
subcontractor or consultant under a contract with any public entity; and may not transact business with
any public entity.
e. An entity or affiliate who has had its Certificate of Qualification suspended, revoked, denied or have
further been determined by the Department to be a non-responsible contractor may not submit a bid or
perform work for the construction or repair of a public building or public work on a contract with the
Recipient.
f. Neither the Recipient nor any of its contractors or their subcontractors shall enter into any contract, _
subcontract or arrangement in connection with the Project or any property included or planned to be
included in the Project in which any member, officer or employee of the Recipient or the locality during
tenure or for 2 years thereafter has any interest, direct or indirect. If any such present or former member, U)
officer or employee involuntarily acquires or had acquired prior to the beginning of tenure any such
interest, and if such interest is immediately disclosed to the Recipient, the Recipient, with prior approval of
the Department, may waive the prohibition contained in this paragraph provided that any such present
member, officer or employee shall not participate in any action by the Recipient or the locality relating to
such contract, subcontract or arrangement. The Recipient shall insert in all contracts entered into in
connection with the Project or any property included or planned to be included in any Project, and shall
require its contractors to insert in each of their subcontracts, the following provision:
"No member, officer or employee of the Recipient or of the locality during his tenure or for 2 years
thereafter shall have any interest, direct or indirect, in this contract or the proceeds thereof."
The provisions of this paragraph shall not be applicable to any agreement between the Recipient and its
fiscal depositories or to any agreement for utility services the rates for which are fixed or controlled by a
governmental agency.
g. No member or delegate to the Congress of the United States shall be admitted to any share or part of this
Agreement or any benefit arising therefrom.
15. Indemnification and Insurance: LO
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a. It is specifically agreed between the parties executing this Agreement that it is not intended by any of the
provisions of any part of this Agreement to create in the public or any member thereof, a third-party
beneficiary under this Agreement, or to authorize anyone not a party to this Agreement to maintain a suit
for personal injuries or property damage pursuant to the terms or provisions of this Agreement. The
Recipient guarantees the payment of all just claims for materials, supplies, tools, or labor and other just
claims against the Recipient or any subcontractor, in connection with this Agreement.
b. To the extent provided by law, Recipient shall indemnify, defend, and hold harmless the Department
against any actions, claims, or damages arising out of, relating to, or resulting from negligent or wrongful
act(s) of Recipient, or any of its officers, agents, or employees, acting within the scope of their office or
employment, in connection with the rights granted to or exercised by Recipient hereunder, to the extent
and within the limitations of Section 768.28, Florida Statutes. The foregoing indemnification shall not
constitute a waiver of sovereign immunity beyond the limits set forth in Florida Statutes, Section 768.28,
nor shall the same be construed to constitute agreement by Recipient to indemnify the Department for the
negligent acts or omissions of the Department, its officers, agents, or employees, or for the acts of third
parties. Nothing herein shall be construed as consent by Recipient to be sued by third parties in any
manner arising out of this Agreement. This indemnification shall survive the termination of this
Agreement.
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C.5.b
STATE OF FLORIDA DEPARTMENT OF TRANSPORTATION 525-010-40
PROGRAM MANAGEMENT
LOCAL AGENCY PROGRAM AGREEMENT OGC/OOC-12/18
Page 11 of 15
c. Recipient agrees to include the following indemnification in all contracts with contractors, subcontractors,
consultants, or subconsultants (each referred to as "Entity" for the purposes of the below indemnification)
who perform work in connection with this Agreement:
"To the extent provided by law, [ENTITY] shall indemnify, defend, and hold harmless the
[RECIPIENT] and the State of Florida, Department of Transportation, including the Department's
officers, agents, and employees, against any actions, claims, or damages arising out of, relating
to, or resulting from negligent or wrongful act(s) of [ENTITY], or any of its officers, agents, or
employees, acting within the scope of their office or employment, in connection with the rights
granted to or exercised by [ENTITY] hereunder, to the extent and within the limitations of Section
768.28, Florida Statutes.
The foregoing indemnification shall not constitute a waiver of sovereign immunity beyond the
limits set forth in Florida Statutes, Section 768.28. Nor shall the same be construed to constitute
agreement by [ENTITY] to indemnify [RECIPIENT] for the negligent acts or omissions of C
[RECIPIENT], its officers, agents, or employees, or third parties. Nor shall the same be
construed to constitute agreement by [ENTITY] to indemnify the Department for the negligent U)
acts or omissions of the Department, its officers, agents, or employees, or third parties. This
indemnification shall survive the termination of this Agreement."
16. Maintenance Obligations: In the event the Project includes construction then the following provisions are
incorporated into this Agreement:
a. The Recipient agrees to maintain any portion of the Project not located on the State Highway System
constructed under this Agreement for its useful life. If the Recipient constructs any improvement on
Department right-of-way, the Recipient
® shall
❑ shall not °8
maintain the improvements located on the Department right-of-way for their useful life. If the Recipient is
required to maintain Project improvements located on the Department right-of-way beyond final CL
acceptance, then Recipient shall, prior to any disbursement of the state funding provided under this
Agreement, also execute a Maintenance Memorandum of Agreement in a form that is acceptable to the 17
Department. The Recipient has agreed to the foregoing by resolution, and such resolution is attached and
incorporated into this Agreement as Exhibit "D". This provision will survive termination of this
LO
Agreement. Iq
17. Miscellaneous Provisions;
a. The Recipient will be solely responsible for compliance with all applicable environmental regulations, for
any liability arising from non-compliance with these regulations, and will reimburse the Department for any
loss incurred in connection therewith. The Recipient will be responsible for securing any applicable
permits. The Recipient shall include in all contracts and subcontracts for amounts in excess of$150,000,
a provision requiring compliance with all applicable standards, orders or regulations issued pursuant to
the Clean Air Act (42 U.S.C. 7401-7671q) and the Federal Water Pollution Control Act as amended (33
U.S.C. 1251-1387).
b. The Department shall not be obligated or liable hereunder to any individual or entity not a party to this
Agreement.
c. In no event shall the making by the Department of any payment to the Recipient constitute or be
construed as a waiver by the Department of any breach of covenant or any default which may then exist
on the part of the Recipient and the making of such payment by the Department, while any such breach
or default shall exist, shall in no way impair or prejudice any right or remedy available to the Department
with respect to such breach or default.
Packet Pg. 217
C.5.b
STATE OF FLORIDA DEPARTMENT OF TRANSPORTATION 525-010-40
LOCAL AGENCY PROGRAM AGREEMENT PROGRA6ccOOG-12i®
Page 12 of 15
d. If any provision of this Agreement is held invalid, the remainder of this Agreement shall not be affected.
In such an instance, the remainder would then continue to conform to the terms and requirements of
applicable law.
e. By execution of the Agreement, the Recipient represents that it has not paid and, also agrees not to pay,
any bonus or commission for the purpose of obtaining an approval of its application for the financing
hereunder.
f. Nothing in the Agreement shall require the Recipient to observe or enforce compliance with any provision
or perform any act or do any other thing in contravention of any applicable state law. If any of the
provisions of the Agreement violate any applicable state law, the Recipient will at once notify the
Department in writing in order that appropriate changes and modifications may be made by the
Department and the Recipient to the end that the Recipient may proceed as soon as possible with the
Project.
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g. In the event that this Agreement involves constructing and equipping of facilities, the Recipient shall
submit to the Department for approval all appropriate plans and specifications covering the Project. The U)
Department will review all plans and specifications and will issue to the Recipient a written approval with
any approved portions of the Project and comments or recommendations covering any remainder of the
Project deemed appropriate. After resolution of these comments and recommendations to the
Department's satisfaction, the Department will issue to the Recipient a written approval with said
remainder of the Project. Failure to obtain this written approval shall be sufficient cause of nonpayment
by the Department.
h. Upon completion of right-of-way activities on the Project, the Recipient must certify compliance with all .�
applicable federal and state requirements. Certification is required prior to authorization for
advertisement for or solicitation of bids for construction of the Project, including if no right-of-way is
required.
I. The Recipient will certify writing,
p' y 'in g, prior to Project closeout that the Project was completed in accordance
with applicable plans and specifications, is in place on the Recipient's facility, adequate title is in the
Recipient's name, and the Project is accepted by the Recipient as suitable for the intended purpose.
j. The Recipient agrees that no federally-appropriated funds have been paid, or will be paid by or on behalf
of the Recipient, to any person for influencing or attempting to influence any officer or employee of any
federal agency, a Member of Congress, an officer or employee of Congress or an employee of a Member LO
of Congress in connection with the awarding of any federal contract, the making of any federal grant, the Iq
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. If any funds other than federally-appropriated funds have been paid by the Recipient 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 Agreement, the undersigned shall complete and submit Standard Form-LLL, "Disclosure Form to
Report Lobbying," in accordance with its instructions. The Recipient shall require that the language of
this paragraph be included in the award documents for all subawards at all tiers (including subcontracts,
subgrants, and contracts under grants, loans, and cooperative agreements) and that all subrecipients
shall certify and disclose accordingly. No funds received pursuant to this contract may be expended for
lobbying the Legislature, the judicial branch or a state agency.
k. The Recipient may not permit the Engineer of Record to perform Construction, Engineering and
Inspection services on the Project.
I. The Recipient shall comply with all applicable federal guidelines, procedures, and regulations. If at any
time a review conducted by Department and or FHWA reveals that the applicable federal guidelines,
procedures, and regulations were not followed by the Recipient and FHWA requires reimbursement of the
funds, the Recipient will be responsible for repayment to the Department of all funds awarded under the
terms of this Agreement.
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C.5.b
STATE OF FLORIDA DEPARTMENT OF TRANSPORTATION 525-010-40
PROGRAM MANAGEMENT
LOCAL AGENCY PROGRAM AGREEMENT OGC/OOC-12/18
Page 13 of 16
m. The Recipient shall:
i. utilize the U.S. Department of Homeland Security's E-Verify system to verify the employment
eligibility of all new employees hired by Recipient during the term of the contract; and
ii. expressly require any contractor and subcontractors performing work or providing services
pursuant to the state contract to likewise utilize the U.S. Department of Homeland Security's E-
Verify system to verify the employment eligibility of all new employees hired by the subcontractor
during the contract term.
n. This Agreement may be executed in one or more counterparts, each of which shall be deemed an
original, but all of which shall constitute the same Agreement. A facsimile or electronic transmission of
this Agreement with a signature on behalf of a party will be legal and binding on such party.
o. The Parties agree to comply with s.20.055(5), Florida Statutes, and to incorporate in all subcontracts the E
CL
obligation to comply with s.20.055(5), Florida Statutes.
p. If the Project is procured pursuant to Chapter 255 for construction services and at the time of the
U)
competitive solicitation for the Project 50 percent or more of the cost of the Project is to be aid from
1
1 p °
state-appropriated funds, then the Recipient must comply with the requirements of Section 255.0991,
Florida Statutes.
18. Exhibits:
a. Exhibits "A", "B", "C", "D", "E" and "F" are attached to and incorporated into this Agreement.
b. ® If this Project includes Phase 58 (construction) activities, then Exhibit "G", FHWA FORM 1273, is
attached and incorporated into this Agreement.
c. ❑ Alternative Advance Payment Financial Provisions are used on this Project. If an Alternative Pay as
Method is used on this Project, then Exhibit "H", Alternative Advance Payment Financial Provisions, is
attached and incorporated into this Agreement.
d. ❑ State funds are used on this Project. If state funds are used on this Project, then Exhibit "I", State
Funds Addendum, is attached and incorporated into this Agreement. Exhibit "J", State Financial 17
Assistance (Florida Single Audit Act), is attached and incorporated into this Agreement.
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e. ❑ This Project utilizes Advance Project Reimbursement. If this Project utilizes Advance Project Iq
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Reimbursement, then Exhibit "K", Advance Project Reimbursement is attached and incorporated into
this Agreement.
f. ❑ This Project includes funding for landscaping. If this Project includes funding for landscaping, then
Exhibit"L", Landscape Maintenance, is attached and incorporated into this Agreement.
g. ❑ This Project includes funding for a roadway lighting system. If the Project includes funding for roadway
lighting system, Exhibit "M", Roadway Lighting Maintenance is attached and incorporated into this
Agreement.
h. ❑ This Project includes funding for traffic signals and/or traffic signal systems. If this Project includes
funding for traffic signals and/or traffic signals systems, Exhibit "N", Traffic Signal Maintenance is
attached and incorporated into this Agreement.
i. ❑ A portion or all of the Project will utilize Department right-of-way and, therefore, Exhibit "O", Terms
and Conditions of Construction in Department Right-of-Way, is attached and incorporated into this
Agreement.
j. ❑The following Exhibit(s) are attached and incorporated into this Agreement:
k. Exhibit and Attachment List
Packet Pg. 219
C.5.b
STATE OF FLORIDA DEPARTMENT OF TRANSPORTATION 525-010-40
LOCAL AGENCY PROGRAM AGREEMENT PRocRAOGcOoaMti18
Page 14 of 16
Exhibit A: Project Description and Responsibilities
Exhibit B: Schedule of Financial Assistance
Exhibit C: Title VI Assurances
Exhibit D: Recipient Resolution
Exhibit E: Federal Financial Assistance (Single Audit Act)
Exhibit F: Contract Payment Requirements
* Exhibit G: FHWA Form 1273
" Exhibit H: Alternative Advance Payment Financial Provisions
• Exhibit I: State Funds Addendum
* Exhibit J: State Financial Assistance (Florida Single Audit Act)
"Exhibit K:Advance Project Reimbursement
" Exhibit L: Landscape Maintenance
" Exhibit M: Roadway Lighting Maintenance
"Exhibit N: Traffic Signal Maintenance
" Exhibit O: Terms and Conditions of Construction in Department Right-of-Way
"Additional Exhibit(s): U)
*Indicates that the Exhibit is only attached and incorporated if alapficable box Is selected.
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Packet Pg. 220
C.5.b
STATE OF FLORIOA DEPARTA aNT OF TRANSPORTATION 525-010.40
LOCAL AGENCY PROGRAM AGREEMENT PRo�RAcocmoc-1u B
Pape 16 of If
IN WITNESS WHEREOF,the parties have executed this Agreement on the day and year written above.
RECIPIENT Monroe County STATE OF FLORIDA, DEPARTMENT OF TRANSPORTATION
By: By:
Name: Name:
Title: Title:
Legal Review:
MONRO'3
COT1N Iti'ATTORNEY
O I t Ih1R LSE >SOW
A SIST tit
DATE; tti
ca
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Packet Pg. 221
C.5.b
STATE OF FLORIDA DEPARTMENT OF TRANSPORTATION 525-010-40
LOCAL AGENCY PROGRAM AGREEMENT PROGRAM MANAGEMENT
OGC-12I18
Page 1 of 1
EXHIBIT "A"
PROJECT DESCRIPTION AND RESPONSIBILITIES
FPN: 445366-1
This exhibit forms an integral part of the Local Agency Program Agreement between the State of Florida, Department of
Transportation and
Monroe Count the Reci lent
PROJECT LOCATION:
❑The project is on the National Highway System.
❑The project is on the State Highway System.
PROJECT LENGTH AND MILE POST LIMITS:
PROJECT DESCRIPTION: Project includes repair or replacement of seven (7) street lights along 0.39 miles of shared
use path on Duck Key Drive, Duck Key.
SPECIAL CONSIDERATIONS BY RECIPIENT:
The Recipient is required to provide a copy of the design plans for the Department's review and approval to coordinate
permitting with the Department, and notify the Department prior to commencement of any right-of-way activities.
The Recipient shall commence the project's activities subsequent to the execution of this Agreement and shall perform in
accordance with the following schedule:
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a) Study to be completed by N/A
b) Design to be completed by N/A
c) Right-of-Way requirements identified and provided to the Department by N/A
d) Right-of-Way to be certified by June 30, 2019
e) Construction contract to be let by August 1, 2019
f) Construction to be completed by February 28, 2020 ca
If this schedule cannot be met, the Recipient will notify the Department in writing with a revised schedule or the project is
subject to the withdrawal of funding.
SPECIAL CONSIDERATIONS BY DEPARTMENT:
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C.5.b
STATE OF FLORIDA DEPARTMENT OF TRANSPORTATION 525-010-40B
LOCAL AGENCY PROGRAM AGREEMENT PROGRAM MANGEMENT
OGC-10I18
Page 1 of 1
EXHIBIT "B"
SCHEDULE OF FINANCIAL ASSISTANCE
RECIPIENT NAME&BILLING ADDRESS: FINANCIAL PROJECT NUMBER: 445366-1
MONROE COUNTY BOCC, Engineering Department
1100 SIMONTON STREET
KEY WEST, FL 33040
MAXIMUM PARTICIPATION
TOTAL
PHASE OF WORK B Fiscal Year PROJECT FUNDS LOCAL FUNDS STATE FUNDS FEDERAL)FUNDS
esign-Phase 38
Y: Insert Program atme) $ $ $ $ _A
Y: l ,serf Program Name) $ $ $ $
Y: Insert Pro ram Name $ $
Total Design Cost $ 0„00 $ 0.00 $ 0.00 $ 0.00
Right-of-Way-Phase 48
Y: Insert Program Name) $ $ $ $
Y: (Insert Program Name) $ $ $ $
=Y: Insert Program Name $ $ $ $
.......
Total Right-of-Way Cost $ 0.00 $ 0.00 $ 0.00 $ 0,00
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Construction-Phase 58
Y: 2019-2020 (DG.IturraCane InT1 ) $1-� Q.0 $ $ $t20
Y: (Insert Program Name) $ $ $ $
Y: Insert Pro ram Name
Total Construction Cost $12 850.00 $ 0.00 $ 0.00 $12,850.00
Construction Engineering and Inspection(CEI)-Phase 68 IL
Y: (Insert F'rograrpr htamr) $. _ $ $ $
Y: Insert r r m Name) $ $ $_ _ $,
Y: Insert Program Name $ $ $ $
Total CEI Cost $ 0.00 $ 0.00 $ 0.00 $ 0.00
se Ph e)
Y: (Insert Program Nampa) $ $_ _. $ $ LL
-Y: (Insert Prog(gia)Nam ) $ $ $ $
Y: Insert Program Name $ $ $ $
as
Total Phase Costs L $ 0.00 $ 0.00 $ 0.00 $ 0.00
TOTAL C m mmmmmmmm mmmmm $12,850.00
COST OF THE PROJECT $12,850.00 $ 0.00 $ 0.00. �_.
COST ANALYSIS CERTIFICATION AS REQUIRED BY SECTION 216.3475,FLORIDA STATUTES:
I certify that the cost for each line item budget category has been evaluated and determined to be allowable, reasonable, and necessary as required by
Section 216„3475, F.S.Documentation is on file evidencing the methodology used and the conclusions reached.
Xiomara Nunez M.B.A.
District Grant Manager Name
Signature Date
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C.5.b
STATE OF FLORIDA DEPARTMENT OF TRANSPORTATION 525-010-40C
LOCAL AGENCY PROGRAM AGREEMENT ROGRaM MANAGEMENT
OGC—9 0l1 B
Page 1 of 2
Exhibit "C"
TITLE VI ASSURANCES
During the performance of this contract, the consultant or contractor, for itself, its assignees and successors in
interest(hereinafter collectively referred to as the"contractor")agrees as follows:
(1.) Compliance with REGULATIONS: The contractor shall comply with the Regulations relative to
nondiscrimination in federally-assisted programs of the U.S. Department of Transportation
(hereinafter, "USDOT") Title 49, Code of Federal Regulations, Part 21, as they may be
amended from time to time, (hereinafter referred to as the REGULATIONS), which are herein
incorporated by reference and made a part of this contract.
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(2.) Nondiscrimination:The Contractor,with regard to the work performed by it during the contract,shall
not discriminate on the basis of race,color,national origin,or sex in the selection and retention of sub-
contractors, including procurements of materials and leases of equipment. The contractor shall not
U)
participate either directly or indirectly in the discrimination prohibited by Section 21.5 of the
REGULATIONS, including employment practices when the contract covers a program set forth in
Appendix B of the REGULATIONS.
(3.) Solicitations for Sub-contractors, including Procurements of Materials and Equipment: In all
solicitations either by competitive bidding or negotiation made by the contractor for work to be
performed under sub-contract, including procurements of materials or leases of equipment, each
potential sub-contractor or supplier shall be notified by the contractor of the contractor's obligations
under this contract and the REGULATIONS relative to nondiscrimination on the basis of race, color,
national origin, or sex. �
(4.) information and Reports: The contractor shall provide all information and reports required by
the REGULATIONS or directives issued pursuant thereto, and shall permit access to its books,
records, accounts, other sources of information, and its facilities as may be determined by the
Florida Department of Transportation or the Federal Highway Administration, Federal Transit
Administration, Federal Aviation Administration, and Federal Motor Carrier Safety Administration LO
to be pertinent to ascertain compliance with such REGULATIONS, orders and instructions.
Where any information required of a contractor is in the exclusive possession of another who ILL
fails or refuses to furnish this information the contractor shall so certify to the Florida Department
of Transportation, or the Federal Highway Administration, Federal Transit Administration,
Federal Aviation Administration, or Federal Motor Carrier Safety Administration as appropriate,
and shall set forth what efforts it has made to obtain the information.
(5.) Sanctions for Noncompliance: In the event of the contractor's noncompliance with the
nondiscrimination provisions of this contract, the Florida Department of Transportation shall impose
such contract sanctions as it or the Federal Highway Administration, Federal Transit Administration,
Federal Aviation Administration, or
Packet Pg. 224
C.5.b
STATE OF FLORIDA DEPARTMENT OF TRANSPORTATION 525-010-40C
LOCAL AGENCY PROGRAM AGREEMENT ROGRAM MANAGEMENT
OGC—90/1B
Page 2 of 2
Federal Motor Carrier Safety Administration may determine to be appropriate, including, but not
limited to:
a, withholding of payments to the contractor under the contract until the contractor
complies, and/or
b. cancellation, termination or suspension of the contract, in whole or in part.
(6.) Incorporation of Provisions:The contractor shall include the provisions of paragraphs(1)through(7)
in every sub-contract, including procurements of materials and leases of equipment, unless exempt by
i
the REGULATIONS, or directives issued pursuant thereto. The contractor shall take such action with
respect to any sub-contract or procurement as the Florida Department of Transportation or the Federal
Highway Administration, Federal Transit Administration, Federal Aviation Administration, or Federal
Motor Carrier Safety Administration may direct as a means of enforcing such provisions including
sanctions for noncompliance, provided, however, that, in the event a contractor becomes involved in,
or is threatened with, litigation with a sub-contractor or supplier as a result of such direction, the U)
contractor may request the Florida Department of Transportation to enter into such litigation to protect
the interests of the Florida Department of Transportation, and, in addition, the contractor may request
the United States to enter into such litigation to protect the interests of the United States.
(7.) Compliance with Nondiscrimination Statutes and Authorities:Title VI of the Civil Rights Act of 1964
(42 U,S.C. §2000d et seq., 78 stat. 252), (prohibits discrimination on the basis of race, color, national
origin);and 49 CFR Part 21;The Uniform Relocation Assistance and Real Property Acquisition Policies
Act of 1970,(42 U.S,C. §4601), (prohibits unfair treatment of persons displaced or whose property has
been acquired because of Federal or Federal-aid programs and projects); Federal-Aid Highway Act of
1973, (23 U.S.C. § 324 et seq.), (prohibits discrimination on the basis of sex); Section 504 of the
Rehabilitation Act of 1973,(29 U.S.C.§794 et seq.),as amended,(prohibits discrimination on the basis
of disability); and 49 CFR Part 27;The Age Discrimination Act of 1975, as amended,(42 U.S.C. §6101
et seq.),(prohibits discrimination on the basis of age);Airport and Airway Improvement Act of 1982,(49
USC§471,Section 47123),as amended,(prohibits discrimination based on race,creed,color, national
origin,or sex);The Civil Rights Restoration Act of 1987,(PL 100-209),(Broadened the scope,coverage
and applicability of Title VI of the Civil Rights Act of 1964, The Age Discrimination Act of 1975 and
Section 504 of the Rehabilitation Act of 1973, by expanding the definition of the terms "programs or
LO
activities" to include all of the programs or activities of the Federal-aid recipients, sub-recipients and Iq
contractors, whether such programs or activities are Federally funded or not); Titles II and III of the
Americans with Disabilities Act, which prohibit discrimination on the basis of disability in the operationLL
of public entities, public and private transportation systems, places of public accommodation, and
certain testing entities(42 U.S.C. §§ 12131 --12189)as implemented by Department of Transportation
regulations at 49 C.F.R. parts 37 and 38; The Federal Aviation Administration's Non-discrimination
statute (49 U.S.C. § 47123) (prohibits discrimination on the basis of race, color, national origin, and
sex); Executive Order 12898, Federal Actions to Address Environmental Justice in Minority Populations
and Low-Income Populations, which ensures non-discrimination against minority populations by
discouraging programs, policies, and activities with disproportionately high and adverse human health
or environmental effects on minority and low-income populations; Executive Order 13166, Improving
Access to Services for Persons with Limited English Proficiency, and resulting agency guidance,
national origin discrimination includes discrimination because of limited English proficiency (LEP). To
ensure compliance with Title VI, you must take reasonable steps to ensure that LEP persons have
meaningful access to your programs (70 Fed. Reg. at 74087 to 74100); Title IX of the Education
Amendments of 1972,as amended,which prohibits you from discriminating because of sex in education
programs or activities(20 U.S.C. 1681 et seq).
Packet Pg. 225
C.5.b
STATE OF FLORIDA DEPARTMENT OF TRANSPORTATION 525-01040D
LOCAL AGENCY PROGRAM AGREEMENT PROGRAM MANAGEMENT
OGC—10/1 B
Page 1 of 1
EXHIBIT "D"
RECIPIENT RESOLUTION
The Recipient's Resolution authorizing entry into this Agreement is attached and incorporated into this
Agreement.
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CD
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Packet Pg. 226
C.5.b
STATE OF FLORIDA DEPARTMENT OF TRANSPORTATION 525-010-40E
LOCAL AGENCY PROGRAM AGREEMENT PROGRAM MANAGEMENT
1a1e
Page 1 of 1
EXHIBIT "E"
FEDERAL FINANCIAL ASSISTANCE (SINGLE AUDIT ACT)
FEDERAL RESOURCES AWARDED PURSUANT TO THIS AGREEMENT ARE AS FOLLOWS:
CFDA No.: 20.205
CFDA Title: Highway Planning and Construction
Federal-Aid Highway Program, Federal Lands Highway Program
CFDA Program Site: t1�tt a�:JN +wrrrxf�� vl
Award Amount: $12,860.00
Awarding Agency: Florida Department of Transportation
Award is for R&D: No
Indirect Cost Rate: N/A
FEDERAL RESOURCES AWARDED PURSUANT TO THIS AGREEMENT ARE SUBJECT TO TIME FOLLOWING,.
2 CFR Part 200—Uniform Administrative Requirements, Cost Principles &Audit Requirements for Federal Awards
h /l c(rm1+ w
FEDERAL RESOURCES AWARDED PURSUANT TO THIS AGREEMENT MAY ALSO BE SUBJECT TO THE
FOLLOWING:
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Title 23—Highways, United States Code
late fi uscod h,OLI e. gv/brg r m c� Gtt L2 A e,diitiu
Tit
—Transportation,
tates Code
tittle/49 oode s %)/ rgA!t, [gflIr @tjt1qA,�3& Bubouro f r=VP
Map-21 —Moving Ahead for Progress in the 215'Century, Public Law 112-141
V,(tp,/wrvw gpercv/f /pc/f'I' Apwbl41tItw, upllc
Federal Highway Administration—Florida Division LO
fit t /w r mm hwa dot,j ytt[dt / Iq
Federal Funding Accountability and Transparency Act(FFATA) Sub-award Reporting System (FSRS)
11-tt' A o
Packet Pg. 227
C.5.b
STATE OF FLORIDA DEPARTMENT OF TRANSPORTATION 525-010-40F
LOCAL AGENCY PROGRAM AGREEMENT PROGRAM MANAGEMENT
1011 B
Page 1 of 1
EXHIBIT"F"
CONTRACT PAYMENT REQUIREMENTS
Florida Department of Financial Services, Reference Guide for State Expenditures
Cost Reimbursement Contracts
Invoices for cost reimbursement contracts must be supported by an itemized listing of expenditures by
category (salary, travel, expenses, etc.). Supporting documentation shall be submitted for each amount
for which reimbursement is being claimed indicating that the item has been paid. Documentation for each
amount for which reimbursement is being claimed must indicate that the item has been paid. Check
numbers may be provided in lieu of copies of actual checks. Each piece of documentation should clearly
reflect the dates of service. Only expenditures for categories in the approved agreement budget may be
reimbursed. These expenditures must be allowable (pursuant to law) and directly related to the services
being provided. CL
Listed below are types and examples of supporting documentation for cost reimbursement agreements:
(1) Salaries: A payroll register or similar documentation should be submitted. The payroll
register should show gross salary charges, fringe benefits, other deductions and net pay. If an
individual for whom reimbursement is being claimed is paid by the hour, a document reflecting the
hours worked times the rate of pay will be acceptable.
(2) Fringe Benefits: Fringe Benefits should be supported by invoices showing the amount paid
on behalf of the employee (e.g., insurance premiums paid). If the contract specifically states that
fringe benefits will be based on a specified percentage rather than the actual cost of fringe
benefits, then the calculation for the fringe benefits amount must be shown.
0
Exception: Governmental entities are not required to provide check numbers or copies of checks
for fringe benefits. CD
(3) Travel: Reimbursement for travel must be in accordance with Section 112.061, Florida
Statutes, which includes submission of the claim on the approved State travel voucher or
electronic means.
LO
(4) Other direct costs: Reimbursement will be made based on paid invoices/receipts. If Iq
nonexpendable property is purchased using State funds, the contract should include a provision
for the transfer of the property to the State when services are terminated. Documentation must
be provided to show compliance with Department of Management Services Rule 60A-1.017,
Florida Administrative Code, regarding the requirements for contracts which include services and
that provide for the contractor to purchase tangible personal property as defined in Section
273.02, Florida Statutes, for subsequent transfer to the State.
(5) In-house charges:Charges which may be of an internal nature (e.g., postage, copies, etc.)
may be reimbursed on a usage log which shows the units times the rate being charged. The
rates must be reasonable.
(6) Indirect costs:lf the contract specifies that indirect costs will be paid based on a specified rate,
then the calculation should be shown.
Contracts between state agencies, and or contracts between universities may submit alternative
documentation to substantiate the reimbursement request that may be in the form of FLAIR
reports or other detailed reports.
The Florida Department of Financial Services, online Reference Guide for State Expenditures can be
found at this web address t /www.niytl r da fc / Crr Lf Lhde1-
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C.5.b
FHWA-1273-- Revised May 1,2012
REQUIRED CONTRACT PROVISIONS
FEDERAL-AID CONSTRUCTION CONTRACTS
I. General 3. A breach of any of the stipulations contained in these
II, Nondiscrimination Required Contract Provisions may be sufficient grounds for
III.. Nonsegregated Facilities withholding of progress payments,withholding of final
IV. Davis-Bacon and Related Act Provisions payment,termination of the contract,suspension/debarment
V. Contract Work Hours and Safety Standards Act or an other action determined to be appropriate b the
YY
Provisions contracting agency and FHWA.
VI, Subletting or Assigning the Contract
VII. Safety:Accident Prevention 4. Selection of Labor:During the performance of this contract,
Vill, False Statements Concerning Highway Projects the contractor shall not use convict labor for any purpose
IX, Implementation of Clean Air Act and Federal Water within the limits of a construction project on a Federal-aid
Pollution Control Act highway unless it is labor performed by convicts who are on
X, Compliance with Governmentwide Suspension and parole,supervised release,or probation. The term Federal-aid
Debarment Requirements highway does not include roadways functionally classified as
XI. Certification Regarding Use of Contract Funds for local roads or rural minor collectors.
Lobbying
ATTACHMENTS II. NONDISCRIMINATION
A.Employment and Materials Preference for Appalachian The provisions of this section related to 23 CFR Part 230 are
Development Highway System or Appalachian Local Access applicable to all Federal-aid construction contracts and to all
Road Contracts(included in Appalachian contracts only) related construction subcontracts of$10,000 or more. The
provisions of 23 CFR Part 230 are not applicable to material
I. GENERAL supply,engineering,or architectural service contracts.
In addition,the contractor and all subcontractors must comply
1. Form FHWA-1273 must be physically incorporated in each with the following policies:Executive Order 11246,41 CFR 60,
construction contract funded under Title 23(excluding 29 CFR 1625-1627,Title 23 USC Section 140,the
emergency contracts solely intended for debris removal). The Rehabilitation Act of 1973,as amended(29 USC 794),Title VI
contractor(or subcontractor)must insert this form in each of the Civil Rights Act of 1964,as amended,and related
subcontract and further require its inclusion in all lower tier regulations including 49 CFR Parts 21,26 and 27;and 23 CFR
subcontracts(excluding purchase orders,rental agreements Parts 200,230,and 633.
and other agreements for supplies or services).,
The contractor and all subcontractors must comply with: the
The applicable requirements of Form FHWA-1273 are requirements of the Equal Opportunity Clause in 41 CFR 60-
incorporated by reference for work done under any purchase 1.4(b)and,for all construction contracts exceeding$10,000,
order,rental agreement or agreement for other services. The the Standard Federal Equal Employment Opportunity era
prime contractor shall be responsible for compliance by any Construction Contract Specifications in 41 CFR 60-4.3. Iq
subcontractor,lower-tier subcontractor or service provider.
Note:The U.S.Department of Labor has exclusive authority to
Form FHWA-1273 must be included in all Federal-aid design- determine compliance with Executive Order 11246 and the
build contracts,in all subcontracts and in lower tier policies of the Secretary of Labor including 41 CFR 60,and 29
subcontracts(excluding subcontracts for design services, CFR 1625-1627. The contracting agency and the FHWA have
purchase orders,rental agreements and other agreements for the authority and the responsibility to ensure compliance with
supplies or services). The design-builder shall be responsible Title 23 USC Section 140,the Rehabilitation Act of 1973,as
for compliance by any subcontractor,lower-tier subcontractor amended(29 USC 794),and Title VI of the Civil Rights Act of
or service provider. 1964,as amended,and related regulations including 49 CFR
Parts 21,26 and 27;and 23 CFR Parts 200,230,and 633.
Contracting agencies may reference Form FHWA-1273 in bid
proposal or request for proposal documents,however,the The following provision is adopted from 23 CFR 230,Appendix
Form FHWA-1273 must be physically incorporated(not A,with appropriate revisions to conform to the U.S.
referenced)in all contracts,subcontracts and lower-tier Department of Labor(US DOL)and FHWA requirements.
subcontracts(excluding purchase orders,rental agreements
and other agreements for supplies or services related to a 1.Equal Employment Opportunity: Equal employment
construction contract). opportunity(EEO)requirements not to discriminate and to take
affirmative action to assure equal opportunity as set forth
2. Subject to the applicability criteria noted in the following under laws,executive orders,rules,regulations(28 CFR 35,
sections,these contract provisions shall apply to all work 29 CFR 1630,29 CFR 1625-1627,41 CFR 60 and 49 CFR 27)
performed on the contract by the contractor's own organization and orders of the Secretary of Labor as modified by the
and with the assistance of workers under the contractor's provisions prescribed herein,and imposed pursuant to 23
immediate superintendence and to all work performed on the U.S.C. 140 shall constitute the EEO and specific affirmative
contract by piecework,station work,or by subcontract. action standards for the contractor's project activities under
1'.
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C.5.b
this contract.The provisions of the Americans with Disabilities 4.Recruitment:When advertising for employees,the
Act of 1990(42 U.S.C. 12101 et seq.)set forth under 28 CFR contractor will include in all advertisements for employees the
35 and 29 CFR 1630 are incorporated by reference in this notation:"An Equal Opportunity Employer." All such
contract.In the execution of this contract,the contractor advertisements will be placed in publications having a large
agrees to comply with the following minimum specific circulation among minorities and women in the area from
requirement activities of EEO: which the project work force would normally be derived.
a.The contractor will work with the contracting agency and a. The contractor will,unless precluded by a valid
the Federal Government to ensure that it has made every bargaining agreement,conduct systematic and direct
good faith effort to provide equal opportunity with respect to all recruitment through public and private employee referral
of its terms and conditions of employment and in their review sources likely to yield qualified minorities and women. To
of activities under the contract. meet this requirement,the contractor will identify sources of
potential minority group employees,and establish with such
b The contractor will accept as its operating policy the identified sources procedures whereby minority and women
following statement: applicants may be referred to the contractor for employment
consideration.
"It is the policy of this Company to assure that applicants
are employed,and that employees are treated during b In the event the contractor has a valid bargaining
employment,without regard to their race,religion,sex,color, agreement providing for exclusive hiring hall referrals,the
national origin,age or disability. Such action shall include: contractor is expected to observe the provisions of that
employment,upgrading,demotion,or transfer;recruitment or agreement to the extent that the system meets the contractor's
recruitment advertising;layoff or termination;rates of pay or compliance with EEO contract provisions. Where
other forms of compensation;and selection for training, implementation of such an agreement has the effect of
including apprenticeship,pre-apprenticeship,and/or on-the- discriminating against minorities or women,or obligates the
job training." contractor to do the same,such implementation violates
Federal nondiscrimination provisions.
2. EEO Officer:The contractor will designate and make
known to the contracting officers an EEO Officer who will have c. The contractor will encourage its present employees to
the responsibility for and must be capable of effectively refer minorities and women as applicants for employment.
administering and promoting an active EEO program and who Information and procedures with regard to referring such
must be assigned adequate authority and responsibility to do applicants will be discussed with employees„
so. cv
5.Personnel Actions:Wages,working conditions,and
3. Dissemination of Policy:All members of the contractor's employee benefits shall be established and administered,and
staff who are authorized to hire,supervise,promote,and personnel actions of every type,including hiring,upgrading,
discharge employees,or who recommend such action,or who promotion,transfer,demotion,layoff,and termination,shall be
are substantially involved in such action,will be made fully taken without regard to race,color,religion,sex,national
cognizant of,and will implement,the contractor's EEO policy origin,age or disability. The following procedures shall be
and contractual responsibilities to provide EEO in each grade followed:
and classification of employment. To ensure that the above IL
agreement will be met,the following actions will be taken as a a. The contractor will conduct periodic inspections of project
minimum: sites to insure that working conditions and employee facilities
do not indicate discriminatory treatment of project site
a. Periodic meetings of supervisory and personnel office personnel,
employees will be conducted before the start of work and then LO
not less often than once every six months,at which time the b The contractor will periodically evaluate the spread of
contractor's EEO policy and its implementation will be wages paid within each classification to determine any
reviewed and explained. The meetings will be conducted by evidence of discriminatory wage practices.
the EEO Officer.
c. The contractor will periodically review selected personnel
b. All new supervisory or personnel office employees will be actions in depth to determine whether there is evidence of
given a thorough indoctrination by the EEO Officer,covering discrimination. Where evidence is found,the contractor will
all major aspects of the contractor's EEO obligations within promptly take corrective action. If the review indicates that the
thirty days following their reporting for duty with the contractor. discrimination may extend beyond the actions reviewed,such
corrective action shall include all affected persons.
c. All personnel who are engaged in direct recruitment for
the project will be instructed by the EEO Officer in the d. The contractor will promptly investigate all complaints of
contractor's procedures for locating and hiring minorities and alleged discrimination made to the contractor in connection
women. with its obligations under this contract,will attempt to resolve
such complaints,and will take appropriate corrective action
d. Notices and posters setting forth the contractor's EEO within a reasonable time. If the investigation indicates that the
policy will be placed in areas readily accessible to employees, discrimination may affect persons other than the complainant,
applicants for employment and potential employees. such corrective action shall include such other persons. Upon
completion of each investigation,the contractor will inform
e. The contractor's EEO policy and the procedures to every complainant of all of their avenues of appeal.
implement such policy will be brought to the attention of
employees by means of meetings,employee handbooks,or 6.Training and Promotion:
other appropriate means.
a. The contractor will assist in locating,qualifying,and
increasing the skills of minorities and women who are
2
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C.5.b
applicants for employment or current employees. Such efforts with the requirements for and comply with the Americans with
should be aimed at developing full journey level status Disabilities Act and all rules and regulations established there
employees in the type of trade or job classification involved. under. Employers must provide reasonable accommodation in
all employment activities unless to do so would cause an
b. Consistent with the contractor's work force requirements undue hardship.
and as permissible under Federal and State regulations,the
contractor shall make full use of training programs,i.e., 9.Selection of Subcontractors,Procurement of Materials
apprenticeship,and on-the-job training programs for the and Leasing of Equipment:The contractor shall not
geographical area of contract performance. In the event a discriminate on the grounds of race,color,religion,sex,
special provision for training is provided under this contract, national origin,age or disability in the selection and retention
this subparagraph will be superseded as indicated in the of subcontractors,including procurement of materials and
special provision. The contracting agency may reserve leases of equipment. The contractor shall take all necessary
training positions for persons who receive welfare assistance and reasonable steps to ensure nondiscrimination in the
in accordance with 23 U.S.C. 140(a)„ administration of this contract.
c. The contractor will advise employees and applicants for a. The contractor shall notify all potential subcontractors and
employment of available training programs and entrance suppliers and lessors of their EEO obligations under this
requirements for each. contract.
d. The contractor will periodically review the training and b, The contractor will use good faith efforts to ensure
promotion potential of employees who are minorities and subcontractor compliance with their EEO obligations.
women and will encourage eligible employees to apply for
such training and promotion.
10. Assurance Required by 49 CFR 26.13(b):
7.Unions: If the contractor relies in whole or in part upon
unions as a source of employees,the contractor will use good a. The requirements of 49 CFR Part 26 and the State
faith efforts to obtain the cooperation of such unions to DOT's U.S.DOT-approved DBE program are incorporated by
increase opportunities for minorities and women. Actions by reference. 19
the contractor,either directly or through a contractor's
association acting as agent,will include the procedures set b. The contractor or subcontractor shall not discriminate on
forth below: the basis of race,color,national origin,or sex in the
performance of this contract. The contractor shall carry out
a. The contractor will use good faith efforts to develop,in applicable requirements of 49 CFR Part 26 in the award and
cooperation with the unions,joint training programs aimed administration of DOT-assisted contracts. Failure by the
toward qualifying more minorities and women for membership contractor to carry out these requirements is a material breach
in the unions and increasing the skills of minorities and women of this contract,which may result in the termination of this
so that they may qualify for higher paying employment„ contract or such other remedy as the contracting agency
deems appropriate.
b. The contractor will use good faith efforts to incorporate an
EEO clause into each union agreement to the end that such 11.Records and Reports:The contractor shall keep such
union will be contractually bound to refer applicants without records as necessary to document compliance with the EEO
regard to their race,color,religion,sex,national origin,age or requirements. Such records shall be retained for a period of
disability. three years following the date of the final payment to the
contractor for all contract work and shall be available at
c, The contractor is to obtain information as to the referral reasonable times and places for inspection by authorized LO
practices and policies of the labor union except that to the representatives of the contracting agency and the FHWA. Iq
extent such information is within the exclusive possession of
the labor union and such labor union refuses to furnish such a. The records kept by the contractor shall document the
information to the contractor,the contractor shall so certify to following:
the contracting agency and shall set forth what efforts have
been made to obtain such information. (1)The number and work hours of minority and non-
minority group members and women employed in each work
d. In the event the union is unable to provide the contractor classification on the project;
with a reasonable flow of referrals within the time limit set forth
in the collective bargaining agreement,the contractor will, (2)The progress and efforts being made in cooperation
through independent recruitment efforts,fill the employment with unions,when applicable,to increase employment
vacancies without regard to race,color„religion,sex,national opportunities for minorities and women;and
origin,age or disability;making full effortl;s to obtain qualified
and/or qualifiable minorities and women. The failure of a union (3)The progress and efforts being made in locating,hiring,
to provide sufficient referrals(even though it is obligated to training,qualifying,and upgrading minorities and women;
provide exclusive referrals under the terms of a collective
bargaining agreement)does not relieve the contractor from the b. The contractors and subcontractors will submit an annual
requirements of this paragraph. In the event the union referral report to the contracting agency each July for the duration of
practice prevents the contractor from meeting the obligations the project,indicating the number of minority,women,and
pursuant to Executive Order 11246,as amended,and these non-minority group employees currently engaged in each work
special provisions,such contractor shall immediately notify the classification required by the contract work. This information is
contracting agency. to be reported on rr;L l j1 N&_m I.. The staffing data should
represent the project work force on board in all or any part of
8. Reasonable Accommodation for Applicants/ the last payroll period preceding the end of July. If on-the-job
Employees with Disabilities: The contractor must be familiar training is being required by special provision,the contractor
3
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C.5.b
will be required to collect and report training data. The of paragraph 1.d.of this section;also,regular contributions
employment data should reflect the work force on board during made or costs incurred for more than a weekly period(but not
all or any part of the last payroll period preceding the end of less often than quarterly)under plans,funds,or programs
July. which cover the particular weekly period,are deemed to be
constructively made or incurred during such weekly period.
Such laborers and mechanics shall be paid the appropriate
III.NONSEGREGATED FACILITIES wage rate and fringe benefits on the wage determination for
the classification of work actually performed,without regard to
This provision is applicable to all Federal-aid construction skill,except as provided in 29 CFR 5.5(a)(4). Laborers or
contracts and to all related construction subcontracts of mechanics performing work in more than one classification
$10,000 or more, may be compensated at the rate specified for each
classification for the time actually worked therein:Provided,
The contractor must ensure that facilities provided for That the employer's payroll records accurately set forth the
employees are provided in such a manner that segregation on time spent in each classification in which work is performed.
the basis of race,color,religion,sex,or national origin cannot The wage determination(including any additional classification
result. The contractor may neither require such segregated and wage rates conformed under paragraph 1.b.of this
use by written or oral policies nor tolerate such use by section)and the Davis-Bacon poster(WH-1321)shall be
employee custom. The contractor's obligation extends further posted at all times by the contractor and its subcontractors at
to ensure that its employees are not assigned to perform their the site of the work in a prominent and accessible place where
services at any location,under the contractor's control,where it can be easily seen by the workers,
the facilities are segregated. The term"facilities"includes
waiting rooms,work areas,restaurants and other eating areas,
time clocks,restrooms,washrooms,locker rooms,and other b.(1)The contracting officer shall require that any class of
storage or dressing areas,parking lots,drinking fountains, laborers or mechanics,including helpers,which is not listed in
recreation or entertainment areas,transportation,and housing the wage determination and which is to be employed under the
provided for employees. The contractor shall provide separate contract shall be classified in conformance with the wage
or single-user restrooms and necessary dressing or sleeping determination.The contracting officer shall approve an
areas to assure privacy between sexes, additional classification and wage rate and fringe benefits
therefore only when the following criteria have been met:
IV. DAVIS-BACON AND RELATED ACT PROVISIONS (i)The work to be performed by the classification
requested is not performed by a classification in the wage
This section is applicable to all Federal-aid construction determination;and
projects exceeding$2,000 and to all related subcontracts and
lower-tier subcontracts(regardless of subcontract size), The (ii)The classification is utilized in the area by the
requirements apply to all projects located within the right-of- construction industry;and
way of a roadway that is functionally classified as Federal-aid
highway, This excludes roadways functionally classified as (iii)The proposed wage rate,including any bona fide
local roads or rural minor collectors,which are exempt. fringe benefits,bears a reasonable relationship n the
IL
Contracting agencies may elect to apply these requirements to wage rates contained in the n a determination.
other projects. g g
The following provisions are from the U.S.Department of (2)If the contractor and the laborers and mechanics to be
ifi l th i employed e classification Labor regulations in 29 CFR 5.5"Contract provisions and tion(if known),or their era
related matters"with minor revisions to conform to the FHWA- representatives,and the contracting officer agree on the
1273 format and FHWA program requirements..
classification and wage rate(including the amount
designated for fringe benefits where appropriate),a report of
the action taken shall be sent by the contracting officer to the
1. Minimum wages Administrator of the Wage and Hour Division,Employment
Standards Administration,U.S.Department of Labor, qs
a, All laborers and mechanics employed or working upon Washington,DC 20210.The Administrator,or an authorized
representative,will approve,modify,or disapprove every
the site of the work,will be paid unconditionally and not less 0
often than once a week,and without subsequent deduction or additional classification action within 30 days of receipt and
rebate on any account(except such payroll deductions as are so advise the contracting officer or will notify the contracting
permitted by regulations issued by the Secretary of Labor officer within the 30 day period that additional time is
under the Copeland Act(29 CFR part 3)),the full amount of necessary.
wages and bona fide fringe benefits(or cash equivalents
thereof)due at time of payment computed at rates not less (3)In the event the contractor,the laborers or mechanics
than those contained in the wage determination of the to be employed in the classification or their representatives,
Secretary of Labor which is attached hereto and made a part and the contracting officer do not agree on the proposed
hereof,regardless of any contractual relationship which may classification and wage rate(including the amount
be alleged to exist between the contractor and such laborers designated for fringe benefits,where appropriate),the
and mechanics contracting officer shall refer the questions,including the
views of all interested parties and the recommendation of the
Contributions made or costs reasonably anticipated for bona contracting officer,to the Wage and Hour Administrator for
fide fringe benefits under section 1(b)(2)of the Davis-Bacon determination.The Wage and Hour Administrator,or an
Act on behalf of laborers or mechanics are considered wages authorized representative,will issue a determination within
paid to such laborers or mechanics,subject to the provisions 30 days of receipt and so advise the contracting officer or
4
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C.5.b
will notify the contracting officer within the 30-day period that Bacon Act,the contractor shall maintain records which show
additional time is necessary. that the commitment to provide such benefits is enforceable,
that the plan or program is financially responsible,and that the
(4)The wage rate(including fringe benefits where plan or program has been communicated in writing to the
appropriate)determined pursuant to paragraphs 1.b.(2)or laborers or mechanics affected,and records which show the
1.b.(3)of this section,shall be paid to all workers performing costs anticipated or the actual cost incurred in providing such
work in the classification under this contract from the first benefits.Contractors employing apprentices or trainees under
day on which work is performed in the classification. approved programs shall maintain written evidence of the
registration of apprenticeship programs and certification of
trainee programs,the registration of the apprentices and
c.Whenever the minimum wage rate prescribed in the trainees,and the ratios and wage rates prescribed in the
contract for a class of laborers or mechanics includes a fringe applicable programs,
benefit which is not expressed as an hourly rate,the contractor
shall either pay the benefit as stated in the wage determination b.(1)The contractor shall submit weekly for each week in
or shall pay another bona fide fringe benefit or an hourly cash which any contract work is performed a copy of all payrolls to
equivalent thereof. the contracting agency. The payrolls submitted shall set out
accurately and completely all of the information required to be _
d. If the contractor does not make payments to a trustee or maintained under 29 CFR 5.5(a)(3)(i),except that full social
other third person,the contractor may consider as part of the security numbers and home addresses shall not be included
wages of any laborer or mechanic the amount of any costs on weekly transmittals. Instead the payrolls shall only need to
reasonably anticipated in providing bona fide fringe benefits include an individually identifying number for each employee
under a plan or program,Provided,That the Secretary of e.g. ,the last four digits of the employee's social security
Labor has found,upon the written request of the contractor, number).The required weekly payroll information may be
th
at at the applicable standard f s o the Davis-Bacon Act have submitted in an form —
e o desired,Optional Form WH 47 PP 3 is
Y P
been met.The Secretary of Labor may require the contractor available for this purpose from the Wage and Hour Division
to set aside in a separate account assets for the meeting of Web site at http://www.dol.gov/esa/whd/forms/wh347instr.htm
obligations under the plan or program. or its successor site.The prime contractor is responsible for
the submission of copies of payrolls by all subcontractors.
Contractors and subcontractors shall maintain the full social
2. Withholding security number and current address of each covered worker,
and shall provide them upon request to the contracting agency
The contracting agency shall upon its own action or upon for transmission to the State DOT,the FHWA or the Wage and
written request of an authorized representative of the Hour Division of the Department of Labor for purposes of an
Department of Labor,withhold or cause to be withheld from investigation or audit of compliance with prevailing wage
the contractor under this contract,or any other Federal requirements. It is not a violation of this section for a prime E
contract with the same prime contractor,or any other federally- contractor to require a subcontractor to provide addresses and
assisted contract subject to Davis-Bacon prevailing wage social security numbers to the prime contractor for its own
requirements,which is held by the same prime contractor,so records,without weekly submission to the contracting agency,.
much of the accrued payments or advances as may be
considered necessary to pay laborers and mechanics, (2)Each payroll submitted shall be accompanied by a
including apprentices,trainees,and helpers,employed by the "Statement of Compliance,"signed by the contractor or
contractor or any subcontractor the full amount of wages
required by the contract. In the event of failure to pay any subcontractor or his or her agent who pays or supervises the
laborer or mechanic,including any apprentice,trainee,or Payment of the persons employed under the contract and shall
LO
helper,employed or working on the site of the work,all or part certify the following:
Iq
of the wages required by the contract,the contracting agency Iq
may,after written notice to the contractor,take such action as (i)That the payroll for the payroll period contains the
may be necessary to cause the suspension of any further information required to be provided under§5.5(a)(3)(ii)of
payment,advance,or guarantee of funds until such violations Regulations,29 CFR part 5,the appropriate information is
have ceased, being maintained under§5.5(a)(3)(i)of Regulations,29
CFR part 5,and that such information is correct and
3. Payrolls and basic records complete;
a. Payrolls and basic records relating thereto shall w (ii)That each laborer or mechanic(including each helper,apprentice,and trainee)employed on the contract
maintained by the contractor during the course the work and during the payroll period has been paid the full weekly
preserved for period of three years thereafter for
for all laborers wages earned,without rebate,either directly or indirectly,
shall contain the name,add dress,andti social security number of
and mechanicss working the site the work.Such records and that no deductions have been made either directly or
other than
,
each such worker,his or her correct classification,hourly rates permissible deductions as set forth indirectly from the full wages earned, Regulations,29 CFR
of wages paid(including rates of contributions or costs part 3;
anticipated for bona fide fringe benefits or cash equivalents
thereof of the types described in section 1(b)(2)(B)of the
Davis-Bacon Act),daily and weekly number of hours worked, (iii)That each laborer or mechanic has been paid not
deductions made and actual wages paid.Whenever the less than the applicable wage rates and fringe benefits or
Secretary of Labor has found under 29 CFR 5.5(a)(1)(iv)that cash equivalents for the classification of work performed,
the wages of any laborer or mechanic include the amount of as specified in the applicable wage determination
any costs reasonably anticipated in providing benefits under a incorporated into the contract,
plan or program described in section 1(b)(2)(B)of the Davis-
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C.5.b
(3)The weekly submission of a properly executed rate specified in the applicable wage determination.
certification set forth on the reverse side of Optional Form Apprentices shall be paid fringe benefits in accordance with
WH-347 shall satisfy the requirement for submission of the the provisions of the apprenticeship program„If the
"Statement of Compliance"required by paragraph 3.b.(2)of apprenticeship program does not specify fringe benefits,
this section, apprentices must be paid the full amount of fringe benefits
listed on the wage determination for the applicable
(4)The falsification of any of the above certifications may classification,If the Administrator determines that a different
subject the contractor or subcontractor to civil or criminal practice prevails for the applicable apprentice classification,
prosecution under section 1001 of title 18 and section 231 of fringes shall be paid in accordance with that determination.
title 31 of the United States Code.
In the event the Office of Apprenticeship Training,Employer
A
c.The contractor or subcontractor shall make the records and Labor Services or a State Apprenticeship Agency
y
required under paragraph 3.a.of this section available for recognized by the Office,withdraws approval of an
inspection,copying,or transcription by authorized apprenticeship program,the contractor will no longer be
representatives of the contracting agency,the State DOT,the permitted to utilize apprentices at less than the applicable
FHWA, or the Department of Labor,and shall permit such predetermined rate for the work performed until an acceptable
representatives to interview employees during working hours Program is approved, _
on the job. If the contractor or subcontractor fails to submit the
required records or to make them available,the FHWA may, b.Trainees(programs of the USDOL).
after written notice to the contractor,the contracting agency or
the State DOT,take such action as may be necessary to U)
cause the suspension of any further payment,advance,or Except as provided in 29 CFR 5.16,trainees will not be
guarantee of funds.Furthermore,failure to submit the required permitted to work at less than the predetermined rate for the
records upon request or to make such records available may work performed unless they are employed pursuant to and
be grounds for debarment action pursuant to 29 CFR 5.12. individually registered in a program which has received prior
approval,evidenced by formal certification by the U.S.
Department of Labor,Employment and Training
4. Apprentices and trainees Administration.
a.Apprentices(programs of the USDOL). The ratio of trainees to journeymen on the job site shall not be
greater than permitted under the plan approved by the
Apprentices will be permitted to work at less than the Employment and Training Administration.
predetermined rate for the work they performed when they are
employed pursuant to and individually registered in a bona fide Every trainee must be paid at not less than the rate specified E
apprenticeship program registered with the U.S.Department of in the approved program for the trainee's level of progress,
Labor,Employment and Training Administration,Office of expressed as a percentage of the journeyman hourly rate
Apprenticeship Training,Employer and Labor Services,or with specified in the applicable wage determination.Trainees shall
a State Apprenticeship Agency recognized by the Office,or if a be paid fringe benefits in accordance with the provisions of the
person is employed in his or her first 90 days of probationary trainee program. If the trainee program does not mention
employment as an apprentice in such an apprenticeship fringe benefits,trainees shall be paid the full amount of fringe
program,who is not individually registered in the program,but benefits listed on the wage determination unless the
who has been certified by the Office of Apprenticeship Administrator of the Wage and Hour Division determines that
Training,Employer and Labor Services or a State there is an apprenticeship program associated with the
LO
Apprenticeship Agency(where appropriate)to be eligible for corresponding journeyman wage rate on the wage Iq
probationary employment as an apprentice. determination which provides for less than full fringe benefits
for apprentices.Any employee listed on the payroll at a trainee
The allowable ratio of apprentices to journeymen on the job rate who is not registered and participating in a training plan LL
site in any craft classification shall not be greater than the ratio
approved by the Employment and Training Administration shall
permitted to the contractor as to the entire work force under be paid not less than the applicable wage rate on the wage
the registered program.Any worker listed on a payroll at an determination for the classification of work actually performed.
apprentice wage rate,who is not registered or otherwise In addition,any trainee performing work on the job site in
employed as stated above,shall be paid not less than the excess of the ratio permitted under the registered program
applicable wage rate on the wage determination for the shall be paid not less than the applicable wage rate on the
classification of work actually performed. In addition,any wage determination for the work actually performed,
apprentice performing work on the job site in excess of the
ratio permitted under the registered program shall be paid not In the event the Employment and Training Administration
less than the applicable wage rate on the wage determination withdraws approval of a training program,the contractor will no
for the work actually performed.Where a contractor is longer be permitted to utilize trainees at less than the
performing construction on a project in a locality other than applicable predetermined rate for the work performed until an
that in which its program is registered,the ratios and wage acceptable program is approved.
rates(expressed in percentages of the journeyman's hourly
rate)specified in the contractor's or subcontractor's registered c.Equal employment opportunity..The utilization of
program shall be observed. apprentices,trainees and journeymen under this part shall be
in conformity with the equal employment opportunity
Every apprentice must be paid at not less than the rate requirements of Executive Order 11246,as amended,and 29
specified in the registered program for the apprentice's level of CFR part 30.
progress,expressed as a percentage of the journeymen hourly
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C.5.b
d. Apprentices and Trainees(programs of the U.S.DOT).
Apprentices and trainees working under apprenticeship and V. CONTRACT WORK HOURS AND SAFETY
skill training programs which have been certified by the STANDARDS ACT
Secretary of Transportation as promoting EEO in connection
with Federal-aid highway construction programs are not The following clauses apply to any Federal-aid construction
subject to the requirements of paragraph 4 of this Section IV, contract in an amount in excess of$100,000 and subject to the
The straight time hourly wage rates for apprentices and overtime provisions of the Contract Work Hours and Safety
trainees under such programs will be established by the Standards Act.These clauses shall be inserted in addition to
particular programs.The ratio of apprentices and trainees to the clauses required by 29 CFR 5.5(a)or 29 CFR 4.6. As
journeymen shall not be greater than permitted by the terms of used in this paragraph,the terms laborers and mechanics
the particular program. include watchmen and guards.
i
5.Compliance with Copeland Act requirements. The 1.Overtime requirements. No contractor or subcontractor
contractor shall comply with the requirements of 29 CFR part contracting for any part of the contract work which may require
3,which are incorporated by reference in this contract. or involve the employment of laborers or mechanics shall
require or permit any such laborer or mechanic in any
6.Subcontracts. The contractor or subcontractor shall insert workweek in which he or she is employed on such work to
Form FHWA-1273 in any subcontracts and also require the work in excess of forty hours in such workweek unless such
subcontractors to include Form FHWA-1273 in any lower tier laborer or mechanic receives compensation at a rate not less U)
subcontracts.The prime contractor shall be responsible for the than one and one-half times the basic rate of pay for all hours
compliance by any subcontractor or lower tier subcontractor worked in excess of forty hours in such workweek.
with all the contract clauses in 29 CFR 5,5.
2.Violation;liability for unpaid wages;liquidated
7.Contract termination:debarment. A breach of the damages. In the event of any violation of the clause set forth
contract clauses in 29 CFR 5.5 may be grounds for termination in paragraph(1.)of this section,the contractor and any
of the contract,and for debarment as a contractor and a subcontractor responsible therefor shall be liable for the
unpaid wages. In addition,such contractor and subcontractor
subcontractor as provided in 29 CFR 5.12. shall be liable to the United States(in the case of work done
under contract for the District of Columbia or a territory,to such
6.Compliance with Davis-Bacon and Related Act District or to such territory),for liquidated damages.Such
requirements. All rulings and interpretations of the Davis- liquidated damages shall be computed with respect to each
Bacon and Related Acts contained in 29 CFR parts 1,3,and 5 individual laborer or mechanic, including watchmen and
are herein incorporated by reference in this contract. guards,employed in violation of the clause set forth in
paragraph(1.)of this section,in the sum of$10 for each
9.Disputes concerning labor standards.Disputes arising calendar day on which such individual was required or
out of the labor standards provisions of this contract shall not Permitted to work in excess of the standard workweek of forty
be subject to the general disputes clause of this contract.Such hours without payment of the overtime wages required by theIL
clause set forth in paragraph(1.)of this section.
disputes shall be resolved in accordance with the procedures
of the Department of Labor set forth in 29 CFR parts 5,6,and
7.Disputes within the meaning of this clause include disputes 3.Withholding for unpaid wages and liquidated damages.
between the contractor(or any of its subcontractors)and the The FHWA or the contacting agency shall upon its own action
contracting agency,the U.S.Department of Labor,or the or upon written request of an authorized representative of the LO
employees or their representatives. Department of Labor withhold or cause to be withheld,from Iq
any moneys payable on account of work performed by the
10.Certification of eligibility. contractor or subcontractor under any such contract or anyLL
other Federal contract with the same prime contractor,or any .i
other federally-assisted contract subject to the Contract Work
a.By entering into this contract,the contractor certifies that Hours and Safety Standards Act,which is held by the same
neither it(nor he or she)nor any person or firm who has an prime contractor,such sums as may be determined to be
interest in the contractor's firm is a person or firm ineligible to necessary to satisfy any liabilities of such contractor or
be awarded Government contracts by virtue of section 3(a)of subcontractor for unpaid wages and liquidated damages as
the Davis-Bacon Act or 29 CFR 5.12(a)(1).. provided in the clause set forth in paragraph(2.)of this
section.
b.No part of this contract shall be subcontracted to any person
or firm ineligible for award of a Government contract by virtue 4.Subcontracts. The contractor or subcontractor shall insert
of section 3(a)of the Davis-Bacon Act or 29 CFR 5.12(a)(1). in any subcontracts the clauses set forth in paragraph(1.)
through(4.)of this section and also a clause requiring the
c.The penalty for making false statements is prescribed in the subcontractors to include these clauses in any lower tier
U.S.Criminal Code, U.S.C.1 tote subcontracts.The prime contractor shall be responsible for
compliance by any subcontractor or lower tier subcontractor
with the clauses set forth in paragraphs(1.)through(4.)of this
section.
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C.5.b
evidenced in writing and that it contains all pertinent provisions
VI.SUBLETTING OR ASSIGNING THE CONTRACT and requirements of the prime contract.
This provision is applicable to all Federal-aid construction 5.The 30%self-performance requirement of paragraph(1)is
contracts on the National Highway System. not applicable to design-build contracts;however,contracting
agencies may establish their own self-performance
1.The contractor shall perform with its own organization requirements.
contract work amounting to not less than 30 percent(or a
greater percentage if specified elsewhere in the contract)of
the total original contract price,excluding any specialty items VII.SAFETY:ACCIDENT PREVENTION
designated by the contracting agency, Specialty items may be
performed by subcontract and the amount of any such T h i s p r o v i s i o n i s applicable to all Federal-aid
specialty items performed may be deducted from the total construction contracts and to all related subcontracts.
original contract price before computing the amount of work
required to be performed by the contractor's own organization 1. In the performance of this contract the contractor shall
(23 CFR 635.116). comply with all applicable Federal,State,and local laws
governing safety,health,and sanitation(23 CFR 635).The
a. The term"perform work with its own organization"refers contractor shall provide all safeguards,safety devices and
to workers employed or leased by the prime contractor,and protective equipment and take any other needed actions as it
equipment owned or rented by the prime contractor,with or determines,or as the contracting officer may determine,to be
without operators. Such term does not include employees or reasonably necessary to protect the life and health of
equipment of a subcontractor or lower tier subcontractor, employees on the job and the safety of the public and to
agents of the prime contractor,or any other assignees. The protect property in connection with the performance of the
term may include payments for the costs of hiring leased work covered by the contract.
employees from an employee leasing firm meeting all relevant
Federal and State regulatory requirements. Leased 2„ It is a condition of this contract,and shall be made a
employees may only be included in this term if the prime condition of each subcontract,which the contractor enters into
contractor meets all of the following conditions: pursuant to this contract,that the contractor and any
subcontractor shall not permit any employee,in performance
(1)the prime contractor maintains control over the of the contract,to work in surroundings or under conditions
supervision of the day-to-day activities of the leased which are unsanitary,hazardous or dangerous to his/her
employees; health or safety,as determined under construction safety and
(2)the prime contractor remains responsible for the quality health standards(29 CFR 1926)promulgated by the Secretary
of the work of the leased employees; of Labor,in accordance with Section 107 of the Contract Work
(3)the prime contractor retains all power to accept or Hours and Safety Standards Act(40 U.S.C.3704).
exclude individual employees from work on the project;and
(4)the prime contractor remains ultimately responsible for 3.Pursuant to 29 CFR 1926.3,it is a condition of this contract
the payment of predetermined minimum wages,the that the Secretary of Labor or authorized representative
submission of payrolls,statements of compliance and all thereof,shall have right of entry to any site of contract
other Federal regulatory requirements. performance to inspect or investigate the matter of compliance
with the construction safety and health standards and to carry
b, "Specialty Items"shall be construed to be limited to work out the duties of the Secretary under Section 107 of the
that requires highly specialized knowledge,abilities,or Contract Work Hours and Safety Standards Act(40
equipment not ordinarily available in the type of contracting U.S.C.3704).
organizations qualified and expected to bid or propose on theLO
contract as a whole and in general are to be limited to minor Iq
components of the overall contract. Vill.FALSE STATEMENTS CONCERNING HIGHWAY
PROJECTS
2„The contract amount upon which the requirements set forth
in paragraph(1)of Section VI is computed includes the cost of T h i s p r o v i s i o n i s applicable to all Federal-aid
material and manufactured products which are to be construction contracts and to all related subcontracts.
purchased or produced by the contractor under the contract
provisions. In order to assure high quality and durable construction in c�
conformity with approved plans and specifications and a high
3.The contractor shall furnish(a)a competent superintendent degree of reliability on statements and representations made
or supervisor who is employed by the firm,has full authority to by engineers,contractors,suppliers,and workers on Federal-
direct performance of the work in accordance with the contract aid highway projects,it is essential that all persons concerned
requirements,and is in charge of all construction operations with the project perform their functions as carefully,thoroughly,
(regardless of who performs the work)and(b)such other of its and honestly as possible. Willful falsification,distortion,or
own organizational resources(supervision,management,and misrepresentation with respect to any facts related to the
engineering services)as the contracting officer determines is project is a violation of Federal law. To prevent any
necessary to assure the performance of the contract, misunderstanding regarding the seriousness of these and
similar acts,Form FHWA-1022 shall be posted on each
4.No portion of the contract shall be sublet,assigned or Federal-aid highway project(23 CFR 635)in one or more
otherwise disposed of except with the written consent of the places where it is readily available to all persons concerned
contracting officer,or authorized representative,and such with the project:
consent when given shall not be construed to relieve the
contractor of any responsibility for the fulfillment of the
contract. Written consent will be given only after the 18 U.S.C. 1020 reads as follows:
contracting agency has assured that each subcontract is
B
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C.5.b
"Whoever,being an officer,agent,or employee of the United covered transaction.The prospective first tier participant shall
States,or of any State or Territory,or whoever,whether a submit an explanation of why it cannot provide the certification
person,association,firm,or corporation,knowingly makes any set out below.The certification or explanation will be
false statement,false representation,or false report as to the considered in connection with the department or agency's
character,quality,quantity,or cost of the material used or to determination whether to enter into this transaction.However,
be used,or the quantity or quality of the work performed or to failure of the prospective first tier participant to furnish a
be performed,or the cost thereof in connection with the certification or an explanation shall disqualify such a person
submission of plans,maps,specifications,contracts,or costs from participation in this transaction.
of construction on any highway or related project submitted for
approval to the Secretary of Transportation;or c.The certification in this clause is a material representation
of fact upon which reliance was placed when the contracting
Whoever knowingly make
s an false statement false
9 Y agency determined to enter int
o to this transaction.If it is later
9 Y
representation,false report or false claim with respect to the determined that the prospective participant knowingly rendered
character,quality,quantity,or cost of any work performed or to an erroneous certification,in addition to other remedies
be performed,or materials furnished or to be furnished,in available to the Federal Government,the contracting agency
connection with the construction of any highway or related may terminate this transaction for cause of default.
project approved by the Secretary of Transportation;or
d.The prospective first tier participant shall provide
Whoever knowingly makes any false statement or false immediate written notice to the contracting agency to whom
representation as to material fact in any statement,certificate, this proposal is submitted if any time the prospective first tier
or report submitted pursuant to provisions of the Federal-aid participant learns that its certification was erroneous when
Roads Act approved July 1, 1916,(39 Stat.355),as amended submitted or has become erroneous by reason of changed
and supplemented; circumstances.
Shall be fined under this title or imprisoned not more than 5 e.The terms"covered transaction,""debarred,"
years or both." "suspended,""ineligible,""participant,""person," "principal,"
and"voluntarily excluded,"as used in this clause,are defined
in 2 CFR Parts 180 and 1200. "First Tier Covered
IX.IMPLEMENTATION OF CLEAN AIR ACT AND FEDERAL Transactions"refers to any covered transaction between a
WATER POLLUTION CONTROL ACT grantee or subgrantee of Federal funds and a participant(such
as the prime or general contract). "Lower Tier Covered
This provision is applicable to all Federal-aid construction Transactions"refers to any covered transaction under a First
contracts and to all related subcontracts. Tier Covered Transaction(such as subcontracts). "First Tier
Participant"refers to the participant who has entered into a
By submission of this bid/proposal or the execution of this covered transaction with a grantee or subgrantee of Federal
contract,or subcontract,as appropriate,the bidder,proposer, funds(such as the prime or general contractor). "Lower Tier ca
Federal-aid construction contractor,or subcontractor,as Participant"refers any participant who has entered into a
appropriate,will be deemed to have stipulated as follows: covered transaction with a First Tier Participant or other Lower
Tier Participants(such as subcontractors and suppliers).
1.That any person who is or will be utilized in the
performance of this contract is not prohibited from receiving an f.The prospective first tier participant agrees by submitting
award due to a violation of Section 508 of the Clean Water Act this proposal that,should the proposed covered transaction be
or Section 306 of the Clean Air Act, entered into,it shall not knowingly enter into any lower tier
2.That the contractor agrees to include or cause to be covered transaction with a person who is debarred,
included the requirements of paragraph(1)of this Section X in suspended,declared ineligible,or voluntarily excluded from LO
every subcontract,and further agrees to take such action as participation in this covered transaction,unless authorized by '
the contracting agency may direct as a means of enforcing the department or agency entering into this transaction.
such requirements.
g.The prospective first tier participant further agrees by
submitting this proposal that it will include the clause titled
X.CERTIFICATION REGARDING DEBARMENT, "Certification Regarding Debarment,Suspension,Ineligibility
SUSPENSION,INELIGIBILITY AND VOLUNTARY and Voluntary Exclusion-Lower Tier Covered Transactions,"
EXCLUSION provided by the department or contracting agency,entering
into this covered transaction,without modification,in all lower
This provision is applicable to all Federal-aid construction tier covered transactions and in all solicitations for lower tier
contracts,design-build contracts,subcontracts,lower-tier covered transactions exceeding the$25,000 threshold.
subcontracts,purchase orders,lease agreements,consultant
contracts or any other covered transaction requiring FHWA h.A participant in a covered transaction may rely upon a
approval or that is estimated to cost$25,000 or more— as certification of a prospective participant in a lower tier covered
defined in 2 CFR Parts 180 and 1200. transaction that is not debarred,suspended,ineligible,or
voluntarily excluded from the covered transaction,unless it
knows that the certification is erroneous. A participant is
responsible for ensuring that its principals are not suspended,
1.Instructions for Certification—First Tier Participants: debarred,or otherwise ineligible to participate in covered
transactions. To verify the eligibility of its principals,as well as
a.By signing and submitting this proposal,the prospective the eligibility of any lower tier prospective participants,each
first tier participant is providing the certification set out below, participant may,but is not required to,check the Excluded
Parties List System website(bggLfiw,e 9 rM),which is
b.The inability of a person to provide the certification set out compiled by the General Services Administration.
below will not necessarily result in denial of participation in this
Packet Pg. 237
C.5.b
i, Nothing contained in the foregoing shall be construed to this transaction originated may pursue available remedies,
require the establishment of a system of records in order to including suspension and/or debarment,
render in good faith the certification required by this clause.
The knowledge and information of the prospective participant c.The prospective lower tier participant shall provide
is not required to exceed that which is normally possessed by immediate written notice to the person to which this proposal is
a prudent person in the ordinary course of business dealings. submitted if at any time the prospective lower tier participant
learns that its certification was erroneous by reason of
j. Except for transactions authorized under paragraph(f)of changed circumstances.
these instructions,if a participant in a covered transaction
knowingly enters into a lower tier covered transaction with a d.The terms"covered transaction,""debarred,"
person who is suspended,debarred,ineligible,or voluntarily "suspended,""ineligible,""participant,""person,""principal,"
excluded from participation in this transaction,in addition to and"voluntarily excluded,"as used in this clause,are defined
other remedies available to the Federal Government,the in 2 CFR Parts 180 and 1200. You may contact the person to
department or agency may terminate this transaction for cause which this proposal is submitted for assistance in obtaining a
or default. copy of those regulations. "First Tier Covered Transactions"
refers to any covered transaction between a grantee or
".. '` subgrantee of Federal funds and a participant(such as the
prime or general contract). "Lower Tier Covered Transactions"
2. Certification Regarding Debarment,Suspension, refers to any covered transaction under a First Tier Covered CL
Ineligibility and Voluntary Exclusion—First Tier Transaction(such as subcontracts). "First Tier Participant' �
Participants: refers to the participant who has entered into a covered
transaction with a grantee or subgrantee of Federal funds
a. The prospective first tier participant certifies to the best of (such as the prime or general contractor). "Lower Tier
its knowledge and belief,that it and its principals: Participant'refers any participant who has entered into a
covered transaction with a First Tier Participant or other Lower
(1) Are not presently debarred,suspended,proposed for Tier Participants(such as subcontractors and suppliers).
debarment,declared ineligible,or voluntarily excluded from
participating in covered transactions by any Federal e.The prospective lower tier participant agrees by
department or agency; submitting this proposal that,should the proposed covered
transaction be entered into,it shall not knowingly enter into
(2) Have not within a three-year period preceding this any lower tier covered transaction with a person who is
proposal been convicted of or had a civil judgment rendered debarred,suspended,declared ineligible,or voluntarily
against them for commission of fraud or a criminal offense in excluded from participation in this covered transaction,unless
connection with obtaining,attempting to obtain,or performing authorized by the department or agency with which this
a public(Federal,State or local)transaction or contract under transaction originated,
a public transaction;violation of Federal or State antitrust 0
statutes or commission of embezzlement,theft,forgery, f,The prospective lower tier participant further agrees by
bribery,falsification or destruction of records,making false submitting this proposal that it will include this clause titled
statements,or receiving stolen property; "Certification Regarding Debarment,Suspension,Ineligibility
and Voluntary Exclusion-Lower Tier Covered Transaction,"
(3) Are not presently indicted for or otherwise criminally or without modification,in all lower tier covered transactions and
civilly charged by a governmental entity(Federal,State or in all solicitations for lower tier covered transactions exceeding
local)with commission of any of the offenses enumerated in the$25,000 threshold.
paragraph(a)(2)of this certification;and
g.A participant in a covered transaction may rely upon a LO
(4) Have not within a three-year period preceding this certification of a prospective participant in a lower tier covered Iq
application/proposal had one or more public transactions transaction that is not debarred,suspended,ineligible,or
(Federal,State or local)terminated for cause or default, voluntarily excluded from the covered transaction,unless it
knows that the certification is erroneous.A participant is
b. Where the prospective participant is unable to certify to responsible for ensuring that its principals are not suspended,
any of the statements in this certification,such prospective debarred,or otherwise ineligible to participate in covered
participant shall attach an explanation to this proposal. transactions. To verify the eligibility of its principals,as well as
the eligibility of any lower tier prospective participants,each
2.Instructions for Certification-Lower Tier Participants: participant may,but is not required to,check the Excluded
Parties List System website(lillp 1l qPl ,which is
(Applicable to all subcontracts,purchase orders and other compiled by the General Services Administration.
lower tier transactions requiring prior FHWA approval or
estimated to cost$25,000 or more-2 CFR Parts 180 and h.Nothing contained in the foregoing shall be construed to
1200) require establishment of a system of records in order to render
in good faith the certification required by this clause.The
a.By signing and submitting this proposal,the prospective knowledge and information of participant is not required to
lower tier is providing the certification set out below. exceed that which is normally possessed by a prudent person
in the ordinary course of business dealings.
b.The certification in this clause is a material representation
of fact upon which reliance was placed when this transaction i, Except for transactions authorized under paragraph a of
was entered into.If it is later determined that the prospective these instructions,if a participant in a covered transaction
lower tier participant knowingly rendered an erroneous knowingly enters into a lower tier covered transaction with a
certification,in addition to other remedies available to the person who is suspended,debarred,ineligible,or voluntarily
Federal Government,the department,or agency with which excluded from participation in this transaction,in addition to
other remedies available to the Federal Government,the
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C.5.b
department or agency with which this transaction originated
may pursue available remedies,including suspension and/or
debarment.
Certification Regarding Debarment,Suspension,
Ineligibility and Voluntary Exclusion--Lower Tier
Participants:
1.The prospective lower tier participant certifies,by
submission of this proposal,that neither it nor its principals is
presently debarred,suspended,proposed for debarment,
declared ineligible,or voluntarily excluded from participating in
covered transactions by any Federal department or agency.
2.Where the prospective lower tier participant is unable to
certify to any of the statements in this certification,such
prospective participant shall attach an explanation to this
proposal.
••»•• U)
XI.CERTIFICATION REGARDING USE OF CONTRACT
FUNDS FOR LOBBYING
This provision is applicable to all Federal-aid construction
contracts and to all related subcontracts which exceed
$100,000(49 CFR 20).
1.The prospective participant certifies,by signing and
submitting this bid or proposal,to the best of his or her cv
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 IL
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, LO
Iq
b. If any funds other than Federal appropriated funds have
been paid or will be paid to any person for influencing or
attempting to influence an officer or employee of any Federal
agency,a Member of Congress,an officer or employee of
Congress,or an employee of a Member of Congress in
connection with this Federal contract,grant,loan,or
cooperative agreement,the undersigned shall complete and
submit Standard Form-LLL,"Disclosure Form to Report
Lobbying,"in accordance with its instructions.
2.This certification is a material representation of fact upon
which reliance was placed when this transaction was made or
entered into. Submission of this certification is a prerequisite
for making or entering into this transaction imposed by 31
U.S.C. 1352. Any person who fails to file the required
certification shall be subject to a civil penalty of not less than
$10,000 and not more than$100,000 for each such failure.
3.The prospective participant also agrees by submitting its
bid or proposal that the participant shall require that the
language of this certification be included in all lower tier
subcontracts,which exceed$100,000 and that all such
recipients shall certify and disclose accordingly.
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Packet Pg. 239
C.5.b
ATTACHMENT A-EMPLOYMENT AND MATERIALS 6.The contractor shall include the provisions of Sections 1
PREFERENCE FOR APPALACHIAN DEVELOPMENT through 4 of this Attachment A in every subcontract for work
HIGHWAY SYSTEM OR APPALACHIAN LOCAL ACCESS which is,or reasonably may be,done as on-site work.
ROAD CONTRACTS
This provision is applicable to all Federal-aid projects funded
under the Appalachian Regional Development Act of 1965.
1.During the performance of this contract,the contractor
undertaking to do work which is,or reasonably may be,done
as on-site work,shall give preference to qualified persons who
regularly reside in the labor area as designated by the DOL
wherein the contract work is situated,or the subregion,or the
Appalachian counties of the State wherein the contract work is
situated,except:
a.To the extent that qualified persons regularly residing in
the area are not available.
b.For the reasonable needs of the contractor to employ
supervisory or specially experienced personnel necessary to
assure an efficient execution of the contract work,
rye
c.Forthe obligation of the contractor to offer employment to
present or former employees as the result of a lawful collective
bargaining contract,provided that the number of nonresident
persons employed under this subparagraph(1 c)shall not
exceed 20 percent of the total number of employees employed
by the contractor on the contract work,except as provided in
subparagraph(4)below.
2.The contractor shall place a job order with the State
Employment Service indicating(a)the classifications of the cv
laborers,mechanics and other employees required to perform
the contract work,(b)the number of employees required in
each classification,(c)the date on which the participant
estimates such employees will be required,and(d)any other
pertinent information required by the State Employment
Service to complete the job order form. The job order may be
placed with the State Employment Service in writing or by
telephone. If during the course of the contract work,the
information submitted by the contractor in the original job order
is substantially modified,the participant shall promptly notify
the State Employment Service.
3.The contractor shall give full consideration to all qualified LO
job applicants referred to him by the State Employment Iq
Service. The contractor is not required to grant employment to
any job applicants who, in his opinion,are not qualified to
perform the classification of work required.
4. If,within one week following the placing of a job order by
the contractor with the State Employment Service,the State
Employment Service is unable to refer any qualified job
applicants to the contractor,or less than the number
requested,the State Employment Service will forward a
certificate to the contractor indicating the unavailability of
applicants. Such certificate shall be made a part of the
contractor's permanent project records. Upon receipt of this
certificate,the contractor may employ persons who do not
normally reside in the labor area to fill positions covered by the
certificate,notwithstanding the provisions of subparagraph(1 c)
above.
5„ The provisions of 23 CFR 633,207(e)allow the
contracting agency to provide a contractual preference for the
use of mineral resource materials native to the Appalachian
region.
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